E4693 Autonomous Bougainville Government Autonomous Bougainville Government (ABG) Inclusive Development in Bougainville Project (IDIB) ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK Final – 17 November, 2014 i Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Autonomous Region of Bougainville Inclusive Development in Bougainville Project ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) Table of Contents 1 INTRODUCTION .................................................................................................................. 1 1.1. Purpose of the Environmental and Social Management Framework ..........................................................1 1.2. Project Description ...........................................................................................................................................2 1.2.1 Project Development Objective 2 1.2.2 Project Components 2 1.3 Basic Geography ................................................................................................................................................4 1.3.1 Existing Physical Environment 4 1.3.2 Social-Cultural Environment 5 1.4 Project Location .................................................................................................................................................5 2 LEGAL SETTING AND REGULATORY FRAMEWORK FOR ENVIRONMENTAL AND SOCIAL SAFEGUARDS ................................................................................................... 7 2.1 PNG Legislation, Regulations and Policies ......................................................................................................7 2.1.1 Environmental Legislation 8 2.2 International Conventions and Regulations .................................................................................................. 10 2.3 Application of World Bank Environmental and Social Safeguard Policies ................................................ 10 2.4 Relationship between the ABG and WB safeguard requirements .............................................................. 13 3 PROJECT INSTITUTIONAL ARRANGEMENTS FOR ESMF IMPLEMENTATION 14 3.1 Roles and responsibilities for implementation and monitoring safeguard compliance ............................. 14 3.1.1 Role of Autonomous Bougainville Government (ABG) 16 3.1.2 Role of ABG Division of Community Development (DCD) 16 3.1.3 Role of the IDIB Project Management Unit (PMU) 17 3.1.4 IDIB Project Steering Committee (PSC) 17 3.1.5 Role of the Project Grants Committee (PGC) 18 3.1.6 Role of the Bougainville Women’s Federation (BWF) 18 3.1.7 Role of the Council of Elders (CoE) 18 3.1.8 Role of the Community Development Workers (CDWs) and District Community Development Officers (DCDOs) 18 3.1.9 Role of the Environmental Champion 18 ii Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 3.1.10 Divisional technical staff 19 3.1.11 Independent monitoring body 19 3.1.12 Inter Donor Collaboration 19 3.1.13 Role of the World Bank 19 4 SAFEGUARD PROCEDURES ........................................................................................... 20 4.1 Key Steps .......................................................................................................................................................... 20 4.1.1 Scoping and Screening Process in Preparation Phase 21 4.1.2 Safeguards Implementation and Management 22 4.1.3 Safeguards Monitoring and Audit 23 5 COMMUNITY PARTICIPATION, INFORMATION DISCLOSURE, GRIEVANCE AND CAPACITY BUILDING................................................................................................... 25 5.1 Key Principles of Consultation ....................................................................................................................... 25 5.2 Community Participation................................................................................................................................ 25 5.3 Information Disclosure .................................................................................................................................... 26 5.4 Grievance Resolution ....................................................................................................................................... 27 5.5 Capacity building ............................................................................................................................................. 27 5.5.1 Awareness-Raising 28 5.5.2 Training for Grant Recipient and project team 28 ANNEX 1: DISCUSSION OF RELEVANT LAWS, POLICIES AND CUSTOMS THAT MAY AFFECT THE IDIB ......................................................................................................... 29 ANNEX 2: NEGATIVE LIST - SCREENING FOR INELIGIBLE PROJECTS .............. 31 ANNEX 3: ENVIRONMENTAL CODES OF PRACTICE AND TECHNICAL GUIDELINES FOR COMMUNITY DRIVEN DEVELOPMENT SUB-PROJECTS ........ 32 ANNEX 4: PROTECTION AND MANAGEMENT OF PHYSICAL CULTURAL HERITAGE AND RESOURCES .............................................................................................. 38 ANNEX 5: CLAN LAND USE AGREEMENT ...................................................................... 40 ANNEX 6: ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING AND MANAGEMENT ........................................................................................................................ 44 ANNEX 7: GRIEVANCE REDRESS MECHANISM........................................................... 54 iii Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ANNEX 8: SUMMARY OF COMPLIANCE WITH SAFEGUARDS POLICY OP 4.10, INDIGENOUS PEOPLES.......................................................................................................... 59 iv Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ACRONYMS ABG Autonomous Bougainville Government ARB Autonomous Region of Bougainville BP Bank Procedures (of the World Bank) BEC Bougainville Executive Committee BWF Bougainville Women’s Federation CDD Community Driven Development CDW Community Development Worker CoE Council of Elders (district level) DCDO District Community Development Officer DCD Division of Community Development (of ABG) DEC Department of Environment and Conservation DPE Department of Petroleum and Mining DTF Department of Treasury and Finance (of ABG) DFAT (Australian) Department of Foreign Affairs and Trade EA Environmental Assessment (of the World Bank) ECOPs Environmental Codes of Practice EIA Environmental Impact Assessment (of DEC) EIS Environmental Impact Statement (of DEC) EMP Environmental Management Plan ES Environmental and Social Specialist (ABG) ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan GoPNG Government of Papua New Guinea GRM Grievance Redress Mechanism IPPF Indigenous Peoples Policy Framework M&E Monitoring and Evaluation MIS Management Information System OP Operational Policy (of the World Bank) PMU Project Management Unit (within ABG DCD) PNG Papua New Guinea PSC Project Steering Committee UNDP United Nations Development Program WB World Bank v 1 INTRODUCTION 1.1. PURPOSE OF THE ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK The overall objective of the Environmental and Social Management Framework (ESMF) is to provide guidance and processes to the project planners, proponents and implementers of the Inclusive Development in Post-Conflict Bougainville (IDIB) in identifying, appraising and implementing sub-projects to adequately address and mitigate adverse environmental and social impacts that potentially may be generated by the sub-project activities. The ESMF is prepared to guide investments that may generate any adverse environmental or social impact. This is also to ensure that the project complies with the Government of Papua New Guinea (GoPNG) and the World Bank’s safeguards policies and that appropriate institutional and capacity building arrangements are established and strengthened through the project. The ESMF establishes the objectives, procedures, institutional framework and implementation arrangements for identifying, managing and monitoring potential environmental and social impacts of the project activities. It is the key safeguard instrument to screen and identify eligible and ineligible sub-projects based on the Bank’s and Government’s environmental and social safeguard policies and laws, determine specific mitigating measures to reduce or eliminate potential negative impacts, and identifies responsibilities among the different IDIB implementing partners. In addition, it provides mechanisms for public consultation and disclosure of project documents as well as redress of possible grievances. Specifically the ESMF will provide guidance on the following: • The relevant GoPNG and World Bank laws, regulations, policies and procedures that govern the environmental and social safeguards that apply under the IDIB; • The processes to be applied and the responsibilities for ensuring and carrying out relevant activities that would safeguard against environmental and social risks; • The types of sub-project that due to their nature or location would be ineligible for support under the IDIB due to the environmental and social safeguards requirements of the project; • The issues that need to be considered in screening sub-project proposals to identify the types of mitigating measures or actions to avoid environmental or social risks • A set of standard/generic Environmental Codes of Practice (ECOPs) that would assist communities and IDIB entities (ABG, ABG Divisions, Regions, District, Council of Elders (CoE) units) in identifying and monitoring application of the relevant mitigating measures; • A simple format for an Environmental and Social Management Plan (and a Clan Land Use Agreement for the donation of land, if required) that would be developed for each sub-project that requires specific mitigating actions; • Implementation responsibilities including monitoring and reporting arrangements for the ABG/PMU, PMU, Districts, CoE, and the World Bank supervision arrangements; • Establishing a Grievance Redress Mechanism (GRM) that would facilitate the 1 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework provision of feedback or complaints on all aspects of project implementation including environmental and social safeguards issues for beneficiary communities. 1.2. PROJECT DESCRIPTION The Inclusive Development in Post-Conflict Bougainville (IDIB) is a 3-year pilot project jointly financed and implemented by the GoPNG and the World Bank. DFAT is also financing the independent monitoring of the project. The project shall be implemented across the ARB and can be scaled up depending on the results and outcomes. IDIB shall support the current directions of GoPNG with regard to improving service delivery at the local level, consistent with priorities expressed in the Vision 2050 document and the PNG Development Strategic Plan 2010-2030. This document complements existing policy and planning tools such as the ABG Medium Term Development Plan and the Four Pillars of Development: Bougainville Development Priorities. IDIB shall actively seek the participation of other development partners during pilot implementation. 1.2.1 PROJECT DEVELOPMENT OBJECTIVE The weakened capacity of women as agents of change within their communities and the low capacity of government departments working at the local level in the post-conflict era are widely viewed as significant challenges to development efforts. The primary beneficiaries of IDIB will be women and women’s organizations, with secondary beneficiaries being those communities where grant sub-projects are to be implemented and the individuals and agencies who will receive training as part of the Project’s activities. IDIB aims to contribute to the rebuilding of post-conflict social capital in Bougainville at the community level by:  Strengthening capacity of women’s organizations and CSOs that support the involvement of women in development activities, and which advance the priorities of women in development to initiate and manage development activities; and  Increasing the implementation of community development activities which are more inclusive of women in planning and decision-making processes, and which more explicitly focus on the development priorities of women. 1.2.2 PROJECT COMPONENTS The IDIB has three main components: (i) Building Capacity for Inclusive Community Development; (ii) Small Grants for Inclusive Community Development; and (iii) Project Management, Knowledge Sharing and Networking. These three components are described in more detail below. Component 1: Building Capacity for Inclusive Community Development This component shall be undertaken through two modes of delivery: 2 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework  Strengthening Capacity for Inclusive Community Development – This includes the design and delivery of training to build capacity of both civil servants of the ARB at central, district, sub-district, and local levels, and of civil society, for generating and implementing community development activities in a post-conflict environment, and in particular activities which are more inclusive of women; and  Strengthening CSOs in support of women – This involves carrying out a training needs assessment and, based on the results of such assessment, design and deliver training modules to strengthen women’s organizations and CSOs. Component 2: Small Grants for Inclusive Community Development This component shall be delivered through two modes of support:  Inclusive Development Grants – This involves the provision of Inclusive Development Grants to women’s organizations and CSOs that support the involvement of women in development activities to implement community development activities which advance the priorities of women in local development and which increase the ability of women to initiate and manage development activities; and  Implementation Support – This sub-component includes the provision of implementation support to eligible recipients of Inclusive Development Grants for technical support in the areas of procurement; financial management; reporting, and management of environmental and social impacts. Component 3: Project Management, Knowledge Sharing and Networking Project Management and Monitoring and Evaluation (M&E) – This includes the following activities: i. Management and coordination of the day-to-day implementation of the Project, including financial management, accounting, procurement, M&E, supervision activities, and audits of Project accounts and reporting, through the provision of technical assistance; ii. Facilitate Provincial Grants Committee (PGC) meetings; iii. Secretariat support to the Project Steering Committee (PSC); and iv. Preparation of the Project Operations Manual (POM). Knowledge Sharing and Networking – This includes the following activities: i. Organization of meetings to exchange knowledge between recipient staff at central and local level and civil society representatives that have been engaged in the Project; and ii. Dissemination through easily accessible media (such as radio, posters, and traditional means of communication) of lessons-learned to communities throughout Bougainville. 3 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 1.3 BASIC GEOGRAPHY Papua New Guinea (PNG) is located within the tropical zone (latitude 0o (equator) to 12o S and longitude 141o E to 156o30‘ E (Figure 1). It shares international land boundary with Irian Jaya Province, Indonesia to the west and Australia lies to the south. PNG has total land area of 462 842 sq km and only 27 percent is occupied by people. The land is covered with tropical type vegetation of comprising forests (360 000 sq km), rivers, 10 940 sq km, coastline (5 152km), reefs (40 000 sq km), 5 380 lakes, and vast areas or grasslands and savannah woodlands. PNG's varied physical geographic scenery reflects a generally recent geologic history. The movements of the Earth's crust resulted in the collision of the northward-moving Australian Plate with the westward-moving Pacific Plate and the consequential folding creating Fold Mountain ranges. The low-lying plains of southern New Guinea are geologically part of the Australian Plate. Indeed, New Guinea was separated physically from Australia only 8,000 years ago by the shallow flooding of the Torres Strait. The southern New Guinea plains, called the Fly-Digul shelf after the Fly and Digul rivers, are geologically stable but very sparsely populated by semi- nomadic sago gatherers. PNG has four main geopolitical regions including Southern, Highlands, Momase, and Highlands which contain country‘s general cultural, geographic, and political features impacting on socioeconomic development initiatives. The country has 22 provinces, 89 districts and 313 Local Level Government Units. PNG has a diversity of cultural and biological resources which are mostly managed under traditional communal landownership (97 percent) with only 3 percent owned by the state. 1.3.1 EXISTING PHYSICAL ENVIRONMENT The main ecosystems of PNG include littorals or mangrove forests, swamplands, lowlands forests, savannah, grasslands, tropical rainforest and mountain type vegetation. The relief and landforms play a part in distribution or density of various flora and faunal species. The ragged mountainous terrains and swampy landscapes are also blamed for topographic difficulty in carrying out infrastructure development for effective delivery of goods and services to the rural areas of PNG. The natural environment of PNG contains unique and diverse forms of flora and fauna, comparable to global scales. The forests of PNG are the third largest block of intact tropical forest in the world. The country has significant forest resources that have been commercially exploited through industrial scale developments since the 1970s. Estimates of PNG‘s forest resources vary between 26.1 million hectares to around 33 million hectares or approximately three-quarters of PNG‘s land mass. The forests PNG are generally referred to as tropical rainforests, monsoonal forests, savannah Woodlands or Gallery forests zoned attitudinally as either a lowland or montane locality. PNG‘s rich ecosystems contain considerable biodiversity. Varying rainfall, temperature differences, altitude, soil, geological and history of natural disturbances have greatly contributed to the wide variety of biological compositions and distribution in PNG. The flora and fauna is diverse and pristine with comparable capacity or value to other parts of the world. The terrestrial 4 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework and aquatic, marine and coastal flora and fauna has range of values and most are yet to be fully understood for economic development. The geological activities of volcanism, earth movements and subsequent mountain building processes contributed to the formation of the valuable mineral resources which are currently being mined. Extractive industries in some areas have led to major environmental disasters that include massive deforestation, pollution from mines (including along the Fly River of Western Province), flooding and severe droughts. 1.3.2 SOCIAL-CULTURAL ENVIRONMENT PNG has over 800 languages and cultural groups while natural environment is a niche to variety of biological species, mineral, petroleum and energy resources, and fresh air generated from natural primary forests. The aquatic environments and resources of both freshwater and saltwater origin are also naturally healthy as the terrestrial environments, except for areas under mining, logging, petroleum, commercial agriculture and transportation infrastructures development corridors. The country contains a range of protected, endemic, endangered, and rare biological species, while there are also various sites of significance to culture and heritage. These environmental conditions are vital to livelihood of the majority of the rural population for food, shelter, clothing, beverages, aesthetics and modern economic opportunities. In PNG, more than 80 percent of the country's population lives in rural areas. Rural settlement patterns are extremely varied. In isolated areas of the southern interior there still remain a handful of the previously common giant communal structures that house the whole male population, with a circling cluster of women's huts. In many coastal areas, villages stretch between the beach and an inland swamp in long lines usually broken into clan or family segments. Nearly all socio-economic indicators are significantly worse in rural areas than in towns and cities. Poverty in PNG is defined also in terms of lack access to functional basic infrastructure. A significant proportion of the population is unable to take advantage of basic public infrastructure and services. In 2006, an estimated 39 percent of Papua New Guineans lived on less than US$1 per day. Fifty-three percent of the population now lives below the national poverty line, and the share of rural poverty is estimated to be around 85 percent. Bougainville had a decade-long civil war in the 1990/2000s in which tens of thousands of people were killed and infrastructure was destroyed in a fight for independence. In recent years, peace has been maintained in the region, however most basic services are limited or remain absent, particularly in rural area. 1.4 PROJECT LOCATION The project will be located in the Autonomous Region of Bougainville (ARB). The ARB was once formerly known as North Solomon’s Province. It is now an autonomous region in PNG and is the largest of the Solomon Islands group. ARB has a population of approximately 200,000 and over a dozen language groups. The capital is temporarily Buka, though it is expected that 5 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Arawa will once again become the capital of Bougainville. The ARB is located at the eastern most point of the New Guinea Islands and is comprised of two large and many smaller islands. The largest island is Bougainville Island, and the ARB also includes the adjacent island of Buka and assorted outlying islands including more than 200 outlaying islands of which one third make up the three atolls groups. The atoll groups are Nissan, Carterets and the Mortlock/Nuguria, the latter have a colourful history of Polynesian origins. The ARB is made up of 3 Regions (North, Central and South) and has 13 Districts and 41 Council of Elders as outlined in Table 1 below. Table 1 Regions and Districts in ARB: Region Regional HQ District / Council of Elders Northern Buka Atolls Buka Kunua Nissan Selau Suir Tinputz Central Arawa-Kieta Kieta Panguna Wakunai Southern Buin Bana Buin Siwai Torokina IDIB grants will be made available to eligible CSOs across the three regions of Bougainville: North, South and Central. Subprojects will only be implemented in rural areas. If demand is low in one of the two of these regions, additional efforts to mobilize communicate and build the capacity of women’s organizations in these areas will be made. 6 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Figure 1: The Map of Autonomous Region of Bougainville 2 LEGAL SETTING AND REGULATORY FRAMEWORK FOR ENVIRONMENTAL AND SOCIAL SAFEGUARDS The relevant environmental safeguard policies to be applied to the IDIB are based on the GoPNG Department of Environment and Conservation (DEC) environment management guidelines or laws including the requirements for Environmental Assessment of impact development projects and the World Bank. The provisions for strengthening environmental management in Papua New Guinea are enshrined in the National Constitution and the relevant Environmental Regulations such as Environment Act 2000, Land Act, Mining Act, Oil and Gas Act 1998, Water Resources Act, Protection (Fauna) Act and others. The communities which propose sub-projects, and the ABG DCD that oversees the implementation of the IDIB, are required to observe various acts while compliance monitoring is provided by the related government departments and statutory agencies. 2.1 PNG LEGISLATION, REGULATIONS AND POLICIES Development activities affecting the people and the environment must take account of relevant guiding principles or laws. The constitution of the country sets the foundation and accompanying acts must be closely observed in order to attain sustainable positive benefits. PNG has vital laws that address the environmental aspects of development directly or indirectly. The laws, Acts and policies most relevant to the proposed rural projects are briefly discussed below. A more detailed discussion of related laws, policies and customs is contained in Annex 1. The PNG DEC is the national agency responsible for the development and implementation of the Government’s environmental sustainability policies and programs. DEC is responsible for 7 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework environment regulation for all the major industry sectors in the country, management of water resources, and for conservation of bio-diversity in compliance with national legislation and international conventions. DEC’s specific responsibilities regarding environmental protection are derived from the Environment Act of 2000 and regarding conservation from the Conservation Areas Act of 1978, and related legislation. DEC has undergone a regulatory reform process in line with other public sector reforms and institutional structure for environmental management has changed. DEC has key strategic directions opting to move away from a central management to a national, provincial and community oriented management system (DEC, 1996). DEC provides the environmental regulatory framework and monitors compliance by the various developers working in the country. 2.1.1 ENVIRONMENTAL LEGISLATION The environmental regulations of the GoPNG are derived from the Environment Act of 2000. The Environmental Act incorporates three previous Acts; Environmental Planning Act (1978), Environmental Contaminants Act 1982, and the Water Resources Act 1982. The Environment Regulation of 2002 (Prescribed Activities) requires project proponents to identify the likely nature and magnitude of environmental and social impacts of development projects, and to identify and implement mitigation strategies to address and reduce these impacts. The regulation categorizes projects into three levels: • Level 1 activities: require a minimum level of environmental protection. Regulation of such activities will be based on standards, codes and regulations that set benchmarks for environmentally acceptable activities. For example, maximum discharge levels, ambient quality standards for receiving environment, codes of practice, and best practice guidelines. In cases of non-compliance, environmental protection orders, clean-up orders and emergency directions may be issued. • Level 2 activities: require a framework of environmental approvals allowing for water discharge permits, or licensing for importation, sale and use of environmental contaminants (hazardous chemicals) and for site-specific environmental conditions to be set for these activities which have more significant potential impacts. Level two activities will be regulated by means of conditions in environmental permits, environmental improvement plans and environmental management programs. • Level 3 activities: those with the potential of major environmental impact and are projects of national significance or of large scale. Such activities will be subject to a process of public and detailed considerations of environmental implication through the Environmental Impact Assessment process. Each category implies a different approach to environmental assessment and management, as outlined in Figure 2. 8 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Figure 2: Environmental Assessment Process in PNG Projects that are likely to have significant adverse environmental impact (Level 2 and Level 3) are required to obtain an Environmental Permit (EP) from the DEC following the relevant environmental assessment. All IDIB subprojects are limited in scale and will be classified as Level 1 and therefore do not require an EIA or environmental permit. Should an activity likely qualify as Level 2 or higher, the sub-project would either need to be redesigned or deemed ineligible for financing under the IDIB and excluded at the screening stage. Level 1 activities require relevant codes and standards to be followed. Consistent with the DEC’s requirement, project-specific ECOPs have been developed for the project and will be applied to minimize risk and manage potential environmental impacts. In addition, a Safeguards Management Plan will be developed by grantees to ensure ECOPs are complied with. As a matter of protocol, once subprojects are known, the PMU will submit a list of subprojects to DEC and environmental management responses. Examples of subprojects that may be categorized as Level 1 and are likely to be funded by the project include:  Construction or improvement of village-level infrastructure (aid post, medical clinic, service delivery staff housing, resource centre, primary school, water 9 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework services and drainage, foot bridges, road repairs, track maintenance/clearing, market stalls, youth centre);  Purchase of materials (equipment, furniture, medical supplies);  Purchase of community-owned assets (telecommunications, solar panels, rainwater tanks, vehicle, boat, sewing equipment);  Livelihood improvement programs (plant nursery, improvement of access to markets or processing facilities, training);  Water and sanitation improvements. 2.2 INTERNATIONAL CONVENTIONS AND REGULATIONS The International Conventions and treaties on environmental issues to which PNG is a party and has an obligation, and would be relevant to the IDIB, include: i. Convention on Biological Diversity (1992) – the convention aims at conservation of Biological Diversity, Sustainable use of Biodiversity components and the equitable sharing of benefits arising out of the utilization of natural resources. The signatories to the convention are required to develop a National Strategies for the Conservation and Sustainable use of biological diversity and integrate, as far as possible, these strategic measures into other planning systems and programs. ii. The Convention on Conservation of Nature in the South Pacific (APIA Convention) –The objective of this convention is to take action for conservation, utilization and development of the natural resources of the South Pacific region through careful planning and management for the benefit of both the present and the future generations. iii. UNESCO World Heritage Convention (1972) – this convention is aimed at ensuring that the national governments provide effective and active measures for the protection, conservation and presentation of the cultural and natural heritage situated on its territory. The signatories to the convention are required to adopt a general policy which aims to give the cultural and natural heritage a function in the life of the community and to integrate the protection of that heritage into comprehensive planning programs. Given the demand driven nature of the project it is unlikely that cultural heritage would be adversely impacted by the project, however, to ensure that this is the case the environmental screening and assessment processes will check to ensure that this remains the case. 2.3 APPLICATION OF WORLD BANK ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES In this section, the Bank's safeguards policies and their applicability for IDIB are discussed. These policies apply to all activities funded under the project irrespective of whether or not they are being funded in whole or in part by the World Bank and the GoPNG or any other 10 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework development partner. Table 2 summarizes the applicability of the safeguard operational policies to the IDIB. Table 2: World Bank Environmental and Social Safeguard Policies triggered by IDIB Operational Policy Triggered? Explanation OP4.01 Environmental Yes This policy is triggered and requires an environmental Assessment assessment (EA) to be undertaken to ensure Bank financing supports only environmentally and socially sound and sustainable activities. The IDIB is anticipated to have a significant positive impact on the environment and social welfare of the target beneficiaries. Project activities may involve the construction, upgrading and maintenance of small-scale rural infrastructure with limited in environmental impact. The IDIB is considered a Category B project since proposed activities are likely to cause only low level and temporary adverse impacts, if any, and are only small in scale. ECOPs contained in Annex 3 will be used to identify relevant management measures. This categorization of the project and the proposed use of ECOPs is fully consistent with the Government own EIA requirements for Level 1 project activities. OP4.04 Natural Habitats No The project will not finance sub-projects located in critical habitats or declared, established or proposed conservation or protected areas, or lead to the conversion or degradation of the same. Ineligible activities will be screened out in the preparation phase through the list provided in Annex 2. Siting of infrastructure will be a collective community- decision and the Environmental Champion/CDW will ensure ECOPs are followed and critical habitats and protected areas tare avoided. OP4.36 Forests No This project will not allow any activities that may encourage or result in logging and deforestation. Gathering of wood for fuel (cooking) and localized harvesting of bush materials for construction (housing) is a common subsistence activity in rural areas. This is consistent with customary use and access to natural forest resources for Indigenous Peoples. Sub- projects that encourage replanting of trees will be eligible, however, sub-projects proposing specific logging activities or encouraging logging (e.g. purchase of mobile saw mill) will be ineligible under the project. To ensure works are sustainable over the long-term, infrastructure may require the use of treated timber for construction purposes to minimize termite damage which will be sourced from bulk suppliers in urban areas. OP4.09 Pest Management No Agricultural activities and development are unlikely to be funded under the project, and proposals involving the use of chemicals or pesticides will be identified at the risk screening stage through the instrument in Annex 6. 11 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Operational Policy Triggered? Explanation OP4.37 Safety of Dams No The project does not expect to finance water-impounding reservoirs or small dams, and if requested by a community would be restricted to less than 5 meters in height. Technical guidelines for sub-projects that may require the construction or rely on existing dam structures are outlined in the ECOPs presented in Annex 3. OP4.11 Physical Cultural No Given that all sub-projects would be the result of a Resources participatory and demand-driven process that is managed directly by the communities themselves, it is highly unlikely that a community would select sites of known PCR value or significance that would be adversely impacted by the project. Nonetheless, chance finds procedure has been included in Annex 4. OP4.10 Indigenous Peoples Yes This policy is triggered since project activities are located in PNG. As the majority of the project beneficiaries are Indigenous, an Indigenous Peoples Policy Framework (IPPF) or Indigenous Peoples Plan (IPP) is not required as relevant policy requirements have been integrated directly into the project design. A summary of how the main elements of this policy are reflected in the design is presented in an Annex 8, which is disclosed in lieu of an IPPF/IPP. Given the nature of the project (i.e., CDD), a participatory needs assessment was completed with beneficiaries communities through the application of free, prior and informed consultation (FPIC) in lieu of the requirement to undertake a social assessment. In essence, the choice of the project depends on identified community need and the responsibility of managing the project rests with the community themselves, therefore it is considered unlikely that any adverse impacts will occur as part of the project. A Project Operations Manual outlines participation strategies to ensure communities fully understand the project and can make an informed decision and broad community support for subprojects exist within the broader beneficiary community. Active community participation ensures that mitigation measures being applied and project benefits derived are culturally appropriate and inter-generationally inclusive. OP4.12 Involuntary No Under the IDIB, OP 4.12 has not been triggered as Resettlement subprojects resulting in involuntary resettlement o r requiring land acquisition or economic and/or physical displacement, or impacting natural resources use, are ineligible for funding and will be screened out (Annex 2). However, there is potential for subprojects to require changes to land use which have to be collectively agreed to by landowners in participating communities. Any land used to support subprojects will be done on a purely voluntary basis through the use of a “clan land use agreement” (CLUA) to safeguard the rights of participating landowners 12 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Operational Policy Triggered? Explanation and for due diligence. The CLUA is commonly used throughout PNG to grant access to and use of customary- owned land (a country-equivalent to the WB’s Voluntary Land Donation Protocol). OP7.60 Projects in No Although Bougainville is an autonomous region of PNG, Disputed Areas there are no disputes over international land boundaries. OP7.50 International No The project will not be located in or near to international Waterways waterways or boundaries. 2.4 RELATIONSHIP BETWEEN THE ABG AND WB SAFEGUARD REQUIREMENTS The project will not fund physical works that will cause significant environmental degradation. Component 2 is mainly composed of small-scale community infrastructure, technical assistance and capacity building, and enhancement of sustainable service delivery systems. Because of their nature and scale, these activities are generally considered Level 1 activities under GoPNG’s (DEC’s) environmental classification. Activities considered Level 2 or 3, such as drain cleaning that allows surface water discharge into storm water and water courses, that may require an environmental permit are ineligible for funding. To ensure compliance with the government’s environmental assessment requirements, ABG will disclose to DEC a list of sub-projects, including proposed mitigation measures, so that DEC can decide whether any specific environmental requirements will be needed for the proposed routine maintenance activities. 13 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 3 PROJECT INSTITUTIONAL ARRANGEMENTS FOR ESMF IMPLEMENTATION Key agencies and organizations responsible for the implementation of the IDIB are: (i) the Autonomous Bougainville Government (ABG); (ii) ABG Division of Community Development (DCD); (iii) District governments and Council of Elders (CoE); (iv) participating Women’s Organizations from each CoE area; (v) Bougainville Women’s Federation (BWF); (vi) the World Bank; and (vii) other relevant government agencies through the IDIB Project Steering Committee (PSC). A Project Management Unit (PMU), lodged within the ABG DCD will manage the day-to-day operation of the project. The overall responsibility of ESMF implementation and compliance monitoring is with the ABG. The PMU will include staff from the ABG DCD and consultants funded by the project. For safeguard compliance specifically, the ABG will utilize appropriately qualified staff from Technical Services Division for the purpose of technical screening of subprojects and the Environmental Officer from the Mining Division to review environmental and social safeguards compliance at proposal and implementation stages, as well as monitoring activities. The Project Coordinator (PC) has responsibility for all matters relating to all environmental and social issues (including CLUA) for the project duration. These personnel will be responsible for ensuring the screening and impact mitigation mechanisms are implemented and project-related transport costs to facilitate their participation will be covered by the project. In the event that these personnel are not available, the DCD will contract individual consultants to monitoring environmental and social issues. Compliance with the ESMF will be made a contractual requirement for grantee organization’s and any contractors engaged for the proposed sub-project activities. Sub-project Grant Agreements between the grantee organization and ABG DCD would reference the application of the ESMF and bind any implementing partner (communities or their contractors) to implement mitigation measures as identified in the specific ESMP for each sub-project. 3.1 ROLES AND RESPONSIBILITIES FOR IMPLEMENTATION AND MONITORING SAFEGUARD COMPLIANCE This section outlines each key stakeholder and their role and responsibilities in the IDIB project. Table 3: Summary of key roles in safeguard compliance Project Stakeholder Responsibilities ABG DCD Overall implementation and compliance of the project Mobilise technical specialists to assist where necessary Reporting to World Bank and other donor partners PMU Responsibility for ESMF implementation and the overall social and environmental performance of the project Prepare/update guidelines for communities to comply with safeguard requirements such as simplified checklists 14 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework and environmental and social instruments Develop training modules and conduct relevant training for District Community Development Officers, CoEs, CDWs and community project teams Regularly monitor construction activities and assess compliance reports submitted by communities Organize for technical specialists to review technical components and designs of subproject proposals to assist in identifying potential social and environmental risks or issues Ensure that relevant subproject safeguard instruments are publically disclosed Periodic reporting on compliance with ESMF requirements (to ABG, World Bank and other development partners) CoE Verify CLUA and Resource Agreements Assist in grievance resolution and mediation as required Review of EOIs DCDOs and CDWs Raise awareness of project, mobilize community participation and ensure community participation is inclusive Attend training on environmental management and safeguards Assist PMU in facilitating, promoting and monitoring the project activities Support grantees in proposal development, understanding requirements and form filling Ensure women’s groups prepare sub-project environmental and social safeguards documentation in accordance with ESMF as part of sub-project appraisal process and work in collaboration with technical specialists to achieve this Select an appropriate and committed Environmental Champion whom will identify mitigation measures Disclose safeguard instruments and information Facilitate two-way communication exchanges Ensure adequate financing in proposal budget for mitigation measures Provide feedback to CoE and PMU on challenges, grievances and effectiveness Monitor activities and safeguard issues Environmental Champion Attend training sessions Adhere to ECOPs and actions identified in ESMP during implementation Ensure ongoing maintenance during implementation and 15 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework after completion External consultants Monitor and audit project activities Prepare reports 3.1.1 ROLE OF AUTONOMOUS BOUGAINVILLE GOVERNMENT (ABG) The ABG shall have the overall responsibility for implementing the project and for managing project funds in accordance to the Subsidiary Agreement signed between the Department of Treasury and Finance (DTF) and ABG in 2011. To this effect, an information paper and request for endorsement of the Trust Instrument was approved by the Bougainville Executive Committee (BEC), after which it was forwarded to the DTF in Port Moresby, for approval and signing by the Minister of Treasury and Finance. The Trust Instrument was signed by the DTF on 1 November 2011. The ABG is responsible for managing project risks such as operational, developmental, macroeconomic, political economy, social, environmental, governance, reputational, and capacity/implementation, as appropriate, to the Project’s development effectiveness. ABG Divisional and district-level staff (CoE, DCDOs) will support the Project Team for project activities such as publicising calls for grant proposals, assisting in the technical review of subprojects, monitoring and validating the inclusion of women in community development planning and implementation, etc. 3.1.2 ROLE OF ABG DIVISION OF COMMUNITY DEVELOPMENT (DCD) As the designated implementing agency of ABG, the DCD is responsible for the implementation of project activities and for preparing reports as specified in the Grant Letter of Agreement between the World Bank (WB) and the Government of PNG (GoPNG). The DCD will also produce Interim Financial Reports (IFRs) showing the use of grant funds, audited annual financial statements (fourth quarter IFR) and a report summarizing activities and results. DCD’s capacity will be strengthened through specific support will be provided by the WB as well as portfolio-wide support on financial management and procurement and safeguard policies and procedures to ensure the effective oversight and implementation of the IDIB Project. The DCD has established an IDIB Project Office, housing the PMU, responsible for the overall coordination, procurement, implementation, financial management, reporting, and monitoring and evaluation (M&E) of Project activities. The IDIB Project Office is situated in Buka within the ABG’s DCD. Office furnishings and financial responsibility of recurrent operating costs for the project will be financed out of the Project’s Component 3 budget. The DCD CEO has final oversight regarding IDIB implementation and is tasked with reviewing all relevant project reports. The CEO DCD, and the Project Coordinator will ensure that an independent M&E is provided throughout implementation on an annual basis. The DCD will liaise with the PSC throughout the year, especially if there are changes in staffing or issues affecting funds disbursal. The DCD has overall responsibility for safeguards compliance and 16 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ensuring environmental and social risks are minimized, and their technical specialists will play a key role in identifying environmental and social risks. The DCD Community Development Officer (DCDO) located at the District level shall be responsible for: (i) disseminating information regarding the project to eligible communities and women’s organizations; (ii) providing assistance in project proposal preparation; (iii) providing community feedback to the PMU (particularly grievance management); (iv) undertaking sub- project proposal validation in collaboration with the Project Team; (v) facilitating technical assistance to IDIB-funded sub-projects; and (vi) supporting the IDIB Project Team in undertaking monitoring and evaluation activities. 3.1.3 ROLE OF THE IDIB PROJECT MANAGEMENT UNIT (PMU) Operating under the direction of the ABG’s DCD CEO, the IDIB Project Management Unit (PMU) is at the centre of day-to-day management and implementation of the project. A Project Coordinator (PC) role will be established to facilitate project management and a broad range of tasks for the project team, such as daily management of the project, HR, work planning and implementation of project activities, supervision, financial management, procurement, communication, reporting, M&E tasks and team supervision. The PMU on behalf of DCD will provide oversight in reviewing the environmental process and documentation for the subprojects to ensure that the ESMF process is properly followed and implemented (with specialist input as required). Training and capacity building will be coordinated by the PMU and provided to grantees to ensure understanding of project risks and application of mitigation measures, by technical staff of the ABG DCD and Technical Services Division engineers. The PMU will also play a proactive role in resolving grievances and disseminating information and materials (forms, awareness posters etc) to the IDIB network (DCDOs, CDWs and women’s groups) so grantees fully understand stages of the project and are provided the necessary resources to complete key requirements such as the proposal preparation with associated written agreements. 3.1.4 IDIB PROJECT STEERING COMMITTEE (PSC) The Project Steering Committee (PSC) is comprised of representatives from the ABG including relevant division representatives and civil society. The PSC shall comprise of key partners and stakeholders of the project from the government and non-government sectors. The PSC will provide guidance on policy matters, be responsible for quality control and endorsement of annual work plans and budgets, and facilitate critical decisions for project implementation. PSC meetings also provide the Project Team with opportunities to raise issues affecting implementation. It is expected that the PSC will meet quarterly, however more frequent meetings may occur at the request of the PSC Chair as required. PSC members will act on a voluntary capacity. 17 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 3.1.5 ROLE OF THE PROJECT GRANTS COMMITTEE (PGC) Subproject proposals reviewed and endorsed by the CoE and PMU will be submitted to the PGC who have the authority to conduct final reviews of the grant applications to determine which grants are approved for funding support. 3.1.6 ROLE OF THE BOUGAINVILLE WOMEN’S FEDERATION (BWF) The DCD was active in constituting an umbrella body for women’s organizations, the Bougainville Women’s Federation (BWF), as a mechanism for channelling women’s voice and participation in government. Inasmuch as the objectives of the project are in consonance with those of BWF, IDIB shall collaborate closely with BWF in undertaking project activities, particularly in the design and delivery of various community services. All sub-project proponents will be encouraged to seek accreditation with BWF to sustain inclusive development activities in participating communities. This will also provide an important network and fora for sharing experiences and lessons. 3.1.7 ROLE OF THE COUNCIL OF ELDERS (COE) During preparation, the CoE will assist in the dissemination of information and communication and engagement with relevant sectors in the district. The CoE will conduct an initial review of subproject expression of interests (EOIs) against the list of ineligible activities (Annex 2) to ensure the project is eligible and specify which project idea they wish to advance. CoE will play a role in grievance redress where issues and disputes arise. A key responsibility includes ensuring any Clan Land Use Agreement (CLUA) has legitimacy and is validated by the CoE at the time of proposal submission. 3.1.8 ROLE OF THE COMMUNITY DEVELOPMENT WORKERS (CDWS) AND DISTRICT COMMUNITY DEVELOPMENT OFFICERS (DCDOS) CDWs and DCDOs will play a key role in preparing and mobilizing communities and women’s groups to engage in the project. They will build capacity of community to undertake community planning where capacity is limited and provide additional support for preparing proposal documentation, working with technical specialists to review plans and designs, and estimating costs of subprojects with strong community participation. They will communication with the CoE and PMU on project progress and safeguard compliance, and seek assistance where issues have arisen. 3.1.9 ROLE OF THE ENVIRONMENTAL CHAMPION At the community level, groups implementing a sub-project will be required to identify a Environmental Champion on the proposal application form who will be responsible for ensuring that the environmental and social process screening is completed and steps described in the ESMF are followed. These “Champions” will be responsible for implementing and reporting on the sub-projects’ compliance to the ESMF, and will be supported by the CDW and relevant 18 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework project staff as required. They will also assist grantees in documenting community participation and decision- and agreement-making regarding the subproject. The Environmental Champion will receive training regarding the ECOPs, screening of risks and identification of mitigation measures. After completing training, the Environmental Champion will be responsible for ensuring that the environmental and social screening process is completed and steps described in the ESMF are followed in collaboration with the CDW/DCDO (Annex 6). The PMU will bring in technical specialists when requested by the grantee and Environmental Champion during preparation and implementation to identify environmental and social risks. 3.1.10 DIVISIONAL TECHNICAL STAFF It will be necessary to draw upon local expertise for different technical areas. This may include civil engineers and/or architects with construction experience (classroom, water supply), agricultural extension and environmental officers (small-scale farming), community health workers (aid post), etc from Sector Divisions. The DCD, PMU and DCDOs will facilitate engagement of technical specialists to review the technical design and financial elements of proposals that have been selected. Specialists will assess whether the site chosen is appropriate, the design is suitable for the local context and meets appropriate standards, and ensure the budget and costs for materials has been estimated accurately. 3.1.11 INDEPENDENT MONITORING BODY An independent and appropriately-qualified organisation will be contracted by ABG to conduct monitoring on project progress and compliance with safeguard requirements on a periodic basis. 3.1.12 INTER DONOR COLLABORATION There are common synergies between international aid organizations operating in Bougainville that support institutional strengthening, capacity enhancement and community development. To enhance opportunities for improved harmonisation between representatives of DFAT, the United Nations Development Program (UNDP), and international and local civil society organizations (CSOs), a formal invitation to contribute ideas and lessons learned from their respective programs and learn from the experience of the IDIB Project will be sent. 3.1.13 ROLE OF THE WORLD BANK The World Bank administers financing for the IDIB through grant agreements and other financing instruments that are entered into between the World Bank and the GoPNG. These financing agreements also indicate that the World Bank would provide support to the Government in the implementation of the IDIB and specifically undertake together with Government at least semi-annual missions to review the implementation progress under the project and to provide advice on ways to enhance implementation performance and build capacity on safeguards compliance. 19 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 4 SAFEGUARD PROCEDURES This chapter sets out the process to be undertaken in the scoping and development of IDIB activities. This process requires that the key stakeholders and sub-project proponents use the procedures contained in the ESMF to identify potential adverse impacts of their activities under the project and determine the corresponding mitigation measures they would need to incorporate into their planned activities. 4.1 KEY STEPS The table below outlines the actions to be taken and the specific documents to be prepared as part of the safeguards review process, as well as the responsibility for these actions. The safeguards process is shown in parallel with the sub-project planning and implementation process for IDIB. Table 4: IDIB Safeguard Review and Implementation Sub-project Process Task Responsibility 1. Invitation to Publicise invitation to submit EOI (concept PMU, CoE submit expression note) and raise awareness of interest (EOI) CDW/DCDO distribute forms and list of DCDO, CDWs eligible/ineligible activities (negative list) PMU supply resources 2. Submission of EOI Women’s groups conduct community CDW, Women’s consultation to identify needs (attendee list groups completed) Women’s group submit EOIs to CoE for Women’s group consideration CoE reviews EOIs applying negative list and CoE selects one EOI to proceed with PMU verifies selected EOIs are eligible for PMU funding 3. Proposal Women’s group prepares project design and Women’s groups preparation proposal; identifies Environmental Champion, and complete safeguard screening CDW/DCDO/PMU assist in the preparation CDW/DCDO/PMU of proposals as required including guidance of management of social and environmental risk Preparation of a Clan Land Use Agreement Landowners, CoE (CLUA) with landowners if necessary, witnessed by CoE 4. Subproject PMU and other technical specialists review PMU, ABG Appraisal the technical and financial elements of the Environmental Officer and Technical Officer 20 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Sub-project Process Task Responsibility proposal including mitigation measures for social and environmental risk as needed PGC selects and approves subprojects for PGC, PMU funding 5. Implementation Women’s groups implement mitigation CDW, Environmental and monitoring measures included in project design Champion in Women’s group PMU selectively monitors subprojects PMU mitigation activities focusing on higher risk activities 6. Completion and PMU engages technical specialists including PMU, ABG certification environmental specialists to conduct technical Environmental Officer and safeguard audit and Technical Officer, Independent specialist Discuss, review and advise on operations and PMU, ABG maintenance plan Environmental Officer and Technical Officer 4.1.1 SCOPING AND SCREENING PROCESS IN PREPARATION PHASE As the first step in the ESMF process, the PMU, DCDOs, and CDWs would discuss the objectives of the project and the “negative” list with communities (i.e. ineligible subprojects) during initial project orientation. This list is detailed in Annex 2. Once informed, communities must analyze their priority issues in consideration of these ineligible activities in an inclusive meeting, which is documented (attendee list, meeting minutes, etc) to ensure a legitimate participatory process was followed. As the second step, women’s groups then prepare a brief concept note or expression of interest (EOI) for consideration by the CoE. The CoE reviews the EOIs submitted by women’s groups and selects one to advance to the proposal stage. The PMU also verifies the selection of the EOI. As a third step in the process, the women’s groups of EOIs selected are asked to then prepare a proposal for the grant. They identify an Environmental Champion, and design their project, in consultation with the broader community. As part of the proposal package, a safeguard risk screening form is completed (Annex 6, Part A) with assistance from CDW/DCDO/PMU as required. Depending on the skills of the Environmental Champion, safeguard mitigation will be identified using the form in Annex 6 (Part B), although it is expected that some external technical input from Technical Services Division could be necessary to accurately identify mitigation actions for each identified risk factor. 21 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework The drafting of agreements that pertain to site selection, land use change and natural resources on the selected site is also completed as part of the package. More specifically, in the event that land is required for the subproject, a “Clan Land Use Agreement” (CLUA) must be entered into between the clan that owns the land and the other representatives (clans and traditional leader) of the community. If land use change is necessary and can occur on a voluntary basis, the process for establishing a CLUA must be followed as detailed in Annex 5 and written agreement must be signed by relevant landowners, then signed, witness and verified by the CoE. A duly completed CLUA must accompany a community sub-project proposal to be considered for approval. The fourth step involves PMU and other technical specialists reviewing the technical and financial elements of the proposal including mitigation measures for social and environmental risk to ensure (i) the design and location is suitable; (ii) the budget is accurate for the works being undertaken; and (iii) ECOPs are followed. Activities that are too complicated for the communities to manage themselves, or limited by constraints such as resources and transport costs, or where the cost of mitigating the risk outweighs the benefits will not be funded by the project, and will be screened out at this stage. In the event of any uncertainties (e.g., not certain how close a proposed sub-project may to be a water source or sensitive natural habitat), further information would be sought, and if necessary, the PMU or selected CDW’s would visit the proposed site. The PMU may also validate the inclusiveness of the participatory process as this stage if desired. Once the proposal meets all the requirements, the fifth step is for the PGC to appraise the proposals, and select and approves subprojects for funding. After these steps are followed and subprojects are confirmed and approved, the PMU will submit a list of approved subprojects to the Environment Division. 4.1.2 SAFEGUARDS IMPLEMENTATION AND MANAGEMENT Once approval is granted, a Grant Agreement signed between the CEO ABG DCD and the Grantee Organization’s representative and projects can be implemented. Disclosure of documentation, such as the CLUA, may be required via the Village Assembly, COE or District offices and publically in the community/ward. The sixth step involves women’s groups undertaking work planning, purchasing or goods and materials, and implementing subprojects. Mitigation activities will be implemented by the Environmental Champion with support from CDW and DCDO, project and technical staff as required. Technical support staff will be made available for advice and to do site visits upon request. PMU staff will monitor subproject implementation and mitigation activities throughout the process, with a focusing on higher risk activities. 22 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 4.1.3 SAFEGUARDS MONITORING AND AUDIT Mitigation actions identified in the management plan will be monitored and cross-checked using the same form in Annex 6. This form would remain in the community, and CDWs and technical specialists would periodically review the monitoring effort and ensure that the mitigation measures are being applied in a technical appropriate manner. Observations by the Environmental Champion should also be noted. The PMU will engage technical specialists including environmental specialists to conduct technical and safeguard completion audits, and advise on operations and maintenance plan to ensure the sustainability of the project. An independent body will monitor and evaluate the project on an annual basis, managed by the PMU in accordance with TORs agreed upon with the World Bank. This includes an audit of the application of all relevant safeguards measures through sampling. 23 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 24 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 5 COMMUNITY PARTICIPATION, INFORMATION DISCLOSURE, GRIEVANCE AND CAPACITY BUILDING 5.1 KEY PRINCIPLES OF CONSULTATION Public consultation and participation ensures project acceptability and fosters good relations between the community, community leaders and project stakeholders. As a community- driven development project, inclusive participation of beneficiary groups is core to the overall objective and purpose of the IDIB project. Key principles of community-driven development include:  Inclusive of all persons regardless of age, gender or ethnicity;  Community members freely participate, and are not coerced or manipulated into participating;  Community is provided transparent information from which they can make informed decisions;  Communities are aware of grievance procedures should they have a complaint or concern. Extensive engagement with target beneficiary communities will occur throughout the duration of the project. Consultation activities and community participation will enable meaningful consultation, based upon the principles of free, prior, and informed consultation (FPIC), to pursue a community-driven approach. 5.2 COMMUNITY PARTICIPATION Consultations and participation on project design to date have focused on the overall project principles and operational procedures. This process has taken place in a sample of target communities, with government partners and civil society representatives (including relevant churches) in the area where the project will operate. This consultation assisted in informing project design for an appropriate community-driven approach and providing further certainty around the types of specific sub-projects to be financed and their location. A combination of participatory methodologies such as community meetings, focus groups discussions, field observations and informant interviews provide a fora for project beneficiaries to share their views about the project. Information covered includes the purpose, nature and scale of the project; and the duration of the proposed activities and any potential impacts on the community. Community group meetings will initiate the consultation process by introducing and raising-awareness about the project and collected feedback from targeted communities. Smaller, follow-up group discussions that engage men, women and youth separately will elicit different perspectives on needs and subproject ideas. The Project Operations Manual describes in detail and provides guidelines for the process of consultation and participation in detail. 25 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework At the preparation phase, awareness raising, capacity building training and broad engagement will set the foundation for a participatory approach with support of CoEs and CDO’s to enable broad community support for subprojects which can be demonstrated. The PMU and DCD are responsible for identifying stakeholders and participants at the onset. Throughout this phase, consultation responsibilities and tasks sit with the PMU, CoE and guided by the Project Operations Manual, and occur on a regular basis. This process allows for full engagement of a majority of the population to decide if they are generally committed to the project, and how the project resources can best be used to address the development needs of the community. It also requires the delivery of extensive consultation by the project team, support by stakeholders, to ensure the community fully understand the project and can make an informed decision regarding potential subprojects prior to subproject and site selection. The main responsibility of CDWs/DCDOs is to collect evidence of engagement and consultation activities and disseminate information, such as the channels for grievance resolution. In addition, a validation process is undertaken prior to the commencement of any project works, activities or investment made at community level, as outlined in Annex 1-E1/E2 of the Project Operation Manual. The involvement of the Environmental Champion and CDWs ensures that mitigation measures being applied and project benefits derived are culturally appropriate and inter-generationally inclusive. In cases where documentation on consultation activities is not available, it may be necessary to conduct validation of the subproject plans directly with beneficiary communities in order to determine broad community support prior to any activities or physical works taking place (as set out in Annex 1-E2 in Project Operation Manual). After validation, subproject activities may commence. The PMU and CDW are responsible for the disclosure of relevant operation procedures, safeguards arrangements, and channels for voicing complaints (i.e., grievance redress mechanism) at community/CoE and district levels. The IDIB would require that notification of such community consultations are made through the most practical and culturally-appropriate methods (signboards, notification of village elders and clan leaders, etc.) and adequate notice is given prior to the consultation activity taking place to ensure the broadest level of participation can be achieved. The CDW and CoE would use traditional announcement and public information methods at community level to ensure that all concerned are informed of the sub- project progress. Ongoing monitoring and evaluation activities are undertaken by an independent body to validate whether broad community support exists on a regular basis. At the completion phase, communities will have an opportunity to provide feedback on the project approach, achievements and any lessons learned. The results of the project at the Provincial level will be shared with communities via CDWs and CoEs prior to finalization. 5.3 INFORMATION DISCLOSURE Dedicated avenues for information dissemination will be established by the ABG DCD to ensure regular, ongoing communication with stakeholders throughout the project cycle. 26 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework At the time of the project’s conception in 2009/2010, consultation on the preparation and implementation occurred as part of regular supervisory visits. In accordance with the safeguards disclosure policies of the World Bank, the ESMF document prepared for the IDIB by the ABG Division of Community Development (DCD) was disclosed at a stakeholder meeting attended by DCD, ABG, PMU, BWF and independent monitoring organization on 18 November 2014 in Buka. It was disclosed publicly in the Autonomous Region of Bougainville (ARB) at DCD offices, as well as through the World Bank’s Infoshop on 21 November 2014. As part of disclosure, the ESMF was made available through the ABG DCD office in Buka and in each project location at the CoE level. The availability of these documents will be made known to the general public through an advertisement to be released in one of the major newspapers with wide national circulation. Dissemination was led by the ABG DCD. During implementation, and consistent with the PNG EIA system and the World Bank safeguard policies, safeguard information to be disclosed will include a list of subprojects, details of sub- project designs and associated ESMP that identify potential impacts and proposed mitigation measures, as well as independent monitoring reports. Public disclosure involve a variety if methods such as community meetings, local notifications (via CoE’s and CDOs), posters, booklets, and newspapers announcements in local vernacular (tok ples). The IDIB PMU would also have copies of all sub-project proposals and ESMP for public review. The World Bank would also make a list of sub-projects available to Environment Division and through the Public Information Centre in Port Moresby. Public disclosure of documentation shall be in accordance with the disclosure policies of the PNG government and the World Bank. These documents should be disclosed prior to initiating work under any sub-project. 5.4 GRIEVANCE RESOLUTION Annex 7 outlines the Grievance Redress Mechanism (GRM) designed specifically for IDIB to facilitate feedback from any project participant or stakeholder regarding project operations, management, use of resources and impacts of activities, intentionally or otherwise, and resolution of the same by project management, the ABG and/or the World Bank. In the event that any project stakeholder feels that the principles or processes of the project have not been adhered to or followed, or that resources have been misused or any person or persons have abused the process for personal gain, or that the Project is seen as harming households or community groups, then those stakeholders have the right to raise their concerns and to seek satisfactory acknowledgement and resolution of their grievances. This right is essential to ensure transparency and accountability, and free access to the GRM. Stakeholders will be informed of the Project GRM through initial community meetings, project documentation and through the local media. A focal point for grievance management will be established prior to implementation (i.e. Committee, CDW or Project Officer). The focal point will be responsible for managing, responding to and tracking grievances. 5.5 CAPACITY BUILDING The capacity building for key project staff and other stakeholders will cover the following topics. 27 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 5.5.1 Awareness-Raising Awareness-raising among the internal team is important to advance understanding of the various physical, social and economic components of the environment. These include:  Environmental and social priorities, demands and dynamics for sustaining the natural environment and promoting social well-being.  Appropriate utilisation of existing social structures and governance which allow the CSO/village/community to undertake participatory decision-making and request capacity strengthening or modification required.  Potential remedial measures that could be used to reduce existing impacts and enhance environmental quality/value, and the resources needed to implement these. 5.5.2 Training for Grant Recipient and project team To ensure safeguard compliance of the IDIB, attention will be given to capacity building of ABG DCD, grant recipients and selected community members on the application of mitigation measures, and to the technical staff of the ABG DCD, ABG Technical Services Division Engineers, BWF, COEs, PMU and CDWs regarding specific project activities. Two types of training will be provided: i) Introductory safeguards workshop by safeguards advisor provided by the Bank to project team at ABG DCD and relevant stakeholders on the environmental and social aspects of the project concepts and processes, roles and responsibilities, participatory methods, and implementing and monitoring compliance of sub-projects to the ESMF; and ii) Training for grant recipients on reducing social and environmental risks through subproject design and impact mitigation, as part of the training package delivered by project team. These activities will be financed as part of project start-up costs. 28 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ANNEX 1: DISCUSSION OF RELEVANT LAWS, POLICIES AND CUSTOMS THAT MAY AFFECT THE IDIB Displaced Persons Regarding Freedom of Movement, Internally Displaced Persons, Protection of Refugees, and Stateless Persons: The constitution provides for freedom of movement within the country, foreign travel, emigration, and repatriation, and the government generally respected these rights in practice. The government cooperated with the Office of the UN High Commissioner for Refugees (UNHCR) and other humanitarian organizations in providing protection and assistance to internally displaced persons, refugees, returning refugees, asylum seekers, stateless persons, and other persons of concern. Status of women and women’s rights The laws have provisions for extensive rights for women dealing with family, marriage, and property disputes. Some women have achieved senior positions in business, the professions, and the civil service; however, traditional discrimination against women persists. Women continued to face severe inequalities in all spheres of life: social, cultural, economic, and political. There is no employment antidiscrimination law. According to statistics published by the UNESCO, women continued to lag behind men in literacy and education; 53 percent of women were literate, compared with 62 percent of men. Village courts tended to impose jail terms on women found guilty of adultery while penalizing men lightly or not at all. By law a district court must endorse orders for imprisonment before the sentence is imposed, and circuit-riding National Court justices frequently annulled such village court sentences. Polygyny and the custom in many tribal cultures of paying a "bride price" tended to reinforce the view that women were property. In addition to the purchase of women as brides, women sometimes were given as compensation to settle disputes between clans, although the courts have ruled that such settlements denied the women their constitutional rights. Anti-discrimination The constitution prohibits discrimination against persons with physical or mental disabilities; however, there are no antidiscrimination laws. Persons with physical, sensory, intellectual, and mental disabilities faced discrimination in education, training, and employment. No legislation mandates accessibility to buildings, and most buildings are not accessible. There are no policies or programs to assist persons with disabilities in obtaining access to communications and information. There is a strong societal stigma attached to HIV/AIDS infection that has prevented some individuals from seeking HIV/AIDS-related services. While citizens have the right to the full protection of the law (Constitution Part III.3), freedom from the discrimination is not a guaranteed right. Legislation regarding national/racial/ethnic minorities: Centuries-old animosities among isolated tribes, a persistent cultural tradition of revenge for perceived wrongs, and the lack of police 29 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework enforcement sometimes results in violent tribal conflict in the highland areas. During the year tribal fighting continued in the highlands provinces. In the last few years, the number of deaths resulting from such conflicts continued to rise due to the increased availability of modern weapons. Customary Law Customary law has constitutional legal status and customary land ownership is protected. Customs relating to inheritance and property ownership favor men are commonplace. Although there are some limits on customary law, in the absence of a constitutional guarantee that equality between men and women takes precedence over customary law, women have limited recourse against discriminatory practices. Schedule 2.1 of the Constitution provides that customary law is part of the ‘underlying law’ of Papua New Guinea. This is subject to the provisos that customary law cannot be inconsistent with the Constitution or with statute and is not valid or inappropriate to conditions of country. The Customs Recognition Act 1963 provides that customary law is not recognized if it results in injustice or is contrary to public interests or is contrary to the best interests of a child under 16. 30 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ANNEX 2: NEGATIVE LIST - SCREENING FOR INELIGIBLE PROJECTS Conforming with the PNG and World Bank environmental and social safeguard policies, the following types of sub-project activities will not be eligible for funding under the IDIB:1 (a) Any activity or sub-project that could have a potentially adverse impact on a critical natural habitat (including conservation areas and other sensitive environments) as defined by the World Bank and the PNG DEC; (b) Any activity or sub-project involving or encouraging logging or degradation of forests (such as purchase of mobile saw mills); (c) The bulk purchase or application of pesticides, herbicides, insecticides, or use of dangerous materials (e.g. unbounded asbestos fibres) or others*; (d) Any activity or sub-project involving the construction or repair of a dam higher than 5 meters; (e) Any activity or sub-project that would adversely affect a site that has historic, cultural, archaeological, religious or unique natural value, or be located very close to one such site; (f) Any activity or sub-project involving aquaculture or agriculture, that may use pesticides/fertilizers* and/or be sited in locations that could harm vulnerable or protected species, and/or reduce biodiversity and adversely impact on the natural environment and critical habitats. (NB: improvement of access to markets or processing facilities for existing subsistence/livelihood activities is eligible); (g) Any activity or sub-project requiring the purchase or acquisition of land; (h) Any activity or sub-project to be sited on land for which the ownership is disputed; (i) The purchase of, or compensation for, any land or assets on land that would be used for the project or sub-project; (j) Any activity that would result in the physical and/or economic displacement of individuals or communities, or destruction to physical assets, and adversely impact upon livelihoods; (k) Any activity that would be classed as higher that Level 1 activity by DEC in PNG (i.e. would trigger Level 2 or 3 under the Environment Act). (l) Any activity or sub-project requiring the purchase of assets for private business or commercial purposes, or the purchase of private and luxury items; (m) Any funding for charity, political or religious activities; (n) Recurrent maintenance costs; (o) The payment of staff salaries or personal loans or compensation; (p) Scholarships, long-term training or overseas studies; or (q) Official travel or accommodation unless approved for an IDIB training activity. * In cases where small-scale vegetable farming is funded, adequate training by qualified persons on farming methods and environmental management techniques needs to be provided prior to pesticides and fertilizers being used and a customized environmental management plan must be developed and include buffer zones for waterways. 1 The Project Operations Manual includes any additional activities or sub-projects on the overall negative list and therefore ineligible for project financing. 31 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ANNEX 3: ENVIRONMENTAL CODES OF PRACTICE AND TECHNICAL GUIDELINES FOR COMMUNITY DRIVEN DEVELOPMENT SUB-PROJECTS These ECOPs and technical guidelines apply to all subprojects to which they are relevant. It is the responsibility of the PMU to ensure adequate training and understanding of these guidelines and involvement of the Environmental Champion and CDWs at the preparation stage. When Safeguards Management Plan are being developed for each subproject, the ECOPs and technical aspects will be taken into full consideration during this process. 1. Environmental Codes of Practice Issue Environmental Prevention/Mitigation Measures 1. Noise (a) Plan activities in consultation with communities so that noisiest activities are undertaken during periods that will result in least disturbance. (b) Use noise-control methods such as barriers or deflectors (such as shelter/muffling devices for generators) (c) minimize project transportation through community areas (D) Maintain a buffer zone between the project site and residential areas to lessen the impact of noise if possible 2. Soil erosion and (a) Avoid construction on unstable soils, steep slopes and near to contamination riverbanks (b) schedule construction during dry season and avoid wet season (c) minimize length and steepness of slopes and removal of trees and plants (d) construct retaining walls to hold back loose sediments and use mulch, grasses or compacted soil to stabilize exposed areas (e) cover with topsoil and re-vegetate (plant grass, fast-growing plants/bushes, replant trees) construction areas immediately after construction, once work is completed (f) design ditches for water flows to carry surface run-off away from erodible areas and slopes, and line steep channels/slopes with palm fronds, mulch, rocks etc. (g) Small bridges: use of gabions (gravity walls that support embankments or slopes) and ordinary stone pitching 3. Air quality, dust (a) Use water on access roads and stockpiled soil to reduce wind-induced and odour erosion and dust generation (b) do not burn site clearance debris (trees, undergrowth) in proximity to village (c) keep stockpile of aggregate materials covered to avoid suspension or dispersal of fine soil particles during windy days or disturbance from stray animals 4. Water (potable, (a) activities should not affect the availability of water for drinking and surface and hygienic purposes 32 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Issue Environmental Prevention/Mitigation Measures groundwater) (b) no soiled materials, solid wastes, toxic or hazardous materials should be poured or thrown into water bodies for dilution or disposal (c) the flow of natural waters should not be obstructed or diverted to another direction, which may lead to drying up of river beds or flooding of settlements 5. Solid and (a) collect and transport construction waste to appropriately designated/ hazardous waste and controlled dump sites, far from any settlements hazardous materials (b) maintain waste (including earth dug for foundations) at least 300 mts. from rivers, streams, lakes and wetlands (c) use secured area for refuelling and transfer of other toxic fluids distant from settlement area and ideally on a hard/non-porous surface (d) train workers on correct transfer and handling of fuels and other substances and require the use of gloves, boots, aprons, eyewear and other protective equipment for protection in handling highly hazardous materials (e) collect and properly dispose of small maintenance materials such as oily rags, oil filters, used oil, etc. (f) Farming: environmental management plan developed on use of pesticides and fertilizers and farming techniques (g) Clinic: Include facilities for proper disposal of health and biological wastes (syringes, blood, etc.) (h) Market: Provide garbage/waste disposal areas 6. Health and safety (a) provide personal protective gear for workers as necessary (gloves, dust masks, hard hats, boots, goggles) (b) keep worksite clean and free of debris on daily basis (c) keep corrosive fluids and other toxic materials in properly sealed containers for collection and disposal in properly secured areas (d) Rope off construction area and secure materials stockpiles/ storage areas from the public and display warning signs. Do not allow children to play in construction areas. (e) Fill in all earth borrow-pits once construction is completed to avoid standing water, water-borne diseases and possible drowning (f) Basic first-aid kit available on site and promotion of ‘safety first’. 7. Other (a) No cutting of trees or destruction of vegetation other than on construction site (b) No use of unapproved toxic materials including lead-based paints, un- bonded asbestos, etc. 8. Social (c) No disturbance of cultural or historic sites (d) No disturbance of land or taking of resources without CLUA in place 2. Technical Guidelines for Minor Works 33 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Sub-Project Type Environmental Prevention/Mitigation Measures & Design Elements Buildings 1. Buildings (a) Provide adequate drainage in the building’s immediate surroundings (construction or to avoid standing water, insect related diseases (malaria, etc.) and renovation) unsanitary conditions (b) Include sanitary facilities such as toilets and basins for hand-washing (c) Avoid use of asbestos cement tiles as roofing (d) Tiled floors are preferred for easier cleaning and more hygienic (e) Maximise cross-ventilation and natural light Road infrastructure 1. Roads and tracks (a) Avoid road construction through primary forests as it gives access to illegal logging (b) Spray water on dirt roads and stockpiled soil to reduce wind-induced erosion and reduce dust generation 2. Small bridges Erosion protection: (a) Gabions: - The slope of gabions should be in the ratio of at least 1 vertical: 2 horizontal. Flatter slopes may be adopted depending on the site terrain. - The filling of the gabions should be from strong and competent rock which is laid very closely packed to maximise the weight. - Bracing wire should be used to prevent the gabion bulging out. The bracing wire should be placed at each third of the gabion height. - The gabions should be firmly anchored into the ground by founding the gabions below the expected scour depth level. - In cases where stone pitching is not provided, the top layer should be covered by soil to encourage the growth of grass and the stabilisation of the slopes. (b) Stone pitching may be provided as an adequate erosion protection measure in those cases where the erosion potential is deemed minimal. Stone pitching is not very resistant to strong water current and is mainly used as the top finish on gabion walls. Water Quality and Fauna: (c) restrict duration and timing of in-stream activities to lower flow periods (dry season) and avoid periods critical to biological cycles of valued flora and fauna (e.g., spawning) (d) use techniques to divert water flow or isolate work area to reduce flow of sediments in moving water 3. Culverts (a) Remove all formwork from inside the culvert (after concrete has 34 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Sub-Project Type Environmental Prevention/Mitigation Measures & Design Elements reached full strength). Formwork that is not removed will rot eventually, drop down and obstruct the free flow of water (b) Place large stones at the outlet of the culvert to prevent erosion (c) Keep the culvert inlets free from sand and gravel – the water must flow through the culvert (d) Ensure that the water of the adjacent road sections can flow freely into the roadside ditch Water supply 1. Wells (a) Include slab around the well for easier drainage, a crossbeam and a (deep/shallow) pulley to support the use of only one rope and bucket for collecting water. (b) Steel rungs (placed inside wall of a deep well) are essential for maintenance of a well or in case of an emergency. (c) A groundwater well has cover/roof/wire mesh on top to protect this area from falling leaves or debris. (d) Wells should always be located upstream of any septic tank soakaway. Minimum 15 m (50 feet) distance from septic tank is recommended to maintain quality of the drinking water. 2. Rainwater (a) Rainwater storage reservoir should be intact, connected to roof gutter Harvesting system, with all faucets and piping intact. (b) If distribution pipes are attached into the storage reservoir, install the distribution pipes 10cm above the storage/tank bottom for better use of the storage capacity (c) Cover must be fitted tightly onto the top of the storage reservoir to avoid overheating and growth of algae (from direct sunlight), and to prevent insects, solid debris and leaves from entering the tank (d) A ventilation pipe with fly screen should be placed in the cover to help aerate the tank/reservoir (e) Roof gutters need to be cleared regularly, as bird and animal waste and leaf litter on roofs or guttering can pose a health risk if washed into the reservoir tank (f) Reservoir tanks need overflow so that heavy rain, the excess water can drain away. The overflow should be designed to prevent backflow and stop vermin/rodents/insects entering the system. A good design will allow the main storage tank to overflow at least twice a year to remove build-up of floating sediment on the top of the stored water and maintain good water quality. 3. Pipelines from Water quality and preventing contamination at water sources: natural springs or (a) Build a structure with roof over the water source to prevent leaves or surface water other debris from entering into the basin sources (b) Use fence to protect water source (springs particularly) from public access and risk of contamination (c) Include filter and sand trap, which needs to be regularly cleaned 35 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Sub-Project Type Environmental Prevention/Mitigation Measures & Design Elements Pipe Laying: (a) PVC water transmission and distribution piping need to be buried underground (coverage 50cm minimum) to prevent pipe against external damage (e.g. passing vehicles, solar UV radiation, etc). Exposing PVC pipe to UV radiation causes the plasticiser in the PVC pipe to evaporate resulting in loss of integrity and becoming brittle. (b) Pipe shall be laid in a straight line, over a constantly falling slope. (c) When conditions do not allow piping to be buried (i.e. pipe is used above ground), then metal pipe must be used, and supported/braced as excessive movement may lead to leaks and breaks. (d) Outlet pipes and fittings from water storage/basin shall not be PVC pipe due to exposure to solar UV/sunlight. Metal piping and fittings are preferred. Rural Electrification 1. Solar panel and (A) A solid pole foundation (min 80 x 80 x 100 cm) is essential for safe charge station lighting and power distribution. (b) Tidy wiring for easy maintenance and reduces the risk of accidents (C) Electrical cabling connections for street lighting need to be protected against rain to prevent short circuits. 2. Pico hydro (a) Dam wall must be less than 5m in height (<10kw) or dam less (b) Minimal altering of water courses / flows if possible than 5m high (c) Develop flood mitigation strategies where required (d) Must not adversely affect communities upstream or downstream, and must be done in consultation with nearby communities (e) Liaise with Environment Division on permitting and design requirements (f) Technical specialist to design infrastructure. 4. Diesel generator (a) Provide a shed for genset (distributed electrical generator system) or (<15 kilovolt-amps) pumps that is accessible for easy maintenance. Regular maintenance is important to avoid spillage/contamination (diesel/petrol/oil). (b) At genset installation, make sure that exhaust pipe ends at the wall side of shed, as the fumes in the shed are unhealthy for the operators. (c) Use generator when noise disturbance to the community will be the least. Sanitation 1. Public latrines/toilets (a) A toilet should be at least 20 metres from water sources (b) Ventilation pipe built in to prevent the build up of gas (c) Any discharge of waste water must be contained and not lead to water contamination or increase human health risks (d) Advice and approval of Health Division must be sought 2. Solid (a) Market: Solid waste depots/disposal need to be located on hard- waste/garbage standing areas that prevent waste entering surface or groundwater 36 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Sub-Project Type Environmental Prevention/Mitigation Measures & Design Elements disposal (b) Waste disposal should be contained, sealed and/or roofed/covered to prevent stormwater contamination. Wastes need to be removed, emptied or burned regularly. (c) Clinic: appropriate disposal of hazardous and contaminated waste done in consultation with Department of Health and sanitation staff. 37 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ANNEX 4: PROTECTION AND MANAGEMENT OF PHYSICAL CULTURAL HERITAGE AND RESOURCES 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. Cultural property include monuments, structures, works of art, or sites of significance points of view, defined as sites and structures having archaeological, historical, architectural, or religious significance, and natural sites with cultural values. This includes cemeteries, graveyards and graves. The operations of the IDIB pose limited risks of damaging cultural property since sub-projects would be identified by the communities themselves who are most likely aware of their own cultural property in the area of operation. In addition, the relatively small size of investments in community infrastructure, reconstruction of existing structures, and minor public works further reduces the risk of “chance find” events. However, in the event of a “chance find” event (when project activities discover unanticipated cultural artifacts), 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. Notify village leaders and secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard or other relevant protection shall be present. d. Notify the CoE Chairperson and the District Manager, who in turn would notify the ABG DCD & IDIB PMU and ABG Environment and Social Specialist (within 72 hours). e. Contact the responsible local authorities 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 relevant division of the DEC. 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. f. Ensure that decisions on how to handle the finding be taken by the responsible authorities. This could include changes in the layout (such as when the finding is an irremovable remain of cultural or archaeological importance) conservation, preservation, restoration and salvage g. Implementation for the authority decision concerning the management of the finding shall be communicated in writing; and h. Construction work will resume only after authorization is given by the responsible local authorities concerning the safeguard of the heritage. 38 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework These procedures will be attached as part of the Sub-Project Grant Agreement between ABG DCD and recipient organizations, and would also be referred to as standard provisions in any construction contracts, when applicable. During project supervision, the Provincial Engineer shall monitor the above regulations relating to the treatment of any chance find encountered are observed. Relevant findings will be recorded by the World Bank in its regular supervision mission and through the Implementation Status and Results (ISR) Reports. If deemed appropriate, the project’s Implementation Completion Reports (ICRs) will also assess the overall effectiveness of the project’s cultural property mitigation, management, and activities, as appropriate. 39 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ANNEX 5: CLAN LAND USE AGREEMENT The Clan Land Use Agreement (CLUA) applies when (i) customary land is required for the subproject; (ii) no suitable alternative sites exist and (iii) customary landowners have agreed for the land to be used for a specific purpose, over a specific timeframe, for the benefit of the whole community. The CLUA does not apply when state- or privately-owned land will be utilized or needs to be acquired. See Annex 2 for list of ineligible activities. It is important that absentee landowners are engaged, and that a suitable witness (non-clan member) signs this agreement. Based on discussions during the project preparation phase, the process that would be used under IDIB to enter into the CLUA is as follows:  If land is required for the identified community sub-project then the clan leaders of the community, along with other community leaders as appropriate (chief, religious leaders, etc.), would organize a meeting with the representatives of the specific clan who have customary ownership of the proposed land;  Any persons with fixed physical assets on the land/proposed site, but not considered a landowner, is involved in meetings and their rights are taken into consideration;  The meeting would discuss the proposed sub-project with the land owning clan to reach an understanding that the subproject is for the benefit of the whole community and change of land use (either permanent or temporarily) is required;  Share the rationale for the sub-project and its proposed siting, and seek the donation of the necessary land by the owning clan;  The landowners would also be notified clearly that their agreement to donating their land should be completely voluntary and will not involve compensation, now or into the future;  If agreement to proceed is reached, then a CLUA will be entered into between the clan, the other clans and the leader of the community;  The CLUA should be endorsed by the CoE;  The signed CLUA will be submitted as part of the sub-project proposal.  The CLUA is submitted to the local magistrate (Commissioner of Oaths) or equivalent for certification. Should natural resources be gifted by community members from an area different to the project site, it is recommended that a similar agreement (‘Resource Use Agreement’), be made and an alternative to the CLUA, but one that specifies which natural resources can be utilized as part of the community contribution. Exit Strategy and Grievances If all landowner parties are in disagreement about the land or conditions of CLUA, or if landowners are excluded from initial discussions then the subproject will not proceed and the grievance process must be followed where relevant. 40 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Autonomous Bougainville Government THE AUTONOMOUS BOUGAINVILLE GOVERNMENT CLAN LAND USAGE AGREEMENT Date: ………………….... 1) We, the undersigned being the representatives of the …………………….. hereby acknowledge that……………………have the right under the native law and custom to lease the land known as ( or more particularly described in the plan on the reverse hereof) for the purpose of …………………….. with the rights to the receive the proceeds of crops, trees and palms grown, livestock grazed and/ or business conducted on the said land. We certify that all members of the said clan agree to the truth of this certificate and that we are the persons authorized by the clan to sign it. …………………………. ………………………… ………………….. Signature of Witness Full Name of Clan Leader His Signature/ Mark …………………………. ………………………… ………………….. Signature of Witness Full Name of Clan Leader His Signature/ Mark …………………………. ………………………… ………………….. Signature of Witness Full Name of Clan Leader His Signature/ Mark 2) We, the undersigned being the representatives of ……………………………… clan of …………………………….. Village, ……………………….., COE, ………………… District … …………………………………………………………hereby declares that; (1) We have the right under customary law to transfer/lease to the ………………….the land as ‘‘………………………….” (Or more particularly describe in the plans on the reverse hereof) for the purpose of establishing the …………………………...facility land; (2) That we transfer rights to use and access the said land to the ……………………. and; 41 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework (3) That we undertake not to interfere in any manner on any activities or developments undertaken by our ………………………on the said parcel of land and; (4) That we agree / disagree to allow the use of natural resources located on the said land (edible or non edible plants/shrubs, sand, gravel, rocks, timber, water sources, bush materials and other organic matters) for the purpose of the said project [please circle]; (5) We commit ourselves in upholding the contents and the spirit of this agreement for so long as it remains in force and understand compensation payments will no be made for this is a gift to benefit our community; (6) We understand that dishonouring this agreement could result in project termination and we will undertake efforts to convey the contents of this agreement to members of the ……………………….clan and to ensure that they so honour it. 3) INVENTORY OF NATURAL RESOURCES Resource/bush materials Quantity ‘Owner’ 4) SIGNATORIES NAME SIGNATURE DATE 1. ………………………………. ……………………… ………………… 2. ………………………………. ……………………… ………………… 3. ………………………………. ……………………… …………………… 5) WITNESSES We, the undersigned being representatives of ……………………………… clan (who share the land boundary with ………………….. clan) hereby declare that by Customary Law, we 42 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework are rightful owners of the land known as ‘‘……………………..” located at ……………………. Village …………………. District and that it has the right by customary law to transfer/ lease the said parcel of land. NAME SIGNATURE DATE ………………………………. ……………………… ………………… ………………………………. ……………………… ………………… ………………………………. ……………………… …………………… 1. ………………………………. ……………………… ………………… Made under our hands these agreements: This _______________ day of _____________________ 201_ at _________________ village _________________ COE __________________________ in Papua New Guinea Submitted to: Commissioner of Oaths at this location _____________________ On this _______________ day of _____________________ 201_ at _________________ 43 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ANNEX 6: ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING AND MANAGEMENT IDIB SAFEGUARDS RISK SCREENING, MANAGEMENT PLAN AND AUDITING SHEET BACKGROUND Title of Subproject Environmental Champion CoE District Region Date of Screening Date of Mitigation Selection Date of Completion Audit Date of Final Audit These tools have been provided to assist in the identification of potential social and environmental risks related to the approved project. They can be modified and expanded upon to suit application that is practical to the local context. 44 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework PART A: RISK SCREENING AND IDENTIFICATION This section is complete by the Environmental Champion, with assistance from the women’s group and project support staff at the proposal preparation stage. Risk Identification Y/N Comments Action Code GENERAL Does the group have the technical skills and resources to be able to implement the project and associated mitigation measures in a sustainable manner? Have community contributions (sweat equity) been specified? Can the project be delivered within the K50,000 budget? Is there agreement from resource owners about natural resources (water, timber) that will be sourced locally and gifted as part of the community contribution? Do resource- and land-owners understand the nature of the ‘gift’ and that no compensation will be given, now and into the future? Does the proposed budget match the design and materials needed to complete the project? [Technical person to assess] Will there be a change of land use? If so, will this be permanent or temporary? SITE LOCATION Is the project site located near rivers, waterways or water bodies/ponds? Is the project site located in or near to villages and residential areas? Is the project site located in or near to sensitive ecosystems or conservation areas (mangroves, forests, etc)? Is the project site located on or near steep slopes or areas prone to erosion? Is the project site located on a roadside? Is the location vulnerable to natural disasters, such as flooding, saltwater inundation, tidal/storm surges, drought, landslides, etc? Does disagreement about the ownership of the land selected exist? Has a formal land agreement (CLUA) for the plot been signed by landowners? Is the land more than 5% of the community’s area? Does anyone have any gardens, crops or fixed assets on the nominated land? Will their livelihood be negatively affected? Is power required or available? Is there a safe place to secure stockpiled materials? Is there any security risk for the selected project site? (damage, theft, etc) 45 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Risk Identification Y/N Comments Action Code CONSTRUCTION Will construction take place in the wet season? Will coastal areas be impacted by construction / physical works? Will sensitive environments or important animal habitats be impacted? Will retaining walls, culverts or ditches be constructed? Will land levelling be required during construction? Will heavy machinery be used? (tractors etc) NATURAL RESOURCES Will land or vegetation clearing be required during construction? If so, has permission been given by relevant persons and an agreement signed? Will the project remove, damage or disturb any natural landscape features, natural resources, crops/gardens, or cultural sites during construction? Is the quantity of land and/or natural resources being disturbed known? If so, has this been acknowledged within the community? Will the project involve use or extraction of gravel, sand or rock/pebble from coastal areas and/or the local area? Where will these be sourced? If so, has permission been given by relevant persons and an agreement signed? Will cutting of timber for bush materials be required? Is replanting crops, trees and shrubs post-construction planned? AIR AND NOISE POLLUTION Is construction likely to result in dust and noise pollution? Will excessive dust, smoke, gases, odors or noise be generated? WASTE Does a proper waste disposal area exist in or near to the project site (and away from water bodies)? What are the current methods of waste disposal? Will new waste facilities be a part of the project? Will discharge of waste water be required? HAZARDOUS MATERIALS Will hazardous materials be used? (fuel, paint, chemicals, batteries, asbestos etc) Will hazardous wastes be generated? (chemicals, contaminated medical wastes, etc) Will solid waste materials be generated? (rubbish, building materials, etc) Will any liquid wastes be generated? (wastewater etc) 46 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Risk Identification Y/N Comments Action Code Will storage of hazardous materials or chemicals be required? (e.g. health clinic) Will pesticides or fertilizers be used or applied? Does anyone have experience with handling hazardous materials? WATER AND SANITATION Will the project require water and place additional demand on local supply? If so, is the quantity known? Has permission been given by relevant persons and an agreement signed? Will small dams (<5m high) or mini-hydro be built? Will natural waterways be diverted? Will drinking water sources be impacted and are they at risk of contamination? Will water be sourced directly from springs or creeks by installing pipes? Will water wells or soak wells be built? Will water pumps and/or water tanks be installed? Will new or upgraded plumbing and drainage need to be installed (including storm water drains)? Will new or upgraded sanitation facilities (toilets) be installed? Do any septic tanks or sanitation facilities exist near to the project site? AGRICULTURE Does the project involve expansion of farming or intensification of agricultural activities? Has the applicant sought advice from the Department of Primary Industries regarding the plans? PART B: MITIGATION AND MANAGEMENT MEASURES After risk identification is completed, this section is filled out by the Environmental Champion with input from technical specialists where relevant. Action Applicable? Completed at Environmental and Social Issues Mitigation actions to prevent negative impacts Code (Y/N) Audit? (Y/N) 0101 Minimise the removal of trees and plants. 0102 Community consensus is reached on site selection site with whole 01. Site clearance and land disturbance community to ensure subproject activity does not conflict with or remove a persons livelihood and sensitive / disputed / tambu sites are 47 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Action Applicable? Completed at Environmental and Social Issues Mitigation actions to prevent negative impacts Code (Y/N) Audit? (Y/N) avoided 0103 Site is away from steep slopes, rainforest, wetland, rivers, sensitive ecosystems and other critical habitats such as animal feeding and nesting grounds 0104 Use of heavy machinery conducted by trained persons only 0105 No disturbance of land until confirmation that land is able to be used for subproject by completing Clan Land Use Agreement (CLUA), and that it is less than 5% of landholdings 0106 Stop any activity if ecologically sensitive areas are disturbed 0107 Replant any plants, fruits trees or medical herbs that were cut during site clearance. 0108 Stop any activity if cultural heritage sites are uncovered, follow Chance Find Procedures and contact relevant authorities 0201 Consult community regarding appropriate timing of noisy activities 0202 Use noise-control methods (barriers/ shelter/ muffling devices) and 02. Noise disturbance maintain a buffer zone if possible 0203 Minimise project transportation, particularly heavy vehicles, through residential areas 0301 Do not burn debris or waste materials in proximity to village 0302 Use water on access roads and tracks to reduce wind-induced erosion 03. Air quality and dust generation where practical; and cover windows in houses 0303 Cover stockpiled materials 0401 Limit ground disturbance to small areas and minimize removal of trees and plants. 0402 Complete construction works during dry season and avoid wet season 0403 Construct temporary/permanent structures / barriers to control erosion 0404 Stabilize sloping or cleared area before construction with gabions (walls / stones), ditches and/or terraces as appropriate 04. Soil erosion and contamination 0405 Construct retaining walls to hold back loose sediments and use mulch, grasses or compacted soil to stabilize exposed area 0406 Avoid construction on unstable soils, steep slopes and near riverbanks 0407 Minimize length and steepness of slopes for bridges 48 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Action Applicable? Completed at Environmental and Social Issues Mitigation actions to prevent negative impacts Code (Y/N) Audit? (Y/N) 0408 Re-plant trees and re-vegetate cleared areas immediately after construction 0409 Confine construction site with trench or bund (mound) to avoid surface runoffs from entering surrounding environments. 0410 Do not discharge water in areas that are steep and unstable. 0411 Construct proper drainage systems to divert water away from activity site and other sensitive environment including ditches for water flows to carry surfaces run-off away from erodible areas and slopes, and line steep channels/slopes with palm fronds, mulch, rocks etc to reduce run- off. 0412 Drain storm-water through a single filtered outlet by passing the water over gravel/sand sieve, then over vegetated surface to remove organic pollutants before discharging on to any drainage system. 0413 Stop any activity that is causing excessive erosion and turbidity 0501 Select sites away from riverbanks and creeks, with a buffer of approximately 20m 0502 Natural water flows should not be altered or changed 0503 Construct proper drainage systems 0504 Keep waste and hazardous materials away from water bodies and do not dispose of waste in creeks or rivers 0505 Manage site safety to avoid contamination of drinking water from waste materials and pollutants Water (groundwater, surface water run- 0506 Wells should always be located upstream of any septic tank soak-away. 05. off, turbidity, contamination) Minimum 15 m distance from septic tank is recommended to avoid contamination 0507 Do not discharge solid or liquid wastes in waterways or on coastal environment 0508 Avoid sedimentation of waterways and coastal areas through erosion control methods (see section 4 on erosion) 0509 Protect water sources from overuse and salt intrusion through the use of buffer zones and barriers where necessary 0510 Dispose of waste water in soak pits 49 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Action Applicable? Completed at Environmental and Social Issues Mitigation actions to prevent negative impacts Code (Y/N) Audit? (Y/N) 0511 Construct culvert around well and cover well with lid 0512 Avoid logging, large-scale animal farming/aquaculture and major construction activities in the water catchment area 0601 Collect and transport construction waste to appropriately designated/controlled dump sites, far from villages 0602 Keep waste sites at least 300 meters away from water bodies and wetlands 0603 Hazardous materials handled with protective equipment by trained 06. Waste (solid and hazardous) persons only 0604 Proper disposal of contaminated waste materials in designated/approved sites 0605 Protocol of accidental spills is in place (emergency response) 0606 Indicate hazards through signs, pictures and labels 0607 Do not use chemicals, pesticides or fertilizers 0701 Avoid construction works that will significantly alter the landscape 07. Visual 0702 Revegetation areas as soon as possible 0801 Seek permission of environmental authority for permitting and approval of material use (sand, gravel, etc). 08. Extraction of materials 0802 Limit extraction of sand or gravel 0803 Source sand, rocks and gravel from approved quarry 0901 Build appropriately-designed infrastructure to relevant specifications 09. Natural Hazards 0902 Avoid areas prone to natural hazard events (flooding, spring tides etc) 0903 Consider climate affects on location and materials 1001 Limit use of heavy machinery by trained persons only 1002 Proper management of hazardous materials and waste, and disposal in designated areas 1003 Awareness of dangers on site and occupational, health & safety 10. Community and worker safety requirements 1004 Storage of medicines consistent with Ministry of Health standards 1005 Facilities upgraded in consultation with Ministry of Health in reference to RWSS sanitation manual 1006 Locked storage of fuels, paints and chemicals (cool, dry shed) 50 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Action Applicable? Completed at Environmental and Social Issues Mitigation actions to prevent negative impacts Code (Y/N) Audit? (Y/N) 1007 Contain mixing area for concrete / bitumen to avoid spillage and contamination of surrounding environment. 1008 Encourage skilled villagers to participate in and supervise construction works 1009 Keep extra materials stockpiled in a safe place undercover, away from walkways 1101 Ensure outside workers respect the code of conduct of construction activities in the community through briefing session 1102 Subproject activity does not conflict with or remove a persons livelihood (e.g. purchase of solar panels does not remove a persons phone- 11. Social Impact recharging enterprise) 1103 Identify community members with key responsibilities for project implementation 1104 Grievances resolved using the grievance redress mechanism 1105 Discontinuation of project if conflict arises and exit strategy followed 1201 Undertake training on farming techniques, pesticide and fertilizer use with qualified person/s 1202 Develop environmental management plan specific to farming activities and techniques, detailing monitoring frequency, in consultation with the Department of Primary Industries Establishment or intensification of 1203 Ensure a buffer zone of at least 20m between gardens/plots and 12 farming and agricultural activities waterways 1204 Minimize application of pesticides and fertilizer use by using organic options where viable, and store pesticides and fertilizer in a dry place away from water ways or wet areas that is not accessible to children 1205 Conduct soil testing or trial plots in different areas to ensure best site with most fertile soil for food production is selected 51 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework Findings at Environmental and Social Audit (Sub-Project Completion Stage) I certify that the environmental and social mitigation measures identified at Project Appraisal have been;  Are adequately completed  Need to be referred to the Environment Officer for further assessment  Have the following omissions and defects which need to be rectified before a final completion certificate is issued: a. ........................................................................................................................................................................................................ . b. ........................................................................................................................................................................................................ . c. ........................................................................................................................................................................................................ . _____ ________ IDIB PMU Officer (Name & Signature) ________ ________ Environmental and Social Safeguards Champion (Name & Signature) 52 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 53 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ANNEX 7: GRIEVANCE REDRESS MECHANISM PART I. Grievance Procedures The IDIB Project takes seriously any grievances or issues of a serious nature about any aspect of the Project. If there are grievances or issues about procedures or project processes relating to small grants they should be handled as follows: i. Individuals should present any complaints and grievances to the Executive/Chairperson of the Grantee Organization. ii. The Grantee Executive/Chairperson will present the complaint or grievance to the Project Office addressed to the Project Coordinator (PC), who will assess the nature and validity of the complaint or grievance. iii. If the PC considers the procedures were not complied with; the complainant, in consultation with the PC, should present a written submission to the Provincial Grants Committee (PGC), within 14 days of being aware of the misdemeanour. iv. The PGC will record the complaint or grievance and commence procedures to investigate the issues raised. v. A three (3) person Complaints Sub-committee will be instigated by the PGC to review all aspects of the process followed and the documents submitted by the complainant. The committee may be from the PGC or delegated officers from representative agencies on the PGC. The Complaints Sub-committee will provide a written evaluation to the IDIB PC and the complainant. The decision of the Complaints Sub-committee will be final. vi. If the complaint relates to the Executive/Chairperson of the Grantee Organization, Grants Officer or PC, the complainant should approach the CEO, DCD in the first instance. If a grievance or complaint relates to other aspects of the project and/or how project staff have conducted themselves, the matter may be heard by the Project Steering Committee (PSC) if it cannot be resolved by the CEO DCD. i. Individuals should present any complaints and grievances to their Executive/ Chairperson of the Grantee Organization if applicable or directly to the PC who will assess the nature and validity of the complaint or grievance. These matters should be taken up within 14 days of being aware of the misdemeanour or complaint. ii. If the complaint applies to the PC, the matter should be taken directly to the CEO DCD in a written submission within the required timeframe. iii. If the CEO deems it, the matter may be taken further to the Project Steering Committee (PSC). iv. The CEO, DCD or the PSC will record the complaint or grievance and commence procedures to investigate the issues raised. v. A three (3) person Complaints Sub-committee will be instigated by the PSC or the CEO, DCD, to review all aspects of the process followed and the documents submitted by the complainant. The decision of the Complaints Sub-committee or the CEO, DCD will be final. 54 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework The IDIB Project takes seriously any grievances or issues of a serious nature about any aspect of the Project. If there are grievances or issues about procedures or project processes relating to small grants they should be handled as follows: vii. Individuals should present any complaints and grievances to the Executive/Chairperson of the Grantee Organization. viii. The Grantee Executive/Chairperson will present the complaint or grievance to the Project Office addressed to the Project Coordinator (PC), who will assess the nature and validity of the complaint or grievance. ix. If the PC considers the procedures were not complied with; the complainant, in consultation with the PC, should present a written submission to the Provincial Grants Committee (PGC), within 14 days of being aware of the misdemeanour. x. The PGC will record the complaint or grievance and commence procedures to investigate the issues raised. xi. A three (3) person Complaints Sub-committee will be instigated by the PGC to review all aspects of the process followed and the documents submitted by the complainant. The committee may be from the PGC or delegated officers from representative agencies on the PGC. The Complaints Sub-committee will provide a written evaluation to the IDIB PC and the complainant. The decision of the Complaints Sub-committee will be final. xii. If the complaint relates to the Executive/Chairperson of the Grantee Organization, Grants Officer or PC, the complainant should approach the CEO, DCD in the first instance. If a grievance or complaint relates to other aspects of the project and/or how project staff have conducted themselves, the matter may be heard by the Project Steering Committee (PSC) if it cannot be resolved by the CEO DCD. vi. Individuals should present any complaints and grievances to their Executive/ Chairperson of the Grantee Organization if applicable or directly to the PC who will assess the nature and validity of the complaint or grievance. These matters should be taken up within 14 days of being aware of the misdemeanour or complaint. vii. If the complaint applies to the PC, the matter should be taken directly to the CEO DCD in a written submission within the required timeframe. viii. If the CEO deems it, the matter may be taken further to the Project Steering Committee (PSC). ix. The CEO, DCD or the PSC will record the complaint or grievance and commence procedures to investigate the issues raised. x. A three (3) person Complaints Sub-committee will be instigated by the PSC or the CEO, DCD, to review all aspects of the process followed and the documents submitted by the complainant. The decision of the Complaints Sub-committee or the CEO, DCD will be final. 55 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework PART II. Exit Strategy for Problem Subprojects These guidelines are to be used when it is beyond doubt that factors affecting a sub-project cannot be resolved or require support beyond IDIB’s capacities. The guidelines allow the PMU to systematically respond to such situations by outlining what action is to be taken during both sub-project preparation and sub-project implementation. The actions described will also help communities avoid lengthy deliberation processes or extended periods of inactivity by providing time-bound steps leading to judicious decisions on sub-project termination. These steps need to be explained to communities as soon as a CDW or other IDIB staff flags a project as potentially problematic. I. Preparation Stage (to the point of funds transfer to Bank Account) Examples of likely issues leading to initiation of the exit process:  early stage land dispute issues emerge which are unlikely to be resolved during preparation phase,  unable to complete CLUA or obtain consent letters from landowners and resource owners,  high probability of potential mismanagement or capture of funds, goods or assets by individuals or families  religious, social or other divisions within the community indicate that public access to sub-project assets will be limited,  community is unable to confirm/provide their contribution,  co-funders do not provide signed proof of contribution or signed co-funding letter,  cost of sub-project exceeds the budget ceiling and no co-funding is available. STEPS TO FOLLOW: 1.1 CDW advise the PMU of emerging issue/s by providing a brief written report (this is important for records/information consistency) specifying (i) the sub-project and (ii) with reference to the above list of issues, the reason/s for identifying it as a potential problem sub-project, 1.2 Within two weeks of identification of a potential problem sub-project the PMU PC verifies CDW information through discussion and consultation with the community, 1.3 If the problem cannot be resolved within two weeks of the consultation, or within IDIB staff time and skills, the PC makes a report with recommendations for termination of sub-project preparation to the Provincial Secretary and, 1.4 The Secretary writes a letter to community through IDIB informing it of the decision to terminate the sub-project. 56 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework II. Implementation Stage (funds in bank account) Examples of likely issues leading to sub-project termination during implementation:  land dispute,  water source dried up,  over ten percent of materials unaccounted for,  evidence of any financial or procurement irregularity,  DCD not functioning as (i) implementing body, or (ii) means of communicating information on the sub-project to the community,  no community support,  nil or insufficient community’s contribution,  no progress with procurement of goods or building works. Progress will be measured against the time frame set out. Slippage of more than three months from this time frame will automatically trigger flagging as a problem sub-project for investigation  religious, social or other divisions within the community indicate that public access to sub-project assets will be limited,  complaints received from the community relating to the above or about other issues are likely to lead to sub-project failure (note, any communications/complains from community members/others directed to CDW will be directed to the PC for investigation) STEPS TO FOLLOW 2.1 CDW/DCDO advises PMU by providing a written report specifying (i) the sub- project and (ii) with reference to the above list of issues, a description of the reason/s for identifying it as a potential problem sub-project, 2.2 PC convenes a consultative meeting with key stakeholders 2.3 a grace period of one month is given to work on and resolve issues, 2.4 within the final week of this month, a report has to be sent by the PC to the DCD and CoE 2.5 The report will contain: 2.5.1 summary of sub-project information; 2.5.2 summary of current financial, legal (including contract dues) and construction progress status; 2.5.3 description of the issue/s affecting the sub-project and recommendations; 2.5.4 time line of remedial action already undertaken or, ONLY for sub-projects where there is a very high probability of successful remedial action, benchmarks of sub-project progress to be achieved in the 2 months following the grace period; 57 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 2.5.5 recommendation of the CoE and its rationale regarding the current rating of the sub-project. At this stage a sub-project can be rated as (i) recommended for termination (where problems have proved unresolvable), or (ii) under close observation (where the plan developed during the grace period requires more time to assess the outcome). This observation period can be for a period up to 2 months and progress will be tied to benchmarks established during the grace period. The rating can only be applied to sub-projects where there is very high potential of success. Should the benchmark not be achieved, the sub-project will automatically revert to “recommended for termination” status. 2.5.6 PC submits a report to the DCD CEO with cover letter advising on (i) on the sub-project status, (ii) the normal IDIB course of action to be followed by the PMU (for close observation or termination) 2.5.7 Copies of the report and letter are sent to the PC, CoE and grantee organization’s chairperson. 2.6 In the instance of a sub-project being recommended for termination, the DCD CEO will write a letter of termination to the grantee organization’s chairperson, copied to the CoE, DCDO, CDW, and PMU, informing the community of the final decision and grounds of termination. This letter should also:  reiterate the steps taken to make the decision to terminate the sub-project,  the responsibilities of IDIB staff in closing the sub-project,  the responsibilities of the community in relation to closure of the sub-project. This will reference the article of the Financing Agreement relating to termination of the FA, 2.7 The CDWs will retrieve unused stock or materials and arrange re-imbursement of unspent funds to IDIB 2.8 Within two months of the letter, PMU accounts and procurement staff will prepare a termination statement which the PC will include in a pro-forma exit report. 58 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework ANNEX 8: SUMMARY OF COMPLIANCE WITH SAFEGUARDS POLICY OP 4.10, INDIGENOUS PEOPLES 1. The project triggers OP 4.10 on Indigenous Peoples as most of the communities in the project area fulfill the characteristics of indigenous peoples as per paragraph 4 of OP 4.10. The project has integrated the following aspects of an IP Plan in design and preparation: a. Free, prior and informed consultation leading to broad community support (during preparation): As part of project inception, numerous meetings were conducted in the targeted LLGs with community representatives, local level government representatives, youth and women’s groups, and other relevant stakeholders. A sample of wards within the selected pilot LLGs were visited to discuss the project concept and inform project design. A series of visits and training took place, and support was provided by the DCD, to ensure communities could make an informed decision about their participation in the project, and suitable selection of the subproject options and design.  Consultations carried out by the task team during pre-appraisal and appraisal also indicated broad support for the goals and design of the project. Validation of the subproject by the community is a key step at the time of subproject appraisal, prior to any activities being implemented, and is an opportunity for the community to express their support for the subproject. b. Free, prior and informed consultation (FPIC) leading to broad community support (during implementation): Given the demand-driven nature of the project, the Project Operations Manual (POM) lays out the process for community consultation during the sub-project cycle. The POM outlines participation strategies for implementation, management, monitoring and evaluation. It ensures that communities will:  Have access to relevant information on project activities and stages;  Be asked to contribute ideas for appropriate changes based on ongoing experience so that project outcomes are effective and sustainable;  Be assisted through a ward prioritization process to determine specific support priorities;  Enter into formal agreements (with mutual responsibilities) with the project before activities begin;  Be assisted to develop budgets and implementation schedules to manage local implementation of activities;  Be assisted to implement activities specific to the support agreed.  These elements have been integrated into the Project Operations Manual and communities will be sensitized and trained in its application prior to when sub-project 59 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework activities will be identified and undertaken, thereby allowing time for proper consultation and decision by communities to participate or not in the project. c. Measures to ensure social and economic benefits: The project recognizes that there are communities within the project area that may be vulnerable to exclusion from project benefits because of their geographic location or social standing. The project will ensure that sufficient travel resources are available to travel to more distant locations to assist the more isolated areas in competing on a more level playing field with those communities that have easier access to the training and other support resources of the project. Consultation and engagement methods will cater to groups, particularly women, that may be vulnerable to exclusion in project benefits and processes, and relevant support staff will be trained on strategies to create an enabling environment for social inclusion. Such groups include:  Women, who are generally marginalized in community decision-making, particularly financially related.  Illiterate community members, women in particular, who face difficulty communicating in common languages, not only English, but Pidgin and Motu.  Youth, who are often excluded from community-level decision-making around other development activities.  Migrant groups who may be resented in their communities and lack voice or be excluded from service delivery benefits.  Measures to address these challenges to provide benefits and mitigate potential adverse effects of the project to these groups, include: (a) female CDWs will be hired as part of the PMU to identify strategies to enhance the engagement of women in all communities and in wards where specific challenges exist; (b) CDWs will be instructed via the Guide to Field Implementers to aim for broadly inclusive process (focusing on gender and age balance), in the composition any committees; (c) DCDO’s will translate all instructions and materials into the local language (tok ples) for ward residents, particularly the illiterate; (d) traditional leaders will be consulted at the point of project entry to the community to ensure their recognition, respect and support to the project; (e) and an Independent Monitoring Group, a local NGO, will be hired to visit recipient communities to identify any cases of exclusion, dispute, disparity in the receipt of benefits, in particularly minority groups such as migrants. d. Culturally-appropriate grievance mechanisms: The project design incorporates a grievance redress mechanism that is reflective of group cultures and respects local governance processes. Intra-community resolution will be prioritised with community leaders, local authorities, village courts, before resorting to project-specific lines of authority from the ward to the District and national PMU. The use of mobile phone, SMS messaging to provide project feedback and to channel complaints will also be trialled and scaled-up, if proven viable in the project areas, however there should be no cost to the user (reimbursement is an option). 60 Inclusive Development in Post-Conflict Bougainville~ Environmental and Social Management Framework 61