Page 1 INTEGRATED SAFEGUARDS DATASHEET APPRAISAL STAGE I. Basic Information Date prepared/updated: 11/14/2007 Report No.: AC3187 1. Basic Project Data Country: Bolivia Project ID: P106449 Project Name: Disaster Recovery and Vulnerability Reduction Project Task Team Leader: Jose C. Joaquin Toro Landivar Estimated Appraisal Date: October 26, 2007 Estimated Board Date: December 20, 2007 Managing Unit: LCSUW Lending Instrument: Emergency Recovery Loan Sector: Flood protection (100%) Theme: Other urban development (P) IBRD Amount (US$m.): 0.00 IDA Amount (US$m.): 12.50 GEF Amount (US$m.): 0.00 PCF Amount (US$m.): 0.00 Other financing amounts by source: BORROWER/RECIPIENT 0.00 0.00 Environmental Category: B - Partial Assessment Simplified Processing Simple [] Repeater [] Is this project processed under OP 8.50 (Emergency Recovery) or OP 8.00 (Rapid Response to Crises and Emergencies) Yes [X] No [ ] 2. Project Objectives The project objective is to assist implementation of the current emergency recovery program under the Sustainable Rehabilitation and Reconstruction Plan (PRRES) and assist with advancing the institutionalization of risk management and recovery activities in preparation for and prevention of future disaster events. This objective will be achieved through: a) strategic planning for sustainable reconstruction and vulnerability reduction, including incorporation of risk management into public investment; b) construction of the works identified and validated in the PRRES; and c) institutional strengthening of the National System for Risk Management. At project completion, the following will have been achieved: a) implementation of the small works projects prioritized in the PRRES; b) development of a long-term strategy for the implementation of rehabilitation and reconstruction activities in future disasters; c) increased capacity for disaster response, reconstruction, and prevention at the national, local, and sector levels. Page 2 3. Project Description The project is divided into 3 components: • Component 1: Strategic Planning for Sustainable Reconstruction US$830,000 • Component 2: PRRES Implementation US$8,000,000 • Component 3: Institutional Strengthening (at National, Regional, Local, Sectoral levels US$1,173,200 These components are designed to provide assistance with the current emergency recovery program under Sustainable Rehabilitation and Reconstruction Plan (PRRES) and assist with advancing the institutionalization of risk management and recovery activities in preparation for future disaster events. Components were prepared based on the needs for the current situation and are complementary to the current UNDP program for institutional strengthening in disaster risk reduction.A detailed description of the project components is presented in Annex 1. Component 1: Strategic Planning for Sustainable Reconstruction - US$830,000 Under this component, activities will be focused on the development of plans, strategies and institutional norms relating to reconstruction/rehabilitation and risk mitigation for works executed in response to adverse natural events. These efforts will initially focus on those activities required to implement the present reconstruction activities to be executed under PRRES and develop a long-term strategy for the implementation of reconstruction activities in future disasters. Efforts will include the development of norms, legislation, and information systems required to support disaster recovery operations and will support the development of a risk management fund (FORADE). This component is divided into 5 sub-components. 1.1 Institutional Implementation Support for disaster reconstruction and rehabilitation under PRRES. VPEP ( Vice minister of Multi-Annual Strategic Planning) 1.2 Incorporation of Risk Management in the Territorial Planning Processes 1.3 (VIPFE) Incorporation of Risk Management in Public Investments 1.4 VPEP Development support for (SNID- National Information System) 1.5 (VPEP) Design of a National Financial Protection Strategy and Risk Management Fund (FORADE) Component 2: PRRES Implementation - Plan for Sustainable Rehabilitation and Reconstruction (Plan de Rehabilitacion y Reconctruccion Sustenible) Rehabilitation and Reconstruction works for the 2006-2007 El Nino US$8,000,000 A series of rehabilitation/reconstruction works will be undertaken in an effort to restore damaged infrastructure. Such reconstruction works will only be financed in specific areas determined to have been particularly affected by El Niño.The average cost of the small works is estimated to be less than US$100,000 with numerous works identified costing less than US$20,000. Page 3 Activities to be financed include rehabilitation of flood damaged infrastructure and restoration of productive capacity. Rehabilitation of damaged flood infrastructure would involve investments, inter alia, in the following: potable water systems; sewage systems and ground wells, bridge and road repairs Restoration of productive capacity would involve investments, inter alia, in the following; risk reduction systems, water intakes, small earthen dams, riverbanks, filtration galleries and the related activities. Physical works under this component have been identified by local communities and submitted by Municipalities, Perfecturas and related sectoral agencies. There are 3 sub- components including: 2.1 Execution of Rehabilitation Works 2.2 Execution of Reconstruction Works 2.3 Accompanying Technical Supervision for the Execution of the Works Component 3: Institutional Strengthening (at National, Regional, Local, Sectoral levels US$1,173,200 As an initial approach to the long-term integration of improved procedures and mechanisms for disaster reconstruction/rehabilitation, this component will build on the experiences of the current reconstruction program to improve recovery operations. Divided into 4 sub-components these activities are designed to formalize the recovery operation model and integrate associated sectors in a structured recovery framework for use in future disaster situations. Sub-components include: 3.1 Strengthening of National Risk Management System through Implementation of Component 1 Recommendations 3.2 Strengthening of Risk Management in Sectors 3.3 Strengthening of the System at a Decentralized/Territorial Level 3.4 (VPEP) Project Administration and Management Support 4. Project Location and salient physical characteristics relevant to the safeguard analysis Disaster recovery and vulnerability reduction works will be implemented throughout Bolivia, with particular emphasis on those areas most affected by events caused by the recent El Niño phenomenon. 5. Environmental and Social Safeguards Specialists Mr Gerald E. Meier (LCSUW) Ms Ruth Llanos (LCSSO) Ms Kimberly Vilar (LCSSO) Page 4 6. Safeguard Policies Triggered Yes No Environmental Assessment (OP/BP 4.01) X Natural Habitats (OP/BP 4.04) X Forests (OP/BP 4.36) X Pest Management (OP 4.09) X Physical Cultural Resources (OP/BP 4.11) X Indigenous Peoples (OP/BP 4.10) X Involuntary Resettlement (OP/BP 4.12) X Safety of Dams (OP/BP 4.37) X Projects on International Waterways (OP/BP 7.50) X Projects in Disputed Areas (OP/BP 7.60) X II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the proposed project. Identify and describe any potential large scale, significant and/or irreversible impacts: Involuntary resettlement No involuntary resettlement is planned under this project and no such plan exists within any of the competent ministry of the Government of Bolivia. During the execution of the project, the theme will be explored in concept as a risk reduction strategy. Environmental Assessment (OP/BP 4.01) Numerous small works will be carried out under the project. Individual works will be implemented in locations throughout the country. During the preparation of the project, individual works will be identified, scoped and evaluated for potential environmental impacts. It is expected that most if not all small works activities will likely be classified as category C for environmental purposes as they will entail the repair or reconstruction of existing infrastructure damaged or rendered useless as a result of the disaster events. In this case an environmental compliance program will be developed and included in the project operations manual including the use and enforcement of environmental protection contract clauses to be executed during the construction of the works. As the project is evaluated, an environmental assessment and environmental management plan will be developed and submitted in accordance with Bank policies in conjunction with the project preparation process. Should additional environmental requirements be identified, these will be addressed in the EA and included in the EMP. Anticipated Environmental Impacts Physical works under this component have been identified by local communities and submitted by Municipalities, Perfecturas and related sectoral agencies. A preliminary list of pre-identified works has been provided by the FPS from the PRRES execution plan. On initial review, all projects proposed appear to be category C under Environmental Assessment (OP/BP 4.01). The works contemplated under this project are of small scale or fall under the category of technical assistance. Specifically: Page 5 • Works will not occur in protected areas. • Works will not include any new constructions or amplification of infrastructure such as treatment plants, water intakes or transportation facilities. • Works are designed to rehabilitate and strengthen damaged infrastructure or agricultural production facilities. • Works will occur only in existing areas of production. • Works are small scale in nature. • No relocations will occur as a result of the project and none are planned in the project areas by any competent Bolivian Government Ministry. Environmental assessment process for small works Under this project, environmental assessment will be conducted jointly between the Bank and FPD and Ministry of Planning. Each works project will be reviewed as final works descriptions are prepared and as necessary site visits will be conducted to verify conditions. Given the emergency nature of the project, Bank supervision will be more intensive than typical Bank projects and the project team will participate jointly with Ministry of Planning in insuring Bank requirements are met. Screening An initial screening has been conducted for the projects currently identified and all appear to well within the threshold of Category C. As more detailed works descriptions are completed, the supervision team will conduct a mission to verify the scope and impact of works. Site visits will be conducted as necessary to verify local conditions and scope of works. As there are three basic categories of works, the team will prepare an environmental review of the works proposed, by category and determine environmental contract requirements as presented in the operations manual. In the highly unlikely event that exceptions are identified which might promote an activity to category B, a separate environmental assessment will be prepared for the works identified. Environmental Assessment will be conducted to comply with Bank policy and Bolivian national law to determine the type and nature of impacts anticipated. This will include an environmental management plan for the specific activity together with required public consultation processes. Given the requirements of the EA process and the urgent nature of the works, the decision will be left to the Bolivian government as to whether to pursue the process or remove works from further consideration. If during the life of the project, works meeting Category A criteria are proposed, they will be rejected and not included in the program. Bolivian Law Under Ley Ambiental 1333, a ficha ambiental may be required for the works included in the program. In addition to Bank screening and oversite, the Ministry of Planning will be responsible for processing works under this process and obtaining the Ficha Ambiental (if required). Apart from fulfilling the requirements of national law, this process adds an Page 6 additional layer of oversight to the environmental compliance process. No works will proceed without compliance with this process. Environmental Supervision and Vigilance Environmental supervision will be conducted by both the Bank project management team and the Bolivian Government. The Bank supervision team will works closely with Ministry of Planning and Ministry during the works identification, engineering and design phases of the work cycle. During these phases, environmental classifications will be determined and contract requirements will be identified. The Bank team will ensure that appropriate environmental control measures are applied to the specific works prior to the issuing of contracts. During the Execution of works, the environmental officer of the Perfectura together with Ministry of Planning will conduct environmental inspections and oversight to ensure contract compliance. The bank supervision team will make spot inspections as needed to ensure the process is being enforced. Acceptance of completed works will be managed by the Ministry of Planning with the municipalities.This will be forwarded to the bank in the form of an acceptance report together with a certification of environmental compliance for Bank review. Indigenous Peoples (OP/BP 4.10) Socially the projects impacts are wholly positive and while 67% of the general population can be classified as indigenous, those persons living within the project area will benefit equally from the project. As the works program is focused on rehabilitation and reconstruction, no new infrastructure or significant expansion of existing infrastructure will be undertaken. As part of the screening process for individual projects, specific construction activities will be reviewed to assure that apart from restoration of service and risk reduction design, no other changes from the original function will be included in specific works. Where works are to occur on lands designated as indigenous, meetings will be held with the competent indigenous authorities to assure that specific works proposed comply with the desires of the affected community. In the unlikely event that works are identified which result in a significant change in function or may result in significant social impacts, a social assessment will be prepared in accordance with Bank requirements. Physical Cultural Resources The project is not expected to have any negative impact on movable or immovable objects, sites, structures, groups of structures, natural features or landscapes with archeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. It would be very unlikely that any project activity will have any negative impact on physical cultural resources. Nevertheless, if during the execution of the activities, any material is discovered onsite which may be considered of historical or cultural interest, such as evidence of prior settlements, native or historical activities, evidence of any existence on a site which may be of cultural significance, all work shall Page 7 stop and the supervising contracting officer shall be notified immediately, in addition to the National Anthropology Directorate in the Vice- ministry for Culture (Dirección Nacional de Antropología, Viceministerio de Cultura). The area in which the material was discovered shall be marked and the evidence preserved for examination. No work shall resume after evaluation by these entities. SAFEGUARD PREPARATION PLAN During the appraisal mission, an Environmental Management Plan was developed in collaboration with the Government. While the environmental impacts are expected to be limited to the site and duration of the small works contemplated under component 2, the final set of works has yet to be agreed upon. Once the environmental assessment is completed, a set of contract clauses will be selected for inclusion in the operational manual to be attached to small works contracts where environmental impacts are identified as category C. In the unlikely event that works include activities with environmental classifications of category B, an individual environmental assessment for that project element will be conducted and an environmental management plan will be prepared. Other provisions relating to appropriate safeguards will be included as needed. The social assessment will be carried out in two phases. The first stage was completed during the pre-appraisal mission prior to Board approval in order to develop a benefit- sharing strategy reflecting stakeholder interests and participation, risk analysis and communication strategy - though without primary or secondary data collection. Given that no substantial negative social impacts are expected to result from the small works, the second phase will be undertaken by the Government as an activity under Component 3 of the project. As part of a long-term risk reduction strategy, an institutional analysis will be conducted to identify where linkages exist between risk reduction and national planning. During the institutional analysis, the concept of population relocation will be explored as a risk reduction strategy with the various entities identified and assistance will given toward the development of this concept. A social assessment involving data collection and analysis and consultations with key stakeholders will provide the Vice- Ministry of Territorial planning with the tools necessary to begin to study long term land- use policy, including the resettlement of communities highly vulnerable to adverse natural events. The policy for emergency response, OP 8.00, provides that emergency operations are subject to accelerated, consolidated, and simplified procedures and streamlined ex-ante requirements. As such, the supervision process regarding procedures such as safeguards is strengthened. The social and environmental specialists currently working with the team will be closely monitoring these procedures and evaluating these processes during supervision. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: The works program is focused on rehabilitation and reconstruction; no new infrastructure or significant expansion of existing infrastructure will be undertaken. Page 8 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. n/a 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. Given the identified deficiencies of the central and local governments in operationalizing their recently installed legal framework governing disaster response and mitigation, a critical goal of the project will be to strengthen the implementation capacity of the agencies involved. Government capacity to supervise and implement the necessary safeguard policies will be evaluated during the supervision process and will be strengthened if required in order to meet Bank standards. FPS, the implementing agency for the small mitigation works, has been implementing Bank projects for over 5 years and has substantial experience with the Ban k’s procedures. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. As described above, communities and social organizations submitted their project proposals to their respective municipalities and local governments, which in turn submitted them to FPS. In its evaluation, FPS is screening the proposals to ensure that they have undergone proper consultation process. B. Disclosure Requirements Date Environmental Assessment/Audit/Management Plan/Other: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 10/04/2007 Date of "in-country" disclosure 10/04/2007 Date of submission to InfoShop 11/14/2007 For category A projects, date of distributing the Executive Summary of the EA to the Executive Directors * If the project triggers the Pest Management and/or Physical Cultural Resources, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: C. Compliance Monitoring Indicators at the Corporate Level (to be filled in when the ISDS is finalized by the project decision meeting) OP/BP/GP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) report? Yes If yes, then did the Regional Environment Unit or Sector Manager (SM) Yes Page 9 review and approve the EA report? Are the cost and the accountabilities for the EMP incorporated in the credit/loan? Yes OP/BP 4.04 - Natural Habitats Would the project result in any significant conversion or degradation of critical natural habitats? No If the project would result in significant conversion or degradation of other (non-critical) natural habitats, does the project include mitigation measures acceptable to the Bank? N/A The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the World Bank's Infoshop? Yes Have relevant documents been disclosed in-country in a public place in a form and language that are understandable and accessible to project-affected groups and local NGOs? Yes All Safeguard Policies Have satisfactory calendar, budget and clear institutional responsibilities been prepared for the implementation of measures related to safeguard policies? Yes Have costs related to safeguard policy measures been included in the project cost? Yes Does the Monitoring and Evaluation system of the project include the monitoring of safeguard impacts and measures related to safeguard policies? Yes Have satisfactory implementation arrangements been agreed with the borrower and the same been adequately reflected in the project legal documents? Yes D. Approvals Signed and submitted by: Name Date Task Team Leader: Mr Jose C. Joaquin Toro Landivar Environmental Specialist: Mr Gerald E. Meier Social Development Specialist Ms Ruth Llanos Additional Environmental and/or Social Development Specialist(s): Ms Kimberly Vilar Approved by: Regional Safeguards Coordinator: Mr Reidar Kvam Comments: Sector Manager: Mr Francis Ghesquiere Comments: