Page 1 INTEGRATED SAFEGUARDS DATASHEET APPRAISAL STAGE I. Basic Information Date prepared/updated: 04/25/2011 Report No.: AC6208 1. Basic Project Data Country: Guyana Project ID: P125288 Project Name: GY UG Science and Technology Support Task Team Leader: Robert J. Hawkins Estimated Appraisal Date: April 26, 2011 Estimated Board Date: June 23, 2011 Managing Unit: LCSHE Lending Instrument: Specific Investment Loan Sector: Tertiary education (100%) Theme: Education for the knowledge economy (100%) IBRD Amount (US$m.): 0.00 IDA Amount (US$m.): 10.00 GEF Amount (US$m.): 0.00 PCF Amount (US$m.): 0.00 Other financing amounts by source: BORROWER/RECIPIENT 1.40 1.40 Environmental Category: B - Partial Assessment Repeater [] Is this project processed under OP 8.50 (Emergency Recovery) or OP 8.00 (Rapid Response to Crises and Emergencies) Yes [ ] No [X] 2. Project Objectives 1. The proposed Project would strengthen the four science and technology faculties at the University of Guyana through infrastructure, research and curricular improvements while building the basis for improved facilities management and future growth. 3. Project Description 2. Component 1: Education Quality Improvement Program (EQIP) (estimated total cost: US$1.9 million). This component would finance EQIP with two sub-components: (a) promote the revitalization and reorientation of the University of Guyana science curriculum toward critical needs for the LCDS; and (b) provide support for essential research, which would contextualize and provide a practical orientation to the curriculum, while contributing to global knowledge on environmental conservation and bio-diversity preservation. Through both of these activities, the technical and pedagogical skills of the UG lecturers to develop and deliver quality teaching would be considerably strengthened. 3. Sub-Component (a) Curriculum Reform (US$1.0 million) would support a standardized process for the updating of existing curricula and the development of entirely new curricula to support the LCDS, through the provision of targeted technical assistance from specialists in curriculum reform, instructional design and science content, Page 2 as well as through provision of stipends to UG lecturers who dedicate time, expertise and energy to this process. Practical assessment components would be developed for each course. At least 12 new courses in electronic format (either as open courseware or e- learning courses) relevant to the LCDS would be developed over a 3-year period via the following process: - The process would begin each year with a broad-based consultation with external groups to identify and build consensus around the curricular domains within and across the four target faculties most in need of revision/development in order to support the LCDS. Private sector representatives, NGOs, indigenous groups, student groups, community leaders and parents, etc., would be invited to attend a series of workshops to analyze the LCDS in greater detail and brainstorm on skills, knowledge and curriculum domains needed by UG graduates. Workshop participants would respond to UG proposals for curricula to be developed or revised, and/or propose new courses to be developed which the UG could take on board. Each year at this consultation a satisfaction survey would be administered to solicit feedback on the curricula developed. - Secondly, UG staff and technical assistants would search for needed curricula, practical assessment methodologies, and course content from international sources (on- line courses, downloadable open courseware, traditional courses which might be offered through institutional twinning relationships), and assess what curricula could be used/adapted for use by the UG and what curricula would need to be freshly developed. An internationally recruited curriculum reform process manager would structure and oversee this work. UG staff would be encouraged to develop relationships with university faculty overseas working in similar academic areas to learn and share, including those among the Guyanese diaspora who might wish to return to UG as guest lecturers. - Thirdly, instructional design and content specialists would work with UG faculty to develop new courses relevant to the LCDS, keeping in mind both applied constructivist instructional strategies and potential to offer courses on-line to a wider audience. This would be a form of on-the-job professional development for UG professors and lecturers. - Fourthly, both adapted and new courses, which have been reviewed and approved by the Dean of the faculty, would be piloted over the course of a semester, and then carefully evaluated by students and lecturers alike. Evaluation would feed back into course revision and finalization. - Finally, following standard procedures at the UG, new curricula and courses would be presented for review and approval to the Academic Board, after clearance from the Academic/Policy/Planning Committee. Both of these entities are long-standing statutory bodies at the UG. 4. Depending on the courseware being developed (single or multi-disciplinary, use of on-line methodologies, etc.) 3-5 UG lecturers per course would be mobilized on a voluntary basis. As this work would be beyond their normal workloads, lecturers would be offered incentives to participate in this process. In addition to the hands-on training in Page 3 instructional design and exposure to courseware available at the international level, lecturers would receive stipends for their time and expertise invested in producing revised/new curricula. Stipends would be based on current market rates for consulting by UG staff and the "level of effort" agreed to between the externally recruited curriculum reform process manager and the lecturer. Finally, lecturers' efforts in this curriculum reform process would be taken into account as part of their annual personal evaluations and career development, as is standard practice at the UG. 5. The domains of study relevant to the LCDS that the University has identified as requiring development include among others: - GIS and Remote Sensing - Climate Change and Climate Modeling - Hydrology (Water Resource Management) - Ground Water Management - Alternative Energy (bio fuels, solar energy, hydroelectricity etc.) - Agriculture Resources Management - Sustainable Forestry - Natural Resources Management - Food and Nutrition Technology - Biodiversity Inventory and DNA Analysis (in collaboration with international research centers) 6. Sub-component (b) (US$900,000) would provide funding to stimulate research relevant to the LCDS, with the aim of (a) supporting the development of a broader research/knowledge-generation culture at the UG, and (b) providing concrete examples of UG research, which directly contribute to the LCDS. Such examples might include: formulation of policy recommendations; development of LCDS-relevant services or products; generation of field research skills among UG graduates demanded in the labor market; production of industry-specific baseline information (water quality, timber supply, flora/fauna inventory) against which the impact of economic activities can be measured; studies of social groups affected by LCDS industrial development, etc. 7. UG staff has analyzed the LCDS to identify the most promising research topics. This research agenda would be further defined as part of the annual external consultations mentioned above related to curriculum reform. The UG Research and Publications Committee, an established statutory body with clear operating procedures, would review standardized research grant applications and apply common criteria to assess their relevance to the LCDS and potential for funding. An Environmental Specialist appointed to the PIU would review proposals before they are sent to the Research committee to check for any safeguards issues and will apply a screening checklist and guidelines included in the Environmental Framework. Preference would be given to research activities which engage students and even secondary level students in survey administration, data collection, data analysis, etc., as well as to research projects which involve external/international partners and/or generate co-financing. Grants would be relatively small (average grant size US$15,000), ranging from US$5,000-$50,000, and would be disbursed in several tranches to UG lecturers through the UG Bursar's Office Page 4 (which would be responsible for financial monitoring), upon approval from the Secretary of the UG Research and Publications Committee (the Registrar) and the Project Coordinator. Over the course of the Project approximately 50 research projects would be funded. In addition, at least one "researcher in residence" would be sponsored each year through this sub-component to conduct field-based scientific research at the Iwokrama Research Station, located in the heart of Guyana's rainforest. This would be for a full academic year to encourage UG lecturers and professors to pursue LCDS-related research and knowledge generation. 8. Implementation of this sub-component would feed directly into the Feasibility Study for the establishment of a larger Research and Innovation Fund (discussed in Component 3) that could mobilize funding from other partners, involve a broader set of stakeholders at the governance level, and promote the application of research for the development of marketable products and services aligned with the LCDS. 9. Component 2: Infrastructure rehabilitation (estimated total cost: US$6.2 million). This component would (a) improve the existing laboratory and building infrastructure at the four faculties, consisting of a total of 14 buildings and, as well as improve campus wide drainage; (b) provide these laboratories with basic scientific and multimedia equipment to enable the delivery of practical science education and research; and (c) support the establishment of a campus wide Internet network. 10. Sub-component (a) (US$5 million) on laboratory and building rehabilitation would first rehabilitate 14 science laboratory buildings in the four science faculties on the campus by improving the physical infrastructure to allow for basic teaching and research. The rehabilitation would include new floor surfaces, new cupboards, new water and power systems, new lighting, provision of air conditioning, new furniture, etc. The component would also address basic electrical, water, sewage, and roofing for the buildings in which the laboratories reside. Finally, the sub-component would address the campus-wide issue of appropriate drainage and pumps to avoid frequent flooding on the campus. 11. Sub-component (b) (US$840,000) would equip the labs with basic scientific equipment such as microscopes, slides, flasks, water testing kits, etc. as well as multi- media equipment. The equipment would be prioritized based on low operating costs, low level of technical skills for use and greatest benefit to students and faculty. 12. Sub-component (c) (US$360,000) would support the establishment of a campus wide Internet network to connect all faculties to the Internet and prepare the University to connect into an international link, which would be established as part of the e- government broadband network currently under construction (scheduled to be operational by end-2011). In conjunction with the connectivity, a set of software applications would be developed such as e-learning tools and digital content repositories to support the design and delivery of the new curriculum in component 1. Page 5 13. Component 3: Institutional Capacity Building (estimated total cost US$1.83 million). This component would support the building of institutional capacity at the University of Guyana to (a) improve facilities management and manage the Project; and (b) make strategic institutional decisions and enhance financial sustainability. 14. Sub-component (a) (US$1.39 million) would finance technical assistance to implement a comprehensive facilities management plan, including consultants and training in civil engineering and facilities management, essential to maintain and sustain the investments in basic infrastructure rehabilitation and equipment. 15. It would also support Project management by strengthening the existing capacity of the University with additional coordination, environmental management, and ICT capacities. Environmental and ICT consultancies would be contracted on an as needed basis. Additional monitoring and evaluation studies to assess the progress of the investments in achieving the PDO Indicators would be conducted by an independent organization. Also, in conjunction with the Project website, a crowdsourcing platform would be deployed using mapping, geo-spatial and social networking technologies to encourage student and community identification of challenges and progress in the implementation of the Project. Additional technical assistance would be provided to implement the Environmental Management Plan with an elaboration of a hazard assessment, laboratory protocols and chemical waste management guidelines. In addition, the financial management and procurement capacities would be strengthened at the Ministry of Education's Planning Unit. 16. Sub-component (b) (US$440,000) would provide essential technical assistance and capacity building for making strategic institutional decisions designed to increase the UG's relevance and impact related to the LCDS, and to enhance its financial sustainability. Four forward looking feasibility studies would be supported: (i) Viability assessment and Business Plan for a new Center of Excellence for the Study of Bio- Diversity; (ii) Options and Operational Manual for a multi-stakeholder Research and Innovation Fund to support generation of new knowledge and marketable products and services related to the LCDS; (iii) Establishment of a Business Development Unit, which would focus on connecting the UG's skills, expertise and facilities with external needs on a fee for service basis; and (iv) A detailed review of the UG's existing human resources to identify areas where efficiency and effectiveness of personnel allocation could be enhanced. All of these products would feed into a strategic plan for the University's growth and development. The existing strategic planning process of the University would be supported by the Project with modest amounts of technical assistance as needed. 4. Project Location and salient physical characteristics relevant to the safeguard analysis 17. The University of Guyana (with about 5,500 students) main campus ¨Turkeyen Campus¨ is located in Georgetown, capital of the country, in a costal floodplain (2m above sea level) at about 1.5 kilometres inland from the coastline. Due to its location, the Turkeyen campus is subject to the effects of floods, university buildings were inundated Page 6 during the floods of 2005 and 2007. The project will search for potential measures to reduce the effects of flooding in the campus and improve drainage and water systems. In the forty plus years of operation, the campus has grown from a student and staff population of 164 when it opened in 1970 to its current population of 6,500 students and staff. The buildings from this period and the infrastructure that services (including sewage system) them have together deteriorated through time, coupled with an increase in usage that in all probability far exceeded what was originally envisaged by the designers. This has been further compounded by a history of inconsistent maintenance and repairs of variable quality. The more recent structures have their own challenges including but not limited to issues of design, material specification, inadequate building systems and services and construction quality which are further exacerbated by having to rely on an undersized and aging services infrastructure while accommodating increasing numbers of students and staff. 18. The indigenous peoples of Guyana are collectively known as Amerindians and are believed to number between 40,000 and 80,000 people, roughly 5 percent to 10 percent of Guyana's approximately 800,000 total population. Given that the research activities could potentially take place in areas occupied, used or claimed by Amerindians, an unknown number of indigenous peoples could potentially be affected. For example, at least one "researcher in residence" would be sponsored each year to conduct field-based scientific research at the Iwokrama Research Station, located in the heart of Guyana's rainforest. This would be for a full academic year and encourage lecturers and professors to pursue LCDS-related research and knowledge generation. 19. Iwokrama presents a number of opportunities for synergies with the Project. Firstly, Iwokrama is located on Amerindian lands within the jurisdiction of the North Rupununi District Development Board (NRDDB). Iwokrama maintains excellent working relations with the NRDDB that is recognized locally, nationally and internationally as a legitimate body that serves the purpose of consultation and collaboration for social and economic development in the 16 predominantly Amerindian communities located in the North Rupununi. Iwokrama officials have agreed to facilitate the process of obtaining broad community support and permits required to conduct research in areas occupied or used by Amerindian communities. Finally, Iwokrama's experience managing its four core self-supporting businesses (selective timber harvesting, eco-tourism, forest management training and forest's services) - and innovative governance models of business development (which include private sector and local community participation through shareholding agreements), present excellent opportunities for University of Guyana researchers dedicated to developing socially optimal LCDS-relevant services or products. 5. Environmental and Social Safeguards Specialists Mr Jason Jacques Paiement (LCSSO) Ms Ruth Tiffer-Sotomayor (LCSEN) Page 7 6. Safeguard Policies Triggered Yes No Environmental Assessment (OP/BP 4.01) X Natural Habitats (OP/BP 4.04) X Forests (OP/BP 4.36) X Pest Management (OP 4.09) X Physical Cultural Resources (OP/BP 4.11) X Indigenous Peoples (OP/BP 4.10) X Involuntary Resettlement (OP/BP 4.12) X Safety of Dams (OP/BP 4.37) X Projects on International Waterways (OP/BP 7.50) X Projects in Disputed Areas (OP/BP 7.60) X II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the proposed project. Identify and describe any potential large scale, significant and/or irreversible impacts: 20. The Indigenous Peoples policy is triggered because some of the research activities funded through component 1 could take place in areas where Indigenous Peoples are present or maintain collective attachments. The Involuntary Resettlement policy is not triggered as none of the project activities will require the involuntary taking of land or restrictions of access to legally designated parks or protected areas. 21. The proposed Education Quality Improvement Program offers the potential for 'inclusive' curriculum development and research which benefit rural (particularly Amerindian) populations. To ensure that the Amerindian communities are fully consulted and engaged in the planning and implementation phases of these research activities, an Indigenous Peoples Planning Framework (IPPF) has been drafted. The IPPF was discussed with Amerindian Peoples representatives in order to ensure that their concerns are effectively taken into consideration during the curriculum reform process as well as any potential research or activities that may be conducted in indigenous communities. The IPPF also includes a specific instrument designed to screen and classify the nature and scope of any potential impacts on Amerindians that could result from any proposed research activities. This tool will be included in the Operational Manual so as to constitute an essential element of each research proposal that the interested UG Faculty Members will submit to the Research and Publications Committee for evaluation. Environment 22. The Project includes environmental considerations that were developed during Project preparation to ensure the Project's environmental sustainability and its compliance with Guyana national regulations and The World Bank Group's Safeguards policies. The Project has been qualified as 'Category B,' following OP/BP 4.01 - Environmental Assessment. The main environmental impacts expected from the Project would be those connected to the rehabilitation works planned under Component 2. The Page 8 potential impacts of the civil works are going to be localized, low magnitude and possible to mitigate or prevent by following the measures, recommendations and guidelines described in the Environmental Management Plan (EMP). The ES will develop a training program (following the recommendations of the EMP) for contractors and staff responsible for the management of science laboratories and hazardous materials. 23. Under Component 1-Sub-component (b) the Project would provide funding to research studies to stimulate the LCDS. Research activities could involve, among others, the collection of flora and fauna samples and manipulation of biodiversity assets. In order to prevent environmental risk, an Environmental Management Framework (EMF) was prepared which includes environmental criteria and a checklist procedure that will be completed by the ES to screen out high environmental risk proposals. 24. The triggering of OP/BP 4.04 - Natural Habitats, OP/BP 4.09 - Pest Management and OP/BP 4.36 - Forests, is to ensure that safeguards issues are considered during the screening process of research proposals and activities undertaken by this Component. First, for Natural Habitats OP/BP 4.04, under Component 1, the EQIP would support only proposals that would not harm these ecosystems and species or could increase its vulnerability to anthropogenic interventions. Although no alteration of natural habitats is expected, each eligible research proposal would be subject to a risk screening process to minimize the risks of negatively affecting these habitats. Screening criteria will take into account the Guyana legal framework of national protected species as well as those included in the International Union for Conservation of Nature (IUCN) Red List of threatened species. Also the EMF will ensure compliance of research proposals with the Convention on Biological Diversity and its amendments. 25. Next, for Forests OP/BP 4.36, forest lands cover about 80% of the Guyana territory. National efforts are underway through the LCDS to limit forest-based greenhouse gas emissions and protect its rainforest as an asset for the world through the REDD-plus mechanism. This safeguard is activated in order to ensure that proposals presented to the EQIP would not promote deforestation of these lands but promote conservation and its sustainable use. Finally, for Pest Management OP/BP 4.09, the pest management control is an integral part of the Teaching and Research activities of the Faculty of Agriculture. This safeguard is triggered in order to ensure adequate selection of proposals to avoid unintended environmental impacts. The Project cannot provide support for the purchase or use of chemicals listed as Class II and Class 1a and 1b by the World Health Organization (WHO). Other safeguards 26. Since only rehabilitation works are planned to be developed by the Project on existing science buildings, intervention of new areas or removed soil activities are not expected, the Physical Cultural Resources OP/BP 4.11 was not triggered. The location of the Project site (University of Guyana campuses) is not part of an international waterway or a disputed area. Thus, the Safeguards Policies of International Waterways OP/BP 7.50 and Projects in Disputed Areas policy OP/BP 7.60 were not triggered. The project does Page 9 not include any activity related to dams or hydropower development, thus the Safety of Dams policy OP/BP 4.37 was not triggered. Procurement Plan 27. In order to ensure environmental sustainability of the Project, allocation of funds has been secured in the procurement plan to cover the cost of implementing the EMF and hiring the Project Environmental Specialist (ES). Monitoring 28. The Project ES will perform project monitoring activities and prepare environmental audit reports which will be available for supervision missions. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: 29. The environmental and social impacts of the project activities under Component 2- rehabilitation works of Science Buildings are expected to be of low magnitude and localized, but these could have a duration of several years in the University campuses. The EMP will include a description of the potential impacts and appropriate mitigation measures to reduce or avoid these impacts. 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. 30. Not relevant. 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. 31. An Environmental Assessment and Environmental Management Plan has been developed to (i) prevent, reduce and mitigate any potential impact related to the construction works of the Component 2 and an Environmental Management Framework was elaborated to (ii) guide the selection of research projects under Component 1 to avoid unintended environmental impacts related to these research activities and identify any potential safeguard issues. 32. Also an Environmental Specialist will be named as part of the University Implementation Unit and this person will supervise the implementation of the EMP and the EMF. Periodic reports will be prepared and will be available for review for the Bank. 33. Currently, the University of Guyana faces important challenges related to the environmental management of solid, biological and chemical wastes. The University lacks laboratory protocols, environmental guidelines and procedures. The project will support the Borrower in improving the management of these environmental issues through technical assistance for the preparation of a hazard assessment, chemical waste management plan and laboratory guidelines. Page 10 34. The capacity of the University of Guyana to design and execute the Project would need to be further assessed and strengthened as existing management challenges exist - particularly with facilities management. In addition, the University presently has limited capacity to implement and maintain the rehabilitation of laboratories, effectively use the equipment and execute research - all of which may result in poor implementation and subsequent impact on the Project development objective. Capacity risks are being mitigated through building capacity development into the Project's components, including incentives/grants for professors to engage in activity-based learning and research; technical assistance for curriculum design, facilities management, and environmental management; and a set of studies to support strategic planning capacity at the University. 35. Project implementation arrangements have been designed to take advantage of existing capacities and comparative advantages within the University of Guyana and Ministry of Education. The Planning Unit of the Ministry of Education, which currently manages two other Bank-supported education projects, would supply fiduciary services (financial management and procurement). The University of Guyana would have primary responsibility for Project coordination and for the technical implementation of the Project through a Coordination and Technical Office located in the UG's Vice-Chancellor's office. This would ensure that the University remains responsible for all technical aspects, at the same time as existing (and scarce) fiduciary management capacity within the Ministry of Education is tapped and strengthened. A subsidiary agreement between the Ministry of Education and the University of Guyana would be prepared before negotiations and signed before effectiveness. 36. The PC would be recruited on a competitive basis based on qualifications, experience and TORs finalized before negotiations, satisfactory to the Bank, and hired as a condition of effectiveness. A technical team located in the University's Coordination and Technical Office and financed by the Project, would report to the PC. This team would be comprised of consultants covering curriculum reform, facilities management, and ICT. An Environmental Specialist (ES) would also join this team. The ES would be responsible for supervising the implementation of the Environmental Management Plan (EMP) and all aspects of the Environment Management Framework (EMF) and providing progress reports to the Bank. The ES would work very closely with the facilities management staff in charge of the rehabilitation works. 37. For each faculty to be strengthened by the Project, a representative would be appointed by the Vice Chancellor who would be responsible for preparation of that faculty's Annual Implementation Plan under the guidance of the Project Coordinator. Such a plan would include specification of that faculty's implementation objectives for that year in a time-bound fashion, which would comprise the technical specifications of materials, equipment and supplies to be procured by the Project for that faculty; key curricular areas and programs that require review through EQIP and names of faculty interested in this reform; the numbers of students affected by these investments disaggregated by gender; quarterly milestones for monitoring of implementation; and other aspects which might be devised. Page 11 38. In addition to the faculty representatives, the Vice Chancellor would name someone responsible within the facilities and maintenance department who would provide assistance to the Project Coordinator, faculty representatives and other key staff in the implementation of infrastructural improvements and laboratory renovation (including installation of equipment). This Facilities Management Coordinator will also be responsible for submitting to the Project Coordinator the annual inventory of buildings and equipment affected by the Project as well as the annual maintenance and repair budget to ensure that investments financed by the Project are fully operational on a sustainable basis. 39. Operational Manual (OM). The OM would include detailed guidelines for implementation of the Project components, TORs for all key personnel and activities, details for selection and functioning of the Project Steering Committee, procurement, financial management, safeguards, monitoring and evaluation, etc. A draft OM would be prepared prior to loan negotiations and would be approved before the loan effectiveness date. A Project website would be established early in Project implementation, which would provide full transparency on decisions taken by the Project Steering Committee, project supervision and results (Aide Memoires), procurement contracts, etc. The website would also host mapping and crowd-sourcing functionality to support the monitoring and evaluation of the Project. 40. Furthermore, the research agenda will be defined as part of the annual external consultations related to curriculum reform. The UG Research and Publications Committee, an established statutory body with clear operating procedures, would review standardized research grant applications and apply common criteria to assess their relevance to the LCDS, potential for funding and safeguards issues. The EMF will define a Screening and Environmental Guide to ensure clearance of any potential environmental safeguards issues. The Research and Publications Committee will use the screening tool developed as part of the Indigenous Peoples Planning Framework to identify the nature and scope of any potential impacts on Amerindians that could result from any proposed research activities. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. 41. Following, the Environmental Assessment World Bank Policy (OP 4.01), an EMF and an EMP were prepared through strong coordination with the University of Guyana. Formal meetings, workshops and consultations have been carried out to inform and receive recommendations and inputs from the university community, representatives of NGOs and Environmental Authorities about these documents. Students and professors participated very actively and were very enthusiastic not only about the Project's expected results, but for a better environmental management of issues related to operation of science laboratories and biological and hazardous waste management. Thus, it is expected that the Project can help improve environmental management of the University campus. The EMF and EMP have been publicly disclosed prior to Appraisal through the ¨Infoshop¨ in Washington and within Guyana, on the University of Guyana website. Page 12 B. Disclosure Requirements Date Environmental Assessment/Audit/Management Plan/Other: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 04/20/2011 Date of "in-country" disclosure 04/21/2011 Date of submission to InfoShop 04/21/2011 For category A projects, date of distributing the Executive Summary of the EA to the Executive Directors Resettlement Action Plan/Framework/Policy Process: Was the document disclosed prior to appraisal? N/A Date of receipt by the Bank Date of "in-country" disclosure Date of submission to InfoShop Indigenous Peoples Plan/Planning Framework: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 04/20/2011 Date of "in-country" disclosure 04/21/2011 Date of submission to InfoShop 04/21/2011 Pest Management Plan: Was the document disclosed prior to appraisal? N/A Date of receipt by the Bank N/A Date of "in-country" disclosure N/A Date of submission to InfoShop N/A * If the project triggers the Pest Management and/or Physical Cultural Resources, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: C. Compliance Monitoring Indicators at the Corporate Level (to be filled in when the ISDS is finalized by the project decision meeting) OP/BP/GP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) report? Yes If yes, then did the Regional Environment Unit or Sector Manager (SM) review and approve the EA report? Yes Are the cost and the accountabilities for the EMP incorporated in the credit/loan? Yes OP/BP 4.04 - Natural Habitats Would the project result in any significant conversion or degradation of critical natural habitats? No Page 13 If the project would result in significant conversion or degradation of other (non-critical) natural habitats, does the project include mitigation measures acceptable to the Bank? N/A OP 4.09 - Pest Management Does the EA adequately address the pest management issues? Yes Is a separate PMP required? No If yes, has the PMP been reviewed and approved by a safeguards specialist or SM? Are PMP requirements included in project design? If yes, does the project team include a Pest Management Specialist? N/A OP/BP 4.10 - Indigenous Peoples Has a separate Indigenous Peoples Plan/Planning Framework (as appropriate) been prepared in consultation with affected Indigenous Peoples? Yes If yes, then did the Regional unit responsible for safeguards or Sector Manager review the plan? Yes If the whole project is designed to benefit IP, has the design been reviewed and approved by the Regional Social Development Unit or Sector Manager? N/A OP/BP 4.36 - Forests Has the sector-wide analysis of policy and institutional issues and constraints been carried out? Yes Does the project design include satisfactory measures to overcome these constraints? Yes Does the project finance commercial harvesting, and if so, does it include provisions for certification system? N/A The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the World Bank's Infoshop? Yes Have relevant documents been disclosed in-country in a public place in a form and language that are understandable and accessible to project-affected groups and local NGOs? Yes All Safeguard Policies Have satisfactory calendar, budget and clear institutional responsibilities been prepared for the implementation of measures related to safeguard policies? Yes Have costs related to safeguard policy measures been included in the project cost? Yes Does the Monitoring and Evaluation system of the project include the monitoring of safeguard impacts and measures related to safeguard policies? Yes Have satisfactory implementation arrangements been agreed with the borrower and the same been adequately reflected in the project legal documents? Yes Page 14 D. Approvals Signed and submitted by: Name Date Task Team Leader: Mr Robert J. Hawkins 04/21/2011 Environmental Specialist: Ms Ruth Tiffer-Sotomayor 04/21/2011 Social Development Specialist Mr Jason Jacques Paiement 04/21/2011 Additional Environmental and/or Social Development Specialist(s): Approved by: Sector Manager: Ms Chingboon Lee 04/21/2011 Comments: