SustainabilityPolicy英文(社会和环境可持续政策)

SustainabilityPolicy英文(社会和环境可持续政策)InternationalFinanceCorporation’sPolicyonSocial&EnvironmentalSustainabilityApril30,2006April30,2006Section1:PurposeofthisPolicy1.InternationalFinanceCorporation(IFC)strivesforpositivedevelopmentoutcomesintheprivatesectorprojectsitfinancesinemergingmarkets.Animportantcomponentofpositivedevelopmentoutcomesisthesocialandenvironmentalsustainabilityofprojects,whichIFCexpectstoachievebyapplyingacomprehensivesetofsocialandenvironmentalperformancestandards.2.ThroughitsPolicyonSocialandEnvironmentalSustainability(theSustainabilityPolicy),IFCputsintopracticeitscommitmenttosocialandenvironmentalsustainability.ThiscommitmentisbasedonIFC’smissionandmandate,asexplainedinSection2ofthisPolicy.TranslatingthiscommitmentintosuccessfuloutcomesdependsontheeffortsofIFCanditsclients.Consistentwiththiscommitment,IFCcarriesouttheactionsdescribedinSection3ofthisPolicy,includingitsresponsibilitytoreviewprojectsproposedfordirectfinancingagainstthePerformanceStandards.3.ThePerformanceStandardsconsistofthefollowing:PerformanceStandard1:SocialandEnvironmentalAssessmentandManagementSystemPerformanceStandard2:LaborandWorkingConditionsPerformanceStandard3:PollutionPreventionandAbatementPerformanceStandard4:CommunityHealth,SafetyandSecurityPerformanceStandard5:LandAcquisitionandInvoluntaryResettlementPerformanceStandard6:BiodiversityConservationandSustainableNaturalResourceManagementPerformanceStandard7:IndigenousPeoplesPerformanceStandard8:CulturalHeritage4.ThesePerformanceStandardsareessentialdocumentstohelpIFCanditsclientsmanageandimprovetheirsocialandenvironmentperformancethroughanoutcomes-basedapproach.ThedesiredoutcomesaredescribedintheobjectivesofeachPerformanceStandard,followedbyspecificrequirementstohelpclientsachievetheseoutcomesthroughmeansthatareappropriatetothenatureandscaleoftheprojectandcommensuratewiththelevelofsocialandenvironmentalrisks(likelihoodofharm)andimpacts.Centraltotheserequirementsisaconsistentapproachtoavoidadverseimpactsonworkers,communities,andtheenvironment,orifavoidanceisnotpossible,toreduce,mitigate,orcompensatefortheimpacts,asappropriate.ThePerformanceStandardsalsoprovideasolidbasefromwhichclientsmayincreasethesustainabilityoftheirbusinessoperations.5.WhilemanagingsocialandenvironmentalrisksandimpactsinamannerconsistentwiththePerformanceStandardsistheresponsibilityoftheclient,IFCseekstoensurethattheprojectsitfinancesareoperatedinamannerconsistentwiththerequirementsofthePerformanceStandards.Asaresult,IFC’ssocialandenvironmentalreviewofaproposedprojectisanimportantfactorinitsdecisiontofinancetheprojectornot,andwilldeterminethescopeofthesocialandenvironmentalconditionsofIFCfinancing.ByadheringtothisPolicy,IFCenhancesthepredictability,transparency,andaccountabilityofitsactionsanddecision-making,helpsclientsmanagesocialandenvironmentalrisksandimproveperformance,andenhancespositivedevelopmentoutcomesontheground.Section2:IFC’sCommitment6.IFC’smissionistopromotesustainableprivatesectordevelopmentindevelopingcountries,helpingtoreducepovertyandimprovepeople’slives.IFCbelievesthatsoundeconomicgrowth,groundedinsustainableprivateinvestment,iscrucialtopovertyreduction.April30,20067.Inordertoaccomplishitsmission,IFCseekstobasepartnershipswithclientsontheunderstandingthatthepursuitofsocialandenvironmentalopportunitiesisanintegralpartofgoodbusiness.Sociallyandenvironmentallyresponsiblebusinessescanenhanceclients’competitiveadvantageandcreatevalueforallpartiesinvolved.IFCbelievesthatthisapproachalsohelpstopromotethelong-termprofitabilityofinvestmentsinemergingmarketsandtoenableIFCtofulfillitsdevelopmentmandateandstrengthenthepublic’strustinIFC.8.CentraltoIFC’sdevelopmentmissionareitseffortstocarryoutitsinvestmentoperationsandadvisoryservicesinamannerthat“donoharm”topeopleortheenvironment.Negativeimpactsshouldbeavoidedwherepossible,andiftheseimpactsareunavoidable,theyshouldbereduced,mitigatedorcompensatedforappropriately.Inparticular,IFCiscommittedtoensuringthatthecostsofeconomicdevelopmentdonotfalldisproportionatelyonthosewhoarepoororvulnerable,thattheenvironmentisnotdegradedintheprocess,andthatnaturalresourcesaremanagedefficientlyandsustainably.IFCbelievestheclient’sregularengagementwithlocalcommunitiesaboutmattersthatdirectlyaffectthemplaysanimportantroleinavoidingorreducingharmtopeopleandtheenvironment.IFCalsorecognizesthattherolesandresponsibilitiesoftheprivatesectorinrespectinghumanrightsareemergingasanimportantaspectofcorporatesocialresponsibility.ThePerformanceStandards,developedbyIFCtohelpprivatesectorclientsaddressenvironmentalandsocialrisksandopportunities,areconsistentwiththeseemergingrolesandresponsibilities.9.Accordingly,IFCendeavorstoinvestinsustainableprojectsthatidentifyandaddresseconomic,socialandenvironmentalriskswithaviewtocontinuallyimprovingtheirsustainabilityperformancewithintheirresourcesandconsistentwiththeirstrategies.IFCseeksbusinesspartnerswhoshareitsvisionandcommitmenttosustainabledevelopment,whowishtoraisetheircapacitytomanagetheirsocialandenvironmentalrisks,andwhoseektoimprovetheirperformanceinthisarea.Section3:IFCRolesandResponsibilities10.Initsoperations,IFCexpectsclientstomanagethesocialandenvironmentalrisksandimpactsoftheirprojects.Thisentailstheclient’sassessmentoftheserisksandimpacts,andimplementationofmeasurestomeettherequirementsofthePerformanceStandards.Animportantcomponentoftheclient’smanagementofitssocialandenvironmentalperformanceistheclient’sengagementwiththeaffectedcommunitiesthroughdisclosureofrelevantprojectinformation,consultation,andinformedparticipation,asstatedinPerformanceStandard1.11.IFC’sroleistoreviewtheclient’sassessment;toassisttheclientindevelopingmeasurestoavoid,minimize,mitigateorcompensateforsocialandenvironmentalimpactsconsistentwiththePerformanceStandards;tocategorizetheprojectinordertospecifyIFC’sinstitutionalrequirementstodisclosetothepublicproject-specificinformation;tohelpidentifyopportunitiestoimprovesocialandenvironmentaloutcomes;andtomonitortheclient’ssocialandenvironmentalperformancethroughoutthelifeofIFC’sinvestment.IFCalsodisclosesinformationrelatingtoitsowninstitutionalandinvestmentactivitiesinaccordancewithitsPolicyonDisclosureofInformation.IFCimplementstheseprocessrequirementsthroughitsEnvironmentalandSocialReviewProcedure.12.TheforegoinggeneralapproachappliestoIFC’sdirectinvestmentsatboththecorporateandprojectlevels,includingequityinvestments.InvestmentsthroughfinancialintermediariesandadvisoryworkhaveseparateproceduresforapplyingthePerformanceStandards(seeparagraphs27through30below).IFC’sinternalprocedurefortheapplicationofthesePerformanceStandardsthroughitsdifferenttypesofinvestmentsandoperationsaresetoutintheEnvironmentalandSocialReviewProcedure.April30,2006SocialandEnvironmentalReviewOverallApproach13.Whenaprojectisproposedforfinancing,IFCconductsasocialandenvironmentalreviewoftheprojectaspartofitsoverallduediligence.Thisreviewisappropriatetothenatureandscaleoftheproject,andcommensuratewiththelevelofsocialandenvironmentalrisksandimpacts.IFCreviewsanynewbusinessactivitythatisbeingconsideredforIFCfinancing,whetherinthepre-construction,construction,oroperationalstage.ThescopeofthereviewmaybeexpandedtootherbusinessactivitiesoftheclientaspartofIFC’sriskmanagementconsiderations.Wheretherearesignificanthistoricalsocialorenvironmentalimpactsassociatedwiththeproject,includingthosecausedbyothers,IFCworkswithitsclienttodeterminepossibleremediationmeasures.14.TheeffectivenessandefficiencyofthesocialandenvironmentalreviewdependpartlyonthetimingofIFC’sinvolvement.Whenthisinvolvementoccursintheearlystagesofprojectdesign,IFCisabletosupporttheclientmoreeffectivelyinanticipatingandaddressingspecificrisks,impactsandopportunities,andhelpbuilditscapacitytomanagethesethroughoutthelifeoftheproject.15.Thesocialandenvironmentalreviewincludesthreekeycomponents:(i)thesocialandenvironmentalrisksandimpactsoftheprojectasassessedbytheclient;(ii)thecommitmentandcapacityoftheclienttomanagetheseexpectedimpacts,includingtheclient’ssocialandenvironmentalmanagementsystem;and(iii)theroleofthirdpartiesintheproject’scompliancewiththePerformanceStandards.EachofthesecomponentshelpsIFCtoascertainwhethertheprojectcanbeexpectedtomeetthePerformanceStandards.Inthecaseofprojectswithsignificantadverseimpactsonaffectedcommunities,IFCalsoassuresitselfthatthereisbroadcommunitysupportfortheprojectwithintheaffectedcommunities(seeparagraphs19and20below).IFCbasesitsreviewontheclient’sSocialandEnvironmentalAssessment.IncaseswheresuchAssessmentdoesnotmeettherequirementsofPerformanceStandard1,IFCrequirestheclienttoundertakeadditionalAssessmentor,whereappropriate,tocommissionAssessmentbyexternalexperts.16.IFC’ssocialandenvironmentalreviewisintegratedintoIFC’soverallassessmentoftheproject,includingtheassessmentoffinancialandreputationalrisks.IFCalsoconsiderswhetheritsinvestmentcanbeexpectedtocontributetothedevelopmentofthehostcountryandtobroadlybenefititsrelevantconstituenciesineconomic,social,orenvironmentalterms.Throughweighingthesecostsandbenefits,IFCarticulatesitsrationaleandproject-specificconditionsfortheproposedinvestment.TheseareprovidedtoIFC’sBoardofDirectorswhentheprojectispresentedforapproval.17.IFCdoesnotfinancenewbusinessactivitythatcannotbeexpectedtomeetthePerformanceStandardsoverareasonableperiodoftime.Inaddition,thereareseveraltypesofactivitiesthatIFCdoesnotfinance.AlistoftheseactivitiescanbefoundintheExclusionListintheEnvironmentalandSocialReviewProcedure.CategorizationofProjects18.Aspartofitsreviewofaproject’sexpectedsocialandenvironmentalimpacts,IFCusesasystemofsocialandenvironmentalcategorizationto:(i)reflectthemagnitudeofimpactsunderstoodasaresultoftheclient’sSocialandEnvironmentalAssessment;and(ii)specifyIFC’sinstitutionalrequirementstodisclosetothepublicprojectspecificinformationpriortopresentingprojectstoitsBoardofDirectorsforapprovalinaccordancewithSection12oftheDisclosurePolicy.Thesecategoriesare:April30,2006§CategoryAProjects:Projectswithpotentialsignificantadversesocialorenvironmentalimpactsthatarediverse,irreversibleorunprecedented§CategoryBProjects:Projectswithpotentiallimitedadversesocialorenvironmentalimpactsthatarefewinnumber,generallysite-specific,largelyreversibleandreadilyaddressedthroughmitigationmeasures§CategoryCProjects:Projectswithminimalornoadversesocialorenvironmentalimpacts,includingcertainfinancialintermediary(FI)projectswithminimalornoadverserisks§CategoryFIProjects:AllFIprojectsexcludingthosethatareCategoryCprojects(seeparagraphs27through29below)CommunityEngagementandBroadCommunitySupport19.Effectivecommunityengagementiscentraltothesuccessfulmanagementofrisksandimpactstotheaffectedcommunities.ThroughthePerformanceStandards,IFCrequiresclientstoengagewithaffectedcommunitiesthroughdisclosureofinformation,consultation,andinformedparticipation,inamannercommensuratewiththeriskstoandimpactsontheaffectedcommunities.20.IFCiscommittedtoworkingwiththeprivatesectortoputintopracticeprocessesofcommunityengagementthatensurethefree,prior,andinformedconsultationoftheaffectedcommunities.Buildingonthiscommitment,whenclientsarerequiredtoengageinaprocessoffree,prior,andinformedconsultation,IFCreviewstheclient’sdocumentationoftheengagementprocess.Inaddition,throughitsowninvestigation,IFCassuresitselfthattheclient’scommunityengagementisonethatinvolvesfree,prior,andinformedconsultationandenablestheinformedparticipationoftheaffectedcommunities,leadingtobroadcommunitysupportfortheprojectwithintheaffectedcommunities,beforepresentingtheprojectforapprovalbyIFC’sBoardofDirectors.Broadcommunitysupportisacollectionofexpressionsbytheaffectedcommunities,throughindividualsortheirrecognizedrepresentatives,insupportoftheproject.Theremaybebroadcommunitysupportevenifsomeindividualsorgroupsobjecttotheproject.AftertheBoardapprovaloftheproject,IFCcontinuestomonitortheclient’scommunityengagementprocessaspartofitsportfoliosupervision.Sector-SpecificInitiativesonGovernanceandDisclosure21.Intheextractiveindustriesandinfrastructuresectorsinparticular,whereaprojectcanhavepotentiallybroaderimplicationsforthepublicatlarge,IFCrecognizestheimportanceofassessmentofgovernancerisksanddisclosureofinformationasameanstomanagegovernancerisks.Accordingly,subjecttoapplicablelegalrestrictions,IFChasthefollowingsector-specificinitiativesondisclosureofproject-relatedinformation,inadditiontothedisclosurerequirementsspecifiedinPerformanceStandard1.ExtractiveIndustryProjects22.WhenIFCinvestsinextractiveindustryprojects(oil,gasandminingprojects),IFCassessesthegovernanceriskstoexpectedbenefitsfromtheseprojects.Inthecaseofsignificantprojects(thoseexpectedtoaccountfortenpercentormoreofgovernmentrevenues),risksareappropriatelymitigated,andforsmallerprojects,theexpectednetbenefitsofprojectsandtheriskstothesefromweakgovernancearereviewed.Wherethebalanceofbenefitsandrisksisnotacceptable,IFCdoesnotsupportsuchprojects.IFCalsopromotestransparencyofrevenuepaymentsfromextractiveindustryprojectstohostgovernments.Accordingly,IFCrequiresthat:(i)forsignificantnewextractiveindustriesprojects,clientspubliclydisclosetheirmaterialprojectpaymentstothehostgovernment(suchasroyalties,taxes,andprofitsharing),andtherelevanttermsofkeyagreementsthatareofpublicconcern,suchashostgovernmentagreements(HGAs)andintergovernmentalagreements(IGAs);and(ii)inaddition,fromJanuary1,2007,clientsofallIFC-financedextractiveApril30,2006industryprojectspubliclydisclosetheirmaterialpaymentsfromthoseprojectstothehostgovernment(s).InfrastructureProjects23.WhenIFCinvestsinprojectsinvolvingthefinaldeliveryofessentialservices,suchastheretaildistributionofwater,electricity,pipedgas,andtelecommunications,tothegeneralpublicundermonopolyconditions,IFCencouragesthepublicdisclosureofinformationrelatingtohouseholdtariffsandtariffadjustmentmechanisms,servicestandards,investmentobligations,andtheformandextentofanyongoinggovernmentsupport.IfIFCisfinancingtheprivatizationofsuchdistributionservices,IFCalsoencouragesthepublicdisclosureofconcessionfeesorprivatizationproceeds.Suchdisclosuresmaybemadebytheresponsiblegovernmententity(suchastherelevantregulatoryauthority)orbytheclient.ManagingThirdPartyPerformance24.Attimes,theclient’sabilitytoachievesocialorenvironmentaloutcomesconsistentwiththePerformanceStandardswillbedependentonthirdpartyactivities.Athirdpartymaybeagovernmentagencyasaregulatororcontractparty,aprincipalcontractororsupplierwithwhomtheprojecthasasubstantialinvolvement,oranoperatorofanassociatedfacility(asdefinedinPerformanceStandard1).25.IFCseekstoensurethattheprojectsitfinancesachieveoutcomesconsistentwiththePerformanceStandards,eveniftheoutcomesaredependentupontheperformanceofthirdparties.Whenthethirdpartyriskishigh,andwhentheclienthascontrolorinfluenceovertheactionsandbehaviorofthethirdparty,IFCrequirestheclienttocollaboratewiththethirdpartytoachievetheoutcomesconsistentwiththePerformanceStandards.Specificrequirementsandoptionswillvaryfromcasetocase.ProjectMonitoring26.AfterIFCfinancingiscommittedinlegaldocumentsanddisbursed,IFCcarriesoutthefollowingactionstomonitoritsinvestmentsaspartofitsportfoliosupervision:§RequiretheprojecttosubmitperiodicMonitoringReportsonitssocialandenvironmentalperformanceasagreedwithIFC§Conductsitevisitsofcertainprojectswithsocialandenvironmentalrisksandimpacts§Reviewprojectperformanceonthebasisoftheclient’scommitmentsintheActionPlan,asreportedbytheclient’sMonitoringReports,and,whererelevant,reviewwiththeclientanyperformanceimprovementopportunities§Ifchangedprojectcircumstanceswouldresultinadversesocialorenvironmentalimpacts,workwiththeclienttoaddressthem§Iftheclientfailstocomplywithitssocialandenvironmentalcommitments,asexpressedintheActionPlanorlegalagreementwithIFC,workwiththeclienttobringitbackintocompliancetotheextentfeasible,andiftheclientfailstoreestablishcompliance,exerciseremedieswhenappropriate§Encouragetheclienttoreportpubliclyonitssocial,environmentalandothernon-financialaspectsofperformance,inadditiontoreportingontheActionPlanasrequiredbyPerformanceStandard1§EncouragetheclienttocontinuetomeetthePerformanceStandardsafterIFC’sexitfromtheprojectApril30,2006InvestmentsthroughFinancialIntermediaries27.IFCiscommittedtosupportingsustainablecapitalmarketdevelopmentandhasasignificantprogramofinvestmentthatisimplementedthroughfinancialintermediaries(FIs).Throughthisprogram,IFChelpsstrengthendomesticcapitalmarketsthatsupporteconomicdevelopmentatascaleofenterprisethatissmallerthanwouldbepossiblethroughdirectIFCinvestments.IFC’sFIclientsareengagedinadiverserangeofactivities,includingprojectfinance,lendingtolarge,mediumandsmallbusinesses,microfinance,tradefinance,housingfinance,andprivateequity,eachwithitsownsocialandenvironmentalriskprofile.28.ThroughitsEnvironmentalandSocialReviewProcedure,IFCreviewsthebusinessofitsFIclientstoidentifyactivitieswheretheFIcouldbeexposedtosocialandenvironmentalriskasaresultofitsinvestments.IFC’srequirementsfortheFIclientwillbeproportionaltothelevelofpotentialrisk:§FIswithbusinessactivitiesthathaveminimalornoadversesocialorenvironmentalriskswillbeconsideredCategoryCprojectsandneednotapplyanyspecificrequirements§AllotherFIswillapplytheExclusionList§InadditiontotheExclusionList,FIsprovidinglong-termcorporatefinanceorprojectfinancewillrequiretherecipientofsuchfinanceto:(i)follownationallawswheretheactivityfinancedpresentslimitedsocialorenvironmentalrisks;and(ii)applythePerformanceStandardswheretheactivityfinancedpresentssignificantsocialorenvironmentalrisks29.TheFIwillberequiredtoestablishandmaintainaSocialandEnvironmentalManagementSystemtoensurethatitsinvestmentsmeetIFC’srequirements,andIFCwillmonitortheFI’sperformanceonthebasisoftheManagementSystem.AdvisoryServices30.IFCprovidesadvisoryservicesthatrangefromadviceinconnectionwithlarge-scaleindustryprivatizationstograss-rootssupportforsmallenterprises.IFCfundssomeoftheseservicesdirectly,andinothercasesleveragesfundsfromdonor-fundedfacilities.Thesedonor-fundedfacilitieshavetheirownoperatingprocedures,includinghowtheymanagesocialandenvironmentalissues.WhenIFCisprovidingadviceforlarge-scaleinvestmentprojects,thePerformanceStandardsareusedasareferenceinadditiontonationallaws.IFCdoesnotprovideadvicetosupportactivitiesthataredescribedinIFC’sExclusionList,andencouragesrecipientsofIFC’sadvisoryservicestoenhanceopportunitiestopromotegoodsocialandenvironmentalpractices.Section4:ComplianceAdvisor/Ombudsman31.IFCsupportsitsclientsinaddressingsocialandenvironmentalissuesarisingfromtheirprojectsbyrequiringclientstosetupandadministerappropriatemechanismsorprocedurestoaddressproject-relatedgrievancesorcomplaintsfrompeopleintheaffectedcommunities.Inadditiontotheseproject-levelmechanismsandprocedures,theroleofadministrativeorlegalproceduresavailableinthehostcountryshouldbeconsidered.Nonetheless,theremaybecaseswheregrievancesandcomplaintsfromthoseaffectedbyanIFC-financedprojectarenotfullyresolvedattheprojectlevelorthroughotherestablishedmechanisms.April30,200632.Recognizingtheimportanceofaccountabilityandthattheconcernsandcomplaintsofproject-affectedpeopleshouldbeaddressedinamannerthatisfair,objective,andconstructive,amechanismhasbeenestablishedthroughtheComplianceAdvisor/Ombudsman(CAO)toenableindividualsandcommunitiesaffectedbyIFCprojectstoraisetheirconcernstoanindependentoversightauthority.33.TheCAOisindependentofIFCmanagementandreportsdirectlytothePresidentoftheWorldBankGroup.TheCAOrespondstocomplaintsfromthoseaffectedbyIFC-financedprojectsandattemptstoresolvethemthroughaflexibleproblem-solvingapproach,andtoenhancethesocialandenvironmentaloutcomesofprojects.Inaddition,theCAOoverseesauditsofIFC’ssocialandenvironmentalperformance,particularlyinrelationtosensitiveprojects,toascertaincompliancewithpolicies,guidelines,procedures,andsystems.34.ComplaintsmayrelatetoanyaspectofanIFC-financedprojectthatiswithinthemandateoftheCAO.Theycanbemadebyanyindividual,group,community,entity,orotherpartyaffectedorlikelytobeaffectedbythesocialorenvironmentalimpactsofanIFC-financedproject.ComplaintsshouldbesubmittedtotheCAOinwritingtotheaddressbelow:ComplianceAdvisor/OmbudsmanInternationalFinanceCorporation2121PennsylvaniaAvenueNWRoomF11K-232Washington,DC20433USATel:12024581973Fax:1