LAND BANK OF THE PHILIPPINES
LAND BANK OF THE PHILIPPINES
INTEGRATED ENVIRONMENTAL AND SOCIAL SAFEGUARDS MANAGEMENT FRAMEWORK (IESSMF)
METRO MANILA WASTEWATER MANAGEMENT PROJECT (MWMP)
FEBURARY 3, 2011
Table of Contents
SECTION 1: PROJECT DESCRIPTION 1
1.0 INTRODUCTION 1
1.1. Objectives of the Integrated Environmental and Social Safeguards Management Framework 2
2.0 PROJECT OVERVIEW 4
2.1. Project Components 4
3.0 SUB-PROJECT SELECTION 5
3.1. Environmental safeguards criteria for sub-project selection 6
3.2. Timing of Environmental Assessment (EA) in Sub-loan Preparation 6
4.0 POLICY FRAMEWORK ON ENVIRONMENTAL AND SOCIAL SAFEGUARDS 7
4.1. Philippine laws and regulations 7
4.2. World Bank Safeguards Policies 7
5.0 ALIGNING SUB-PROJECT PROCESSING REQUIREMENTS WITH ENVIRONMENTAL AND SOCIAL SAFEGUARDS ASPECTS 8
5.1. Step 1: Identification of Sub-projects According to the Selection Criteria 9
5.2. Step 2: Screening for Potential Environmental and Social Safeguard
Impacts and Determination of Safeguard Instruments for Each Sub-project 9
5.2.1. Environmental Safeguards Screening 9
5.2.2. Determination of Environmental Safeguards Documents for sub-projects 10
5.2.3. Social Safeguards Screening 11
5.2.4. Social Safeguards Documents 11
5.3. Step 3: Development of Safeguards Documents Including Consultation
and Disclosure 11
5.3.1. Information Disclosure and Consultation 13
5.3.1.1. Borrower and Sub-Borrowers’ Public Disclosure of Documentation 14
5.3.1.2. WB Policy on Disclosure of the EA Reports 14
5.3.2. Grievance redress 15
5.3.3. Rapid response to Disasters and other Crises 15
5.4. Step 4: Review and clearance of the safeguards documents 15
5.4.1. Review by the Borrower 15
5.4.2. World Bank review 16
5.5. Step 5: Implementation of Agreed Actions and Supervision,
Monitoring and Evaluation 17
5.5.1. Implementation 17
5.5.2. Supervision 17
5.5.3. Monitoring and Evaluation 17
5.5.3.1. DENR Procedures 18
5.5.3.2. Sub-Project’s monitoring and audit 18
SECTION 2: ENVIRONMENTAL SAFEGUARDS 20
The Environmental Safeguard Framework (ESF) 20
6.0 ENVIRONMENTAL MANAGEMENT PLAN (EMP) 20
6.1. Environmental Mitigation Plan 20
6.2. Environmental Monitoring Plan 21
7.0 INSTITUTIONAL ARRANGEMENTS 21
7.1. Land Bank of the Philippines 23
7.2. Manila Water Company, Inc. 23
7.3. Maynilad Water Systems Inc. 25
8.0 CAPACITY BUILDING AND TRAINING REQUIREMENTS 25
9.0 INDICATIVE ESMF BUDGET 25
9.1. LBP of the Philippines 25
9.2. Manila Water Company, Inc. 26
9.3. Maynilad Water Systems, Inc. 26
SECTION 3: SOCIAL SAFEGUARDS 27
The Resettlement Policy Framework (RPF) 27
10.0 RATIONALE FOR THE RESETTLEMENT POLICY FRAMEWORK 27
11.0 RPF OBJECTIVES 28
11.1. Overriding Development Objectives 28
12.0 DEFINITION OF TERMS 28
13.0 INSTITUTIONAL AND LEGAL FRAMEWORK 32
13.1. Institutional Framework 32
13.1.1. LBP of the Philippines (LBP) 33
13.1.2. Sub-project Proponent 33
13.1.3. Local Government Units (LGUs) 33
13.1.4. External Monitoring Agency (EMA) 34
13.1.5. Affected Communities 34
13.1.6. Resettlement Implementation Committee (RIC) 34
13.1.7. Valuation Committee (VC) 35
13.1.8. Complaints and Grievance Committee (CGC) 35
13.2. Legal Framework 35
13.2.1. Government of the Philippines (GOP) Regulations 35
13.2.2. World Bank Policies 36
13.2.3. GOP and WB Policies, and Framework for MWMP 36
14.0 OPERATIONAL GUIDELINES 37
14.1. Screening 37
14.2. Review of Resettlement Plans 37
14.3. Mitigation and Compensation 39
14.4. Modes of Acquiring Private Assets 41
15.0 APPLICATION OF THE PARTICIPATORY PROCESS 43
15.1. Prefeasibility 44
15.1.1. Preliminary Meeting with LGU 44
15.1.2. General Orientation of the Community 45
15.1.3. Social Assessment 45
15.2. Feasibility 46
15.2.1. Preparation of Draft Resettlement Plan 46
15.2.2. Presentation of Draft RP 46
15.2.3. Community Consultation 46
15.3. Finalization of the Resettlement Plan 47
15.4. Project Implementation 47
15.5. Monitoring 47
15.6. Post Project Implementation 48
15.6.1. Evaluation of the RP Implementation 48
16.0 DISCLOSURE AND PUBLIC CONSULTATION 48
16.1. Key Principles 48
16.2. Target Population 48
16.3. Timing 49
16.4. Information Documentation 49
17.0 GRIEVANCE PROCEDURES 50
18.0 RAPID RESPONSE TO CRISES AND EMERGENCIES 50
19.0 CAPACITY BUILDING AND TRAINING REQUIREMENTS 51
20.0 COSTS AND BUDGETS 51
ANNEXES
ANNEX 1: ENVIRONMENTAL ISSUES A1
Annex 1A: WB Operational Policy and Bank Procedures on Environmental
Assessment A1
Annex 1B: Template for an Environmental Management Plan Checklist A3
ANNEX 2: SOCIAL ISSUES A9
Annex 2A: Cultural Property and Protection Measures A9
Annex 2B: Safeguards Procedures for Inclusion in the Technical Specifications of Contracts A11
Annex 2C: GOP Laws and Orders on Land Acquisition A16
Annex 2D: Elements of a Resettlement Action Plan A19
Annex 2E: Elements of an Abbreviated Resettlement Action Plan A24
Annex 2F: Required Social Safeguards Document per Category A25
Annex 2G: Criteria for Review of Social Aspects A26
Annex 2H: Compensation Table A27
Annex 2I: Terms of Reference – External monitoring Agency A34
Annex 2J: Terms of Reference – Independent Appraiser A37
Annex 2K: Grievance and Commitment Registry A38
Annex 2L: Where to File/Raise Complaints and Grievances (Contact Persons) A39
ANNEX 3: Summary of Public Consultation Proceedings on the MWMP
IESSMF A40
LIST OF TABLES
Table 1.0 Financing Plan 5
Table 2.0 EA Requirements for Sanitation and Sewerage Projects 12
Table 3.0 Environmental Mitigation Measures and their Coverage 19
Table 4.0 Institutional Responsibilities in Environmental Safeguards 21
Table 5: Checklist of Project-Affected Persons and Assets 37
LIST OF FIGURES
Figure 1: Metro Manila Wastewater Management Project IESSMF 3
ACRONYMS
|BP |(World) Bank Procedures |
|CNC |Certificate of Non-coverage |
|DAO |DENR Administrative Order |
|DENR |Department of Environment & Natural Resources |
|DPD |Detailed Project Description |
|EA |Environmental Assessment |
|ECC |Environmental Compliance Certificate |
|ECR |Environmental Compliance Report |
|EDD |Environmental Due Diligence |
|EIA |Environmental Impact Assessment |
|EIS |Environmental Impact Statement |
|EMA |External Monitoring Agency |
|EMB |Environmental Management Bureau |
|EMM |Environmental Mitigation Measures |
|EMoP |Environmental Monitoring Plan |
|EMP |Environmental Management Plan |
|EMR |Environmental Management Report |
|EPMAR |Environmental Performance Monitoring and Audit Report |
|EPMD |Environmental Program and Management Department |
|ESMF |Environmental Safeguards Management Framework |
|FI |Financial Intermediary |
|FS |Feasibility Study |
|ICC |Indigenous Cultural Communities |
|IEE |Initial Environmental Examination |
|ISO |International Standards Organization |
|IESSMF |Integrated Environmental and Social Safeguards |
| |Management Framework |
|LBP |Land Bank of the Philippines |
|LGU |Local Government Unit |
|LLDA |Laguna Lake Development Authority |
|LU |Lending Units |
|MWMP |Metro Manila Wastewater Management Project |
|MWCI |Manila Water Company, Inc. |
|MWSI |Maynilad Water Services, Inc. |
|MWSS |Metropolitan Waterworks and Sewerage System |
|NOL |No Objection Letter |
|OP |Operational Policy |
|PCO |Pollution Control Officer |
|PD |Presidential Decree |
|PENRO |Provincial Environment & Natural Resource Office |
|PIU |Project Implementation Unit |
|PMO |Project Management Office |
|RP |Resettlement Plan |
|RAP |Resettlement Action Plan |
|RIC |Resettlement Implementation Committee |
|ROW |Right of Way |
|SA |Social Assessment |
|SLA |Subsidiary Loan Agreement - World Bank |
SECTION 1: PROJECT DESCRIPTION
0. INTRODUCTION
1. The Philippines has been maintaining strong economic growth due to activities in urban areas, especially around Metro Manila. As the urban areas continue to grow, the challenge of providing sustainable urban services arises, especially relating to sanitation and water. Since 1997, water supply, sewerage, and sanitation services in Metro Manila have been assigned by the Manila Waterworks and Sewerage System (MWSS) to be managed by the two private concessionaires: Manila Water Company Inc. (MWCI) for the east zone and Maynilad Water Services Inc. (MWSI) for the west zone. The east and west concession zones serve about 5.7 and 7 million, respectively. However, sewerage coverage remains very low at 16 percent in the east zone and 8 percent in the west zone. The need to increase the sewerage coverage in Metro Manila is particularly important in achieving the timelines set in the Clean Water Act and the Supreme Court mandamus decision to realize an improved water quality in Manila Bay. MWCI plans to increase coverage in the east zone to 30 percent in 2010 and 100 percent by 2037. This expansion is expected to cost almost US$800 million in investments. In the west zone, MWSI also plans to expand its wastewater collection and treatment services to 14 percent by 2012 and to 100 percent by 2037, which is expected to cost around US$1.7 billion.
2. In order to meet the objectives of increasing the coverage and effectiveness of wastewater collection and treatment as well as septage management in Metro Manila and its suburbs, the Government of the Philippines is preparing the Metro Manila Wastewater Management Project (MWMP) through the Land Bank of the Philippines (LBP), which will act as the financial intermediary and Borrower for the project, and through the two concessionaires -- MWCI and MWSI, which will be the Sub-Borrowers.
3. Key stakeholders were invited to attend a public consultation which was publicly announced two weeks before the consultation date which is October 5, 2010. The full version of the Integrated Environmental and Social Safeguards Management Framework (IESSMF) was distributed to the invited participants at least a week before the consultation. Copies were made accessible to the public through the Department of Environment and Natural Resources (DENR), the Borrower and the Sub-borrowers. The IESSMF was presented and discussed in detail during the consultation, which was attended by the project stakeholders with representations from various national and local government agencies and select non-government institutions. The consultation was held October 5, 2010 at the Air Quality Training Room, Environmental Management Bureau, DENR (see Annex 3 for a summary of the proceedings).
4. The Borrower, Land Bank of the Philippines, presented an overview of the proposed project and its safeguards oversight function during the implementation of this project. The concessionaires, Maynilad and Manila Water, presented a summary of their proposed sub-projects and provided a detailed presentation of the environment and social aspects of the IESSMF and the standard procedures that will be followed during sub-project design and implementation. An Open Forum capped the consultation, which ended with the government pledging its support to ensure the successful implementation of the project. The IESSMF was updated to incorporate the comments received during the consultation.
5. Separate public consultations and environmental and social impact assessments will be conducted in each of the sub-project site locations to ensure that concerns of key stakeholders, site-specific issues and local conditions are considered in each of the sub-project designs, the Environmental Management Plan and the Resettlement Action Plan.
1. Objectives of the Integrated Environmental and Social Safeguards Management Framework
6. The IESSMF will establish the objectives, procedures, institutional framework, and implementation arrangements for identifying and managing potential environmental and social impacts of the project activities. It will form part of the project’s Operations Manual and is referenced in the project’s Legal Agreements. It will address mechanisms for public consultation and disclosure of project documents as well as redress of possible grievances, and includes guidance on rapid response to crises and emergencies in case this is needed during project implementation.
7. Its objectives are:
• To establish clear procedures and methodologies for the environmental screening, review, approval and implementation of sub-projects to be financed under the Project;
• To specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental concerns related to sub-projects;
• To determine the training, capacity building and technical assistance needed to successfully implement the provisions of the Environmental Safeguards Management Framework (ESMF); and
• To identify funding requirements for the ESMF implementation for inclusion in the project cost.
8. The IESSMF is composed of two parts:
• Part 1- Environmental Safeguard Framework (ESF); and
• Part 2- Resettlement Policy Framework (RPF).
Figure 1 below summarizes the process of both environmental and social safeguards that will be applied for the Metro Manila Wastewater Management Project.
Figure 1: Metro manila Wastewater Management Project IESSMF
[pic]
0. PROJECT OVERVIEW
9. The Philippines has been maintaining strong economic growth due to activities in urban areas, especially around Metro Manila. As the urban areas continue to grow, the challenge of providing sustainable urban services arises, especially relating to sanitation and water. Investments on sanitation and wastewater collection and treatment (around P1.5 billion per year nationwide) have not kept pace with the needs and much remains to be done.
10. The development objective of the MWMP is to improve wastewater services in Metro Manila and suburbs, thereby reducing the pollution load of Manila Bay, the catchment area of all domestic and industrial wastewater for the Metro Manila area. This will be achieved by supporting the two concessionaires in increasing the coverage and effectiveness of wastewater collection and treatment as well as septage management.
11. For this investment project, Land Bank of the Philippines (LBP) will act as the Borrower, while the two concessionaires, MWCI and MWSI, will be the Sub-Borrowers.
2. Project Components
12. The project is designed to allow flexibility for the concessionaires in deciding on the best approach to improve their delivery of sewerage services for Metro Manila. It is expected to be effective in early 2011 and the implementation period will be for seven years. This will allow the draw-down of Bank loan funds by the two concessionaires until 2017 to achieve service obligations agreed upon in the extension of the concession period, which involves acceleration and doubling of sewerage investments to comply with the Supreme Court decision to improve the quality of Manila Bay.
13. The project has two components, namely:
• Component 1: Investment Loans for MWCI and MWSI. These are investments that are necessary to improve wastewater services. Eligible investments will include wastewater collection and treatment, and septage management. Consulting assignments related to project implementation are also eligible. These would include: preparation of feasibility studies, construction supervision, preparation of environmental and social safeguard reports, preparation of project summary reports and audit reports, and public awareness campaigns to inform the citizens about the project and the benefits of better wastewater services. These sub-projects have not been identified and will be defined during implementation.
• Component 2: Disaster Response and Recovery Contingency Financing. This is a zero-value component which will allow for rapid reallocation of project funds for reconstruction activities through streamlined procurement and disbursement procedures.
14. A draft cost and financing plan for the project is shown below. This plan is subject to change and will be updated during appraisal.
Table 1: Financing Plan
[This table needs to be updated after the loan amount is confirmed]
|COMPONENT |COST |FINANCING* |
| |(US$ mln.) |(US$ mln.) |
| | |Bank |Concessionaire |
|1. Investments and Technical |100 |100 |0 |
|Assistance | | | |
|2. Disaster Response and Recovery |0 |0 |0 |
|Contingency Financing | | | |
| | |
|Total |100 |100 |0 |
* Subject to revision
0. SUB-PROJECT SELECTION
15. The selection of the sub-projects follows a framework approach, which is used when the principles of a project and the criteria for sub-project selection are determined before appraisal, since not all individual investments can be identified and appraised before World Bank (WB) Board approval.
16. A sub-project is defined as an activity, or grouping of like activities that are within a primary sector (in this case sanitation and sewerage) covered by the project. Each sub-project is bound by the legal requirements of the project, including fiduciary and safeguards aspects. Three general types of sub-projects are likely to be included: (a) those eligible for retroactive financing under the project; (b) straightforward construction/rehabilitation sub-projects; and (c) those that arise in response to crises or emergencies.
3. Environmental safeguards criteria for sub-project selection
17. For sub-projects, five selection criteria, relating to environmental safeguards, have been agreed by the Bank and the Borrower, and these are listed below. All sub-projects shall:
i. Be consistent with the Metro Manila Sanitation and Sewerage Master Plan and other local development plans which reflect Government policies and procedures;
ii. Have obtained the necessary clearances and permits from national and local regulatory agencies and in accordance with relevant national, provincial, and local standards, procedures and codes;
iii. Be designed to ensure sustainable service delivery, including the financing of equipment and capacity building;
iv. Be designed based on a rational and efficient option analysis including technical, financial, social, environmental and safety considerations;
v. Be consistent with World Bank OP/BP 8.00. These will be given first priority if they address restoration of destroyed or damaged services or facilities financed under the project.
18. The Bank team will confirm the initial project eligibility screening. After each sub-project is prepared, the Bank team will conduct prior review and appraisal of the sub-projects deemed complex. In the case of all other sub-projects the Bank team will conduct post-review on a sampling basis during supervision of the simpler sub-projects.
4. Timing of Environmental Assessment (EA) in Sub-loan Preparation
19. The basic approach in the preparation of an environmental assessment report is to have it simultaneous, closely coordinated, and integrated with the preparation of the sub-project feasibility study. In doing this, all environmental aspects and impacts will be included right from the beginning to facilitate the proper selection of sub-project alternatives that will bear the minimal amount of environmental risk or negative environmental impact.
20. For eligible sub-projects a Detailed Project Description (DPD), will be prepared and an appropriate environmental assessment shall be conducted prior to engineering design. The assessment of predicted environmental impacts shall be the basis for the Sub-Borrower and the design consultants to select appropriate sub-project alternatives.
0. POLICY FRAMEWORK ON ENVIRONMENTAL AND SOCIAL SAFEGUARDS
21. The IESSMF is developed in line with the relevant national and local laws and regulations and the World Bank Safeguards Policies. The safeguards requirements for the project will build upon these national guidelines and requirements in order to streamline, to the extent possible, the documents required for each sub-project without compromising in any manner the Safeguard requirements of either the government or the World Bank.
5. Philippine laws and regulations
22. The following national laws and regulations relevant to the environmental safeguards and the protection of water bodies from pollution provide the basis for the overall framework of the ESF:
• Presidential Decree (PD) No. 1586, 1978 on the Environmental Impact Statement (EIS) System;
• Republic Act No. 9275, 2004 on the Philippine Clean Water Act;
• Presidential Proclamation No. 2146, 1981 on Environmentally Critical Projects / Areas;
• Administrative Order No. 42 by the Office of the President 2002, describing categories of projects and areas subject to the EIS System;
• DENR Administrative Order No. 2003-30, the Implementing Rules and Regulations (IRR) for the Philippines EIS System (2003), and its Revised Procedural Manual issued August 2007; and
• Memorandum Circular No.: 2010-14 Standardization of Requirements and Enhancement of Public Participation in the Streamlined Implementation of the Philippine EIS System.
6. World Bank Safeguards Policies
23. The following World Bank policies will or are likely to be triggered by the potential sub-projects:
• OP/BP 4.01 Environmental Assessment: Individual sub-projects will be screened and assigned the appropriate environmental categorization and environmental due diligence will be conducted in accordance with OP 4.01. A technical guidance note on the preparation of an Environmental Management Plan/mitigation measures (EMP), including use of standard Environmental Codes of Practices for contractors are included in this framework.
• OP/BP 4.04 Natural Habitats: Field visits and the location of potential sub-projects in urban areas indicate that natural habitats are unlikely to be adversely affected. Nevertheless, all sub-project proposals will be screened for potential adverse impacts on critical and non-critical natural habitats and suitable mitigation measures if any needed will be prepared as part of the sub-project specific EA and EMP.
• OP/BP 4.11 Physical Cultural Resources (PCR): Whenever a sub-project includes reconstruction or preservation of historic or archeological sites, PCR management plans would be prepared for those sub-projects, either as part of the sub-project specific EIA or as a stand alone document. All sub-projects will be reviewed for their potential impacts on PCR in the context of their respective EIA/EMP and procedures will be included in all relevant standard bidding documents to deal with chance finds during construction. A technical guidance note on “Preparation and implementation of PCR management plans” is included in this framework.
• OP/BP 4.12 Involuntary Resettlement: Land acquisition and involuntary resettlement are anticipated under the project, particularly for sub-projects involving service expansion or reconstruction at new sites. For this reason, OP 4.12 will be triggered. Sub-projects will be screened for land-related impacts and resettlement action plans will be developed and implemented. A technical guidance note on “Preparation and implementation of resettlement documents” is included in this framework.
• OP/BP 8.00 Rapid Response to Crises and Emergencies: In the event that an actual or imminent natural or man-made crises or disaster happens that would cause major adverse economic and social impacts, the Bank may provide rapid responses to a Borrower’s request for urgent assistance. These include activities that support rapid response and relief to recovery operations.
0. ALIGNING SUB-PROJECT PROCESSING REQUIREMENTS WITH ENVIRONMENTAL AND SOCIAL SAFEGUARDS ASPECTS
24. As sub-projects will be identified and proposed for financing in a continuous manner during the project implementation period, screening for potential environmental and social impacts will be conducted and mitigation and management measures will be developed in line with the agreed IESSMF.
25. Environmental and social impact screening, mitigation and management measures development and implementation will follow these steps:
Step 1 - Identification of sub-projects according to the selection criteria;
Step 2 - Screening for potential environmental and social safeguard impacts and determination of safeguards documents required according to national regulations and World Bank policies;
Step 3 - Preparation of safeguard documents, consultation and disclosure;
Step 4 - Review and clearance of the safeguard documents; and
Step 5 - Implementation of agreed actions; and supervision, monitoring, and evaluation
7. Step 1: Identification of Sub-projects According to the Selection Criteria
26. During Step 1, the environmental and social specialists/consultants employed by the Sub-Borrower will participate in the identification and selection of sub-projects. They will evaluate and provide input, as appropriate, on ways to optimize the sub-project concepts to reduce environmental and social impacts.
8. Step 2: Screening for Potential Environmental and Social Safeguard Impacts and Determination of Safeguard Instruments for Each Sub-project
27. Once sub-projects have been identified, the Sub-Borrower, will ensure that the sub-projects are aligned with the screening process undertaken by DENR for its potential environmental and social safeguard impacts to determine the nature and extent of the environmental and social due diligence needed before Borrower and Bank approval of each sub-project. The choice of instruments (EA, Environmental Management Plan [EMP], Resettlement Action Plan [RAP], etc.) for each sub-project depends on the nature and magnitude of its potential impacts. Because the evaluation of the expected environmental and social impacts requires specialized technical skills, the Sub-Borrower may employ qualified environmental and social specialists as well as consultants to assist them in this task.
28. The success of an environmental safeguards screening is dependent on adequate baseline environmental data, technical expertise, good planning, management support, and coordination with key players and decision makers. The Sub-Borrower must provide DENR with:
• a clear and concise statement of work including the expected technical and procedural standards to be met;
• available background information;
• EA documents standards;
• a reasonable schedule of deliverables;
• budgetary allocations; and
• procedures for post-review and comment, to include consolidation and clarification of comments by the Sub-Borrower before delivery to the EA team.
1. Environmental Safeguards Screening
29. With respect to environmental screening of sub-projects, the national regulations and World Bank policies are considered on the whole to be closely-related; both are impact-based and will require the Sub-Borrower to identify and assess potential impacts to environmental components such as water, air, land and natural habitats and biodiversity.
30. For specific screening according to World Bank policies, the Sub-Borrower will use the screening tool in Annex 1A to propose an environmental classification for each sub-project as follows:
• Category A: A sub-project of this type would have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the physical works.
• Category B: A proposed sub-project may have some adverse environmental impacts, but less adverse than those of Category A projects. These impacts are typically site-specific; few if any of them are irreversible; and in most cases mitigation measures can be readily designed. The great majority of sub-projects for rehabilitation and reconstruction works are likely to fall in this category.
• Category C: A proposed sub-project is likely to have minimal or no adverse environmental impacts.
31. The screening results will be cross-checked with national regulations, in order to determine the applicable EA documentation requirements. Three possible instruments are specified in the regulations: (a) Environmental impact assessment (EIA) report; (b) Initial Environmental Examination (IEE); and (c) Project description. In those cases where the EA documentation required by the regulations is not equivalent in depth and scope to those required by the World Bank safeguard policy requirements, the latter will apply.
2. Determination of Environmental Safeguards Documents for sub-projects
32. The environmental safeguards documentation requirements for each sub-project will be determined based on the screening procedures, as follows:
• Category A: Sub-projects will require an Environmental Impact Assessment (EIA) and an Environmental Management Plan (EMP) prepared in accordance with Bank requirements Moreover, all bidding documents will include a standard contract clause for chance finds of physical cultural resources (refer to relevant guidance notes Annex2B). The Sub-borrower will consult with the Borrower and the Bank team during preparation of all safeguards documents for Category A projects. Both the EIA and the EMP will be submitted to the World Bank for review and clearance.
• Category B: Sub-projects will require an EIA or simplified EIA (as required under the laws and regulations) and or an EMP (as per the Bank policy) consisting, at a minimum, of standard environmental codes of practices supplemented, if necessary, with additional analysis. The sub-project specific EMP and/or standard environmental codes of practices, including coverage of how to handle chance-finds of physical cultural resources, will be included in all construction contracts/ bidding documents.
• Category C: Sub-projects that are rated Category C do not require environmental safeguards documents, but will comply with the regulatory requirement for registration.
3. Social Safeguards Screening
33. Every sub-project will be screened by the Sub-borrower for social impacts, including: (a) the need, if any, for land acquisition and involuntary resettlement (permanent or temporary); (b) the impacts on the population to be affected; and, (c) whether there is an ethnic minority community that would be affected by the sub-project (as determined through a review the demographic information in the sub-project areas).
34. In addition to any requirements to meet World Bank policies, the Sub-borrower will also screen the sub-projects for national/provincial laws and regulations regarding land acquisition and involuntary resettlement.
4. Social Safeguards Documents
35. The Social Safeguards documents for each sub-project depend on the sub-project’s impacts, as follows:
• A resettlement action plan (RAP) is required if over 200 people will need to be involuntarily resettled. If fewer people need to be resettled, then an abbreviated RAP will be required, including if land acquisition or compensation for land already acquired under post-earthquake regulations is required.
• A social assessment (SA) is required if social impacts of significance are expected.
9. Step 3: Development of Safeguards Documents Including Consultation and Disclosure
36. Once the screening and documentation requirements are agreed by the Bank and confirmed by the DENR, the Sub-Borrowers will develop detailed safeguard documents and impact mitigation measures.
37. The EA Report, EMP and other documents (i.e., project study) necessary for application for the Environmental Compliance Certificate (ECC) shall be prepared by the Sub-Borrower. Subsequently, the Sub-Borrower shall then submit the documents to the DENR to comply with the ECC requirements.
38. It is the responsibility of the Sub-Borrowers to carry out the necessary EA required by the IESSMF, and to obtain the environmental clearances for each sub-project before starting the construction. Sound environmental practices have to be incorporated into the sub-project design and implementation, and potential negative impacts will have to be mitigated to acceptable levels / standards. The Sub-Borrowers are responsible for the quality and accuracy of the information in the EA document, as well as the transmission of the EA documents to DENR.
39. As the loans for investment financing are channeled to the Sub-Borrowers through the LBP, LBP shall require sub-projects to comply with existing environmental laws. The LBP’s Environmental Program and Management Department (EPMD) has the environmental expertise to oversee the Sub-Borrower in carrying out the EA and attaining environmental compliance to the conditions and statement of the ECC / EMP.
40. For all Category A projects, the Bank will provide advice to the Sub-Borrowers during the preparation of the documents. For Category B projects, Sub-Borrowers are encouraged to liaise closely with the Borrower and the Bank if any issues arise that may require clarification from the Bank on the application of Bank policies.
41. Safeguard documents will be subject to consultation and disclosure in an accessible place, in a timely manner, in a form and language understandable to key stakeholders, prior to the finalization of the documents. Particular attention will be given to ensure project-affected persons have adequate time and ready access to draft documents before consultation takes place.
42. Consultation for Category A projects and projects that require RAPs, or Social Assessments (SAs) will be undertaken at least twice during the preparation: at the beginning of the preparation of documents to scope environmental and social issues as well as prior to finalization of the safeguards based on the preliminary results of the required safeguard documents in order to take into account public concerns before submitting final documents to the Bank.
Table 2: EA Requirements for Sanitation and Sewerage Projects (Category B)
|EA process |Philippine EIA Law (PD 1586) |World Bank |Harmonized EA requirements |
| | |OP 4.01 Environmental Assessment | |
|Screening |Category B: |Category B: |Category B: |
| |Threshold of coverage – |Projects whose potential adverse |Potential adverse environmental impacts shall |
| |domestic wastewater treatment|environmental impacts are |be moderate, manageable and site-specific |
| |facility: equal to or greater|moderate, manageable and | |
| |than 5,000 cubic meters per |site-specific | |
| |day | | |
|Public Consultation |Public Hearing/ Consultation |Public Hearing/ Consultation of |Public Hearing/ Consultation of project |
| | |project affected groups and local|affected groups and local NGOs |
| | |NGOs | |
|Conduct of EA and |Category B: Programmatic |Category B: |Environmental Management Plan (EMP) |
|documentary requirements |expansion applications: |Potential adverse environmental |Mitigation measures |
| |Environmental Performance |impacts in Project Appraisal |Monitoring |
| |Report and Management Plan |Document (PAD), Project |3) Capacity development and training |
| |(EPRMP). |Identification Document (PID), |4) Implementation schedule and cost estimates |
| | |Integrated Safeguards Data Sheet |Public consultations/ hearings |
| | |(ISDS) | |
| | |Environmental Management Plan | |
| | |(EMP) | |
| | |Public consultations/ hearings | |
|Review and Approval |EPRMP and ECC |IESSMF; |IESSMF |
| | |1st year EMPs |1st year EMPs |
|Public Disclosure | DENR website and public |PAD |IESSMF |
| |library and available at the|PID |PID |
| |EIA office |ISDS |EMP |
| | |EMP |PAD (after WB Board approval) |
| | | |ISDS (after WB Board approval) |
|Monitoring and reporting |Environmental Compliance |EMP |Environmental Compliance Report |
| |Report |Annual third party audit report |Semi-annual self- monitoring reports of ECC and|
| |Semi-annual self- monitoring | |EMP |
| |reports | |Annual third party audit report |
| |Annual Third party audit | | |
| |report | | |
1. Information Disclosure and Consultation
43. Information disclosure and public consultation are important and necessary in sub-project preparation and implementation. These enable sub-project affected people and other stakeholders to participate in and contribute to the sub-project planning and implementation, and thereby help minimize sub-project adverse impacts and maximize sub-project benefits. The level of public consultation and the scope of information dissemination will be commensurate with the environmental category of the sub-project and the significance of the social impacts.
44. Information to be disclosed will include, at a minimum: sub-project design, impacts, and proposed mitigation measures. During the design and implementation phases, this information will be updated and continually made available to stakeholders. Disclosure means could vary, but may include posters, booklets, newspapers, the internet, and community meetings. All safeguard documents will be disclosed at a public place accessible to affected groups and other stakeholders prior to consultation to establish the basis for meaningful consultation. Disclosure and consultation mechanisms will be planned and detailed in the relevant safeguard documents.
1. Borrower and Sub-Borrowers’ Public Disclosure of Documentation
45. Public disclosure of documentation shall be in accordance with LBP’s Executive Order No. 073 series of 2009 on Guidelines on Classification, Handling, Access and Disclosure of Information Assets, including any amendments thereof.
46. In view of the World Bank’s Access to information Policy and Open Data Initiative, the Borrower and Sub-Borrowers shall allow disclosure of information regarding environment and social safeguards.
2. WB Policy on Disclosure of the EA Reports
47. Whenever the WB requires an environmental assessment (EA), the Sub-borrower prepares an EA report as a separate, free-standing document. The EA report is publicly available:
• after the Sub-Borrower has made the draft EA report available at a public place accessible to project-affected groups and local NGOs in accordance with OP/BP 4.01, Environmental Assessment, and
• after such EA report has been officially received by the WB, but before the WB begins formal appraisal of the project.
48. For financial intermediary (FI) operations or sector investment operations that are expected to have sub-projects which, for environmental screening purposes, are classified as Category A under OP/BP 4.01, Environmental Assessment, each identified participating FI or the responsible project entity provides the WB, before the beginning of formal project appraisal, with an assessment of the institutional mechanisms or framework in place for conducting the EAs for such Category A sub-projects.
49. Any separate reports for Category B sub-projects are made available to project affected groups and local NGOs. Public availability in the borrowing country and official receipt by the World Bank for projects proposed for funding, are prerequisites to World Bank appraisal of these projects.
50. Once the Sub-Borrower officially transmits the Category A and B EA reports to the Borrower and the Bank, the Bank distributes the summary in English to the Executive Directors and makes the report available through its InfoShop.
2. Grievance redress
51. A grievance redress mechanism for the project is necessary for addressing legitimate concerns of affected individuals and groups who may consider themselves deprived of appropriate treatment under the project. The Sub-Borrower’s mechanism would include: (a) a recording and reporting system, including grievances filed both verbally and in writing; (b) designated staff with responsibility at various levels; and (c) a time frame to address the filed grievances. This mechanism will be detailed in the sub-project safeguards documents. The functioning of the grievance redress mechanism will be regularly monitored and evaluated by the Borrower during project implementation.
3. Rapid response to Disasters and other Crises
52. In the event that a natural disaster or a crisis occurs, the significant environmental issues that may be encountered should be immediately addressed once the disaster or crisis is under control. A specific environmental mitigating measure would require the management of wastes so as not to further harm people and the environment. This could entail the collection and disposal of large quantities of garbage from the treatment facilities that would include destroyed pumps and other mechanical equipment, debris of all types -- with possibly hazardous materials.
53. The immediate steps to be taken to address the environmental impacts generated by the project during natural disasters should be part of the mitigating measures identified in the Environmental Management Plan. A swift action plan should also be put in place by the Sub-Borrower to immediately bring back the treatment facilities back to working condition. The actions taken should be included in the Environmental Compliance report and the self-monitoring report that will submitted by the Sub-Borrower to the LBP, DENR-Environmental Management Bureau (EMB) and the WB.
10. Step 4: Review and clearance of the safeguards documents
1. Review by the Borrower
54. Review of the environmental and social safeguards documents, according to national regulations, is the responsibility of the Borrower; these documents are to be cleared by the WB. In line with its environmental credit policy, the Borrower shall monitor the Sub-Borrower’s compliance with the WB safeguard policies.
55. The Borrower will exercise environmental due diligence (EDD) by keeping records of sub-project EA reports, feedback / technical information, and ECCs / Certificates of Non-Coverage (CNCs). Environmental safeguards documents may undergo substantive review by the Borrower, particularly if pressing environmentally critical issues exist. The Borrower shall conduct EDD for MWMP sub-projects, as follows:
i. Description of both the positive and negative impacts to provide a balanced risk assessment. It will also recognize the DENR as the sole governmental organization that is mandated to issue ECCs based on the Philippine Environmental Impact Statement (EIS) System Law (PD No. 1586). Sub-Borrowers are required to coordinate with the DENR-EMB to certify that the proposed sub-project/s underwent environmental assessment prior to finalization and implementation of plans.
ii. Environmental assessment and monitoring shall be conducted until project completion. Thereafter, the Borrower will continue monitoring of environmental compliance of the sub-projects consistent with its environmental policy on credit delivery, until the loan is fully paid.
iii. LBP-EPMD is unit assigned to conduct assessment/monitoring on the environmental compliance of approved sub-projects.
2. World Bank review
56. The requirements for review and clearance of the environmental documents by the World Bank are as follows:
• Category A: The EIA/EMP and other relevant documents (e.g., Dam Safety Programs (DSPs), PCR management plans) for all Category A sub-projects will be subject to World Bank standard review and clearance procedures prior to approval of the sub-project.
• Category B: The Simplified EA (or IEE) and EMP for Category B sub-projects will not be subject to World Bank review and clearance prior to approval of the sub-project. However, these documents will be post-reviewed on a selective basis during supervision missions.
• Category C: No review required by the World Bank.
57. The requirements for review and clearance of the social documents by the World Bank are as follows:
• All RAPs, abbreviated RAPs, and SAs will be subject to review and clearance by the World Bank prior to approval of the sub-project.
11. Step 5: Implementation of Agreed Actions and Supervision, Monitoring and Evaluation
1. Implementation
58. Implementation of the safeguards measures during sub-project implementation is the responsibility of the Sub-Borrowers. Any costs associated with the government EA process (i.e., filing and processing fee of EA report) and cost of environmental monitoring shall be shouldered by the Sub-Borrower. The Sub-Borrower should put up its own funds for EA / ECC processing since the loan does not finance any processing fee and cost associated with review charged by DENR.
2. Supervision
59. The Sub-Borrowers will be responsible for the implementation of the EMP and social safeguard-related actions approved by the government and the Bank. The World Bank task team will regularly visit the sub-project areas throughout project implementation in order to:
• provide guidance in the preparation of safeguards instruments;
• review the screening results, due diligence review report, and safeguard documents of proposed sub-projects; and
• supervise the implementation of the safeguards instruments to ensure they are implemented in compliance with the Bank policy requirements.
3. Monitoring and Evaluation
60. Sub-projects that are covered by the Philippine EIS System are required by DENR Administrative Order (DAO) 2003-30 to conduct regular self-monitoring of parameters indicated in the sub-project’s EMP.
61. The primary purpose of compliance monitoring is to ensure the implementation of sound and standard environmental procedures as defined during the project preparation. Specifically, it aims to:
• monitor project compliance with the conditions set in the ECC;
• monitor compliance with the EMP and applicable laws, rules and regulations; and
• provide a basis for timely decision-making and effective planning and management of environmental measures through the monitoring of actual project impacts vis-a-vis the predicted impacts in the EIS / IEE.
1. DENR Procedures
62. All projects covered by the Philippine EIS System which have been issued an ECC shall be subjected to periodic monitoring by the DENR ( i.e., compliance and impact monitoring in accordance with established procedures and protocols). Within the framework of the Philippine EIS System, the responsibilities of monitoring projects are lodged with the EMB regional offices to which the latter can request for the assistance of the DENR Provincial Environment & Natural Resource Office (PENRO).
63. As a minimum requirement in compliance monitoring, DENR-EMB shall focus on the following:
• status of Sub-Borrower’s delivery of commitment made in its EMP (or, in the case of IEE Report, the Summary Matrix of Impacts);
• effectiveness of the committed EMP in mitigating project’s environmental impacts; and
• meeting the terms and conditions of the ECC.
2. Sub-Project’s monitoring and audit
64. The Sub-Borrower shall monitor compliance with the conditions of the ECC and the EMP and carry out the requisite data collection during both the pre-construction and construction phases. The Sub-Borrower must satisfy this requirement by submitting an Environmental Compliance Report (ECR), which includes an Environmental Monitoring Plan (EMoP) and a Self- Monitoring Report (SMR) on a semi-annual frequency ( i.e., within January and July of each year) to the concerned DENR-EMB regional office. Copies of the submitted ECR and SMR must be provided in two sets to the Borrower for reference and review purpose. One set of the EMR received by the Borrower will be transmitted to the WB for record keeping.
65. Semi-annual ECRs and SMRs shall be submitted to DENR-EMB, the LBP-EPMD and the WB, including:
• presentation of the collected data;
• discussion on the compliance or non-compliance to the EMP and ECC;
• conclusions and recommendations; and
• photos of environmental monitoring and adherence to mitigating measures.
During the sub-project developmental phase, the Sub-Borrower shall furnish the LBP-EPMD copies of the ECR prepared for the pre-construction and construction stages of the sub-project. Once construction works are completed, the Sub-Borrower shall submit a statement of environmental closure for the construction phase to the LBP-EPMD, DENR- EMB and WB.
66. During the sub-project operational phase, the Sub-Borrower shall continue the submission of ECRs and start the submission of the SMR to LBP-EPMD, DENR-EMB and WB on a semi-annual basis. The Sub-Borrower will also commission the conduct of an Annual Third Party Environmental Performance Audit and submit the Audit report to the LBP-EPMD, DENR and the WB for review and evaluation. If any irregularities are observed in the third party audit, the LBP-EPMD will report its findings to the Sub-Borrower and discuss the measures to be taken.
67. During the operational stage of the sub-project, the Borrower shall oversee the compliance and performance of the Sub-Borrower based on the environmental documents that the Sub-Borrower will prepare, including an Annual Third party Environmental Performance Audit of the project (e.g., EMP, Self-Monitoring Reports, wastewater laboratory results (if applicable), etc.) and will conduct site validation to substantiate the documents during LBP-EDD schedules and WB Missions.
68. An LBP Environmental Compliance Report (ECR) shall be prepared by the Borrower to determine the sub-project’s compliance with the environmental requirements. The LBP ECR shall be submitted by EPMD to LBP’s Corporate Banking Department I CBD-I with recommendations to the Sub-Borrower on noted deficiencies in the required environmental documents.
69. Monitoring and validation of the sub-project shall be undertaken annually by the Borrower until project completion to document the environmental performance of the project and note irregularities/inconsistencies/non-conformities, if there will be any. An Environmental Performance Monitoring and Audit Report (EPMAR) to include recommendations to the Sub-Borrower on noted observations/non-compliances on their operations, shall be prepared annually by EPMD and submitted to CBD-I. Thereafter, the Borrower will continue monitoring of environmental compliance of the sub-project consistent with its environmental policy on credit delivery, until the loan is fully paid.
70. Apart from the DENR review of the EA report, the WB will also conduct a review of projects to make sure the Borrower is implementing the framework adequately. WB staff will advise and support the Borrower in carrying out its responsibilities. Within the WB, operational staff will provide information to the Borrower and ascertain whether policy requirements have been met.
71.
SECTION 2: ENVIRONMENTAL SAFEGUARDS
The Environmental Safeguard Framework (ESF)
0. ENVIRONMENTAL MANAGEMENT PLAN (EMP)
72. An EMP describes possible adverse effects that the proposed projects may pose to the environment. It recommends mitigation measures, and how will they be implemented. It monitors both positive and negative effects of the project, designates the entity responsible for implementing the EMP, and estimated costs and sources of funds. Annex 1A provides the WB Operational Policy 4.01, Annex C covering what constitutes an Environmental Management Plan. Annex 1B presents a template for an EMP checklist that includes four sections: a General Project and Site Information Form, Safeguards Information, a Environmental Mitigation Measures, and an Environmental Monitoring Plan.
12. Environmental Mitigation Plan
73. Environmental Mitigation Measures (EMMs). Table 3 below shows examples of environmental mitigation measures (EMMs) in an Environmental Mitigation Plan that forms part of the EMP. The Environmental Mitigation Plan should include identification of the institution responsible for implementing the measures and the costs. See Annex 1B.
Table 3: Environmental Mitigation Measures and their Coverage
|Activities generating Impacts |Key Issues Addressed |
|Project Preparation |Incorporation of environmental concerns in project preparation to avoid |
|(Planning & Design) |impacts in construction and operation stages |
| |Avoidance of siting in sensitive areas that are prone to flooding or |
| |landslides, etc |
| |Compliance with legal requirements. |
|Site Preparation |Relocation of utilities, common property resources and cultural |
| |properties |
| |Avoidance of adverse effect on waterways |
|Construction Camps |Avoidance of sensitive areas for location of construction |
|Quarry sites |Avoidance of agriculture lands as quarry sites |
| |Redevelopment of quarry sites |
|Topsoil Salvage, Storage |Topsoil removal from areas temporarily/permanently used |
|& Replacement |for construction |
| |Reuse of topsoil at areas to be revegetated |
|Drainage |Conduct of hydrological investigations during project |
| |preparation |
| |Provision of longitudinal and cross drainage as per |
| |requirements |
| |Proper location of drainage outfall |
|Wastewater and waste Management |Adequate treatment prior to discharge/ disposal |
| |Proper location of effluent outfall |
| |Regular monitoring of effluents to ensure compliance to standards |
| |Safe collection, treatment and disposal of wastes |
|Slope Stability and Erosion Control |Slope stability |
| |Protection of adjacent areas from debris due to construction |
|Construction Plants & |Maintenance of machinery and equipment to avoid pollution |
|Equipment Management | |
|Public and Worker’s |Provision of Personal Protective Equipment to workers |
|Health & Safety |Provision of basic necessities to workers |
| |Public safety within/ adjacent to construction sites |
| |Public safety during operation of the treatment facilities |
|Cultural Properties |Avoidance of impacts due to project |
| |Protection of boundaries from impacts due to construction |
| |Relocation in case impacts are unavoidable |
13. Environmental Monitoring Plan
74. The Environmental Monitoring Plan (EMoP) defines selected indicators for ensuring that mitigation measures are being implemented and are effective (e.g., if there is a mitigating measure to control noise during construction, the monitoring plan should include noise measurements during construction). It ensures the project is complying with national regulations and WB Safeguard requirements, addresses concerns which may rise during the public consultation, and identifies authorities responsible for monitoring including estimated related costs.
0. INSTITUTIONAL ARRANGEMENTS
75. The Borrower and the Sub-Borrower will engage qualified and experienced staff/consultants to carry out the planning, preparation, review, implementation and monitoring of compliance with the safeguards requirements in order to provide information on key environmental and social aspects of the sub-projects and the effectiveness of the planned mitigation measures. This will enable the government and the World Bank to evaluate the performance of the project’s environmental and social program and allow corrective action to be taken when needed. In the cases of sub-projects with RAPs, the Sub-Borrower will hire an independent third party consultant acceptable to the WB to conduct external monitoring of RAP implementation. The external monitoring report will be submitted to the WB and the Borrower.
76. In the environmental safeguards planning and implementation process, the various institutional roles and responsibilities are described below (Table 4):
Table 4: Institutional Roles and Responsibilities
|Sub-Project EA process |Sub-Borrower |LBP |WB |
|A. Sub-project Screening |1. Screens and scopes sub-projects in |2. Scopes Category A sub-projects |For Category A sub-projects, |
| |coordination with DENR |with the WB. |advises on scope of EA |
|B. Environmental Safeguards |3. Prepares the corresponding EA | | |
|Preparation |Reports and apply with DENR-EMB for | | |
| |issuance of ECC. | | |
|C. Sub-project Loan Approval |4. Secures ECC from DENR-EMB and |5. Reviews EA reports and ECC to |Reviews & issues NOL on the |
| |submits to LBP-EPMD copies of such |verify if necessary environmental |final EA report (only applies|
| |environmental clearances (submission of|safeguards are provided. |to classified Category A |
| |the final EA documents i.e. EA reports,|6. Transmits safeguards document to |sub-projects) |
| |ECC, shall be the basis of release for |WB for reference, or for comments. | |
| |the sub-projects construction phase). |For Category A sub-projects, secures | |
| | |Bank’s non-objection letter (NOL). | |
| | |7. EPMD submits ECR to CBD-I. | |
|D. Sub-project implementation |8. Submits reportorial requirements to|9. Reviews reports submitted by |Provides feedback, if |
|and monitoring |LBP and WB per Agreements. |Sub-Borrower and transmits the same |necessary |
| | |to WB per Agreement. | |
| |Semi-annual Environmental Compliance | | |
| |report and Self monitoring report |10. EPMD issues EPMAR to CBD-I | |
| |during implementation |annually or as the need arises. | |
| |Annual Third Party Audit Report | | |
77. The Sub-Borrowers shall submit an ECC application for Category B projects. These are projects that are not environmentally critical, but which may cause negative environmental impacts because they are located in environmentally critical areas. The application to be submitted to DENR would be an IEE, and an Environmental Performance Report and Management Plan (DAO No. 2003-30). In parallel, the Sub-Borrower will also submit an Environmental Management Plan (EMP) to the World Bank through the Borrower, as provided for in OP 4.01 Annex C: WB OP/BP on Environmental Assessment. EMPs will be submitted to the World Bank only for Category A sub-projects.
78. Approved ECCs issued by the DENR will be transmitted by the Sub-Borrower to the Borrower. During the monitoring phase of sub-projects, the Borrower will review the Sub-borrower’s compliance with the conditions of the ECC. Environmental reports and related documents shall be officially transmitted to the World Bank by the Borrower.
14. Land Bank of the Philippines
79. LBP is the Borrower under the MWMP and will act as the servicing agent of the Government. LBP will on-lend the loan funds to the two Sub-Borrowers, namely: MWCI and MWSI. As the Borrower, it shall perform oversight function to ensure that environmental loan covenants are complied with. MWCI and MWSI will submit environmental documents (i.e., EA, ECCs, CNCs, EMPs, etc.) to the LBP’s CBD-I.
80. The environmental documents will be reviewed by the Environmental Program and Management Department (EPMD). The Borrower, through the Program Management Department 2, as the Program Manager, submits the environmental documents to World Bank for concurrence.
15. Manila Water Company, Inc.
81. The Program Management Department is the overall in-charge entity for project conceptualization, development, approval, procurement, execution and close-out. The Project Manager (formerly referred to as Project Development Officer) is in charge of all stages of the project until closure and turnover to the Operations Group. The feasibility studies are undertaken by the Project Manager, who makes sure that the bid documents are responsive to the objectives of the project. He/she orchestrates all necessary material, personal and financial resources available to Manila Water to ensure project completion according to the schedule and at the best quality possible. It is currently headed by (to be determined). For the MWMP, (to be determined)is the Program Manager.
82. The Project Delivery Group takes charge of project procurement and execution, until commissioning and turnover to the Operations Group. Its main role is to deliver the infrastructure and hardware in working condition to the Facility Manager. TBD is the current Officer-in-Charge for the Project Delivery Group.
83. The Operations Group is the ‘owner’ of the facilities. Its biggest groups are the Water Supply Department and the Wastewater Operations Department. Each facility or facility cluster is headed by a Facility Manager who is in charge of day-to-day operations, including process control, vendor management and environmental compliance. He/she is already on board from the conceptualization of the project but takes over the facility after commissioning. The Pollution Control Officer (PCO) for the facility or facility cluster is a member of the Facility Manager’s team. The current Operations Group Director is (TBD) and the head of the Wastewater Operations team is (TBD).
84. The Environmental Planning and Sustainability Department is a support team for the Program Management, Project Delivery and Operations Groups, as well as other Manila Water units. It serves as an internal consultant/enabler on any environmental matter (e.g., government policy development, compliance, training, ISO accreditation) and acts as internal auditor, making sure all commitments indicated in the Environmental Management Plans and Environmental Compliance Certificates are complied with at any stage of the project. It is also the team responsible for reviewing project briefs and making sure the necessary environmental issues are brought out and addressed. It assists the Project Manager in preparing and reviewing the Environmental Impact Statements and/or Environmental Management Plans, and in acquiring the necessary environmental permits from government regulators. As the Corporate Pollution Control Officer (PCO) of the company, the department ensures that all facilities and projects comply with existing environmental regulations, and also implements ‘beyond compliance’ environmental initiatives in support of the sustainability vision of Manila Water. (TBD) is the current head of the EPS department.
85. The Environmental Planning and Sustainability Department, headed by (TBD) (Engineer), will take charge of compliance with all environmental regulations. This includes securing the ECC and compliance with the EMP. This department is staffed with 4 people: Wastewater Technical Support, Facilities Compliance Manager, Environmental Systems Manager, and an Administrative Assistant.
16. Maynilad Water Systems Inc.
86. The Environment Management and Integrated Management System (ISO), headed by (TBD), will take charge of Environmental Assessment, monitoring, and compliance with all the environmental requirements of the project. He is ably assisted by his Manager, (TBD), and five Environmental Specialists.
87. All Maynilad facilities have accredited Pollution Control Officers (PCOs). These PCOs are accredited either by Laguna Lake Development Authority (LLDA) or DENR, depending on the location of the facilities. These PCOs report directly to their operational units. The Environmental Department of MWSI has oversight control over the PCOs.
88. PCOs prepare Self Monitoring Reports (SMRs) and submit these to the Environmental Department where the document is reviewed and signed by the Corporate PCO, the Environment Department Head. The document is sent to DENR or LLDA.
89. The Environmental Department consolidates these quarterly SMRs for submission, and as an attachment for the renewal of the discharge permit. It also audits the PCOs as part of the surveillance audit in its ISO 9000, ISO 14000, and OSHAS 1800 Certification. The head of the Environmental Department is also Maynilad ISO. The department ensures that PCOs are regularly informed on the latest environmental requirements, and that they undergo CPE.
90. This department conducts EIA and EIS-related studies, scoping studies, and public consultations, and also applies for the ECC and secures its issuance, conducts regular inspections for issuance of all ECCs, and secures other permits relative to environmental requirements.
0. CAPACITY BUILDING AND TRAINING REQUIREMENTS
91. The Borrower and the sub-borrowers conduct regular training activities as part of the continuing professional development program for their staff. To ensure the successful implementation of this project, LBP, MWSI and MWCI will conduct specific training activities designed to strengthen the capacity of their project staff. The training topics they identified include: conduct of environment and social impact assessments, due diligence reporting on safeguards compliance, wastewater project assessment and performance monitoring, project management, etc.
0. INDICATIVE ESMF BUDGET
17. LBP of the Philippines
92. LBP will provide the necessary resources and staff to meet the environmental requirements of the framework that will include tapping the personnel of the Environmental Protection and Management Department (EPMD) to handle the environmental compliance concerns of the project. They will be assisted by a Consultant to fulfill their monitoring and reporting functions.
18. Manila Water Company, Inc.
93. MWCI has set aside an IESSMF budget for the duration of the project. This budget is allocated to the following activities: training, EMP monitoring, reporting and consultancy services.
19. Maynilad Water Systems, Inc.
94. The IESSMF budget commitment of MWSI for the duration of the project is allocated to the following activities: preparation of EIA, EMP; conduct of public consultation; and securing necessary permits; training; EMP implementation and monitoring, and securing an Environmental Management System; and Environmental Health and Safety Certification.
SECTION 3: SOCIAL SAFEGUARDS
The Resettlement Policy Framework (RPF)
RATIONALE FOR THE RESETTLEMENT POLICY FRAMEWORK
95. The MWMP aims to improve wastewater services in Metro Manila. This will be achieved by supporting the two concessionaires namely: Manila Water Company, Inc. (MWCI) and Maynilad Water Services, Inc. (MWSI) in increasing the coverage and effectiveness of wastewater collection and treatment as well as septage management. This effort also supports the Supreme Court decision in 2008 ordering government agencies concerned to clean up, rehabilitate, and preserve Manila Bay and restore and maintain its waters to SB level (class B) fit for swimming, skin-diving and other forms of contact recreation. In the course of implementing these investment projects, project locations sometimes cause loss of land, structures and /or other assets or access to sources of livelihood to people who may be occupying the same site.
96. Unmitigated involuntary resettlement, as an outcome of development projects, has been noted to result in the dismantling of production systems and the loss of productive assets or income sources leading to further impoverishment of affected persons. In some instances, people are relocated to new environments where their social support systems may no longer be accessible, their productive skills may be less applicable and the competition for resources greater; as a result, community institutions and social networks are weakened.
97. The coverage of this project is the East and West concession areas of MWCI and MWSI, respectively. The East zone consists of 23 cities and municipalities of eastern Metro Manila and Rizal Province which include Pasig, Mandaluyong, Marikina, Taguig, Pateros and parts of Manila and Quezon City. On the other hand, the West zone covers Caloocan, Las Piñas, Malabon, Manila, Muntinlupa, Navotas, Pasay, Parañaque, Valenzuela, parts of Quezon City, a part of Makati, Cavite City, and the municipalities of Rosario, Imus, Noveleta, Bacoor, and Kawit in Cavite.
98. There are no ancestral domains within Metro Manila and any Indigenous Peoples (IP) groups or communities found in Metro Manila are temporary residents seeking economic opportunities. However, in some provinces near Metro Manila, such as Bulacan and Rizal, there are some IPs belonging to the Remontados and Dumagats. For MWMP, most of the investments are expected to be located in urban areas not generally occupied by IPs or within ancestral domains that are mostly found in upland, coastal and other isolated areas. Thus, it is expected that no IP will be affected by the Project. However, in case there will be affected IPs, the World Bank OP 4.10 will be applied.
0. RPF OBJECTIVES
99. The objective of the Resettlement Policy Framework (RPF) is to lay out the principles and organizational arrangements for the following:
• resettlement and compensation, consistent with the goal of assisting displaced persons in their efforts to improve or at least restore their standards of living from the pre-project level; and
• mechanisms for meaningful participation that help ensure that the development process respects the dignity, human rights, and economies of project-affected people.
20. Overriding Development Objectives
100. In the design and implementation of the Sub-projects, efforts must be made to ensure that all adverse impacts of acquisition of assets and properties are fully mitigated and that displaced persons (DPs) are benefited and are not worse off. Toward this end, the following fundamental measures will be ensured:
• Effects on income and resources will be avoided or minimized in assets acquisition that result in displacement of people;
• No demolition of assets and/or entry to properties will be done until a DP is fully compensated, except when a court of law grants a Writ of Possession to the Sub-project Proponent for the subject property in expropriation cases as explained in Section 5.4 of this Framework;
• DPs are provided with sufficient compensation and assistance for lost assets, income sources, and livelihood that will assist them to improve, or at least maintain their pre-Sub-project standard of living;
• Special attention is given to affected vulnerable groups, such as poverty groups, the handicapped, women-headed households, people with weak or absent tenure rights, etc; and
• All Sub-project stakeholders, including DPs, are consulted and are encouraged to participate in varying practicable ways in the design, implementation and operation of the Sub-project.
DEFINITION OF TERMS
101. Compensation means payment in cash or in kind for an asset to be acquired or affected by an infrastructure project at replacement cost (as defined below).
102. Cut-off Date is the date prior to which the occupation or use of the Sub-project area makes residents/users of the Sub-project area eligible to be categorized as affected persons. The cut-off date coincides with the commencement of the census of affected persons within the project area boundaries. Persons making claims based on subsequent occupation after the cut-off date are not eligible for claims for compensation and other entitlements.
103. Displaced Person (DP) includes any person or persons, household (sometimes referred to as project affected family), a firm, or a private or public institution who, on account of the acquisition of assets in a project, would have their right, title or interest in all or any part of a house, land (e.g., residential, agricultural, and industrial, including pasturelands, fishponds, communal forest, etc.), fish pens, communal fishing grounds, annual or perennial crops and trees, or any other fixed or movable asset acquired or possessed, in full or in part, permanently or temporarily, and who might suffer income or business loss as a consequence thereof. Eligible DPs may fall under any of the following three groups:
• those who have formal legal rights to land including customary and traditional rights;
• those who do not have formal legal rights to land at the time of the cut-off date but have a claim to rights to such land or assets; and
• informal settlers and who satisfy the condition for eligibility for compensation as provided in the definition of ‘cut-off-date’ as stated above.
Non-eligible DPs include those making claims based on subsequent occupation after the cut-off date.
104. External Monitoring Agency (EMA) is the entity designated by the Sub-project Proponent to monitor the implementation of its Resettlement Plan.
105. Financial Assistance is the cash amount given to tenants/settlers/occupants of severely affected land on top of cash payment/compensation for their crops and other fixed assets actually damaged by a Sub-project. It will also be given to owners of land acquired under Commonwealth Act 141 for the area of the affected portion subject to Section 112 thereof, which grants government easement right over a 60-meter wide corridor. Financial assistance will be determined based on applicable laws, in consultation with stakeholders and relevant government agencies, and thus given to:
• marginally and severely affected structures used for business, with or without title to the land, to cover for income loss;
• marginally and severely affected farmlands, fishponds and fishpens that are not covered by any acceptable proof of ownership, including portions of property acquired through CA 141, Section 112, to cover for improvements introduced to make the property productive;
• severely affected farmlands, fishponds and fish pens that are covered by a title or other acceptable proof of ownership (e.g. ancestral claim, usufruct, ancestral land claim, etc.);
• adisplaced person (DP) who holds full title, tax declaration or some proof of traditional ownership (such as usufruct when the DP belongs to an indigenous community) to the land where his/her severely affected dwelling stands and who has to shift elsewhere; and/or
• an informal settler who has to shift elsewhere for food subsidy.
106. Independent Shops are commercial stalls, such as groceries, vulcanizing shops, tailoring shops, beauty parlors, market stalls, hotels, movie houses, and similar establishments that serve as the owner’s principal source of income. Sari-sari stores (i.e., variety shops that are usually attached to a dwelling unit) may fall in the same category of independent shops.
107. Indigenous People (IPs) or Indigenous Cultural Communities (ICC) refer to a group of people or homogenous societies identified by self ascription and ascription by others, who have continuously lived as an organized community on communally bounded and defined territory and who have, under claims of ownership since time immemorial, occupied, possessed customs, traditions and other distinctive cultural traits, or who have through resistance to political, social and cultural inroads of colonization, non-indigenous religions and culture, became historically differentiated from the majority of Filipinos. ICC/IPs shall likewise include people who are regarded as indigenous on account of their descent from the populations which inhabited the country, at the time of conquest or colonization, or at the time of inroads of non-indigenous religions and cultures or the establishment of the present state of boundaries, who retain some or all their own social, economic, and political institutions, but who may have been displaced from their traditional domains or who may have resettled outside their ancestral domains.
108. Informal Settlers (also known as informal dwellers or squatters) are persons who have no legal title, tax declaration that can be perfected into a title, or those who are not covered by customary laws (e.g., possessory rights, usufruct) or other acceptable proof of ownership. Informal settlers who are not professional squatters are eligible for compensation for lost assets and incomes, including entitlements.
109. Local Government Unit (LGU) could be city, municipality or province.
110. Land Acquisition means the process whereby a person alienates all or part of the land he/she owns or possesses to ownership and possession of other parties including the Government for public purpose. When compelled by Government it is called expropriation.
111. Marginally Affected land or structure means less than 20 percent of the land or structure is affected and where the remaining unaffected portion is still viable for continued use.
112. Professional Squatters, the term applied to persons who have previously been awarded home lots or housing units by the Government but who sold, leased or transferred the same to settle illegally in the same place or in another urban area, and non-bona fide occupants and intruders of lands reserved for socialized housing. This definition excludes individuals or groups that simply rent land and housing from professional squatters or squatting syndicates.
113. Project refers to the World Bank-funded Metro Manila Wastewater Management Project (MWMP) implemented by Manila Water Company, Inc. (MWCI) and Maynilad Water Services, Inc. (MWSI) with LBP of the Philippines (LBP) as the project executing agency.
114. Rehabilitation Support means additional assistance given to DPs whose source of income is severely impacted by the loss of productive assets, incomes, employment or sources of living, thereby requiring them to engage in some other income-earning activities. Rehabilitation support is intended to supplement payment of compensation and financial assistance as provided in 2.b. and 2.e. for acquired assets in order to achieve full restoration of living standards and quality of life. The specific rehabilitation support to be given may be in the form of special skills training, project-related employment, micro-credit, and other self-help socio-economic measures.
115. Relocation means the physical shifting of DPs from their pre-project place to a new place of residence.
116. Replacement Cost is the amount needed to replace an asset without deduction for the costs of transaction. The computation of replacement cost is the value determined by an independent appraiser hired by the Project Proponent or by a court of law as compensation for:
• agricultural lands, fishponds and fish pens based on productive value or residential land based on market value (for properties with similar location attributes);
• houses and other related structures based on current market prices of materials and labor without depreciation and deductions for salvaged building materials;
• crops based on current market value;
• tree and other perennials based on the estimates of the DENR or those of the independent appraiser’s;
• other fixed assets such as mosques, churches, burial grounds, community wells, barangay halls and health centers based on replacement cost or cost of mitigating measures; and
• businesses based on opportunity loss and business current market prices of materials and labor without depreciation and deductions of salvaged materials.
117. Resettlement Action Plan / Resettlement Plan (RP) refers to all measures to be taken by the Sub-project Proponent in consultation with the community or the DPs and approved by the Lender, to mitigate any adverse social and economic impacts that are direct consequences of the acquisition of assets; and the provision of other entitlements, income restoration assistance, and relocation, as needed.
118. Rental Allowance is cash assistance given to house tenants of affected structures who will have to find a new place on account of the project, for the period between project site clearing and transfer to their new home but not exceeding a period of three (3) months.
119. Severely Affected Land / Structure means 20 percent or more of the land or structure is affected or when less than 20 percent is affected, the remaining portion is no longer viable for use.
120. Squatting Syndicates as defined by RA 7279 refers to groups of persons who are engaged in the business of squatter housing for profit or gain.
121. Sub-project refers to the project that is implemented by MWCI and MWSI and funded by sub-loan from the MWMP loan facility implemented by the LBP.
122. Sub-project Proponent refers to MWCI and MWSI.
INSTITUTIONAL AND LEGAL FRAMEWORK
21. Institutional Framework
123. The key players and their roles and responsibilities in resettlement planning, implementation and monitoring are presented below. Section 15.0 in this report, presents the roles and responsibilities of other participants in the resettlement planning, implementation, and monitoring process.
1. LBP of the Philippines (LBP)
124. Through its CBD-I, assisted by the Project Management Office (PMO), LBP will review all Sub-project RPs, whether full or abbreviated, to check its compliance with the agreed Resettlement Policy Framework (RPF).
2. Sub-project Proponent
125. The Sub-project Proponent could either be MWCI or MWSI. Through its Project Implementation Unit (PIU), the Sub-project Proponent will be responsible for the overall planning, implementation, coordination and monitoring and evaluation of land acquisition and resettlement activities under the Sub-project, as follows:
• The PIU will ensure that RPs are prepared, implemented and monitored and evaluated in accordance with the agreed RPF;
• The Sub-project Proponent will set up a Resettlement Implementation Committee (RIC) for the implementation of the RP. The specific responsibilities of the RIC include:
- assisting the PIU in validating the list of DPs and inventory of affected assets and in finalizing the compensation and other entitlements due to the DPs;
- assisting in the conduct of public information campaign and consultation and help to ensure the participation of the public, especially the DPs;
- assist the PIU in the payment of compensation and other entitlements to DPs;
- receiving complaints and grievances from DPs and other stakeholders and acting on them accordingly;
- maintaining a record of all public meetings, complaints, and actions taken to address complaints and grievances; and
- in coordination with concerned government authorities, assisting in the enforcement of laws/ordinances regarding encroachment into the Sub-project site or its right-of-way (ROW).
• The PIU Head will designate a staff to work closely with the RIC. The Sub-project Proponent may engage the services of a Consultant, a Resettlement Specialist, to provide technical support to the PIU on resettlement planning.
• The Sub-project Proponent will ensure that sufficient budget and resources are provided to the PIU for resettlement planning and implementation.
• The Sub-project Proponent will be responsible for encouraging the active participation of stakeholders, particularly the displaced and host communities, in resettlement planning, implementation and monitoring and evaluation.
3. Local Government Units (LGUs)
126. The LGUs will:
• assist the Sub-project Proponents in locating and acquiring land needed for the construction of wastewater treatment facilities;
• assist the Sub-project Proponents in providing and/or negotiating ROW for wastewater facilities and networks;
• be a member of the Resettlement Implementation Committee (RIC);
• assist in the conduct of public information campaign and consultation and help to ensure the participation of the public, especially the DPs;
• be a member of the Grievance and Complaints Committee and will assits in receiving complaints and grievances from DPs and other stakeholders and act on them accordingly;
• in cooperation with the Sub-project Proponents and other concerned government authorities, assist in the enforcement of laws/ordinances regarding encroachment into the subproject site or its ROW; and
• encourage the active participation of stakeholders, particularly the displaced and host communities, in resettlement planning, implementation and monitoring and evaluation.
4. External Monitoring Agency (EMA)
127. The EMA, engaged by the Sub-project Proponent, will monitor the effectiveness of resettlement activities in all stages of the sub-project. Special efforts will be made to ensure good community relationships, for better reception of the Sub-project and for a clear understanding of its objectives. The EMA will submit periodic reports on the implementation process and make recommendations regarding identified issues and concerns.
5. Affected Communities
128. It is also the responsibility of affected communities, particularly the DPs and host community/ies, to participate in consultations and in resettlement planning, implementation and monitoring and evaluation.
6. Resettlement Implementation Committee (RIC)
129. The RIC will be composed of:
• PIU, particularly the Resettlement Specialist of the Sub-project Proponent;
• Representative of the Barangay/Municipality/City of affected communities (DP and host);
• Representative of the DPs in each affected barangay (to be elected by simple majority by DPs present in a meeting to be held for the purpose);
• If applicable, leader/s or elder/s of each affected IP group; and
• Representative of a non-government organization (NGO) or people’s organization (PO) actively operating in the Sub-project area (to be elected by simple majority by DPs in a meeting to be held for the purpose).
130. The RIC will be chaired by the designated representative of the PIU and will meet regularly to record milestones and update the members on the progress of the RP.
131. The RIC will have to work closely with the Presidential Commission on the Urban Poor (PCUP), as the government’s clearing house of resettlement for the urban poor to ensure that the RP is properly implemented. They can also assist the PIU in accomplishing the requirements for the Certificate of Compliance to be issued by the PCUP before any clearing operation takes place.
7. Valuation Committee (VC)
132. The Valuation Committee will determine the value/price of the affected asset/property that need to be replaced or compensated. The VC will draft a valuation formula and will conduct a consultation meeting to present the valuation formula to displaced/affected persons, seeking their feedback as to whether this compensation is fair and acceptable.
133. The VC will work closely with the survey team who will conduct the inventory of household losses of assets and properties. The result of the inventory of losses will be the basis for compensation and replacement of household assets, properties and livelihood.
8. Complaints and Grievance Committee (CGC)
134. The CGC will receive and address complaints and grievances raised or expressed by affected persons and/or displaced persons arising from the resettlement. A grievance procedure will be followed as recommended in Section 17 of this RPF.
135. The CGC will be composed of representatives from the Sub-project Proponent/PIU, local government executive or council, representative from the affected community/displaced persons and representative from the RIC.
22. Legal Framework
1. Government of the Philippines (GOP) Regulations
136. This framework is anchored on the principle derived from the Bills of Rights of the Constitution of the Republic of the Philippines, which states:
• In Article III, Section 1, “No person shall be deprived of life, liberty, or property without due process of law, nor shall any person be denied the equal protection of the laws.”
• In Article III, Section 9, “Private property shall not be taken for public use without just compensation.”
137. This RPF, hereinafter referred to as Framework, shares the same concern for due process and the right to just compensation for everybody. The guiding principles of this Framework are: that adverse impacts by a Sub-project must be avoided or minimized, with the appropriate resettlement measures; and that DPs are given the opportunity to share project benefits with the rest of the population.
138. Other relevant GOP laws and orders pertaining to land acquisition and compensation shall be adopted and observed by the Sub-project Proponent. (See Annex 2C.)
2. World Bank Policies
139. Operational Policy (OP) 4.12, December 2001, on Involuntary Resettlement, provides the guidelines for the resettlement of project-affected population to assist DPs in their efforts to improve their incomes and living standards, or at least restore them to pre-displacement levels. This policy is triggered when there is involuntary taking of land and other assets, or when involuntary restriction of access to legally designated and protected areas results in adverse impact on the livelihoods of the displaced person. Only direct economic and social impacts resulting from “taking of land” are covered.
140. World Bank’s OP 4.10, which instructs Bank-supported projects to give protection to indigenous peoples with regards to mitigating possible adverse impacts of investments and requires the development of an Indigenous Peoples Action Plan should these projects have potential adverse impacts on indigenous populations or positively enhance benefits the IPs may gain from the project.
141. World Bank’s OP 8.00 Rapid Response to Crises and Emergencies provides that: in the event that an actual or imminent natural or man-made crises or disaster happens that would cause major adverse economic and social impacts, the Bank may provide rapid responses to a Borrower’s request for urgent assistance. This assistance may include activities that support rapid response and relief to recovery operations
3. GOP and WB Policies, and Framework for MWMP
142. Where there is a discrepancy between the resettlement and compensation standards of the existing laws in the Philippines and the standards of the WB, the Sub-project Proponent will comply with whichever is the higher standard.
143. For lands to be acquired for sub projects, these should undergo due diligence to determine when and how land was acquired, determine who was living and currently lives there and further determine if there are any risks or issues associated with the land at present. Generally, there will be two levels of due diligence which should be assessed:
• Examine relevant information going back to two years before the date of the first identification mission, which took place starting 23 September 2009, to ensure that the acquisition and resettlement were in compliance with the Philippine national laws and regulations and that there are no legacy issues or no pending legal disputes or liabilities; and
• From the date of the first identification mission, land acquisition must comply with WB OP 4.12.
OPERATIONAL GUIDELINES
23. Screening
144. The MWMP is a program type project through a Financial Intermediary. Because of this, the social impacts would only be identified when specific sub-projects are identified by MWCI and MWSI. This may involve temporary or permanent displacement of people and assets and adverse or positive effects on local communities including the IPs. It also includes displacement of local communities directly contributing to the objectives of the project, in order to allow the project to be implemented.
24. Review of Resettlement Plans
145. The WB will review this MWMP Resettlement Policy Framework (RPF) to ensure its compliance with OP 4.12 and OP 4.10. It will agree with the LBP on the adoption of the RPF as the set of guidelines on social safeguards for the Project. The WB will review all Full RPs (see Annex 2D) and the first three Abbreviated RPs (see Annex 2E) prepared under the Project.
146. Review will commence with the enumeration by Program Management Department II, with assistance from the PMO, of the extent of land acquisition, project-affected population and asset loss/es that may result from a sub-project’s implementation, using a checklist.
147. To facilitate review, the Sub-Borrowers will complete the checklist (see Table 5 below). Reviewers will verify the information provided by Sub-Borrowers from the submitted sub-project documents aside from sub-project site visits.
Table 5: Checklist of Project-Affected Persons and Assets
|Social Impact |Yes |No |Specify Details |
|Involuntary Resettlement | | | |
|a) Land acquisition necessary | | |Size and use of land prior to construction of project|
|b) HHs/Persons will be displaced | | |Total no. of HHs/persons |
|c) Presence of informal settlers | | |Total no. of informal HHs/settlers |
|d) Legal structures acquired/ damaged | | |No., size & built of structures |
|e) Informal structures beings removed | | |No., size & built of structures classified according |
| | | |to use: dwelling, shops/stores, livestock production,|
| | | |etc |
|f) People losing means of livelihood | | |Total no. of HHs, persons |
|g) Basic services will be inaccessible | | |Type/s of basic services (water, power connection, |
| | | |schools, multi-purpose centers, religious center, etc|
|h) Crops/trees being damaged/lost | | |No. and type of crops/trees |
|i) Tenants/lessees losing crops/ trees | | |No. of tenants, HHs losing what type, how many |
| | | |crops/trees? |
|j) Informal settlers losing crops/ trees | | |Informal settlers losing what type, how many |
| | | |crops/trees? |
|k) Indigenous peoples to be displaced | | |Total no. of indigenous HHs/ persons to be displaced|
|Indigenous Peoples | | | |
|l) Ancestral domain affected | | |Size of the domain |
|m) name affected ethnic groups | | | |
| | | |Name of affected group(s) and number of people |
| | | |affected classified by type of effect |
|n) Cultural property affected | | |No., size, and type of cultural property |
148. Social safeguards requirements will be triggered when any one of the above social impacts is positively identified/confirmed. Based on the information derived from the checklist, the following are validated:
• Resettlement category of the sub-project (full or abbreviated);
• Prepared/submitted resettlement instrument for the social category of the sub-project (see Annex 2F); and
• Conformity of the prepared social safeguard documents to the provisions of the MWMP Resettlement and Compensation Framework as presented in Table 5 (above). Also see Annex 2G.
25. Mitigation and Compensation
149. The following guidelines will be applied to mitigate and compensate the effects of involuntary resettlement:
• Only those DPs found to be residing in, doing business in, or cultivating land, or having rights over resources within the project area as of cut-off date (e.g., date of start of census surveys) are eligible for compensation for lost assets (i.e., land, structure and other fixed assets) and for other assistance. DPs will be compensated for affected land, based on their tenure status (e.g. legitimate owner, lessee, etc.). Proof of ownership shall include full title, tax declaration of settlers in public land, possessory rights or usufruct, ancestral land claims, among others. However, in cases where a tax declaration over assets that are inalienable or those that cannot be titled as prescribed by law (e.g., river easement, forest reserve) is the only proof of ownership, only structures and other improvements found therein should be compensated.
• The Sub-project Proponent shall compensate the DPs for land, structures and other fixed assets at “replacement cost” as defined in Section 12.
• DPs losing all of their lands and structures (e.g., farmland, house), or incurring partial loss but where the remaining assets and properties are determined by competent authorities as not viable anymore for continued use will be paid full compensation for the entire asset at replacement cost. The compensation for the entire asset at replacement cost may be given in cash or in-kind. The Sub-project Proponent will assume ownership of the said asset upon payment of full compensation thereof.
• In the case of DPs whose assets are “marginally affected” as defined in Section 12, compensation for the affected assets will be paid in cash.
• Informal settlers who are affected by the project and who are not “professional squatters”, as defined in Section 12, are entitled to compensation at replacement cost for affected structures and other losses but not for land.
• Swap for “severely affected land” as defined in Section 12 will be in the form of land of equivalent productive value and/or characteristics at a location acceptable to the DPs, or if replacement land is not available, cash representing the current replacement value of the land. Replacement of residential and agricultural lands will be as close as possible to the land that was lost. All replacement lands for residence, commerce and agriculture will be provided with secured tenure status.
• In addition to compensation for crops or property acquired or damaged by the Sub-project, the Sub-project Proponent will provide the following resettlement assistance to eligible DPs:
- “Financial assistance” to tenants/settlers/occupants as provided in Section 12.
- Rental allowance for house tenants of affected main structures who will have to find a new place on account of the project, equivalent to the period between project site clearing and transfer to their new home but not to exceed a period of three (3) months.
- Transportation assistance (in cash or in kind, depending on the mutual agreement of the DP and the Sub-project Proponent) to DPs who are relocating, including displaced shanty dwellers in urban areas who opts to go back to their places of origin (e.g., province) or to shift to government relocation sites.
• Granting of rehabilitation support in the form of special skills training, project-related employment, micro-credit or other self-help socio-economic support to DPs who are severely affected due to the loss of productive assets and/or their primary source of income and which will require them to engage in some other income-earning activities. If needed, the Sub-project Proponent will coordinate closely with concerned government agencies that have the mandate and the expertise to undertake the needed rehabilitation assistance.
• Rehabilitation support will also be granted to severely affected vulnerable groups such indigenous groups, single parent households, the handicapped, the elderly, etc. who have the least capacity to cope with the adverse social and economic impacts of development projects.
• For married couples, payment of compensation and other entitlements (i.e., financial assistance and rehabilitation support) will be given in the names of both husband and wife.
• Where relocation is considered necessary, the lot owner of the proposed relocation site will also be entitled to compensation for his/her land, and depending on his/her choice, the compensation may be in cash or in the form of replacement land, of the same value, within or outside the relocation site.
• The Sub-project Proponent shall provide the relocation site for residential or commercial purposes with such basic services as electricity, water, drainage, sewer system, road system, etc.
• Plans for the acquisition of land and other assets will be carried out in consultation with the DPs who will receive prior information on the compensation, relocation, and other assistance available to them.
• Any acquisition of, or restriction on access to, resources owned or managed by DPs as a common property (e.g. communal forest, communal farm, or communal fishing ground) will be mitigated to ensure access of those DPs to equivalent resources on a continuing basis, where feasible, or other alternative measures to be determined in consultation with the DPs.
• Resettlement programs will include adequate institutional arrangements to ensure effective and timely design, planning, consultation and implementation of compensation and resettlement. The Sub-project Proponent will ensure effective coordination with relevant agencies for the RP preparation and implementation.
• The resettlement transition period will be minimized and the acquisition of assets, compensation, resettlement and rehabilitation for a segment/section or phase (except where long-term rehabilitation measures such as vocational training recommended) will be completed at least one (1) month prior to the initiation of the preparation for construction work under the respective segment/section or phase thereof.
150. Entitlements and compensation for the types of loss shall be guided by the Compensation Table in this Framework (see Annex 2H).
• Technically, all informal settlers found to be at the sub-project site at the time of the census will be entitled to a specific compensation depending on the laws and standards being enforced at the beginning of the sub-project. All possible means to alleviate the DPs will be exhausted to restore if not improve their level of living to the pre-resettlement standard.
• For lands to be acquired for sub-projects, these should undergo due diligence to determine when and how the land was acquired, determine who was living and currently lives there and further determine if there are any risks and/or issues associated with the land at present. There will be 2 levels of due diligence:
- Two years before date of the first identification mission, 23 September 2009, to ensure that the acquisition and resettlement were in compliance with the Philippine national laws and regulations and that there are no legacy issues or no pending legal disputes or liabilities; or
- From the date of the first identification mission, land acquisition must comply with WB OP 4.12
26. Modes of Acquiring Private Assets
151. Private assets (e.g., land, structures and other improvements) will be acquired for the Sub-project through:
• Donation and/or grant of ROW
• Negotiated purchase, or
• Expropriation
• Usufruct
• Lease Agreement
152. In the case of donations, meetings held regarding land donation/s will be documented. For donated land/s, documentation of donation must be signed by all legal owners, must note the total land areas from which portion needed by Sub-project is taken and must state the legal tenability of the donation (e.g., no lien, occupants in affected portion). An assessment report on the impact of the donation on the donor’s economic viability will also be needed.
153. In the case of negotiated purchase, the Sub-project Proponent will offer as the purchase price an amount equal to the replacement cost of the assets, as determined by an independent appraiser using internationally accepted procedures. See Annex 2J.
154. The Sub-project Proponent will make the offer in writing and give the property owner 15 days within which to accept the amount offered as payment for his/her property. If the property owner agrees, he or she will issue to the Sub-project Proponent a written permit to enter the property. A contract of sale will be subsequently executed between the property owner and the Sub-project Proponent.
155. If negotiations fail, the Sub-project Proponent shall initiate expropriation proceedings (through the concerned LGU if Sub-project Proponent is not the LGU). Upon filing of the complaint, and after due notice to the defendant/property owner, the concerned LGU shall immediately deposit with the court or a court-appointed depository the amount equivalent to the sum of: (1) one hundred percent (100%) of the value of the condemned property based on the current BIR zonal valuation; and (2) an amount equal to the replacement cost of the improvements and/or structures. The Sub-project Proponent should then apply for a Writ of Possession to enable Sub-project construction.
156. If the property owner contests the compensation payment, the Court will determine the just compensation to be paid to the owner within sixty (60) days from the date of the filing of the expropriation case. When the decision of the Court becomes final, the Sub-project Proponent will pay the owner the difference between the amount already paid and the just compensation determined by the Court (see Implementing Rules and Regulation, RA 8974, Section 4). The DP will receive the additional payment within one (1) month following the decision of the court.
157. The Sub-project Proponent may seek the imposition of an Easement of Right-of-Way (ROW) provided for under the Philippine Civil Code. In such cases, a ROW easement agreement will be executed by the property owner and the Sub-project Proponent, whereby the former will grant the latter the right to use the affected portion of the lot, as ROW, but the owner retains ownership of the said portion of the lot. In these cases, the Sub-project Proponent may pay the owner the value of the affected portion of the lot based on an independent appraiser carried out according to internationally accepted norms. In addition, the Sub-project Proponent shall compensate the property owner at replacement cost for any improvements and/or structures on the land affected by the ROW. The Sub-project Proponent will enter the easement area after the provision of the full payment for the easement to the property owner. The ROW easement agreement will be immediately registered with the Registry of Deeds.
158. The Sub-project Proponent may also acquire a property through usufruct. The property owner retains the naked ownership of the land, while the Sub-project Proponent enjoys the benefit of the use of land. The Sub-project Proponent and the property owner will execute a usufruct agreement. The agreement will cover the rights and responsibilities of the two parties, including the duration of the usufruct which should not be lower than the project life. Project life for MWMP is seven years.
159. The Sub-project Proponent may also acquire lands through lease agreements with the rightful property owner. The Sub-project Proponent and the property owner will execute a Lease Contract. The contract will cover the rights and responsibilities of the two parties, including the duration of the lease which should not be lower than the project life, which is seven years
160. All land transaction should be registered with the Registry of Deeds for annotation in the title of subject property.
APPLICATION OF THE PARTICIPATORY PROCESS
161. The participatory process shall commence as early as during the Sub-project preparation stage and shall continue through to post-implementation evaluation. Key stakeholders will have valuable roles to play in each of the activities in the process (as shown in Table 6, below).
Table 6: Roles and Responsibilities
|Sub-project Stage |Participatory Activities |Participants |Responsible Office/Institution |
|Sub-project Preparation |
|Pre-Feasibility Study |Preliminary meeting within LGU |Local Chief Executive and |PIU &/or its Consultant, a |
| |for the overview of the proposed|Council, PIU-attached units, |Resettlement Specialist |
| |Sub-project |affected barangay captains | |
| |General orientation-meeting, |PIU, concerned barangay |PIU &/or its RS |
| |barangay level, preparatory to |officials, DPs, affected | |
| |conduct of technical, social & |communities | |
| |environmental studies | | |
| |Conduct of Social Impact |PIU, DPs, affected communities |PIU &/or its RS |
| |Assessment | | |
|Feasibility Study |RP Preparation, census & |Community heads, concerned |PIU &/or its RS, Community heads |
| |socio-eco survey |barangay officials, DPs | |
| |LGU draft RP orientation |LCE, LGU council, PIU-attached |PIU &/or its RS |
| | |units, affected barangay | |
| | |captains | |
| |Community consultation on draft |Community heads, DPs, affected |Affected barangay officials, PIU |
| |RP |communities |&/or its RS |
|Finalization of RP and |RP finalization |Community heads |PIU &/or its RS |
|Technical Design | | | |
| |Final RP orientation for LGUs, |LCE, LGU council, PIU-attached |PIU &/or its RS |
| |DPs & affected communities |units including other support | |
| | |agencies like NHA, affected | |
| | |barangay officials, community | |
| | |heads, DPs and affected | |
| | |communities | |
|Implementation |
| |Setting up of RIC |LGU council, affected barangay |LGU council Chairman (Vice-Mayor) |
| | |officials, community heads, DPs,|or his representative, PIU &/or its|
| | |affected communities, UPAO head |RS |
| | |&/or NCIP commissioners, other | |
| | |support agencies like NHA, | |
|` |Implementation of RP | |PIU &/or its RS & RIC |
| |Internal monitoring of RP |RIC, PIU, community heads, DPs |PIU &/or its RS, LGUs and Community|
| |implementation | |Heads |
| |External Monitoring |EMA |EMA |
|Post-Implementation |
| |Evaluation of RP, processes and |RIC, DP reps, EMA, PIU, reps of |PIU &/or its RS & EMA |
| |methodologies |relevant NGO & PO | |
27. Prefeasibility
1. Preliminary Meeting with LGU
162. The PIU will conduct a preliminary meeting with the local chief executive and the council about the sub-project and its components to:
• explain the general concept of the subproject;
• discuss and explain the requirements of the subproject and its perceived impacts;
• present tentative schedule of activities;
• create awareness and appreciation about the subproject;
• identify various subproject stakeholders;
• present the MWMP RPF; and
• discuss the compositions of the Resettlement Implementation Committee; Grievance Committee and Valuation Committee.
2. General Orientation of the Community
163. Before undertaking the survey in the community, the PIU will conduct a thorough barangay meeting to orient and ensure that the community understands the nature and extent of the proposed subproject, as well as the rights and entitlements of those who may be affected or displaced as a result of the subproject. Awareness of the sub-project will hasten the data-gathering process and ensure quality of data.
164. The RPF will also be discussed for the communities to have an appreciation of the processes and procedures. The RPF will be publicly posted/disclosed and will be made available to the community if they want to discuss it further with the community members.
165. Community orientation will be facilitated by the barangay officials and assisted by the PIU to ensure correctness of information to be relayed to each member of the community.
3. Social Assessment
166. The PIU will conduct as assessment of the positive and negative impacts of the sub-project especially to the affected community, identifying all types of possible risks involved. Often, sub-projects though initially conceived as beneficial may in turn have adverse socio-economic, environmental and cultural impacts which are easily overlooked. The assessment will be carried out with the participation of various stakeholders (through consultation, focus group discussions and key informant interviews) particularly those that will be adversely affected by the sub-project. Where IP settlements/communities are affected, assessment activities should be coordinated with the National Commission on Indigenous Peoples (NCIP) prior to field investigations. Results of such investigation will form part of the assessment.
28. Feasibility
1. Preparation of Draft Resettlement Plan
167. Based on the results of the Social Assessment, a full-blown socio-economic survey of the DPs, including an inventory and valuation of affected assets, will be conducted to arrive at an appropriate Resettlement Plan. The RP should include the amounts and the process to be applied in the payment of compensation to the DPs.
168. The RPF applies to all resettlement impacts, regardless of the number of people involved or the level of severity experienced. However, the level of details contained in the RP will vary according to the target group, complexity, scale and severity of resettlement. A full RP will be required where 200 or more persons are affected. If less than 200 persons are affected, an abbreviated RP may be prepared. (See Annexes 2D and 2E )
2. Presentation of Draft RP
169. Upon completion of the draft RP, the PIU will present it to the local chief executive and council, heads of the attached units to the PIU and barangay leaders with a view towards achieving consensus on the following:
• resettlement program;
• relocation sites;
• roles and responsibilities in the RP implementation; and
• identifying members of the RIC.
3. Community Consultation
170. Community consultation should be conducted continuously until an RP acceptable to the DPs is arrived at. All aspects of the sub-project should be known to the affected community and if necessary, leaflets and brochures be distributed for greater information coverage.
171. Affected communities will also be informed on the mechanics and procedures for consultation, grievance redress mechanism and the overall resettlement program.
172. For indigenous groups, the NCIP will be tapped to lead the consultations and to have a more in-depth analysis of the socio-cultural implications of the subproject. All proceedings and consultations will be recorded and form part of the RP.
29. Finalization of the Resettlement Plan
173. All suggestions and relevant information introduced by the DPs should be included in the RP. The PIU will again meet the local chief executive and council, heads of PIU attached units, barangay captains of affected barangays and selected members of the community -- particularly People’s Organization (PO) leaders, purok leaders and/or other recognized leaders representing the DPs -- to orient them with the results of all the surveys and assessments conducted to ensure that the sub-project will proceed as agreed upon.
174. A copy of the final RP will be provided to the affected barangay/s for reference purposes to ensure all procedures and agreements are included and met.
30. Project Implementation
175. Participation. Whenever possible, DPs will be consulted and involved in the implementation of various activities in the sub-project.
31. Monitoring
176. The PIU, assisted by the RIC, will enlist the participation of the DPs in the internal monitoring of the implementation of the RP. Representation of the DPs in the monitoring of the implementation will provide a more accurate reading of the affected community’s feelings and reactions. The internal monitoring will focus on the following:
• Ensuring that the RP is implemented as designed and approved; and
• verifying if funds for implementation are provided in a timely manner and in amounts sufficient for their purposes and that the funds are used in accordance with the provisions of the RP.
177. In addition to the internal monitoring, an independent External Monitoring Agency (EMA) will be hired by the Sub-project Proponent to carry out a separate monitoring and evaluation (M&E) program of the RP. The EMA may be an NGO, an academic research institution, an independent consulting firm with qualified and experienced staff or a combination of these. Criteria for selecting the appropriate agency shall be based on competence, experience and general advocacy of the group.
178. For MWMP, both Sub-project Proponents (MWIC and MWSI) can consider hiring just one EMA to undertake the external monitoring for all of their sub-projects (see Annex 2I).
32. Post Project Implementation
1. Evaluation of the RP Implementation
179. Upon completion of the RP implementation, a body composed of representatives from the PIU, the RIC chairperson, DP representatives and representatives from relevant NGOs and POs will be formed to evaluate the processes and methodologies of the RP from preparation to implementation. Areas for improvement and best practices will be identified for future use.
180. The EMA will give its independent evaluation of the RP and its implementation. All recommendations and comments will be documented and archived for future reference.
DISCLOSURE AND PUBLIC CONSULTATION
33. Key Principles
181. LBP, MWCI, MWSI and the LGUs are responsible for engaging with affected communities through disclosure of information, consultation, and informed participation in a manner commensurate with the risks to and impacts on the affected communities as early as possible in the assessment process and on an ongoing basis throughout the life of the project.
182. Local disclosure must be conducted in a culturally appropriate manner and provide timely and relevant information to affected communities.
183. The final objective of local disclosure is to ensure that directly affected communities, if any, are aware of the purpose, nature and scale of the project, the duration of the proposed activities and of any risks to and potential impacts on such communities, and that they are given the opportunity to provide input into the manner in which these impacts and risks are managed.
184. The LBP, MWCI, MWSI and the LGUs are responsible for determining and documenting whether the sub-project client has met its disclosure obligations and if all required ongoing disclosure mechanisms and updates to the community are maintained throughout the life of the project.
34. Target Population
185. Local disclosure of information should be targeted, at a minimum, to the directly affected communities (including project-related workforce, where applicable).
186. If the specific location of the project will not be known until a later project stage, the MWSI/MWCI will disclose (at a minimum) relevant project information to appropriate authorities and organizations.
35. Timing
187. Timing of local disclosure will vary depending on the type of assessment involved, the level of risks and impacts and the stage of the project’s development or operation.
188. Below are some key minimum requirements that should be taken into account when determining timing of local disclosure:
• In all cases, if local disclosure has not already taken place as part of MWSI/MWCI’s existing community engagement activities at the time of involvement, MWSI/MWCI should commence local disclosure as early as possible. It is desirable for the concessionaires to commence implementing the local disclosure process before LBP’s institutional disclosure; however, this is not mandatory as local disclosure requirements vary from project to project. At a minimum, the concessionaires should commence local disclosure prior to the commencement of construction or other implementation activities that could generate direct impacts, where applicable.
• In cases where construction or other implementation activities that generated impacts on local communities have already commenced or if the project is already under operation, at the time of the concessionaire’s involvement and if local disclosure has not already taken place, the concessionaire’s local disclosure process should be defined and its implementation commenced as soon as possible.
36. Information Documentation
189. LBP should disclose, in a culturally appropriated manner, relevant information on the purpose, nature and scale of the project, the duration of the proposed project activities, and any risks to and potential impacts on such communities, and the way these impacts and risks will be managed. This information includes any final assessment documents or summary of the assessment process where formal assessment documents do not exist, and including relevant management plans.
190. Where the LBP and concessionaires have already engaged in a consultative process with affected communities, any relevant document should incorporate feedback on issues and concerns raised by the community.
GRIEVANCE PROCEDURES
191. Accessible grievance mechanisms will be established for the DPs and their communities, and any host communities receiving them. These mechanisms aim to address disputes that may arise from the resettlement.
192. Grievances will be handled through negotiations with the aim of achieving consensus. Complaints will pass through two stages before they may be elevated to a court of law as a last resort. Grievance redress shall have the following levels (see Table 7):
Table 7: Grievance Redress Levels:
|Level |Redress Steps |
|Level 1 |A party lodges complaint or grievance to the RIC. After proper investigation of facts |
| |presented, the RIC will provide a written response within fifteen (15) days upon receipt|
| |of the complaint. |
|Level 2 |If the complaint/grievance cannot be resolved at the level of the RIC, the case shall be|
| |formally referred to the PIU, which will act/decide on the complaint within fifteen (15)|
| |days. The PIU shall inform the RIC on the actions taken and progress of the case. |
193. The RIC shall document all grievances, discussions, recommendations and resolutions in writing (even when received verbally) at all grievance levels. See Annex 2K for an example of the Grievance and Commitment Registry and see Annex 2L for contact information regarding the raising of grievances and complaints.
194. DPs will be exempted from all administrative and legal fees incurred pursuant to the grievance redress procedures.
195. Resorting to courts prior to availing themselves of this complaint and grievance process will make the appellant’s action dismissible on the grounds of non-exhaustion of administrative remedies. Details of grievance redress procedures are provided in the Operational Manual for Resettlement Planning and Implementation provided by the PCUP.
RAPID RESPONSE TO CRISES AND EMERGENCIES
196. For damaged structures and facilities requiring the relocation of affected persons to a new site because the original site has been damaged and has become technically unstable, emergency support actions will be provided, as follows:
• During the 2-4 months of the response period, the project will support emergency actions to assist affected persons while the concessionaires prepare the design strategy to reduce possible social impacts;
• During the second stage, possibly up to one (1) year, emergency resettlement (if needed) measures may be adopted; and
• After the emergency needs are fully addressed, regular involuntary resettlement measures would be implemented. Measures to be formulated should follow participatory process from planning, implementation and monitoring and evaluation of RAP.
CAPACITY BUILDING AND TRAINING REQUIREMENTS
197. The World Bank will conduct the following training courses for staff of LBP, MWCI, MWSI and the LGUs who are responsible for social safeguards aspects:
• refresher course on WB safeguards policies and their application per project stage; and
• preparation of an Abbreviated RAP and a Full RAP
198. Mentoring using the Project’s first two cases of Abbreviated RAPs and all Full RAPs will be undertaken.
COSTS AND BUDGETS
199. The Sub-project Proponent will be responsible for providing needed resources for all activities related to the RP planning and implementation, including the operation of the RIC. Each RP will include detailed cost estimates for compensation and relocation of DPS; this will be done, as applicable, with a breakdown by category of DPs, agricultural, residential and business lands; houses, structures and other fixed assets affected; transport assistance when shifting DPs, etc. Cost estimates will make adequate provisions for contingencies.
ANNEX 1: ENVIRONMENTAL ISSUES
Annex 1A: WB Operational Policy and Bank Procedures on Environmental Assessment
|OP 4.01, Annex C - Environmental Management Plan |
| |OP 4.01 - Annex C |
|These policies were prepared for use by World Bank staff and are not necessarily a complete |January, 1999 |
|treatment of the subject. | |
|[pic] |[pic] |
| |
| |
|1. A project's environmental management plan (EMP) consists of the set of mitigation, monitoring, and institutional measures to|
|be taken during implementation and operation to eliminate adverse environmental and social impacts, offset them, or reduce them |
|to acceptable levels. The plan also includes the actions needed to implement these measures.1 Management plans are essential |
|elements of EA reports for Category A projects; for many Category B projects, the EA may result in a management plan only. To |
|prepare a management plan, the Borrower and its EA design team (a) identify the set of responses to potentially adverse impacts;|
|(b) determine requirements for ensuring that those responses are made effectively and in a timely manner; and (c) describe the |
|means for meeting those requirements.2 More specifically, the EMP includes the following components. |
|Mitigation |
|2. The EMP identifies feasible and cost-effective measures that may reduce potentially significant adverse environmental |
|impacts to acceptable levels. The plan includes compensatory measures if mitigation measures are not feasible, cost-effective, |
|or sufficient. Specifically, the EMP. |
|(a) identifies and summarizes all anticipated significant adverse environmental impacts (including those involving indigenous |
|people or involuntary resettlement); |
|(b) describes--with technical details--each mitigation measure, including the type of impact to which it relates and the |
|conditions under which it is required (e.g., continuously or in the event of contingencies), together with designs, equipment |
|descriptions, and operating procedures, as appropriate; |
|(c) estimates any potential environmental impacts of these measures; and |
|(d) provides linkage with any other mitigation plans (e.g., for involuntary resettlement, indigenous peoples, or cultural |
|property) required for the project. |
| Monitoring |
|3. Environmental monitoring during project implementation provides information about key environmental aspects of the project, |
|particularly the environmental impacts of the project and the effectiveness of mitigation measures. Such information enables |
|the Borrower and the Bank to evaluate the success of mitigation as part of project supervision, and allows corrective action to |
|be taken when needed. Therefore, the EMP identifies monitoring objectives and specifies the type of monitoring, with linkages |
|to the impacts assessed in the EA report and the mitigation measures described in the EMP. Specifically, the monitoring section|
|of the EMP provides(a) a specific description, and technical details, of monitoring measures, including the parameters to be |
|measured, methods to be used, sampling locations, frequency of measurements, detection limits (where appropriate), and |
|definition of thresholds that will signal the need for corrective actions; and (b) monitoring and reporting procedures to (i) |
|ensure early detection of conditions that necessitate particular mitigation measures, and (ii) furnish information on the |
|progress and results of mitigation. |
| Capacity Development and Training |
|4. To support timely and effective implementation of environmental project components and mitigation measures, the EMP draws on|
|the EA's assessment of the existence, role, and capability of environmental units on site or at the agency and ministry |
|level.3 If necessary, the EMP recommends the establishment or expansion of such units, and the training of staff, to allow |
|implementation of EA recommendations. Specifically, the EMP provides a specific description of institutional arrangements--who |
|is responsible for carrying out the mitigatory and monitoring measures (e.g., for operation, supervision, enforcement, |
|monitoring of implementation, remedial action, financing, reporting, and staff training). To strengthen environmental management|
|capability in the agencies responsible for implementation, most EMPs cover one or more of the following additional topics: (a) |
|technical assistance programs, (b) procurement of equipment and supplies, and (c) organizational changes. |
| Implementation Schedule and Cost Estimates |
|5. For all three aspects (mitigation, monitoring, and capacity development), the EMP provides (a) an implementation schedule |
|for measures that must be carried out as part of the project, showing phasing and coordination with overall project |
|implementation plans; and (b) the capital and recurrent cost estimates and sources of funds for implementing the EMP. These |
|figures are also integrated into the total project cost tables. |
| Integration of EMP with Project |
|6. The Borrower's decision to proceed with a project, and the Bank's decision to support it, are predicated in part on the |
|expectation that the EMP will be executed effectively. Consequently, the Bank expects the plan to be specific in its description|
|of the individual mitigation and monitoring measures and its assignment of institutional responsibilities, and it must be |
|integrated into the project's overall planning, design, budget, and implementation. Such integration is achieved by establishing|
|the EMP within the project so that the plan will receive funding and supervision along with the other components. |
|____________ |
|The management plan is sometimes known as an "action plan." The EMP may be presented as two or three separate plans covering |
|mitigation, monitoring, and institutional aspects, depending on borrowing country requirements. |
|For projects involving rehabilitation, upgrading, expansion, or privatization of existing facilities, remediation of existing |
|environmental problems may be more important than mitigation and monitoring of expected impacts. For such projects, the |
|management plan focuses on cost-effective measures to remediate and manage these problems. |
|For projects having significant environmental implications, it is particularly important that there be in the implementing |
|ministry or agency an in-house environmental unit with adequate budget and professional staffing strong in expertise relevant to|
|the project (for projects involving dams and reservoirs, see BP 4.01, Annex B). |
| |
| |
Annex 1B: Template for an Environmental Management Plan Checklist
Template for EMP Checklist for Category B projects
General Guidelines for use of EMP checklist:
For Category B sub-projects such as the wastewater treatment facilities financed by MWMP, the following template serves as basis for a more streamlined approach to preparing EMPs. The checklist-type format has been developed to provide examples of good practices and is designed to be user friendly and compatible with safeguard requirements.
The EMP checklist-type format attempts to cover typical core mitigation approaches to civil works contracts with small, localized impacts. It is accepted that this format provides the key elements of an Environmental Management Plan (EMP) or Environmental Management Framework (EMF) to meet World Bank Environmental Assessment requirements under OP 4.01. The intention of this checklist is that it would be applicable as guidelines for the small works contractors and constitute an integral part of bidding documents for contractors carrying out small civil works under Bank-financed projects.
The checklist has four sections:
Part 1 General Project and Site Information - includes a descriptive part that characterizes the project and specifies in terms the institutional and legislative aspects, the technical project content, the potential need for capacity building program and description of the public consultation process. This section could be up to two pages long. Attachments for additional information can be supplemented when needed.
Part 2 Safeguards Information - includes an environmental and social screening checklist, where activities and potential environmental issues can be checked in a simple Yes/No format. If any given activity/issue is triggered by checking “yes”, a reference is made to the appropriate section in Part 3.
Part 3 Mitigation Measures – the following table, which clearly formulated management and mitigation measures.
Part 4 Monitoring Plan - represents the monitoring plan for activities during project construction and implementation. It retains the same format required for EMPs proposed under normal Bank requirements for Category B projects. It is the intent of this checklist that Part 2 and Part 3 be included into the bidding documents for contractors, priced during the bidding process and diligent implementation supervised during works execution.
PART 1: General Project and Site Information
|INSTITUTIONAL & ADMINISTRATIVE |
|Country | |
|Project title | |
|Scope of project and activity | |
|Institutional |WB |Project Management |Local Counterpart and/or Recipient |
|arrangements |(Project Team Leader) | | |
|(Name and contacts) | | | |
|Implementation |Safeguard Supervision |Local Counterpart |Local Inspectorate |Contactor |
|arrangements | |Supervision |Supervision | |
|(Name and contacts) | | | | |
| | | | | |
|SITE DESCRIPTION |
|Name of site | |
|Describe site location | |Attachment 1: Site Map [ ]Y [ ] N |
|Who owns the land? | |
|Description of geographic, | |
|physical, biological, | |
|geological, hydrographic and | |
|socio-economic context | |
|Locations and distance for | |
|material sourcing, especially | |
|aggregates, water, stones? | |
|LEGISLATION |
|Identify national & local | |
|legislation & permits that | |
|apply to project activity | |
|PUBLIC CONSULTATION |
|Identify when / where the | |
|public consultation process | |
|took place | |
|INSTITUTIONAL CAPACITY BUILDING |
|Will there be any capacity |[ ] N or [ ]Y if Yes, Attachment 2 includes the capacity building program |
|building? | |
PART 2: safeguards information
|DETERMINATION OF POTENTIAL ENVIRONMENTAL /SOCIAL ASPECTS |
|Will the site activity |Activity |Status |Triggered Actions |
|include/involve any of | | | |
|the following?? | | | |
| | Construction works |[] Yes [ ] No |See Section A below |
| | Rehabilitation activities |[ ] Yes [] No |See Section A below |
| | Individual wastewater treatment system |[ ] Yes [] No |See Section B below |
| | Historic building(s) and districts |[ ] Yes [] No ?? |See Section C below |
| | Acquisition of land[1] |[ ] Yes [] No |See Section D below |
| |Hazardous or toxic materials[2] |[] Yes [ ] No |See Section E below |
| |Impacts on forests and/or protected areas |[ ] Yes [] No |See Section F below |
| |Handling / management of medical waste |[ ] Yes [] No |See Section G below |
| |Traffic and Pedestrian Safety |[] Yes [ ] No |See Section G below |
PART 3: Mitigation measures
|ACTIVITY |PARAMETER |MITIGATION MEASURES CHECKLIST |
|0. General Conditions |Notification and Worker| The local construction and environment inspectorates and communities have been notified of upcoming activities |
| |Safety |The public has been notified of the works through appropriate notification in the media and/or at publicly accessible sites (including the site of the |
| | |works) |
| | |All legally required permits have been acquired for construction and/or rehabilitation |
| | |The Contractor formally agrees that all work will be carried out in a safe and disciplined manner designed to minimize impacts on neighboring residents and |
| | |environment. |
| | |Workers’ PPE will comply with international good practice (always hardhats, as needed masks and safety glasses, harnesses and safety boots) |
| | |Appropriate signposting of the sites will inform workers of key rules and regulations to follow. |
|A. General |Air Quality |During interior demolition debris-chutes shall be used above the first floor |
|Construction | |Demolition debris shall be kept in controlled area and sprayed with water mist to reduce debris dust |
|Activities | |During pneumatic drilling/wall destruction dust shall be suppressed by ongoing water spraying and/or installing dust screen enclosures at site |
| | |The surrounding environment (side walks, roads) shall be kept free of debris to minimize dust |
| | |There will be no open burning of construction / waste material at the site |
| | |There will be no excessive idling of construction vehicles at sites |
| |Noise |Construction noise will be limited to restricted times agreed to in the permit |
| | |During operations the engine covers of generators, air compressors and other powered mechanical equipment shall be closed, and equipment placed as far away |
| | |from residential areas as possible |
| |Water Quality |The site will establish appropriate erosion and sediment control measures such as e.g. hay bales and / or silt fences to prevent sediment from moving off |
| | |site and causing excessive turbidity in nearby streams and rivers. |
| |Waste management |Waste collection and disposal pathways and sites will be identified for all major waste types expected from demolition and construction activities. |
| | |Mineral construction and demolition wastes will be separated from general refuse, organic, liquid and chemical wastes by on-site sorting and stored in |
| | |appropriate containers. |
| | |Construction waste will be collected and disposed properly by licensed collectors |
| | |The records of waste disposal will be maintained as proof for proper management as designed. |
| | |Whenever feasible the contractor will reuse and recycle appropriate and viable materials (except asbestos) |
|B. Individual |Water Quality |The approach to handling sanitary wastes and wastewater from building sites (installation or reconstruction) must be approved by the local authorities |
|wastewater treatment | |Before being discharged into receiving waters, effluents from individual wastewater systems must be treated in order to meet the minimal quality criteria |
|system | |set out by national guidelines on effluent quality and wastewater treatment |
| | |Monitoring of new wastewater systems (before/after) will be carried out |
| | |Construction vehicles and machinery will be washed only in designated areas where runoff will not pollute natural surface water bodies. |
|C. Historic |Cultural Heritage |If the building is a designated historic structure, very close to such a structure, or located in a designated historic district, notification shall be made|
|building(s) | |and approvals/permits be obtained from local authorities and all construction activities planned and carried out in line with local and national |
| | |legislation. |
| | |It shall be ensured that provisions are put in place so that artifacts or other possible “chance finds” encountered in excavation or construction are noted |
| | |and registered, responsible officials contacted, and works activities delayed or modified to account for such finds. |
|ACTIVITY |PARAMETER |MITIGATION MEASURES CHECKLIST |
|D. Acquisition of |Land Acquisition |If expropriation of land was not expected but is required, or if loss of access to income of legal or illegal users of land was not expected but may occur, |
|land |Plan/Framework |that the Bank’s Task Team Leader shall be immediately consulted. |
| | |The approved Land Acquisition Plan/Framework (if required by the project) will be implemented |
|E. Toxic Materials |Toxic / hazardous waste|Temporarily storage on site of all hazardous or toxic substances will be in safe containers labeled with details of composition, properties and handling |
| |management |information |
| | |The containers of hazardous substances shall be placed in an leak-proof container to prevent spillage and leaching |
| | |The wastes shall be transported by specially licensed carriers and disposed in a licensed facility. |
| | |Paints with toxic ingredients or solvents or lead-based paints will not be used |
|F. Affected forests, |Protection |All recognized natural habitats, wetlands and protected areas in the immediate vicinity of the activity will not be damaged or exploited, all staff will be |
|wetlands and/or | |strictly prohibited from hunting, foraging, logging or other damaging activities. |
|protected areas | |A survey and an inventory shall be made of large trees in the vicinity of the construction activity, large trees shall be marked and cordoned off with |
| | |fencing, their root system protected, and any damage to the trees avoided |
| | |Adjacent wetlands and streams shall be protected from construction site run-off with appropriate erosion and sediment control feature to include by not |
| | |limited to hay bales and silt fences |
| | |There will be no unlicensed borrow pits, quarries or waste dumps in adjacent areas, especially not in protected areas. |
|G Traffic and |Direct or indirect |In compliance with national regulations the contractor will insure that the construction site is properly secured and construction related traffic |
|Pedestrian Safety |hazards to public |regulated. This includes but is not limited to |
| |traffic and pedestrians|Signposting, warning signs, barriers and traffic diversions: site will be clearly visible and the public warned of all potential hazards |
| |by construction |Traffic management system and staff training, especially for site access and near-site heavy traffic. Provision of safe passages and crossings for |
| |activities |pedestrians where construction traffic interferes. |
| | |Adjustment of working hours to local traffic patterns, e.g. avoiding major transport activities during rush hours or times of livestock movement |
| | |Active traffic management by trained and visible staff at the site, if required for safe and convenient passage for the public. |
| | |Ensuring safe and continuous access to office facilities, shops and residences during renovation activities, if the buildings stay open for the public. |
PART 4: Monitoring Plan
|Phase |What |Where |How |When |Why |Cost |Who |
| |(Is the parameter to be |(Is the parameter to be |(Is the parameter to be |(Define the frequency / |(Is the parameter being |(if not included in |(Is responsible for |
| |monitored?) |monitored?) |monitored?) |or continuous?) |monitored?) |project budget) |monitoring?) |
|During activity | | | | | | | |
|implementation | | | | | | | |
|During activity | | | | | | | |
|supervision | | | | | | | |
ANNEX 2: SOCIAL ISSUES
Annex 2A: Cultural Property and Protection Measures
A. WB Policy on Management of Cultural Property (OP 4.11, July 2006)
Cultural resources are important as sources of valuable historical and scientific information, as assets for economic and social development, and as integral parts of a people's cultural identity and practices. The loss of such resources is irreversible, but fortunately, it is often avoidable
The objective of OP/BP 4.11 on Physical Cultural Resources is to avoid, or mitigate, adverse impacts on cultural resources from development projects that the World Bank finances.
B. Protection of Cultural Property
1. Cultural property include monuments, structures, works of art, or sites of significance points of view, and are defined as sites and structures having archaeological, historical, architectural, or religious significance, and natural sites with cultural values. This includes cemeteries, graveyards and graves.
2. The initial phase of the proposed emergency reconstruction operations pose limited risks of damaging cultural property since subprojects will largely consist of small investments in community infrastructure and income generating activities, reconstruction of existing structures, and minor public works. Further, the list of negative subproject attributes, which would make a subproject ineligible for support (Attachment 1), includes any activity that would adversely impact cultural property. Nevertheless, the following procedures for identification, protection from theft, and treatment of discovered artifacts should be followed and included in standard bidding documents as provided in Attachment 6.
Chance Find Procedures
3. Chance find procedures will be used as follows:
a) Stop the construction activities in the area of the chance find;
b) Delineate the discovered site or area;
c) Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be present until the responsible local authorities and the Ministry of Culture take over;
d) Notify the supervisory Engineer who in turn will notify the responsible local authorities and the Ministry of Culture immediately (within 24 hours or less);
e) Responsible local authorities and the Ministry of Culture would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed by the archeologists of the Ministry of Culture (within 72 hours). The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values;
f) Decisions on how to handle the finding shall be taken by the responsible authorities and the Ministry of Culture. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage;
g) Implementation for the authority decision concerning the management of the finding shall be communicated in writing by the Ministry of Culture; and
h) Construction work could resume only after permission is given from the responsible local authorities and the Ministry of Culture concerning safeguard of the heritage.
4. These procedures must be referred to as standard provisions in construction contracts, when applicable, and as proposed in section 1.5 of Attachment 6. During project supervision, the Site Engineer shall monitor the above regulations relating to the treatment of any chance find encountered are observed.
5. Relevant findings will be recorded in World Bank Implementation Supervision Reports (ISRs), and Implementation Completion Reports (ICRs) will assess the overall effectiveness of the project’s cultural property mitigation, management, and activities, as appropriate.
Annex 2B: Safeguards Procedures for Inclusion in the Technical Specifications of Contracts
I. General
1. The Contractor and his employees shall adhere to the mitigation measures set down and take all other measures required by the Engineer to prevent harm, and to minimize the impact of his operations on the environment.
2. The Contractor shall not be permitted to unnecessarily strip clear the right of way. The Contractor shall only clear the minimum width for construction and diversion roads should not be constructed alongside the existing road. In case this is unavoidable, such diversion roads should not create obstructions or disruptions of roadways, passageways, and drainage channels. Provisions to maintain smooth pedestrian and vehicle traffic and drainage flow should be in place to allow at all times accessibility to homes and businesses and avoid water ponding.
3. Remedial actions which cannot be effectively carried out during construction should be carried out on completion of each Section of the road (earthworks, pavement and drainage) and before issuance of the Taking Over Certificate:
a) these sections should be landscaped and any necessary remedial works should be undertaken without delay, including grassing and reforestation;
b) water courses should be cleared of debris and drains and culverts checked for clear flow paths; and
c) borrow pits should be dressed as fish ponds, or drained and made safe, as agreed with the land owner.
4. The Contractor shall limit construction works to between 6 am and 7 pm if it is to be carried out in or near residential areas.
5. The Contractor shall avoid the use of heavy or noisy equipment in specified areas at night, or in sensitive areas such as near a hospital.
6. To prevent dust pollution during dry periods, the Contractor shall carry out regular watering of earth and gravel haul roads and shall cover material haulage trucks with tarpaulins to prevent spillage.
II. Transport
7. The Contractor shall use selected routes to the project site, as agreed with the Engineer, and appropriately sized vehicles suitable to the class of road, and shall restrict loads to prevent damage to roads and bridges used for transportation purposes. The Contractor shall be held responsible for any damage caused to the roads and bridges due to the transportation of excessive loads, and shall be required to repair such damage to the approval of the Engineer.
8. The Contractor shall not use any vehicles, either on or off road with grossly excessive, exhaust or noise emissions. In any built up areas, noise mufflers shall be installed and maintained in good condition on all motorized equipment under the control of the Contractor.
9. Adequate traffic control measures shall be maintained by the Contractor throughout the duration of the Contract and such measures shall be subject to prior approval of the Engineer.
III. Workforce
10. The Contractor should whenever possible locally recruit the majority of the workforce and shall provide appropriate training as necessary.
11. The Contractor shall install and maintain a temporary septic tank system for any residential labor camp and without causing pollution of nearby watercourses.
12. The Contractor shall establish a method and system for storing and disposing of all solid wastes generated by the labor camp and/or base camp.
13. The Contractor shall not allow the use of fuelwood for cooking or heating in any labor camp or base camp and provide alternate facilities using other fuels.
14. The Contractor shall ensure that site offices, depots, asphalt plants and workshops are located in appropriate areas as approved by the Engineer and not within 500 meters of existing residential settlements and not within 1,000 meters for asphalt plants.
15. The Contractor shall ensure that site offices, depots and particularly storage areas for diesel fuel and bitumen and asphalt plants are not located within 500 meters of watercourses, and are operated so that no pollutants enter watercourses, either overland or through groundwater seepage, especially during periods of rain. This will require lubricants to be recycled and a ditch to be constructed around the area with an approved settling pond/oil trap at the outlet. In case this is unavoidable, the contractor shall ensure that any facility or equipment shall not discharge any waste such as (such as domestic, solid or liquid waste, equipment or vehicle washings, construction debris) or pollute these watercourses with industrial leakages during the preparation or storage of building materials.
16. The contractor shall not use fuelwood as a means of heating during the processing or preparation of any materials forming part of the Works.
IV. Quarries and Borrow Pits
17. Operation of a new borrow area, on land, in a river, or in an existing area, shall be subject to prior approval of the Engineer, and the operation shall cease if so instructed by the Engineer. Borrow pits shall be prohibited where they might interfere with the natural or designed drainage patterns. River locations shall be prohibited if they might undermine or damage the river banks, or carry too much fine material downstream.
18. The Contractor shall ensure that all borrow pits used are left in a trim and tidy condition with stable side slopes, and are drained ensuring that no stagnant water bodies are created which could breed mosquitoes.
19. Rock or gravel taken from a river shall be far enough removed to limit the depth of material removed to one-tenth of the width of the river at any one location, and not to disrupt the river flow, or damage or undermine the river banks.
20. The location of crushing plants shall be subject to the approval of the Engineer, and not be close to environmentally sensitive areas or to existing residential settlements, and shall be operated with approved fitted dust control devices.
V. Earthworks
21. Earthworks shall be properly controlled, especially during the rainy season.
22. The Contractor shall maintain stable cut and fill slopes at all times and cause the least possible disturbance to areas outside the prescribed limits of the work.
23. The Contractor shall complete cut and fill operations to final cross-sections at any one location as soon as possible and preferably in one continuous operation to avoid partially completed earthworks, especially during the rainy season.
24. In order to protect any cut or fill slopes from erosion, in accordance with the drawings, cut off drains and toe-drains shall be provided at the top and bottom of slopes and be planted with grass or other plant cover. Cut off drains should be provided above high cuts to minimize water runoff and slope erosion.
25. Any excavated cut or unsuitable material shall be disposed of in designated tipping areas as agreed to by the Engineer.
26. Tips should not be located where they can cause future slides, interfere with agricultural land or any other properties, or cause soil from the dump to be washed into any watercourse. Drains may need to be dug within and around the tips, as directed by the Engineer.
VI. Historical and Archeological Sites
27. If the Contractor discovers archeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavation or construction, the Contractor shall:
• Stop the construction activities in the area of the chance find.
• Delineate the discovered site or area.
• Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be present until the responsible local authorities and the Ministry of Culture take over.
• Notify the supervisory Engineer who in turn will notify the responsible local authorities and the Ministry of Culture immediately (less than 24 hours).
• Contact the responsible local authorities and the Ministry of Culture who would be in charge of protecting and preserving the site before deciding on the proper procedures to be carried out. This would require a preliminary evaluation of the findings to be performed by the archeologists of the Ministry of Culture (within 72 hours). The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage, including the aesthetic, historic, scientific or research, social and economic values.
• Ensure that decisions on how to handle the finding be taken by the responsible authorities and the Ministry of Culture. This could include changes in the layout (such as when the finding is an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage.
• Implementation for the authority decision concerning the management of the finding shall be communicated in writing by the Ministry of Culture; and
• Construction work will resume only after authorization is given by the responsible local authorities and the Ministry of Culture concerning the safeguard of the heritage.
VII. Disposal of Construction and Vehicle Waste
28. Debris generated due to the dismantling of the existing structures shall be suitably reused, to the extent feasible, in the proposed construction (e.g. as fill materials for embankments). The disposal of remaining debris shall be carried out only at sites identified and approved by the project engineer. The contractor should ensure that these sites (a) are not located within designated forest areas; (b) do not impact natural drainage courses; and (c) do not impact endangered/rare flora. Under no circumstances shall the contractor dispose of any material in environmentally sensitive areas.
29. In the event any debris or silt from the sites is deposited on adjacent land, the Contractor shall immediately remove such, debris or silt and restore the affected area to its original state to the satisfaction of the Supervisor/Engineer.
30. Bentonite slurry or similar debris generated from pile driving or other construction activities shall be disposed of to avoid overflow into the surface water bodies or form mud puddles in the area.
31. All arrangements for transportation during construction including provision, maintenance, dismantling and clearing debris, where necessary, will be considered incidental to the work and should be planned and implemented by the contractor as approved and directed by the Engineer.
32. Vehicle/machinery and equipment operations, maintenance and refueling shall be carried out to avoid spillage of fuels and lubricants and ground contamination. An 'oil interceptor" will be provided for wash down and refueling areas. Fuel storage shall be located in proper bunded areas.
33. All spills and collected petroleum products shall be disposed of in accordance with standard environmental procedures/guidelines. Fuel storage and refilling areas shall be located at least 300m from all cross drainage structures and important water bodies or as directed by the Engineer.
Annex 2C: GOP Laws and Orders on Land Acquisition
|Law/Order |Provisions |
|Executive Order 1035 (1985) |Requires the conduct of: |
| |Feasibility Study |
| |Public Information Campaign |
| |Parcellary survey |
| |Assets inventory |
| | |
| |Other features include: |
| |Land acquisitioned, based on fair market value to be negotiated between owner & |
| |appraiser |
| |Resettlement / relocation of tenants, farmers & other occupants |
| |Financial Assistance to displaced tenants, cultural minorities & settlers equivalent |
| |to the average gross harvest for the last 3 years & not less than P 15,000 per ha. |
| |Disturbance compensation to agricultural lessees equivalent to 5 times the average |
| |gross harvest during the last 5 years |
| |Compensation for improvements on land acquired under CA 141. |
| | |
| |Government has power to expropriate in case agreement is not reached |
|Supreme Court Ruling (1987) |Defines just compensation as fair & full equivalent for the loss sustained, taking |
| |into account improvements, location, capabilities, etc. |
| |The value given by the appraiser can only serve as a guide for negotiation. The |
| |objective is to enable the Sub-Borrowers to replace affected assets at current market|
| |price. |
|DPWH DP 142 (1995) |Aims to avoid unnecessary delays in civil works |
| |Inclusion of parcellary plans and cost estimates for ROW acquisition in detailed |
| |engineering stage. |
| |EO 1035 & MO 65 will still be followed in matters relating to the acquisition and |
| |compensation of private properties |
|R.A 6389 |Provides for disturbance compensation to agricultural leases equivalent to 4 times |
| |the average gross harvest in the last 5 years. |
|R.A. 7279, Urban Development and Housing |Provides guidelines for resettlement of persons living in danger areas, e.g. |
|Act of 1992 |riverbanks, shorelines, & waterways or areas where government infrastructure projects|
| |are about to be implemented. Guidelines cover the provision of basic services & |
| |facilities in resettlement sites, livelihood support, meaningful participation & |
| |adequate social preparation for the affected households, close coordination between |
| |sending & host LGUs, grievance redress and related aspects. |
| |Danger areas as enumerated in Article VII, Section 28 of RA 7279 includes Waterways |
| |but not specifically water/pipeline Right-of-Ways (ROW). The 2002 Bignay Incident |
| |of Manila Water showed that waterlines are potential danger areas. |
| |Relocation involving court eviction cases shall be undertaken by the local |
| |government, agencies involved (in this case the MWSS) within forty-five (45) days |
| |from service of notice of final judgment by the court. |
| |Informal settlers who built their house on or before the effectivity date (March 28, |
| |1992) are entitled to all benefits and considerations prescribed in the said act. |
| |All those exempted or not covered by the said act will be dealt with accordingly (see|
| |Section 5.a) |
|RA 8368 or Anti-Squatting Repeal Act of |Repealed PD 772 of 1975 which penalized squatting and similar acts |
|1997 |All pending cases under the provisions of PD 772 are consequently dismissed. |
|RA 8371 or The Indigenous Peoples Rights |Protects & recognized rights of indigenous cultural communities on their ancestral |
|Act of 1997 |lands. |
|RA 8974 (2000) |Aims at ensuring that owners of real property acquired for NG infrastructure projects|
| |are promptly paid just compensation. It also provides for the compensation of |
| |affected improvements & structures at replacement cost without depreciation & |
| |inclusive of labor costs for reconstruction) & the arrangement of independent |
| |appraisers for a more accurate determination of the market values of lands and |
| |improvements. Section 5 provides for standards in the determination of the fair |
| |market value of land: |
| |Section 5. Standards for the Assessment for the Value of the Land Subject of |
| |Expropriation Proceedings or Negotiated Sale – In order to facilitate the |
| |determination just compensation, the court may consider, among other well-established|
| |factors, the following relevant standards: |
| |The classification and use for which the property is suited; |
| |The developmental cost for improving the land; |
| |The value declared by the owners; |
| |The current selling price of similar lands in the vicinity; |
| |The reasonable disturbance compensation for the removal &/or demolition of certain |
| |improvements on the land & for the value of improves thereon; |
| |The size, shape or location, tax declaration & zonal valuation of the land; |
| |The price of the land as manifested in the ocular findings, oral as well as |
| |documentary evidence presented; and |
| |Such facts & events as to enable the affected property owners to have sufficient |
| |funds to acquire similarly-situated land of approximate areas as those required from |
| |them by the government, & thereby rehabilitate themselves as early as possible. |
|Commonwealth Act 141 (CA 141). Public Lands|Institutes classification & means of administration, expropriation and disposition of|
|Act (1936) |alienable lands of the public domain. |
| |Under Section 112, lands awarded for Free Patent are “subject to a right of |
| |right-of-way not exceeding sixty (60) meters in width for public highways, railroads,|
| |irrigation ditches, aqueducts, telegraph and telephone lines and similar works as the|
| |Government or any public or quasi-public service or enterprise, including mining or |
| |forest concessionaires, may reasonably require for carrying on their business, with |
| |damages for the improvements only.” |
|NCIP Administrative Order No. 3, Series of |Stipulates the processes necessary for securing FPIC from IP communities and EO 132 |
|2002 |designating PCUP as clearing house for the conduct of demolition and eviction since |
| |both have bearing on actins related to IPs and RP. |
Annex 2D: Elements of a Resettlement Action Plan
The scope and level of detail of the resettlement action plan (RAP) vary with the magnitude and complexity of resettlement. The RAP is based on up-to-date and reliable information about (a) the proposed resettlement and its impacts on the displaced persons and other adversely affected groups, and (b) the legal issues involved in resettlement. The RAP covers the elements below, as relevant. When any element is not relevant to project circumstances, it should be noted in the resettlement plan.
1. Description of the project.
General description of the project and identification of the project area.
2. Potential impacts.
The following are needed:
(a) The project component or activities that give rise to resettlement;
(b) The zone of impact of such component or activities;
(c) The alternatives considered to avoid or minimize resettlement; and
(d) The mechanisms established to minimize resettlement, to the extent possible, during project implementation.
3. Objectives.
The main objectives of the resettlement program.
4. Socioeconomic studies.
The findings of socioeconomic studies to be conducted in the early stages of project preparation and with the involvement of potentially displaced people, including
(a) the results of a census survey covering:
• current occupants of the affected area to establish a basis for the design of the resettlement program and to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance;
• standard characteristics of displaced households, including a description of production systems, labor, and household organization; and baseline information on livelihoods (including, as relevant, production levels and income derived from both formal and informal economic activities) and standards of living (including health status) of the displaced population;
• the magnitude of the expected loss—total or partial—of assets, and the extent of displacement, physical or economic;
• information on vulnerable groups or persons as provided for in WB OP 4.12, para. 8, for whom special provisions may have to be made; and
• provisions to update information on the displaced people's livelihoods and standards of living at regular intervals so that the latest information is available at the time of their displacement.
(b) Other studies describing the following:
• land tenure and transfer systems, including an inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) governed by local recognized land allocation mechanisms, and any issues raised by different tenure systems in the project area;
• the patterns of social interaction in the affected communities, including social networks and social support systems, and how they will be affected by the project;
• public infrastructure and social services that will be affected; and
• social and cultural characteristics of displaced communities, including a description of formal and informal institutions (e.g., community organizations, ritual groups, nongovernmental organizations (NGOs)) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities.
5. Legal framework.
The findings of an analysis of the legal framework, covering:
• the scope of the power of eminent domain and the nature of compensation associated with it, in terms of both the valuation methodology and the timing of payment;
• the applicable legal and administrative procedures, including a description of the remedies available to displaced persons in the judicial process and the normal timeframe for such procedures, and any available alternative dispute resolution mechanisms that may be relevant to resettlement under the project;
• relevant law (including customary and traditional law) governing land tenure, valuation of assets and losses, compensation, and natural resource usage rights; customary personal law related to displacement; and environmental laws and social welfare legislation;
• laws and regulations relating to the agencies responsible for implementing resettlement activities;
• gaps, if any, between local laws covering eminent domain and resettlement and the Bank's resettlement policy, and the mechanisms to bridge such gaps; and
• any legal steps necessary to ensure the effective implementation of resettlement activities under the project, including, as appropriate, a process for recognizing claims to legal rights to land—including claims that derive from customary law and traditional usage (see WB OP 4.12, para.15 b).
6. Institutional Framework.
The findings of an analysis of the institutional framework covering:
• the identification of agencies responsible for resettlement activities and NGOs that may have a role in project implementation;
• an assessment of the institutional capacity of such agencies and NGOs; and
• any steps that are proposed to enhance the institutional capacity of agencies and NGOs responsible for resettlement implementation.
7. Eligibility.
Definition of displaced persons and criteria for determining their eligibility for compensation and other resettlement assistance, including relevant cut-off dates.
8. Valuation of and compensation for losses.
The methodology to be used in valuing losses to determine their replacement cost; and a description of the proposed types and levels of compensation under local law and such supplementary measures as are necessary to achieve replacement cost for lost assets.
9. Resettlement measures.
A description of the packages of compensation and other resettlement measures that will assist each category of eligible displaced persons to achieve the objectives of the policy (see WB OP 4.12, para. 6). In addition to being technically and economically feasible, the resettlement packages should be compatible with the cultural preferences of the displaced persons, and prepared in consultation with them.
10. Site selection, site preparation, and relocation.
Alternative relocation sites considered and explanation of those selected, covering:
• institutional and technical arrangements for identifying and preparing relocation sites, whether rural or urban, for which a combination of productive potential, locational advantages, and other factors is at least comparable to the advantages of the old sites, with an estimate of the time needed to acquire and transfer land and ancillary resources;
• any measures necessary to prevent land speculation or influx of ineligible persons at the selected sites;
• procedures for physical relocation under the project, including timetables for site preparation and transfer; and
• legal arrangements for regularizing tenure and transferring titles to resettlers.
11. Housing, infrastructure, and social services.
Plans to provide (or to finance resettlers' provision of) housing, infrastructure (e.g., water supply, feeder roads), and social services (e.g., schools, health services); 2 plans to ensure comparable services to host populations; any necessary site development, engineering, and architectural designs for these facilities.
12. Environmental protection and management.
A description of the boundaries of the relocation area; and an assessment of the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement).
13. Community participation.
Involvement of resettlers and host communities, including:
• description of the strategy for consultation with and participation of resettlers and hosts in the design and implementation of the resettlement activities;
• a summary of the views expressed and how these views were taken into account in preparing the resettlement plan;
• a review of the resettlement alternatives presented and the choices made by displaced persons regarding options available to them, including choices related to forms of compensation and resettlement assistance, to relocating as individuals families or as parts of preexisting communities or kinship groups, to sustaining existing patterns of group organization, and to retaining access to cultural property (e.g. places of worship, pilgrimage centers, cemeteries); and
• institutionalized arrangements by which displaced people can communicate their concerns to project authorities throughout planning and implementation, and measures to ensure that such vulnerable groups as indigenous people, ethnic minorities, the landless, and women are adequately represented.
14. Integration with host populations.
Measures to mitigate the impact of resettlement on any host communities, including:
• consultations with host communities and local governments;
• arrangements for prompt tendering of any payment due the hosts for land or other assets provided to resettlers;
• arrangements for addressing any conflict that may arise between resettlers and host communities; and
• any measures necessary to augment services (e.g., education, water, health, and production services) in host communities to make them at least comparable to services available to resettlers.
15. Grievance procedures.
Affordable and accessible procedures for third-party settlement of disputes arising from resettlement; such grievance mechanisms should take into account the availability of judicial recourse and community and traditional dispute settlement mechanisms.
16. Organizational responsibilities.
The organizational framework for implementing resettlement, including identification of agencies responsible for delivery of resettlement measures and provision of services; arrangements to ensure appropriate coordination between agencies and jurisdictions involved in implementation; and any measures (including technical assistance) needed to strengthen the implementing agencies' capacity to design and carry out resettlement activities; provisions for the transfer to local authorities or resettlers themselves of responsibility for managing facilities and services provided under the project and for transferring other such responsibilities from the resettlement implementing agencies, when appropriate.
17. Implementation schedule.
An implementation schedule covering all resettlement activities from preparation through implementation, including target dates for the achievement of expected benefits to resettlers and hosts and terminating the various forms of assistance. The schedule should indicate how the resettlement activities are linked to the implementation of the overall project.
18. Costs and budget.
Tables showing itemized cost estimates for all resettlement activities, including allowances for inflation, population growth, and other contingencies; timetables for expenditures; sources of funds; and arrangements for timely flow of funds, and funding for resettlement, if any, in areas outside the jurisdiction of the implementing agencies.
19. Monitoring and evaluation.
Arrangements for monitoring of resettlement activities by the implementing agency, supplemented by independent monitors as considered appropriate by the Bank, to ensure complete and objective information; performance monitoring indicators to measure inputs, outputs, and outcomes for resettlement activities; involvement of the displaced persons in the monitoring process; evaluation of the impact of resettlement for a reasonable period after all resettlement and related development activities have been completed; using the results of resettlement monitoring to guide subsequent implementation.
Annex 2E: Elements of an Abbreviated Resettlement Action Plan
W.B. O.P. 4.12 – ANNEX A
An abbreviated plan covers the following minimum elements:
(a) a census survey of displaced persons and valuation of assets;
(b) description of compensation and other resettlement assistance to be provided;
(c) consultations with displaced people about acceptable alternatives;
(d) institutional responsibility for implementation and procedures for grievance redress;
(e) arrangements for monitoring and implementation; and
(f) a timetable and budget.
Annex 2F: Required Social Safeguards Document per Category
|Social Category |No. of Displaced HHs/Persons |Required Documents |
|3 |> 200 persons / 50 HHs |Full Resettlement Plan |
| | |(Attachment RCF-3 of Annex 4.1.1B) |
| | | |
| |Adversely affected ancestral domain and |Indigenous Peoples’ Plan |
| |indigenous cultural communities | |
|2 |1-199 persons / 50 HHs |Abbreviated Resettlement Plan |
| | |(Attachment RCF-4 of Annex 4.1.1B) |
| | | |
| |An ethnic community which has retained |Indigenous Peoples’ Plan |
| |its indigenous system or way of life | |
| |different from that of the mainstream | |
| |community. | |
|1 |0 |None |
Annex 2G: Criteria for Review of Social Aspects
| |Criteria |Means of Verification |
|1 |Consultation and participation of adversely |Minutes of Public Consultations |
| |affected persons |Expression of Support of Stakeholders, particularly those adversely |
| | |affected |
| | |Survey Report on RAP Acceptability/Willingness |
| | |Free & Prior Informed Consent (FPIC), for DPs that are IPs |
|2 |Compensation and transition assistances and |Compensation Table with agreement of DPs |
| |rehabilitation programs to be provided according |Rehabilitation Program/s |
| |to the provisions of the MWMP Resettlement Policy |Resettlement Implementation Schedule, in relation to Sub-project |
| |Framework |Implementation Schedule |
|3 |Resettlement site of adversely affected persons |Resettlement Site Development Plan & Vicinity Map |
| |with conditions equal to, or better than that, in |Description of available / accessible basic infrastructure and services|
| |existing sites |in resettlement areas |
| | |Visit to resettlement site/s |
|4 |Implementation in relation to overall Sub-project |Vouchers/proofs of payment for Compensation and transfer assistance |
| |Implementation Schedule |provided. |
| | |Progress reports on the Comprehensive Resettlement Implementation |
| | |Schedule within the overall Sub-project Implementation Schedule |
|5 |If applicable, progress on donations of affected |Documentation of meeting held regarding land donation/s. Or, if land |
| |lands for sub-project implementation |already donated, documentation of donation/s (note the total land area |
| | |from which portion needed by Sub-project is taken) and the legal |
| | |tenability of the donation ( e.g. no occupants in affected portion) |
| | |Assessment report on the impact of the donation on the donor’s economic|
| | |viability. |
|6 |Management of cultural properties within, or in |Report on presence/absence of a cultural property |
| |close proximity to the sub-project area (c/o |Brief reconnaissance report of competent authority to determine what is|
| |Environmental Safeguards) |known of the cultural aspects of the sub-project property |
|7 |Provision for monitoring and evaluation by an |Resettlement Implementation Plan |
| |external independent monitoring agency |Resettlement Plan Cost Estimates |
| | |Means to validate will be TOR and Contract of services of the EMA. |
|8 |Due Diligence on the history of the land to be |Consultation with local (barangay officials) in the community |
| |acquired- how and when this was undertaken |Consultation with project sub-proponents how and when land was acquired|
| | |Report on land acquisition |
Annex 2H: Compensation Table
|Type of Loss |Application |Entitled Person |Compensation / Entitlement |
|1. Arable Land |Actual area needed by the |Category A - Owners with full |For the portion of land needed: |
| |project and the remaining |title, tax declaration or who are|Cash compensation at replacement cost for the land as determined by a licensed independent |
| |land is still economically|covered by customary law (e.g. |appraiser using internationally recognized valuation standards as provided in 2.b and 2.q of|
| |viable |Possessor’s rights, usufruct) or |the Policy. |
| | |other acceptable proof of |Subject to the provisions set forth in Section 5 of RA 8974 |
| | |ownership |Cash compensation for perennials of commercial value as determined by the DENR or the |
| | | |concerned appraisal committee. |
| | | |DP will be given sufficient time to harvest crops on the subject land |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | |Category B - DPs without title, |For the portion of the land needed: |
| | |tax declaration, or are not |DP will be given time to harvest crops |
| | |covered by customary law or other|Cash compensation for perennials of commercial values as determined by DENR or the concerned|
| | |acceptable proofs of ownership |appraisal committee |
| | | |Financial assistance to make up for the land preparation in the amount of Php 150 per sq.m. |
| |Remaining land becomes |Category A |Cash compensation at replacement cost for the land as determined by a licensed independent |
| |economically not viable | |appraiser using internationally recognized valuation standards as provided in 2.b and 2.q of|
| |(i.e. DP losing >20% of | |this Policy; or, if feasible, ‘land for land’ will be provided (a new parcel of land with an|
| |land holding or even when | |equivalent productivity, located at an area acceptable to the DP and with long term security|
| |losing ................
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