Appendix 1 Environmental and Social Screening Checklist This checklist is used by executing agency to review the potential environmental and social safeguard impacts of subprojects and determine whether the subprojects will trigger relevant safeguard policies of World Bank. It is a tool to screen, classify and evaluate the project activities during project preparation. This checklist shall be used in conjunction with Appendix 5, “Project Exclusion List”. Name of subproject Location of subproject Owner of subproject Type and department of subproject Investment estimation Start and completion dates Part one：Environmental Screening Checklist Table 1 Environmental Screening Checklist Answer If yes, it will trigger If yes, relevant Issues safeguard policies of documents shall be Yes No Remarks World Bank provided Will the subproject cause significant negative environmental OP 4.01 impact? Are these impacts Environmental Excluded from the sensitive, diverse or assessment of project scope. unprecedented? Please provide a Category A brief description: Is the impact beyond the project area? Is the impact of project OP 4.01 implementation beyond the scope Environmental Excluded from the of planning? Are these major assessment of project scope. negative environmental impacts Category A irreversible? Please provide a brief description: 1 Does the proposed project have OP 4.01 little or no negative environmental Environmental No review required. impact? Please provide a brief assessment of description: Category C Limited environmental and According to the above definition, OP 4.01 social impact the project is neither Category A Environmental assessment or nor Category C? Please provide a assessment of environmental and brief description: Category B social management plan. Will the subproject have serious OP 4.01 negative social impact? Are these Environmental Excluded from the impacts sensitive, diverse or assessment of project scope. unprecedented? Please provide a Category A brief description: Will the project endanger material and cultural resources (cultural OP 4.11 Excluded from the relics protection units above the Physical cultural project scope. county level)? Please provide a resources brief description: If yes, the site Will the project endanger cultural selection shall be resources that are meaningful to OP 4.11 compared and the the local community or town (such Physical cultural opinions of relevant as the temple of the god of earth in resources affected persons shall the village)? Please provide a brief be solicited in description advance. Does the project involve changes Environmental and or degradation of non-critical OP 4.04 social management natural habitats? Please provide a Natural habitats plan brief description: Does the project involve OP 4.04 Excluded from the significant changes or degradation Natural habitats project scope. of critical natural habitats? Will a new dam be built or an OP 4.37 Excluded from the existing or under construction dam Dam safety project scope. be reconstructed in the subproject? Strict water environment Does the project make the quality OP 4.04 protection measures of surrounding surface water Natural habitats to reduce the impact worse? on water environment 2 Does the project get pesticides (directly through the project, Elaborated in the indirectly through loans, framework of co-financing, or government OP4.09 environmental and counterpart funding), or may there Pest management social impact be ways to influence pest management (pest management programs, even if the management plan) project has never been envisaged to buy pesticides? Does the subproject involve involuntary land acquisition, OP 4.12 Resettlement property loss or loss of sources of Involuntary framework income and livelihood? Please resettlement provide a brief description: Are there ethnic minority communities in the subproject area, and will the proposed OP 4.10 Ethnic development subproject bring them positive or Indigenous people plan negative impacts? Please provide a brief description: Will the project have an impact on forests or forest dependent groups? Will it affect their interaction or dependence on forests? Or is the OP4.36 Excluded from the project designed to bring change to Forest project scope. the management or conservation of natural or planted forests? Please provide a brief description: Will the project have a significant impact on or cause significant OP4.36 Excluded from the changes and degradation to key Forest project scope. natural forest areas or other natural habitats? Conclusions and safeguards measures required According to OP4.01 of World Bank ， the subprojects are classified into Category and the following environment safeguard guarantee measures are required: 1. ____________________________________________________________________ 2. ____________________________________________________________________ 3. ____________________________________________________________________ 3 4. ___________________________________________________________________ Note：Category C project does not need environmental management plan, and does not need to take environmental protection measures to mitigate the impact. Environmental management plan shall be prepared for Category B. Category A needs to prepare environmental impact report and environmental management plan separately, which will be excluded from the scope of this project. 4 Instruction for filling the environmental screening checklist See the above table for details of the environmental and social screening checklist for subprojects. This checklist is applicable to all subproject. During the subproject review process, the following contents shall be determined according to the nature of the subproject: 1.Potential environmental and social impacts of subprojects; 2.Environmental categories of subprojects based on environmental and social impacts; 3.During preparation of subprojects, the specific action plan of subprojects must be prepared before being approved. According to the screening results in the above table, it is determined which of the three categories A, B and C the subprojects belong to. There are three kinds of processing procedures respectively. 1.Category C projects do not need environmental management plan, and do not need to take environmental protection measures to mitigate the impact. 2.Environmental management plan and general pest management plan shall be prepared for Category B projects. If the subproject involves land acquisition and resettlement, relevant documents shall be prepared according to the resettlement policy framework. 3.Category A subproject shall be excluded from the project. Category A subprojects have potential significant negative environmental and social impacts, which are: （1）Sensitive (for example, potential impacts are sensitive and may not be reversible. Such as the loss of a major natural habitat, or trigger World Bank safeguard policies, such as OP 4.04 natural habitats, OP 4.36 forest, OP 4.10 indigenous peoples, OP 4.11 physical cultural resources, OP 4.12 involuntary resettlement, etc., or when a project needs to manufacture, use, or deal with a large number of pesticide products that have an impact on the environment (OP 4.04). （2）The impacts are diversify or unprecedented. 5 （3）Impacts beyond the project area (e.g., a dam, which may affect downstream communities or road construction, and may affect nearby forests and natural habitats). Review example for Category A projects. When the impacts of subproject on natural habitat will be classified as Category A? If the review shows that the project has the possibility of significant change or deterioration of key or other natural habitats, it is classified as Category A. Major changes are mainly caused by long-term land use or water use, resulting in complete disappearance or severe reduction of key or other natural habitats. Major changes may include loss of land; replacement of natural vegetation; permanent flooding; drainage, dredging, filling, channelization of wetlands or open-pit mining. Changes can be caused directly by project activities or through indirect mechanisms (e.g., triggering migration along the road). Deterioration is a significant change to a critical or other natural habitat that significantly reduces the ability of the natural habitat to sustain the survival of the local population. When the impacts of subproject on forest will be classified as Category A? If the project has potential for significant change or deterioration of natural forest, it is classified as Category A. Natural forest refers to forest land and related rivers. The biological population of its ecosystem is mainly formed by native plant and animal species. Human activities have basically not changed the main ecological functions of the area. When the impacts of subproject on the physical cultural resources and the project will be classified as Category A? Physical cultural resources, as defined in OP 4.11, are movable or immovable objects, such as places, structures, organizational structures, natural features and landforms, with archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Projects that may have a significant adverse impact on physical cultural resources can be classified as Category A. How are subprojects that involve pest management policies classified as Category A? 6 Projects involving the production, use, or disposal of large quantities of pesticide products are classified as Category A. Its environmental impact should also take into account the impact on human health and interests. When is it possible for a subproject involving involuntary resettlement to be classified as Category A? The World Bank does not provide specific classification criteria related to involuntary resettlement in OP4.12. In general, projects with significant resettlement related impacts should be classified as Category A. In terms of potential significant resettlement impact, as different projects have different scope and scale, necessary judgment methods should be used. The project requires that in ecological or commercial resettlement, any project that results in the loss of more than 10% of the effective output land area of an individual is generally classified as Category a. Scale is also a factor, although sometimes the impact is relatively small. When the project affects the whole community or the vast majority of people (for example, more than 1000 people in total), the implementation capacity may be weakened and it will be classified as Category A according to the classification criteria. When is it possible for a subproject involving indigenous peoples to be classified as Category A? The World Bank does not provide classification criteria related to indigenous peoples. Although this policy is often used in the World Bank's team meetings on the definition of indigenous peoples in the project area, the classification criteria specifically reflect the potential negative impacts on indigenous communities. The project requires indigenous people to move, which limits their use of traditional land or resources, or will change the traditional system of indigenous people, which is usually classified as Category A. Category B projects refer to those subprojects with regional characteristics and certain potential negative environmental and social impacts. Only a small amount of impacts is irreversible. Category C subprojects refer to those subprojects with little or no negative 7 environmental and social impact. Part Two：Social screening checklist Table 2 Social screening checklist Answer If yes, it will If yes, relevant trigger World documents Issues Yes No Remarks Bank safeguard shall be policy. provided 1. Immigration and land acquisition Does the subproject require land acquisition for OP 4.12 Resettlement development (public or Involuntary action plan private, temporary or resettlement permanent)? Does the subproject cause OP 4.12 house demolition (including Resettlement Involuntary operating and non-operating action plan resettlement ones) due to development? Are people prohibited from using their daily economic OP 4.12 Resettlement resources (such as fishing Involuntary action plan sites, economic forests, resettlement planting land)? Does the subproject result in OP 4.12 Resettlement involuntary resettlement of Involuntary action plan individuals or families? resettlement Does the subproject result in OP 4.12 temporary or permanent loss Resettlement Involuntary of crops, fruit trees and action plan resettlement facilities? 2. Minorities Whether the subproject has OP 4.10 affected ethnic minority Indigenous communities and population People 3. Employees Does the subproject cause Reemployment unemployment? plan Does the subproject result in Job transfer employee transfer? training Whether the subproject causes the decrease of employee's income 8 Conclusions and Safeguard Measures Required: According to OP 4.10 and OP 4.12 of World Bank, the following social safeguard documents shall be prepared for the subproject: 1. 2. 3. Note： A) if the subproject involves more than 200 people who need to be relocated, a resettlement action plan shall be prepared; B) if the subproject involves relocation of less than 200 people, a brief resettlement action plan shall be prepared; C) if significant social impact is expected or there are affected ethnic minority communities in the subproject area, a social evaluation is required. 9