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Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes

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Urban Financing and Innovation Project

Environmental and Social Management

Framework（ESMF）

Appendixes

Shanghai Green Urban Financing and Services Co., Ltd.

January 2019

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CONTENTS

APPENDIX E1: ENVIRONMENTAL SAFEGUARDS SCREENING CHECKLIST (TWO-SIDED) .................. 3

APPENDIX E2A: TYPICAL GENERAL ENVIRONMENTAL MANAGEMENT PLAN EXAMPLES ............... 5

APPENDIX E2B: SUGGESTED LABOR MANAGEMENT PROCEDURES TEMPLATE ............................... 12

APPENDIX E3: NEGATIVE LIST OF INVESTMENT PROJECTS NOT SUPPORTED BY FSC .................... 14

APPENDIX E4: OUTLINES OF ENVIRONMENTAL IMPACT ASSESSMENT (EIA) REPORT AND

PHYSICAL CULTURE RESOURCE MANAGEMENT PLAN (PCRMP) .......................................................... 16

APPENDIX E5: STAKEHOLDER CONSULTATION QUESTIONNAIRE FOR ESMF ................................... 18

APPENDIX E6: TERMS OF REFERENCE FOR ENVIRONMENTAL CONSULTANCY IN URBAN

FINANCING AND INNOVATION PROJECT ................................................................................................... 23

APPENDIX E7: POTENTIAL GREEN IMPACT CRITERIA ............................................................................... 26

APPENDIX S1: SCREENING OF POTENTIAL SOCIAL SAFEGUARD ISSUES ............................................ 27

APPENDIX S2: OUTLINE OF THE RAP ............................................................................................................ 29

APPENDIX S3: KEY POINTS OF THE EMDP ................................................................................................... 33

APPENDIX S4: SAP (INCLUDING THE GAP) .................................................................................................. 34

APPENDIX S5: LEGAL FRAMEWORK FOR RAP IMPLEMENTATION ........................................................ 35

APPENDIX S6: SAMPLE ENTITLEMENT MATRIX ......................................................................................... 37

APPENDIX S7: ETHNIC MINORITY POLICY FRAMEWORK ........................................................................ 39

APPENDIX S8: TERMS OF REFERENCE FOR SOCIAL CONSULTANCY IN URBAN FINANCING AND

INNOVATION PROJECT ..................................................................................................................................... 41


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Appendix E1: Environmental Safeguards Screening Checklist (Two-sided) This checklist is developed for FSC’s World Bank business department to review potential environmental safeguard issues associated with the sub-project. It will

be used as tool to determine whether any World Bank’s safeguard policies can be triggered when the sub-project starts.

Sub-project name

Source of financing

Location of sub-project

Sub-project owner

Type of sub-project and department

Estimated investment

Planned start and completion of the sub-project

Description of Issues

Findings If yes, the World Bank’s

policies below are

triggered:

If yes, provide additional documents

specified below Yes No Unknown Remarks

Are there any potential significant adverse environmental

impacts associated with the sub-project; and if yes, are the

impacts considered sensitive, multiple and unprecedented?

Please briefly describe:

OP 4.01/Environmental

assessment (Category A

Project)

EIA report and Environmental

Management Plan (EMP)

Is there any likelihood that the impacts are beyond the site

boundary, or the impacts occurring during project

implementation are beyond the planning area? Are such

significant adverse environmental impacts considered

irreversible? Please briefly describe:



Project)

EIA report and EMP

Is it likely that the sub-project has minimal or no adverse

impacts on the environment? Please briefly describe:


assessment (Category C

Project)

No safeguard documents is required

Based on the definitions above, the sub-project belongs to

neither Category A nor Category B. Please briefly describe:


assessment (Category B

Project)

Simplified EIA report and/or EMP

Are there any potential significant adverse social impacts

associated with the sub-project; and if yes, are the impacts

considered sensitive, multiple and unprecedented? Please

briefly describe:



Project)

EIA report and EMP

Is it likely that physical cultural resources can be damaged by the sub-project? Please briefly describe:

OP 4.11/Physical

cultural resources EIA report and EMP

Does the sub-project involve any significant change or

degradation to the critical natural habitats?

OP 4.04/Natural habitats

Such sub-projects will not be

financed by FSC


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Description of Issues

Findings If yes, the World Bank’s

policies below are

triggered:

If yes, provide additional documents

specified below Yes No Unknown Remarks

Does the sub-project involve any change or degradation to

the non-critical natural habitats? Please briefly describe:

OP 4.04/Natural habitats

Additional subject assessment

chapters in the EIA report.

Mitigation measures will be included

in the sub-project specific EMP

Does the sub-project likely cause any significant impacts on,

or significant change or degradation to the key natural forests

or other natural habitats?

OP4.36/Forestry Such sub-projects will not be

financed by FSC

Does the sub-project involve any new dam or modification

of the existing dam

OP4.37/Dam

Additional subject assessment

chapters in the EIA report.

Mitigation measures will be included

in the sub-project specific EMP

Conclusions and safeguard actions.

Based upon the World Bank’s policy OP 4.01, this sub-project is classified as Category and the safeguard actions specified below should be made:

1. _______________________________________________________________________

2. _______________________________________________________________________

3. _______________________________________________________________________

4. _______________________________________________________________________ Note:

Neither environmental management plan nor mitigation actions are required for the sub-project under Category C.

For the sub-project under Category B, the general environmental management plan attached to this framework can be referred; and where necessary, a specific supplementary

environmental management plan is to be used.

A standalone EIA report and an environmental management plan are required for the sub-project under Category A.

If the sub-project involves land expropriation and immigration, the documents prepared according to the immigration and resettlement policy framework should be required.

Signature of personnel who have screened and reviewed

Environmental Manager of the sub-project implementer:

Name： ______________________________________Title and Date： ______________________________________

Director of the sub-project implementer:

Name： ______________________________________ Title and Date： ______________________________________

Note: This checklist and one of its photocopies will be kept by the project management office (PMO); another photocopy is to be submitted to the World

Bank, and where necessary, the third photocopy should be lodged with the local government.


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Appendix E2a: Typical General Environmental Management Plan Examples 1. General Environmental Management Plan Pertaining to Water Resources, Protection of Water Quality and Sustainable Use of Water

Stage of the

project

Main

activities

Primary

impacts Mitigation and Control Measures

Performed

by

Supervised

by

Monitored

by

Construction

Construction,

cleaning and

transportation

Water

pollutants

1. A drainage system will be installed prior to construction.

Wastewater generated will be discharged into the sewage system

after pre-treatment, and ultimately into the wastewater treatment

plant. Direct discharge of wastewater into the environment is

prohibited.

2. No cleaning of the machines or vehicles at the construction sites.

The equipment and vehicles should be covered when it rains.

3. Leak prevention and adsorption supplies will be provided to

protect groundwater quality.

Sub-project

implementer

FSC/

WB

(spot

check)

Third party

environmental

supervision or

monitoring

institutions/Local

Environmental

Protection

Bureau

Atmospheric

emissions

1. The site will be watered at regular intervals to stay wet. The trucks

should not be overloaded and they should be covered in canvas to

prevent mud dropping down.

2. Uncovered storage of materials should be avoided where elevated

dust can occur.

Noise

1. Transportation, digging and piling activities will be undertaken.

Noise barriers will be set up at the site boundaries.

2. Construction schedules should be optimized.

Solid waste

1. Earthwork cut and fill should be balanced and unused earth and

stones should be land-filled on-site.

2. A temporary enclosed waste station will be established for

collecting construction garbage, which will be transported off site

and disposed by relevant organizations.

Ecological

degradation

1. The land and plantation will be protected during the construction.

2. Earthwork is forbidden in the rainy season to prevent soil erosion.

Operation

Wastewater

discharge,

odor and

waste

Water

pollutants

Enhancing source control; improving operations of wastewater

treatment plant, recycling wastewater and sterilizing it; compliance

discharge.

Sub-project

implementer

FSC/

WB

(spot

check)

Third party

environmental

supervision or

monitoring

institutions/Local

Environmental

Protection

Bureau

Solid waste

Domestic waste will be transported off-site by municipal sanitary

department. Sludge from the wastewater treatment plant will be

provided with biochemical treatment.

Atmospheric

emissions and

greenhouse gas

(GHG)

1.Regular inspection of the ducts, segregation grids and oil separator

tanks to prevent odors arising from the clogged pipes or equipment.

2.Relevant mitigation and prevention and control measures will be

undertaken to manage Atmospheric emissions/tail gas.


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Stage of the

project

Main

activities

Primary


Performed

by

Supervised

by

Monitored

by

NOTE: The management of workers shall follow the relevant contents of the International Financial Organizations and the Chinese Labor Law and regulations, and the

workers' management plan shall be drawn up at the same time.


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2. General Environmental Management Plan Pertaining to Waste Management Stage of the

development

project

Main

activities

undertaken

Primary


Performed

by

Supervised

by

Monitored

by

Construction

Digging,

water use for

domestic and

cleaning

purpose and

transportation

Water

pollutants

1. Wastewater should be collected and discharged into the drainage

system on a routine basis. Temporary sand sedimentation tanks

can be installed to treat sludge washing wastewater.

2. No cleaning of the machines or vehicles at the construction sites.

The equipment and vehicles should be covered when it rains.



Sub-project

implementer

FSC/

WB

(spot check)

Third party

environmental

supervision or

monitoring

institutions/Local

Environmental

Protection Bureau

Atmospheric

emissions

1. The site will be watered at regular intervals to stay wet. The

trucks should not be over loaded and they should be covered in

canvas to prevent mud dropping down.

2. Uncovered storage of materials should be avoided where elevated

dust can occur.

Noise

1. Transportation, digging and piling activities will be undertaken

during the daytime. Noise barriers will be set up at the site

boundaries.

2. Low-noise equipment is to be adopted. Construction should not

take place in the noise sensitive areas.

Solid waste

1. Earthwork cut and fill should be balanced. Unused earth and

stones should be land-filled on-site, where, in the meanwhile,

greening/planting activities are undertaken.


collecting construction garbage, which will be transported off site

and disposed by relevant organizations.

Ecological

degradation

1. Protection of ecological environment should be considered in

project designs.

2. Earthwork should not be undertaken in the rainy season to

prevent soil erosion. Stepping method is to be adopted in use of

the landfills.

3. Temporary protection measures such as use of straw bales and

digging drainage ditch are to be adopted.

Operation

Dismantling

and recycling, landfill and

incineration

Water pollutants

Enhancing source control; cleaning wastewater, domestic wastewater,

waste washing liquids, cooling tower wastewater and garbage leachate being discharged into the municipal wastewater treatment plan; and

compliance discharge.

Sub-project implementer

FSC/

WB

(spot check)

Third party

environmental supervision or

monitoring


8

Stage of the

development

project

Main

activities

undertaken

Primary


Performed

by

Supervised

by

Monitored

by

Solid waste

Domestic waste will be disposed on a daily basis. The leachate will be

refilled into the landfills via sprinkler. Moveable grids are to be set up

on the boundaries to prevent from waste spreading off the site.

institutions/Local

Environmental

Protection Bureau

Ecological

impacts

Strengthening ecological remediation after the site is closed, with full

coverage of plants.

Atmospheric

emissions

and GHG

1.Provide site watering and temporary cover of waste/slag storage

areas.

2.Gas generated in landfills will be ducted and combusted prior to

being emitted to air, or alternatively, emitted to the ambient air

directly.

3.Relevant Atmospheric emissions/tail gas treatment technologies will

be adopted to reduce air pollutants (e.g. sulfur dioxide, nitrogen oxide

and dioxin etc).




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3. General Environmental Management Plan Pertaining to Remediation Stage of the

development

project

Main

activities

undertaken

Primary


Performed

by

Supervised

by

Monitored

by

Construction

Digging,

water use for

domestic and

cleaning

purpose and

transportation

Water

pollutants

1. Wastewater should be collected and discharged into the

drainage system on a routine basis. Temporary sand

sedimentation tanks can be installed to treat sludge washing

wastewater.

2. No cleaning of the machines or vehicles at the construction

sites. The equipment and vehicles should be covered when it

rains.



Sub-project

implementer

FSC/

WB

(spot check)

Third party

environmental

supervision or

monitoring

institutions/Local

Environmental

Protection Bureau

Atmospheric

emissions

1. The site will be watered at regular intervals to stay wet. The

trucks should not be over loaded and they should be covered in

canvas to prevent mud dropping down.

2. Uncovered storage of materials should be avoided where

elevated dust can occur.

Noise

1. Transportation, digging and piling activities will be undertaken

during the daytime. Noise barriers will be set up at the site

boundaries.

2. Low-noise equipment is to be adopted. Construction should not

take place in the noise sensitive areas.

Solid waste

1. Earthwork cut and fill should be balanced. Unused earth and

stones should be land-filled on-site, where, in the meanwhile,

greening/planting activities are undertaken.


collecting construction garbage, which will be transported off

site and disposed by relevant organizations.

Ecological

degradation

1. Depending on the status of soil contamination, construction

activities will be undertaken in various zones correspondingly.

2. Earthwork should not be undertaken in the rainy season to

prevent from soil erosion.

3. Temporary protection measures such as use of straw bales and

digging drainage ditch are to be adopted.

Operation

Soil

remediation,

biodiversity

conversation,

Water

pollutants

Enhancing source control; providing leak prevention supplies; the storm-water run-offs and groundwater that exceeds the limits will be

collected and treated in the on-site wastewater treatment station, if

any, prior to recharge; additional wastewater will be discharged to

Sub-project

implementer

FSC/

WB

(spot check)

Third party environmental

supervision or

monitoring


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Stage of the

development

project

Main

activities

undertaken

Primary


Performed

by

Supervised

by

Monitored

by

remediation of

contaminated

agricultural

lands and in situ

sludge

stabilization

the designated sewage plant. institutions/Local

Environmental

Protection Bureau

Solid waste

Domestic waste will be disposed on a daily basis. The lower layers

of pit sludge and highly contaminated soils and sludge will be

disposed by hazardous waste sub-contractors.

Soil

contamination

Contaminated soils of various levels should be separately stored, and

managed by dedicated personnel.

Atmospheric

emissions and

GHG

1. Provide site watering and temporary cover of waste/slag storage

areas.

2. Gas generated in landfills will be ducted and combusted prior to

being emitted to air, or alternatively, directly emitted to the

ambient air.

3. Start greening/planting activities in a full scale.




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4. General Environmental Management Plan Pertaining to New Energy and Energy Conservation

Environmental impacts generated in operation only will be considered for this type of projects Stage of the

development

project

Main

activities

undertaken

Primary


Performed

by

Supervised

by

Monitored

by

Operation

Wind farm,

Photovoltaic

power,

biomass

power

Water

pollutants

A relatively minor amount of water pollutants will be generated in

renewable energy projects. Centralized wastewater treatment and

wastewater recycling will be considered to reduce its impact on the

environment.

Sub-project

implementer

FSC/

WB

(spot

check)

Third party

environmental

supervision or

monitoring

institutions/Local

Environmental

Protection

Bureau

Solid waste

Domestic waste will be disposed on a daily basis. The lower layers of pit

sludge, sludge, waste power boards and waste capacitors will disposed by

hazardous waste sub-contractors.

Noise The measures like vibration reduction, noise insulation and distance

protection will be adopted to reduce noise impacts.

Atmospheric

emissions

1. Provide site watering and temporary cover of waste/slag storage areas.

2. Relevant Atmospheric emissions/tail gas treatment technologies will be

adopted to reduce air pollutants (eg. sulfur dioxide, nitrogen oxide and

dioxin etc) arising from the sub-projects (biomass power). Emission to

the air is allowed only when it meets relevant standard.




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Appendix E2b: Suggested Labor Management Procedures Template

The purpose of the Labor Management Procedures (LMP) is to facilitate planning and

implementation of all sub-projects which will be financially supported by the World Bank and KfW.

The LMP identify the main labor requirements and risks associated with the sub-projects, and help

the sub-borrowers to determine the resources necessary to address project labor issues. The LMP is

a living document, which is initiated early in project preparation, and is reviewed and updated

throughout development and implementation of the project. The suggested template is designed to

help sub-borrowers identify key aspects of labor planning and management.

1. Overview of Labor Use on The Project

This section describes the following, based on available information:

Number of Project Workers

Characteristics of Project Workers

Timing of Labor Requirements

Contracted Workers

Migrant Workers

2. Assessment of Key Potential Labor Risks

This section describes the following, based on available information:

Project activities

Key Labor Risks

3.Brief Overview of Labor Legislation: Terms，Conditions，Occupational Health and Safety

Key aspects of national labor legislation with regards to term and conditions of work

Key aspects of the national labor legislation with regards to occupational health and safety.

4.Responsible Staff

This section identifies the functions and/or individuals within the project responsible for (as

relevant):

engagement and management of project workers

engagement and management of contractors/subcontractors

occupational health and safety (OHS)

training of workers

addressing worker grievances


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In some cases, this section will identify functions and/or individuals from contractors or

subcontractors, particularly in projects where project workers are employed by third parties.

5.Age of Employment

This section sets out details regarding:

The minimum age for employment on the project

The process that will be followed to verify the age of project workers

The procedure that will be followed if underage workers are found working on the project

The procedure for conducting risk assessments for workers aged between the minimum age and

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6.Terms and Conditions

This section sets out details regarding:

Specific wages, hours and other provisions that apply to the project

Maximum number of hours that can be worked on the project

Any collective agreements that apply to the project. When relevant, provide a list of agreements

and describe key features and provisions

Other specific terms and conditions

7. Grievance Mechanism

This section sets out details of the grievance mechanism that will be provided for direct and

contracted workers, and describes the way in which these workers will be made aware of the

mechanism.


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Appendix E3: Negative list of investment projects not supported by FSC

For environmental protection, pollution control and resources conservation, the following

development activities will not be financed under the proposed four categories of sub-projects:

Domestic Exclusion List

1) May cause significant environmental impact on nature reserves, geological parks, national

forest parks and scenic tourism areas.

2) May cause significant environmental impact on environmental sensitive areas like water

resources protection area of all levels, headwaters land conservancy, eco-region and

ecological redline areas.

3) May cause significant environmental impact on cultural relics or heritage sites.

4) May cause significant environmental impact on high-density population areas where

migration may take place or the areas where people may be severely affected (such as noise

sensitive areas).

5) May result in large numbers of immigrants;

6) New development projects that are not compliant with national industrial policy and have

significant negative environmental impacts.

7) Among the elimination projects list of National Industrial Structure Adjustment Guidance

Catalog (2018).

8) Among the restricted projects list of National Industrial Structure Adjustment Guidance

Catalog (2018) (Except for the enterprise upgrade).

9) The newly-built, renovated or expansion projects that may cause additional discharge of

heavy metals into the heavy metal pollution control areas;

10) The projects involving sale and use of highly-polluted fuels, and the projects of newly-built,

renovated or expanded facilities relying on highly-polluted fuels;

11) The development activities violating national and international rules.

IFC Exclusion List

The IFC Exclusion List defines the types of projects that IFC does not finance. IFC does not

finance the following projects:

1) Production or trade in any product or activity deemed illegal under host country laws or

regulations or international conventions and agreements, or subject to international bans, such as


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pharmaceuticals, pesticides/herbicides, ozone depleting substances, PCB's, wildlife or products

regulated under CITES.

2) Production or trade in weapons and munitions.1

3) Production or trade in alcoholic beverages (excluding beer and wine).1

4) Production or trade in tobacco.1

5) Gambling, casinos and equivalent enterprises.1

6) Production or trade in radioactive materials. This does not apply to the purchase of medical

equipment, quality control (measurement) equipment and any equipment where IFC considers

the radioactive source to be trivial and/or adequately shielded.

7) Production or trade in unbonded asbestos fibers. This does not apply to purchase and use of

bonded asbestos cement sheeting where the asbestos content is less than 20%.

8) Drift net fishing in the marine environment using nets in excess of 2.5 km. in length.

A reasonableness test will be applied when the activities of the project company would have a

significant development impact but circumstances of the country require adjustment to the

Exclusion List.

All financial intermediaries (FIs), except those engaged in activities specified below*, must

apply the following exclusions, in addition to IFC's Exclusion List:

1) Production or activities involving harmful or exploitative forms of forced labor 2/harmful child

labor 3.

2) Commercial logging operations for use in primary tropical moist forest.

3 ) Production or trade in wood or other forestry products other than from sustainably managed

forests.

When investing in microfinance activities, FIs will apply the following items in addition to the

IFC Exclusion List:

1) Production or activities involving harmful or exploitative forms of forced labor 2/harmful child

labor 3.

2) Production, trade, storage, or transport of significant volumes of hazardous chemicals, or

commercial scale usage of hazardous chemicals. Hazardous chemicals include gasoline, kerosene,

and other petroleum products.

3) Production or activities that impinge on the lands owned, or claimed under adjudication, by

Indigenous Peoples, without full documented consent of such peoples.


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Appendix E4: Outlines of Environmental Impact Assessment (EIA) Report

and Physical Culture Resource Management Plan (PCRMP)

Terms of References (ToRs) for Environmental Impact Assessment Report

1) Executive summary

This section discusses significant findings and recommended actions about how to Reducing

Environmental Impact of the project.

2) General principles

Discusses the policy, legal, and administrative framework within which the EA is carried out.

Explains the environmental requirements of any co-financiers. Identifies relevant international

environmental agreements to which the country is a party.

3) Introduction of the project

Concisely describe the proposed project and its geographic, ecological, social, and temporal

context. Describe offsite investments that may be required. Indicate the need for any

resettlement plan or indigenous people’s development plan. Normally include a map showing

the project site and the project’s area of influence.

4) Environmental Baseline data:

Assess the dimensions of the study area and describes relevant physical, biological, and

socioeconomic conditions. Assess any changes anticipated before the project commences. Take

current proposed development activities within the project area but not directly connected to

the project into account. Data should be relevant to decisions about project location, design,

operation, or mitigatory measures. The section indicates the accuracy, reliability, and sources of

the data. Environmental impacts

5) Project analysis investigation and assessment of the environmental status

Identification and screening of the potential environmental impact. Environmental impact

prediction.

6) Environmental monitoring and management planning

This section monitoring the effect of the project to judge it whether meet the specified standard

or not. Environmental investment estimation and social-economic analysis.

7) Public participation

Assessment results and organization planning.


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8) Appendixes

List of EA report preparers. References-written materials both published and unpublished, used in

study preparation. Record of interagency and consultation meetings. Tables presenting the relevant

data referred to or summarized in the main text. List of associated reports.

Outlines of Physical Culture Resource Management Plan (PCRMP)

1) Introduction

Protect background；

Project contents and project schedule；

Purpose of the PCRMP, etc.

2) Legal and institutional frameworks

Domestic laws and regulations；

World Bank’s safeguards policies;

Institutional responsible for the administration of Physical Cultural Resources

3) Physical Cultural Resources (PCRs) in project-affected area

Investigation process；

Identified PCRs in project-affected area

4) Impact analysis and mitigation measures for identified PCRs

Positive impacts

Negative impacts and mitigation measures (during design, construction and operation)

5) Chance finding procedure during project implementation

Legal provisions on chance findings of cultural relics

Chance finding procedure during project implementation

6) Institutional Arrangements for PCRMP implementation

Roles and responsibilities

Capacity building/awareness enhancement plan

7) Monitoring and reporting arrangements

8) Cost estimate


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Appendix E5: Stakeholder Consultation Questionnaire for ESMF


Environmental and Social Management Framework

Stakeholder Questionnaire

Question 1: What type of organization or department do you belong to?

▢ government departments at all levels

▢ advisory service institutions ▢ non-governmental organizations

▢ scientific research institutions of universities

▢ financial institutions ▢ construction units

▢ public ▢ other

Question 2: Your gender?

▢ male ▢ female

Question 3: Your age?

▢ under 18 years old ▢ 18-35 years old ▢ 36-45 years old

▢ 46-55 years old ▢ 55 years old and above

Question 4: Are you or your family members ethnic minorities?

▢Yes ▢No

Question 5: Are you familiar with the World Bank and its scope of business?

▢familiar with ▢heard of ▢ not familiar with

Question 6: Are you familiar with Shanghai City Investment Corporation and its business

scope?

▢familiar with ▢heard of ▢not familiar with

Question 7: Are you familiar with the World Bank's security policy system?

▢familiar with ▢heard of ▢not familiar with

Question 8: Have you reviewed the environmental and social management framework of

Shanghai Green Urban Financing and Services Co., Ltd.?


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▢Yes ▢No

Question 9: Are you satisfied with the local environment?

▢satisfied ▢basically satisfied ▢general satisfied

▢a little dissatisfied ▢very dissatisfied

Question 10: What do you think are the main problems of local environment?

▢water is not clean enough ▢air is not fresh enough

▢garbage is everywhere. ▢other

Question 11: What do you think is the trend of local environmental quality in recent years?

▢significant deterioration ▢some deterioration

▢no change ▢some improvement

▢significant improvement ▢other

Question 12: What is the water quality of the local surface water (rivers, lakes, reservoirs or

ponds, etc.)?

▢good ▢ overall good ▢general

▢a little bad ▢very bad ▢other

Question 13: What do you think is the source of water pollution?

▢ enterprise sewage ▢ domestic sewage

▢ aquaculture sewage ▢ upstream river pollution

▢ pesticide,fertilizer and other agricultural pollution

▢ other

Question 14: What kind of approach would you take when your local environment is in

trouble?

▢helplessly, let it go

▢reflect to local government departments at all levels

▢dial environmental complaints telephone

▢others

Question 15: How to deal with the local domestic waste?

▢ random disposal ▢ unified collection and post-treatment


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▢incineration ▢Landfill ▢Other

Question 16: What do you think is the reason that affects air quality?

▢ enterprise exhaust gas pollution ▢ garbage incineration_

▢ automobile exhaust emission ▢ straw incineration_

▢ tree felling ▢ other

Question 17: You think that the local environmental pollution problem is caused by:

▢ poor public awareness of environmental protection

▢ improper management of management departments

▢ lack of relevant laws ▢ inadequate enforcement of law

▢ other

Question 18: Has there been any environmental propaganda in the loacal area?

▢ often ▢ occasionally ▢ once or twice ▢ never.

Question 19: In what areas do you think the environmental management of your residence

should be further strengthened?

▢ strengthen the treatment of domestic sewage and garbage_

▢ strengthen the punishment of environmental pollution

▢ strengthen the management of heavily polluting industries_

▢ establish unobstructed communication channels to reflect and solve environmental

problems

▢ other

Question 20: Do you know the main source of investment in environmental protection?

▢ government investment at all levels

▢ international financial organization’ loan or grants

▢ enterprise investment ▢ public payment

▢ other

Question 21: Do you think the framework of environmental and social management meets the

relevant requirements of the World Bank? (optional)

▢Yes ▢ No,

Question 22: Do you think the purpose and scope of the environmental and social


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management framework is appropriate? (optional)

▢Yes ▢ No,

Question 23: Do you think the criteria for screening and categorizing sub-projects in the

framework of environmental and social management is adequate? (optional)

▢Yes ▢ No,

Question 24: Do you think the sub-project environmental management procedure of this

framework is reasonable? (optional)

▢Yes ▢ No,

Question 25: Do you think the sub-project social management procedure of this framework is

reasonable? (optional)

▢Yes ▢ No,

Question 26: Do you think the public participation procedure in this framework of

environmental and social management is reasonable and effective? (optional)

▢Yes ▢ No,

Question 27: Do you think the complaint and grievance redress mechanism of the

environmental and social management framework is reasonable and effective? (optional)

▢Yes ▢ No,

Question 28: Do you think the responsibilities and division of labor of the relevant units

within the framework of environmental and social management are reasonable and clear?

(optional)

▢Yes ▢ No,

Question 29: Do you think the capacity-building plan for FSC is feasible? (optional)

▢Yes ▢ No,

Question 30: What other aspects do you think need to be improved in this framework of

environmental and social management? (optional)


22

Thank you for your strong support. Please provide relevant and effective information about

your organization. We will protect your personal privacy.

Located City：

Institution Name：

Institution Address：

Contact Information：


23

Appendix E6: Terms of Reference for Environmental Consultancy in

Urban Financing and Innovation Project

1. Project Background

In February 2018, according to the Notice of preparation work for the new round, WB and ADB

financed projects and the projects listed in the lending program for 2018-2020 （No. 290, 2018,

NDRC&MOF）, this “Green Urban Financing and Innovation Project” (hereinafter referred to as

“the Project”) , applied by Shanghai Chengtou Group Corporation (''Shanghai Chengtou''), jointly

with Shanghai DRC and Shanghai Municipal Bureau of Finance("SFB''), was listed in the World

Bank loan 2018-2020 alternative project planning list. The project will be co-financed by the World

Bank (200 million USD loan) and KfW (150 million EUR loan) to provide comprehensive services

including financing, technology and capacity building for ecological environmental and innovative

urbanization development projects in Shanghai and other cities in Yangtze River Delta, and even

exploring in the Yangtze River Economic Zone in the future.

Therefore, in December 2018, Shanghai Chengtou set up Shanghai Green Urban Financing and

Services Co., Ltd. (hereinafter referred to as “FSC”) with Pacific Asset Management Co., Ltd.. As

the implementation unit of this project, FSC will utilize the World Bank/KfW loans and provide

package services such as debt and equity investment, project appraisal, financial management and

technical assistance. It will form an international benchmarking, and domestic leading innovative

integrated green financial service company, which advocates the concept of environmental

protection and combines the concept of "industry, finance and investment".

2. Implementation Plan of Selection and Employment of Environmental Experts

2.1 Employer


2.2 Duties of Environmental Experts:

FSC will establish an external expert panel as an important technical support team of the company,

including environmental and social experts approved by the World Bank. See figure 1 for the

Environmental and Social Management Framework of FSC for its financed sub-projects. The

environmental experts will mainly assist FSC in sub-project planning, screening, due diligence,

project preparation and appraisal, and environmental impact assessment, implementation and

supervision of environmental management plan involved in post-loan management as well as

external environmental monitoring report and auditing work, they have to ensure that sub-projects

conform to the requirements of the relevant domestic laws and regulations as well as the World

Bank/KfW’s Safeguard Policies.

The responsibilities of environmental experts are as follow:

(1) Assist FSC in guiding the environmental management affairs of the sub-projects in accordance

with the approved Environmental and Social Management Framework (hereinafter referred to as

“ESMF”).

(2) Assist FSC in environmental management and related institutional capacity building for the

end-borrower (sub-project implementation unit);

(3) Guide the end-borrower to prepare Environmental Safeguard Documents (mainly include

Environmental Impact Assessment Report and Environmental Management Plan and etc.), and

provide related capacity building trainings for full-time staff of FSC’s International Business


24

Department and relevant management personnel of sub-project implementation unit;

(4) Assist the review of the Environmental Safeguard Documents (mainly include Environmental

Impact Assessment Report/ Environmental Impact Assessment Form, Environmental

Management Plan,) of the sub-projects, as well as the implementation of external monitoring,

and submit the review opinions (including the identification, monitoring and mitigation

measures of environmental risks of the sub-project);

(5) Track the latest environmental management policies and requirements of domestic and

international financial institutions such as the World Bank and KfW during the implementation

of the project. If necessary, the ESMF will be constantly updated and improved.

Figure 1．Hierarchy of Environmental and Social Management

2.3 Qualification of Environmental Experts

According to the development of the business of FSC, select 1 to 2 excellent environmental experts.

Their qualification should at least follow the criteria below:

a) Have strong expertise in the field or industry and familiar with domestic and international

situation and their developments;

b) Familiar with related environmental safeguard policies of international financial institutions,

such as the World Bank/KfW and China’s relative policies and legislation; master the technical

guidelines and requirements of the review of environmental impact assessment;

c) Have advanced professional technical title and have at least 10 years or over 10 years’

experience in the field.

2.4 Mode of contract execution

The limited selection of individual consultant will be adopted for the selection of environmental

experts. The consulting service fee will be paid according to his/her output results (Lump Sum). The

environmental experts who express the interest in this service shall submit two hard copies of these

documents: CV, relevant qualification and experience certificate before 15th

March, 2019.


25

2.5 Major output results and reports

Outputs/Reports Timing Note

Environmental

management review

report of the financed

sub-project (including

PPT materials for

trainings)

Completion of the

environmental impact

assessment report within

2-3 weeks of receipt of the

report, depending on the

complexity of the

sub-project.

including due diligence,

assessment, safeguard

capacity building, and

guiding the project

implementation unit to

prepare environmental

safeguard documents.

Implementation of the

environmental

management plan of the

financed sub-project and

review of external

environmental monitoring

reports

Within 1-2 weeks upon the

receipt of external

environmental monitoring

reports

Twice per year, during the

Project implementation

period

Assist in the relevant

reviews by WB/KfW

During the missions of

WB/KfW

Attend WB/KfW missions

and make on-site visits

Update and improve the

ESMF (if necessary)

3. Work place

Shanghai Green Urban Financing and Services Co., Ltd.（130 Wusong Road, 12F）will be the main

work place of the project. If the FSC invests the sub-projects beyond Shanghai, the consultants need

to carry out due diligence and make on-site evaluation and other related work, the travel expenses

will be borne by FSC.

4. Facilities to be provided

FSC is responsible for providing office space for activities related to this project, including an

isolated office, a telephone, a whiteboard, internet, printing and copy facilities (can be shared) and a

designated project coordinator.

5. Contract Validity

The contract for the environmental experts is valid for one year since 1st April, 2019 to 31

st March,

2020.

6. Contact Person

Contact: Ms. Wang, Qiuyue; Ms. Liu, Kun

Mobile: 18916128651, 18616336820

Email:[email protected]，[email protected]


26

Appendix E7: Potential Green Impact Criteria

Sector I: Water Supply Serial Number: CJJ 92-2016

Standard Name: Standard for water loss control and assessment of urban water distribution system

Core Indicator CJJ 92-2016

FSC's Project Target First class standard Second class standard

water loss rate 10% 12% 10%

Sector II: Wastewater Treatment Serial Number: GB18918-2002

Standard Name: Discharge standard of pollutants for municipal wastewater treatment plant

Core Indicators

GB18918-2002 FSC's Project

Target First Class Standard Second Class

Standard

Third Class

Standard First Class A First Class B

COD 50 mg/L 60 mg/L 100 mg/L 120 mg/L 50 mg/L

NH3-N 5 mg/L 8 mg/L 25 mg/L - mg/L 5 mg/L

TP 0.5 mg/L 1 mg/L 3 mg/L 5 mg/L 0.5 mg/L

Sector III: Solid Waste Management

Serial Number: GB l8485–2014

Standard Name: Standard for pollution control on the municipal solid waste incineration

Serial Number:2010/75/EU

Standard Name: DIRECTIVE 2010/75/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of

24 November 2010 on industrial emissions (integrated pollution prevention and control)

Core Indicator Unit GB l8485–2014 2010/75/EU FSC's Project Target

24 hour average 24 hour average 24 hour average

HCl mg/Nm3 50 10 10

SO2 mg/Nm3 80 50 50

NOx mg/Nm3 250 200 200

CO mg/Nm3 80 50 50

Pb + other heavy

metals mg/Nm

3 1.0 0.5 0.5

Dioxin and its

derivatives ng-TEQ/Nm

3 0.1 0.1 10

Incineration

power generation

capacity

(on grid power)

KWH/ton 250-280

Note:

1） In the early stage, FSC will invest the sub-projects in the fields of water supply, wastewater

treatment and solid waste management in priority. Thus, the potential green impact criteria for

these three sectors are listed firstly. With the development of FSC's business, the

above-mentioned potential green impact criteria will be continuously updated according to

relevant national standards and specific requirements of green screening.

2） The power generation by the incineration of domestic waste can reduce the carbon dioxide

emissions generated by the power generation of fossil fuel. The incineration of 1 ton domestic

waste is equivalent to the emission reduction of carbon dioxide about 300kg. The domestic waste

incineration power plant generates about 300-380 KWH /ton, of which the grid-connected power

generation does not exceed 280 KWH /ton.


27

Appendix S1: Screening of Potential Social Safeguard Issues The PMO will use this form to screen the application of the Project.

Basic information of the Project

Name of component Component No.

Owner Location of component

Estimated budget Estimated date of

commencement

Brief description of component (including LA and HD, impacts on urban residents, farmers and enterprises, etc.):

Summary of screening results:

List of screened Bank social safeguards

Item Yes No Impact Description Bank policy involved if yes Document

required if yes

I. LA and resettlement

1 Does the project involve LA (public or private, temporary or

permanent)? OP/BP4.12 Involuntary Resettlement RAP

2 Does the project involve HD (including operating and

non-operating)? OP/BP4.12 Involuntary Resettlement RAP

3 Is anyone prohibited from using daily economic resources (e.g.,

pasture, fishing site, forest)? OP/BP4.12 Involuntary Resettlement RAP

4 Does the project involve involuntary resettlement? OP/BP4.12 Involuntary Resettlement RAP

5 Will the project cause temporary or permanent losses of crops,

fruit trees and facilities? OP/BP4.12 Involuntary Resettlement RAP

II. Indigenous peoples

6 Will the project affect any minority community adversely? OP/BP 4.10 Indigenous Peoples EMDP

7 Will these residents benefit from the project? OP/BP 4.10 Indigenous Peoples EMDP

8 Is the group identifies itself as a member of a unique minority cultural group, and such feature is recognized by others?

OP/BP 4.10 Indigenous Peoples EMDP


28

9

Is the group collectively attached to a geographically unique

residential area or ancestral estate in the project area, and to the

natural resources of such residential area or estate?

OP/BP 4.10 Indigenous Peoples EMDP

10 Does the group have traditional cultural, economic, social or

political institutions different from the mainstream society? OP/BP 4.10 Indigenous Peoples EMDP

11 Does the group have a minority language different from the

official language of the country or region? OP/BP 4.10 Indigenous Peoples EMDP

III. Other major social risks (If there is any social risk, SA should be conducted, and an SAP and a GAP prepared.)

8 Does the project cause labor unemployment?

9 Does the project involve NIMBY?

10 Does the project cause poverty?

11 Does the project involve social gender mainstreaming?

12 Is public participation adequate during project design and

implementation?

13 Is there an effective grievance redress mechanism?

14 Is there any other major social conflict or risk?

Signatures of screening and review staff:

Signature of the Social Officer of the PMO:

Name: ______________________________________

Title and date: ______________________________________

Signature of the Director of the PMO:

Name: ______________________________________

Title and date: ______________________________________

The PMO will keep a copy of this form and copies of related documents. A set of copies will be submitted to the Bank. If necessary, a third set of copies will be sent

to the provincial authorities.


29

Appendix S2: Outline of the RAP

1 Basic Information of the Project

1.1 Background of the Project

1.2 Introduction to the Project

1.3 Components and resettlement impacts

1.4 Project preparation and progress

1.5 Measures to reduce resettlement

1.6 Identification of related projects

2 Impacts of the Project

2.1 Project impact survey

2.2 Range of project impacts

2.3 Impacts

2.3.1 Acquisition of rural collective land

2.3.2 Temporary land occupation

2.3.3 HD

2.3.4 Infrastructure and ground attachments

2.3.5 Affected population

2.3.6 Vulnerable groups

3 Socioeconomic Profile

3.1 Socioeconomic profile of the project area

3.1.1 Socioeconomic profile of the affected cities and districts/counties

3.1.2 Socioeconomic profile of the affected villages

3.2 Sampling survey

3.2.1 Households affected by LA

3.2.2 Households affected by HD

4 Legal Framework and Polices

4.1 Policy framework


30

4.2 Main principles

4.3 Resettlement policies of the Project

4.3.1 Acquisition of rural collective land

4.3.2 HD

4.3.3 Vulnerable groups

4.3.4 Infrastructure and ground attachments

5 Compensation Rates

5.1 Acquisition of rural collective land

5.2 HD

5.3 Infrastructure and ground attachments

5.4 Rates of other costs

6 Production and Livelihood Restoration Programs

6.1 Objectives of resettlement

6.2 Resettlement principles

6.2.1 Resettlement minimization

6.2.2 Equivalent compensation

6.2.3 Focusing

6.3 Restoration program for LA

6.3.1 LA impact analysis

6.3.2 Analysis of lost income

6.3.3 Restoration measures

6.4 Restoration program for HD

6.5 Restoration program for vulnerable groups

6.5.1 Assistance measures

6.5.2 Training

6.5.3 Employment

6.6 Restoration program for ground attachments


31

7 Organizational Structure and Implementation Progress

7.1 Organizational structure

7.1.1 Organizational setup

7.1.2 Organizational responsibilities

7.1.3 Staffing

7.1.4 Equipment

7.1.5 Training program

7.2 Implementation progress

8 Budget and Funding Sources

8.1 Budget

8.2 Annual investment plan

8.3 Funding sources and disbursement

9 Public Participation and Grievance Redress

9.1 Started public participation and consultation activities

9.2 Information disclosure

9.3 Participation and willingness survey

9.4 Public participation and feedback

9.5 Subsequent information disclosure and public participation plan

10 M&E

10.1 Internal monitoring

10.1.1 Implementation procedure

10.1.2 Scope

10.1.3 Reporting

10.2 External M&E

10.2.1 External M&E agency

10.2.2 Procedure and scope

10.2.3 M&E indicators


32

10.2.4 Reporting

10.2.5 Post-evaluation

11 Entitlement Matrix

Appendixes


33

Appendix S3: Key Points of the EMDP

An EMDP is provided for reference only.

1) Basic information of the affected minority habitats, including population, society, religion,

culture and poverty, will apply to the IPPF, and ongoing ethnic minority development projects

in the project area;

2) SA overview;

3) Public consultation and participation: Free, prior and informed consultation will be conducted

in the affected minority habitats at the preparation stage as per the Bank’s OP4.10 to gain

extensive community support;

4) Analysis of impacts on ethnic minorities: When any potential negative impact on ethnic

minorities is identified, a culturally adaptive action plan or measure will be developed to

mitigate or avoid such impact (e.g., RAP);

5) Difference and vulnerability analysis: Differences and local knowledge of the affected ethnic

minorities will be analyzed to provide a basis for optimizing the design of the Project and

developing an action plan suited to minority residents’ needs;

6) Appropriate measures, used to ensure that minority residents receive social and economic

benefits suited to their cultural background, including measures to strengthen the capacity of

the IAs (if necessary);

7) EMDP cost estimate and financing plan;

8) An appropriate appeal procedure, used to handle objections of the affected minority habitats

during implementation;

9) An appropriate IPPF M&E mechanism, including free, prior and informed consultation in the

affected ethnic minorities


34

Appendix S4: SAP (including the GAP)

No.

Social action

(including

gender)

Agency responsible Time

Budget /

funding

source

Monitoring

indicators (at

least one social

gender

indicator)


35

Appendix S5: Legal Framework for RAP Implementation Table S5-1 Laws and Policies on LA

Level No. Location Document Effective date

State / /

Land Administration Law of the PRC 2004-8-28

Regulations on the Implementation of the Land Administration Law of the PRC (2014 Amendment) 1998-12-27

Measures on Public Announcement of Land Acquisition (Decree No.10 of the Ministry of Land and Resources) 2002-1-1

Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) 2004-10-21

Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238) 2004-11-3

Notice of the Ministry of Land and Resources on Formulating Uniform Annual Output Value Rates and Location-based

Integrated Land Prices (MLR [2005] No.114) 2005-7-23

Notice of the State Council on Intensifying Land Control (SC [2006] No.31) 2006-8-31

Real Right Law of the PRC 2007-10-1

Interim Regulations on Farmland Occupation Tax of the PRC 2008-1-1

Province

1 Shanghai

Approval Procedures for Farmland Conversion, Land Acquisition, Collective Land Use and Land Supply of Shanghai

Municipality 2015-4-30

Technical Specifications of Shanghai Municipality for the Compensation Appraisal of Acquired Houses on Collective land 2012-5-10

Measures of Shanghai Municipality for the Employment and Social Security of Land-expropriated Farmers (SMG [2017]

No.15) 2017-4-1

Some Opinions on the Implementation of the Interim regulations of Shanghai Municipality on the Acquisition of Houses

on Collective Land 2017-10-1

Compensation Rates for Land Acquisition of Shanghai Municipality (2017), Compensation Rates for Young Crops in Land

Acquisition of Shanghai Municipality (2017), and Compensation Rates for Properties in Land Acquisition of Shanghai

Municipality (2017)

2017-6-1

Interim Measures of Shanghai Municipality on the Coordination and Handling of Disputes over House Compensation in

Land Acquisition 2017-10-1

2 Zhejiang

Notice of the Zhejiang Provincial Land and Resources Department on Issuing the Minimum Protective Compensation

Rates for Land Acquisition (ZPG [2012] No.2) 2012-6-7

Compensation Rates for Land Acquisition of Zhejiang Province 2016-10-31

Measures of Zhejiang Province for Land Acquisition Compensation and the Basic Living Security of Land-expropriated

Farmers (Decree No. 264 of the provincial government) 2010-1-1

3 Jiangsu

Measures of Jiangsu Province for Land Acquisition Compensation and the Social Security of Land-expropriated Farmers

(Decree No.93 of the provincial government) 2013-12-1

Notice of the Jiangsu Provincial Government on Adjusting the Compensation Rates for Land Acquisition (JPG [2011]

No.40) 2011-3-25

Measures for the Coordination and Ruling of Disputes over Land Acquisition Compensation and Resettlement (JPGO

[2007] No.141) 2007-11-22


36

Table S5-2 Laws and Policies on HD

Level No. Location Document Effective date

State / / Regulations on House Acquisition on State-owned Land and Compensation (Decree No.590 of the State Council) 2011-1-21

Province

1 Shanghai Implementation Rules of Shanghai Municipality for the Acquisition of Houses on State-owned Land and Compensation

(Decree No.71 of the municipal government) 2014-3-20

2 Zhejiang Administrative Regulations of Zhejiang Province on Urban House Demolition 2007-3-29

Opinions of the Zhejiang Provincial Government on the Implementation of the Regulations on House Acquisition on

State-owned Land and Compensation (ZPG [2011] No.57) 2011-7-29

3 Jiangsu Some Provisions of Jiangsu province on the Implementation of the Regulations on House Acquisition on State-owned Land

and Compensation (JPG [2011] No.91) 2011


37

Appendix S6: Sample Entitlement Matrix

Type APs Measure Entitlement

LA

Village

collectives

1) Collective land Compensation will be fully paid to the village collective, and used through discussion at a village meeting.

2) Attachments

Rural

residents

1) Land compensation

and resettlement

subsidy

Households not subject to land reallocation will receive all the resettlement subsidy and at least 80% of land

compensation.

For households’ subject to land reallocation, land compensation and resettlement subsidy will be disbursed to each

affected group for even distribution.

2) Temporary land use Full compensation for temporary land use will be paid based on the period of use, and the used land will be fully restored

after use.

3) Young crops The direct APs will receive full young crop compensation.

4) Social insurance Eligible farmers may cover social insurance.

5) Production and

livelihood measures Free training and job referral will be offered to LEFs.

HD Rural

residents

Compensation and

resettlement

1) The AHs may choose cash compensation or property swap;

2) In case of property swap, the displacer will offer resettlement housing and supporting facilities;

3) In case of cash compensation, compensation will be paid at replacement cost, and free housing land will be provided

by the local government for house reconstruction.

Moving and transition

subsidies, and reward The AHs are entitled to moving and transition subsidies, reward, and smooth transition.

Trees and attachments Affected trees and attachments will be compensated for at the specified rates.

Entities Proprietors

Compensation and

resettlement

1) The affected entities may choose cash compensation or relocation;

2) In case of relocation, the displacer will assist in finding land and grant compensation at replacement cost;

3) In case of cash compensation, the affected entities will receive compensation at replacement cost;

4) The affected entities will receive compensation for production suspension or losses.

Workers The affected workers will receive compensation for lost income; the workers of any entity not to be relocated will

receive training and job referral.

Vulnerable

groups

All

affected

vulnerable

groups

1) They will receive compensation for LA and HD equally;

2) During detailed planning, they will be further identified, and those losing contracted land will be entitled to the reallocation of resources

equally;

3) They will receive assistance in production and livelihood development;

4) Poor households affected by HD will receive support from local governments during house reconstruction;

5) Local civil affairs bureaus have included five-guarantee households, the disabled, the poor and women-headed households in the local MLS

system; 6) They will enjoy priority in local characteristic industry development and cooperative operation;

7) Vulnerable households short of labor will have priority in land reallocation to ensure income.


38

Type APs Measure Entitlement

Women

All

affected

women

1) All village committees should have female members, and women will enjoy the same rights as men at village meetings and congresses;

2) Women’s opinions are learned and considered in public opinion surveys;

3) Women enjoy equal rights in future compensation for LA and HD;

4) Jobs generated by the Project will be first made available to women, and women will also receive training and job referral.

Ethnic

minorities

All

minority

APs

1) They will have priority in employment and skills training;

2) They will have priority in receiving employment information;

3) They can express their opinions and needs at consultation meetings;

4) Relevant policies should be translated into minority languages for easier acceptance and understanding, and explained in detail; 5) Special attention

will be paid to vulnerable groups in minority areas during resettlement.

Infra-

structure Proprietors Restored by the owner or compensated for at replacement cost


39

Appendix S7: Ethnic Minority Policy Framework

Type Policy / regulations Contents and key points

State laws

and

regulations

State laws and

regulations:

Constitution of the

PRC, Law of the

PRC on Regional

Ethnic Autonomy,

Law of Organization

of Villager

Committee of the

PRC, Regulations on

the Administrative

Work of Ethnic

Minority Xiangs the

PRC, 13th

Five-year

Plan for Ethnic

Minority Programs,

Decision of the

Central Government

on Some Major

Issues in Deepening

Cultural

Restructuring

1)In addition to the same powers as local governments, the authorities of the localities of ethnic autonomy also have the following rights:

autonomous legislative power; autonomy in the administration of local political, economic, financial, scientific, educational and cultural affairs,

the right to organize local public security forces, and the right to use and develop ethnic minority languages, etc.

2)Citizens of the PRC shall have freedom in religious belief, and the state and the authorities of the localities of ethnic autonomy shall

guarantee such freedom for citizens of all ethnic groups.

3)Administrative regulations for ethnic minorities shall be formulated to promote the development economic and cultural programs of ethnic

minority Xiangs, protect the lawful rights and interests of ethnic minorities, and enhance the unity among different ethnic groups.

4)Except those deprived of political rights, villagers attaining 18 years of age, regardless of ethnic group, race, sex, occupation, family

background, religious belief, education, property condition or term of residence, shall have the right to vote and the right to be elected.

5)The state shall support all ethnic minorities financially, materially and technically to accelerate their economic development, cultural and

other social programs.\

6)All ethnic languages shall be equal. All ethnic groups shall be free to use and develop their own languages, and shall be encouraged to learn

from one another’s language.

7)The protection of ethnic folk cultures shall be subject to the principles of protection mainly, rational development, government dominance

and social participation.

State

supporting

policy

Plan to Support the

Development of

Ethnic Groups with

Small Populations

(2016-2020)

1)Among the 55 ethnic minorities, the 28 ones with a population of less than 100,000 shall be supported, including Yugu people. The period of

the plan shall be from 2011 to 2015.

2)Development objectives: to improve the infrastructure of administrative villages inhabited by ethnic groups with small populations

significantly, solve prominent productive and living problems of civilians effectively, provide essentially sufficient food and clothing to the

existing poor population, and make them reach locally medium or above levels in terms of economic and social development by 2020

3)Key tasks: strengthening infrastructure construction, improving productive and living conditions, developing characteristic industries to

promote income increase, improving livelihoods, promoting the equalization of basic public services, developing ethnic cultures and human

resources, and promoting ethnic unity

4)Policy measures: strengthening support for infrastructure construction, fiscal funds, credit funds, social programs, talent training and

counterpart support


40

World

Bank

Operational Policy

(OP4.10) and Bank

Procedure (BP4.10)

This policy aims to ensure that the development process fully respects the dignity, human rights, economies, and cultures of Indigenous

Peoples.

1) The Bank recognizes that the identities and cultures of Indigenous Peoples are inextricably linked to the lands on which they live and the

natural resources on which they depend. These distinct circumstances expose Indigenous Peoples to different types of risks and levels of

impacts from development projects, including loss of identity, culture, and customary livelihoods, as well as exposure to disease. Gender and

intergenerational issues among Indigenous Peoples also are complex. As social groups with identities that are often distinct from dominant

groups in their national societies, Indigenous Peoples are frequently among the most marginalized and vulnerable segments of the population.

As a result, their economic, social, and legal status often limits their capacity to defend their interests in and rights to lands, territories, and

other productive resources, and/or restricts their ability to participate in and benefit from development. At the same time, the Bank recognizes

that Indigenous Peoples play a vital role in sustainable development and that their rights are increasingly being addressed under both domestic

and international law.

2) Bank-financed projects include measures to (a) avoid potentially adverse effects on the Indigenous Peoples’ communities; or (b) when

avoidance is not feasible, minimize, mitigate, or compensate for such effects. Bank-financed projects are also designed to ensure that the

Indigenous Peoples receive social and economic benefits that are culturally appropriate and gender and inter-generationally inclusive.

3) When a project affects Indigenous Peoples, the TT assists the borrower in carrying out free, prior, and informed consultation with affected

communities about the proposed project throughout the project cycle. At all stages of the project, the parties consulted have prior access to

information on the intent and scope of the proposed project in a culturally appropriate manner. It shall also be determined that if the affected

communities give broad support to the project based on the SA and consultation process.

In deciding whether to proceed with the project, the borrower ascertains, on the basis of the social assessment (see paragraph 9) and the free,

prior, and informed consultation (see paragraph 10), whether the affected Indigenous Peoples’ communities provide their broad support to the

project. Where there is such support, the borrower prepares a detailed report that documents:

(a) the findings of the social assessment;

(b) the process of free, prior, and informed consultation with the affected Indigenous Peoples’ communities;

(c) additional measures, including project design modification, that may be required to address adverse effects on the Indigenous Peoples and

to provide them with culturally appropriate project benefits;

(d) recommendations for free, prior, and informed consultation with and participation by Indigenous Peoples’ communities during project

implementation, monitoring, and evaluation; and

(e) any formal agreements reached with Indigenous Peoples’ communities and/or the IPOs.

The Bank reviews the process and the outcome of the consultation carried out by the borrower to satisfy itself that the affected Indigenous

Peoples’ communities have provided their broad support to the project. The Bank pays particular attention to the social assessment and to the

record and outcome of the free, prior, and informed consultation with the affected Indigenous Peoples’ communities as a basis for ascertaining

whether there is such support. The Bank does not proceed further with project processing if it is unable to ascertain that such support exists.

4) The EMDP should be flexible and practical, and include the following: legal and institutional framework suited to ethnic minorities;

information on demographic, social, cultural and political features of affected communities, ancestral territories owned, used or occupied by

them, and natural resources on which they live; a summary of SA; a summary of free, prior, and informed consultation results in affected

communities at the preparation stage, which has gained broad community support for the project; a framework for ensuring free, prior, and

informed consultation with affected communities during project implementation; an action plan for ensuring that ethnic minorities receive

culturally appropriate social and economic interests; after potential negative impacts on ethnic minorities have been determined, an appropriate

action plan that avoids, minimizes or mitigates, or compensate for such impacts; the financial budget and financing plan for the EMDP; a

procedure for addressing appeals from minority communities arising from project implementation; and an M&E and reporting mechanism, and

indicator system suitable for the implementation of the EMDP.


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Appendix S8: Terms of Reference for Social Consultancy in Urban Financing

and Innovation Project

1. Project Background

In February 2018, according to the Notice of preparation work for the new round, WB and ADB

financed projects and the projects listed in the lending program for 2018-2020 （No. 290, 2018,

NDRC&MOF）, this “Green Urban Financing and Innovation Project” (hereinafter referred to as

“the Project”) , applied by Shanghai Chengtou Group Corporation (''Shanghai Chengtou''), jointly

with Shanghai DRC and Shanghai Municipal Bureau of Finance("SFB''), was listed in the World

Bank loan 2018-2020 alternative project planning list. The project will be co-financed by the World

Bank (200 million USD loan) and KfW (150 million EUR loan) to provide comprehensive services

including financing, technology and capacity building for ecological environmental and innovative

urbanization development projects in Shanghai and other cities in Yangtze River Delta, and even

exploring in the Yangtze River Economic Zone in the future.

Therefore, in December 2018, Shanghai Chengtou set up Shanghai Green Urban Financing and

Services Co., Ltd. (hereinafter referred to as “FSC”) with Pacific Asset Management Co., Ltd.. As

the implementation unit of this project, FSC will utilize the World Bank/KfW loans and provide

package services such as debt and equity investment, project appraisal, financial management and

technical assistance. It will form an international benchmarking, and domestic leading innovative

integrated green financial service company, which advocates the concept of environmental

protection and combines the concept of "industry, finance and investment".

2. Implementation Plan of Selection and Employment of Social Experts

2.1 Employer


2.2 Duties of Social Experts:

FSC will establish an external expert panel as an important technical support team of the company,

including environmental and social experts approved by the World Bank. See figure 1 for the

Environmental and Social Management Framework of FSC for its financed sub-projects. The social

experts will mainly assist FSC in sub-project planning, screening, due diligence, project preparation

and appraisal, and implementation and supervision of resettlement action plan, ethnic minority

development plan, social management plan (gender development plan, labor employment plan, etc.)

involved in post-loan management as well as external immigration, ethnic minorities and social

management report and auditing work. They have to ensure that sub-projects conform to the

requirements of the relevant domestic laws and regulations as well as the World Bank/KfW’s

Safeguard Policies.

The responsibilities of social experts are as follow:

(1) Assist FSC in guiding the social management affairs of the sub-project in accordance with

the approved Environmental and Social Management Framework (hereinafter referred to as

“ESMF”).

(2) Assist FSC in social management and related institutional capacity building for the

end-borrower (sub-project implementation unit);

(3) Guide the end-borrower to prepare Social Safeguard Documents (mainly include

Resettlement Action Plan, Ethnic Minority Development Plan, Social Management Plan and

etc.), and provide related capacity building training for full-time staff of FSC’s International


42

Business Department and relevant management personnel of sub-project implementation unit;

(4) Assist the review of the Social Safeguard Documents (mainly include Resettlement Action

Plan, Ethnic Minority Development Plan, Social Management Plan, etc.) of the sub-projects, as

well as the implementation of external monitoring and submit the review opinions;

(5) Track the latest social management policies and requirements of domestic and international

financial institutions such as the World Bank and KfW during the implementation of the project.

If necessary, the ESMF will be constantly updated and improved.

Figure 1．Hierarchy of Environmental and Social Management

2.3 Qualification of Social Experts

According to the development of the business of FSC, select 1 to 2 excellent social experts. Their

qualification should at least follow the criteria below:

d) Have strong expertise in the field or industry and familiar with domestic and international

situation and their developments;

e) Familiar with related social safeguard policies of international financial institutions, such

as the World Bank/KfW and China’s relative policies and legislation;

f) Have advanced professional technical title and have at least 10 years or over 10 years’

experience in the field.

2.4 Mode of contract execution

The limited selection of individual consultant will be adopted for the selection of social experts. The

consulting service fee will be paid according to his/her output results (Lump Sum). The social

experts who express the interest in this service shall submit two hard copies of these documents: CV,

relevant qualification and experience certificate before 15th

March, 2019.

2.5 Major output results and reports

Outputs/Reports Timing Note

Social management review Completion of the including due diligence,


43

report of the financed

sub-project (including PPT

materials for trainings)

assessment report

within 2-3 weeks of

receipt of the report,

depending on the

complexity of the

sub-project.

assessment, safeguard

capacity building, and

guiding the project

implementation unit to

prepare social safeguard

documents.

Implementation of the Social

Safeguard Documents (mainly

include Resettlement Action

Plan, Ethnic Minority

Development Plan, Social

Management Plan, etc.) and

review of external monitoring

reports

Within 1-2 weeks upon

the receipt of external

social monitoring

reports

Twice per year, during

the Project

implementation period

Assist in the relevant reviews

by WB/KfW

During the missions of

WB/KfW

Attend WB/KfW

missions and make

on-site visits

Update and improve the

ESMF (if necessary)

3. Work place

Shanghai Green Urban Financing and Services Co., Ltd.（130 Wusong Road, 12F）will be the main

work place of the project. If the FSC invests the sub-projects beyond Shanghai, the consultants need

to carry out due diligence and make on-site evaluation and other related work, the travel expenses

will be borne by FSC.

4. Facilities to be provided

FSC is responsible for providing office space for activities related to this project, including an

isolated office, a telephone, a whiteboard, internet, printing and copy facilities (can be shared) and a

designated project coordinator.

5. Contract Validity

The contract for the social experts is valid for one year since 1st April, 2019 to 31

st March, 2020.

6. Contact Person

Contact: Ms. Wang, Qiuyue; Ms. Liu, Kun

Mobile:18916128651, 18616336820

Email:[email protected]，[email protected]