SFG2255 REV Increasing Resilience to Climate Change and Natural Hazards Environment and Social Management Framework Vanuatu Metrology and Geo-hazards Dept, Government of Vanuatu World Bank Project P112611 April 2017 1 Contents 1 Introduction .................................................................................................................................... 3 2 Project Description.......................................................................................................................... 4 3 Potential Environmental and Social Issues ..................................................................................... 9 4 Legal Framework ........................................................................................................................... 24 5 Processes for Sub-Project Screening and Mitigation .................................................................... 28 6 Grievance Redress Mechanism ..................................................................................................... 32 7 Consultation and Disclosure ......................................................................................................... 36 8 Institutional Arrangements, Responsibilities and Capacity Building ............................................ 37 Annex A Activities that will not be funded under IRCCNH ................................................................... 39 Annex B Grievance Report Form........................................................................................................... 40 Annex C Environmental and Social Safeguards Screening Form .......................................................... 41 Annex D Land Use and Impacts Checklist ............................................................................................. 46 Annex E Community Managed Asset Summary Record ....................................................................... 48 Annex F Content of Community Asset Management Plan ................................................................... 49 Annex G Handover of Asset to Community .......................................................................................... 50 Annex H Pro Forma Record of Community Consultation ..................................................................... 51 Annex I Record of Incidents and Complaints ........................................................................................ 53 Annex J Sample Matrix for Recording / Filing Safeguards Monitoring Actions .................................... 54 Annex K Legislation for Environmental Assessment ............................................................................. 55 Annex L Chance Find Procedure ........................................................................................................... 57 Annex M EMP Outline ........................................................................................................................... 58 2 1 Introduction The Increasing Resilience to Climate Change and Natural Hazards Project (IRCCNH) is a program of works for Vanuatu to improve the resilience of smallholders and communities to the impact of climate variability and change on food, household water security and livelihoods. The project has been effective since April 2013, but in February 2017 the Government of Vanuatu (GoV) requested a restructure to simplify the project and focus on community-level investments following Tropical Cyclone (TC) Pam. The revised Project Development Objective is to strengthen disaster risk management systems and pilot investments in select villages in the Recipient’s territory to increase resilience to the impacts of natural hazards and climate variability and change. The proposed support will focus on resilient livelihoods through increased access to fresh water and improved agricultural methods, and will be implemented by the Project Management Unit in the Vanuatu Metrology and Geo-hazards Department (VMGD). This Environment and Social Management Framework (ESMF) sets out the principles and procedures for managing the environmental and social aspects of the restructured project, and supersedes the previous ESMF dated 20 March 2012. The rationale of applying a framework is that specific details of the project activities will only be known during project implementation. The purpose of a framework is to guide the VMGD on how to screen the activities and manage any issues during implementation. The EMSF report outlines the IRCCNH project, its components, the possible environmental and social impacts, institutional arrangements and the appropriate mitigation measures. The ESMF is consistent with the laws of Vanuatu and World Bank Safeguard Policies. A Land Acquisition Framework, dated May 2017, covers aspects of the Project in relation to OP4.12 Involuntary Resettlement. This document is final version and will form part of the legal agreements between GoV and the World Bank. It will be officially disclosed by both partners, and may be amended from time to time as agreed between the partners. 3 2 Project Description 2.1 Background Geographically Vanuatu is located in the "ring of fire" and at the centre of the Pacific "cyclone belt". This results in a relatively high frequency of volcanic eruptions, cyclones, earthquakes, tsunamis, storm surges, coastal and river flooding and landslides. The impacts of climate change, including increased intensity of extreme events and changes to agricultural productivity and water availability, are already being felt across Vanuatu, and are projected to increase in the future. The results of climate scenario models suggest that average maximum temperature will increase, precipitation will most likely increase (or only slightly decrease), extreme temperatures will increase in frequency, extreme precipitation will increase in frequency, number of dry days will increase, sea level will rise and coral reefs will become marginal (leading to further coastal erosion). Between March 12 and 14, 2015, Tropical Cyclone Pam (TC Pam) struck 22 islands of Vanuatu as an extremely destructive category 5 cyclone. The total economic damage and losses as a result of the cyclone was estimated to be approximately US$450 million, which equates to approximately 64 percent of the country’s GDP. The impact of TC Pam on Vanuatu included severe and widespread damage, which was worst in Shefa and Tafea provinces, in particular on the larger islands of Tanna, Erromango and Efate and the smaller Shepard islands. Eleven fatalities were recorded in Tafea and Shefa provinces. As many as 65,000 people were displaced from their homes, around 17,000 buildings were damaged or destroyed, and the livelihoods of at least 80 percent of Vanuatu’s rural population was compromised due to large scale destruction of crops.1 The project has been effective since April 2013. The Project Management Unit (PMU) is operating at full capacity with all positions filled; construction of two Provincial Disaster Centers was completed in May 2016; a customized curriculum for Provincial Disaster Officers has been developed and the National Disaster Act reviewed; the construction of the housing to accommodate seismic sensors has been completed and seismic sensors procured; they are scheduled to be tested and installed by May 2017. Under Component 2 (Increasing Community Resilience on Active Volcanic Islands and in Coastal Areas) (the proposed new Component name is ‘Increasing Community Resilience in Areas Affected by Tropical Cyclone Pam’) Government agencies have developed planning processes and methodologies for disaster risk management and climate adaptation. Micro-project identification and implementation has begun, including a draft micro-project manual. 1 Vanuatu Post Disaster Needs Assessment, Tropical Cyclone Pam, March 2015 (GoV). 4 Under Component 3 (Promotion of Improved Technologies for Food Crop Production and Resilience to Climate Change) VARTC has established field plantings on its main site on Santo (to represent the climate of the north of Vanuatu) and collaborated with a research institution for testing and multiplication near Port Vila (to represent the climate for the south of Vanuatu). In addition, improved food crop varieties have been tested and multiplied for distribution to farmers in various islands. Under Component 4 (Rural Water Security: Increased Access to Secure Water Supply) water inventories for Torba and Penama provinces have been completed and 20 water tanks have been placed in identified sites in Efate. Further activities under the water component would be integrate with the micro-projects under Component 2. 2.2 Implementation Arrangements The executing agency is the Ministry of Finance and Economic Management (MoFEM), and the fiduciary implementing agency is the VMGD, part of the Ministry of Climate Change Adaptation, Meteorology, Geo- Hazards, Disaster Management, Environment and Energy. Implementation is carried out by the Project Management Unit (PMU) within the department. 2.3 Project Components 2.3.1 Component 1 Institutional Strengthening for Climate Change Adaptation and Disaster Risk Management. Sub-Component 1.1: Strengthening of the NAB Project Management Unit (PMU) by building capacity in project management, procurement, financial management and monitoring and evaluation through: (i) the effective implementation of the Project and of the Japan Human Resources Development (PHRD) Grant2, (ii) training for new or additional staff upon their assignment to the PMU, and (iii) the development of Operational Manuals to guide overall PMU operation, Subproject selection, formulation, and implementation. Sub-Component 1.2: Strengthening the National Disaster Management Office by (i) reviewing the Recipient’s National Disaster Management Act; (ii) developing a strategic plan and organizational structure; (iii) developing the capacity of newly recruited staff; (iv) facilitating learning and twinning with the national disaster management offices of the Solomon Islands and other Pacific Islands countries; (v) establishing fully equipped provincial disaster coordination centers and provincial disaster risk management and climate change adaptation plans in the provinces of Tafea and Torba; and (vi) developing volcano contingency plans for Tanna, Gaua and other high risk volcanic islands. Sub-component 1.3: Strengthened Early Warning Systems by (i) establishing real-time data communication network linking the existing volcano, seismic and weather observing stations with the national data and warning center; (ii) strengthening multi-hazard standard operating procedures, and iii) 2 A complimentary project supported through the trust fund entitled “Disaster Risk Reduction Project”. 5 strengthen the capacity of the national multi-hazard warning and emergency operations center to manage and respond to disasters, especially from climate-related events. 2.3.2 Component 2: Increasing Community Resilience in Areas Affected by Tropical Cyclone Pam This component will look at increasing the ability of national, regional and community-level stakeholders to work together to enhance disaster and climate resilience in rural communities by; Subcomponent 2.1: Strengthened Methods, Processes and Protocols for Climate Change Adaptation and DRM to develop the ability of stakeholders at all levels. The component will include support on the development, preparation, delivery and monitoring and evaluation of micro-projects. Micro-projects are community level activities to be identified and implemented by the communities and/or provincial government, monitored and evaluated by VMGD in cooperation with villages and provincial governments Subcomponent 2.2: Enhancing Community and Ecosystem-based Adaptation and Disaster Risk Management in Coastal Areas and on Active Volcanic Islands by implementing the methods, processes and protocols developed under Component 2.1 through the carrying out of Micro-Projects for communities affected by TC Pam. 2.4 Typologies of Micro-Projects What types of activities are eligible for funding? Eligible activities are those which help the community to reduce the risk of climate change and natural hazards. Only activities which have been identified through baseline surveys conducted by VMGD/PMU partners and endorsed by the Provincial Technical Advisory Commission (PTAC) and Provincial Secretary General will be eligible for funding. Micro-projects must also be consistent with the safeguards instruments of the project. Existing and relevant community plans endorsed by the local Area Council and Provincial Secretary General may also be utilized to emphasise activities as identified by the baseline surveys. Examples of appropriate community plans are:  Provincial Disaster Plan (produced under the original IRCCNH – Component 1.2).  Area Council Development Plan (produced under the original IRCCNH – Component 2.2).  Community Risk Assessment and Action Plan (produced under the original IRCCNH – Component 2.2).  Water Master Plan (produced under the original IRCCNH – Component 4). Classification of Activities The types of activities that can be funded can be classified under two broad categories: 6 1. Climate Change Adaptation Activities – Defined as those activities that reduce the vulnerability of communities or ecosystems to the impacts of climate change and climate-related risks. Example: a. Installation of alternative water supply sources to minimise the risk of droughts, b. Cultivation or distribution of more resilient food crops to increasing temperatures. 2. Disaster Risk Reduction Activities – Defined as those activities that reduce the risk (i.e. likelihood or consequence) of natural disasters, other than those caused by climate change. Example: a. Establishment of a ‘community safe house’ for use during disasters, b. Preparation and implementation of disaster response and contingency plans. Alignment of Activities with Government Sectors Activities must align with one or more government sectors. Key sectors are outlined in the National Adaptation Programme of Action (NAPA), Disaster Risk Reduction and Disaster Management National Action Plan (NAP) and the National Climate Change & Disaster Risk Reduction Policy. Climate change and disaster risk activities in Vanuatu can generally be grouped into the following areas that align with existing government sectors. Examples include: Activity Government of Vanuatu Department (Sector) Forecasting and monitoring of climate and Vanuatu Meteorological and Geo-Hazards geo-hazard information, awareness and Department (VMGD) early warnings. Disaster preparedness, response and National Disaster Management Office recovery (NDMO) Agriculture and food security Department of Agriculture and Rural Development (DARD) Water management Department of Geology, Mines and Water Resources (DGMWR) Transport Public Works Department Alignment with Government of Vanuatu Policies and Plans This micro project scheme has been set up to help the Government of Vanuatu achieve its strategic development priorities, as set out in the National Sustainable Development Strategy (Priorities and Action Agenda, 2006 – 2015). 7 In particular, micro projects should address the priorities set out in the Priorities and Action Agenda, 2006 – 2015, National Adaptation Programme of Action (NAPA), Disaster Risk Reduction and Disaster Management National Action Plan (NAP), and the National Climate Change & Disaster Risk Reduction Policy. All micro projects must align with existing Government of Vanuatu policies and plans, provincial and area strategic development plans. For example: • ‘Planning Long, Acting Short’ • Ministry Corporate Plans • Department Corporate Business Plans • Provincial Council Corporate Business Plans • Area Council Strategic Development Plans • Other relevant government planning documents. What is the maximum level of funding for a micro project? The maximum level of funding for any one micro project is Vt 5 million. Additional funding could be made available if the initial investment falls significantly under the maximum ceiling, however additional activities must be consistent with priorities identified by the baseline surveys or as per eligibility criteria defined above. 2.5 Project Typologies The initial consultations, baseline surveys and needs assessments following Cyclone Pam (from the studies and plans listed above) have identified the most likely typologies that will be funded: 1. Rainwater catchments – Structures to collect rainwater and tanks to store rainwater. Tap stands. 2. Gravity fed water supply systems – renovations of damaged schemes, scheme upgrades and extensions new systems. Water abstractions from streams or springs, gravity fed through pipelines to the villages, and the installation or replacement of water tanks. Tap stands and pipelines within the village. This may also include irrigation systems. 3. Feeder roads – small sections of existing unsealed tracks renovated with concrete to allow for all weather access to villages. 4. Climate-resilient crops and agricultural practices – farming support, including new varieties of crops and different farming techniques. Irrigation systems may be included. 8 3 Potential Environmental and Social Issues Overall, the project is expected to have socially positive impacts benefiting local communities, especially those who are particularly vulnerable to climate risks and are rebuilding after Cyclone Pam. The planned activities will aim to strengthen social cohesion and capital in targeted communities, contribute to local empowerment and enhance process sustainability and intended results. By giving the opportunity to communities to improve their climate resilience through collective action, the project will also increase their capacity to make informed decisions regarding their well-being. The project will also have an important function of bringing various stakeholders together around the adaptation agenda and linking community-based experiences with local, provincial and national level institutions through exposure and capacity building. The participatory approach to the original project preparation, which included all major stakeholders (heads of national government agencies and their technical staff, leaders of non-government organizations, farmers groups and local residents), helped in designing the project in a way that responds to the their vulnerability and strengthening their adaptive capacity. The project is also not expected to result to increase in usage of pesticides, which is almost non-existent in Vanuatu agriculture. The project will instead promote the use and adoption of pest resistant varieties and cultivars as part of adaptation measure. Below is a list of potential issues that will need to be managed as part of project implementation: 3.1 Agricultural Assistance The investments include sustainable soil and land management, adoption of sustainable agricultural technologies, and introduction of improved plant material. The soil and land management activities include appropriate tillage, erosion control, use of natural or traditional fertilizers, integrated pest management (IPM), use of permaculture, small scale irrigation and efficient water harvesting techniques. Given the small-scale nature of subprojects, with focus on the adoption of better crop varieties and sustainable soil and land management, the environmental and social aspects of the subprojects are mostly localized and manageable. Implementation of projects will have numerous positive benefits such as introduction of crops and small-scale irrigation schemes to be more resilient to drought, intensification of cropping to improve yield and improving sustainable farming practices such as permaculture. The investments may also contribute to negative impacts resulting from increased the use of marginal land for agriculture (i.e. slopes). The increased use of pesticides is not expected because the emphasis is supporting traditional farming methods and selecting resilient crop varieties, without promoting additional farming inputs. Developments will be consistent with the Vanuatu Agriculture Sector Policy and the Forest Sector Policy, both of which support and promote sustainable resource management and climate resilience. Vanuatu Agricultural Sector Policy Statement 2015 - 2030 9 Guiding Principles For this policy to be successfully implemented a significant level of effective collaboration with other sectoral policies and implementing agencies is essential; Stakeholder participation and commitment in all levels of the society to the implementation of this policy is a primary necessity for ensuring that the objectives in this policy are achieved; The agriculture sector is encompassing in that it requires the effective and sustainable management of Vanuatu resources, the maximum utilization of its inherent opportunities and the equitable distribution of its benefits; The protection and sustainable use of Vanuatu’s prime agriculture land is the duty of all citizens of the Republic of Vanuatu and therefore requires full participation and sense of responsibility and ownership from relevant stakeholders; The encompassing nature of Vanuatu’s agriculture sector is such that its development and sustainability entails an integrative, holistic and generative approach; Agriculture being the mainstay of the majority of Vanuatu’s population requires considerable attention and support from the government; As an agricultural based economy Vanuatu farmers must be informed of the consequences resulting from unwise and unsustainable agricultural and farming practices; In the face of changing and varying climatic conditions, farming and agricultural practices must be undertaken with due consideration to adaptation, mitigation and risk reducing strategies; The implementation of the Agriculture Sector Policy is expected to lead to economic growth, social wellbeing, environmental stability and cultural prosperity. Vanuatu National Forestry Policy Statement 2013 – 2023 Guiding Principles To be successful, the National Forest Policy must be linked to and harmonized with Vanuatu’s other policies. Participation, as well as the responsible and committed contribution of all stakeholders, are pre-requisites for the sustainable management and use of Vanuatu’s forest resources. Sustainable forest management encompasses the management of natural forests and planted forests. Sustainable forest management abides to the principles set out in the seven elements of the Non – Legally Binding Instrument on all Types of Forests1 (UNFF, 2007). Effective protection and management of the nation’s significant conservation sites require full participation of Ni-Vanuatu landowners and communities. Forest-based rural development contributes to the well-being and livelihood of Ni- Vanuatu people. Efficient, viable, value-adding downstream processing of forest products contributes to economic growth. 10 Knowledge and awareness of Vanuatu’s forest resources, ecosystems, biological diversity and the silviculture of the indigenous species form the basis for sustainable forest development. The implementation of Vanuatu’s National Forest Policy benefits and contributes to regional and international forest-related programs and processes. The implementation of the National Forest Policy facilitates the role of the forest sector in climate change mitigation and adaptation. Potential agricultural impacts:  Land degradation leading to soil loss from agricultural land, marginal land, soil infertility. In most cases, the degradation is caused by soil erosion combined with inappropriate (too intensive) land use, or poor farming techniques. Measures to avoid this will include: matching land use to land capability, promoting resilient plant crops that are suitable to local growing conditions and traditional (low tillage) farming methods, applying soil and water conservation measures, crop rotation, permaculture, intercropping with legumes to protect fallow soil. Avoiding reliance on pesticides and imported fertilizers will also assist.  Erosion and siltation result from unsustainable tillage practices, badly managed open-furrow agriculture, and other such practices which cause loss of fertile topsoil and downstream siltation. Measures could include application of water conservation measures, terracing steep slopes (or avoiding steep slopes), avoiding forested areas, avoiding tillage near river banks, avoiding reliance on pesticides and imported fertilizers will also assist.  Disturbances to vegetated areas which may have some natural, albeit modified, habitat values. This may result in some loss of individual trees or small areas of agro-forestry (typically <1ha, as vegetation clearance will be manual – machetes or chainsaws). Measures will include good land use planning to prevent conversion of forest and natural habitat to farm land, identifying suitable crops, identifying land suitable for agriculture that does not require conversion, and introducing new, non-native species with care and diligence. Other measures such as use of nitrogen-fixing crops, use of no-till or low-till farming and other measures to intensify existing agricultural plots without the need to clear land. Permaculture methods will be used to intercrop between trees. This is traditionally done and will be enhanced through these investments. This can be done in existing agricultural/cropping areas; conversion of new areas will be avoided where possible. Confirmation of land ownership will be checked as part of project screening, to avoid any disputes with neighboring custom land owners.  Disturbance of sites that are considered physical cultural resources, either intentionally or accidentally. 11 Measures to avoid this will include: screening for physical cultural resources, consulting land owners and other stakeholders prior to work starting, selecting farming locations that avoid identified sites, and otherwise following the chance find procedure (Annex L). 3.2 Small Scale Irrigation Small-scale Irrigation investment typically includes surface water gravity-flow irrigation using surface water diversion, groundwater or seasonal rain-fed systems. The major adverse effects of irrigation systems result from:  Diversion systems using natural river or stream flows to divert water. Water pipes or unlined canals are used to deliver water from catchment area to farmlands below. Intensified irrigation can cause waterlogging, result in reduced soil fertility, reduce freshwater resources for other purposes (such as drinking / domestic use) and deterioration in water quality. Measures. The impacts can be mitigated by implementing water conservation practices, installing adequate surface and subsurface drainage where necessary, using water pipes rather than canals, and ensuring that the water supply is sufficient for irrigation in the driest part of the year. .  Conveyance of water from and across other custom land. This is a typical source of conflict between villages / land owners. Measures. Extensive engagement with land owners at the site of water source and along the conveyance route. Signed agreements between parties.  Discharge water from irrigated fields is not anticipated to be a significant issue due to the small scale and lack of pesticides and imported fertilisers. The primary measure will be to avoid excess irrigation through training and the set up of the irrigation system.  Disturbance of sites that are considered physical cultural resources, either intentionally or accidentally. Measures to avoid this will include: screening for physical cultural resources, consulting land owners and other stakeholders prior to work starting, diverting irrigation schemes around identified sites, and otherwise following the chance find procedure (Annex L). 3.3 Water Supply Projects Water supply projects are intended to improve public health and reduce the burden of water carrying on women and youth. The significant benefit for the Tanna and Shepherd Islands communities is the resilience to natural hazards and ensuring that water supplies will be maintained following an event. 12 However, they may also cause adverse impacts when managed ineffectively, and can offset or eliminate these intended benefits. Impacts may involve:  Depletion of surface water and groundwater resources resulting from low estimation of water demand, overestimation of available water resource, over pumping, excessive use of water, and waste and leakage. This could lead to reduced instream habitat. This could also lead to disputes with downstream water users.  Disputes of water / river ownership, and or disputes over access across neighbouring land to access water.  Creation of stagnant water pools from poorly designed drainage and leakage from pipes, which can harbor disease vectors such as mosquitos.  Location of rain harvesting systems and associated shelters, sourcing aggregates and management of waste. Measures would include: Using reliable estimation techniques (local knowledge and scientific calculations) for available water supply, and good estimation of likely current and future water supply requirements. Extensive consultations, confirmation of ownership of water and land and voluntary agreements documented before construction starts. Establish water committees or similar to manage the access to water and maintenance of leaks etc. The siting of the water well or surface water intake should be upstream, and at least 30m away, from sanitation facilities. The water well would be located at the highest point in the village or uphill from sanitation facilities. Ensure that the sand or gravel for concrete is sourced from an agreed borrow pit location on village land (avoiding sensitive areas, agricultural land etc.), or from a local quarry or borrow pit with a quarry permit and, for large scale sites, an environmental permit issued by the Department of Environmental Protection and Conservation (DEPC). Waste should be reused in the village or transported to the local landfill.  Disturbance of sites that are considered physical cultural resources, either intentionally or accidentally. Measures to avoid this will include: screening for physical cultural resources, consulting land owners and other stakeholders prior to work starting, avoiding developing identified sites, and otherwise following the chance find procedure (Annex L).  Conflict with owners of land at the location of the water abstraction and / or along pipeline routes. Measures to avoid this will include: Confirmation of land ownership and permission for land use by infrastructure. Permission will be gained via voluntary negotiation and will be documented by the PMU, using the voluntary land donation procedures in the LAF and ESMF, prior to works beginning. 13 3.4 Construction and Renovation of Buildings The construction and renovation of buildings can cause pollution and nuisances (noise, dust), however they will have a large social benefit, for example in the coordination of disaster forecasting and localized responses to disasters. The potential impacts are:  Disputes over land ownership. This will be avoided by engaging land owners and confirming land ownership before plans are finalized and prioritizing Government-leased land.  Sourcing aggregates from beach mining or other unsustainable methods. This will be avoided by identifying borrow pit locations away from coastlines and streams, and with custom land owner approval, and ensure that all borrow pits and quarries are licensed by the Dept of Geology and Mines and permitted by the DEPC.  Construction waste can be dumped in places causing hazards, pollution and unsightly mess. Construction waste should be reused where possible, and otherwise transported to local landfills.  Disturbance of sites that are considered physical cultural resources, either intentionally or accidentally. Measures to avoid this will include: screening for physical cultural resources, consulting land owners and other stakeholders prior to work starting, avoiding developing identified sites, and otherwise following the chance find procedure (Annex L). 3.5 Feeder Roads The surfacing of short lengths of feeder roads with concrete may increase demands for beach sand causing off site erosion issues. It may also lead to vegetation removal, and could invoke land owner conflict.  Sourcing aggregates from beach mining or other unsustainable methods. This will be avoided by identifying borrow pit locations away from coastlines and streams, and with custom land owner approval, and ensure that all borrow pits and quarries are licensed by the Dept of Geology and Mines and permitted by the DEPC.  Disturbance of sites that are considered physical cultural resources, either intentionally or accidentally. Measures to avoid this will include: screening for physical cultural resources, consulting land owners and other stakeholders prior to work starting, avoiding developing identified sites, and otherwise following the chance find procedure (Annex L).  Vegetation clearance and land contouring / excavations could affect crops and natural habitats. 14 Measures to manage this will include: Identification of land clearance requirements and community agreement prior to clearance. Identification of, and compensation for, crops and trees that are used for subsistence or income completed before land clearance begins. Assessment of potential biodiversity or natural habitat values and an Environmental Management Plan prepared before land clearances (where relevant – such as near waterways, wetlands, nesting sites etc.).  Conflict with owners of land. Measures to avoid this will include: Confirmation of land ownership and permission for land use by infrastructure prior to works beginning. It is anticipated that beneficiaries will be the land owners so this issue may not arise. Permission, where necessary, will be gained via voluntary negotiation and will be documented by the PMU, using the voluntary land donation procedures in the LAF and ESMF, prior to works beginning. 15 3.6 Mitigation Measures Table 1 Improved Agricultural Resilience - Summary of proposed activities / subprojects, potential impacts and mitigation measures Activity Potential Environmental Potential Social Impacts Mitigation Measures Safeguard Monitoring Impacts Collection of root crop cultivars Potential for root crop cultivars Consideration needs to be given The root crop cultivars collected Supervisory checks VMGD-PMU from both Vanuatu and from overseas to become an to the types of root crop will be species already grown internationally. invasive weed. cultivars collected to ensure that and viable in Vanuatu and will Screen cultivars for resistance the species chosen are not not be culturally insensitive to to pests, diseases and climate culturally insensitive to the communities. change impacts. communities. Assessment of cultivar Performance. Establish on-farm No significant environmental Given that farming practices are The activities chosen will be Supervisory checks by VMGD- demonstration sites for climate impacts are expected for this largely the domain of males in inclusive of all social groups and PMU resistant crops activity. These demonstration the community, there is the gender within the community. sites will be on land currently potential for gender inequity in This is not a social issue that used for agriculture (i.e. no the absence of other activities needs to be addressed, but clearing will take place) aimed at female members of the individuals involved in this community. project need to be culturally Consideration also needs to be sensitive that males in the given to the types of vegetables community will most likely have grown in the demonstration plot control of the decision-making to ensure that the species around farming practices and chosen are not culturally community consultation should insensitive for the surrounding reflect this. However, females community. should not be excluded in participating in community consultation and it will be up to the village chief to determine who should be involved in the project and their roles. The communities will participate in decision making around location of plots and crop types. Establish the plant distribution No significant environmental No significant social impacts are The location of the plant - Location of the plant centres for the dissemination of impacts are expected for this expected for this activity. distribution centres will include distribution centres climate-resistant crops, such as activity. Consideration needs to given to a consultation process with - Number of farmers accessing the agricultural college, the location of the plant relevant stakeholders and the plant distribution centres distribution centres to ensure prioritise locations that will not 16 Activity Potential Environmental Potential Social Impacts Mitigation Measures Safeguard Monitoring Impacts churches, high schools and the maximum amount of involve any building Supervisory checks VMGD-PMU other suitable locations farmers can have access to the construction. climate-resistant crops. Any construction to ensure that aggregates are sourced from licensed / permitted quarries or borrow pits, and waste is disposed to authorized municipal dumps / landfills. Develop and roll out a farmer There are no negative There are no negative social N/A Supervisory checks VMGD-PMU training to ensure the success of environmental impacts impacts expected with this the dissemination of climate expected with this activity. activity. resistant crops Training will focus on Training will be inclusive. sustainable land management and agricultural practices. Distribution of cultivar planting No significant environmental Given that farming practices are The activities chosen will be Supervisory checks VMGD PMU material to farmers impacts are expected for this largely the domain of males in inclusive of all social and gender activity. the community, there is the groups within the community. There is a possibility that potential for gender inequity in farmers may extend plots into the absence of other activities Project implementation and forested areas in the medium to aimed at female members of the farming support will include long term. Farmer training will community. discussion about prioritizing include sustainable land existing cleared land for management and agricultural agriculture, and minimizing the practices, including avoiding clearance of new land, and the conversion of natural habitats benefits of forests and natural and forest. habitats to community and agriculture. 17 Table 2 Rural Water Security - Summary of proposed activities / subprojects, potential impacts and mitigation measures Activity Potential Environmental Potential Social Impacts Mitigation Measures Safeguard Monitoring Impacts Install rural water supply There are not expected to be If rainwater tanks are not An education and community Compliance and supervisory systems negative environmental impacts properly maintained there is the awareness campaign on checks VMGD PMU. expected with this activity, risk that the tanks will become a rainwater tank maintenance will Tanks and structures for however there could be site breeding area for mosquitoes. be used to educate the users and rainwater harvesting specific impacts which need to There is also the potential for other members of the be identified prior to health impacts from water community on the appropriate installation. contamination if rainwater tanks maintenance to prevent health are not maintained. issues relating to water contamination and vector and water borne diseases. Prior to the installation of rainwater tanks, a detailed environmental and social screening should be carried out for each location. Water supply standards and guidelines will require rainwater tanks will be fitted with first flush devices and roofs and gutters will be clean before the tank is connected. Any construction to ensure that aggregates are sourced from licensed / permitted quarries or borrow pits, and waste is disposed to authorized municipal dumps / landfills. Install rural water supply Groundwater extraction may No negative social impacts are Assess the thickness and width Compliance and supervisory system cause the water table to be expected for this activity (except of the freshwater lens to checks VMGD PMU.. lowered (if the rate of extraction for indirect impacts from the establish an extraction rate and - Small pumping systems for exceeds the amount of water environmental impacts as ensure the estimated groundwater. entering the groundwater described). groundwater extraction is less system). The associated impacts than the sustainable extraction from a reduced water table level rate. include reduced quantity of water availability, reduced base flows to streams, possible 18 Activity Potential Environmental Potential Social Impacts Mitigation Measures Safeguard Monitoring Impacts permanent loss of groundwater storage capacity, potential salt water intrusion, subsidence of surrounding land and destruction of groundwater dependent ecosystems. Install rural water supply Surface water abstractions Stream diversions could dry up An environmental screening of Compliance and supervisory system reduce the amount of water downstream water supplies for the potential environmental and checks by VMGD PMU. available and may result in a other communities reliant on social impacts should be carried - Stream and spring abstractions decreased amount of habitat the water source. out prior to the installation of a available for aquatic species, stream diversion. Estimate a degradation of downstream maximum take of 70% of the estuarine habitat, changes in fish water source during dry periods passage preventing life cycle (depending on other uses stages for migrating species, downstream). potential impact on productivity Confirm the ownership of the of marine life in surrounding water. waters and change in Confirm any agreements to composition of aquatic convey water across communities. neighbouring custom land. Table 3 Increasing Community Resilience - Summary of possible / proposed activities / subprojects, potential impacts and mitigation measures Activity Potential Environmental Impacts Potential Social Impacts Mitigation Measures Safeguard Monitoring - Food No negative environmental impacts are No negative social impacts are NA NA preservation and expected. expected. storage, such as solar dryers - Improved No negative environmental impacts are No negative social impacts are NA NA reef/fisheries expected. expected. management to sustain fish supply. - Improved No negative environmental impacts are No negative social impacts are NA NA livestock expected. expected. techniques, such as feed fermentation or animal husbandry 19 Activity Potential Environmental Impacts Potential Social Impacts Mitigation Measures Safeguard Monitoring - Construction of Contamination to the surrounding water No negative social impacts are The location of the composting Compliance and composting pit sources and aquifers if seepage occurs from expected except indirectly from pit latrine should be located 30m supervisory checks by latrine(s). the composing pit latrine. environmental impacts. away from aquifers and other VMGD PMU. water sources. Flood or erosion There is the potential for changes to the Potential relocation of communities Environmental and social ESMP will provide control, including beach ecology and marine habitats as a due to land acquisition or prohibited screening should be undertaken monitoring requirements. planting of result of the construction of hard reconstruction of property damaged by prior to any renovation, vegetation or the infrastructure such as seawalls. storms. demolition or construction. construction of Changes to marine habitats as a result of the Impacts on community livelihood as a The Land Acquisition Framework small-scale construction of small-scale retaining walls result of land use restrictions, this may need to be applied to this retaining walls on the coastline. could include the creation of buffer project. zones or a change in land use from A detailed ESMP should be agriculture to aquaculture. prepared prior to the Potential for changes in agricultural construction of any hard practices as a result of saltwater infrastructure. It should be intrusion i.e. cultivation of saltwater noted that the negative list tolerant crops. currently prohibits the construction of any hard infrastructure, and implementation may require approval from the World Bank. It is assumed that community consultation and assessment of social impacts is included in the development of the community- based adaptation plan, and that social impacts have been minimized. - Copra drying No negative environmental impacts are No negative social impacts are Environmental and social Number of copra drying shed expected. expected. screening should be undertaken sheds supported by the prior to any renovation, project demolition or construction. - Solar mobile No negative environmental impacts are No negative social impacts are Environmental and social Number of solar mobile phone charging expected. expected. screening should be undertaken phone charging stations stations prior to any renovation, supported by the project. demolition or construction. 20 Table 4 Buildings, Roads, Water Supplies - Summary of proposed activities / subprojects, potential impacts and mitigation measures Activity Potential Environmental Potential Social Impacts Mitigation Measures Safeguard Monitoring Impacts Design of water Reduction of water resource for Inadequate access for disabled / Consult and get agreement from land owners. Compliance and supply and other users. elderly and inadequate privacy Design wastewater / sewage treatment and disposal supervisory checks by sanitation. Inadequate treatment and and safety for women and girls. according to national and international design VMGD PMU. disposal of wastewater, leading standards for the ground conditions and the to health impacts and water anticipated peak loads. pollution. Design to ensure all people can access facilities safely and securely. Provide gender-segregated facilities. Source of sand Uncontrolled sand and gravel Disputes over access to land or Reuse crushed concrete. Compliance and and gravel for mining leading to coastal access to resources. Procure sand and gravel in ‘bulk’ from licensed supervisory checks by resurfacing and erosion Occupational health and safety quarries. VGMD PMU. creating concrete Clearance of vegetation, nesting of quarrying / mining. foundations and areas, feeding areas for wildlife. If licensed quarries are not available and it is not structures. feasible to transport aggregate from other areas:  Identify borrow pits / excavations that could be used for small sources.  Avoid beach mining in areas where erosion or inundation could be exacerbated.  Undertake a screening assessment to identify potential environmental and social risks, and submit an environmental license application form to the DEPC.  Apply to Dept of Geology and Mines for an ‘Occasional Permit’.  Obtain licenses and permits from Dept. of Geology and Mines, and DEPC prior to operation.  Negotiate access to resources, including a fair price, from rightful resource owners.  Ensure occupational health and safety procedures, training and equipment for all operations. 21 Activity Potential Environmental Potential Social Impacts Mitigation Measures Safeguard Monitoring Impacts Construction / Damage to rare vegetation or Removal of structures (fences, Consultation with owners and compensation for lost Numbers of physical land clearances habitats such as nesting areas, animal pens) income-generating asset or income. cultural resources feeding areas for wildlife. assets such as trees or crops. Survey the site and consult with land owners prior to incidents. Damage to physical cultural finalizing design. Realign to avoid PCR or otherwise resources, including graves. move or protect PCR as required by land owners and Number of incidences GoV. involving damage to Follow chance find procedure. natural habitat. Survey the site and consult with land owners prior to finalizing design. Compliance and Realign to avoid critical natural habitats and supervisory checks by otherwise mitigate through replanting. VGMD PMU. Construction and Waste is discharged to land or Waste is stockpiled, burnt or Stockpile reusable materials for use by the Compliance and Demolition water ways or coastal areas, buried in a way that creates a community. supervisory checks by Waste. creating pollution and an health and safety hazard. Separate out recyclables that can be taken to Port VGMD PMU. eyesore. Materials are wasted when they Vila for recycling. could be reused. Take non-recyclable, non-reusable materials to the landfill in White Sands, Tanna. Take hazardous waste to the landfill in Port Vila. Avoid discharge of wet concrete or cement powder into water ways or coastal areas. Repurpose left over wet concrete for other uses. Poor left over wet concrete onto the ground to harden. Dispose of hardened concrete. Earthworks Discharges of sediment to water No negative social impacts are Avoid dumping of sediment into water ways or Compliance and creating ways or coastal areas. expected. coastal areas. supervisory checks by stockpiles of Stockpile excess sediment at least 20m from water VGMD PMU. sediment. ways and high tide, for reuse by locals. Spread and stabilize (by planting) excess sediment to avoid erosion. Use of oil, petrol, Discharges of waste oil or Health risks from contact with Safe storage of hazardous materials. Compliance and diesel and hazardous spills into ground or contaminated water or soil. Contain waste oil for recycling. supervisory checks by chemicals. waterways. Refuel machinery at least 20m from waterways and VGMD PMU. coastal areas. Dispose of all containers and waste materials at an approved landfill. Community Safety incident due to students Use warning signs and demarcate construction areas Number of incidents health and safety or community members that are ‘no go’ for non-workers. involving the public. during entering the work site. Induction training for community members. construction. 22 Activity Potential Environmental Potential Social Impacts Mitigation Measures Safeguard Monitoring Impacts Observations of signage and barriers for public safety. Compliance and supervisory checks by VGMD PMU. Use of local labor Gender inequity. Consult with the land owners and broader Records of labor Unsafe work practices. community about contribution of labour or project employed – number of management, for working hours/days and for equal local people, by gender opportunity for tasks. and age. Employment should be consistent with Vanuatu labor laws and no children (under 16 years old) shall be involved (or be on the work). Women and men shall have equal opportunity. Fair representation and consultation with entire community during project planning. Work is shared based on skill and ability. Provide suitable training to locals to do the work safely and provide all relevant safety equipment. 23 4 Legal Framework 4.1 Environmental Protection and Conservation Act (EPCA) and EIA Regulations 2011 Under the EPCA, the Department of Environmental Protection and Conservation (DEPC) requires an environmental permit for any activity that is likely to impact on the environment and any activity that requires any license, permit or approval under any law (e.g. a Quarry Permit or Foreshore Development Consent). The process requires the completion and submission of an environmental permit application form to the DEPC, accompanied by plans, other supporting information, and a fee. Applications must include an identification of impacts and mitigation measures. The DEPC will review the application form, and, if necessary, undertake a Preliminary Environmental Assessment (PEA). Three outcomes occur from the application process:  For projects listed on the minor project schedule, an environmental permit will be issued without a PEA. The permit may or may not have conditions.  For projects listed on the PEA schedule, or otherwise has potentially significant impacts, a PEA will be produced by the DEPC. As a result: o for projects with minor or readily mitigatable impacts, an environmental permit will be issued, with conditions; or o for projects likely to cause significant environmental, social and / or custom impacts an Environmental Impact Assessment (EIA) and accompanying Environmental Management and Monitoring Plan (EMMP) are required and will be assessed before an environmental permit is issued. Potential sub-projects funded under this Project that may require a PEA include:  Any quarrying, excavations and extractions.  Any activity impacting a water source. 4.2 World Bank Safeguard Requirements Policies applicable to this project are summarized below3. 4.2.1 Environmental Assessment (OP/BP 4.01) This policy provides the requirements, and procedures, for the environmental assessment of the World Bank’s lending operations. Inter alia, it requires (i) detailed qualitative and quantitative analysis to determine project impacts, (ii) determination of tangible measures to prevent, minimize, mitigate or compensate for these adverse impacts, (iii) public consultation and disclosure as part of the 3 The entire Operational Manual with details of all policies is available online at Ext Opmanual - Operational Manual - World Bank 24 Environmental Assessment (EA)4 process and (iv) requires an EMP to address set of mitigation, monitoring and institutional measures to be implemented during design, construction, operation of maintenance phases of the project. For projects such as this, where not all of the environmental and social impacts are known at the time of preparation or restructuring, an ESMF is prepared. ESMF provide a framework and instructions to apply OP/BP4.01 (and other safeguard policies) to projects as they are defined during project implementation. Project screening has identified that this project remains a Category B under the categorization process of this policy. No Category A activities are within the scope of the Project. 4.2.2 Natural Habitats (OP4.04) This policy requires the conservation of natural habitats and specifically prohibits the support of projects that involve significant conversion or degradation of critical natural habitats, as defined by the policy. The policy requires the EA to identify impacts on biodiversity and species and to determine endemism, endangered species and whether the project impacts on these species. If the EA determines that a project impacts or degrades natural habitat, the project must include mitigation and monitoring measures acceptable to the Bank. The project selection checklists will screen for potential risks relating to this policy, and relevant mitigation measures are included in this document to avoid or mitigate adverse impacts on natural habitats, consistent with this policy. 4.2.3 Physical Cultural Resources (OP4.11) This policy seeks to avoid the disturbance and or destruction of Physical Cultural Resources (PCR). PCR includes places of worship, sacred sites, buried artifacts, cemeteries and archeological assets, etc. The policy requires EA to undertake an exhaustive desk review and/or site investigation to pre-identify and locate PCRs in the project influence area, propose management measures and include chance find clauses in civil works contracts during construction and maintenance stages. The project selection checklists will screen for potential risks relating to this policy, and a chance find procedure on PCR is included in the ESMF, consistent with this policy. The likelihood of impacting PCR is very low, since the development is mostly village led and the PCR will be owned / treasured by the village. 4.3 Gap Analysis 4.3.1 Environmental Assessment There are few gaps between the EPCA process and the requirements of OP4.01 Environmental Assessment. Mitigation requirements are the same under the environmental permit process and the ESMF. For example under the EPC ACT there is the requirement for an environmental permit for developments that may impact the environment and an ESIA for significant impacts. There is often no 4 Includes social assessment 25 requirement for ESMP for activities with minor or moderate impacts as these are controlled by EPC ACT permit conditions however ESMPs can and have been used to demonstrate how environmental and social risks are to be managed. Some small scale activities such as water supplies and sanitation do not come to the attention of the DEPC and do not get screened through the PEA process under the EPC ACT. In this project, each subproject will complete an application for an environmental permit to ensure that the EPC ACT is correctly applied. Other permits, licenses and approvals as required for different project activities will be applied for and conditions followed. The processes will be harmonized so that the requirements of both the Government of Vanuatu and the World Bank will be met with any safeguard instrument that is prepared. 4.3.2 Land Acquisition Vanuatu Laws World Bank Safeguard Policies Gap-Filling Measures There are no provisions to prepare OP 4.12 requires that Abbreviated Resettlement Action Plans Resettlement Plan based on Resettlement Plans must be (ARAP) will be prepared in consultation meaningful consultations with prepared based on consultations with affected people, including vulnerable affected people, including the with affected people, and that groups, and disclosed by the PMU; poor, the landless, elderly, poorer and vulnerable people translated or summary versions will be women, and other vulnerable are also consulted and informed available at the provincial, district and local groups. of their entitlements and level. Local Nakamal leaders whose resettlement options. members are affected will also receive a copy of the ARAP. There are no provisions to It is necessary to improve or at Where such impacts will be experienced, improve or at least restore the least restore livelihoods of ARAPs will include measures for livelihoods of all affected people. affected people by a range of improvement or at least restoration in strategies targeted at affected living standards of affected people to pre- people. Nobody is to be worse project levels. off as a result of the development project. Very limited provisions to provide Requires that affected people The project will follow the principle of assistance/compensation to APs are compensated for all losses, replacement cost for compensation of who lose access to non land assets. including non-land assets, at full affected assets. replacement cost. There is no requirement for the OP 4.12 requires that ARAPs will include indicators and baseline monitoring and assessment of resettlement outcomes be data to monitor impacts on living standards resettlement outcomes. monitored and assessed. of affected people. The monitoring reports will also be disclosed including to affected people. 26 4.4 Applicable Safeguard Instruments Table 5 identifies the safeguard instruments compared to the relevant Safeguard Policy. Table 5 Safeguard Instruments Safeguard Policy Type of Subproject Applicable Instrument OP4.01 All subprojects or activities Safeguard Screening Form (Annex C) Environmental Category B An Environmental Management Plan (EMP), or a Assessment Mitigation Matrix, depending on the nature and scale of (Geographically limited, readily identified impacts potential impacts. (Refer to the policies below for more that and can be mitigated) information). Environmental permit. Category C Category C projects do not require any safeguard (Negligible or minimal instrument but a Mitigation Matrix may be used to assist potential impacts that are mainstreaming mitigation into project design. easily mitigated) Environmental permits may still be required. OP4.11 Physical All subprojects or activities Chance Finds Procedure (CFP) relevant for all sub- Cultural projects. Resources EMP will be prepare with a PCR plan component if required, based on screening. Natural Habitats All subprojects or activities Screening checklist to identify and avoid natural habitats. OP/BP 4.04 EMP required where mitigation is required. PEA required for disturbances to forest areas above 10ha. OP4.12 Land access provided by Negotiated settlement (lease or Voluntary Land Involuntary private or customary Donation) is a formal agreement with landowners to Resettlement landowner/s secure land for project-specific purposes (refer Land Acquisition Framework). Involuntary land access Abbreviated Resettlement Action Plan required (refer (temporary or permanent) Land Acquisition Framework). 27 5 Processes for Sub-Project Screening and Mitigation 5.1 Safeguards Processes – Water Supplies A Defining Subprojects  VGMD PMU and Area Councils will prepare sub-projects, including the villages, water supply sources (rainwater, groundwater/spring, surface water).  VGMD PMU and Area Councils will undertake screening as per the checklists in Annex A, C and D, and check the Vanuatu environmental legislation.  Investments including an activity in Annex A cannot be accepted for funding.  Investments with potential risks that score 3 or 4 in the screening Checklist in Annex C, a mitigation matrix will be required to accompany the application (sample found in Annex J). Where investments have potential risks that score 5, and / or the investment is screened Category B, an EMP will be required to be prepared before the investments can be approved.  Where an EMP is required, the VGMD will prepare the EMP consistent with the ESMF. The EMP will be cleared by the World Bank prior to investment implementation.  Community consultation will be carried out and recorded using Annex H.  Train Area Councils and Civil Society Organisation Consortium on the EMSF requirements. B Implementing Water Supply Subprojects  Civil Society Organisation Consortium, Area Councils, and any contractors, will support the Villages to implement the safeguards requirements as part of project implementation (mitigation matrix, EMP).  The Nakamal leaders and Area Councils will manage grievances and keep records in the first instance (until / unless elevated to the VGMD PMU). Records will be submitted to VGMD PMU.  VGMD PMU will do monitoring visits and will prioritise monitoring the Category B investments and investments with EMP.  Incidents, successes, grievances and outcomes will be reported by VGMD PMU in project reports for the World Bank. 5.2 Safeguards Processes - Buildings / Structures, Feeder Roads and other Construction Safeguards steps integrated into the cycle of an IRCCNHH activity are as follows: A Preparation stage  Options identification and feasibility checking, including ensuring the activity can be funded – through the funding criteria, list of prohibited activities etc.  Consultation with officials, communities and individuals once an activity has been identified and found financially and technically feasible. This consultation will identify any local issues with the preferred location, and will guide the screening that follows. 28  Screening. Environmental and social screening checklists are in Annexes A, C and D. Screening will lead to identification of any measures required to manage adverse impacts. These measures will be included in the implementation plan.  For minor environmental impacts, simple mitigation and monitoring measures can be provided in the implementation plan (as documented in Section 3). A mitigation matrix can be used to manage impacts (refer Annex J). For moderate or significant environmental impact a sub-project specific ESMP is required. Check for requirements under Vanuatu Legislation (Annex K).  For impacts that affect livelihoods, any mitigation measures (such as replacement of affected crops) should be accomplished before assets are affected or individuals or communities have suffered any loss. It will also be necessary to ensure that any MOUs, voluntary donations of land or other assets (Refer Land Acquisition Framework) are formally recorded prior to commencement of works.  The Implementation Plan including safeguards measures will be disclosed to stakeholders by announcement on radio and in the local press, and by facilitating consultation of the document by members of the public if desired at their Provincial Centre.  The relevant line agency will notify the mechanism for notifying and handling incidents, complaints or grievances along with the implementation plan. B Implementation  The responsibility for implementing mitigation measures during implementation is the line agency, however it could be delegated to a contractor or third party. The responsibilities should be clear prior to work starting, and any briefings or training provided as necessary.  The line agency staff and the M&E staff from PMU will monitor the implementation of mitigation measures, and record progress / outcomes.  The contractor, the client or its agent and local stakeholders will meet to discuss progress and resolve any incidents or complaints arising from the project. The implementing agency will log all complaints to ensure resolution (see Annex I).  Finally, at handover of the facility to its owner/operators, any impact monitoring and reporting procedures will be agreed, and the appropriate institutional responsibilities confirmed (see Annex G). If these are community assets then the forms in Annex E, F and H should be used. 5.3 Safeguards Actions - other subprojects / activities For subprojects / activities that do not require land or physical assets, but will involve decision making that could produce environmental or social impacts, Section 3 should be consulted. The Tables contains mitigation measures that are considered appropriate during the decision making process. Notes should be placed on file of the decisions made and confirmation that mitigation measures were followed. Monitoring procedures should be put into the M&E framework. This may be based on the 29 table above, with a column added to record the mitigative actions taken- See Annex J for a pro forma recording matrix. Notes should also be made of any incidences of non-compliance, and / or of any complaints or social or environmental issues that arise from the subprojects / activities. Complaints processes should follow those described in the section above. Monitoring records shall be kept in the M&E database. Summary information should be provided in the quarterly reports to the PMU and the World Bank under the safeguards section: Subproject / activity, mitigation measures, monitoring plan and results for the quarter, complaints or incidences and follow up actions. EG: Collection of crop cultivars: Decisions have been made to collect x, y and z cultivars, all of which are already present and / or endemic to Vanuatu and will not cause weed problems. There is no need for monitoring of this activity. If any complaints are received they will be recorded and actioned through the grievance process. 5.4 IRCCNH Activity Records Each activity under Components that will have physical impacts5 that follow the processes in Sections above will require the VGMD to set up a file or dossier that contains the following data of relevance to safeguards: A. Planning Stage Before the project commences the following should be on file (where required, depending on the type of project): 1. IRCCNH Work Plan/Budget line item reference (indicating internal and PMU approval of the activity) 2. General Location Map 3. Site plan or sketch showing GPS coordinates where possible 4. Technical drawings/plans, standard approved design or duly signed off by the appropriate quality control officer 5. Completed Safeguards screening checklist, duly signed off 6. Proof of agreement to use the site where necessary (Community consultation records, completed voluntary land donation form or equivalent Line Agency document) 7. Building permit from Provincial Building Officer 8. Preliminary Environmental Assessment, EMP, etc. 9. Bid documents 10. Tender documents 11. Village investment application documentation. 5 Establishment of Provincial Disaster Centres under Subcomponent 1.2 (iii); small grants to communities for resilience activities specified under Subcomponent 2.2; setting up plant distribution centres under Subcomponent 3.2; installation of rainwater catchments under Subcomponent 4.2. 30 B Implementation Stage When physical work commences, the following records will be held: 13. Contract documents including: a. Work Plan and timetable b. Budget c. Payment schedule d. Insurance and liability provisos e. Procedure for handling incidents, complaints or grievances f. Reporting schedule (including safeguards) g. Specific mitigation measures 14. Quarterly Progress Reports including a. Any environmental incidents or grievances notified - see pro forma tracking sheet at Annex I. b. M&E reports (requirements will be in TORS/contract) 15. Record of handover to the community where appropriate (see pro forma Annex G) 31 6 Grievance Redress Mechanism This section provides guidance for complaints management for World Bank-funded projects being implemented by the PMU. The purpose is to provide a centralized ‘grievance redress mechanism’ (GRM) for the Project which can also be applied to meet the Bank’s safeguard requirements. The GRM outlines a process for documenting and addressing project grievances (complaints) that may be raised by affected persons or community members regarding specific project activities, environmental and social performance, the engagement process, and/or unanticipated social impacts resulting from project activities. It describes the scope and procedural steps and specifies roles and responsibilities of the parties involved. The GRM is subject to revision based on experience and feedback from stakeholders. The grievance process is based upon the premise that stakeholders are free to raise their concerns to relevant representatives at no cost or threat of any negative repercussions; that concerns arising from project implementation are adequately addressed in a timely and respectful manner; and that participation in the grievance process does not preclude pursuit of legal remedies under the laws of the country. The VGMD PMU will manage the GRM, utilizing formal, informal and traditional grievance procedures suitable to the Vanuatu context. Generally, complaints and disputes will be resolved at the community level as much as possible. Grievances may be firstly referred to customary conflict mediation arrangements where appropriate, so long as they are not directly affiliated with leaders who are party. If the issue cannot be resolved at this level, it will be raised to the next level and so on (Figure 1). VGMD PMU will aim to address all complaints received, regardless of whether they arise from real or perceived issues. Any stakeholder who considers themselves affected by the project activities will have access to this procedure at no cost or threat of any negative repercussions. The statutory rights of the Complainant to undertake legal proceedings remain unaffected by participation in this process. Limitations The GRM does not deal with grievances relating to internal communication or disputes between the project team, Implementing Agency, other agencies; nor intra/inter-community conflicts that are not project-related. Objectives The GRM has the following objectives: 1. Establish a prompt, easy to understand, consistent and respectful mechanism to support VGMD PMU in receiving, investigating and responding to complaints from community stakeholders; 2. Ensure proper documentation of complaints and any corrective actions taken; and 3. Contribute to continuous improvement in performance through the analysis of trends and lessons learned. 32 Institutional Arrangements The VGMD PMU will be responsible for managing grievances including updating the grievance database to track the progress of formal grievances for the duration of projects. This involves coordinating between key agencies on a regular basis (i.e. weekly or fortnightly). The PMU is responsible for final oversight of community consultation and grievance management. Local and Area Councils will be briefed on issues and engaged to support convening community meetings as required. The PMU will administer the grievance database. Nominated staff will regularly update the grievance database in consultation with key agencies where complaints are raised. All project-related grievances should be captured in the database regardless of the agency they were raised with. The PMU should be involved in the resolution of all project-related grievances that sit within their key functions, and shall support other key agencies with adequate resources and staffing as necessary to ensure grievances are effectively resolved. Awareness of GRM The PMU will inform the Local Councils, Area Councils, communities project teams, contractors and key agencies on the GRM. Communities and affected persons should be advised of the GRM in the early stages of engagement, and be made aware of: • How they can access the GRM (i.e. key people and complaint forms); • Who to speak to and lodge a formal complaint; • The timeframes for each stage of the process; • The GRM being confidential, responsive and transparent; and • Alternative avenues of dispute resolution where conflicts of interest exist. III. Grievances Procedure The grievance resolution process includes four key stages – (i) Receive; (ii) Investigate/Enquire; (iii) Respond and (iv) Follow up/Close Out as illustrated in Figure 1. Affected people are, in the first place, to discuss their complaint directly with the Nakamal leader. If the Nakamal leader supports the complaint both persons take the complaint to the PMU, or the Ministry during the project planning and design stage, or the contractors site office or directly to the PMU during construction. For those who wish to remain anonymous, a register of their complaint or issue can be made on a register held with the Nakamal leader. This register will be provided to the contractor as per the above. Relevant personnel will be required to accept formal grievances and ensure avenues for lodging grievances are accessible to the public and affected persons. This may be in verbal or written form. The grievance should be formally documented on the grievance form, assessed on its level of urgency/severity and assigned to the appropriate person who then acknowledges within two days to 33 the Complainant, that the grievance has been received and is under review. Attachment 1 provides a template for lodging grievances. The severity of each grievance and subsequent course of action shall be determined by the PMU. If the issue is easily resolvable, the responsible party should endeavor to address the issue directly on site, and record the details for filing into the Grievance database managed by the PMU. If the grievance is a more complex issue, it may require additional meetings and further investigation. A formal response should be provided within a two-week timeframe or a timeframe that has been agreed to with the Complainant. If additional time is needed, the Complainant will be advised of this in advance. Figure 1 Stages in the Grievance Resolution Process Grievances should be closed out within 30 days (Table 1). The response should communicate findings of the investigation and resolution, and seek approval from the Complainant. The Complainant will either accept or appeal the outcome. If the Complainant is satisfied with the outcome then the grievance is closed out and they provide their signature (or fingerprint) on the grievance form as confirmation. Table 1 below outlines the timeframes for each stage of the grievance process. Table 6 Grievance timeframes Timeframe Stage 1 day • Grievance reported and referred to nominated person / project representative 34 2 days • Determine severity of grievance • Acknowledge receipt of grievance to Complainant • Resolve immediately if possible • Grievance report sent to PMU and logged in database 14 days • Meeting with relevant parties, village leaders etc. • Confirm resolution with Complainant and seek their approval. 30 days • Grievance closed out • Database updated If an agreement is not reached between the Complainant and VGMD PMU, the grievance will be escalated to the Minister of Climate Change for review and a final decision. If necessary, further action will be taken to resolve the issue. If the Complainant is still dissatisfied with the outcome, they may be referred to the legal process, however, courts should be the last avenue for addressing grievances. A grievance is closed out when no further action can be or needs to be taken. Closure status will be entered into the Grievance database as follows: • Resolved – resolution has been agreed and implemented and signed documentation is evidence of this. • Unresolved – it has not been possible to reach an agreed resolution and the case has been authorised for close out by the Minister of Climate Change. • Abandoned – cases where the attempts to contact the Complainant have not been successful for two months following receipt of formal grievance. 35 7 Consultation and Disclosure ESMF Consultation Prior to restructuring, a draft version of the ESMF was circulated to, discussed with, and reviewed by DEPC, Dept of Water and DLA. DEPC has provided feedback on their EPCA processes and list of activities requiring PEA and minor projects not requiring PEA. Discussions included how to ensure that environmental permits were not overlooked. Discussions with the DLA covered the greivance redress mechanism, including how grievances are managed at the village level and between land owners, the role of the Area Councils to coordinate investments and conduct stakeholder engagement for village- led investments (Component 1), how community labour will be trained and managed in health and safety. A draft version dated April 2016 was disclosed on the NAB websites for comment. No comments were received. The PMU M&E Officer has been working with the TAC and Area Councils on Tanna to train them on the M&E system for the project. The ESMF has been part of those discussions, focusing on the checklist process to screen subprojects and manage impacts, and how to manage grievances. The main conflict that is of concern to the communities is how to manage access to water supplies where they are located on land not owned by the community. The processes in the ESMF (identification of land owners, agreement to access (VLD form or lease arrangement) and grievance redress, were discussed. This final version (April 2017) of the ESMF has been publicly disclosed in Vanuatu on the Climate Change National Advisory Board website and on the World Bank website. On-going consultation Community engagement and empowerment is the cornerstone of the approach to the subproject development and implementation. This has been done to date, and will continue to be done, by the Implementation partners, supported and supervised by the PMU. The outcomes of the subprojects are to improve resilience in the communities, and therefore their engagement in the project design and decision making is an integrated part of the approach. Consultation with communities and institutions involved in project implementation includes, and will continue to include, information on the ESMF and how it will relate to their investment. Each village group / institution will be made aware of the ESMF, and the obligations for screening risks and mitigating potential impacts. They will be made aware of the ‘prohibited’ list of activities that cannot be funded under the IRCCNH because of the safeguards risks, and key mitigation measures prescribed in the ESMF. They will also be informed of the GRM. 36 8 Institutional Arrangements, Responsibilities and Capacity Building The VGMD PMU is responsible for implementation of the ESMF as the Project Implementing Agency, and is responsible for ensuring that the Implementing Partners (Civil Society Organisation Consortium, VARTC, Dept of Local Authorities (provincial and area secretaries), Area Councils, Dept of Water) are familiar with the safeguards management measures and requirements for project implementation. At the sub-project / activity level the Implementing Partners are responsible for following the screening steps and assisting the villagers and contractors to implement the mitigation measures etc. The PMU will support the Implementing Partners through raining on the ESMF processes, standards and checklists, and will review and monitor progress. If an EMP is required it is the PMU’s responsibility to ensure this is completed and provided to the Bank for review and clearance prior to implementation. Table 7 Summary of Roles and Responsibilities Organization Roles and Responsibilities VGMD PMU Prepare the ESMF, disclose and conduct consultation. Incorporate the ESMF into the Project Operations Manual. Train implementation partners how to implement the ESMF. Ensure the ESMF is put into the contracts of any Contractor/NGO Consortium or other third party. Implement the ESMF for all activities it is directly responsible for (i.e. Provincial Disaster Centres). Supervise and monitor the partner organisation’s implementation of the ESMF. Prepare EMP if required, and submit to the World Bank for review and clearance. Address project-related complaints not resolved by partner organisations. Review and update the ESMF and Project Operations Manual where necessary. Report on progress and outcomes of the ESMF to the World Bank. Partner Organisations: Use the checklists and screen risks as per the ESMF, for all projects they are Area Councils, Civil responsible for. Society Organisation Consortiums, Develop and implement mitigation matrices, in partnership with beneficiaries. Contractors, Dept Implement EMP, in partnership with beneficiaries. Water, VARTC etc. Address grievances where possible, and otherwise elevate them to VGMD PMU. Report implementation progress to VGMD PMU on a monthly basis. 37 Organization Roles and Responsibilities World Bank The Bank will provide support to the VGMD PMU through its internal safeguards as required, including supervision of the implementation of the ESMF. The World Bank task team, including safeguards specialists, will make a supervision mission at least once a year. Opportunities for capacity building, training and other support and mentoring tasks will be created during missions to support the PMU to implement and supervise the ESMF. The World Bank task team will review safeguards reporting the Project Reports. The PMU has been implementing an ESMF since the project inception, in 2013. Training was provided to the PMU and stakeholders on two occasions by the World Bank task team safeguards specialists. The safeguards specialists held a workshop during the project launch, to go through the ESMF and the Bank policies. This was followed up by a training field visit, where the Bank team, PMU team and stakeholders used the checklists to screen proposed sub-projects and then followed up with the relevant mitigation actions. The ESMF was integrated into the Project Operations Manual soon after this second training. The PMU has allocated the responsibility of safeguards implementation to the monitoring and evaluation (M&E) team. The full time, Port Vila based, M&E officer is responsible for overseeing the screening the subprojects (done either by herself or the implementation partner) and preparing any EMP and obtaining environmental permits from the DEPC. She keeps all records and prepares reports for the World Bank. 30 screening checklists have been completed since 2013, 10 by the PMU and 20 by the implementation partners. The PMU has updated the screening checklist over time to address the different types of subprojects and issues that arise. They are confident with the screening process as a way of determining the potential impacts and mitigation options. The World Bank safeguards specialists will continue to support the PMU during implementation supervision missions, and will review capacity and provide specific training on an as-required basis. A specific task will be to support the PMU to train the implementation partners regarding processes for the new subprojects, within three months of project restructuring. 38 Annex A Activities that will not be funded under IRCCNH The following activities will not be funded under the IRCCNH project:  Construction of large-scale infrastructure such as dams, seawalls, large-scale irrigation channels, sealed roads and bridges  Purchase of large amount of pesticides, insecticides, herbicides and other hazardous chemicals. Use or storage of hazardous materials or toxic chemicals  Introduction of non-native species, unless these are already present in the vicinity and are known to be non-invasive.  Direct involuntary land acquisition.  Relocation and/or structural demolition of any houses. (Renovations of government or community assets will be funded if part of a resilience or disaster response project (e.g. rainwater water harvesting structures).  New settlements or expansion of existing settlements inside natural habitats and existing or proposed protected areas  Activities within or near any natural areas protected by local tradition or by government (national park, world heritage site).  Activities that require extensive land or forest clearing or tree felling (>1ha at any one location).  Land reclamation or beach sand mining.  Sourcing materials (sand, gravel) from quarries or borrow pits that are not permitted by DEPC and licensed by Dept of Geology and Mines.  Activities that Screen Category A in Section B of the Screening Checklist in Annex C. 39 Annex B Grievance Report Form GRIEVANCE REPORT FORM Received by: _________________________ Date Received: ___________ Reported by: _________________________ Database ID: _____________ Responsible Agency:__________________ Staff Name: _______________ Location:__________________________________________________________ Village First Name, Last Name Contact Details Complainant(s) Suco Chief Acknowledged by: ____________________ Date Acknowledged: _______ Description of Concern: ………………………………………………………………………………………. Category: Compensation / Land Access / Inadequate Notification/ Disruption to Business or Property / Property Damage / Irrigation / Boundary Dispute / Environmental Damage / Construction Activities / Safety Risk /Traffic / Other Proposed Resolution or Feedback: ………………………………………………………………………………………. Complainant satisfied with process? Yes ☐No ☐ Why not?………………………… Complainant satisfied with outcome? Yes ☐No ☐ Why not? ……………………….. Print Name (Complainant): ____________________________________________ Signed (Complainant): _________________________________ Date:________ Signed (Recipient): __________________________________ Date:________ Copied to: _________________________________________________________ 40 Annex C Environmental and Social Safeguards Screening Form INCREASING RESILIENCE TO CLIMATE CHANGE AND NATURAL HAZARDS (IRCCNH) PROJECT Environmental and Social Safeguard Screening Form ________________________________________________________ __ Department/ Division: Project Name & Component: Subproject Name: Subproject Location (include map/sketch): Type of Activity: Proposed Date of Commencement of Work: A. Site Selection: When considering the location of a sub-project, rate the sensitivity of the proposed site in the following table. Higher ratings do not necessarily mean that the site is unsuitable. They do indicate a real risk of causing undesirable adverse environmental and social impacts, and that more substantial environmental and/or social planning may be required to adequately avoid, mitigate or manage potential impacts. Issues Site Sensitivity Rating Low Medium High Natural Habitats No natural habitats No critical natural Critical natural present of any kind habitats; other habitats present natural habitats occur Water quality and Water flows exceed Medium intensity Intensive water water resource demand; low of water use; use; multiple water availability and use intensity of water multiple water users; potential for use; potential water users; water conflicts is high; use conflicts quality issues are water quality issues expected to be low; important are important no potential water quality issues Natural hazards Flat terrain; no Medium slopes; Mountainous vulnerability, potential some erosion terrain; steep floods, soil stability/erosion potential; medium slopes; unstable stability/erosion problems; no risks from volcanic/ soils; high erosion known volcanic/ seismic/ flood/ potential; volcanic, seismic/ flood risks hurricanes seismic or flood risks 41 Cultural property No known or Suspected cultural Known heritage suspected cultural heritage sites; sites in project area heritage sites known heritage sites in broader area of influence Involuntary Low population Medium High population resettlement density; dispersed population density; density; major population; legal mixed ownership towns and villages; tenure is well and land tenure; low income families defined; well well-defined water and/or illegal defined water rights rights ownership of land; communal properties; unclear water rights B. Completeness of Subproject Application: Does the subproject application document contain, as appropriate, the following information? Information Yes No N/A Description of the proposed project and where it is located Reasons for proposing the project The estimated cost of construction and operation Information about how the site was chosen, and what alternatives were considered A map or drawing showing the location and boundary of the project including any land required temporarily during construction The plan for any physical works (e.g. layout, buildings, other structures, construction materials) Any new access arrangements or changes to existing road layouts Any land that needs to be acquired, as well as who owns it, lines on it or has rights to use it A work program for construction and operation (e.g. materials, water, energy) Information about measures included in the subproject plan to avoid or minimize adverse environmental and social impacts Details of any permits required for the project C. Environmental and Social Checklist The following tables provide a series of recommendations to determine potential environmental and social impacts associated with each subproject and the potential need to develop subproject specific Environmental and Social Management Plans (ESMP). A Type of activity – will the subproject: Yes No 1 Support animal husbandry or processing? 42 2 Involve the construction or rehabilitation of any small dams, weirs or reservoirs? 3 Support irrigation schemes? 4 Support rural water supply and sanitation? 5 Build or rehabilitate any rural roads? 6 Involve solid waste management? 7 Involve small scale aquaculture? 8 Involve food processing? 9 Build or rehabilitate any structures or buildings? 10 Support agricultural activities? 11 Be located in or near an area where there is an important historical, archaeological or cultural heritage site? 12 Be located within or adjacent to any areas that are or maybe protected government (e.g. national park, world heritage site) or local tradition, or that might be a natural habitat? 13 Depend on water supply from an existing dam, weir or other water diversion habitat? B Environment – will the subproject: Yes No 14 Risk causing the contamination of drinking water 15 Cause poor water drainage and increase the risk of water related diseases such as malaria? 16 Harvest or exploit a significant amount of natural resources such as trees, fuel wood or water? 17 Be located within or nearby environmentally sensitive areas (e.g. intact natural forests, mangroves, wetlands) or threatened species? 18 Create a risk of increased soil degradation or erosion? 19 Create a risk of increasing soil salinity? 20 Produce or increase the production of solid or liquid wastes (e.g. water, medical, domestic or construction wastes)? 21 Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands) or groundwater (e.g. wells)? 22 Result in the production of solid or liquid waste, or result in an increase in waste production, during construction or operation? 23 Negatively impact on existing ecosystems or habitats? If the answer to any of questions 14 – 23 is yes, an Environmental Management Plan (EMP) should be prepared for the subproject. C Land Acquisition and access to resources – will the subproject: Yes No 24 Require that land (public or private) be acquired (temporarily or permanently) for its development? 25 Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forests) ? 26 Displace individuals, families or businesses? 43 27 Result in the temporary or permanent loss of crops, fruit trees or household infrastructure such as granaries, outside toilets and kitchens? 28 Result in the involuntary restriction of access by people to legally designated parks and protected areas? If the answer to any of questions 24 – 28 is yes, please consult the Land Acquisition and Resettlement Framework and if needed, prepare a Resettlement Action Plan (RAP) for the subproject. D Pesticides and agricultural chemicals – will the subproject: Yes No 29 Involve the use of pesticides or other agricultural chemicals or increase existing use? If the answer to questions 29 is yes, please consult the ESMF and if needed, prepare a Pest Management Plan (PMP) E Dam safety – will the subproject: Yes No 30 Involve the construction of a dam or weir? 31 Depend on water supplied from an existing dam or weir? If the answers to questions 30 – 31are yes, please consult the ESMF and if needed, prepare a Dam Safety Report (DSR) D. Certification We certify that we have thoroughly examined all the potential adverse effects of this subproject. To the best of our knowledge, the subproject plan as described in the application and associated planning reports (e.g. EMP, RAP, PMP), if any, will be adequate to avoid or minimize all adverse environmental and social impacts. Community representatives (signatures); Representative (1): __________________________________ Date: _____________________ Representative (2): __________________________________ Date: _____________________ Representative (3): __________________________________ Date: _____________________ Local Authority representative (signature): _________________________________________ Date: _____________________________ Project/Department representative (signature): _____________________________________ Date: ____________________________ 44 45 Annex D Land Use and Impacts Checklist6 Information about Affected Persons (APs) No Yes Describe impact and mitigation action planned 1 a) Is the location of the land to be used known? If yes, Location/Address/Legal description/GPS coordinates b) Is the ownership status of land to be used known? (Give name/s and contact details of owners/ lessees as appropriate; attach evidence if available) 2 Is the current usage of the land known? If yes, describe land use. If no, observe and note during survey. 3 Are the owners/users of land wanted for the project willing to donate it voluntarily? (see Annex C for requirements for voluntary donation). If no, consider another site. 4 Will there be physical displacement of people from the land to be used? 5 Will more than 200 people be affected, or lose more than 10% of their livelihood assets? 6 Will there be loss of shelter or other structures due to the project? 7 Will there be loss of agricultural and other productive assets due to the project? 8 Will there be losses of crops, trees, and fixed assets due to the project? 9 Will there be loss of businesses or enterprises due to the project? 10 Will there be loss of income sources and means of livelihoods due to the project? 11 Will people lose access to natural resources, communal facilities or services? 12 If land use is changed, will it have an adverse impact on social and economic activities? 13 Will access to land and resources owned or used communally or by the state be restricted? 14 Are any affected households: (numbers or No or percentage) % Poor sole parent households supporting children under five, elderly, disabled, chronically ill or vulnerable? Host community impacts – fill out if the activity requires physical relocation of people 15 Have any potential hosts been a) consulted and b) indicated no objection? 6 The IRCCNH activities are small scale and are not expected to entail involuntary land acquisition. This list is included for reference if future activities require land to be acquired. 46 16 Have host community facilities been reviewed for adequacy to service existing and new residents? 17 Has planning been undertaken and budgeted for any necessary activities to restore facilities (e.g. physical and social infrastructure) available to hosts and new community members to prior condition or better? Impact Summary 18 Does the activity have broad community support? If yes, what is the evidence for the answer? (attach documents) 19 Estimate of the number of persons likely to be M F adversely affected by the Project, or attach a census of Affected Persons (APs). 20 Estimate loss of assets due to the project, or attach an No Type inventory: Land area Trees Crops Buildings Income Other categories of activity-related loss Summary of land use permissions and resettlement actions to be taken and /or Plans to be developed (see Resettlement Action Framework); include in the Activity summary, p.1. 47 Annex E Community Managed Asset Summary Record Most of this information will be supplied by the community – see Annex H – and will be held on file. Subproject/Activity reference and description Location (Village, Province, Island; GPS coordinates if available) Community Management Group formed (date, consultation record indicating community support) Contact name/address for Community Management Group Safeguards screening signed off (date) Agreement for land use signed (date) Intended Beneficiaries of project (Number of males, M F H/h females, households) Life-expectancy of subproject asset (years) Name of Farmer(s)/Operator(s) to be trained Training completed (date) Community Maintenance Plan approved (date) Community Financial Management Plan approved (date) Any beneficiary maintenance levy agreed (Vatu/yr) Indicators to be monitored by Community Group (e.g. water/soil quality, changes in resource, environment, beneficiaries’ health, community disputes etc) Quality inspection completed (date) Handover to Community Management Group (date, attach form Annex H) Provincial Government contact for assistance Departmental Contact for assistance 48 Annex F Content of Community Asset Management Plan Before physical installation of a community assets provided under the IRCCNH, the community will provide the following basic information to the line agency representative: 1. Name of village 2. Location of village 3. Proposed location of the asset (GPS co-ordinates if available) 4. Records of community consultations(s) with signed attendance list(s)indicating broad support for the project activity, formation of an asset management group (e.g. Farmers’ or Water Management Committee), and management plan 5. Documentation of land/asset donation or lease arrangements if required (see Annex D) 6. Management plan including: a. Description of the beneficiaries of the asset b. Who will manage the asset c. Who will maintain the asset d. Any maintenance levies agreed 7. Name of contact person 8. Contact details 49 Annex G Handover of Asset to Community 1. Name of village 2. Location of village 3. Location of the asset (Description, GPS co-ordinates) 4. Description of the asset being given and received: 5. Management Plan agreed (date)……………………………………………. (append) We, the undersigned, being the representatives of the community receiving the asset described above, gratefully acknowledge that we have participated in consultations and training in management of this asset, and that it has been handed over in good order and condition. We undertake to diligently manage and maintain the asset for the whole community’s benefit, and to participate in such evaluation and monitoring of the asset’s performance and impacts as may from time to time be required by the Donor/Department. Name of and position of contact person(s) for community asset: Contact details: Date: I/we the undersigned being the appointed representative of the (Donor/Department)………………... …………………………………………………………………………………………………………………………………………… acknowledge that the community receiving the asset described above has freely participated in provision of a site for this facility, has received training in management of the asset, has adopted a Plan (appended) for its continued management and maintenance for the benefit of the whole community, and is hereby handed over the asset in trust to manage henceforth for the beneficiaries. Name and position of contact person(s) for Donor/Department: Contact details: Date: 50 Annex H Pro Forma Record of Community Consultation7 The following pro forma list below may be provided to guide consultations for community groups about assets to be installed under the IRCCNH. Record of Community Consultation 1. Village 2. Location, date, time 3. Agenda for meeting as appropriate, e.g: a. To discuss IRCCNH activity b. To agree on location c. To agree on beneficiaries d. To agree on Management Committee e. To agree on trainees, operators f. To agree on maintenance responsibilities g. To agree on financial contributions for maintenance h. To discuss and resolve any complaints or grievances about the activity i. To discuss participation in monitoring the impacts of the activity 4. Summary of discussions for and against, conclusions and agreements, actions and responsibilities. Signed (Chairperson): Date: In the presence of (see next page): 7 May be used as a guide if communities are not experienced in recording proceedings of public meetings 51 5. Attendance list (continue on additional sheets if required, and append) Name Position and Contact details Signature The record of the consultation and the attendance list are to be filed and copied for the relevant Department or Agency 52 Annex I Record of Incidents and Complaints8 Agency/Department Activity Reference Date Reported Nature of Incident or Name of Contact Details Steps Taken to Resolve Issue, and Date Complaint Complainant of Complainant responsible agency/person Resolved 8 Incidents and complaints reported to local authorities or contractors should be forwarded to and collated by the relevant line agency to ensure completeness of the record, to contribute to ‘lessons learned’ an d to ensure resolution of all issues. 53 Annex J Sample Matrix for Recording / Filing Safeguards Monitoring Actions Activity Potential Potential Social Mitigation Measures Monitoring Actions Environmental Impacts Impacts taken/outcome Collection of root crop Potential for root crop Consideration needs to The root crop cultivars - Type of root crop Invasive weed cultivars cultivars be collected will be species cultivars inspection performed from both Vanuatu and from overseas to given to the types of already grown and collected (location, date, internationally become an root crop viable in - Indicators to be personnel). No new invasive weed cultivars collected to Vanuatu and will not be determined - invasive weeds ensure culturally insensitive to coordinated identified. that the species chosen communities. by M&E desk are not culturally insensitive to the communities. 54 Annex K Legislation for Environmental Assessment The Environment Management and Conservation Act No.12 of 2002 is a piece of environment legislation that provides for the conservation, sustainable development and management of the environment of Vanuatu, and the regulation of related activities. It covers four main areas: - Administration - Environment Impact Assessment (EIA) - An EIA consists of reports being made that always include an assessment on important plant and animal species that are found in the project area and recommend important measures to protect them in a project area of interest. - Biodiversity - Bioprospecting Laws and Community Conservation Areas (CCAs) - This gives direction to Vanuatu communities if they consider registering their conservation areas at the national level. An Environmental Impact Assessment (EIA) is an assessment of the possible impacts, positive or negative, that a proposed project may have on the environment taking into consideration natural, social and economic aspects. The purpose of an Environmental Impact Assessment is to ensure the decision makers consider the environmental impacts to decide whether to proceed with the project. Developments that require EIA includes tourism developments close to coastal area, logging along river bank or village, livestock farming, and bioprospecting activities close to Community Conservation Area. The EIA process is illustrated in Figure 2 below. A Preliminary Environmental Impact Assessment (PEA) is done by the DEPC for any application for any project, proposal or development activity (except projects listed as minor), to determine: - Whether the project, proposal or development activity is likely to cause any environmental, social or cultural impact. - The significance of any identified impact. - Whether any proposed actions are likely to effectively mitigate, minimize, reduce or eliminate any identified significant impact. Upon receiving information that a project needs full EIA report the DEPC Director then develop a Terms of Reference (TOR) that will direct the EIA study. The Director will make sure that the TOR covers all party concerned. Upon the finalization of an EIA report, if the study does not address an important subject, the director may in writing notify the developer and request for full coverage of the study. If the report covers all important issues the director may in writing write to agree to the project. Should the EIA report shows major damages to the environment the Director of Environment may decline the project in writing to notify the developer with clear details stating reasons for declining. Should the director agree to the report (s)he may in writing inform the Minister to sign for the development to proceed. 55 Figure K1: PEA and EIA Process in Vanuatu An application for any project, proposal or development activity is received with all relevant documents. A Preliminary EIA (PEA) is The particulars of the project undertaken by DEPC to are registered in the determine whether or not a environmental Registry. full EIA is necessary. EIA is required EIA is not required however, EIA is not required. Permit conditions apply based on issued with no conditions. recommendations made by the DEPC. The DEPC and EIA review committee establishes terms Development proceeds, of reference (TOR) for regular compliance requirements of EIA and monitoring and inspection of refers it to project proponent, environmental conditions is giving them 30 days for any carried out by the DEPC comments. Proponents issue public Consultations with all relevant EIA is carried out by a notice concerning project stakeholders custom consultant registered with the proposal inviting submissions landowners chiefs and DEPC and resulting report is from interested and relevant relevant parties are held reviewed by the DEPC and EIA parties. Review Committee. A 2nd consultation can be carried on the final report and, a final review is done by Minister considers the Director and EIA Review recommendations and makes Committee and decision. recommendations are made to the Minister concerning the project proposal. Application is rejected Application referred back to Application accepted with or DEPC for more information or without conditions and a supplementary EIA Report recommendations. Development proceeds, regular compliance monitoring and inspection of environmental conditions is carried out by the DEPC 56 Annex L Chance Find Procedure Cultural property include monuments, structures, works of art, or sites of significance points of view, and are defined as sites and structures having archaeological, historical, architectural, or religious significance, and natural sites with cultural values. This includes cemeteries, graveyards and graves. The following procedures for identification, protection from theft, and treatment of discovered artifacts should be followed (and included in standard bidding documents where relevant). Chance find procedures will be used as follows: (a) Stop the earthworks, construction or land clearing activities in the area of the chance find; 
 (b) Delineate the discovered site or area; 
 (c) Secure the site to prevent any damage or loss of removable objects. 
 (d) Notify project representative and village head, who in turn will notify the responsible local 
authorities; (e) Department of Local Authorities would be in charge of 
protecting and preserving the site before deciding on subsequent appropriate 
procedures. 
 (f) Decisions on how to handle the finding shall be taken by the Department of Local Authorities 
and the relevant Ministry. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage. 
 (g) Implementation for the authority decision concerning the management of the finding shall be communicated in writing by the Department of Local Authorities. 
 (h) Construction work could resume only after permission is given from the responsible local authorities and the Department of Local Authorities concerning safeguard of the heritage. 
 During project supervision, the PMU shall monitor the above regulations relating to the treatment of any chance find encountered are observed. Records will be reported to World Bank. Relevant findings will be recorded in World Bank Supervision Reports and Implementation Completion Reports will assess the overall effectiveness of the project’s cultural property mitigation, management, and activities, as appropriate. 57 Annex M EMP Outline The need for an EMP/ESMP will be determined through subproject screening. The plan should detail mitigation measures for identified environmental and social impacts. The EMP will provide practical and relevant means to mitigate risks and impacts that are locally appropriate and cost-effective. The VGMD PMU will prepare the EMP for approval by the World Bank (and the DEPC if relevant) prior to implementation. The EMP will contain: • Description of the proposed subproject; • Analysis of anticipated impacts including location, duration and magnitude; • Detailed mitigation measures including drawings and costs; and • Statement of responsibilities for implementing mitigation measures and overall EMP compliance. Responsibilities as allocated in the EMP are to be understood and agreed to by all parties involved (including contractors where relevant). Mitigation measures will be developed in accordance with national legislation, design standards and technical specifications where relevant to help prevent potential environmental impacts. Standardized mitigation measures are included in the ESMF and may be modified or expanded on to be fit-for-purpose. Assessments and proposed mitigation measure may have an inequitable impact on women or disadvantaged groups that need careful consideration. The proposed design must consider viable alternatives and the overall inclusivity with regard to gender and the needs of vulnerable groups or persons where applicable. Consultation The Consultation Strategy outlines a participatory process with communities and affected persons that is transparent, culturally appropriate and respectful of traditional protocols and decision-making processes . The participation of various stakeholder groups at national and local levels will inform details regarding the likelihood and magnitude of impacts (geographic, socioeconomic, gender- related) and appropriateness of mitigation activities and interventions. The process will allow for concerns to be raised and integrated into decision-making. A transparent process will likely facilitate establishing broad community support for the Project and subproject(s). Social Assessment (SA) Under OP4.10 and OP4.12, a Social Assessment (SA) is required for Category B subprojects where communities or individuals may be adversely impacted. This is unlikely in the majority of situations since the majority of projects will have an overwhelming social benefit, and are beneficiary-led. The SA will determine the degree to which communities and identified vulnerable people could be adversely affected by project activities (often related to security of tenure, land access, livelihood sources and subsistence dependency). The SA will look at the socio-cultural setting, governance 58 structures, cultural heritage, and livelihood aspects of the local context. The assessment should provide detail on: • Socio-cultural aspects of the community or cluster of communities; • Detail on livelihoods, local economy and subsistence activities; • Level of dependency on resources and current threats or degradation issues; • Local governance structures including decision-making on natural resources; • Customary tenure, boundaries, access rights and authoritative powers; • Sites and/or resources that may hold cultural/spiritual significance; and • Territories and/or resources under dispute. The potential magnitude of impact will be determined through stakeholder consultations, sites visits and previous experience. Consultation activities should be planned to minimize disruption and avoid consultation fatigue. Where it has been identified that the subproject may cause some degree of physical or economic displacement or loss of assets or access to assets, the Land Acquisition Framework will be followed. The PMU will validate the impacts of land acquisition (if any) in coordination and consideration of all stakeholder groups. Disclosure and Reporting All safeguard instruments must be disclosed publically on the National Advisory Board website, Bank’s InfoShop, and hard copies available at relevant Area Council Office with summary or project information bulletin in Bislama. All consultation activities must be documented with meeting minutes, list of attendees (male/female), issues raised and outcomes, being mindful of the sensitivity and confidentiality of such records. EMP Contents 1.0 Introduction 2.0 Project Description and Schedule 3.0 Potential Environmental and Social Issues and Mitigating Measures 4.0 Institutional Arrangements and Capacity Development 59