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Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
1
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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Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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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:
OP 4.01/Environmental
assessment (Category A
Project)
EIA report and EMP
Is it likely that the sub-project has minimal or no adverse
impacts on the environment? Please briefly describe:
OP 4.01/Environmental
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:
OP 4.01/Environmental
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:
OP 4.01/Environmental
assessment (Category A
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
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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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:
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.
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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Stage of the
project
Main
activities
Primary
impacts Mitigation and Control Measures
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.
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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2. General Environmental Management Plan Pertaining to Waste Management Stage of the
development
project
Main
activities
undertaken
Primary
impacts Mitigation and Control Measures
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.
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 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.
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. 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
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
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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Stage of the
development
project
Main
activities
undertaken
Primary
impacts Mitigation and Control Measures
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).
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.
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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3. General Environmental Management Plan Pertaining to Remediation Stage of the
development
project
Main
activities
undertaken
Primary
impacts Mitigation and Control Measures
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.
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 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.
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. 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
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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Stage of the
development
project
Main
activities
undertaken
Primary
impacts Mitigation and Control Measures
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.
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.
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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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
impacts Mitigation and Control Measures
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.
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.
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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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.
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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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
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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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
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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
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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10.2.4 Reporting
10.2.5 Post-evaluation
11 Entitlement Matrix
Appendixes
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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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
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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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)
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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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
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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
Urban Financing and Innovation Project-Environmental and Social Management Framework (ESMF) -Appendixes
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.
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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
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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
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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
Shanghai Green Urban Financing and Services Co., Ltd.
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
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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,
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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