Abstract
The Belt and Road Initiative (BRI) has been hailed by many as a game changer in the field of economy, capable to sustain growth in the Eurasian region. Many observers however are concerned about the environmental and social costs of the initiative. To what extent the BRI will pursue a development in tune with the environment and the needs of affected communities will largely depend upon the capacity of concerned actors to carry out integrated and inclusive environmental and social planning. A major role will be played by financial institutions funding the initiative. This chapter seeks to appraise the rationale, scope, legitimacy, and decision-making implications of environmental and social policies applicable to BRI projects. To pursue this aim, the Asian Infrastructure Investment Bank (AIIB) is taken as a case representative of current progress and challenges ahead. Findings indicate that AIIB’s environmental and social safeguards may constitute a tool to promote social inclusion and environmental protection within BRI projects. However, their effectiveness will depend from the Bank’s political commitment towards sustainability and its capacity to foster institutional change in client countries.
This is a preview of subscription content, log in via an institution to check access.
Access this chapter
Tax calculation will be finalised at checkout
Purchases are for personal use only
Notes
- 1.
At present, there is no ‘standard’ BRI chart. One of the most informative and complete was prepared by the Mercator Institute and is available online here: https://www.merics.org/en/merics-analysis/infographicchina-mapping/china-mapping/.
- 2.
The project is being funded by EXIM Bank of China.
- 3.
On the importance of the role played by partner countries in shaping the BRI, see Brown (2017).
- 4.
The rationale defined in the ESF may differ from the actual objectives pursued by AIIB and its clients during project implementation. On the gap between principles and practice in environmental planning, see Brombal et al. (2017).
- 5.
For the purpose of this study, the term ‘public’ should be understood as inclusive of all kinds of stakeholders, i.e., those having an interest or stake in an issue, including individuals, interest groups, communities (Brombal et al. 2017).
- 6.
The definition of ‘client’ applies to both recipients of AIIB funding, and any other entity responsible for project implementation. Clients may be either public or private entities (AIIB 2016, p. 8).
- 7.
An ESMPF is required when projects consist of a number/series of activities whose details are “not yet identified at the time the Project is approved by the Bank” (AIIB 2016, p. 17).
- 8.
In the introductory paragraph to the involuntary resettlement section, the ESF explicitly makes reference to the “avoidance” of resettlement as the optimal solution to be pursued (AIIB 2016, p. 38).
- 9.
- 10.
The first countries to introduce formal EIA requirements in the region were Pakistan (1983), India (1986), and Indonesia (1986) (MER online; Nadeem and Fischer 2011).
- 11.
The Netherlands Commission for Environmental Assessment has recently developed a tool to map relevant policies. Information are (partially) available online at: http://www.eia.nl/en/our-work/eia-mapping-tool. With reference to transboundary issues, cfr. http://www.unece.org:8080/fileadmin/DAM/env/eia/ratification/convmap.htm.
- 12.
The International Association of Impact Assessment (IAIA) devised in 2015 a definition of social impact as “everything that affect people”, including the following: people’s way of life, culture, community, political systems, the environment, health and wellbeing, personal and property rights, fears and aspirations (IAIA 2015b, p. 2).
- 13.
On the difference between ESMP and ESMPF, see note 9.
- 14.
Although consultations fall under the clients’ responsibility, the Bank may take part in consultations (AIIB 2016, p. 22).
- 15.
The Environmental Justice Atlas (EJAtlas), accessible online at https://ejatlas.org, is a good resource to know more about environmental and social conflicts triggered by infrastructural projects. The online tool allows to refine search by projects’ funding institutions.
- 16.
In the case of Myanmar’s Myngyan power plant, both WB and ADB are co-funding the project.
References
Arnstein, S. (1969). A ladder of citizen participation. Journal of the American Planning Association, 35(4), 216–224.
Asian Development Bank (ADB). (2009). Safeguard policy statement. Retrieved March 14, 2017, from https://www.adb.org/sites/default/files/institutional-document/32056/safeguard-policy-statement-june2009.pdf
Asian Infrastructure Investment Bank (AIIB). (2016). Environmental and social framework. Retrieved January 31, 2017, from https://www.aiib.org/en/policies-strategies/_download/environment-framework/20160226043633542.pdf
Asian Infrastructure Investment Bank (AIIB). Membership status (online a). Retrieved February 14, 2017, from https://www.aiib.org/en/about-aiib/who-we-are/membership-status/index.html
Asian Infrastructure Investment Bank (AIIB). Members of the bank (online b). Retrieved February 14, 2017, from https://www.aiib.org/en/about-aiib/who-we-are/members-of-bank/index.html
Asian Infrastructure Investment Bank (AIIB). Who we are (online c). Retrieved February 14, 2017, from https://www.aiib.org/en/about-aiib/index.html
Asian Infrastructure Investment Bank (AIIB). Our work (online d). Retrieved February 14, 2017, from https://www.aiib.org/en/about-aiib/who-we-are/our-work/index.html
Asian Infrastructure Investment Bank (AIIB). Approved projects (online e). Retrieved February 14, 2017, from https://www.aiib.org/en/projects/approved/index.html
Asian Infrastructure Investment Bank (AIIB). Proposed projects (online f). Retrieved February 14, 2017, from https://www.aiib.org/en/projects/proposed/index.html
Brombal, D., Moriggi, A., & Marcomini, A. (2017). Evaluating public participation in Chinese EIA. An integrated public participation index and its application to the case of the New Beijing Airport. Environmental Impact Assessment, 62, 49–60. https://doi.org/10.1016/j.eiar.2016.07.00.
Brown, K. (2017, April 16). Belt and road initiative invites interpretation. China Daily. Retrieved August 03, 2017, from http://www.chinadaily.com.cn/newsrepublic/2017-04/16/content_28950405.htm
Dorjsuren, D. (2010). Environmental impact assessment system and transboundary context of Mongolia. Paper presented at the 13th session of the UNECE Working Group on Environmental Impact Assessment, Geneva, 17–19 May 2010. Retrieved February 16, 2017, from http://www.unece.org/fileadmin/DAM/env/eia/documents/WG13_may2010/Mongolia_EIA_system_and_Transboundary_May2010.pdf
EIA legal framework. ELaw (online). Retrieved February 16, 2017, from https://eialaws.elaw.org
Environmental Justice Atlas (EJAtlas). (2017). Tarbela dam, Pakistan. Retrieved January 31, 2017, from https://ejatlas.org/conflict/tarbela-dam-pakistan
Estevens, P., Zoccal Gomes, G., & Torres, G. (2016). The new multilateral development banks and the socio-environmental safeguards. BRICS Policy Center, Plataforma SocioAmbiental, Rio De Janeiro. Retrieved January 31, 2017, from http://bricspolicycenter.org/homolog/uploads/trabalhos/7197/doc/1912915104.pdf
European Communities (EC). (1985). Council Directive of 27 June 1985 on the assessment of the effects of certain public and private projects on the environment (85/337/EEC).
Glucker, A. N., Driessen, P. P. J., Kolhoff, A., & Runhaar, H. A. C. (2013). Public participation in environmental impact assessment: Why, who and how? Environmental Impact Assessment, 43, 104–111.
Government of Pakistan Works & Service Department Peshawar (FATA). (2012). Environment and social impact assessment of Federally Administered Tribal Areas Emergency Rural Roads Project (FATA ERRP). Retrieved January 31, 2017, from http://documents.worldbank.org/curated/en/966101468288636421/Pakistan-Multi-Donor-Trust-Fund-Federally-Administered-Tribal-Areas-Emergency-Rural-Roads-Project-environmental-and-social-impact-assessment
International Association for Impact Assessment (IAIA). (2015a). Review of the World Bank 2014 environmental and social framework. London Expert Roundtable. Summary Report. Retrieved January 31, 2017, from http://www.iaia.org/pdf/WB%202014%20ESF%20Review.pdf
International Association for Impact Assessment (IAIA). (2015b). Social impact assessment: Guidance for assessing and monitoring the social impacts of projects. Retrieved January 31, 2017, from https://www.iaia.org/uploads/pdf/SIA_Guidance_Document_IAIA.pdf
Karimi, E. P. (2015). Environmental rules and policies in Iran. Retrieved January 31, 2017, from http://www.unep.org/delc/Portals/119/documents/Iran-presentation.pdf
Kennedy, W. V. (1999). EIA and multi-lateral financial institutions. In J. Petts (Ed.), Handbook of environmental assessment (pp. 98–120). Oxford: Blackwell Science.
Kim, J. (2016). Regulating economic development: Environmental and social standards of the AIIB and IFC. Harvard International Law Journal, 21. Retrieved January 31, 2017, from http://www.harvardilj.org/2016/04/regulating-economic-development-environmental-and-social-standards-of-the-aiib-and-the-ifc/
Li, C. (2008). Environmental impact assessment in developing countries: An opportunity for greater environmental security? USAID and FEES Working Paper, 4. USAID, FESS, Washington, DC and Falls Church. Retrieved February 15, 2017, from http://www.fess-global.org/workingpapers/eia.pdf
Liu, Q. (2016, January 6). China needs to pave ‘One Belt One Road’ with green finance, say experts. China Dialogue. Retrieved January 31, 2017, from https://www.chinadialogue.net/article/show/single/en/8532-China-needs-to-pave-One-Belt-One-Road-with-green-finance-say-experts-
Ma, Y. (2014, December 5). The environmental implications of China’s new bank. The Diplomat. Retrieved February 15, 2017, from http://thediplomat.com/2014/12/the-environmental-implications-of-chinas-new-bank/
Momtaz, S. (2003). The practice of social impact assessment in a developing country: The case of environmental and social impact assessment of Khulna-Jessore drainage rehabilitation project in Bangladesh. Impact Assessment and Project Appraisal, 21(2), 125–132. https://doi.org/10.3152/147154603781766347.
Moorman, J. L., & Zhang, G. (2007). Promoting and strengthening public participation in China’s environmental impact assessment process: Comparing China’s EIA law and U.S. NEPA. Vermont Journal of Environmental Law, 8, 282–335.
Nadeem, O., & Fischer, T. B. (2011). An evaluation framework for effective public participation in EIA in Pakistan. Environmental Impact Assessment, 31, 36–47.
Netherlands Commission for Environmental Assessment (MER). Countries and profiles. Retrieved January 31, 2017, from http://www.eia.nl/en/countries
New Development Bank (NDB). (2016). Environment and social framework. Retrieved January 31, 2017, from http://www.ndb.int/wp-content/themes/ndb/pdf/ndb-environment-social-framework-20160330.pdf
Organization for Economic Co-operation and Development (OECD). (2016). Applying strategic environmental assessment. Good practice guidance for development co-operation. Retrieved February 17, 2017, from http://www.oecd.org/environment/environment-development/37353858.pdf
Oxfam. (2015, August 5). Dangerous rollback by World Bank in environmental and social protections. Oxfam International. Retrieved March 17, 2017, from https://www.oxfam.org/en/pressroom/pressreleases/2015-08-05/dangerous-rollback-world-bank-environmental-and-social
People’s Daily. (2016, November 7). Jian yi dai yi lv dai yanxianguo qincheng hui rong 建一带一路待沿线国亲诚惠容 The construction of the One-Belt-One-Road awaits for mutual benefit and inclusiveness of countries along the route. People’s Daily, 07 Nov 2014. Retrieved February 14, 2017, from http://paper.people.com.cn/rmrbhwb/page/2014-11/07/01/rmrbhwb2014110701.pdf
Perry, G. (2009). Beyond lending: How multilateral banks can help developing countries manage volatility. Washington: Center for Global Development. Retrieved February 14, 2017, from https://www.cgdev.org/sites/default/files/9781933286327-Perry-Beyond-Lending.pdf
Qing, K. G. (2015, September 1). Exclusive: China’s AIIB to offer loans with fewer strings attached – Sources. Reuters. Retrieved March 21, 2017, from http://www.reuters.com/article/us-aiib-china-loans-idUSKCN0R14UB20150901
Rich, B. (1985). The multilateral development banks, environmental policy, and the United States. Ecology Law Quarterly, 12(4), 681–745. Retrieved January 31, 2017, from http://scholarship.law.berkeley.edu/cgi/viewcontent.cgi?article=1261&context=elq
Rivers without Boundaries RwB. (2016a). Hope for Selenge and Baikal: Dam construction stopped, consultations planned. Retrieved January 31, 2017, from http://www.transrivers.org/2016/1750/
Rivers without Boundaries RwB. (2016b). Lake Baikal locals appealed to China’s agencies. Retrieved January 31, 2017, from http://www.transrivers.org/2016/1634/
Shaikh, A. (2014). Social impact assessment. Retrieved February 17, 2017, from https://www.slideshare.net/ArifShaikh11/social-impact-assessment-35420285
Simonov, E. (2016a). Silk road strategy and public participation in development process. Paper presented at the 20th Meeting of the Working Group of the Parties of the Aarhus Convention, Geneva, 15–17 June 2016. Retrieved January 31, 2017, from http://www.unece.org/fileadmin/DAM/env/pp/wgp/WGP-20/Statements_and_Presentations/Silk_Road_Strategy_and_Public_Participation_in_Development_Process.pdf
Simonov, E. (2016b). Would ecological civilization take the silk road? Rivers without Boundaries, 27 March 2016. Retrieved January 31, 2017, from http://www.transrivers.org/2016/1650/
Soong, J. J. (2016). The political economy of development between China and the ASEAN states: Opportunity and challenge. The Chinese Economy, 6, 395–399. Retrieved January 31, 2017, from http://www.tandfonline.com/doi/full/10.1080/10971475.2016.1207972
United Nations. (2015). World economic situation and prospects 2015. Chapter III. Retrieved January 31, 2017, from http://www.un.org/en/development/desa/policy/wesp/wesp_archive/2015wesp-ch3-en.pdf
United Nations Economic Commission of Europe (UNECE). Espoo convention ratification status as a map. Retrieved January 31, 2017, from https://www.unece.org/env/eia/ratification/convmap.html
Wang, H. (2016). Development banks. Opportunities and challenges for global governance. In M. Kahler, C. R. Henning, C. P. Bown, H. Wang, E. Voeten, & P. D. Williams (Eds.), Global order and the new regionalism, discussion paper series on global and regional governance (pp. 41–54). New York: Council on Foreign Relations. Retrieved January 31, 2017, from http://i.cfr.org/content/publications/attachments/Discussion_Paper_Series_Kahler_et%20al_Global_Regional_Governance_OR.pdf
Weiss, M. (2017). Asian Infrastructure Investment Bank (AIIB). Congressional Research Service, 7-5700, R44754. Retrieved August 04, 2017, from https://fas.org/sgp/crs/row/R44754.pdf
World Bank (WB). (2002). Environmental impact assessment systems in Europe and central Asian countries. Retrieved January 31, 2017, from http://documents.worldbank.org/curated/en/771381468749086135/pdf/300670PAPER0English0EIA0in0ECA.pdf
World Bank (WB). (2009). Strategic environmental assessment in east and southeast Asia. A progress review and comparison of country systems and cases. Retrieved January 31, 2017, from http://documents.worldbank.org/curated/en/385961468247268166/Strategic-environmental-assessment-in-East-and-Southeast-Asia-a-progress-review-and-comparison-of-country-systems-and-cases
World Bank (WB). (2012). The World Bank’s safeguard policies. Proposed review and update. Retrieved January 31, 2017, from https://consultations.worldbank.org/Data/hub/files/consultation-template/review-and-update-world-bank-safeguard-policies/en/materials/safeguardsreviewapproachpaper.pdf
World Bank (WB). (2016a). Environmental and social framework. Retrieved January 31, 2017, from http://www.bankinformationcenter.org/wp-content/uploads/2016/07/third_draft_esf_for_disclosure_july_20_2016.pdf
World Bank (WB). (2016b). Review and update of the World Bank safeguard policies. Retrieved January 31, 2017, from https://consultations.worldbank.org/consultation/review-and-update-world-bank-safeguard-policies
Zaman, M. (n.d.). Social impact assessment practices: Case studies of four mega-projects and lessons learned. Retrieved February 17, 2017, from https://www.global-assembly.org/wp-content/uploads/2015/11/Zaman-Ideas_MZ-BKK.pdf
Zhang, R., & Shi, G. (2016). Social impacts assessment for China-Pakistan economic corridor investment activities. Retrieved February 17, 2017, from http://conferences.iaia.org/2016/Final-Papers/Zhang,%20Ruilian%20-%20SIA%20for%20China-Pakistan.pdf
Author information
Authors and Affiliations
Corresponding author
Editor information
Editors and Affiliations
Rights and permissions
Copyright information
© 2018 Springer International Publishing AG, part of Springer Nature
About this chapter
Cite this chapter
Brombal, D. (2018). Planning for a Sustainable Belt and Road Initiative (BRI): An Appraisal of the Asian Infrastructure Investment Bank (AIIB) Environmental and Social Safeguards. In: Shan, W., Nuotio, K., Zhang, K. (eds) Normative Readings of the Belt and Road Initiative. Springer, Cham. https://doi.org/10.1007/978-3-319-78018-4_7
Download citation
DOI: https://doi.org/10.1007/978-3-319-78018-4_7
Published:
Publisher Name: Springer, Cham
Print ISBN: 978-3-319-78017-7
Online ISBN: 978-3-319-78018-4
eBook Packages: Law and CriminologyLaw and Criminology (R0)