Asia Society Policy Institute

The identification and elimination of obstacles and barriers to provide access to the physical environment, transportation, information and communications, and other facilities and services.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

The acknowledgment and assumption of responsibility by financiers, developers, contractors, subcontractors, and the host country government for their actions, decisions, and promises on a project. These project proponents and decision-makers are obligated to respond to the needs of affected people, civil society organizations (CSOs)/nongovernmental organizations (NGOs), researchers/experts, the media, multilateral and third country institutions and agencies, international standards organizations, and other stakeholders.

Delivering a message through words or actions to try to influence the decisions that affect people’s lives.

Adapted from Bridges Across Borders, "A Cambodian Guide to Defending Land and Housing Rights Vol 1 - Part 3," 2009, View the PDF.

Different actions that communities can take to influence project plans and decisions and achieve their desired objectives. Examples include meeting with developers, contractors, and host country government officials; speaking to the media; and organizing campaigns to establish connections with other stakeholders on social media.

Adapted from Bridges Across Borders, "A Cambodian Guide to Defending Land and Housing Rights Vol 1 - Part 3," 2009, View the PDF.

See Affected People for information about the individuals, families, and communities that are in and around project site(s) and either may be or are affected by a BRI project.

Options for project design, location, size, operation, materials, and/or technologies. They should include projects of a similar technical character or functionality that could meet the desired objectives but may have a different location, size, technology, design, time frames, or operational procedure, as well as the “no project” alternative. The environmental, social, technical, economic, regulatory, and jurisdictional feasibility of each alternative should be considered during Project Scoping.

Adapted from School of Oriental and African Studies (SOAS) University of London, "Unit 1: Introduction to Environmental Impact Assessment (EIA)," accessed in 2022, View the Website; International Union for Conservation of Nature (IUCN), "Environmental & Social Management System (ESMS)," 2016, View the PDF; Asian Development Bank (ADB), "Guidebook on Safeguards (Volume I)," 2020, View the PDF; International Union for Conservation of Nature (IUCN), "Environmental and Social Impact Assessment," 2020, View the PDF.

The environmental and social data that are relevant to decisions about project location, design, operation, or mitigation measures. They should include secondary data and other existing analyses, as well as primary data collected in project areas and peripheries. 

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; International Union for Conservation of Nature (IUCN), "Environmental & Social Management System (ESMS)," 2016, View the PDF; International Union for Conservation of Nature (IUCN), "Environmental and Social Impact Assessment," 2020, View the PDF.

The process of developing and strengthening the skills, instincts, abilities, processes, and resources that local communities and other stakeholders need to survive, adapt, and thrive in our fast-changing world.

Adapted from United Nations (UN), "Capacity Building," accessed in 2022, View the Website.

A project-specific procedure that will be followed if previously unknown cultural heritage is encountered during project activities. It will set out how chance finds associated with the project will be managed. The procedure will include a requirement to notify relevant authorities of found objects or sites by cultural heritage experts; fence off the area of finds or sites to avoid further disturbance; conduct an assessment of found objects or sites by cultural heritage experts; identify and implement actions consistent with environmental and social requirements, as well as host country laws and regulations; and train staff and workers on chance find procedures.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

A non-profit, voluntary group that is organized on the local, national, regional, or international level. See Civil Society Organizations (CSOs)/Nongovernmental Organizations (NGOs) for information about the different types of organizations that could be or are already involved in BRI projects.

Adapted from SynTao and China International Contractors Association (CHINCA), “Community Engagement Handbook for Chinese International Contractors (2021 Edition)-北京商道纵横信息科技有限责任公司,” 2021, View the Website; United Nations (UN), “About Us,” United Nations (United Nations), accessed in 2022, View the Website.

To partner with affected people, civil society organizations (CSOs)/nongovernmental organizations (NGOs), and other stakeholders in each step or decision, including the development of alternatives, mitigation measures, and compensation offers.

Adapted from International Association for Public Participation (IAP2), "Spectrum of Public Participation," accessed in 2022, View the Website.

A physical presence in, and economic ties to, land and territories traditionally owned, or customarily used or occupied, by an Indigenous community or other group, including sacred sites and other areas that for generations have held special significance to those people.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

Rights of Indigenous peoples enshrined in the “United Nations Declaration on the Rights of Indigenous Peoples (UNDRIP)” and the International Labour Organization’s (ILO) “Indigenous and Tribal Peoples Convention No. 169.” These rights include recognition of their distinctive histories, languages, identities, and cultures; their collective right to lands, territories, and natural resources they have traditionally occupied and used; and their right to their collectively held traditional knowledge. UNDRIP affirms that collective rights are indispensable for Indigenous peoples’ existence, well-being, and integral development as peoples.

Adapted from International Fund for Agricultural Development (IFAD), "Indigenous peoples’ collective rights to lands, territories and natural resources: Lessons from IFAD-supported projects," accessed in 2022, View the Website.

A process of conveying information, ideas, or feelings from one person or group to another. It should involve an information source or the message sender, a channel or the medium through which a message is transmitted, and a target or the message receiver. Communication is a dynamic process that is not limited to the exchange of information but also emphasizes the evolution of social relations between the two parties.

Adapted from SynTao and China International Contractors Association (CHINCA), “Community Engagement Handbook for Chinese International Contractors (2021 Edition)-北京商道纵横信息科技有限责任公司,” 2021, View the Website.

In terms of physical space, refers to a group of people gathered in the same geographical space and area, with common needs, interests, beliefs, and values, who are relatively cohesive and have lasting relationships. In terms of non-physical space, community refers to a group of people who share a sense of identity and communality in the group spirit and who are committed to a common goal. Communities can overlap or be separated in physical and psychological space. At the same time, a community can have both a broad and a narrow sense. The broad sense of community includes the host country government, the public, media, researchers/experts, and civil society organizations (CSOs)/nongovernmental organizations (NGOs) in the BRI host country. Meanwhile, the narrow sense of community refers only to stakeholders within project areas of influence. 

Adapted from SynTao and China International Contractors Association (CHINCA), “Community Engagement Handbook for Chinese International Contractors (2021 Edition)-北京商道纵横信息科技有限责任公司,” 2021, View the Website.

Bilateral rather than unilateral communication between communities, including the public, media, researchers/experts, and civil society organizations (CSOs)/nongovernmental organizations (NGOs), and contractors, developers, financiers, and the host country government.

Companies have traditionally gathered information about affected communities, without enabling active community participation. International organizations take this kind of communication very seriously. For example, the World Bank states that while it is important to share information about the company itself with the community and to collect information from the community, this can only be considered one-sided communication. Successful community engagement is based on the sharing of information across multiple channels and the further integration of community interest considerations into pre-project planning, project implementation, and project operations. Companies may find it helpful to establish liaisons, managers, steering groups, and teams and to train their staff in community engagement skills.

Adapted from SynTao and China International Contractors Association (CHINCA), “Community Engagement Handbook for Chinese International Contractors (2021 Edition)-北京商道纵横信息科技有限责任公司,” 2021, View the Website.

This vision of the Communist Party of China (CCP) that embodies the ideas of building an open, inclusive, green, and beautiful world that enjoys lasting peace, universal security, and common prosperity. 

Adapted from XinhuaNet, "Commentary: Why President Xi strongly advocates building community with shared future," 2020, Visit the Website.

People who are employed or engaged in providing community labor.

An amount of money, land, housing, property, structure, or other valuable asset that is provided to make up for physical or economic damage or displacement caused by a project. Compensation can be considered adequate if it is equal to the full replacement cost, which would allow the affected people to replace the land, housing, property, basic facilities, livelihood options, and/or other things that were lost. For more information about compensation, see Provision of Adequate Compensation, Resettlement, and Livelihood Restoration Support.

Adapted from Bridges Across Borders, "A Cambodian Guide to Defending Land and Housing Rights Vol 1 - Part 1," 2009, View the PDF.

A project-related issue that involves perceived noncompliance with environmental and social requirements by host country government authorities, financiers, developers, and/or contractors. It should demonstrate the likelihood of a substantial potential or actual adverse impact in project areas of influence.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Enhancing AIIB's Accountability: The Project-Affected People's Mechanism," 2018, View the PDF.

The degree to which the behavior of stakeholders, such as host country government authorities, financiers, developers, and/or contractors, conforms to an applicable law, policy, or guideline in the host country, China, or other countries around the world. 

Adapted from Intergovernmental Panel on Climate Change (IPCC), "Climate Change 2007: Impacts, Adaptions, and Vulnerability," 2007, View the PDF.

A project-related issue that involves perceived noncompliance with environmental and social requirements by host country government authorities, financiers, developers, and/or contractors but has not precipitated a formal dispute. It generally covers a potential adverse impact in project areas of influence and should be lodged through a grievance mechanism.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Enhancing AIIB's Accountability: The Project-Affected People's Mechanism," 2018, View the PDF.

The state of connections between villages, towns, cities, districts, provinces, countries, and regions. Both “hard connectivity” — through infrastructure — and “soft connectivity” — through rules and standards — are currently dual priorities of the Chinese Government, which now seeks to reduce poverty, generate employment opportunities, build capacity, and “connect the hearts” of people along the BRI.

Adapted from Government of China, "高质量共建“一带一路”成绩斐然 (High-Quality Joint Construction of the 'Belt and Road' has Achieved Remarkable Results)," 2022, View the Website.

To obtain feedback on analysis, alternatives, mitigation measures, monitoring activities, corrective and prevention measures, and/or decisions from affected people, civil society organizations (CSOs)/nongovernmental organizations (NGOs), and other stakeholders for a project. 

Adapted from International Association for Public Participation (IAP2), "Spectrum of Public Participation," accessed in 2022, View the Website.

A two-way dialogue between financiers, developers, contractors, and the host country government on the one hand and affected people, civil society organizations (CSOs)/nongovernmental organizations (NGOs), researchers/experts, and other key stakeholders on the other hand. It requires initiating and sustaining constructive relationships throughout the project life cycle. 

Adapted from International Finance Corporation (IFC), "Stakeholder Engagement: A Good Practice Handbook for Companies Doing Business in Emerging Markets," 2017, View the Website.

People who are employed or engaged through contractors, subcontractors, brokers, or intermediaries to perform work related to core functions of a project.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

A strategic management concept whereby companies and financial institutions integrate social and environmental concerns in their business operations and interactions with their stakeholders. Companies and financial institutions will try to balance economic, environmental, and social imperatives, while addressing the expectations of their shareholders and stakeholders. CSR goes beyond charity, though both types of activities can contribute to poverty reduction, enhance a company's or an institution’s reputation, and strengthen its brand.

It is also a goal of Chinese companies engaged in overseas infrastructure projects to safeguard stakeholders’ rights and interests, promote community living standards and sustainability, boost local employment, mitigate adverse social impacts of their projects, strengthen the preservation of cultural heritage and natural scenery, enhance quality management, and shoulder their due responsibilities to stakeholders for the sake of harmonious coexistence and co-development.

Adapted from United Nations Industrial Development Organization (UNIDO), "What is CSR," accessed in 2022, View the Website; China International Contractors Association (CHINCA), "Sustainable Infrastructure Guidelines for Overseas Chinese Enterprises," 2016, View the PDF.

A proposed action to mitigate an adverse impact that is unanticipated or could result from proposed changes to a project during the project implementation and project operations phases. See Preparation and Implementation of Environmental and Social Action Plan (ESAP) for more information about how corrective actions​​​​​​​ are planned, approved, implemented, and monitored.

A host country’s framework consisting of its national, subnational, or sectoral implementing institutions, as well as relevant laws, regulations, rules, and procedures related to environmental and social requirements for infrastructure projects.

Adapted from Asian Development Bank (ADB), "Safeguard Policy Statement," 2009, View the PDF.

An instrument that reviews the legal and institutional framework applicable to cultural heritage; identifies the roles and responsibilities of various stakeholders; provides measures for identifying and managing impacts on and risks to cultural heritage throughout the project life cycle; proposes mitigation measures; identifies steps for incorporating relevant requirements, including chance find procedures, into project agreements; provides an implementation schedule and an estimate of staff, funds, and other needed resources; and includes requirements for monitoring and reporting. It can be a stand-alone document or part of the environmental and social management plan (ESMP). The CHMP should be prepared in consultation with cultural heritage authorities and affected people, including Indigenous peoples, as well as ethnic, linguistic, and religious minorities. 

Adapted from World Bank, "Guidance for Borrowers, ESS8: Cultural Heritage," 2018, View the PDF.

Movable or immovable objects, sites, structures, groups of structures, and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. These resources may be located in urban or rural settings and may be above or below ground or under water. Their cultural interest may be at the local, provincial, or national level or within the international community.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

Rights for a person — individually and in community with others — to develop and express their humanity, their world view, and the meanings they give to their existence and their development through values, beliefs, convictions, languages, knowledge, art, institutions, and other ways of life. These rights also protect access to cultural heritage and resources.

Adapted from United Nations (UN), "International standards: Special Rapporteur in the field of cultural rights," accessed in 2022, View the Website.

Respectful of and responsive to stakeholders’ beliefs, customs, values, language needs, religious practices, and other individual differences.

The successive, incremental, and/or combined impacts of a project when added to other relevant past, present, or future developments that may occur later or at a different location. Future developments could be planned, reasonably foreseeable, or unplanned but predictable actions, projects, or activities. Cumulative impacts can result from individually minor but collectively significant activities taking place over a period of time. 

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; International Finance Corporation (IFC), "What is Cumulative Impact Assessment and Management," 2021, View the PDF.

An instrument to consider cumulative impacts of a project in combination with impacts from other relevant developments, as well as unplanned but predictable activities enabled by the project that may occur later or at a different location. The potential cumulative impacts should be determined as early as possible, ideally as part of a scoping study, and examined in greater depth as part of a cumulative impact assessment.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF; World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

Refers to patterns of long-standing community land and resource usage in accordance with Indigenous peoples’ and local communities’ customary laws, values, customs, and traditions, including seasonal or cyclical use — rather than formal legal titles to land and resources issued by the host country government.

Adapted from United Nations Programme on Reducing Emissions from Deforestation and Forest Degradation (UN-REDD Program), "Customary rights," accessed in 2022, View the Website.

An important step in preliminary due diligence assessments by developers, insurers, and financiers. Activities include reviewing existing literature and analyzing secondary data in order to form a basic understanding of host countries’ cultural contexts, socio-economic situations, development priorities, major issues, and potential obstacles to implementing proposed projects.

Improvement of the quality of life, opportunities, and well-being of the affected people, in particular, and in BRI host countries, more broadly. It can happen at the community level, with the construction of new water and sanitation facilities, or at the country level, with the development of a new renewable energy power generation unit.

Adapted from Bridges Across Borders, "A Cambodian Guide to Defending Land and Housing Rights Vol 1, Part 1," 2009, View the PDF.

An environmental or social impact that is caused by a project and occurs contemporaneously at the project’s location.

People employed or engaged directly by the developer and its implementing agencies to work specifically in relation to a project.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

Distinct treatment of an individual, a family, a community, or other social group because of the group, class, or category to which they belong. Affected people could be discriminated against on the basis of their ability, age, ethnicity, gender, nationality, religion, socio-economic status, or other identity. 

An individual or group of people who have been physically displaced — through relocation, loss of residential land, or loss of shelter — and/or economically displaced — through loss of productive land, assets, access to assets, income sources, or means of livelihoods — due to involuntary land acquisition for a project or involuntary restrictions on land use and who have lost their access to legally designated parks and protected areas.

Adapted from Asian Development Bank (ADB), "Safeguard Policy Statement," 2009, View the PDF.

The process for developers and contractors to identify, prevent, mitigate, and account for potential financial, environmental, and social risks. It serves as an integral part of decision-making and environmental and social risk management (ESRM) systems. Alternatively, the process for financiers to review and analyze risks before entering into a project financing agreement with developers, contractors, and other stakeholders.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

Pressure on an individual, a family, or a community by another individual, authority, company, or stakeholder to act against their will. 

Loss of land, assets, access to assets, income sources, or means of livelihoods due to involuntary acquisition of land or involuntary restrictions on land use and on access to legally designated parks and protected areas. For more information about economic displacement, see Land Acquisition and Provision of Adequate Compensation, Resettlement, and Livelihood Restoration Support. 

Adapted from Asian Development Bank (ADB), "Safeguard Policy Statement," 2009, View the PDF.

Responsible travel to natural areas that conserves the environment, sustains the well-being of local people, and involves interpretation and education.

Adapted from The International Ecotourism Society, "What is Ecotourism," 2015, View the Website.

Plans to address contingencies associated with accidental circumstances and changes in project implementation and operations. These plans include clearly assigned responsibilities for the assessment of risks to life and property, as well as procedures for communicating different types of emergencies to stakeholders.

Adapted from Asian Development Bank (ADB), "Environment Safeguards: A Good Practice Sourcebook Draft Working Document," 2012, View the PDF.

To place final decision-making for project assessments, designs, and plans in the hands of affected people, civil society organizations (CSOs)/nongovernmental organizations (NGOs), and other stakeholders. 

Adapted from International Association for Public Participation (IAP2), "Spectrum of Public Participation," accessed in 2022, View the Website.

The ability of a person to gain power and control over their own life. It refers to increasing the personal, political, social, or economic strength of individuals, communities, or other social groups. It involves raising awareness, building self-confidence, expanding choices, and increasing access to and control over resources and actions to transform the structures and institutions that reinforce and perpetuate discrimination and inequality. People should be able to claim equal rights and capabilities; have equal access to resources and opportunities; and have the agency to use their rights, capabilities, resources, and opportunities to make strategic choices and decisions on policies, conditions, and other aspects of projects that could affect their lives.

Adapted from United Nations Office of the High Commissioner for Human Rights (OHCHR), "Empowerment, Inclusion, Equality: Accelerating sustainable development with human rights," 2019, View the PDF; United Nations International Children's Emergency Fund (UNICEF) Regional Office for South Asia, "Gender Equality: Glossary of Terms and Concepts," 2017, View the PDF.

A plan that is developed in response to an accident, incident, unanticipated adverse impact, or a significant change to the nature, scope, design, implementation, or operation of a project. It sets out measures necessary to strengthen the developer’s and/or contractor’s compliance with environmental and social requirements; defines desired outcomes and actions to address any issues; and estimates the funds, resources, and responsibilities for implementation. See Preparation and Implementation of Environmental and Social Action Plan (ESAP) for more information.

The process of identifying, predicting, evaluating, mitigating, managing, and monitoring adverse environmental and social impacts of projects.

Adapted from United Nations Development Programme (UNDP), "Guidance Note: UNDP Social and Environmental Standards, Social and Environmental Assessment and Management," 2020, View the PDF.

An instrument to determine the nature and extent of all environmental and social areas of concern at an existing project or in existing activities. The audit identifies and justifies appropriate measures to mitigate the areas of concern, estimates the cost of the measures and actions, and recommends a schedule for implementing them. For some projects, the environmental and social impact assessment (ESIA) report may only consist of an environmental and social audit. In other cases, this audit is part of the ESIA documentation.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the Website; World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

A process that determines the potential environmental and social risks and impacts (including human rights and climate change risks and impacts) of a proposed project in its area of influence. It is also a comprehensive document of the project’s potential environmental and social risks and impacts. An ESIA is usually prepared for greenfield developments or large expansions with specifically identified physical elements, aspects, and facilities that are likely to generate significant environmental or social impacts. Where the project has the potential to cause adverse human rights impacts, the documentation should include an assessment of those impacts. Examples of assessment documentation include, but are not limited to, the following: an environmental and social impact assessment, 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, regional ESIA, sectoral ESIA, strategic environmental and social assessment (SESA), resettlement plan, livelihood restoration plan, Indigenous peoples plan (IPP), biodiversity action plan (BAP), cultural heritage management plan (CHMP), and relevant project-specific environmental permits. Non-technical environmental and social summaries can supplement the assessment documentation, especially when these are disclosed to the public as part a broader stakeholder engagement process.

Although social impacts and risks may be examined as part of the environmental impact assessment (EIA) in some host countries, it is important to determine whether a separate or supplementary social impact assessment (SIA) may be necessary to identify the full range of impacts on and risks to society — particularly women; the elderly; children and youth; people with disabilities; Indigenous peoples; ethnic, linguistic, and religious minorities; refugees; and displaced populations. For more information about engaging affected people, civil society organizations (CSOs)/nongovernmental organizations (NGOs), and other stakeholders in this assessment, see Preparation and Implementation of Environmental and Social Impact Assessment (ESIA).

Adapted from Equator Principles Association (EPA), "The Equator Principles 4," 2020, View the PDF.

A body that is responsible for assembling a panel of scientific/technical experts, selecting a specific expert, or engaging representatives of relevant government agencies to review the environmental and social impact assessment (ESIA), environmental and social management plan (ESMP), and periodic environmental and social monitoring reports for a project. While some host countries have an independent body serve as the ESIA authority, the host country government retains this role in other countries.

A qualified and experienced expert or firm that facilitates the environmental and social impact assessment (ESIA) process; engages affected people and other stakeholders; and prepares the scoping study, terms of reference (ToR), ESIA report, and environmental and social management plan (ESMP). Especially for higher-risk projects, the expert’s or firm’s independence from the project and its proponents can help ensure the objectivity, accuracy, and completeness of the ESIA process.

As part of their initial review of environmental and social risks and impacts of proposed projects, financiers use this process to reflect the magnitude of risks and impacts. Based on preliminary assessments, the resulting category often determines financiers’ internal requirements for the environmental and social impact assessment (ESIA) and information disclosure. See Project Categorization for more information about this process.

Adapted from International Finance Corporation (IFC), “Environmental and Social Categorization,” accessed in 2022, View the Website.

An instrument that examines impacts and risks when a project consists of a program and/or series of subprojects and the impacts cannot be determined until the program or subproject details have been identified. The ESMF sets out principles, rules, guidelines, and procedures to assess the environmental and social risks and impacts. It contains measures and plans to reduce, mitigate, and/or offset adverse impacts and to enhance positive impacts; provisions for estimating and budgeting the costs of such measures and determining the schedule for implementation of the measures and plans; and information on the agency or agencies responsible for addressing project impacts and risks, including capacity for environmental and social risk management (ESRM). It includes adequate information on the area in which subprojects are expected to be sited, including any potential environmental and social vulnerabilities of the area, the potential impacts that may occur, and the mitigation measures that might be expected to be used.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF; World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016 View the PDF.

An instrument that details the mitigation and management measures to be taken during the implementation and operation of a project to reduce, mitigate, and/or offset adverse environmental and social impacts and enhance positive impacts; the environmental and social monitoring and reporting requirements; related institutional or organizational arrangements; provisions for disclosure and consultation during the pre-project planning and project implementation phases, including measures for stakeholder engagement; capacity-development and training measures, including engagement of any environmental and social experts required for the purpose; an implementation schedule and cost estimates, which are integrated into the project’s overall schedule and budget; and performance indicators, targets, or acceptance criteria. For more information about engaging affected people, civil society organizations (CSOs)/nongovernmental organizations (NGOs), and other stakeholders in this plan, see Preparation and Implementation of Environmental and Social Management Plan (ESMP).

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

The overarching environmental, social, health, and safety management system that may be applicable at a corporate or project level. This system is designed to continuously identify, assess, and manage risks and impacts throughout the project implementation and project operations phases. It consists of manuals, policies, management programs and plans, procedures, requirements, performance indicators, responsibilities, training, periodic audits, inspections, and related source documents. It is the overriding framework by which an environmental and social management plan (ESMP) is implemented. 

Adapted from Equator Principles Association (EPA), "The Equator Principles 4," 2020, View the PDF.

The process of identifying, appraising, addressing, and managing a proposed project’s impacts on and risks to the environment and society. It uses environmental and social criteria in project screening, project categorization, and environmental and social risk assessment, among other due diligence measures, to determine the operational and financial viability of the proposed project. 

Technical reference documents with general and industry-specific statements of Good International Industry Practice (GIIP). These guidelines contain the performance levels and measures that are generally considered to be achievable in new facilities with existing technology at a reasonable cost. The EHSGs can be found here.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

An investment philosophy that centers on environment performance, social performance, and corporate governance. It was developed in the 1960s and 1970s in response to the needs of investors and the public. The core ideas of ESG, such as green finance and sustainable development, have a high degree of commonality with China’s long-standing development strategy. ESG also reflects companies’ approaches to creating long-term value and internal institutional building that enables good decision-making, as well as their ability to hedge risks. It serves as a valuable reference for investors to judge the value of any company, improve investment strategies, and make investment decisions. 

Adapted from Community Engagement Handbook for Chinese International Contractors (2021 Edition)-北京商道纵横信息科技有限责任公司,” 2021, View the Website.

Characterized by the absence of unfair, avoidable, or remediable differences among groups of people, whether those groups are defined socially, economically, demographically, or geographically. Ensuring fairness in policies, processes, and outcomes for all stakeholders requires the recognition of, as well as compensation for, historical and/or current disadvantages based on certain social groups’ ability, age, ethnicity, gender, nationality, religion, socio-economic status, or other identity.

Adapted from World Health Organization (WHO), "Health Equity," accessed in 2022, View the Website.

Physical, social, and economic access of all people, at all times, to sufficient, safe, and nutritious food that meets their dietary needs and food preferences for an active and healthy life. Household food security is the application of this concept to the family level.

Adapted from Food and Agriculture Organization (FAO) of the United Nations (UN), "Policy Brief: Food Security," 2006, View the PDF; Food and Agricultural Organization, "Chapter 2. Food security: concepts and measurement," accessed in 2022, View the Website.

The permanent or temporary removal against the will of individuals, families, and/or communities from the homes and/or land that they occupy without the provision of, and access to, appropriate forms of legal and other protection.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

A specific right that pertains to Indigenous peoples and is recognized in numerous international legal instruments, such as the “United Nations Declaration on the Rights of Indigenous Peoples (UNDRIP),” the “International Labour Organization Convention 169 (ILO 169),” the “Convention on Biological Diversity (CBD),” the World Bank’s “Environmental and Social Framework,” and the International Finance Corporation’s (IFC) “Environmental and Social Performance Standards,” as well as host country laws. Indigenous peoples are able to conduct their own independent and collective discussions and decision-making in an environment where they do not feel intimidated, and where they have sufficient time to discuss in their own language matters affecting their rights, their lands’ natural resources, territories, livelihoods, knowledge, social fabric, traditions, governance systems, and culture or heritage (tangible and intangible). It allows them to give or withhold consent to a project that may affect them or their territories. Once they have given their consent, they can withdraw it at any stage. Furthermore, FPIC enables them to negotiate the conditions under which the project will be designed, implemented, monitored, and evaluated.

All elements within FPIC are interlinked, and they should not be treated as separate. The first three elements (free, prior, and informed) qualify and set the conditions of consent as a decision-making process. In short, consent should be sought before any project, plan, or action takes place (prior), it should be independently decided upon (free) and based on accurate, timely, and sufficient information provided in a culturally appropriate way (informed) for it to be considered a valid result or outcome of a collective decision-making process.

Adapted from Food and Agriculture Organization (FAO) of the United Nations (UN), "Free Prior and Informed Consent - An indigenous peoples’ right and a good practice for local communities - FAO," 2016, View the Website.

A less comprehensive version of Free, Prior and Informed Consent (FPIC). FPICon has been adopted in the policies of the Asian Infrastructure Investment Bank (AIIB) and some host countries. However, it is not recognized in international law, and numerous human rights organizations have joined the United Nations Office of the High Commissioner for Human Rights (OHCHR) in advocating for the adoption of FPIC.

AIIB regards FPICon as an additional process that builds on meaningful consultation for projects that involve non-Indigenous peoples. For AIIB, FPICon applies to project design, implementation arrangements, and expected outcomes related to risks to and impacts on Indigenous peoples; and it builds on the process of meaningful consultation and requires good faith negotiation between borrowers and affected Indigenous communities. AIIB also requires borrowers to prepare a written consultation process agreement with these communities and details of the project-related matters on which their broad community support (BCS) has been obtained, as well as dissenting views. 

Adapted from Inclusive Development International (IDI), "Community Guide to the Asian Infrastructure Investment Bank," 2020, View the PDF; Office of the United Nations High Commissioner for Human Rights (OHCHR), "Comments on the Draft Environmental and Social Framework (ESF) of the Asian Infrastructure Investment Bank (AIIB)," 2020, View the PDF; Forest Peoples Programme, "Effective Participation and Free, Prior and Informed Consent," 2016, View the PDF; Berenika Drazewska and Kristin Hausler, "The Role of Multilateral Development Banks in the Protection of Intangible Cultural Heritage," British Institute of International and Comparative Law, 2021, View the PDF.

One component of Free, Prior and Informed Consultation (FPICon). It exists when, in general, the broader community is in favor of a project. It does not necessarily mean that 100 percent of affected people support the project; some individuals or groups within a community may disagree with a project.

Adapted from Inclusive Development International (IDI), "Community Guide to the Asian Infrastructure Investment Bank," 2020, View the PDF.

An umbrella term for any harmful act that is perpetrated against a person’s will and that is based on socially ascribed gender-related differences between people. The nature and extent of specific acts of GBV vary across cultures, host countries, and regions. It includes acts that inflict physical, sexual, or mental harm or suffering; threats of such acts; coercion; and other deprivations of liberty.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF; United Nations International Children's Emergency Fund (UNICEF) Regional Office for South Asia, "Gender Equality: Glossary of Terms and Concepts," 2017, View the PDF.

Refers to equal rights, responsibilities, and opportunities for women and men, as well as girls and boys. It implies that the differing interests, needs, and priorities of all genders should be taken into consideration.

Adapted from United Nations Entity for Gender Equality and the Empowerment of Women (UN Women), "Concepts and Definitions," Gender Mainstreaming, accessed in 2022, View the Website.

The process of being fair to people of all genders and, importantly, the equality of outcomes and results. It may involve the use of special measures to compensate for historical, systemic, and/or cultural bias or discrimination. With equality as the ultimate goal, equity involves differential treatment that is fair and positively addresses a barrier or disadvantage rooted in gender norms, roles, and relations.

Women have distinct needs and social roles and may hold different views of the same resources. Since women benefit from infrastructure projects in different ways than men, involving women throughout the project life cycle can help a company create a positive corporate image, increase public satisfaction, add more innovative solutions, and improve social performance.

Adapted from United Nations Educational, Scientific and Cultural Organization (UNESCO), "Gender Equity," accessed in 2022, View the Website; United Nations International Children's Emergency Fund (UNICEF) Regional Office for South Asia, "Gender Equality: Glossary of Terms and Concepts," 2017, View the PDF; SynTao and China International Contractors Association (CHINCA), “Community Engagement Handbook for Chinese International Contractors (2021 Edition)-北京商道纵横信息科技有限责任公司,” 2021, View the Website.

Indicates awareness of gender differences. It applies to a policy, program, project, or activity that seeks to address the effects of gender norms, roles, and relations. 

Adapted from Global Partnership for Education and United Nations Girls’ Education Initiative, "Guidance for Developing Gender-Responsive Education Sector Plans," 2017, View the PDF; European Institute for Gender Equality (EIGE), "gender-sensitive," accessed in 2022, View the Website; United Nations International Children's Emergency Fund (UNICEF) Regional Office for South Asia, "Gender Equality: Glossary of Terms and Concepts," 2017, View the PDF.

Encompasses the institutions, policies, norms, procedures, and initiatives that governments and their citizens use to bring more predictability, stability, and order to their responses to transnational challenges.

Adapted from United Nations (UN), "Global Governance and Global rules for Development in the Post-2015 Era," 2014, View the PDF.

The exercise of professional skill, diligence, prudence, and foresight that would reasonably be expected from skilled and experienced professionals engaged in the same type of undertaking under the same or similar circumstances globally or regionally. The outcome of such exercise should be that the project employs the most appropriate practices and technologies in project-specific circumstances.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Enhancing AIIB's Accountability: The Project-Affected People's Mechanism," 2018, View the PDF.

A legal or non-legal (or judicial/non-judicial) procedure that offers a formalized means for stakeholders — such as individuals, workers, communities, and civil society organizations (CSOs)/nongovernmental organizations (NGOs) — that have been negatively affected by a project to raise queries/concerns/complaints, engage in dialogue and negotiation, and seek a remedy for these adverse impacts. 

These mechanisms may use adjudicative, dialogue-based, or other processes that are culturally appropriate and rights-compatible. According to the United Nations (UN), for a grievance mechanism to be effective, it should be legitimate, accessible, predictable, equitable, transparent, rights-compatible, and a source of continuous learning. See Establishment and Maintenance of a Grievance Mechanism for more information.

Adapted from Centre for Research on Multinational Corporations (SOMO), "What are Grievance Mechanisms?," accessed in 2022, View the Website; Mariëtte van Huijstee, Victor Ricco, and Laura Ceresna-Chaturvedi, "How to use the UN Guiding Principles on Business and Human Rights in company research and advocacy: A guide for civil society organisations," Stichting Onderzoek Multinationale Ondernemingen, SOMO, and Cividep India, 2012, View the PDF.

An instrument for identifying, analyzing, and controlling hazards associated with the presence of dangerous materials and conditions at a project site. Financiers may require a hazard assessment for projects involving certain inflammable, explosive, reactive, and toxic materials when they are present at a site in quantities above a specified threshold level. For certain projects, the environmental and social impact assessment (ESIA) report may consist of the hazard assessment alone. In other cases, this assessment is part of the ESIA documentation.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

The assessment and management of H&S risks to and impacts on workers and affected people, as well as the provision of a safe and healthy working environment during the project implementation and project operations phases.

The Chinese Government’s newer emphasis on prioritizing the quality of development and providing people with better lives. As part of its transition from seeking rapid growth, the Chinese Government asserts that it is now committed to people-centered progress, as well as innovative, coordinated, green, open, and inclusive development. 

Adapted from The State Council Information Office of The People's Republic of China, "Xi Jinping on China's high-quality development," 2021, View the Website.

Rights inherent to all human beings, regardless of ability, age, ethnicity, gender, nationality, religion, socio-economic status, or other identity. They include, but are not limited to, the rights to life, food and nutrition, water and sanitation, housing, health, education, work, and liberty. Everyone is entitled to these rights, without discrimination. Enshrined in the “Universal Declaration of Human Rights (UDHR),” the “International Covenant for Civil and Political Rights (ICCPR),” the “International Covenant for Economic, Social and Cultural Rights (ICESCR),” and other international human rights instruments, these rights are inalienable, indivisible, and interdependent. Since every country has ratified at least one of the nine core human rights treaties, governments are obligated to respect, protect, and fulfill human rights. 

The nine core human rights treaties, as well as the optional protocols, can be found here.

Adapted from United Nations Office of the High Commissioner for Human Rights (OHCHR), "What are human rights?," accessed in 2022, View the Website.

People who individually or in association with others act to promote or protect human rights peacefully.

Adapted from United Nations Human Rights Office of the High Commissioner (OHCHR), "Special Rapporteur on human rights defenders," accessed in 2022, View the Website.

A project schedule that outlines specific actions and responsibilities to be carried out within predetermined time frames during project implementation and operations. 

An environmental or social impact that is caused by the project and is later in time or farther removed in distance than a direct impact but is still reasonably foreseeable. It does not include induced impacts.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

The empowering of people to participate in, and benefit from, the development process in a manner consistent with local conditions. Inclusion encompasses policies to promote equality of opportunity and nondiscrimination by improving the access of poor and disadvantaged people to education, health, social protection, housing, environmental quality, infrastructure, affordable energy, water and sanitation, employment, financial services, and productive assets. It also embraces actions to remove barriers against vulnerable groups that are often excluded from the development process, so that their voices can be heard.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

Requires addressing the deep-rooted marginalization and discrimination suffered by vulnerable groups. The groups vary between contexts but typically include women; people with disabilities; Indigenous peoples; ethnic, linguistic, and religious minorities; refugees; and displaced populations. Before embarking on a project, developers can take a deliberate and thoughtful approach to not only assess and prevent potential risks and adverse impacts but also to ensure that vulnerable groups benefit from development projects.

Adapted from SynTao and China International Contractors Association (CHINCA), “Community Engagement Handbook for Chinese International Contractors (2021 Edition)-北京商道纵横信息科技有限责任公司,” 2021, View the Website.

The term (although not defined in the "United Nations Declaration on the Rights of Indigenous Peoples (UNDRIP)") used in this toolkit in a generic sense to refer to a distinct social and cultural group possessing the following characteristics in varying degrees: self-identification as members of a distinct Indigenous group and recognition of this identity by others; collective attachment to geographically distinct habitats or ancestral territories in project areas of influence and to the natural resources in these habitats and territories; customary cultural, economic, social, or political institutions that are separate from those of the mainstream society or culture; distinct language or dialect, often different from the official language or languages of the country or region in which they reside; and a resolve to maintain and reproduce their ancestral environments and systems as distinctive peoples and communities. 

Since Indigenous peoples may have distinct community systems or structures, companies may need to adopt separate approaches for informing and consulting these communities. Indigenous peoples may face different risks — and to different degrees — including the loss of communal identity, culture, traditional lands, and livelihoods dependent on natural resources. 

Host countries may use different terms, such as “ethnic groups” and “tribes,” to refer to Indigenous peoples. These countries may also have special legal, statutory, and/or regulatory requirements for engagement with Indigenous peoples. 

Adapted from Equator Principles Association (EPA), "The Equator Principles 4," 2020, View the PDF; SynTao and China International Contractors Association (CHINCA), “Community Engagement Handbook for Chinese International Contractors (2021 Edition)-北京商道纵横信息科技有限责任公司,” 2021, View the Website; United Nations (UN), "United Nations Permanent Forum on Indigenous Issues: Who are indigenous peoples?," accessed in 2022, View the PDF.

An instrument prepared for projects with impacts on and risks to Indigenous peoples. With the meaningful participation of affected Indigenous peoples, the IPP should describe the critical facts, significant findings, and recommended actions; summarize the project components or activities that may impact Indigenous peoples; describe the Indigenous communities and their lands, territories, and resources; elaborate on their connections to or relationships with those lands, territories, and resources; identify vulnerable groups within the affected communities; summarize their substantive rights and the applicable legal framework; discuss findings from the environmental and social impact assessment (ESIA); propose measures to mitigate adverse impacts, enhance social and economic benefits, and support Indigenous peoples’ organizations; summarize the results of the culturally appropriate consultation and Free, Prior and Informed Consent (FPIC) processes; describe the grievance mechanism; outline institutional arrangements and responsibilities; set out requirements for monitoring and reporting during the project implementation and operations phases; and include information about staff, funds, and other needed resources.

Adapted from United Nations Development Programme (UNDP), "Guidance Note, Social and Environmental Standards, Standard 6: Indigenous Peoples," 2020, View the PDF.

An environmental or social impact that is caused by the project and is later in time or farther removed in distance than a direct impact but is still reasonably foreseeable. It does not include induced impacts.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

An environmental or social impact on areas and communities from an unintended but predictable development caused by a project. It may occur after the project implementation phase is complete and/or at a different location. 

Adapted from Asian Development Bank (ADB), "Environment Safeguards: A Good Practice Sourcebook Draft Working Document," 2012, View the PDF.

Provide affected people, civil society organizations (CSOs)/nongovernmental organizations (NGOs), and other stakeholders with balanced and objective information about a project to assist them in understanding problems, alternatives, opportunities, and/or solutions.

Adapted from International Association for Public Participation (IAP2), "Spectrum of Public Participation," accessed in 2022, View the Website.

All communication technologies, including the internet, wireless networks, cell phones, computers, software, middleware, videoconferencing, social networking, and other media applications and services enabling users to access, retrieve, store, transmit, and manipulate information in a digital form.

Adapted from Food and Agriculture Organization (FAO) of the United Nations (UN), "Information and Communications Technologies (ICT)," accessed in 2022, View the Website.

Making information accessible to affected people and other stakeholders. See Transparent and In-Depth Information Sharing and Disclosure of Draft and Final Versions of Environmental and Social Impact Assessment (ESIA) and Environmental and Social Management Plan (ESMP) for more information about how it should be done. 

Adapted from International Finance Corporation (IFC), "Stakeholder Engagement: A Good Practice Handbook for Companies Doing Business in Emerging Markets," 2007, View the PDF.

A document that preliminarily assesses and describes impacts of a proposed project and offers potential mitigation measures. It is often produced through Project Screening and indicates the type of environmental and social impact assessment (ESIA) that may be needed for the project.

Adapted from Food and Agricultural Organization (FAO) of the United Nations (UN), “Chapter 3: EIA Process,” 1995, View the Website.

Project-related land acquisition or restrictions on land use may cause physical displacement, economic displacement, or both. Resettlement is considered involuntary when affected people or communities do not have the right to refuse land acquisition or restrictions on land use that result in displacement. For more information about involuntary resettlement, see Land Acquisition and Provision of Adequate Compensation, Resettlement, and Livelihood Restoration Support. 

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

Work directly with affected people, civil society organizations (CSOs)/nongovernmental organizations (NGOs), and other stakeholders throughout the project life cycle to ensure that their views and concerns are consistently understood, considered, and addressed in project plans. 

Adapted from International Association for Public Participation (IAP2), "Spectrum of Public Participation," accessed in 2022, View the Website.

A person who gathers, evaluates, writes about, presents, and/or publicizes the news and information related to proposed and ongoing projects. See Media for information about journalists’ possible roles and responsibilities in BRI projects.

A measure for contractors, developers, and financiers to track their progress toward an intended environmental and social result. These indicators can help companies gauge their performance against a set of targets, objectives, or industry peers.

Adapted from Investopedia, "Key Performance Indicator," 2022, View the Website.

The rapid migration to and settlement of workers and followers in project areas of influence when a project involves work for which the required labor force and associated goods and services cannot be fully supplied locally. In case of worker unavailability and a mismatch in technical skills or capacity, the labor force is brought in from outside project areas of influence. There is often an influx of additional people who follow the incoming workers, aim to sell them separate goods and services, or pursue other job or business opportunities.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

Legal rights and human rights relating to labor relations between workers and employers. See Local Employment and Protection of Labor Rights for more information about employment practices in BRI projects.

Adapted from United Nations Human Rights Office of the High Commissioner (OHCHR), "Labour rights," accessed in 2022, View the Website.

Refers to all methods of obtaining land for project purposes, which may include outright purchase; expropriation of property; and acquisition of access rights, such as easements or rights of way. Land acquisition​​​​​​​ may also include the acquisition of unoccupied or unutilized land whether or not the landholder relies upon such land for income or livelihood purposes, repossession of public land that is used or occupied by individuals or households, and project impacts that result in land being submerged or otherwise rendered unusable or inaccessible. Land includes anything growing on or permanently affixed to land, such as crops, bodies of water that are appurtenant to the land, buildings, and other improvements. See Land Acquisition for more information.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

A plan that sets out all resettlement arrangements and the measures for mitigating or compensating the impacts of resettlement. It reviews the legal framework; identifies adverse impacts resulting from resettlement; describes the process for land acquisition, as well as procurement and development of land for resettlement; includes a schedule for resettlement activities; discusses measures to provide compensation and restore people’s livelihoods in the new location; outlines institutional arrangements; and estimates staff, funds, and other needed resources. This plan should establish the basis for agreement​​​​​​​ among stakeholders. See Land Acquisition and Provision of Adequate Compensation, Resettlement, and Livelihood Restoration Support for more information about these plans.

Adapted from International Union for Conservation of Nature (IUCN), "Resettlement Action Plan (RAP)," 2018, View the PDF.

Evidence of an individual’s, a family’s, or a community’s rights to or ownership of land. In some host countries, it could come in the form of a physical certificate of ownership.

Adapted from IGI Global, "What is Land Title," accessed in 2022, View the Website.

The full range of means that people use to earn a living and provide for themselves and their families. Examples include, but are not limited to, wage-based income, agriculture, fishing, foraging, other natural resource-dependent livelihoods, petty trade, bartering, and running small businesses.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

A plan that addresses economic displacement of affected people. It describes the nature of displacement caused by the project; reviews applicable laws and policies; summarizes activities and findings from stakeholder consultation; presents the baseline socio-economic situation; proposes measures to compensate affected people and restore their livelihoods to pre-project levels or better; sets out monitoring and reporting requirements; outlines an implementation schedule; and estimates staff, funds, and other needed resources. It can be a stand-alone document or part of the environmental and social management plan (ESMP). See Provision of Adequate Compensation, Resettlement, and Livelihood Restoration Support for more information about this plan. 

Adapted from Inclusive Development International (IDI), "Community Guide to the Asian Infrastructure Investment Bank," 2020, View the PDF. 

The process of mitigating adverse impacts and enhancing benefits as a result of physical and/or economic displacement. Through livelihood restoration support, developers and contractors should work with the host country government to provide suitable options for affected people to maintain or improve their standard of living; ensure the affected people’s productive skills are applicable in the new location; offer capacity-building activities and training sessions to address gaps in skills; and foster an environment with diversified employment opportunities, including work on a BRI project.

Adapted from World Bank, "Resettlement, Livelihoods and Ethnic Minorities Development Program," 2011, View the PDF.

A process that begins early in the pre-project planning phase and is carried out on an ongoing basis throughout the project life cycle; provides timely disclosure of relevant and adequate information that is understandable and readily accessible to affected people; is undertaken in an atmosphere free of intimidation or coercion; is gender inclusive and responsive and tailored to the needs of vulnerable groups; and enables the incorporation of all relevant views of affected people and other stakeholders into decision-making, such as project design, mitigation measures, the sharing of development benefits and opportunities, and implementation issues. 

Adapted from Asian Infrastructure Investment Bank (AIIB), "Enhancing AIIB's Accountability: The Project-Affected People's Mechanism," 2018, View the PDF; Asian Development Bank (ADB), "Safeguard Policy Statement," 2009, View the PDF.

See Media for information about their possible roles and responsibilities in BRI projects.

A person trained to facilitate discussions between the two sides involved in a dispute and help them try to reach an agreement. Mediators must be neutral, meaning that they act fairly and do not favor any party to the negotiations.

Adapted from Inclusive Development International (IDI), "Community Guide to the Asian Infrastructure Investment Bank," 2020, View the PDF. 

People who have migrated from China, another country, or another part of the host country to work on a project.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

Groups of people who constitute less than half of the population in the host country. Members of these groups share common characteristics of culture, religion, or language or a combination of any of these. A person can freely belong to an ethnic, religious, or linguistic minority without any requirement of citizenship, residence, official recognition, or any other status. A common reference point for the international community regarding the rights of these minorities is the "United Nations Declaration on the Rights of Persons Belonging to National or Ethnic, Religious and Linguistic Minorities."

Adapted from United Nations Office of the High Commissioner for Human Rights (OHCHR), "Concept of a minority: mandate definition," accessed in 2022, View the Website.

A tool commonly applied in environmental and social impact assessment (ESIA) that provides a step-by-step approach to addressing risks and impacts as follows: anticipate and avoid risks and impacts; where avoidance is not possible, minimize or reduce risks and impacts to acceptable levels; once risks and impacts have been minimized or reduced, mitigate; and where residual risks or impacts remain, compensate for or offset them, where technically and financially feasible.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

A core idea of the Chinese Government. In contrast to the previous emphasis on rapid growth, it prioritizes the development of people over things.

Adapted from Baidu, "中国共产党第十六届中央委员会第三次全体会议 (The Third Plenary Session of the 16th Central Committee of the Communist Party of China)," accessed in 2022, View the Website.

Applies to people with long-term physical, mental, intellectual, or sensory impairments that, in interaction with various attitudinal and environmental barriers, hinder their full and effective participation in society on an equal basis with others.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

A formal written protest or request signed or thumb-printed by a group of people. Affected people can work together or with civil society organizations (CSOs)/nongovernmental organizations (NGOs) and other stakeholders to ask for certain actions or changes from a contractor, developer, financier, and/or host country government.

Adapted from Bridges Across Borders, "A Cambodian Guide to Defending Land and Housing Rights Vol 1 - Part 3," 2009, View the PDF.

Relocation, loss of residential land, or loss of shelter as a result of involuntary acquisition of land or involuntary restrictions on land use or on access to legally designated parks and protected areas. If it is absolutely necessary for the development of a project, the host country government, developers, and contractors must give adequate advance notice; provide meaningful opportunities to lodge grievances and appeals; avoid the use of unnecessary, disproportionate, or excessive force; and compensate for the adverse impacts on individuals, families, and/or communities. For more information about physical displacement, see Land Acquisition and Provision of Adequate Compensation, Resettlement, and Livelihood Restoration Support. 

Adapted from Asian Development Bank (ADB), "Safeguard Policy Statement," 2009, View the PDF.

A proposed action to prevent an accident, incident, or emergency from recurring during the project implementation and project operations phases. See Preparation and Implementation of Environmental and Social Action Plan (ESAP) for more information about how corrective actions are planned, approved, implemented, and monitored.

People who are employed or engaged by the developer's primary suppliers of materials or goods for a project on an ongoing basis.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

The area likely to be affected by a proposed project, including its ancillary aspects, such as power transmission corridors, pipelines, canals, tunnels, relocation and access roads, borrow and disposal areas, and construction camps, as well as by unplanned developments induced by the project, such as spontaneous settlement, logging, or shifting agriculture along access roads. For a larger and more complex infrastructure project, this area of influence may include people, land, and bodies of water that are in proximity to or even far from the proposed project sites. For example, the area of influence may include the watershed within which the project is located; any affected estuary and coastal zone; off-site areas required for resettlement or compensatory tracts; the airshed (e.g., where airborne pollution such as smoke or dust may enter or leave the area); migratory routes of humans, wildlife, or fish, particularly where they relate to public health, economic activities, or environmental conservation; and areas used for livelihood activities (e.g., hunting, fishing, grazing, gathering, and agriculture) or religious or ceremonial purposes of a customary nature.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Enhancing AIIB's Accountability: The Project-Affected People's Mechanism," 2018, View the PDF; World Bank, “Ext Opmanual - OP 4.01, Annex A - Definitions,” 1999, View the Website.

A system, procedure, or process set up by a developer or contractor at the project level to address stakeholders’ queries/concerns/complaints throughout the life cycle of an infrastructure project. See Establishment and Maintenance of a Grievance Mechanism for more information.

The process for tracking progress on implementation of and compliance with the environmental and social management plan (ESMP). Information about environmental and social performance should be disclosed online and in other public forums. See Project Monitoring and Reporting for more information about this process.

The process of collecting baseline data and determining the most critical issues to further examine in the environmental and social impact assessment (ESIA). Affected people and other stakeholders should be engaged in this step. See Project Scoping for more information about this process.

The process of deciding the type of environmental and social impact assessment (ESIA) that would be required for a project. Financiers and host country governments have their own criteria for screening proposed projects. See Project Screening for more information about this process.

People employed or engaged directly by the developer, people employed or engaged through contractors and subcontractors to perform work related to core functions of the project, people employed or engaged by the developer's and/or contractor's primary suppliers, and people employed or engaged in providing community labor. Project workers may reside in project areas of influence, move from another part of the host country, come from China, or migrate from other countries. These workers may operate on a full-time, part-time, temporary, or seasonal basis. 

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

Ensures that an assessment or other activity is appropriate for the nature and scale of a project and reasonably reflects the degree of potential environmental and social risks and impacts.

A request for clarification on a matter related to a project, host country government authorities, financiers, developers, and/or contractors. It should be lodged through a grievance mechanism.

An instrument that examines environmental and social risks and impacts associated with a particular strategy, policy, plan, or program, or with a series of projects for a particular region (e.g., an urban area, a watershed, or a coastal zone); evaluates and compares the impacts against those of alternative options; assesses legal and institutional aspects relevant to the risks and impacts; and recommends broad measures to strengthen environmental and social management in the region. Regional assessments pay particular attention to potential cumulative impacts of multiple activities or projects but may not include the site-specific analyses of a specific project. In these cases, environmental and social impact assessment (ESIA) consultants should develop supplemental information.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

A new place to live for people who are physically and/or economically displaced by a project. These sites should ensure security of tenure; be affordable, safe, and habitable; provide access to water, sanitation, health care, livelihood opportunities, education, and other important services; fulfill the needs of vulnerable groups; and respect cultural identities and needs. The presence of the project should raise — or at least maintain — the living standards of affected people.

Adapted from Bridges Across Borders, "A Cambodian Guide to Defending Land and Housing Rights Vol 1 - Part 1," 2009, View the PDF.

The process of moving an individual, a family, a community, or another social group to a different place.

An adverse environmental or social impact that remains after the application of mitigation measures.

Adapted from Asian Development Bank (ADB), "Environment Safeguards: A Good Practice Sourcebook Draft Working Document," 2012, View the PDF; SOAS, "Unit 1: Introduction to Environmental Impact Assessment (EIA)," accessed in 2022, View the Website.

Any detrimental act — direct or indirect — recommended, threatened, or taken against an individual, family, community, or social group. For example, a complainant could face retaliation for submitting a query/concern/complaint to a grievance mechanism. In this case, retaliation could include, but would not be limited to, harassment, discriminatory treatment, or the withholding of an entitlement intended to silence or prevent the complainant from either filing a submission or taking any further action through the grievance mechanism.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Enhancing AIIB's Accountability: The Project-Affected People's Mechanism," 2018, View the PDF.

An instrument for estimating the probability of harm occurring from the presence of dangerous conditions or materials at a project site. Risk represents the likelihood and significance of a potential hazard being realized; therefore, a hazard assessment often precedes a risk assessment, or the two are conducted as one exercise. The risk assessment is a flexible method of analysis, a systematic approach to organizing and analyzing scientific information about potentially hazardous activities or about substances that might pose risks under specified conditions. Financiers may require risk assessments for projects involving handling, storage, or disposal of hazardous materials and waste, the construction of dams, or major construction works in locations vulnerable to seismic activity or other potentially damaging natural events. For certain projects, the environmental and social impact assessment (ESIA) report may consist of the risk assessment alone. In other cases, this assessment is part of the ESIA documentation.

Adapted from World Bank, “Operational Manual - OP 4.01 -- Annex A,” 1999, View the Website; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

An initial assessment to determine the potential scope of a project’s environmental and social impacts. It should be undertaken during Project Scoping and should provide a solid foundation before preparing and implementing the more in-depth environmental and social impact assessment (ESIA). 

An instrument that examines environmental issues and impacts associated with a particular strategy, policy, plan, or program or with a series of projects for a specific sector (e.g., power, transport, or agriculture) in a region or across a host country; evaluates and compares the impacts against those of alternative options; assesses legal and institutional aspects relevant to the issues and impacts; and recommends broad measures to strengthen environmental and social management in the sector. Sectoral assessments pay particular attention to potential cumulative impacts of multiple activities. A sectoral ESIA may need to be supplemented with project- and site-specific information.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

Land that (resettled) individuals, families, or communities can legally occupy, where they are protected from the risk of eviction and where the tenure rights provided to them are socially and culturally appropriate. In no event will resettled people be provided tenure rights that are in effect weaker than the rights they had to the land or assets from which they have been displaced. 

Women, youth, and other vulnerable groups with customary or subsidiary land rights tend to have weaker security of tenure.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; World Bank, "Land & Conflict: Thematic Guidance Note 03 Protecting and Strengthening the Land Tenure of Vulnerable Groups," accessed in 2022, View the PDF.

Sexual exploitation refers to any actual or attempted abuse of someone’s position of vulnerability, differential power, or trust to obtain sexual favors, including but not only, by offering social, economic, or political advantages. Examples include trafficking and prostitution. 

Sexual abuse refers to the actual or threatened physical intrusion of a sexual nature, whether by force or under unequal or coercive conditions. Examples include sexual slavery and sexual assault. 

SEA may be experienced by project beneficiaries, workers, or affected people.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF; United Nations High Commissioner for Refugees (UNHCR), "What is Sexual Exploitation, Abuse and Harassment?," accessed in 2022, View the Website.

Includes unwelcome sexual advances, requests for sexual favors, and other unwanted verbal or physical conduct of a sexual nature. It can occur between staff working on a project or between staff and project beneficiaries or community members.

Adapted from Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

An instrument that assesses the degree to which a project may exacerbate existing tensions and inequality within society (both within the communities affected by the project and between these communities and others); may have an adverse effect on stability and human security; and may be adversely affected by existing tensions, conflict, and instability, particularly in circumstances of war, insurrection, and civil unrest.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

An instrument that assesses all of a project’s impacts — both positive and negative — on local communities, particularly Indigenous peoples, minorities, women, the elderly, youth, people with disabilities, and other vulnerable groups, within the project area of influence. Environmental and social impact assessment (ESIA) consultants should conduct the assessment in a transparent, inclusive, gender-sensitive, and culturally appropriate manner. Collecting social, economic, and cultural data through direct stakeholder outreach and consultation, as well as through surveys and censuses, will allow ESIA consultants to identify potentially affected people; determine the scope of the project’s impacts on individuals, families, communities, or other social groups; and devise possible alternatives and/or mitigation measures.

The consent, acceptance, or permission by a local community for a company and its projects to continue to operate. The acquisition of social licenses is dynamic, as stakeholders’ perceptions may be influenced by various factors over time.

Adapted from SynTao and China International Contractors Association (CHINCA), “Community Engagement Handbook for Chinese International Contractors (2021 Edition)-北京商道纵横信息科技有限责任公司,” 2021, View the Website.

Development that incorporates public concerns into social policy and economic initiatives. It aims to bring about sustained improvement in the well-being of individuals, families, communities, and society at large.

Adapted from Hakikur Rahman, "Network Deployment for Social Benefits in Developing Countries," 2009, View the Website.

An inclusive process conducted throughout the project life cycle. Where properly designed and implemented, it supports the development of strong, constructive, and responsive relationships that are important for successful management of a project’s environmental and social risks and impacts. It is most effective when initiated early on in the pre-project planning phase and remains an integral part of project decisions and the assessment, management, and monitoring of the project’s risks and impacts.

Adapted from World Bank, "Guidance for Borrowers, ESS10: Stakeholder Engagement and Information Disclosure," 2018, View the PDF.

A document that determines stakeholders that could be affected by and/or should be involved in a project; identifies their groupings and sub-groupings, as well as their (potential) influence and interest in the project; and outlines plans to engage these individuals, groups, or organizations. Though this document may be developed during Project Scoping, it should be updated with more information about the project’s stakeholders throughout the project life cycle.

Individuals, groups, or organizations that are influenced by and/or could have an impact on pre-project planning, project implementation, and project operations. Their participation in and/or connection to a project may be direct or indirect. See Stakeholders for more information about actors that could be involved in BRI projects.

A systematic examination of environmental and social risks and impacts associated with a policy, plan, or program, typically at the national level but also at the subnational level. The examination of environmental and social risks and impacts will include consideration of the full range of environmental and social risks and impacts. SESAs are typically not location-specific. They are, therefore, prepared in conjunction with project- and site-specific studies that assess the risks and impacts of a project.

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF.

The rights of individuals who make use of land and/or its resources, without clear ownership. As subsidiary rights tend to be open-ended, people may lose their land rights during negotiations or land acquisition for a project. When the host country government, financiers, developers, and/or contractors do not legally recognize subsidiary rights, affected people may face difficulties in defending their land and receiving adequate compensation, resettlement, and livelihood restoration support. However, these rights can be recognized and formalized through official documentation, village land-use plans, community by-laws, and other means.

Communities or families may have subsidiary rights if they gather wild food and medicinal plants, collect wood, hunt, or fish. Individuals or families may lease land to use for a finite period and under certain conditions, such as for crop production and pastoral grazing. In some host countries, men, who are more likely to be registered landowners, may have a wide range of discretionary rights over land, while women and youth, who work on the land for little to no remuneration, may only have subsidiary status.

Adapted from The National Land Use Planning Commission, "Guidelines for Participatory Village Land Use Management in Tanzania," 1998, View the PDF; Mary Njeri Thiong’o and Sunday Baba, "Access to Land and Youths Participation in Agribusiness in Africa: a case of Sudan," 2019, View the PDF; World Bank, "Land & Conflict, Thematic Guidance Note 03: Protecting and Strengthening the Land Tenure of Vulnerable Groups," accessed in 2022, View the PDF; Carol W. Dickerman et al., "Security of Tenure and Land Registration in Africa: Literature Review and Synthesis," 1989, View the PDF; Mhd Ekbal Anak, "Housing, Land and Property Rights for Syrian Women in Contexts of Internal Displacement: Challenges and Opportunities," 2021, View the Website.

A paradigm for thinking about the future in which environmental, societal, and economic considerations are balanced in the pursuit of an improved quality of life.

The Chinese Government conceives of sustainability as harmony between society and the environment that drives economic, environmental, and social outcomes; involves green development; and benefits both present and future generations.

Adapted from United Nations Education, Scientific, and Cultural Organization (UNESCO), “Education for Sustainable Development | UNESCO,” accessed in 2022, View the Website; Chen Liu et al., “A Chinese Route to Sustainability: Postsocialist Transitions and the Construction of Ecological Civilization,” Sustainable Development 26, no. 6 (2018): 741–48.

Development that meets the needs of the present without compromising the ability of future generations to meet their own needs. It refers to the many processes and pathways to achieve sustainability. It has four intertwined dimensions: society, environment, culture, and economy — which are interrelated, not separate. 

Adapted from United Nations Education, Scientific, and Cultural Organization (UNESCO), “Education for Sustainable Development | UNESCO,” accessed in 2022, View the Website.

Adopted by the United Nations (UN) in 2015 as a universal call to action to end poverty, protect the planet, and ensure that by 2030 all people enjoy peace and prosperity. The 17 goals, which can be found here, cover three dimensions of sustainability: social, economic, and environmental.

Adapted from United Nations Development Programme (UNDP), “Sustainable Development Goals | United Nations Development Programme,” 2016, View the Website.

A document that defines all aspects of how the environmental and social impact assessment (ESIA) consultant will prepare and implement the ESIA. As part of Project Scoping, it generally summarizes the main features of a project, lists requirements, establishes the main impacts and risks to be covered by the assessment, proposes tools and methods for the assessment, offers preliminary alternatives, specifies the types of stakeholder consultations to be conducted, and outlines the budget and schedule for preparation of the ESIA and environmental and social management plan (ESMP). 

Adapted from International Union for Conservation of Nature (IUCN), "Environmental & Social Management System (ESMS)," 2016, View the PDF; International Union for Conservation of Nature (IUCN), "Environmental and Social Impact Assessment," 2020, View the PDF.

An environmental or social impact that extends to multiple countries, beyond the host country of a project. It includes regional impacts but excludes impacts that are global in nature.

Adapted from Asian Development Bank (ADB), "Environment Safeguards: A Good Practice Sourcebook Draft Working Document," 2012, View the PDF.

Support to help people move to and settle down in a new location and/or restore their livelihoods following physical and/or economic displacement. Financiers, developers, contractors, subcontractors, and the host country government should be mindful of additional support that is gender-sensitive and culturally appropriate for vulnerable groups. 

Adapted from Inclusive Development International (IDI), "Community Guide to the Asian Infrastructure Investment Bank," 2020, View the PDF. 

An environment in which accurate, truthful, and complete information — about a proposed project, stakeholder engagement, environmental and social impact assessment (ESIA), accountability, and decision-making — is provided to affected people, civil society organizations (CSOs)/nongovernmental organizations (NGOs), researchers/experts, and other stakeholders in a regular, inclusive, gender-sensitive, and culturally appropriate manner and location throughout the project life cycle. Such information should be conveyed in a form that would be understandable and accessible to all stakeholders.

Adapted from International Monetary Fund (IMF), "Code of Good Practices on Transparency in Monetary and Financial Policies, Part 1—Introduction," 2000, View the Website; Global Witness, "Transparency and the right to information," accessed in 2022, View the Website.

Applies to those who, by virtue of factors beyond their control, may be more likely to be adversely affected by a project and/or may be more limited than others in their ability to take advantage of the project’s benefits. These individuals or groups are also more likely to be excluded from or unable to participate fully in the mainstream stakeholder consultation process, so they may require specific measures and/or assistance to ensure their views are taken into consideration. Examples of these groups include, but are not limited to, women; the elderly; children and youth; people with disabilities; Indigenous peoples; ethnic, linguistic, and religious minorities; refugees; and displaced populations. 

Adapted from World Bank, "World Bank Environmental and Social Framework," Washington, DC, 2016, View the PDF; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021, View the PDF.

A core concept of the Chinese Government. While recognizing diverse paths of development across host countries, it prioritizes “mutually beneficial” cooperation on the basis of shared or common interests.

Adapted from Marina Rudyak, "Cooperation," Decoding China, accessed in 2022, View the Website.