[Appraisal Stage] ENVIRONMENTAL and SOCIAL COMMITMENT PLAN (ESCP)

Public Disclosure Authorized PEOPLE’S REPUBLIC OF CHINA

CHINA PLASTIC WASTE REDUCTION PROJECT (P174267)

Public Disclosure Authorized [Appraisal Stage] ENVIRONMENTAL and SOCIAL COMMITMENT PLAN (ESCP)

Public Disclosure Authorized

April 2021

Public Disclosure Authorized

ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN

1. The People’s Republic of China (hereinafter the Borrower) shall, and shall cause the Chongqing Municipality and the Ningbo Municipality (hereinafter the Project Implementing Entities) to, implement the China Plastic Waste Reduction Project (the Project), with the involvement of entities at central, municipal and district level as follows: (a) with respect to the activities implemented at the central level (National Part of the Project), the National Development and Reform Commission (NDRC) and the National Energy Conservation Center; (b) with respect to the activities implemented by Chongqing Municipality (Chongqing’s Part of the Project), the Chongqing Environment & Sanitation Group Co., Ltd. (ESG), Chongqing Qijiang District, Chongqing Nanzhou Urban Management Co., Ltd., Wulong District, Wulong District Construction Investment Group, Chongqing Development Reform Commission, Chongqing Finance Bureau and others municipal and district/county entities; and (c) with respect to the activities implemented by Ningbo Municipality (Ningbo’s Part of the Project), Ningbo Dabashou Bio-Digital Technologies Co., Ltd., Ningbo Haijing Plastic Recycling Technology Co., Ltd., Ningbo City Construction Waste Recycling Technology Co., Ltd., Ningbo Qingyuan Water Environment Service Co., Ltd., Ningbo City Management Bureau Waste Segregation Center, Ningbo Development Reform Commission, Ningbo Finance Bureau and others municipal and district/county entities. The International Bank for Reconstruction and Development (hereinafter the Bank) has agreed to provide financing for the Project.

2. The Borrower shall, and shall cause the Project Implementing Entities to, implement material measures and actions so that the Project is implemented in accordance with the Environmental and Social Standards (ESSs). This Environmental and Social Commitment Plan (ESCP) sets out material measures and actions, any specific documents or plans, as well as the timing for each of these.

3. The Borrower shall, and shall cause the Project Implementing Entities to, also comply with the provisions of any other E&S documents required under the ESF and referred to in this ESCP, such as Environmental and Social Management Framework, Environmental Impact Assessment, Social Impact Assessment, Environmental and Social Audit Report, Environmental and Social Management Plan, Labor Management Procedure, Resettlement Framework, Resettlement Plan, Ethnic Minority Development Framework, Ethnic Minority Development Plan, Chance Find Procedure, Stakeholder Engagement Plan, Grievance Redress Mechanism, capacity training plan, etc. and the timelines specified in those E&S documents.

4. The Borrower and the Project Implementing Entities are responsible for compliance with all requirements of the ESCP even when implementation of specific measures and actions is conducted by the entity, agency or unit referenced in paragraph 1. above.

5. Implementation of the material measures and actions set out in this ESCP shall be monitored and reported to the Bank by the Borrower and/or the Project Implementing Entities as required by the ESCP and the conditions of the Loan Agreement and the respective Project Agreement, and the Bank will monitor and assess progress and completion of the material measures and actions throughout implementation of the Project.

6. As agreed by the Bank, the Borrower and the Project Implementing Entities, this ESCP may be revised from time to time during Project implementation, to reflect adaptive management of Project changes and unforeseen circumstances or in response to assessment of Project performance conducted under the ESCP itself. In such circumstances, the Borrower, through NDRC, and the Project Implementing Entities, through the respective Project Management Office, will agree to the changes with the Bank and will update the ESCP to reflect such changes. Agreement on changes to the ESCP shall be documented through the exchange of letters signed between the Bank and the Borrower, through NDRC, and the Project Implementing Entities, through the respective Project Management Office. A change only to Section A of the ESCP affecting only the National Part of the Project may be agreed in writing between the Bank and NDRC. A change only to Section B or C of the ESCP affecting only Chongqing’s Part of the Project or Ningbo’s Part of the Project may be agreed in writing between the Bank the relevant Project Implementing Entity, through its Project Management Office. The Borrower, through NDRC, and the Project Implementing Entities, through the respective Project Management Office, shall promptly disclose the updated ESCP.

1 7. Where Project changes, unforeseen circumstances, including changes to existing legislative framework, or Project performance result in changes to the risks and impacts during Project implementation, the Borrower and the Project Implementing Entities shall provide additional funds, if needed, to implement actions and measures to address such risks and impact, which may include occupational health and safety impacts, community health and safety, land acquisition and resettlement, not-in-my-backyard impacts.

A. Material Measures and Actions for the National Part of the Project

RESPONSIBILE MATERIAL MEASURES AND ACTIONS TIMEFRAME ENTITY/AUTHORITY MONITORING AND REPORTING REGULAR REPORTING Prepare and submit to the Bank regular monitoring reports on the The Project Steering environmental and social performance (E&S) of the National Part of the Bi-annually throughout the period of Committee set up by A Project, including but not limited to the implementation of the ESMF National Part of the Project NDRC and National PMO and a stand-alone stakeholder engagement framework (SEF) for the implementation for National Part of the National Part of the Project, and labor management performance of Project subprojects, and implementation of ESCP. INCIDENTS AND ACCIDENTS Promptly notify the Bank of any incident or accident related to the National Part of the Project which has, or is likely to have, a significant adverse effect on the environment, the affected communities, the Notify the Bank within 48 hours after public or workers. Provide sufficient detail regarding the incident or learning of the incident or accident; The National PMO and B accident, indicating immediate measures taken or that are planned to and submit subsequent report as TA Consultants be taken to address it, and any information provided by any contractor specified by the Bank. and supervising entity, as appropriate. Subsequently, as per the Bank’s request, prepare a report on the incident or accident and propose any measures to prevent its recurrence. ESS 1：ASSESSMENT AND MANAGEMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND IMPACTS ORGANIZATIONAL STRUCTURE Establish and maintain an E&S management position with at least one Prior to commencement of the first 1.1 The National PMO qualified staff and adequate resources to support management of E&S TA activity, and maintain throughout risks. the period of Project implementation Prior to commencement of the first Include E&S experts in the National PMO expert advisory panel to TA activity, and maintain throughout 1.2 The National PMO provide E&S management advice. the period of implementation of the National Part of the Project ENVIRONMENTAL AND SOCIAL ASSESSMENT Update, disclose, consult, adopt, and implement the national ESMF Throughout the period of 1.3 that has been prepared for the National Part of the Project, in a implementation of the National Part The National PMO manner acceptable to the Bank. of the Project.

1.4 MANAGEMENT TOOLS AND INSTRUMENTS

RESPONSIBILE MATERIAL MEASURES AND ACTIONS TIMEFRAME ENTITY/AUTHORITY Implement all commitments as defined in the ESMF, including but not Prior to commencement of each TA The National PMO and limited to: activity, and throughout its TA Consultants • Ensure the Terms of Reference (TORs) for all Technical Assistance implementation. (TA) studies shall include requirements for consideration of potential downstream E&S risks and impacts in a manner consistent with the ESSs, and submit the TORs to the Bank for review and no-objection. • Ensure the ToRs for all TA studies shall include the elements of public consultation and information disclosure consistent with the national SEF and ESS10 , and submit the TORs to the Bank for review and no-objection.

Include E&S impact assessments in output reports of the TA studies as required in the TORs. Such output reports to be consistent with Prior to final acceptance of each TA The National PMO and 1.5 relevant ESSs shall be submitted to the Bank for review and no- output report. TA Consultants objection. In case the National Part of the Project directly supports development Prior to submission of such laws and of laws and/or regulations, the draft of such laws/regulations to be 1.6 regulations to the competent The National PMO consistent with relevant ESSs shall be submitted to the Bank for review authorities for approval. and no-objection. MANAGEMENT OF CONTRACTORS Incorporate the relevant aspects of the ESCP for the National Part of Prior to the preparation of bidding the Project, including the relevant E&S documents and/or plans, and documents. 1.7 requirements on labor management consistent with China’s laws and Supervise contractors throughout The National PMO regulations, OHS and GRM, into the procurement documents of TA implementation of National Part of consulting companies. Thereafter ensure that the contractors comply the Project. with such E&S requirements under their respective contracts. ESS 2：LABOR AND WORKING CONDITIONS LABOR MANAGEMENT PROCEDURES Throughout National Part of the 2.1 Ensure the labor management procedure for project workers comply The National PMO Project implementation with national laws and regulations, and requirements of ESS2. Ensure the labor management procedures of the consulting companies Throughout the TA activities 2.2 for the TA activities comply with national laws and regulations, and TA Consultants implementation requirements of ESS2.

RESPONSIBILE MATERIAL MEASURES AND ACTIONS TIMEFRAME ENTITY/AUTHORITY GRIEVANCE MECHANISM FOR PROJECT WORKERS Establish, disclose, maintain, and operate a grievance mechanism for The National PMO and 2.3 Throughout Project implementation Project workers in accordance with the national ESMF and consistent TA consultants with ESS2. OCCUPATIONAL HEALTH AND SAFETY (OHS) MEASURES Prepare, adopt, and implement occupational, health and safety (OHS) The National PMO and 2.4 measures in accordance with the national ESMF and ESS2 requirements Throughout Project implementation TA consultants to manage the downstream risks and impacts on labor and working conditions. ESS 3：RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT: Throughout the TA activities The National PMO and 3.1 Assessment of the potential downstream resource efficiency and implementation TA consultants pollution prevention and recommendations shall be included in the terms or reference and output reports of the TA studies. ESS 4：COMMUNITY HEALTH AND SAFETY TRAFFIC AND ROAD SAFETY:

Assessment of the potential downstream traffic and road safety Throughout the TA activities 4.1 The National PMO and impacts and measures and recommendations shall be included in the implementation TA consultants terms of reference and output reports of TA studies. COMMUNITY HEALTH AND SAFETY：

The environmental and social assessment documents prepared under Throughout the TA activities 4.2 The National PMO and TA studies shall assess the community health and safety risks and implementation TA consultants impacts and specify necessary mitigation measures. ESS 5 LAND ACQUISITION, RESTRICTIONS ON LAND USE AND INVOLUNTARY RESETTLEMENT RESETTLEMENT ACTION PLANS:

As relevant, assessment of the potential downstream land acquisition Throughout the TA activities 5.1 and resettlement impacts and mitigation measures recommendations implementation The National PMO and shall be included in the terms of reference and output reports of the TA consultants TA studies. GRIEVANCE MECHANISM:

As relevant, include the GRM in the terms of reference and output Throughout the TA activities 5.2 The National PMO and reports of the TA studies to address potential downstream implementation TA consultants resettlement related complaints. ESS 6: BIODIVERSITY CONSERVATION AND SUSTAINABLE MANAGEMENT OF LIVING NATURAL RESOURCES

RESPONSIBILE MATERIAL MEASURES AND ACTIONS TIMEFRAME ENTITY/AUTHORITY BIODIVERSITY RISKS AND IMPACTS： As relevant, assessment of the potential downstream biodiversity Throughout the TA activities The National PMO and 6.1 impacts and mitigation recommendations shall be included in the TOR implementation TA consultants and in the output reports of the TA studies. ESS 7：INDIGENOUS PEOPLES/SUB-SAHARAN AFRICAN HISTORICALLY UNDERSERVED TRADITIONAL LOCAL COMMUNITIES ETHNIC MINORITY DEVELOPMENT PLAN As relevant, assessment of potential downstream impacts on ethnic minorities areas shall be included in the TOR and in output reports that Throughout the TA activities The National PMO and 7.1 shall be consistent to ESS 7 and be acceptable to the Bank. Provisions on implementation TA consultants culturally appropriate research, consultation, and disclosure methods shall be included in the TORs and in output reports GRIEVANCE MECHANISM Throughout the TA activities 7.2 As relevant, GRM established in the SEP (as per ESS10) shall consider the The National PMO and implementation special needs, priorities and circumstances of ethnic minority people. TA consultants As relevant, assessment of the potential downstream ethnic minority impacts and development plan shall be included in the terms of Throughout the TA activities The National PMO and 7.3 reference and output reports of the TA studies that shall be consistent implementation TA consultants to ESS7 and be acceptable to the Bank. ESS 8：CULTURAL HERITAGE CHANCE-FINDS： As relevant, assessment of the potential downstream cultural heritage 8.1 impacts and chance-find procedures shall be included in the terms of Throughout the TA activities The National PMO and reference and output reports of the TA studies. implementation TA consultants ESS 9: FINANCIAL INTERMEDIARIES 9.1 Not relevant ESS 10：STAKEHOLDER ENGAGEMENT AND INFORMATION DISCLOSURE STAKEHOLDER ENGAGEMENT PLAN PREPARATION AND IMPLEMENTATION: Throughout the TA activities 10.1 Develop a SEP for each TA activity consistent with the national SEF and The National PMO implementation ESS10, and implement it to conduct information disclosure and consultation, and consider stakeholder interests and concerns PROJECT GRIEVANCE MECHANISM: GRM arrangements developed in the SEF and relevant SEPs shall be Throughout the TA activities 10.2 maintained throughout the implementation of the National Part of the implementation The National PMO Project.

RESPONSIBILE MATERIAL MEASURES AND ACTIONS TIMEFRAME ENTITY/AUTHORITY PARTICIPATION OF ETHNIC MINORITY PEOPLE: Ethnic minority development plan shall be specifically presented in SEP Throughout the TA activities 10.3 when relevant to a TA activity, and culturally appropriate information The National PMO implementation disclosure and participation shall be conducted during the TA implementation. CAPACITY SUPPORT (TRAINING) The National PMO shall carry out E&S and social management training After effectiveness of the Loan CS1 for its staff and relevant units according to the training plan in the The National PMO Agreement; once every year. ESMF. Provide E&S management training to consulting companies for TA Prior to commencement of TA CS2 The National PMO activities studies.

B. Material Measures and Actions for the Chongqing’s Part of the Project

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY MONITORING AND REPORTING A REGULAR REPORTING Prepare and submit to the Bank regular monitoring reports on Bi-annually throughout Project Chongqing PMO and the the environmental, social, health and safety (ESHS) implementation PIUs performance of Chongqing’s Part of the Project, including but (Chongqing Environment not limited to the implementation of the ESCP, status of & Sanitation Group Co., preparation and implementation of E&S documents required Ltd. (ESG), Chongqing under the ESCP, stakeholder engagement activities, Nanzhou Urban functioning of the grievance mechanism(s). Management Co., Ltd., and Wulong District Send the ToRs of the regular Monitoring & Evaluation for each Construction Investment batch of Chongqing’s Part of the Project to the Bank for review Group) before the engagement of consultant. B INCIDENTS AND ACCIDENTS Establish incidents and accidents reporting and investigation Notify the Bank within 48 hours after learning Chongqing PMO and the process and culture in daily operation, as required in the of the incident or accident. A report would be PIUs, ESMF, ESMP, and LMP. provided within a one week to the Bank Contractors

Promptly notify the Bank of any incident or accident related to Chongqing’s Part of the Project which has, or is likely to have, a significant adverse effect on the environment, the affected communities, the public or workers. Provide sufficient detail regarding the incident or accident, indicating immediate measures taken or that are planned to be taken to address it, and any information provided by any contractor and supervising entity, as appropriate. Subsequently, as per the Bank’s request, prepare a report on the incident or accident and propose any measures to prevent its recurrence.

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY C CONTRACTORS MONTHLY REPORTS In contracts for works using the Bank’s standard procurement Monthly throughout the contract execution Contractors documents, contractors are required to provide monthly internal environmental and social implementation progress reports to the Project Implementing Unit. The template of the contractor’s monthly report would be submitted to the Bank task team for review and no-objection before preparing the first report. Chongqing PMO and the Such monthly reports shall be submitted to the Bank by Promptly upon Bank’s request PIUs Chongqing upon request.

ESS 1: ASSESSMENT AND MANAGEMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND IMPACTS 1.1 ORGANIZATIONAL STRUCTURE-PMO Establish an environmental and social management positions Throughout the implementation of Chongqing PMO with at least one qualified environmental staff and one social Chongqing’ Part of the Project staff and adequate resources to support management of E&S risks. 1.2 ORGANIZATIONAL STRUCTURE— each PIU Establish the positions with staff responsible for E&S Before commencing the E&S preparation of Chongqing PIUs management (if a subproject is classified as high risk or the 1st subproject to be implemented by the substantial risk, an environmental staff and a social staff respective PIU, and thereafter maintained respectively will be assigned, otherwise, one staff will be throughout the period of subproject assigned) and allocate adequate resources. implementation 1.3 MANAGEMENT TOOLS AND INSTRUMENTS Screen any proposed subproject in accordance with the ESMF Chongqing PMO and the Before the appraisal of each specific prepared for Chongqing Part’s of the Project, prepare E&S PIUs investment activity. screening report and TORs of the E&S documents, and submit these documents to the Bank for review. 1.4 Implement the environment and social management activities Chongqing PMO and the as required by Environment Impact Assessment (EIA), Social Throughout the first batch subprojects PIUs Impact Assessment (SIA), Stakeholder Engagement Plan (SEP) implementation. for the first batch subprojects.

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 1.5 ENVIRONMENTAL AND SOCIAL ASSESSMENT Conduct Environment and Social Assessment (such as, but not Before the appraisal of each specific Chongqing PMO and the limited to the annex 1 of ESS1) and prepare relevant E&S investment activity. PIUs documents by a qualified and experienced persons/ organizations for each project activities proportionating the risk level in a manner acceptable to the Bank before the approval/assessment of specific investment activities. Disclose all relevant E&S documents locally and provide the E&S documents to the Bank for disclosure. 1.6 ENVIRONMENTAL AND SOCIAL ASSESSMENT For subprojects comprising or including existing facilities or Before the appraisal of each specific Chongqing PMO and the existing activities (e.g., three waste transfer stations of the 1st investment activity. PIUs batch of the Project ) that do not meet the requirements of the ESSs, an Action Plan will be developed to adopt and implement measures satisfactory to the Bank so that specific aspects of such facilities and activities meet the requirements of the ESSs in accordance with the ESCP. No project activities should begin at a site until the E&S social audit is complete and that corrective actions, if any, have been addressed in accordance with the agreed corrective action plan.

Report the progress of implementation of actions to the Bank and submit evidence for Bank’s review. 1.7 MANAGEMENT OF CONTRACTORS Incorporate the relevant aspects of the ESCP, including the Prior to the preparation of procurement Chongqing PMO and the relevant E&S documents and/or plans, and the Labor documents. PIUs Management Procedures, into the ESHS specifications of the Supervise contractors throughout Project procurement documents with contractors. Thereafter ensure implementation. that the contractors comply with the ESHS specifications of their respective contracts.

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 1.8 PERMITS, CONSENTS AND AUTHORIZATION Obtain or, where appropriate assist in obtaining, permits, Comply with the deadlines set by China’s laws Chongqing PMO and the consents and authorizations, including “Opinions on Land Use and regulations PIUs Preliminary Review and Project Siting ”, “Approval of Environmental Impact Assessment”, “Approval of Water & Soil Conservation”, “Approval of Geological Hazard Assessment ” , “Acceptance and Review of Fire Prevention Design” , ”Approval of Waterway Safety Assessment Report ” and “ Approval of Flood Prevention Design” ,applicable to the subproject activities from relevant government authorities and comply or cause to comply with all required conditions, and maintain in full effect throughout subproject activities. 1.9 RELATED PROCEDURES OF JIGUANSHI DOCK Complete all statutory approval procedures for the Ship By the end of 2021 Chongqing PMO and the Waste Reception and Disposal Project: relevant PIU • Prepare and submit a Waterway Safety Assessment Report to the Bank and the Chongqing Maritime Safety Administration; • Prepare and submit a flood prevention design to the Bank and the Chongqing Maritime Safety Administration; • Prepare and submit an EIA Report to the Chongqing Municipal Bureau of Environment and Ecology.

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY MANAGEMENT TOOLS AND INSTRUMENTS for TA Activities Implement all commitments as defined in Chongqing’s ESMF, including but not limited to: Before commencement of TA activities, and • Ensure the TORs for all TA activities shall include throughout their implementation requirements for consideration of potential downstream E&S risks and impacts in a manner consistent with the ESSs and submit the TORs to the Bank for review and no- objection. • Ensure the TORs for all TA studies shall include the Chongqing PMO and PIUs, 1.10 elements of public consultation and information and TA Consultants disclosure consistent with the overall SEP (for the Chongqing’s Part of the Project) and ESS10, and submit the TORs to the Bank for review and no-objection. Before final acceptance of the TA output The TA outputs shall include appropriate E&S impact reports. assessments and mitigation measures consistent with relevant ESSs. The TA output reports shall be submitted to the Bank for review and no-objection. ESS 2: LABOR AND WORKING CONDITIONS

LABOR MANAGEMENT PROCEDURES Ensure the labor management procedure for all project Throughout Project implementation Chongqing PMO and the 2.1 workers comply with national laws and regulations, and PIUs requirements of ESS2. Implement the requirements of the LMP in Annex 6 of the ESMF and ensure the labor management procedure for Throughout Project implementation Chongqing PMO and the 2.2 subproject workers comply with national laws and PIUs regulations. 2.3 GRIEVANCE MECHANISM FOR PROJECT WORKERS Establish, disclose, maintain, and operate a grievance Throughout Project implementation Chongqing PMO and the mechanism for Project workers in accordance with ESMF PIUs Annex 6 and consistent with ESS2.

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 2.3 OCCUPATIONAL HEALTH AND SAFETY (OHS) MEASURES Establish and implement regular monitoring on the workplace Throughout Project implementation Chongqing PMO and the occupational health and safety (OHS) hazards, and provide PIUs regular occupational health check-up for workers engaged in relevant positions according to the monitoring and evaluation results. ESS 3: RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT 3.1 E-WASTE MANAGEMENT PLAN: Not applicable 3.2 RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT Resource efficiency and pollution prevention and At the preparation of relevant subproject Chongqing PMO and the management measures will be developed under the ESMP to activities, and throughout the subproject PIUs be prepared, submitted and implemented under actions implementation from 1.3 to 1.7 above.

For TA studies, assessment of the potential downstream Throughout the TA activities implementation resource efficiency and pollution prevention and recommendations shall be included in the output reports of relevant TA activities. ESS 4: COMMUNITY HEALTH AND SAFETY 4.1 TRAFFIC AND ROAD SAFETY Traffic and road safety measures in line with ESMF Annex 9 At the preparation of relevant subproject Chongqing PMO and the and ESS4 requirements are to be included in the ESMPs for activities, and throughout the subproject PIUs specific subprojects. implementation

For TA studies, assessment of the potential downstream Throughout the TA activities implementation traffic and road safety and recommendations shall be included in the output reports of relevant TA activities.

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 4.2 COMMUNITY HEALTH AND SAFETY Prepare, disclose, consult, adopt, and implement measures At the preparation of relevant subproject Chongqing PMO and the and action to assess and manage specific risks and impacts to activities, and throughout the subproject PIUs the community arising from Project activities including implementation remediation of landfills, construction of waste transfer or treatment station, storage/transportation of fuels and hazardous wastes, as described in the ESMPs to be prepared in accordance with the ESMF, in a manner acceptable to the Bank.

For TA studies, the environmental and social assessment Throughout the TA activities implementation documents assess the community health and safety risks and impacts and develop necessary mitigation measures. 4.3 GBV RISKS Assess, prepare, disclose, consult, adopt, and implement Before the appraisal of each specific Chongqing PMO and the appropriate mitigation measures (as part of the investment activity. PIUs environmental and social assessment) to address the risks of gender-based violence (GBV). ESS 5: LAND ACQUISITION, RESTRICTIONS ON LAND USE AND INVOLUNTARY RESETTLEMENT 5.1 RESETTLEMENT PLANS Prepare, disclose, consult, adopt, and implement At subproject preparation stage, before Chongqing PMO and the resettlement plans (RPs) for specific subprojects in commencement of subproject activities that PIUs accordance with the requirements of the Resettlement involve land acquisition and resettlement Framework (RF) (Annex 7 of the ESMF) that has been prepared for the Project.

For TA studies, as relevant, assessment of the potential Throughout the TA activities implementation downstream land acquisition and resettlement impacts, and mitigation measures recommendations shall be included in the output reports of relevant TA activities.

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 5.2 Resettlement Audit Conduct resettlement audit for previous resettlement At subproject preparation stage, before Chongqing PMO and the activities where the land is to be used by the subproject commencement of subproject activities. PIUs activities in accordance with Annex 5 of the ESMF. For the 1st batch of subprojects, the relevant PIU will disburse the annual land rental (in the case of Zouma Subproject) following the timeline agreed in the contract to the relevant households. The relevant PIU will follow up with the township government and the village committees on the status of collective-owned fund utilization and allocation (involving 3 village groups affected by Jieshi and Luoqi subprojects) and coordinate the government to allocate the remaining floor areas of replacement apartments for 4 households affected by the Jieshi Subproject in 2021. Approval of Land Use Chongqing PMO and the 5.3 Obtain approval documents for land use in accordance with Prior to land acquisition and resettlement PIUs relevant laws 5.4 Resettlement Compensation & Assistance Allocate adequate budget to according to the relevant RPs and Before reaching agreement with affected Wulong District applicable standards. Where there are discrepancies between persons. Government local regulations and Bank’s standards, the most stringent will Qijiang District apply. Government Chongqing PMO and the PIUs

5.5 Resettlement Compensation & Assistance Disburse the compensation in a full and timely manner. Prior to land acquisition and resettlement Wulong District Take possession of acquired land and related assets only after and/or prior to tendering civil work contracts Government compensation in accordance with ESS5 and RP has been made for a specific subproject Qijiang District available, and, where applicable, displaced people have been Government resettled and moving allowances have been provided to the Chongqing PMO and the displaced persons in addition to compensation. PIUs

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 5.6 Livelihood Restoration Implement relevant measures to ensure to assist displaced The timelines set out in the RP and, in any Wulong District persons in their efforts to improve, or at least restore, their event, before the project closing Government livelihoods and living standards. Qijiang District Government Chongqing PMO and the PIUs

5.7 GRIEVANCE MECHANISM The GRM to address resettlement related complaints will be Prior to land acquisition and resettlement. Wulong District established in the specific subproject’s RP and will be Government implemented, disclosed and monitored. Qijiang District Government For TA studies, as relevant, include the GRM in the output Throughout the TA activities implementation Chongqing PMO and the reports of the TA studies to address potential downstream PIUs resettlement related complaints. ESS 6: BIODIVERSITY CONSERVATION AND SUSTAINABLE MANAGEMENT OF LIVING NATURAL RESOURCES 6.1 BIODIVERSITY RISKS AND IMPACTS: Assess potential risks and impacts on biodiversity in the Chongqing PMO and PIUs process of EIA in line with the ESMF. Implement the measures At preparation of relevant subproject to avoid, minimize and mitigate the impacts on biodiversity activities, and throughout the subproject developed in the ESMP. implementation

For TA studies, as relevant, assessment of the potential Throughout the TA activities implementation downstream biodiversity impacts and mitigation measures recommendations shall be included in the terms of reference and output reports of relevant TA activities. ESS 7: INDIGENOUS PEOPLES/SUB-SAHARAN AFRICAN HISTORICALLY UNDERSERVED TRADITIONAL LOCAL COMMUNITIES

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 7.1 ETHNIC MINORITY DEVELOPMENT PLAN Screen any proposed subproject in accordance with the Before the appraisal of each specific Chongqing PMO and the Environmental and Social Management Framework (ESMF) investment activity. PIUs and reflect whether ethnic minorities are present in or have collective attachment to the proposed subproject area in the SIA TOR.

In the case of ESS7 is relevant to specific subproject, prepare, consult, disclose, adopt, and implement Ethnic Minority Development Plans (EMDPs) consistent with the requirements of ESS7, in a manner acceptable to the Bank. 7.2 GRIEVANCE MECHANISM As required under the EMDPs, prepare, adopt, disclose and Before the appraisal of each specific Chongqing PMO and the implement the arrangements for the grievance mechanism for investment activity. PIUs ethnic minority people, considering the special needs, priorities and circumstances of ethnic minority people and consistent with the grievance mechanism established under ESS10. ESS 8: CULTURAL HERITAGE 8.1 CHANCE FINDS: Prepare, adopt, and implement the chance finds procedure in At preparation of relevant subproject Chongqing PMO and the specific subprojects’ environmental and social assessment activities, and throughout the subproject PIUs documents in line with ESS8. implementation

For TA studies, as relevant, assessment of the potential downstream cultural heritage impacts, and chance-find Throughout the TA activities implementation procedures shall be included in the output reports of relevant TA activities. ESS 9: FINANCIAL INTERMEDIARIES 9.1 Not applicable ESS 10: STAKEHOLDER ENGAGEMENT AND INFORMATION DISCLOSURE

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 10.1 STAKEHOLDER ENGAGEMENT PLAN PREPARATION AND IMPLEMENTATION Implement an overall Stakeholder Engagement Plan (SEP) for throughout the implementation of the Chongqing PMO and the Chongqing’s Part of the Project and a stand-alone SEP for the Chongqing’s Part of the Project and the PIUs 1st batch of the Chongqing’s Part of the Project. subproject.

STAKEHOLDER ENGAGEMENT PLAN PREPARATION AND IMPLEMENTATION: Chongqing PMO and the 10.2 Prepare, disclose, and implement the SEPs for subproject At preparation of relevant subproject PIUs activities in future batches, consistent with the ESMF, the activities, and throughout the subproject overall SEP, and ESS10. implementation 10.3 PROJECT GRIEVANCE MECHANISM GRM arrangement that has been developed in the Chapter 6 At preparation of relevant subproject Chongqing PMO and the of the ESMF and the SEP during preparation stage shall be activities, and throughout the subproject PIUs disclosed, maintained and monitored during the implementation implementation of Chongqing’s Part of the Project. CAPACITY SUPPORT (TRAINING)

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY CS1 Following the Chapter 7 of the ESMF, prepare annual training program and carry out E&S and social management training Timelines as set out in the annual training Chongqing PMO and the for staff of PMO and PIUs, and workers from participating plan agreed between the Bank the PMO/PIUs PIUs contractors and communities, covering: • ESF and ESMF; • ESMP for each subproject; • SEP and GRM; • ESCP; • Community health and safety; • GBV risk prevention and management; • COVID-19 prevention; • Traffic management plan; • Labor camp management plan; • Emergency Preparedness Plan; • LMP and Labor GRM.

CS2 Implement the training programs for Project workers on occupational health and safety: Timelines as set out in the annual training Chongqing PMO and the • LMP and Labor GRM, including GBV risk prevention plan agreed between the Bank and the PIUs and management; PMO/PIUs • Occupational Health and Safety; • PPE use; • COVID-19 prevention; • Traffic management plan; • Labor camp management plan; • Emergency Preparedness Plan. CS3 Waste management publicity and education for residents: Throughout Project implementation. Chongqing PMO and the • public open day activities of waste sorting and PIUs recycling facilities.

C. Material Measures and Actions for Ningbo’s Part of the Project

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY MONITORING AND REPORTING REGULAR REPORTING Project Management Office within Prepare and submit to the Bank regular monitoring reports on the Bi-annually throughout Ningbo’s City Management Bureau environmental, social, health and safety (ESHS) performance of Project implementation (hereafter “Ningbo PMO”) and the Ningbo’s Part of the Project, including but not limited to the Project Implementation Units implementation of ESCP, status of preparation and implementation of within Ningbo Dabashou Bio-Digital E&S documents required under the ESCP, stakeholder engagement Technologies Co., Ltd., Ningbo activities, functioning of the grievance mechanism(s). Haijing Plastic Recycling Technology A Co., Ltd., Ningbo City Construction Send the ToRs of the regular Monitoring & Evaluation for each batch of Waste Recycling Technology Co., Ningbo’s Part of the Project to the Bank task team for review before Ltd., Ningbo Qingyuan Water the engagement of consultant Environment Service Co., Ltd., Ningbo City Management Bureau Waste Segregation Center (hereafter “Ningbo PIUs”) INCIDENTS AND ACCIDENTS Establish incidents and accidents reporting and investigation process and culture in daily operation, as required in the ESMF, ESMP, and LMP.

Notify the Bank within 48 Promptly notify the Bank of any incident or accident related to hours after learning of the Ningbo’s Part the Project which has, or is likely to have, a significant B incident or accident; and Ningbo PMO and Ningbo PIUs adverse effect on the environment, the affected communities, the submit subsequent report public or workers. Provide sufficient detail regarding the incident or as specified by the Bank. accident, indicating immediate measures taken or that are planned to be taken to address it, and any information provided by any contractor and supervising entity, as appropriate. Subsequently, as per the Bank’s request, prepare a report on the incident or accident and propose any measures to prevent its recurrence.

C CONTRACTORS MONTHLY REPORTS

Contractors

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY In contracts for works using the Bank’s standard procurement Monthly throughout the documents, contractors are required to provide monthly internal contract execution environmental and social implementation progress reports to the Project Implementing Unit. The template of the contractor’s monthly report would be submitted to the Bank task team for review and no- objection before preparing the first report. Ningbo PMO and Ningbo PIUs

Such monthly reports shall be submitted to the Bank by Ningbo upon Promptly upon Bank’s request. request ESS 1：ASSESSMENT AND MANAGEMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND IMPACTS ORGANIZATIONAL STRUCTURE—PMO

Establish and maintain an environmental and social management Throughout the 1.1 positions with at least one qualified environmental staff and one Ningbo PMO implementation of qualified social staff and adequate resources to support management Ningbo’ Part of the Project of E&S risks. Before commencing the E&S preparation of the 1st ORGANIZATIONAL STRUCTURE— each PIU subproject to be Establish the positions with staff responsible for E&S management (if a implemented by the 1.2 subproject is classified as high risk or substantial risk, an environmental respective PIU, and Ningbo PIUs staff and a social staff respectively shall be assigned, otherwise, one thereafter maintained staff shall be assigned) and allocate adequate resources. throughout the period of subproject implementation MANAGEMENT TOOLS AND INSTRUMENTS Before the appraisal of Screen any proposed subproject in accordance with the ESMF prepared 1.3 each specific investment Ningbo PMO and Ningbo PIUs for the Project, prepare E&S screening report and TORs of the E&S activity. documents, and submit these documents to the Bank for review. Throughout the first batch Implement the ECOP, Social Impact Assessment (SIA), SEP as approved Ningbo PMO and relevant Ningbo 1.4 subprojects for the first batch subprojects. PIUs implementation. 1.5 ENVIRONMENTAL AND SOCIAL ASSESSMENT

Conduct Environment and Social Assessment (such as, but not limited Before the appraisal of Ningbo PMO and Ningbo PIUs to the annex 1 of ESS1) and prepare relevant E&S documents by a each specific investment qualified and experienced persons/ organizations for each subproject activity

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY proportionate to the risk level in a manner acceptable to the Bank before the approval/assessment of the subproject.

Disclose all relevant E&S documents locally and provide the E&S documents to the Bank for disclosure.

MANAGEMENT OF CONTRACTORS Incorporate the relevant aspects of the ESCP, including the relevant Prior to the preparation of E&S documents and/or plans, and the Labor Management Procedures, procurement documents 1.6 Ningbo PMO and Ningbo PIUs into the ESHS specification of the procurement documents with Supervise contractors contractors. Thereafter ensure that the contractors comply with the throughout Project ESHS specifications of their respective contracts. implementation PERMITS, CONSENTS AND AUTHORIZATION Obtain or, where appropriate assist in obtaining, permits, consents and authorizations including “special plan for environmental and sanitation facilities”, “construction land preliminary examination and site Comply with the deadlines 1.7 selection opinion” , “construction land permit”, and “Waste Electrical set by the China’s laws Ningbo PMO and Ningbo PIUs and Electronic Equipment disposal certificate” etc. applicable to and regulations subproject activities from relevant government authorities and comply or cause to comply with all required conditions, and maintain in full effect throughout subproject activities.

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY MANAGEMENT TOOLS AND INSTRUMENTS for TA Activities Before commencement of Implement all commitments as defined in the ESMF, including but not TA activities, and limited to: throughout their • Ensure the TORs for all TA activities shall include requirements for implementation consideration of potential downstream E&S risks and impacts in a manner consistent with the ESSs and submit the TORs to the Bank for review and no-objection. The Ningbo PMO and PIUs, and TA 1.8 • Ensure the TORs for all TA studies shall include the elements of Consultants public consultation and information disclosure consistent with the overall SEP (for the Ningbo’s Part of the Project) and ESS10, and submit the TORs to the Bank for review and no-objection.

The TA outputs shall include appropriate E&S impact assessments and Before final acceptance of mitigation measures consistent with relevant ESSs. The TA output the TA output reports. reports shall be submitted to the Bank for review and no-objection. ESS 2：LABOR AND WORKING CONDITIONS LABOR MANAGEMENT PROCEDURES Throughout the Project 2.1 Ensure the labor management procedure for all project workers Ningbo PMO and Ningbo PIUs implementation comply with national laws and regulations, and requirements of ESS2. Implement the requirements of the LMP in Annex 7 of the ESMF and Throughout the Project 2.2 ensure the labor management procedure for subproject workers Ningbo PMO and Ningbo PIUs implementation comply with national laws and regulations. GRIEVANCE MECHANISM FOR PROJECT WORKERS

Establish, disclose, maintain, and operate a grievance mechanism for 2.3 Throughout the Project Project workers in accordance with ESMF Annex 7 and consistent with Ningbo PMO and Ningbo PIUs implementation ESS2. OCCUPATIONAL HEALTH AND SAFETY (OHS) MEASURES Establish and implement regular monitoring on the workplace

2.4 occupational health and safety (OHS) hazards, and provide regular Throughout the Project Ningbo PMO and Ningbo PIUs occupational health check-up for workers engaged in relevant positions implementation according to the monitoring and evaluation results. ESS 3：RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT Developed three months E-WASTE MANAGEMENT PLAN: Prepare, adopt, and implement an E- Ningbo PMO and Ningbo Haijing after the effectiveness of 3.1 Waste Management Plan for the operation of home appliance Plastic Recycling Technology Co., the Loan Agreement and dismantling center. Ltd. thereafter implemented

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY throughout Project implementation RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT: At the preparation of Resource efficiency and pollution prevention and management relevant subproject measures shall be covered under the specific subproject’s activities, and throughout environmental and social impact assessment and relevant the subproject 3.2 environmental and social management plans (ESMP) when the Ningbo PMO and Ningbo PIUs implementation locations are known during the implementation.

Throughout the TA study For TA studies, assessment of the potential downstream resource implementation efficiency and pollution prevention and recommendations shall be included in the output reports of relevant TA activities. ESS 4：COMMUNITY HEALTH AND SAFETY TRAFFIC AND ROAD SAFETY: At the preparation of Traffic and road safety measures in line with ESMF Annex 8 and ECOP relevant subproject and ESS4 requirements are to be included in the ESMPs for specific activities, and throughout subprojects. the subproject 4.1 Ningbo PMO and Ningbo PIUs implementation For TA studies, assessment of the potential downstream traffic and road safety and recommendations shall be included in the output Throughout the TA study reports of relevant TA activities. implementation COMMUNITY HEALTH AND SAFETY： At the preparation of The environmental and social assessment documents assess the relevant subproject community health and safety risks and impacts and develop necessary activities, and throughout mitigation measures that are developed in relevant ESMPs (including the subproject 4.2 contractor’s ESMP). Ningbo PMO and Ningbo PIUs implementation

For TA studies, the environmental and social assessment documents Throughout the TA study assess the community health and safety risks and impacts and develop implementation necessary mitigation measures. 4.3 GBV RISKS Assess, prepare, disclose, consult, adopt, and implement appropriate Before the appraisal of Ningbo PMO and Ningbo PIUs mitigation measures (as part of the environmental and social each specific investment assessment) to address the risks of gender-based violence (GBV). activity.

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY ESS 5：LAND ACQUISITION, RESTRICTIONS ON LAND USE AND INVOLUNTARY RESETTLEMENT RESETTLEMENT PLANS: At subproject preparation Prepare, disclose, consult, adopt, and implement resettlement plans stage, before (RPs) for specific subprojects in accordance with the requirements of commencement of the Resettlement Framework (RF) (Annex 4 of the ESMF) that has been subproject activities that prepared for the Project. involve land acquisition 5.1 Ningbo PMO and Ningbo PIUs and resettlement For TA studies, as relevant, assessment of the potential downstream land acquisition and resettlement impacts, and mitigation measures Throughout the TA study recommendations shall be included in the output reports of relevant implementation TA activities. Resettlement Audit At subproject preparation Conduct resettlement audit for previous resettlement activities where stage, before 5.2 the land is to be used by the subproject activities in accordance with commencement of Ningbo PMO and Ningbo PIUs Annex 5 of the ESMF. subproject activities. Approval of Land Use Prior to land acquisition 5.3 Obtain approval documents for land use in accordance with relevant Ningbo PMO and Ningbo PIUs and resettlement laws Resettlement Compensation & Assistance Local District Government where Allocate adequate budget to according to the relevant RPs and Before reaching subproject activities involve land 5.4 applicable standards. Where there are discrepancies between local agreement with affected acquisition and resettlement regulations and ESS5 requirements, the most stringent shall apply. persons Ningbo PMO and Ningbo PIUs Resettlement Compensation & Assistance Disburse the compensation in a full and timely manner. Prior to land acquisition Take possession of acquired land and related assets only after and resettlement and/or Local District Government where 5.5 compensation in accordance with the RF has been made available, and, prior to tendering civil subproject activities involve land where applicable, displaced people have been resettled and moving work contracts for a acquisition allowances have been provided to the displaced persons in addition to specific subproject Ningbo PMO and Ningbo PIUs compensation.

Livelihood Restoration Local District Government where Implement livelihood restoration programs/measures in a timely The timelines set out in the 5.6 subproject activities involve land fashion to ensure affected persons (APs) in their efforts to improve, or RP and, in any event, acquisition at least restore, their livelihoods and living standards, before the project closing Ningbo PMO and Ningbo PIUs

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY GRIEVANCE MECHANISM: The GRM to address resettlement related complaints shall be established in the specific subproject’s RP, and shall be implemented, Prior to land acquisition Local District Government where disclosed, and monitored. and resettlement subproject activities involve land 5.7 acquisition For TA studies, as relevant, include the GRM in the output report s of Throughout the TA study Ningbo PMO and Ningbo PIUs the TA studies to address potential downstream resettlement related implementation complaints. ESS 6: BIODIVERSITY CONSERVATION AND SUSTAINABLE MANAGEMENT OF LIVING NATURAL RESOURCES BIODIVERSITY RISKS AND IMPACTS： Assess potential risks and impacts on biodiversity in the process of EIA At preparation of relevant in line with the ESMF. Implement the measures to avoid, minimize and subproject activities, and mitigate the impacts on biodiversity developed in the ESMP. throughout the subproject 6.1 implementation Ningbo PMO and Ningbo PIUs For TA studies, as relevant, assessment of the potential downstream biodiversity impacts and mitigation measures recommendations shall Throughout the TA study be included in the terms of reference and output reports of relevant TA implementation activities. ESS 7: INDIGENOUS PEOPLES/SUB-SAHARAN AFRICAN HISTORICALLY UNDERSERVED TRADITIONAL LOCAL COMMUNITIES 7.1 Not relevant ESS 8：CULTURAL HERITAGE CHANCE-FINDS： At preparation of relevant Prepare, adopt, and implement the chance finds procedure in specific subproject activities, and subprojects’ environmental and social assessment documents in line throughout the subproject with ESS8. 8.1 implementation Ningbo PMO and Ningbo PIUs

For TA studies, as relevant, assessment of the potential downstream Throughout the TA study cultural heritage impacts, and chance-find procedures shall be included implementation in the output reports of relevant TA activities. ESS 9: FINANCIAL INTERMEDIARIES 9.1 Not relevant ESS 10：STAKEHOLDER ENGAGEMENT AND INFORMATION DISCLOSURE

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY STAKEHOLDER ENGAGEMENT PLAN PREPARATION AND IMPLEMENTATION: throughout the Ningbo’s 10.1 Ningbo PMO and Ningbo PIUs Implement an overall Stakeholder Engagement Plan (SEP) for Ningbo’s Part of the Project and the Part of the Project and a stand-alone SEP for the 1st batch of the subproject Ningbo’s Part of the Project implementation

STAKEHOLDER ENGAGEMENT PLAN PREPARATION AND

IMPLEMENTATION: At preparation of relevant 10.2 Prepare, disclose, and implement the SEPs for subproject activities in Ningbo PMO and Ningbo PIUs subproject activities, and future batches, consistent with the ESMF, the overall SEP (for the throughout the subproject Ningbo’s Part of the Project) and ESS10. implementation

PROJECT GRIEVANCE MECHANISM: At preparation of relevant GRM arrangement that has been developed in the Chapter 8 of the 10.3 subproject activities, and ESMF and the SEP during preparation stage shall be maintained, Ningbo PMO and Ningbo PIUs throughout the subproject disclosed and monitored during the Project implementation. implementation CAPACITY SUPPORT (TRAINING) Following the Chapter 6 of the ESMF, prepare annual training program and carry out E&S and social management training in terms of Chapter 6 of the ESMF for staff of PMO and PIUs, and workers from participating contractors and communities, covering: • ESF and ESMF; • ESMP for each subproject; • SEP and GRM; Timelines as set out in the • RP; annual training program CS1 Ningbo PMO and Ningbo PIUs • ESCP; agreed between the Bank • Community health and safety; and the PMO/PIUs • GBV risk prevention and management; • COVID-19 prevention; • Traffic management plan. • Labor camp management plan. • Emergency Preparedness Plan. • LMP and Labor GRM. Implement the training programs for Project workers on occupational Timelines as set out in the CS2 Ningbo PMO and Ningbo PIUs health and safety : annual training program

MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY • LMP and Labor GRM, including GBV risk prevention and agreed between the Bank management. and the PMO/PIUs • Occupational Health and Safety. • PPE use. • COVID-19 prevention. • Traffic management plan. • Labor camp management plan. • Emergency Preparedness Plan. Waste management publicity and education for residents: Throughout project CS3 • public open day activities of waste sorting and recycling Ningbo PMO and Ningbo PIUs implementation facilities.