STAKEHOLDER ENGAGEMENT PLAN (SEP) as reflected in the ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – ESS 10 Republic of Ecuador Implementation of the Extractive Industries Transparency Initiative (P176221) Ministry of Energy and Non-Renewable Natural Resources Final Version January 25, 2022 1|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN 1. The Republic of Ecuador (hereinafter, the Recipient) will execute the ¨Implementation of the Extractive Industries Transparency Initiative [Implementación de la Iniciativa de Transparencia de las Industrias Extractivas]¨ Project (hereinafter, the Project), through the Vice-Ministry of Mines of the Ministry of Energy and Non-Renewable Resources [Viceministerio de Minas del Ministerio de Energía y Recursos Naturales No Renovables (MERNNR)]. The International Bank for Reconstruction and Development (hereinafter, the Bank) has agreed to provide financing for the Project. 2. The Recipient, through the Vice-Ministry of Mines of the MERNNR, shall implement material measures and actions so that the Project can be implemented in accordance with the Environmental and Social Standards (ESSs) and Environmental and Social Framework (ESF). This Environmental and Social Commitment Plan (ESCP) sets out the material measures and actions that the Recipient shall carry out, as well as the specific environmental and social instruments, and timeframes for each of the measures and actions. 3. The Recipient, through the Vice-Ministry of Mines of the MERNNR, shall also comply with the provisions of all the environmental and social instruments required under the ESSs and mentioned in this ESCP. 4. The Recipient is responsible ensuring compliance with all the requirements of the ESCP, even when the implementation of the specific measures and actions is responsibility of the Vice-Ministry of Mines in the MERNNR. 5. The Recipient, through the Vice-Ministry of Mines of the MERNNR, shall supervise the implementation of the significant measures and actions set forth in this ESCP, and shall report to the Bank, in accordance with the ESCP and the conditions of the Donation Agreement. 6. As agreed by the Bank and the Recipient, this ESCP may be revised during Project implementation to reflect the adaptive management of Project changes and unforeseen circumstances or in response to the assessment of Project performance conducted under the ESCP itself. In these circumstances, the Recipient, through the Vice-Ministry of Mines of the MERNNR, shall agree on the changes with the Bank and shall update the ESCP to reflect these changes. The agreement on the changes made to the ESCP shall be documented through an exchange of letters signed between the Bank and the Vice-Minister of Mines. The Recipient shall immediately circulate the updated ESCP. 2|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP): IMPLEMENTACIÓN DEL ESTANDAR EITI ECUADOR (P176221) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY MONITORING AND REPORTING A REGULAR REPORTING Submit semi-annual reports during the Vice-Ministry of Mines/ National EITI Prepare and submit to the Bank, as part of the semi-annual Project implementation of the entire Project, Secretariat of Ecuador (ETS) implementation progress reports, regular monitoring reports on the submitted no later than 45 days after the environmental, social, and occupational health and safety (ESHS) end of the corresponding semester. performance of the Project, including, but not limited to, the implementation of the ESCP, the occurrence of incidents and accidents, stakeholder engagement activities, and the functioning of the grievance redress mechanism (GRM), in a form and with content acceptable to the Bank. The reports shall include: • Progress made in the execution of the Ecuador EITI Work Plan, disaggregated by Project components. • Execution of the ESCP and the ESHS performance of the Project. • Summary of activities to be carried out during the next period. • Report on the record of grievances and complaints received and addressed during the period, through the GRM, for the Project’s stakeholders. 3|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP): IMPLEMENTACIÓN DEL ESTANDAR EITI ECUADOR (P176221) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY B INCIDENTS AND ACCIDENTS 1. Notify the Bank by email no later than 48 Vice-Ministry of Mines/ ETS 1. Flash Report: Promptly notify the Bank about any Project- hours after of learning of the related incident or accident that has or may have a significant incident/accident. adverse effect on the environment, the affected communities, the public, or the workers, including, inter alia, labor accidents 2. Send the detailed report to the Bank of that result in serious injuries or death, cases of sexual the incident/accident within ten exploitation and abuse (SEA), or sexual harassment (SH). This working days after initial notification. immediate communication shall provide sufficient detail about the incident or accident (stating clearly if it involves a fatality), indicating the immediate measures taken or to be taken to address it and any information provided by the contractor and supervising entity, as appropriate. 2. Detailed Report: Subsequently, at the request of the Bank, prepare a detailed report on the incident or accident and propose measures to prevent its recurrence. The Recipient’s Guide for Environmental, Social, and Occupational Health and Safety Incident Response for Projects Financed by the World Bank, which provides more details on how to address any incident or accident, will be included as an annex to the Operations Manual (POM). ESS 1: ASSESSMENT AND MANAGEMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND IMPACTS 1.1 ORGANIZATIONAL STRUCTURE The PIU shall be established no later than 30 Vice-Ministry of Mines/ ETS Establish and maintain a Project Implementation Unit (PIU) with days after the Effectiveness Date and shall qualified personnel and resources to support the management of the be maintained throughout Project Project’s environmental and social risks. implementation. The PIU shall be staffed by a Manager/ Coordinator (National EITI Coordinator) and a specialist. 4|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP): IMPLEMENTACIÓN DEL ESTANDAR EITI ECUADOR (P176221) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 1.2 MANAGEMENT TOOLS AND INSTRUMENTS The POM shall be submitted to the Bank for Vice-Ministry of Mines/ ETS Include in the Project Operations Manual (POM), the processes and its no objection, and it is a Condition of procedures for environmental and social risk management that shall be Effectiveness. Once approved, the POM shall undertaken during Project implementation, in accordance with the be executed throughout the Project relevant requirements of the ESSs, in a manner acceptable to the Bank. implementation. 1.3 MANAGEMENT OF CONTRACTORS Throughout the Project implementation. Vice-Ministry of Mines/ ETS 1. Ensure that contractors comply with the actions indicated in the POM and the Labor Management Procedures (LMP). 2. Conduct a review of the relevance of the requirements of all ESSs as part of the preparation of the documents related to the hiring of contractors during Project implementation. 1.4 TECHNICAL ASSISTANCE The MOP shall describe the processes for Vice-Ministry of Mines/ ETS Ensure that all consultancies, studies, capacity building activities, ToRs review and the corresponding issuance trainings, and any other form of technical assistance implemented of the Bank’s no objection. under the Project is executed in accordance with Terms of Reference (ToRs) acceptable to the Bank and incorporate the relevant requirements about the ESHS aspects. ESS 2: WORK AND LABOR CONDITIONS 5|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP): IMPLEMENTACIÓN DEL ESTANDAR EITI ECUADOR (P176221) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 2.1 LABOR MANAGEMENT PROCEDURES 1. The LMP shall be submitted for the Vice-Ministry of Mines/ ETS Prepare, consult, adopt, and implement the Labor Management Bank’s no objection and is a Condition of Procedures (LMP) in a manner acceptable to the Bank and in accordance Effectiveness. with ESS2, considering the hiring procedures and the management of job posts under the Project, the transparency of contracting and 2. The LMP shall be executed throughout dismissal, labor laws, social security, and the safety of employees. These the Project implementation and will be procedures will also set out each organization’s internal protocols about subject to review and update if the management of the risks of exploitation, abuse, and sexual necessary. harassment in the workplace. The LMP shall include a code of conduct for workers. 2.2 GRIEVANCE REDRESS MECHANISM FOR PROJECT WORKERS Establish, maintain, and implement a GRM Vice-Ministry of Mines/ ETS for workers before Project Effectiveness Establish, maintain, and implement a GRM for Project workers, as Date. The GRM shall be implemented described in the LMP. throughout Project implementation (design, implementation, and closure). The workers’ GRM shall address any work or employment-related matter in the context of the Project, in an accessible manner and in accordance with ESS2. ESS 3: EFFICIENCY IN THE USE OF RESOURCES AND PREVENTION AND MANAGEMENT OF POLLUTION Relevant aspects of this standard shall be considered through action 1.4. ESS 4: COMMUNITY HEALTH AND SAFETY Relevant aspects of this standard shall be considered through action 1.4. ESS 5: ACQUISITION OF LANDS, RESTRICTIONS ON THE USE OF LAND AND INVOLUNTARY RESETTLEMENT It is not relevant for the Project. No land acquisition, land use restriction or involuntary resettlement will take place. None of the Project’s components will carry out actions that involve land acquisition or land use restrictions. ESS 6: BIODIVERSITY CONSERVATION AND SUSTAINABLE MANAGEMENT OF NATURAL RESOURCES Relevant aspects of this standard shall be considered through action 1.4. ESS 7: INDIGENOUS PEOPLES 7.1 Align activities and knowledge generated by the Project with the criteria Throughout Project implementation. Vice-Ministry of Mines/ ETS of ESS7. The processes and procedures for the management of the relevant E&S risks, including aspects of ESS7, shall be included in the Project Operations Manual (POM). 6|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP): IMPLEMENTACIÓN DEL ESTANDAR EITI ECUADOR (P176221) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 7.2 Develop a strategy for engagement and relationship with indigenous The strategy shall be submitted to the Bank Vice-Ministry of Mines/ ETS peoples (PPII), prioritizing the inclusion and engagement of indigenous before Project Effectiveness Date, for Bank’s peoples and nationalities in the implementation process for the EITI no objection. This strategy shall be executed standard, and in and the Multiparticipant Group (GMP), with special throughout Project implementation, with emphasis on those PPII that could possibly be affected by mining special emphasis on field activities. activities. 7.3 Promote, specific measures to encourage the inclusion of representative Throughout Project implementation, with Vice-Ministry of Mines/ ETS PPII organizations in the GMP, with emphasis on PPII groups in areas special emphasis on field activities. where extractive activities are conducted. The following must be borne in mind: (i) any linguistic or communication problem that can limit the full participation of indigenous peoples; (ii) indigenous peoples’ traditional decision-making mechanisms; and (iii) traditional conflict resolution mechanisms. ESS 8: CULTURAL HERITAGE Relevant aspects of this standard shall be considered through action 1.4. ESS 9: FINANCIAL INTERMEDIARIES It is not relevant for this Project as no financial intermediaries will be involved in the Project. ESS 10: STAKEHOLDER ENGAGEMENT AND INFORMATION DISCLOSURE 7|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP): IMPLEMENTACIÓN DEL ESTANDAR EITI ECUADOR (P176221) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 10.1 STAKEHOLDER ENGAGEMENT PLAN Vice-Ministry of Mines/ ETS a) Conduct consultations with relevant stakeholders on Project a) Conduct consultations and submit activities. Prepare a report on the consultations held, which includes: reports to the Bank for its no objection (i) stakeholder mapping; (ii) inputs submitted by stakeholders; (iii) and disseminate before the start of evidence of effective participation; (iv) strategy for engagement with Project implementation activities. groups vulnerable to exclusion and potentially affected by future mining projects, such as indigenous populations, Afro-Ecuadorians, artisanal miners, among others, identified in the consultations. The report shall be reviewed and subject to Bank’s no objection, prior to its dissemination to stakeholders. b) Conduct an annual public consultation with stakeholders on Project b) Once per year during Project implementation, including social inclusion aspects. For these implementation. consultations, relevant information will be distributed to interested parties in advance. c) Produce and publish an annual Project progress report in an c) Once per year during Project accessible manner, including the E&S aspects and social inclusion implementation. measures (with an annex detailing the public consultation processes). 8|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP): IMPLEMENTACIÓN DEL ESTANDAR EITI ECUADOR (P176221) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 10.2 GRIEVANCE REDRESS MECHANISM 1. The operation of the GRM is a condition Vice-Ministry of Mines/ ETS Adopt, maintain, operate, and implement an accessible GRM of effectiveness. The GRM shall operate throughout Project implementation, to address any complaint or throughout Project implementation. request for information. The GRM will feature, among other things, the following: 2. Submit semi-annual reports on the operation of the GRM including an a) An organizational structure and assignment of responsibilities for analysis of management of complaints complaints management. received management. b) Established times for response and management. c) Various access channels, including websites, dedicated telephone numbers, an email address, and social network platforms, when available. The submission of complaints orally or in writing will also form part of the mechanism. d) The option of submitting complaints anonymously. e) Information on how to take the grievance or complaint beyond the mechanism if there is no resolution. The operational details and organizational roles of the mechanism will be described in the Project’s POM and will be published on the websites of the MERNNR and the National EITI Secretariat of Ecuador. CAPACITY SUPPORT (TRAINING) 9|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP): IMPLEMENTACIÓN DEL ESTANDAR EITI ECUADOR (P176221) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY CS1 Train the MERNNR and the GMP staff on how to comply with the ESSs, 1. Staff training shall be done once the PIU Vice-Ministry of Mines/ ETS especially those about: stakeholder mapping and engagement, the is established and hence during Project GRM, and labor management procedures. implementation, as necessary. Provide Project workers with training and documentation about labor 2. Training for Project workers shall be management procedures, including the complaints mechanisms provided after the signing of contracts, required by ESS2. but before implementation of the service. Training will be prerequisite for Conduct sensitization and risk prevention activities with Project workers the implementation of the service. on gender-based violence, violence against women, LGBTQI, and the rights of persons with disabilities. Conduct ongoing awareness-raising on COVID-19 protective measures (social distancing and provision of personal protective equipment when necessary). Train, through training workshops, the PIU staff on the principles and requirements of the standards of the Environmental and Social Framework, which are currently considered not relevant. 10 | P a g e