SFG1108 REV Environment and Social Management Framework (ESMF) Inclusive Partnerships for Agricultural Competitiveness Project (IPAC) September 2015 IPAC Project: ESMF Page 1 TABLE OF CONTENTS Chapter 1 IPAC Project Background 1.1 Project Development Objective 1.2 Project Description 1.3 Project Components Chapter 2 Environment and Social Management Framework (ESMF) Fundamentals 2.1 ESMF Objectives 2.2 Purpose of the ESMF 2.3 Safeguards Policy Framework 2.3.1 Philippine Safeguards Policies 2.3.2 World Bank Safeguards Policies 2.4 Gap Analysis between WB Safeguard Policies and Philippine Safeguards Country System 2.4.1 Environmental Safeguards 2.4.2 Social Safeguards 2.5 Lessons Learned in Safeguards Implementation Chapter 3 Safeguards Management Process 3.1 Environment and Social Safeguards Screening 3.2 Preparation of Safeguards Instruments 3.3 Subproject Appraisal and Approval 3.4 Subproject Implementation 3.4.1 Safeguards Responsibilities during Subproject Preparation and Review 3.4.2 Safeguards Requirements in Subproject Approval Process 3.5 Monitoring and Follow up Chapter 4 Institutional Arrangements and Capacity Building 4.1 Government Agencies Involved 4.2 Capacity Building and Training Requirements Chapter 5 Grievance Redress Mechanism Chapter 6 Public Consultation Chapter 7 Gender Development IPAC Project: ESMF Page 2 Annexes 1. List of Project Sites 1a. Map of IPAC Project Area 2. Safeguard Screening Checklist 2a. Negative List of Project 3. ESMP Template for Infrastructure 3a. Guidance on WB Safeguard Policy on Safety of Dams (OP 4.37) and ESMP Template for Small Dams 3b. ESMP for Construction/Rehabilitation of Farm-to-Market Road 3c. ESMP for Construction/Rehabilitation of Bridges 3d. ESMP for Construction/Rehabilitation of Communal Irrigation Projects/Systems 3e. ESMP for Construction/Rehabilitation of Potable Water Supply 3f. ESMP for Construction of Multi-Purpose Buildings/Centers 3g. ECOP Template for Small Infrastructure Subprojects 4. Chance Find Procedures 5. IEE Content and Outline 6 Masterlist of Displaced Persons 7 Summary of Assets and Livelihood Affected 8. Abbreviated Resettlement Plan Outline 9. List of Legal Documents for ROW 10. IPAC Project Resettlement Policy Framework 11. IPAC Indigenous Peoples Policy Framework 12. IPAC IPM Framework 13. ESMF Public Consultation Documentation IPAC Project: ESMF Page 3 Tables 1 IPAC Project Cost and Financing 2 WB Environmental and Social Safeguards Policies Triggered by the Project 3 Gaps between Philippine laws and WB Policy on Involuntary Resettlement and Indigenous Peoples 4 Checklist of Displaced Persons, Livelihood and Assets 5 Required Social Safeguards Documents 6 Criteria for Review of Social Safeguards Instruments 7 Safeguards Process Flow during Subproject Preparation Figures 1 IPAC Safeguards Process Flow Chart 2 Process Guide from Screening to Preparation of Safeguards Instruments IPAC Project: ESMF Page 4 List of Abbreviations and Acronyms ARB Agrarian Reform Beneficiary ARC Agrarian Reform Community AD Ancestral Domain ARP Abbreviated Resettlement Plan BAWASA Barangay Water System Association CNC Certificate of Non-coverage CNO Certificate of Non-overlap CP Certification Precondition CPO Central Project Office DAO DENR Administrative Order DENR Department of Environment & Natural Resources DP Displaced Person EA Environmental Assessment ECA Environmentally Critical Areas ECC Environmental Compliance Certificate ECOP Environment Code of Practice ECP Environmentally Critical Projects EIA Environmental Impact Assessment EIS Environmental Impact Statement EMB Environmental Management Bureau ESMP Environmental and Social Management Plan ESMF Environmental and Social Management Framework FPIC Free and Prior Informed Consent FS Feasibility Study IBRD International Bank for Reconstruction and Development ICC Indigenous Cultural Communities IEE Initial Environmental Examination IP Indigenous Peoples IPM Integrated Pest Management IPRA Indigenous Peoples Rights Act LGU Local Government Units NCIP National Commission on Indigenous People NCP Non-Covered Projects NOL No Objection Letter PCA Philippine Coconut Authority PCR Physical Cultural Resources PMB Project Management Board PPO Provincial Project Office RPO Regional Project Office ROW Right of Way SA Social Assessment SAC Subproject Approval Committee SMR Self-Monitoring Report TRU Technical Review Unit WB World Bank IPAC Project: ESMF Page 5 CHAPTER 1 PROJECT BACKGROUND 1.1 PROJECT DEVELOPMENT OBJECTIVE The Inclusive Partnerships for Agricultural Competitiveness Project (IPAC) Development Objective is to improve access to markets and specifically enhance the competitiveness of smallholder farmers in the targeted Agrarian Reform Community (ARC) Clusters. The project is also expected to contribute to the institutional transformation of the rural development efforts of the country through the conduct of policy studies and implementation of pilot land market arrangements that would help design a framework to manage second-generation land ownership issues. 1.2 PROJECT DESCRIPTION IPAC is designed to enhance market opportunities for smallholder farmers through a more beneficiary-led process where farmers have the opportunity to identify, prepare, implement and manage their preferred enterprises. It will enable ARBs, smallholder farmers and landless farm workers through their farmer’s organizations (FOs) to engage in agri-enterprise on their own or in partnership with commercial private sector or buyers. It will involve three (3) components: i) Support Services to Enhance Market Linkages; ii) Investments in Productive Partnerships; and iii) Project Management and Monitoring. Support Services to Enhance Market Linkages includes Extension and Business Development Subcomponent wherein support will be provided in the form of organizational development and extension including technical assistance to farmers and farmers’ organizations. The Rural Infrastructure Subcomponent will cover the design and construction of community infrastructures such as improvement/concreting or new construction of roads, construction of bridges and construction or rehabilitation of communal irrigation systems, Level I and II potable water systems, multi-purpose center/building and solar dryers/multi-purpose pavements. A Land Tenure Improvement Services Subcomponent aims to address the land ownership and property rights issues that impede the ARBs from making investments in the development of the awarded land and hinder the flow of credit to ARBs through subdivision of Collective Certificate of Land Ownership Awards (CLOAs) and conduct of policy studies on land ownership succession and second generation land transfer arrangements including piloting of new approaches following the finalization of policy studies. Investments in Productive Partnerships in agribusiness of Farmer’s Organizations with private business partners will also be supported through a one-off Matching Grant to finance feasible business plans of qualified FOs who can provide matching contributions. Projects to be supported under the grant will include investments to improve productivity, product quality, production facilities, semi-processing and marketing, production of value added agricultural IPAC Project: ESMF Page 6 products, food safety promotion and improvement, business management, income-generating activities, new product development and provision of services. Infrastructure facilities which prove to be critical to make the agri-enterprise work will also be supported. Project Management, Monitoring and Evaluation is to provide support to the project implementing agencies at the central, regional, and provincial levels in project management and coordination, technical operation, financial management, procurement, social and environmental safeguards, and monitoring and evaluation (M&E). It will finance: (a) project orientation workshops and training; (b) engagement of technical assistance and short term experts; (c) design and installation of M&E and Management Information System; (d) conduct of M&E surveys and reviews (baseline, mid-term and end of project impact evaluation through an external agency/institute); (e) procurement of office equipment and vehicles; and (f) incremental operating costs. The Project will be implemented by the Department of Agrarian Reform (DAR) in collaboration with the Department of Trade and Industry (DTI), Department of Agriculture (DA), Department of Science and Technology (DOST), Local Government Units, State Universities and Colleges and various service providers. It will be implemented for five (5) years. The IPAC Project will cover 50 ARC clusters in 44 provinces in CAR, Regions I, II, III, IVA, IV-B, V, VI, VII, VIII, X, XI, XII and ARMM These include the provinces of Abra, Benguet, La Union, Pangasinan, Ilocos Sur, Ilocos Norte, Cagayan, Isabela, Nueva Vizcaya, Bulacan, Nueva Ecija, Pampanga, Tarlac, Zambales, Batangas, Quezon I, Quezon II, Marinduque, Oriental Mindoro, Occidental Mindoro, Palawan, Albay, Camarines Sur, Masbate, Sorsogon, Camarines Norte, Capiz, Iloilo, Aklan, Negros Occidental, Bohol, Negros Oriental, Cebu, Eastern Samar, Leyte, Northern Samar, Samar Province, Misamis Occidental, Saranggani, Davao del Norte, Davao Oriental, and the 3 provinces in ARMM, Maguindanao, Lanao del Sur and Basilan. The 50 ARC Clusters are located in 203 municipalities/cities. The list of the 50 ARC clusters and their specific location are shown in Annex 1 while a map showing the Cluster’s location per province is shown in Annex 1a. 1.3 PROJECT COMPONENT, COST and FINANCING Total project cost is estimated to be $ 231.7 million, of which $100 million will be sourced from the World Bank. The remaining will be provided by the Government of the Philippines as counterpart funding. IPAC Project: ESMF Page 7 Table 1.IPAC Project Cost and Financing Counterpart Project Components Project Cost IBRD Funding 1. Support Services to Enhance Market US$ 130.87 US $ 40.25 US $ 90.62 Linkages million million million • Organizational Development & Extension Services • Business Development Services • Land Tenure Improvement Services • Rural Infrastructure Services 2. Investments in Productive Partnerships US$ 81.90 US $ 53.90 US $ 28.0 • Market Forum Facilitation million million million • Productive Partnerships Subprojects 3.Project Management, Monitoring and US$ 18.37 US $ 5.6 US $12.77 Evaluation million million million Chapter 2 ENVIRONMENT AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) FUNDAMENTALS 2.1 ESMF OBJECTIVES This document presents the Environmental and Social Management Framework of the Inclusive Partnerships for Agricultural Competitiveness (IPAC) Project. It provides the general policies, guidelines and procedures to be integrated in the implementation of the IPAC Project. It is developed to ensure compliance with WB safeguards policies as well as with appropriate national laws on environment, indigenous peoples, involuntary resettlement and gender. The key principle is to prevent and mitigate any harm to the environment and to people by incorporating environmental and social concerns as an intrinsic part of project cycle management. Environmental and social issues will be tracked during all stages of the subproject cycle to ensure that supported activities comply with the policies and guidelines laid out in the ESMF. 2.2 PURPOSE OF THE ESMF This Environmental and Social Management Framework (ESMF) for IPAC Project provides the objectives, principles, procedures, and implementation arrangements for identifying, managing and monitoring potential environmental and social impacts of project activities. This framework seeks to guide the DAR and other project stakeholders particularly the farmer’s organizations subproject proponents and implementing partners including the Local Government Units (LGUs), National Irrigation Administration (NIA), Department of Public Works and Highways IPAC Project: ESMF Page 8 (DPWH), in identifying and adequately addressing and mitigating adverse environmental and social impacts that will be potentially generated by the project and specific subprojects. Hence, this framework addresses the safeguards requirements of the IPAC Project as it triggers a number of World Bank’s Operational Policies on Environmental Assessment - OP 4.01, Natural Habitats – OP 4.04, Pest Management -OP 4.09, Physical Cultural Heritage – OP 4.11, Indigenous Peoples - OP 4.10, Involuntary Resettlement -OP 4.12, and Safety of Dams OP 4.37. The ESMF specifically includes an i) Environmental Management Framework to address environmental safeguards issues anchored on OP 4.01 and the Philippines Environmental Impact Statement System (PEISS); ii) an Indigenous Peoples Development Framework to address OP/ 4.10; iii) a Land Acquisition, Resettlement and Rehabilitation (LARR) Framework to address involuntary resettlement (OP 4.12); and iv) a Gender and Development Framework. Specifically, the ESMF provides guidance on the following: • Screening of subprojects and determination of Environmental Category and appropriate environmental assessment instruments as well as magnitude of social impacts and appropriate safeguards instruments to prepare. • Management of their impacts and adequacy of environmental and social due diligence. • Preparation of an appropriate environmental assessment (EA) instrument, i.e., an Initial Environmental Examination (IEE) Report or IEE checklist with its corresponding environmental and social management plan (ESMP), containing mitigating measures consistent with the project’s Environment Code of Practice (ECoP). Requiring an EA for agriculture and agro-industrial projects is in accordance with PD 1586 and DAO 03-30 and its Revised Procedural Manual, EMB Memorandum Circular No.005-2014 and the World Bank Safeguard Policies. The safeguards instruments shall be submitted to the PPO/RPO/CPO, and the WB for subprojects requiring prior review or reviewed by the Bank for all others needing post-review. • Possible subprojects include: establishments of small and village level agri-enterprises (eg. livestock raising, vegetable production, etc.), rehabilitation, expansion and to some extent construction of farm-to-market roads and irrigation facilities that support the agro- processing subprojects. • An Indigenous Peoples Policy Framework which provides guidance on engagements with affected adversely or positively IP communities especially in the conduct and documentation of the Free, Prior and Informed Consent (FPIC) where Indigenous Peoples communities are present. IPAC Project: ESMF Page 9 • A Land Acquisition, Resettlement and Rehabilitation Policy Framework which provides guidance on the process to be followed when private assets (land, buildings, trees, crops, etc.) are affected adversely by the project. Provisions of this ESMF are consistent with the WB environmental and social safeguard policies and the Philippine laws and other legal issuances to ensure environmental protection and promote sustainable development, while mitigating risks arising from adverse environmental and social impacts on subprojects. The ESMF has two chapters and is organized in two (2) parts: • Part A discusses the Main Text, which summarizes the overall environmental and social safeguards procedures and arrangements; and • Part B contains the Annexes, sample documents and technical guidelines on the preparation of the environmental and social safeguards reports. 2.3 SAFEGUARDS POLICY FRAMEWORK The ESMF is mainly based on and combines the following guidelines and documents, in case any discrepancies exist between WB safeguards policies and current DENR regulations, the higher requirement prevails. 2.3.1 Philippine Safeguards Policies • Presidential Decree (PD) No. 1586 (1976) Philippine Environmental Impact System (EIS); • DENR Administrative Order No. 2003-30: Implementing Rules and Regulations (IRR) for the Philippines EIS System (2003), and its Procedural Manual for DAO 2003-30, as prepared by DENR; and • EMB Memorandum Circular 005 series 2014: Revised Guidelines for Coverage Screening and Standardized Requirements under the PEISS • Republic Act (RA) 6969 (1990) An Act To Control Toxic Substances and Hazardous and Nuclear Wastes, Providing Penalties for Violations thereof and for other purposes • RA 9003 (2000) Ecological Solid Wastes Management Act IPAC Project: ESMF Page 10 • RA 9275 (2004) Philippine Clean Water Act • RA 8371 ( IPRA Law) An Act to recognize, protect and promote the rights of Indigenous Cultural Communities/ Indigenous Peoples and creating the National Commission on Indigenous Peoples establishing implementing mechanisms appropriating funds therefore and for other purposes. Also considered are AO No. 01 s. 2006: The Free & Prior Informed Consent (FPIC) Guidelines of 2006 and AO N0 03 s. 2012: The Revised Guidelines for the Free and Prior Informed Consent and Related Processes of2012. • Supreme Court Ruling (1987) defines just compensation as fair and full equivalent to the loss sustained to enable affected household to replace affected assets at current market prices. • Republic Act 8974 (2000) which facilitates the acquisition of ROW, site or location for National Government Infrastructure Projects and for other Purposes. Implementing Rules and Regulations of RA8974 was also issued. This mandates the use of replacement value of land and structures (without depreciation). • Republic Act 7279 (1992) "Urban Development and Housing Act" mandates the provision of a resettlement site, basic services and safeguards for the homeless and underprivileged citizens. • Republic Act 7160 (1991) "Local Government Code" which allows the local government units to exercise the power of eminent domain for public use. • UN Convention on the Elimination of Discrimination Against Women (CEDAW), Article 14 of which requires the State parties to ensure that rural women participate in and benefit from rural development on the basis of equality with men, and to ensure their rights in matters such as participation in development planning, social security benefits, training and education , including functional literacy, the organization of economic cooperatives, access to agricultural credit and loans, and equality in land and agrarian reform. • Millennium Development Goal (MDG) No. 3 of the United Nations states that where gender gaps remain in women’s access to and control of resources in economic opportunities, power relations and political representations, gender equality and empowerment of women must be promoted. • The 1987 Philippine Constitution and Republic Act (R.A.) No. 7192 recognizes the role of women in nation-building and ensures women and men as equal partners in development. IPAC Project: ESMF Page 11 • R.A. No 9700 (CARPER Law) Section 1 declares that “The State shall recognize and enforce, consistent with existing laws, the rights of rural women to own and control land, taking into consideration the substantive equality between men and women as qualified beneficiaries, to receive a just share of the fruits thereof, and to be represented in advisory or appropriate decision-making bodies. These rights shall be independent of their male relatives and of their civil status”. 2.3.2 Applicable World Bank Safeguard Policies Because of its nature, a number of World Bank environmental and social safeguards apply to this project, particularly Environmental Assessment (WB Operations Policy (OP) 4.01), Natural Habitats (OP 4.04), Pest Management (OP 4.09), Physical Cultural Resources (OP 4.11) Involuntary Resettlement (OP 4.12), Indigenous Peoples (OP 4.10) and Safety of Dams (OP 4.37). The IPAC Project is classified as “Category B” under the World Bank’s OP 4.01 because most of the subprojects proposed will not have significant adverse potential environmental impacts on human populations and or environmentally critical areas. Under the PEISS, project investments and activities to be supported by IPAC are expected to be classified as non-environmentally critical projects (non-ECPs). The table below describes each of the WB’s environmental and social safeguards policies that are triggered under the IPAC Project. The third column provides guidance on specific measures and actions required by each party to comply with the specific WB policies, and list the range of safeguards instruments that may be adopted and the manner in which to integrate and verify environmental and social due diligence requirements. Table 2. WB Environmental and Social Safeguards Policies Triggered by IPAC Policy Objectives Procedures/Remarks Environmental Assessment WB Environmental WB requires screening of 1. Screening for Environment Category Assessment (OP subprojects proposed for WB of subprojects. Screen subprojects early in 4.01) financing to help ensure that they the identification stage, determine project are environmentally and socially boundaries, and classify projects into sound and sustainable, and thus appropriate safeguards categories using the improve decision-making. Environmental and Social Screening Checklist (ESMF Annex 2) 2. Determining Safeguards Instruments to be used. The requirements under the Philippine environmental regulations are IPAC Project: ESMF Page 12 then determined. An EA instrument such as an Initial Environmental Examination (IEE) or Environmental Code of Practice (ECoP) will be required depending on the scale and nature of the subproject (ESMF Annex 2). As the subprojects eligible for IPAC funding are community driven and are small scale infrastructure and agricultural- processing, these are most likely Category B or Category C projects. If a subproject does not require an Environmental Assessment under the country system requirement but is classified as Category B, an IEE, ESMP, consultation and disclosure are required for Category B subprojects. The ESMP will form part of the bidding documents and will be included as contractual obligations of the winning contractor that will carry out works under the subproject. For Category B subprojects, the first of each type of subproject will be reviewed by the WB and clear the safeguards instruments prepared by the subproject beneficiary for impact identification and appropriateness of proposed mitigation measures. Natural Habitats WB Natural The Bank supports the 1. Screening for potential impacts on Habitats (OP 4.04) protection, maintenance, and Natural Habitats using the ESSC. rehabilitation of natural Refer to the Screening criteria in habitats and their functions. ESMF Annex 2. The Bank supports, and expects borrowers to apply a 2. Cover the potential impacts through precautionary approach to the EA and if a significant conversion natural resource management of a non-critical natural habitat is to ensure opportunities for anticipated, this subproject is Category environmentally sustainable B and will require an IEE and ESMP. development. Physical Cultural Resources WB Physical This policy addresses physical 1. Screening for potential impacts on Cultural Resources cultural resources, which are Physical Cultural Resources using the (OP 4.11) defined as movable or Screening criteria in ESMF Annex 2. immovable objects, sites, structures, groups of 2. Sites of physical cultural resources IPAC Project: ESMF Page 13 structures, and natural features or cultural and religious significance and landscapes that have will be identified during site validation archaeological, and will be avoided as much as paleontological, historical, possible in the determination of road architectural, religious, alignments or location of other aesthetic, or other cultural infrastructure and agricultural significance. Physical cultural activities. Potential impacts of the resources may be located in project, if any, will be assessed through urban or rural settings, and the EA and mitigation measures will be may be above or below adopted. ground, or under water. Physical cultural resources are 3. Inclusion of a Chance Find important as sources of Procedure in civil works contracts to valuable scientific and cover accidental finds. historical information, as assets for economic and social development, and as integral parts of a people’s cultural identity and practices. Dam Safety WB Dam Safety To ensure that appropriate 1. Project Screening for Dam safety. (OP 4.37) measures are taken and The ESMF screening checklist found sufficient resources provided in Annex 2 applies to dams. for the safety of new dams The types of irrigation subprojects to financed by the Bank and be funded under the IPAC will be existing dams on which a Small Dams which are less than 15 Bank-financed project is meters high. This category includes directly dependent on, for example, farm ponds, local silt irrespective of its funding retention dams, and low embankment sources or construction status. tanks. Hence, the Project will ensure that generic dam safety measures will be taken into consideration and adopted in the preparation of engineering designs by qualified engineers (refer to Annex 3a on Guidance on WB Safeguard Policy on Safety of Dams and ESMP template for Small Dams). Indigenous Peoples WB Indigenous To reinforce the recognition 1. Project Screening. Screening will be Peoples (OP 4.10) of the rights of the IPs to their conducted where there are probable ancestral domains and their indigenous or ethnic communities power of dominion over their residing in the project area or used by lands and resources. the IPs as their productive areas, even if not covered by an ancestral domain entitlement. It is also triggered when IP communities are present even when IPAC Project: ESMF Page 14 they are outside ancestral domains. It is important that opportunities for benefit sharing with them are enhanced and made culturally sensitive. 2. When triggered, an IP Plan will be prepared which includes the logistical resources for ensuring IP participation within the project duration to be provided for by project proponent. 3. To determine whether Indigenous Peoples are present in, or have collective attachment to, the subproject area, there are four defining characteristics according to OP 4.10: i. Self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; ii. Collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; iii. Customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and iv. An indigenous language, often different from the official language of the country or region. Involuntary Resettlement WB Involuntary To assist displaced persons in 1. Project Screening for Involuntary Resettlement (OP their efforts to improve, or at Resettlements. Screening of impacts 4.12) least restore, their incomes on involuntary resettlement will be and standards of living after performed on the basis of the project’s displacement. possible architectural and engineering designs. 2. Subprojects to be funded under the IPAC are small-scale which are generally expected to have minor impact and will not cause massive resettlement. Under the Project, the IPAC Project: ESMF Page 15 Project will consciously avoid sites or alignments of subprojects which will involve displacement of persons. In the event this cannot be avoided, then abbreviated Resettlement Action Plan will be prepared to assist displaced persons, if any. This will be formulated in a participatory manner starting with meetings with communities who will help in seeking the participation of landowners, finding just and fair compensation for lost assets and seeking assistance from LGU officials who may also be officers of farmer organizations. 3. RAP Review. The WB will conduct prior review and clear the first three abbreviated RAPs. 4. RAP Implementation. Implementation will be carried out by the EC/IPP subproject proponent in coordination with their respective LGU. All compensation shall be paid a month prior to the commencement of civil works in the particular project component. Payments for uncollected compensation due to lack of clarity of an authorized representative of a landowner shall be put in trust by the EC/IPP subproject proponent. Pest Management 1.3.1.1 Screening for potential WB Pest impacts of using hazardous materials Management (OP for pest management in the ESMF 4.09) and may (ESMF Annex 2). refer to or include This policy addresses pest WHO The Project will disseminate management in projects Recommended information materials on the list of Classification of hazardous materials for pest Pesticides by management and promote the use of Hazards Integrated Pest Management (IPM) in the ESMP IPAC Project: ESMF Page 16 Potential impacts will be assessed through the EA and appropriate mitigation measures will be adopted. 2.4 GAP ANALYSIS BETWEEN THE WB ENVIRONMENTAL SAFEGUARDS POLICIES AND THE COUNTRY SYSTEMS ENVIRONMENTAL SAFEGUARDS 2.4.1 Environmental Safeguards On OP 4.01 Environmental Assessment and OP 4.04 Natural Habitats, OP 4.11 Physical Cultural Resources, OP4.09 Pest Management, OP 4.37 Safety OF Dams Compared to the World Bank’s environmental safeguard policies, the Philippine country systems on safeguards espouse international principles on environmental assessment. However, there are substantive gaps in the Philippine EIA Law PD 1586, DAO 2003-30 Procedural Manual, enforced by the Environmental Management Bureau (EMB), which the IPAC Project ESMF will bridge to ensure that a comprehensive assessment of the environment and social impacts of the subprojects is conducted. The following major gaps will be addressed under the IPAC: a. Screening, scoping and submission of environmental information . The content and extent of the environmental information required under the DENR EIA Procedural Manual in the conduct of the environmental assessment do not include the following information, hence, will be appropriately considered under the IPAC ESMF Framework: i. The Philippine EIA law uses project threshold to determine coverage and requirement for an EIA while the World Bank's OP on EA (OP 4.01) requires screening of potential environment and social impacts to determine the EA instrument to be prepared to assess and address impacts. The WB safeguards policies shall serve as the basis for IPAC’s safeguards compliance requirements, without prejudice to the Philippine EIA law exempting subprojects, especially small to medium-scale, from undergoing an impact assessment. ii. New access arrangements or changes to existing road layout, impact on existing traffic of new access roads or road expansion or extension; iii. Any relationship with other existing/planned projects to determine combined effects; IPAC Project: ESMF Page 17 iv. Degree of land/ecosystem disturbance – trees to be cut, proposed cut and fill /reclamation of existing terrain such as in construction of river crossing and waterways v. Proof of land ownership and clearance from DAR for land conversion vi. Use of internationally-controlled chemicals, including pesticides, herbicides and the like b. On the consultation with relevant agencies and other interested parties and the public, for environmentally critical projects, the Philippine EIA law requires one public scoping and one public consultation which is the same World Bank requirement for Category B projects. Under IPAC, one public scoping and one public consultation apply to all subprojects even if these are optional for those located in environmentally critical areas or exempted under the Philippine EIA law since community consultation is a critical step during the project planning and pre- construction phase. c. Impact assessment and adequacy of Environmental and Social Management Plan and mitigating measures . Considering the thresholds set by the Philippine EIA law on the scale of projects and the World Bank’s categorization of projects requiring an EA, Category B subprojects will be required to conduct an Initial Environmental Examination (IEE) and submit an Environmental and Social Management Plan (ESMP). The impact assessment will cover general Environment and Social risks applicable to the small- to medium-scale rural infrastructure and agricultural projects that IPAC will finance. Under the Philippine EIA law the entire process to obtain an Environmental Compliance Certificate (ECC) including the impact assessment will take 15 days to 60 days. However, the Environmental Management Plan approved by EMB will be reviewed during the safeguards screening process to ensure that it complies with the WB safeguards policies. Any gap in the safeguards instruments identified during the screening process in accordance with the ESMF, has to be complied with by the proponent and will be included in the proposal package submitted to IPAC for appraisal. d. Monitoring and reporting of ESMP implementation. IPAC will monitor the environmental compliance of the projects with the help of a community-based environmental monitoring and evaluation system that will be promoted at the barangay level. IPAC will conduct field visits, audits and review and evaluation of the proponents’ self-monitoring compliance reports and report the project’s overall safeguards performance to the Bank on a regular basis. IPAC Project: ESMF Page 18 2.4.2 Social Safeguards The key gaps between the local laws and regulations and the provisions of the World Bank’s Policy on Involuntary Resettlement and Indigenous Peoples described below will likewise be addressed under the IPAC: IPAC Project: ESMF Page 19 Table 3. Gaps between Philippine laws and WB Policy on Involuntary Resettlement and Indigenous Peoples Gaps Philippine Laws WB Policy a)Limited assistance or Philippine Constitution, Article XIII, The WB OP 4.12 does not protection is given to Section 10: Urban or rural poor distinguish between the rural poor versus dwellers shall not be evicted nor their affected rural and urban the urban poor. dwellings demolished, except in poor and this is adopted. It accordance with the law and in a just also does not make humane manner. Focus is given on distinction to residential or urban poor as per Urban Development business. This is adopted and Housing Act. under IPAC.. b) The law is not very No specific law for replacing lost Loss of income is clear on assistance to income. Common practice is to compensated apart from small enterprises and provide livelihood assistance to only loss of structure and or shop renters, displaced those who opt to go to government land. This is adopted vendors. Etc. resettlement area. under IPAC. c) Donation is the first Under the law, there are different The potential donors will option taken by modes of acquiring title to, and be informed of other implementing agencies ownership of real estate property, as modes of land acquisition when acquiring land well as the modes of acquiring right to and specific criteria will for development. use private property for another be used to ensure that the purpose. RA 8974 specifies the land donation is genuine, following methods: Donation, Quit if such is taken as the Claim, Exchange or Barter, Negotiated means to acquire land. Sale or Purchase, Expropriation and This is adopted under any other modes of acquisition IPAC. authorized by law. d) Valuation of the The Implementing Rules and OP 4.12 requires that property for negotiated Regulations of RA8974 state that the replacement cost which is sale. Implementing Agency shall negotiate defined as the amount with the owner for the purchase of the necessary to replace the property by offering first the current structure or improvement zonal value issued by the Bureau of based on the current Internal Revenue for the area where market prices for the private property is located. If materials, overhead, and rejected, renegotiation using the values all other attendant costs recommended by the Appraisal associated with the IPAC Project: ESMF Page 20 Committee or Independent Land acquisition. If needed, Appraiser as a guide is taken. other forms of assistance shall be added to top off Standards to determine market value the compensation allowed are as follows: by local laws. This is >The classification and use for which adopted under IPAC. the property is suited; >The development costs for improving the land; >The value declared by the owners; >The current selling price of similar lands in the vicinity; >The reasonable disturbance compensation for the removal and/or demolition of certain improvements on the land and for the value for improvements thereon; >The size, shape and location, tax declaration and zonal valuation of the land; >The price of the land as manifested in the ocular findings, oral as well as documentary evidence presented; and e) When is IP policy The country system for Indigenous OP 4.10 is triggered when triggered? Peoples is considered superior to that IPs or an ethnic of the WB policy on Indigenous community which has Peoples because it requires Free and retained its indigenous Prior Informed Consent and not just system or way of life consultation. However, IP trigger (different from the under IPRA is limited to impacts of mainstream community) projects to IPs living in ancestral are present in the project domains. location or have collective attachment to it whether Also, the protection and promotion of or not it is an ancestral IP rights, its implementation, domain and even when no monitoring are very much challenged adverse impact are by issues related to the following: present. It also prescribes a. serious absence of logistical resources for ensuring IP participation IPAC Project: ESMF Page 21 operational budget support from the within the project duration government to support the required is provided for by project activities. proponent. This is adopted under IPAC. b. To fill the inadequacy in operational resources, NCIP has come up with the arrangement of sourcing this from project proponents. In turn this has led to issues related to governance, transparency and accountability, c. Issues on governance, transparency and accountability 2.5 LESSONS LEARNED IN SAFEGUARDS IMPLEMENTATION The following is a list of difficulties encountered in safeguards implementation experienced by similar development projects (ARCDP I & II and ARCP II) to learn from and to better improve safeguards performance for this project. • Capacity and consistency of the implementing agency to oversee the overall safeguards performance of the project and monitor the same at the subproject level. This oversight responsibility includes providing timely advice and support to the proponents to improve safeguards compliance which requires the hiring of full-time, qualified environmental and social safeguards specialists at the Project Management Offices. As such, the IPAC Project shall engage environment and social safeguards specialists for its provincial, regional and national project offices. • Integration of the Environment and Social Management Plan (ESMP) in the bidding documents and design and reporting on the actual delivery of the ESMP on a regular basis during the implementation of the subprojects. Implementation of infrastructure subprojects will be under the concerned line agencies, DPWH, NIA and LGUs, thus IPAC shall ensure that the ESMP is among the bidding documents requirement. For projects under the Matching Grant Program, ESMP will be required as part of the application. • The PMOs does not monitor the environmental compliance of projects regularly due to lack of staff and budget. Hence, under the IPAC a community-based environmental monitoring and evaluation system will be promoted at the barangay IPAC Project: ESMF Page 22 level. Field visits, audits and review and evaluation of the proponents’ self- monitoring compliance reports should be done regularly. • Transferring land title to heirs from deceased title holders is costly and time consuming. Being a requirement for payment of compensation to show proof of ownership prevents actual receipt of compensation by some legitimate owners. Often the amount compensation (especially for ROWs) is a small fraction of the cost of land title transfer. For such instances, compensation may be covered by increased valuation of other affected assets equivalent to the cost of the affected land. • The Philippine Indigenous Peoples Rights Act (IPRA) requires Free and Prior Informed Consent when the subproject overlaps with an ancestral domain. Some implementing units trigger the IP Policy based on the IPRA. It is clarified that the IP Policy is triggered when IP communities are present even outside their domain when they continue to practice their traditional way of life different from the mainstream society. When IP community(ies) are present in the subproject’s area of influence as residents or food gatherers or when the subproject is within an ancestral domain, an IP Plan shall be developed to incorporate measures that will ensure cultural sensitivity of project design to enhance benefits to the IPs and mitigation of adverse effects, if any.. • Inconsistencies between documentation and ground realities. DARIPAC PMO will be required to do site validation and confirmation of information with displaced persons. • Capacity building on social and environmental safeguards for the subproject proponent is integral to the project and should not be taken for granted. In this regard, implementing agencies including the subproject proponents will be provided orientation and training on the IPAC ESMF. CHAPTER 3 SAFEGUARDS MANAGEMENT PROCESS Overall Guidelines: Environmental considerations shall be integrated in all aspects of the implementation scheme for IPAC Project activities in the following manner: • All projects shall comply with relevant rules and regulations including but not limited to PD 1586 (Philippine Environment Impact Statement System or PEISS) and the WB Safeguards on Environment. • All LGU-beneficiaries shall demonstrate commitment and capability to integrate environmental considerations in its program of activities or action plans. IPAC Project: ESMF Page 23 • All other stakeholders (e.g., contractors, project implementing partners, FOs, etc.) shall comply with relevant environmental laws. • No activities/subprojects shall be approved without the submission of the appropriate safeguards instruments stipulated in this ESMF and an Environmental Compliance Certificate (ECC) issued by the Department of Environment and Natural Resources (DENR) for subprojects covered under the PEISS and an Environmental & Social Management Plan (ESMP) for all subprojects whether these are covered or not covered under the PEISS • Comprehensive ARC Cluster Development Plan: All ARC Cluster Development Plans should include a section on environmental considerations covering Land Resources, Water Resources and other features with detailed maps and relevant data to provide information on the location and geo-physical characteristics of the project sites to identify environmentally critical and disaster-prone areas. IPAC Project: ESMF Page 24 Figure 1 IPAC Safeguards Process Flow Chart Priority Subproject ARC Cluster Validation/Initial Screening Identify Type/Magnitude of Subproject Unclassified Subproject Prepare and Submit PDR Covered Under the EIS Not Covered (DENR-EMB Region ) IEE Report or IEE Prepare, IEE Report or Checklist IEE Checklist Prepare Environmental & Social Management Plan (ESMP) Submit ESMP to Submit ESMP to CPO DENR-RO & CPO Issuance of ECC, Secure other Permits APPROVAL AND IMPLEMENTATION OF SUBPROJECT Dissemination of ESMPs to implementing agencies, LGUs & Farmer Organizations Monitoring of Compliance with Mitigation Measures (based on ESMP) during subproject implementation Sustainability Environmental Monitoring IPAC Project: ESMF Page 25 3.1 ENVIRONMENTAL AND SOCIAL SAFEGUARDS SCREENING CHECKLIST Proposed projects will be screened to determine whether anticipated impacts, both environment and social, will be adequately managed, satisfactorily addressed by appropriate safeguard instruments and that applicable government clearances and permits are obtained prior to construction. The IPAC PMO, the proponents and the PPOs/RPOs/CPO shall refer to Annex 2 for the Environmental and Social safeguards screening checklist that enumerates environment and social aspects and potential risks to determine if the projects have integrated adequate mitigating measures to qualify for financing under this project. Environment and social concerns that need to be addressed in the project design are as follows: • Natural Habitats • Management and Access to Food, Natural Resources and Livelihoods • Public Health, Safety and Natural Hazards Vulnerability • Water Quality, Water Availability and Use • Drainage and Flood Control • Soil stability / Sediment & Erosion control • Physical Cultural Resources, Heritage or Archaeological Sites • Pollution and waste management/ ecosystem restoration • Presence of indigenous peoples • Land Acquisition and access to resources The screening process will determine: (a) the potential environmental and social issues of a subproject; (b) subproject environment category based on the environmental and social issues; and, (c) the subproject-safeguards instruments that have to be prepared for the review and assessment of the IPAC safeguards specialist prior to its appraisal for funding approval. Project Categorization • Category B subprojects are those that have potential adverse environment and social impacts that are less adverse, site-specific; and few if any of the impacts are irreversible. • Category C subprojects are those that have minimal or no adverse environmental and social impacts. Social Safeguards Procedures Social safeguards procedures start with the review of subproject documents submitted by the proponent on the extent of land acquisition, displaced persons including IPs and affected land improvements and livelihood. The Environment and Social Safeguards Checklist (ESSC) in Annex 2 and the checklist of displaced persons (DPs), Assets and Livelihood in Table 4 will be used in the review. IPAC Project: ESMF Page 26 Table 4.Checklist of Displaced Persons, Livelihood and Assets Social Impact Yes No Specify Details a) Land acquisition Size &existing land use required b) HHs / Persons will be Total no. of HHs displaced /persons c) Presence of informal Total no. of informal settlers HHs / settlers d) Legal structures No., size & built of acquired / damaged structures e) Informal structures No., size & built of being removed structures f) People losing means of Total no. of HHs livelihood /persons and type of livelihood g) Basic services will be Type/s of basic services inaccessible h) Crops / trees being No. & type of crops / damaged / lost trees f) Tenants / Lessees losing No. of tenant HHs crops / trees losing how many, what type of crops / trees j) Informal settlers losing No. of informal HHs crops / trees losing how many, what type of crops / trees k) Indigenous peoples to Total no. of indigenous be displaced HHs /persons l) Cultural property No., size and type of affected cultural property Social safeguards requirements will be triggered when any one of the above social impacts is positively identified/ confirmed. Based on the information derived from the checklist, the following are validated (See Table 2): • Appropriateness of the prepared/submitted social safeguard document for the social category of the subproject (Table 2); and • Conformity of the prepared social safeguard documents to the provisions of the IPAC Project Resettlement Policy Framework (Table 5). IPAC Project: ESMF Page 27 Table 5 Required Social Safeguards Document No. of Displaced Persons Required Document/s Presence of IP communities or Indigenous Peoples’ Plan and ancestral domain Certification Precondition (CNO/CP) or MOA among IP community(ies) facilitated by NCIP (when available) No. of DPs who will experience Abbreviated Resettlement Plan resettlement effect are less than 200; (Annex7) if DPs that are IPs/HH headed by women are less than 100; if DPs that are vulnerable such as hunter-gatherer or conflict-affected persons are less than 50 In formulating the required social safeguards instrument note that that various documents listed in Table 6 below are necessary for its review. Table 6.Criteria for Review of Social Safeguards Instruments Criteria Means of Verification Consultation and participation of - Minutes of Public Consultations adversely affected persons or, in the including duly signed attendance case of IPs, if they are present in the sheets subproject area - Expression of Support of stakeholders, particularly those adversely affected - Free & Prior Informed Consent, for DPs that are IPs Compensation & assistance to be - Compensation Table provided according to the provisions - ARP with complete supporting in IPAC Project Resettlement Policy documents Framework - Resettlement Implementation Schedule, in relation to overall Subproject Implementation Implementation of ARP in relation - Comprehensive Resettlement to overall Subproject Implementation Schedule within the Implementation Schedule overall Subproject implementation schedule IPAC Project: ESMF Page 28 If applicable, due diligence on - Documentation of meetings held donations of affected lands for regarding land donation/s – need to subproject implementation assess agreement to donate, i.e., was there informed consent and power of choice; Also, need to ensure that there is a legal transfer of the asset (signing, registration, taxes/fees paid, etc). Or, if land already donated, documentation of donation/s (note the total land area from which portion needed by subproject is taken) and assess whether donation is legally valid (e.g. identify right being transferred, no lien on asset, occupants in affected portion, wife consent to transfer, agreement to transfer, legal transfer of title and registration, costs of transfer). - Assessment report on the donor’s economic viability and economic sustainability of transferred asset (resources to maintain and support asset). Please see protocol for land donation in the IPAC Resettlement Policy Framework. Management of cultural properties - Report on presence/absence of a within, or in close proximity to, the cultural property subproject area, if applicable - Brief reconnaissance report by competent authority to determine what is known of the cultural property aspects of the subproject site. Provision for M&E - Resettlement Action Plan 3.2 PREPARATION OF SUBPROJECT SAFEGUARD INSTRUMENTS After the initial screening of the proposed subproject for potential environmental and social impact, an assessment report must be done to inform the proponent of the required safeguard documents to avoid or minimize all adverse environment and social impacts (Annex 2, ESMF) Preparation of an environmental assessment instrument must be done simultaneously and closely coordinated, and integrated with the preparation of the subproject feasibility study. In doing this, all environmental and social aspects and impacts will be included right from the beginning to facilitate the proper selection of subproject alternatives that will bear the minimal amount of environmental risk or negative environmental impact. All activities from selection, design, IPAC Project: ESMF Page 29 contracting, monitoring and evaluation of subprojects should be consistent with the safeguards guidelines provided in this ESMF. Depending on categorization, the following instruments will be used: • Initial Environmental Examination (IEE): Category B projects have manageable adverse environmental impacts on human population or environmentally important areas, including wetlands, forests, grasslands and other natural habitats. Such projects include infrastructure subprojects (e.g., construction of roads, bridges, irrigation systems, potable water supply, etc.) and agribusiness enterprises (e.g., abaca fiber production, muscovado sugar production, food processing). The environmental assessment shall also cover agricultural practices such as Integrated Pest Management (IPM), use of pesticides and other agrochemicals, and others. The impacts on soil conditions, erosion, sedimentation and siltation, flooding and water resources and health, and the corresponding mitigating or enhancement measures will have to be identified and assessed. • Environmental & Social Management Plan (ESMP) and Commitments: The Plan describes how the significant environmental and social impacts will be mitigated and monitored. An ESMP will be required from the proponent for every infrastructure and agri-enterprise subproject that will be supported by the IPAC Project. An Environmental Code of Practice shall be integrated in the required mitigating measures of the ESMP. Annex 3 show the ESMP template for rural infrastructures. For subprojects that do not require additional data and analysis, an ESMP may be prepared to address construction-related and site-specific environment and social issues. • Environmental Code of Practice (ECOP). For construction-related impacts, an ECOP should be sufficient to address environment and social issues. • Resettlement Action Plan (RAP). Since the project will cover small-scale, people to be affected would be less than 200, hence, an Abbreviated RAP may be prepared. Projects triggering OP 4.10 are required to undertake a social assessment (SA) and free, prior and informed consultations. Assessment results may be presented as a stand-alone document, or may be incorporated into the EA process. • Indigenous Peoples Plan (IPP). If Indigenous Peoples are present in, or have collective attachment to, the subproject area, an IPP is required for the subproject. • Incorporating elements of an IPP in subproject design. In subproject settings where the sole or overwhelming majority of direct beneficiaries are Indigenous Peoples, the elements of the IPP may be incorporated into the overall subproject design. A separate IPP is not required. 3.3 SUBPROJECT APPRAISAL AND APPROVAL 3.3.1 Subproject Appraisal. The following guidelines are to govern subproject appraisal: • All Feasibility Studies (FS) and Detailed Engineering (DE) designs submitted for subproject approval must be accompanied by an ECC for covered subprojects and ESMP for both covered and non-covered subprojects. The designated Provincial Project IPAC Project: ESMF Page 30 Environment Officer will assist the proponent –FO and LGUs (or the National Irrigation Administration (NIA) for NIA-implemented irrigation and DPWH for farm-to-market roads and bridges) in determining whether the proposed subproject is covered or not following the initial screening in Annex 2-ESMF. If the subproject is not covered, only an ESMP will have to be prepared by the Proponent FO, LGU/NIA/DPWH. If covered, aside from the ESMP, the proponent FO, LGU/NIA/DPWH will have to secure an ECC clearance with the DENR. It is anticipated that subprojects to be funded under IPAC Project and covered under the PEISS shall be required at the most, the submission of an Initial Environmental Examination (IEE) Checklist to the DENR for issuance of the ECC. The IEE content and format for roads and bridges and irrigation are provided as Annex4. • Upon receipt of the ESMP/ECC, the Central Project Office (CPO) Environmental Specialist shall evaluate the documents and shall schedule field validation and assessment of the proposed subproject. • Upon appraisal, the environmental specialist will prepare a report on his/her assessment of the subproject and may recommend the necessary and additional measures to ensure that negative environmental impacts would be adequately mitigated and that appropriate environmental measures are in place. • Upon completion of the review, the environmental specialist will submit his report to the Head of the Technical Review Unit (TRU), and if favorably endorsed, the subproject may be presented to the project’s inter-agency Subproject Approval Committee (SAC) for approval. 3.3.2 Subproject Approval : The following guidelines are to govern the approval of any subproject. • No subproject/s are to be approved without an appropriate ECC. Subprojects will only be included in the agenda of the Sub-Project Approval Committee (SAC) or Project Management Board (PMB) for approval/disapproval if the appropriate ECC and ESMP had been submitted and the subproject meet the environmental standards of IPAC Project. • For irrigation subprojects, water rights permit has to be filed and secured from the National Water Resources Board (NWRB). • For subprojects involving cutting of coconut trees, tree cutting permits have to be acquired from the Philippine Coconut Authority (PCA) prior to subproject implementation. IPAC Project: ESMF Page 31 • For subprojects involving cutting of trees with commercial values, tree cutting permits have to be secured from the DENR-CENRO prior to subproject implementation. • For potable water supply system subprojects, aside from securing water rights permit from the NWRB, the water source has to pass the Philippine National Standards for Drinking Water as verified from a potability test result. Release of Funds: The following guidelines are to govern the approval of or release of funds: • Request for release of funds or payment are to be accompanied by an environmental compliance report. • The proponent shall prepare the environmental compliance report and submit this to the CPO through the Provincial Project Office and Regional Project Office. • The project (CPO, RPO or PPO) will not endorse/approve any release of funds if the finding/s in the environmental compliance report is/are negative. Selection of Contractor: The following guidelines are to govern the selection or pre-qualification of contractors: • All contractors must comply with the guidelines and standards set forth in the environmental management system of IPAC Project and existing Philippine environmental laws. 3.4 SUBPROJECT IMPLEMENTATION : The ESMP and conditions in the ECC shall be included in the bid documents, contract, and Program of Work (POW) to ensure compliance by contractors and sub-project proponent. Environmental compliance reports shall be submitted for every subproject that is implemented. 3.4.1 Safeguards Responsibilities during Subproject Preparation and Review Proponent Subproject Preparation The subproject proponent is the primary investor of the subprojects which includes the Farmers Organizations (FOs) and Local Government Units (LGUs). The proponent is primarily responsible for the preparation of the safeguards instruments, the conduct of safeguards due diligence and its submission to the national agencies to ensure adequate compliance with this ESMF and all relevant international and national rules and regulations. Most of the proponents, specifically the FOs are not familiar with safeguards requirements. Even some LGUs particularly IPAC Project: ESMF Page 32 those who have been involved in previous development projects preparation and compliance to environment and social safeguards of their infrastructure subprojects may need coaching Hence, the role of the IPAC Project Management Office is critical in providing orientation, training, technical advice and assistance to the proponents in the preparation of the subproject proposal to address the safeguards requirements of the country, and the WB as defined in this ESMF. It is important that orientation on the environment and social safeguards requirements and their role is undertaken prior to subproject proposal finalization. DENR Review The proponent will be responsible in securing the appropriate environmental clearances from DENR. As prescribed under the Philippine EIA Law, proponents of development projects must prepare an appropriate Environmental Assessment instrument and secure an Environmental Compliance Certificate (ECC) from DENR. As a basic requirement for ECC, subprojects have to successfully pass the DENR screening system. Screening of subprojects is typically performed at the regional offices of DENR-EMB for Category B subprojects. The proponent together with the IPAC Project Office, in the conduct of its environmental assessment, will determine the applicable safeguard policies and assess the scope and extent of the project’s potential environment and social impacts in order to identify adequate mitigating measures in the project design and in the Environment and Social Management Plan (ESMP). The proponent will then submit the EA to DENR in its application for an ECC. DAR –IPAC Project Office review The Department of Agrarian Reform (DAR) as the lead agency of IPAC Project shall be responsible in the establishment of IPAC Project offices from the Central or National level, regional and provincial levels. Technical assistance shall be provided by the IPAC Project offices to the proponent FOs and LGUs in the conduct of the subproject environmental and social safeguards due diligence during project preparation and make available to them safeguards compliance requirements, standards and work processes. Together with the technical review of subproject proposals, IPAC Project offices shall conduct the screening of proposed subprojects prior to the deliberation of the SAC and Project Management Board to determine the adequacy of the environmental and social safeguards instruments prepared by the proponent and the appropriate clearance and permits from DENR and NCIP. Safeguards documents will undergo substantive review by the IPAC Project safeguards staff to ensure consistency and validity of information particularly if pressing environmentally and /or socially critical issues exist. Further, IPAC Project offices shall keep the records of the subproject safeguard monitoring reports, feedback and technical information, and the ESMPs, ARPs, IP Plans, ECCs/CNCs and CNOs/CPs. IPAC Project: ESMF Page 33 WB Review In addition to the DENR review of the EA report, WB shall also conduct a review on a number of safeguards documents prior to the issuance of a No-Objection Letter (NOL). Among the safeguards documents that WB shall review are: Environmental Safeguards • First ESMP for each subproject type; First IEE report prepared for each subproject type Social Safeguards • All IPPs; and • First three (3) Abbreviated Resettlement Plans. The said documents will be submitted to WB for clearance prior to subproject implementation. The institutional roles and responsibilities of the Proponent, DAR-IPAC Project Office and WB are defined in Table 7 to describe the extent of tasks each institution must do so that the progress of a subproject’s compliance to the safeguards policies is kept in the right track. Table 7.Safeguards process flow during subproject preparation (in numerical order) Activity Proponent DAR-IPAC Project Office WB A Project 1 Submits subproject 2 DAR –IPAC Project Preparation proposal to DAR- IPAC Office provides technical Project Office for review assistance& determines if Subproject subproject is eligible and Screening its environmental Stage category, guided by the ESMF. B Subproject 4 Updates proposal based on 3 DAR-IPAC Project Review Stage comments/ feedback and Office sends comments to re-submits complete proponent (including proposal package to DAR subproject environmental (with environmental & category) for appropriate social safeguards action. requirements) 5 When ready, DAR-IPAC Project Office endorses proposal package to WB for review. IPAC Project: ESMF Page 34 Activity Proponent DAR-IPAC Project Office WB C Environmental 6 If safeguards requirements 8 Provides technical & 9 WB Safeguards are lacking, seek technical procedural advice on provides Preparation Stage assistance, for preparation safeguards requirements guidance, if of safeguards instruments. necessary. 7 Closely coordinate with DAR to finalize and complete safeguards requirements. D Finalize Proposal 10 Ensures safeguard results 11 DAR –IPAC Project package are integrated in the Office provides technical Feasibility & procedural advice to Study/Subproject Proposal ensure that proposal complies with the ESMF and that safeguards requirements are met. E ECC / NOL 12 Prepares / submits the ff to 13 DAR-IPAC Project Application DENR-EMB &DAR: Office does substantive Stage a. Draft EA report & if review on submitted EA applicable ARP&/or IPP documents to verify if b. Final EA report necessary environmental Documents submitted to and social safeguards are DENR-EMB are for the provided. issuance of ECC / CNC. 14 Transmits safeguards document to WB for reference, or if applicable, comment (applies to the first IEE,ESMP of each subproject type, all IPP and first ARP ) 3.4.2 Safeguards requirements in Subproject Approval Process The safeguards procedures discussed in the previous sections have been built into the subproject approval process to ensure due diligence in safeguards implementation, supervision and monitoring. Figure 1 shows the need to prepare and secure environmental documents such as IEE, ESMP, CNO, ECC and other related permits and clearances and Figure 2 shows the Land Acquisition , Resettlement and Rehabilitation (LARR) documentation and approval process. IPAC Project: ESMF Page 35 Figure 2. LARR Documentation and Approval Process cess Proposed Subproject - inventory of DPs (landowners, tenants, informal dwellers, etc.) Identification of DPs - inventory of affected land and (LGU, MARO) improvements - identification of potential negative impact per DP Conduct of consultation with DPs No Successful? - Consultation re: arrangements, etc. Yes - Preparation/Revision of ARP - Preparation and execution of legal documents (MARO, MLGU, DF) - LGU to submit to PPMO for review and endorsement to RPMO - PPO & RPO to validate proposed subproject & review & facilitate revision of documents - Submit/endorse to CPO No Acceptable? CPO to validate proposed subproject and initially review Yes ARP & other relevant documents No Acceptable? CPO to review and approve ARP & Yes relevant documents Regional SAC/National SAC Approval Payment of compensation due to DPs made prior to construction Project Implementation & Monitoring of LGU Compliance (per approved ARP) IPAC Project: ESMF Page 36 3.5 MONITORING AND FOLLOW-UP Monitoring of subproject compliance with safeguards requirements will be done by the IPAC Project Offices in parallel with DENR monitoring. The CPO will include safeguards c Subprojects that are covered by the Philippine EIS System are required by DAO 2003-30 to conduct regular self-monitoring of parameters as indicated in the subproject’s ESMP and conditions cited in the ECC. The proponent must satisfy this requirement by submitting an Environmental and Social Monitoring Report (ESMR) on a semi-annual frequency, i.e., within January and July of each year, to the concerned DENR-EMB regional office. Copies of the submitted ESMR must be provided in two sets to the CPO for reference and review purposes. One set of the ESMR received by CPO will be transmitted to WB for record keeping. The primary purpose of compliance monitoring is to ensure the implementation of sound and standard environmental and social procedures as defined during project preparation. Specifically, it aims to: • Monitor project compliance with the conditions set in the ECC; • Monitor compliance with the ESMP and applicable laws, rules and regulations; • Provide a basis for timely decision-making and effective planning and management of environmental measures through the monitoring of actual project impacts vis-a-vis the predicted impacts in the IEE; • Monitor compliance to ARP and/or IPP; and • Provide basis for timely decision making and effective planning for measures that will ensure attainment of the objectives of social safeguards as indicated in the ARP and/or IPP. There are also instances (critical environmental aspects) that the ECC sets the conditions for the activities to be monitored and the monitoring schedule. The submission of safeguard documents shall be monitored to keep track of the pace of processing the ECC and NOL to avoid delays in the implementation of subproject. It will also serve as a guide to push the proponent responsible to work on the needed deliverables. IPAC Project: ESMF Page 37 CHAPTER 4 INSTITUTIONAL ARRANGEMENTS AND CAPACITY BUILDING 4.1 GOVERNMENT AGENCIES INVOLVED The Department of Agrarian Reform (DAR) is responsible for the overall administration, planning, control, management and supervision of the IPAC Project. It will provide due diligence and quality assurance in all aspects of subproject preparation including the environmental and social safeguards screening, review of the technical quality and accuracy of the information in the Environmental Assessments and social documents and integrating sound environmental and social practices into the subproject design and implementation. The DAR-IPAC Project Office will require subproject proponents to comply with this ESMF prior to subproject deliberation by the Subproject Approval Committee/Project Management Board. The proponents will prepare the safeguards instruments and implement during and after the duration of IPAC. The PMO will also supervise the implementation of the safeguards instruments and monitor the safeguards performance of the proponents and report the overall safeguards compliance of the project to the WB. The WB staff will advise and support the DAR-IPAC Project Office in carrying out its safeguards responsibilities to ascertain that the safeguard policies are met. Considering the different components of the IPAC Project, the DAR will collaborate with the different government agencies through Memorandum of Agreements in the implementation of project components according to each agency’s mandate and specialization. Agencies that are directly mandated to regulate safeguards compliance of development projects are DENR and NCIP. The Department of Environment and Natural Resources (DENR) is responsible for the issuance of the Certificate of Non Coverage (CNC)/Environmental Clearance Certificate (ECC) and the monitoring of safeguards compliance. The National Commission on Indigenous Peoples (NCIP) is responsible for addressing issues and concerns of the country's indigenous peoples. It prescribes the procedures on getting the free and prior informed consent of IP communities present in subproject locations that are within their ancestral domains. Their participation may also be sought in engaging the IPs found to have presence in project locations outside ancestral domains. Department of Trade & Industry (DTI) will be the major implementing agency for launching market forum, drawing private sector participation, matching FOs to market and buyers, evaluating proposals and technical assistance in the implementation of productive partnerships. Department of Agriculture (DA) is responsible for agricultural extension component specifically in the diffusion of proven and tested production technologies, integrated pest management and farming systems, through Agricultural Training Institute & other attached IPAC Project: ESMF Page 38 agencies in charge of specific commodities such as Philippine Coconut Authority, Sugar Regulatory Administration. DA will provide technical assistance in the design and implementation of training programs for trainers, extension workers and farm managers who will in turn provide technical assistance to FOs. Department of Science and Technology (DOST) to provide technical assistance in technology training for FOs engaged in processing. Department of Public Works and Highways (DPWH) for the design and implementation of farm-to-market roads and bridges. The Department shall likewise help in ensuring that implementation of rural infrastructures observes the mitigating measures in the ESMPs and that right of way are secured following IPAC’s ESMF. National Irrigation Administration (NIA) for the design and implementation of communal irrigation and drainage facilities. The agency shall also help in ensuring that environment and social safeguards are implemented based on the ESMF. Municipal LGUs for the design and implementation of small infrastructure facilities such as storage and drying facilities, multi-purpose buildings and potable water supply. As proponent of subprojects for IPAC Project funding, the LGU will be responsible in securing safeguards requirements. State Colleges and Universities (SCUs) for agricultural extension and technology diffusion. 4.2 CAPACITY BUILDING AND TRAINING REQUIREMENTS In the past, compliance to both environment and social safeguards requirements were blamed for some delays in subprojects approval and implementation. Such can be attributed to absence of informed personnel who will prepare the needed documents (LGUs-level) and those who will assist and guide them (DAR & partner-agencies). Though this was addressed in the previous projects such as the ARCDP I and II, recent changes and reorganizations in the involved Agencies brought the need for capacity building for those who will be involved in the implementation of the Environment and Social Safeguards Policies. Training required are: • orientation on safeguards • resolution of issues or conflicts • environmental impact assessment • preparation of , ESMP • supervision, monitoring and reporting safeguards performance at subproject and project levels IPAC Project: ESMF Page 39 • social impact assessment • land acquisition valuation and legal documentation • cultural sensitivity & training on free, prior and informed consent Orientation on project safeguards should be provided to subproject proponents particularly the Farmers Organizations (FOs), DAR-IPAC Project Focal Persons. Key officials of the agencies involved in IPAC Project should also be oriented on Project Safeguards of development projects for appreciation of the safeguards requirement and to ensure due diligence in the preparation , implementation and monitoring of project safeguards compliance. Capacity building will be provided to DAR IPAC Project focal persons from National, Regional and Provincial levels and LGU counterparts. CHAPTER 5 Grievance Redress Mechanism Complaints and grievances relating to any aspect of the resettlement entitlements and/or activities, including the determined area and price of the lost assets, will be managed as follows: • A Complaints and Grievance Committee (CGC) at the barangay level shall be established to hear the complaints and grievances form various stakeholders of the projects including respective subprojects. Members of the CGC shall include the Barangay Captain, Barangay Secretary and a member of the Barangay Justice (Lupong Tagapamayapa) as well as formal and informal representatives of the affected community. • The complaint, grievance and appeal shall have the following levels:  LEVEL 1 Complainant addresses complaints and grievances to the Barangay CGC. The Committee will have to document its investigation to the facts presented and provide a written response to the DP, within fifteen (15) calendar days of receiving the complaint.  LEVEL 2 If the complainant is not satisfied with the decision of the Committee; the DP may appeal the case to the MPDO within fifteen (15) calendar days of receiving the written decision/s from the Barangay Committee. The decision of the MPDO shall be rendered within thirty (30) calendar days of receipt of the DP's appeal after validating the facts of the complaint.  LEVEL 3 If the complainant is not satisfied with the decision of the MPDO; the DP may appeal the case to the PPO within fifteen (15) calendar days of receiving the written decisions from the MPDO. The decision of the PPO shall be rendered within thirty (30) calendar days of receipt of the DP's appeal after validating the facts of the complaint. IPAC Project: ESMF Page 40 • If the complainant is not satisfied with the decision of the PPO, the case may be submitted to the IPAC Project Central Project Office (Technical Review Unit),for consideration. The decision of the TRU shall be rendered within thirty (30) calendar days of receipt of the complainant's appeal. • Complainants will be exempted from all administrative and legal fees. • Resorting to courts prior to availment of this complaint and grievance process will make the appellant’s action dismissible, on the ground of non-exhaustion of administrative remedies. Modes of Filing Complaints to the Complaints and Grievance Committee. Although different modes of filing is acceptable to the Project, as a matter of policy, the IPAC Project, shall only entertain and act upon complaints and grievances which was duly signed by the complainant to avoid misuse or abuse of the procedure. The complainant, however, is assured of confidentiality by the officers and members of the Complaints and Grievance Committee until proper venue has been provided to discuss and settle the reported issues. • Filing of complaints through Barangay CGC Logbook – each IPAC Project barangay shall be required to provide a Logbook to record complaints raised by community member(s) in relation to Project implementation • Filing of complaints through Barangay Drop Boxes - each IPAC Project barangay shall be required to provide a Logbook to record complaints raised by community member(s) in relation to Project implementation. Non- IPAC Project complaints shall be forwarded to the concerned offices/institutions for appropriate action. • Complaints/Grievance Reports via text messages – members of the CGC shall make available official contact numbers for complaints/grievance filing • Personal filing of grievances/complaints For the Indigenous Peoples, all complaints shall be discussed and negotiations must be carried out in the specific communities where affected indigenous peoples live. The CGC together with the tribal council concerned should facilitate this process and the Project must ensure that affected IPs are properly represented. Where necessary, IPAC Project will bring in NCIP staff so that rights of IPs are protected. If negotiations are stalled, or IPs disagrees with all possible options presented during these deliberations, the affected tribes can bring their grievance or complaints to the municipal implementing units of the Project. Should this still fail the IP expectations, the IPs can elevate their complaints to the Provincial representative of the NCIP and the Office of the Provincial Agrarian Reform Officer, with copies of the complaint furnished the Office of the Provincial Governor. IPAC Project: ESMF Page 41 Resolution of conflicts should be encouraged at the lowest level possible, thru the facilitation of Municipal and Community Tribal Councils. Again, the documentation of such meetings and interactions with affected IP households/communities must be documented and distributed to relevant stakeholders. The CPO Desk Officer for complaints and grievances is Ms Charie R. Regalado of Project Management Service, DAR who may be contacted in the following means: (email address: charie9950@gmail.com; office address: PMS, Dept. of Agrarian Reform, Elliptical Road, Diliman, QC; Telephone No.: 426-74-96; CP no. 0918 9005070 email address, office address, land line, mobile number). She shall oversee the proper handling of complaints and grievances and ensure that a summary of the entries of the CGC logs per region shall be part of the progress report submitted to The World Bank Group. CHAPTER 6 Public Consultation and Disclosure of Information The multi stakeholder consultation was held in Tagum City, Davao del Norte on 14 April 2015. The list of participants, photos and its documentation of issues raised are found in Annex 12. This IPAC- ESMF is disclosed by the Project both local and in the WB Info Shop. Local disclosure will be through the websites of DAR, DENR, and LGUs. The LGUs may also use the public library or bulletin boards in their area. Relevant Environment and Social Safeguards documents such as the ESMPs, Resettlement Plans, IP Plans and ARC Cluster Development Plans shall also be disclosed by the proponents in the project sites and in the DAR website and reported to IPAC as part of their preparation and implementation of the safeguards documents. Similarly, project orientation will be conducted in the different ARC Clusters covered by the IPAC Project to update the stakeholders on the approved process and requirements for subprojects approval and project implementation. CHAPTER 7 GENDER AND DEVELOPMENT GAD guiding principles provides that opportunities to participate in IPAC Project development initiatives/activities including agribusiness and rural enterprise development, credit and microfinance, market matching and investment linkaging and training programs shall be extended equally to men and women ARBs. The right to join any cooperative or organization that aims to promote the interest of farmer- beneficiaries shall be made equally available to women and men alike. Likewise, participation of women and men farmer beneficiaries in their respective organizations particularly in the decision-making processes shall be encouraged and strengthened. IPAC Project: ESMF Page 42 The project shall promote project implementers and farmers organizations’ appreciation and knowledge of gender mainstreaming by providing orientation on the concepts and tools of Gender and Development such as Gender Sensitivity Training (GST) using Gender-Based Effectivity Skills Training (G-BEST) and other tools developed by DAR. IPAC Project: ESMF Page 43 INCLUSIVE PARTNERSHIPS FOR AGRICULTURAL COMPETITIVENESS (IPAC) PROJECT Environment and Social Management Framework List of Annexes 1. Project Sites 1a. Map of IPAC Project Area 2. Safeguards Screening Checklist 2a Negative List of Subprojects 3. ESMP for Infrastructures Template 3a. Guidance on WB Safeguard Policy on Safety of Dams (OP 4.37) and ESMP Template for Small Dams 3b. ESMP for Construction/Rehabilitation of Farm-to-Market Road 3c. ESMP for Construction/Rehabilitation of Bridges 3d. ESMP for Construction/Rehabilitation of Communal Irrigation Projects/Systems 3e. ESMP for Construction/Rehabilitation of Potable Water Supply 3f. ESMP for Construction of Multi-Purpose Buildings/Centers 3g. ECOP Template for Small Infrastructure Subprojects 4. Chance Find Procedures 5. IEE Content and Outline 6 Masterlist of Displaced Persons 7 Summary of Assets and Livelihood Affected 8. Abbreviated Resettlement Plan Outline 9. List of Legal Documents for ROW 10. IPAC Project Resettlement Policy Framework 11. IPAC Indigenous Peoples Policy Framework 12. IPAC IPM Framework 13. ESMF Public Consultation Documentation IPAC Project: ESMF Annexes Page 1 ANNEX 1 List of 50 ARC Clusters covered by IPAC Project Municipalities ARCs Covered No. of Barangays Region Province ARC Cluster No. Names No. Names ARC Non-ARC Total 1 Abra 1 Abra Cluster 5 Luba, Pilar, 5 Luba, Pilar, 14 33 47 I (South- Manabo, Manabo, Western Villaviciosa, Villaviciosa, Abra Mango and Tubo and UTIP CAR Enterprise 2 Benguet 2 Amburayan 9 Atok, Bakun, 10 Atok, Bakun, 66 28 94 River Basin Kapangan, Kapangan, Cluster La Trinidad, La Trinidad Tuba, SARC, Mankayan, Tabaan Sablan, 3 La Union 3 PRATS ARC 5 Agoo, Sto. 6 Macalvar 22 116 138 Connectivity Tomas, Sur, Cluster Pugo, PUSUNANG Tubao, and TATAY, Halog 4 Pangasinan 4 Lower Agno 9 Alcala, 13 Eastern 69 2 71 River Basin Basista, Alcala, Cluster Bautista, Basista, Bayambang, Vacante, Malasiqui, Pripavilla, I San Carlos Sanlibo, 5 Ilocos Sur 5 Upland ARC 6 Banayoyo, 7 Taclin, 30 29 59 Cluster Lidlida, San Panaeus Emilio, Berde, Salcedo, G. Sunrise, Del Pilar, SODI, ALMA, 6 Ilocos Norte 6 Rimat Ti 7 Dingras, 8 Padong, 43 46 89 Amiana Laoag, Rocas, 7 Cagayan 7 Cagayan 6 Piat, 9 NASUERTECA 33 11 44 South ARC Amulung, , Cluster Solana, Malaueg,MA 8 Isabela 8 Hybrid Rice 4 Aurora, 5 San Manuel 30 - 30 Production Quezon, Cluster, ARC Cluster Roxas, and Aurora San Manuel Cluster, II 9 Upland Crop 4 San 11 Bannawag 53 15 68 Devt Cluster Guillermo, Cluster, Echague, Dicamay Jones, San Cluster, 9 Nueva 10 ABAGATAN 7 Aritao, 11 DABECO, 82 59 141 Vizcaya ARC Cluster Dupax del CABONECO, Norte, Binuangan, Dupax del MILA, Sur, Kasibu, Palabotan, IPAC Project: ESMF Annexes Page 2 ANNEX 1 List of 50 ARC Clusters covered by IPAC Project Municipalities ARCs Covered No. of Barangays Region Province ARC Cluster No. Names No. Names ARC Non-ARC Total 10 Bulacan 11 Masagana 1 San 3 Upig, Pala- 6 3 9 ARC Cluster Ildefonso pala, and 11 Bataan 12 Bataan 3 4 MBBM 22 1 23 Kagitingan II Dinalupihan Hermosa ARC Cluster , Hermosa, ARC, Saguing- and Morong Maligaya 12 Nueva Ecija 13 Daloy ng 3 3 23 7 30 Buhay ARC Pantabanga Pantabanga Cluster n, Rizal, and n , Across III 14 Singkaw ng 3 Munoz, 8 Munoz, 38 19 57 Buhay ARC Talugtug, Munoz 1, Cluster and Munoz 2, 13 Pampanga 15 Pampanga 3 San Luis, 4 San Jose, 15 8 23 District IV San Simon, San Luis, ARC Cluster and Apalit Clustered 14 Tarlac 16 Concepcion 1 Concepcion 2 Tinang ARC 4 41 45 ARC Cluster and Sto. 15 Zambales 17 Southern 2 San 2 San 8 24 32 Zambales Marcelino Marcelino 16 18 BATAC/TALU 2 Balayan and 2 TALUPU ARC 6 11 17 PU Calatagan and BATAC Batangas ARC 17 Quezon I 19 Bundok 2 Candelaria 2 Kinatihan I 2 6 8 Banahaw and Sariaya and ARC Cluster Concepcion- 17 Quezon II 20 Bondoc 9 Buenavista, 19 SILDAKIN, 70 - 70 IV-A Peninsula Catanauan, Buenavista, Coconut ARC Macalelon, Tuhian-San Cluster Gen. Luna, Pedro, Mulanay, Resettleme San nt Camtin, Francisco, SANSUNI, IPAC Project: ESMF Annexes Page 3 ANNEX 1 List of 50 ARC Clusters covered by IPAC Project Municipalities ARCs Covered No. of Barangays Region Province ARC Cluster No. Names No. Names ARC Non-ARC Total 18 Marinduque 21 KAAKBAYAN 1 Santa Cruz 3 Santa Cruz, 23 8 31 ARC Cluster Silangan 19 Oriental 22 OrMin 4 Bansud, 4 MAROPA, 44 69 113 Mindoro District II Bongabong, Salcedo, ARC Cluster Gloria, and Gloria, and 20 Occidental 23 Rizal 2 Rizal and 3 MAGSAMA, 8 2 10 Mindoro Calintaan Calintaan PARIZ, and Cluster New IV-B (renamed to Dagupan/Ta MAGPATANY nyag AG ARC Cluster) 21 Palawan 24 Central 3 Aborlan, 5 Iraan Isaub, 24 28 52 Grains ARC Narra, and Plaridel- 22 Albay 25 Albay Tres 3 Oas, 5 Lakeside 26 75 101 ARC Cluster Polangui, and Six Hills, and Libon Big Six, 23 Camarines 26 Camarines 5 Baao, Bula, 10 Agdanan- 36 - 36 Sur Sur ARC Pili, San Rafael, Cluster Ocampo, Sto.Nino, and Tigaon BIAD II, V 24 Masbate 27 Western 3 Aroroy, 4 Lantangan, 6 46 52 Corridor ARC Balud, and Mabuhay, 25 Sorsogon 28 Casiguran 1 Casiguran 2 Casiguran 7 7 14 ARC Cluster A 26 Camarines 29 Basud-San 2 San Lorenzo 3 San Isidro 12 29 41 Norte Lorenzo Ruiz Ruiz and (Expanded), Cluster Basud Matnog, and IPAC Project: ESMF Annexes Page 4 ANNEX 1 List of 50 ARC Clusters covered by IPAC Project Municipalities ARCs Covered No. of Barangays Region Province ARC Cluster No. Names No. Names ARC Non-ARC Total 27 Aklan 30 Rice ARC 9 Buruanga, 9 BENTCH, 61 3 64 Cluster Tangalan, Bugna (now (Aklan Rice Malinao, Abante), Cluster 3) Ibajay, Fatima, Makato, Ibajay 28 Capiz 31 Capiz 6 Maayon, 7 PAMACO, 17 13 30 Sugarcane Panitan, Capagao- ARC Cluster Pilar, Timpas, 29 Iloilo 32 Passi-San 2 Passi and 3 Jaguimitan, 7 9 16 VI Enrique San Enrique Sto.Tomas, 30 Negros 33 HIMABINAIS 3 Himamayla 7 Payao, Bi- 7 54 61 Occidental A Cluster n, ao, Binalbagan, Carabalan, 34 North 2 Cadiz and 3 Mabini, San 3 4 7 Negros Manapla Pablo and Sugarcane Tortosa ARC Cluster 31 Bohol 35 APC-SSD ARC 6 Alicia, 15 La 45 75 120 Cluster Carmen, Hacienda, Dagohoy, Del Untaga Pilar, San Procayacap, Miguel, and KC, Estaca, Sierra PBD Pilar 32 Cebu 36 Pinamungaj 4 Pinamungha 4 Anopog- 20 48 68 an - n, Camugao, VII Aloguisan - Aloguinsan, ESSAKTO, Barili ARC Barili, and Cabcaban, Cluster Carcar BaGuBuMan 33 Negros 37 BAYBASTAC 3 Bayawan 8 SDC 27 33 60 Oriental ARC Cluster City, Basay, Malinao, and Santa SDC Bal-os, IPAC Project: ESMF Annexes Page 5 Annex 1 List of 50 ARC Clusters covered by IPAC Project Municipalities ARCs Covered No. of Barangays Region Province ARC Cluster No. Names No. Names ARC Non-ARC Total 34 Eastern 38 Sinirangan 4 Can-avid, 5 Can-avid, 34 39 73 Samar ARC Cluster Taft, Sulat, Jicontol and Dolores Valley, Parik, Sulat, 35 Leyte 39 Leyte Dist. I 6 Palo, 10 Alangalang 27 15 42 ARC Cluster Alangalang, 1, San Miguel, Babatngon I, Babatngon, Babatngon 40 VISITa ARC 3 San Isidro, 3 San Isidro, 18 49 67 VIII Cluster Tabango, Villaba, and and Villaba Tabango 36 Northern 41 Pambujan- 4 Pambujan, 4 Mondragon, 16 66 82 Samar San Roque- San Roque, Pambujan, Mondragon- Mondragon, San Roque, Lope De and Lope De and 37 Samar 42 SOWSEED 6 Basey, 7 CALPINSET, 72 86 158 (Western) ARC Cluster Calbiga, Calbiga, Marabut, Pahug Pinabacdao, Expanded, 38 Misamis 43 Tudela ARC 1 Tudela 3 Buencama, 11 20 31 Occidental Cluster COSIBA, and X (formerly SMART 39 Davao del 44 Davao del 6 Asuncion, 6 Cabaywa, 27 7 34 Norte Norte ARC San Isidro, COKISSSS, Cluster I New New Corella Corella, Cluster, 45 IGaCoS ARC 1 Island 4 San Isidro, 16 12 28 XI Cluster Garden City Aumbay, 40 Davao 46 Davao 3 Mati, San 9 Pob.-Crispin 25 38 63 Oriental Oriental ARC Isidro, and dela Cruz, Cluster Gov. Tiblawan- Generoso Nangan, IPAC Project: ESMF Annexes Page 6 Annex 1 List of 50 ARC Clusters covered by IPAC Project Municipalities ARCs Covered No. of Barangays Region Province ARC Cluster No. Names No. Names ARC Non-ARC Total 41 Sarangani 47 Katibayan 3 Gen. Santos 4 Tingacan, 9 5 14 ARC Cluster City, Alabel, BATODO, XII Malapatan KAWAS and BARABAHAG YAN 42 Maguindana 48 Iranun ARC 4 Barira, 4 21 10 31 o Cluster Buldon, Maguindana Matanog, o Resettleme nt Project No. 1 43 Lanao del 49 Unayan ARC 6 Bayang, 6 Upper 35 99 134 Sur Cluster Lumbatan, Bayang, ARMM Lumbaca Lumbatania Unayan, n, Dilausan, Lumbayana Cabasaran, gue, Sultan Sultan 44 Basilan 50 Sahaya ARC 6 Lamitan 7 8 49 57 Cluster City, Tipo- tipo, Ungkaya Total 44 50 203 301 1,328 1,457 2,785 IPAC Project: ESMF Annexes Page 7 ANNEX 1a IPAC Project: ESMF Annexes Page 8 ANNEX 2 Screening Form for Potential Environmental & Social Safeguards Issues This form is to be used by the IPAC Project Management Office (PMO) in screening proposed subprojects for their potential environmental and social safeguards impacts. Note: One copy of this form and accompanying documentation is to be kept in the PMO and one sent to the Task Team Leader of the WB Subproject Screening: Has the subproject been screened against the list of ineligible activities (negative list)? If yes and proposed activity is eligible, proceed. If no screening has been done, check the negative list in Annex 2a to conduct screening. Subproject Name Subproject Location Subproject Proponent Subproject Type/Sector Estimated Investment Start/Completion Date Questions Answer If Yes Documents requirement if Yes no WB Policy Yes triggered Are the subproject impacts likely to have OP 4.01 Not eligible significant adverse environmental impacts that Environmental are sensitive 1, diverse or unprecedented?2 Assessment Please provide brief description: 1 Sensitive (i.e., a potential impact is considered sensitive if it may be irreversible - e.g., lead to loss of a major natural habitat, or raise issues covered by OP 4.04, Natural Habitats; OP 4.36, Forests; OP 4.10, Indigenous Peoples; OP 4.11, Physical Cultural Resources; or OP 4.12, Involuntary Resettlement; or in the case of OP 4.09, when a project includes the manufacture, use, or disposal of environmentally significant quantities of pest control products); 2 Examples of projects where the impacts are likely to have significant adverse environmental impacts that are sensitive, diverse or unprecedented are large scale infrastructure such as construction of new roads, railways, power plants, major urban development, water treatment, waste water treatment plants and solid waste collection and disposal etc. IPAC Project: ESMF Annexes Page 9 Do the impacts affect an area broader than the OP 4.01 Not eligible sites or facilities subject to physical works and Environmental are the significant adverse environmental Assessment impacts irreversible? Please provide brief description: Is the proposed project likely to have minimal OP 4.01 ECOP (if or no adverse environmental impacts? 3 Please Environmental involves repair provide brief justification: Assessment of small infrastructure Category C facilities) Is the project neither a Category A nor Category OP 4.01 IEE, ESMP C as defined above?4 Please provide brief Environmental justification: Assessment Category B Are the project impacts likely to have OP 4.01 Not Eligible significant adverse social impacts that are Environmental sensitive, diverse or unprecedented5? Please Assessment provide brief description: 3 Examples of projects likely to have minimal or no adverse environmental impacts are supply of goods and services, technical assistance, simple repair of damaged structures etc. 4 Projects that do not fall either within OP 4.01 as a Category A or Category C can be considered as Category B. Examples of category B sub-projects include small scale in-situ reconstruction of infrastructure projects such as road rehabilitation and rural water supply and sanitation, etc. 5 Generally, sub projects with significant resettlement-related impacts should be categorized as A. Application of judgment is necessary in assessing the potential significance of resettlement-related impacts, which vary in scope and scale from sub project to sub project. Subprojects that would require physical relocation of residents or businesses, as well as sub projects that would cause any individuals to lose more than 10 percent of their productive land area, often are categorized as A. Scale may also be a factor, even when the significance of impacts is relatively minor. Sub projects affecting whole communities or relatively large numbers of persons (for example, more than 1,000 in total) may warrant categorization as A, especially for projects in which implementation capacity is likely to be weak. Sub projects that would require relocation of Indigenous Peoples, that would restrict their access to traditional lands or resources, or that would seek to impose changes to Indigenous Peoples’ traditional institutions, are always likely to be categorized as A. IPAC Project: ESMF Annexes Page 10 Will the project adversely impact physical OP 4.11 ESMP/Chance cultural resources? 6 Please provide brief Physical Find Procedures justification: Cultural Resources Category B Will the project involve the conversion or OP 4.04 Natural IEE, ESMP degradation of non-critical natural habitats? Habitats Please provide brief justification: Category B Will the project involve the significant OP 4.04 Natural Not eligible conversion or degradation of critical natural Habitats habitats 7? Does the sub-project construct a new dam or OP 4.37 Dam Only small rely on the performance of an existing dam or a Safety dams are dam under construction? eligible - IEE, Category B ESMP Does the project procure pesticides (either OP4.09 Pest IEE, ESMP with directly through the project, or indirectly Management Pest through on-lending, co-financing, or Management government counterpart funding), or may affect Plan pest management in a way that harm could be done, even though the project is not envisaged to procure pesticides? Category B Does the sub-project involve involuntary land OP 4.12 Resettlement acquisition, loss of assets or access to assets, or Involuntary Action Plan loss of income sources or means of livelihood? Resettlement Please provide brief justification: Category B Are there any ethnic minority communities OP 4.10 Indigenous present in the sub project area and are likely to Indigenous Peoples Plan be affected by the proposed sub-project People negatively or positively? Please provide brief justification: Category B 6 Examples of physical cultural resources are archaeological or historical sites, including historic urban areas, religious monuments, structures and/or cemeteries particularly sites recognized by the government. 7 Subprojects that significantly convert or degrade critical natural habitats such as legally protected, officially proposed for protection, identified by authoritative sources for their high conservation value, or recognized as protected by traditional local communities, are ineligible for Bank financing. IPAC Project: ESMF Annexes Page 11 Categorization of Subproject: The objective of the categorization is to ensure that all social and environmental impacts are avoided, minimized or properly mitigated. The following are the criteria for project categorization: Category B The activity has potential adverse environmental impacts on human populations or environmentally important areas – including wetlands, forests, grasslands, and other natural habitats, which are less adverse than subprojects that are anticipated to generate significant environmental impacts. As these impacts are site-specific, an Initial Environmental Examination (IEE) is required to identify and assess the potential environmental and social impacts. An Environmental Code of Practice (ECoP) is required to accompany the ESMP to provide the overall environmental management approach to contractors. Category C The activity is likely to have minimal or no adverse environmental impacts. Beyond screening, no further EA action is required for a Category C subproject. Conclusion and Safeguards Instruments Required: The sub project is classified as a Category ________ project as per World Bank OP4.01, and the following safeguards instruments will be prepared to accompany the subproject proposal package: 1. _______________________________________________________________________ 2. _______________________________________________________________________ 3. _______________________________________________________________________ 4. _______________________________________________________________________ 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. ESMP, RAP), if any, will be adequate to avoid or minimize all adverse environmental and social impacts. Reviewed/screened by: PMO Team Representative: Signature: ______________ Signature: _______________________ Name: ______________ Name: _______________________ Date: ______________ Date: _______________________ IPAC Project: ESMF Annexes Page 12 ANNEX 2A Negative List of Sub Projects under IPAC 1. Under the Rural Infrastructure Sub Component of IPAC Project the following rural infrastructure are not eligible for funding: a. Subprojects that are likely to have significant adverse environmental and social impacts and are sensitive, diverse, or unprecedented. b. Subprojects whose impacts affect an area broader than the sites or facilities subject to physical works and the significant adverse environmental impacts are irreversible. c. Subprojects that involve the significant conversion or degradation of critical natural habitats and those that have the potential to have significant impacts on the health and quality of critical natural ecosystems. d. Proposed FMR subprojects that may pose environmental hazards such as: - Those that will pass prime agricultural land as classified under the SAFDZ areas; - Protected areas under the National Integrated Protected Areas System (NIPAS); - Erosion prone area; - Areas that will need more than 1 meter high excavation and embankment which may cause erosion and flooding; and - Flood-prone areas e. Proposed Communal Irrigation Projects: - With service area of more than 1,000 hectares; - Small River Impounding Project (SRIP); and - Deep well f. Proposed Potable Water System (PWS) subprojects: - With distance of more than three (3) kilometers from the water source to the first household to be served by the project; - Level 3 Water System 2. Under the Matching Grant Program, there are non-eligible expenditures under the Grant proceeds, such as: a. Salaries or payment for works and services provided to the project by the grant applicants or its members. However, such costs could be considered as a matching contribution from the applicant; b. Any expenditures made prior to the date of signature of the Grant Agreement or after closure date of the project; IPAC Project: ESMF Annexes Page 13 c. Purchase, rent or leasing of land and existing buildings. However, such costs could be considered as a matching contribution of the applicant; d. Any expenditure related to the operating costs, which are expected to be the direct responsibility of the applicant. However, such costs could be considered as a matching contribution from the applicant; e. Payment of interest charges on loans of the organization; f. Any expenditure made in countries that is not a member of the World Bank for goods produced in and services supplied from such countries; and g. Any expenditure with hazardous impact on the environment. IPAC Project: ESMF Annexes Page 14 ANNEX 3 Environmental and Social Management Plan (ESMP) for Eligible Rural Infrastructure Sub-projects (____________________ ARC Cluster, Municipality of ________________Province of __________________ Region ______ ) Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds PRE-CONSTRUCTION PHASE (Social Preparation, Land/ROW Acquisition and Damage Compensation, Hiring, Procurement) In Compliance with: WB Policies on Involuntary Resettlement, IPs, Gender and Development and Public Disclosure; GOP: RA 7192 Women in Development Nation Building; RA7160 Local Government Code, RA 7279 UDHA, RA 8371 IPRA and RA 8974 on ROW Lack of information − Hold consultative − Proof* of prior LGU/Proponent to Both measures and Consultative and/or low meetings with equal coordination, consultation, take the lead in monitoring to be done meetings to be held participation of the representation of men participation in various coordination and as follows: about 3x prior to and women, with project stages of the project consultations, community,  During sub-project construction beneficiaries and starting from planning particularly the particularly women, affected persons on the activities to operation and Municipal Social conceptualization P50/meeting x 50 in sub-project sub-project components maintenance: Welfare and initial design pax/mtg x 3 planning and activities and management plan Department and  Prior to  General community meetings x 2 − Prior coordination and the Community finalization of the sectoral groupings  Focused women’s Relation Officers consultation with sub-project design (one general, one groups women's groups  Prior to women) x ___ *Proof: e.g. Attendance Sheet, construction barangays = P_____ Minutes of Meetings Copy of Presentation Materials (to validate content and coverage of disclosure/ consultation) Land or ROW − Disclosure of WB − Proof of prior consultation LGU to facilitate All activities to be Consultative acquisition, damages Involuntary Resettlement and disclosure on the consultations, implemented prior to meetings for to crops and other and compensation WB/GOP guidelines for disclosure, construction disclosure and guidelines, e.g. market compensation structures preparation of package drafting to value as basis for pricing − Presence of compensation compensation be held about 2x IPAC Project: ESMF Annexes Page 15 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds of land or crops and package packages and prior to other properties payment of construction, − Proof of compensation/ − Prepare compensation payment before compensation P50/meeting x 50 package for land or construction works pax/mtg x 2 ROW acquisition, and/or crop damage meetings x compensation, based on __barangays or prior consultation with sectors = P_____ project-affected persons − Secure Deed of Donation or Quit Claim on land /other properties − Payment of compensation prior to construction works Entry of external Give hiring preference to Proof of local residence, e.g. LGU to facilitate Prior to construction No additional workforce qualified local Community Tax arrangements for ESMP cost for community residents, Certificate (CTC) or local hiring hiring from the particularly those who certificate of residence locality will be displaced issued by the Brgy. Captain Possible illegal or Procure construction Presence and validity of LGU Municipal Every procurement No additional unauthorized sourcing materials from sources environmental permits Project Office activity prior to ESMP Cost, as this of construction with valid environmental and/or license of sources (MPO) construction requirement is part sources, i.e. for sand and of construction materials: materials of the Standard gravel, from those with to be monitored prior to DENR-MGB/EMB award to every contractor Operating permits; for timber Procedure in the resources, from those WB/GOP with valid DENR- Procurement FMB/EMB permits Guidelines IPAC Project: ESMF Annexes Page 16 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds CONSTRUCTION PHASE (Mobilization, Construction Proper, Demobilization) 1.1.1 Physical Environment: Land − Destabilization of − Schedule the − Presence of erosion Contractors to Erosion control and − Vegetative stabilization slopes and soil construction works control, slope stabilization include in their stabilization estimate: P5,000/hectare * erosion due to during the relatively and protection structures bids the estimate measures shall be ____ sub-projects = earthworks drier months in the site of stabilization implemented P______/ha − River bank − Implement appropriate − Absence of massive and erosion simultaneously with − No additional ESMP cost for erosion due to erosion control, slope erosion induced by the control measures; construction works. Mechanical or Engineering earthworks along stabilization and construction works measures for soil erosion rivers protection measures Contractors to control and slope implement and stabilization, as these are − Vegetative stabilization the LGUs to integrated in Sub-project of the sloping areas supervise the design and cost for roads with − Designate a Spoils critical slope. Contractors Storage Area near the construction site - In slopes & other suitable places along the roadside, trees & grass should be planted. On sections with high filling and deep cutting their slopes should be covered by stone walls and planted with grass, etc. 1.1.2 Physical Environment: Hydrology Obstruction of natural − Leave enough channel for Presence of culverts properly Contractors to Daily operations No additional ESMP cost; and redirected flow of unobstructed river flow placed along natural implement while Drainage and installation of water during − Follow natural drainage the LGU culverts are integrated in the IPAC Project: ESMF Annexes Page 17 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds construction works paths when constructing drainage paths supervises the sub-project cost, being part of along roads and flood road drainage canals and Contractors the standard design. control works installing culverts 1.1.3 Physical Environment: Water Quality In compliance with: WB G Environmental Health and Safety Guidelines; GOP: RA 9275 Clean Water Act; DENR AO 2005-10 Increase in total − Same measures to control − Presence of soil erosion Contractors to Daily operations No additional ESMP suspended solids, soil erosion; control measures implement while cost. Silt trap may be browning and − Supplemental measure − Temporal/Short-term the LGU supervises installed only as turbidity of the along the river, if needed: browning or turbidity of the the Contractors needed, receiving water body silt traps to minimize river supplemental to the due to soil erosion/ downstream siltation soil erosion control − # public complaints received increase in run-off − Limestone and coal ash by Proponent/ Contractor measures. Will only from construction should be stacked together, need voluntary sites fenced by bricks or an earth community labor or wall, and kept away from construction workers water may devote certain − In sections along the river, number of hours for earth and stone should be the task. The properly disposed of so as materials, e.g. rocks, not to block rivers or cause may be sourced adverse impacts on water quality around the sub- project site. − All justifiable measures will be taken to prevent the water produced in construction from entering into rivers and irrig. Systems Increase in BOD load − Provision of sanitary − Presence of sanitary and Contractors to Daily operations No additional ESMP and debris in the facilities to workers waste segregation/ implement while cost if rental or water body due to containment facilities the LGU supervises construction of − Provision of garbage IPAC Project: ESMF Annexes Page 18 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds improper disposal of facilities to workers to allow − No indiscriminately the Contractors bunkhouse or base sanitary and solid them to segregate, and scattered solid waste camp includes the waste from the properly dispose sanitary and waste biodegradables from non- workers’ base camp disposal facilities ( bio-degradables. P5,000/ SP x − Drinking water should meet _____SPs = P DENR standards ______ Contamination by oil − Provide oil and grease traps − No visible oil and grease Contractors to Daily operations Nil cost of and grease and fuel upstream of any run-off film on water bodies implement while improvised spills from heavy discharge from the sub- the LGU supervises temporary ring − # public complaints project to the water bodies equipment and received by Proponent/ the Contractors canals around area of storage areas − Provide ring canals around Contractor storage of fuel drum fuelling tanks/ motor pool/ containers of fuel : maintenance areas P5,000 x ___ sub- − Collect used oils in projects = P______ containers and sell to licensed recyclers 1.1.4 Physical Environment: Air Quality In compliance with: WB Environmental Health and Safety Guidelines; GOP: RA 8749 Clean Air Act; DAO 2000-81; PD 984 Pollution Control Act – Noise Levels (DENR/LLDA/ARMM regulation) Increase in suspended − Minimize night-time − Qualitative ambient noise Contractors to Daily operations Water spraying: only dust particulates construction activities levels within residential implement while when needed; along unpaved roads, standards (based on the LGU supervises Expected to be nil − Wet areas of dust sources to comparative levels of sound and obnoxious gas minimize discomfort to the Contractors since the households in the natural environment) and particulate nearby residents are far from the emissions and noise − Presence of truck cover roads and the − Control of vehicle speed to levels from heavy during deliveries activities will only lessen suspension of road dust equipment operations − Records of M&R of be rehabilitation − Delivery equipment should be within the vicinity of equipment covered with tarpaulin sheets the construction and − Records of annual IPAC Project: ESMF Annexes Page 19 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds along the transport or any equivalent registration of vehicle route of the heavy − Regular M&R of equipment − # of people's complaints on equipment disturbance caused by − Contractor to present proof of construction at a level compliance with emission disrupting their normal level standards as part of the annual of activities vehicle registration process 1.1.5 Biological Environment In compliance with: GOP: PD 705 (Forestry Code) Localized tree cutting − Prior acquisition of Tree − Presence of permit − LGU or Daily operations Permit acquisition or vegetation clearing, Cutting Permit Contractor may cost, about: P2,000 − Compliance with conditions of and disturbance to apply for the x _____SPs = P − Compliance with conditions TCP permits wildlife in secured permits _______, total one- − Contractors to time application, − - Implementation of tree implement while including meetings planting around the facility the LGU and follow ups, and (at the school site) supervises the compliance with Contractors condition on disposition of the cut trees (e.g. may be requested by LGU from the DENR for use in the school to be constructed) Temporal smothering − This is a residual secondary − Presence of soil erosion − LGU or Daily operations of aquatic life due to impact of increased siltation control measures Contractor may which cannot be avoided but apply for the No additional ESMP siltation from − No fish kills due to can be lessened in gravity permits cost. Integrated in earthworks smothering thru the implementation of soil erosion control − Contractors to soil erosion control measures. implement while measures the LGU supervises the IPAC Project: ESMF Annexes Page 20 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds Contractors Temporal smothering − This is a residual secondary − Presence of soil erosion − LGU or Daily operations of aquatic life due to impact of increased siltation control measures Contractor may which cannot be avoided but apply for the No additional ESMP siltation from − No fish kills due to can be lessened in gravity permits cost. Integrated in earthworks smothering thru the implementation of soil erosion control − Contractors to soil erosion control measures. implement while measures the LGU supervises the Contractors Social Environment Obstruction of public − Provide access thru the road − Presence of alternate access − Contractor's Daily operations No additional access through the rehabilitation site by proper route project ESMP Cost: road rehabilitation scheduling of rehab works management BgyTanod to be − Allocation of space along area along the road and/or and self- provided by the road to allow passage of assigning a barangay tanod monitoring pedestrians and vehicles to LGU to handle traffic pass through during rehab − LGU/ management of pedestrian works Community- and vehicles based − Presence of barangay tanod − Provide alternate route monitoring and for traffic management assignment of − Presence of heavy traffic in barangay tanod road approach or along the for traffic road being rehabilitated management − # public complaints received by Proponent/ Contractor Increased health risk − Same measures for Water − Same parameters for Water LGU/IA and Daily operations No additional due to improper Quality to provide sanitary Quality control settlers to enter ESMP Cost – disposal or lack of facilities and waste into MOA on addressed by the − Proper timing and frequency management facilities for facilities for of barangay defogging (when ESW Mgt Water Quality construction workers; management of solid deemed necessary by the measures while IPAC Project: ESMF Annexes Page 21 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds waste and sewage − Inclusion of the LGUs) defogging is a during construction construction worker’s base standard barangay − # public complaints received camps in the barangay activity by Proponent/ Contractor defogging to eliminate disease vectors, if solid waste is observed to have accumulated to alarming levels Increased community − Provide appropriate − Presence of signages and − Contractor's Daily operations Signages cost hazards of vehicular warning signs and lighting lighting project allocation: P2,000 x accidents due to management ____SPs = P_____ − Heavy equipment to − # of accidents/ near- construction works and self- (Normally ,signages observe traffic rules accidents reported to the monitoring barangay are standard costs of − LGU/ construction works, − # of public complaint Community- so this measure based should not be monitoring attributed as an additional ESMP Cost) Exposure of workers − Schedule the construction − List of designated residents − Contractor's Daily operations, No additional to emergency or works preferably during the upslope to provide the project particularly during ESMP Cost – This hazards of flashfloods drier months information or signal. management and heavy rains. is considered self-monitoring along river − Install early warning system − Presence of system barangay volunteer to inform workers to take (procedures and timing) of − LGU/ or counterpart task, extra precaution during communication to be Community-based which is expected to unexpected rainy periods, observed by the LGU and the monitoring and happen only very e.g. a barangay resident contractors. assignment of occasionally or living upslope to send a barangay residents message on heavy rains and to provide the even rarely, possible heavy flows at the early although the headwaters. warning/signal. impacts are very Communication may be serious if the thru text or cell phone call measure is not or thru sending a messenger IPAC Project: ESMF Annexes Page 22 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds to the sub-project site. installed and not effectively done. 1.1.5.1.1 OPERATIONS AND MAINTENANCE 1.1.6 Physical: Land For irrigation SP: Leaching of soil nutrients and changes ISA will regulate use of Records on water withdrawals CIS ISA to manage From the initial No Additional in soil characteristics irrigation water and charge and distributed to the service the imposition and operation of the CIS ESMP Cost: This is due to excessive water usage fees, a area collection of water facility part of sub-project application of deterrent to excessive use usage fees institutional plan irrigation water, or of water. due to improper/excessive use of agro-chemicals 1.1.7 Physical: Hydrology Reduction of − Renew NWRB − Presence of renewed annual ISA to apply for Annual Cost of permit downstream water clearance/water permits permit from NWRB the permit renewal renewal and supply, especially annually coordination with − Records of upper watershed during peak season, − Ensure there is good upper status the DENR resulting to disruption watershed management thru annually: P5,000/yr − Records of upper watershed or deprivation of other coordination with the management activities by the water users DENR or taking initiatives DENR or the LGU in forest cover protection downstream Obstruction of water - Regular removal of debris − Absence of accumulated − IA to inventory − Measure: Designate No additional flow due to and other waste that may garbage at the check/ control list of volunteer at the start of ESMP Cost: IA aggregation of obstruct water flow gates members operation representative to be garbage at the head - Designation of local − List of IA members to do − IA to do self − Daily operations on under the volunteer works or at the check community volunteers who volunteer work on maintenance mgt. and waste mgt program will maintain the on solid waste management of IPAC Project: ESMF Annexes Page 23 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds gates/ control gates of housekeeping of the the CIS monitoring the irrigation system irrigation distribution system OMC shall designate a Obstruction of run-off − Regular removal of debris, No visible obstructions to the Weekly or monthly or No additional barangay tanod to along drainage canals logs, and other materials water flow, e.g. no debris as the need arises, ESMP cost: oversee the causing the run-off to along drainage canals so along the water flow particularly after Collection of maintenance of that no clogging occurs heavy rains flow across the road the drainage obstructions and surface, which may canals along the drainage canal lead to erosion of the road inspections are part road of the regular job description for designated barangay personnel 1.1.8 Physical: Water Quality In compliance with: WB G Environmental Health and Safety Guidelines; GOP: RA 9275 Clean Water Act; DENR AO 2005-10 Agro-chemical − Analysis of the irrigation − Records of water and soil ISA to coordinate Semi-annual or Water and soil contamination of water near the downstream analysis with the DA for annual sampling: the analysis part of DA surface and part of the service area prior sampling of the CIS controls are actually monitoring program, − Compliance to Clean Water to exit to natural waterways groundwater due to Act standards service area, or the already put in place or the DENR may be excessive or improper − Analysis of the groundwater ISA may also thru the regulation requested to sample application of within the influence of the request the DENR on the use of agro- exit points as part of fertilizers and service area to conduct chemicals and their their source pesticides in the − Periodic analysis of the soil groundwater application monitoring irrigation areas to pre-empt potential soil sampling toxicity Estimated budget for annual analysis: P500/sample x 4 quadrant sample areas x 3 sample types (surface water, groundwater and IPAC Project: ESMF Annexes Page 24 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds soil) x once a year: P6,000 annually/CIS In Compliance with: WB OP4.09 Pest Management; GOP: PD 1144 Fertilizer and Pesticide Authority regulations Increased use of agro- − Use only the agro-chemicals − List of FPA-cleared agro- ISA to coordinate Schedule of training No additional ESMP chemicals (pesticides allowed/ cleared by the Phil chemicals to be used in the with the DA on depends on the cost. Training and fertilizers) due to Fertilizer and Pesticide ______ subproject Presence IPCM Training ISA’s continuing package is integrated Authority of IPCM Program more intensive development in the Support cropping within the − Controlled and proper − Program for Farmers’ program for its Services component irrigable service area, timing of application of Training and proof of farmer beneficiaries module package. given the availability agrochemicals based on an attendance and (at least one training Integrated Pest and Crop demonstration of acquired of regular and a year is proposed) Management (IPCM) skills adequate irrigation Program which the ISA can water and improved formulate with the irrigation facilities assistance of the DA − Training of the farmers on the proper selection, dosage and timing of agro-chem applications to ensure optimum absorption by the plant and soil − Introduce the use of organic fertilizer SOCIAL ENVIRONMENT In Compliance with: WB Policies on Involuntary Resettlement, Indigenous Peoples, Gender and Development, and Public Disclosure; GOP: RA 9172 Women in Development and Nation Building; RA7160 Local Government Code, RA 7279 UDHA, RA 8371 IPRA Lack of participation − Sustain women’s − Proof* of coordination and − LGU/Proponent to Daily operations No additional ESMP of women in sub- involvement thru participation of women take the lead in cost: Part of day-to- project operation and coordination/conduct of coordination and day management of IPAC Project: ESMF Annexes Page 25 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds maintenance of the activities and facilitation of consultations, the associations sub-project some meetings in relation to particularly the the operation of the * Proof: e.g. Attendance Sheet, Municipal Social following: Minutes of Meetings, Welfare Inventory of roles and tasks Department and − OMC for access infra assumed by women the Community − Irrigators’ Service Relation Officers Association (ISA) − - ISA, BAWASA − Barangay Waterworks and and School Board Sanitation Association to handle the (BAWASA) for PWS women’s participation − School Board program for their − Local Health Office women members − Local Social Welfare Office − IP Organizations − Multi-purpose Cooperative − Other people’s associations Induce an increase in Training to ARBs on proper − Absence of soil erosion/ LGU to coordinate Based on the ARC No additional ESMP agricultural activity in land preparations and accumulation in road with DAR/DA on Cluster Development cost. Training can be previously agricultural techniques, drainage canals and training, in Plan integrated in the cost shoulders inaccessible farm especially in sloping areas consultation with for continuing areas along the newly − - Number of ARBs trained the agrarian reform development constructed or newly organizations program of the improved roads, within the ARC ARBs under IPAC which may cause Cluster Project. improper land preparations resulting to damage to road drainage and shoulder IV. ABANDONMENT PHASE IPAC Project: ESMF Annexes Page 26 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds No abandonment of the sub-project(s) (is) are programmed since the Operations and Maintenance Phase is considered to sustain the life and utility of the sub-projects, unless natural catastrophic events such as anomalous magnitude of earthquake or flooding destroys the facility beyond use. In this case, the engineering and design of the replacement facilities will integrate and handle the demolition of the damaged structures. The LGU (Proponent FO) of _____________________ is confirming its willingness and commitment to allocate funds for the abovementioned ESMP cost. Prepared by: _____________________________________ ________________ Municipal Planning and Development Officer Date Signed Endorsed by: ______________ _______________ Municipal Mayor Date Signed Reviewed and Endorsed to CPO for Approval: _______________________________ _______________ DAR Regional Director/Regional Project Manager Date Signed Reviewed and Approved by: _____________________________ ______________ Environmental Specialist, IPAC Date Signed IPAC Project: ESMF Annexes Page 27 ANNEX 3A GUIDANCE ON WB SAFEGUARD POLICY ON SAFETY OF DAMS (OP 4.37) AND ESMP TEMPLATE FOR SMALL DAMS The Bank OP 4.37 shall be triggered for water impoundment and similar water reservoirs. Most of the guidelines for mini- dam projects are in the template Environmental Management Plan and the Environmental Codes of Practice in previous Annexes. Occupational health and safety measures are also incorporated in the ECOPs above. This Annex provides additional guidance in addressing the Bank OP 4.09 and BP 4.37 and its Annex A. On the other hand, the Department of Environment and Natural Resources has environmental requirements for dams based on reservoir flooded area and water storage capacity and power facilities based on total power production capacity. The borrower and the sub- borrowers shall comply with these guidelines. . A. WB OP 4.37 – Safety of Dams (Revised April 2012) 1. For the life of any dam, the owner1is responsible for ensuring that appropriate measures are taken and sufficient resources provided for the safety of the dam, irrespective of its funding sources or construction status. Because there are serious consequences if a dam does not function properly or fails, the Bank2is concerned about the safety of new dams it finances and existing dams on which a Bank- financed project is directly dependent. Small Dams 2. The IPAC project will only finance small dams as defined under OP 4.37. The Bank distinguishes between small and large dams. (a) Small dams are normally less than 15 meters in height. This category includes, for example, farm ponds, local silt retention dams, and low embankment tanks. 3. For small dams, generic dam safety measures designed by qualified engineers are usually adequate. The task team will agree on appropriate safety measures with the Borrower, will ensure the involvement of qualified engineers, and will confirm that the environmental assessment (EA) for the project has determined that there would be no risk or negligible risk of significant adverse impacts due to potential failure of the structure to local communities and assets, including assets to be financed as part of the proposed project. Based on such determination potential adverse impacts would be addressed through OP/BP 4.01, Environmental Assessment and not OP/BP 4.37, and measures will be included in the Environmental Management Plan or Environmental and Social Management Framework, as applicable, in accordance with OP/BP 4.01, Environmental Assessment . IPAC Project: ESMF Annexes Page 28 Definition of New and Existing Dams and Dams under Construction 4. When the Bank finances a project that includes the construction of a new dam, it requires that the dam be designed and its construction supervised by experienced and competent professionals. It also requires that the borrower adopt and implement certain dam safety measures for the design, bid tendering, construction, operation, and maintenance of the dam and associated works. 5. The Bank may finance the following types of projects that do not include a new dam but will rely on the performance of an existing dam or a dam under construction (DUC): power stations or water supply systems that draw directly from a reservoir controlled by an existing dam or a DUC; diversion dams or hydraulic structures downstream from an existing dam or a DUC, where failure of the upstream dam could cause extensive damage to or failure of the new Bank- funded structure; and irrigation or water supply projects that will depend on the storage and operation of an existing dam or a DUC for their supply of water and could not function if the dam failed. Projects in this category also include operations that require increases in the capacity of an existing dam, or changes in the characteristics of the impounded materials, where failure of the existing dam could cause extensive damage to or failure of the Bank-funded facilities. 6. If such a project, as described in para. 7, involves an existing dam or DUC in the borrower's territory, the Bank requires that the borrower arrange for one or more independent dam specialists to (a) inspect and evaluate the safety status of the existing dam or DUC, its appurtenances, and its performance history; (b) review and evaluate the owner's operation and maintenance procedures; and (c) provide a written report of findings and recommendations for any remedial work or safety-related measures necessary to upgrade the existing dam or DUC to an acceptable standard of safety. 7. The Bank may accept previous assessments of dam safety or recommendations of improvements needed in the existing dam or DUC if the borrower provides evidence that (a) an effective dam safety program is already in operation, and (b) full-level inspections and dam safety assessments of the existing dam or DUC, which are satisfactory to the Bank, have already been conducted and documented. 8. Necessary additional dam safety measures or remedial work may be financed under the proposed project. When substantial remedial work is needed, the Bank requires that (a) the work be designed and supervised by competent professionals, and (b) the same reports and plans as for a new Bank-financed dam be prepared and implemented. For high-hazard cases involving significant and complex remedial work, the Bank also requires that a panel of independent experts be employed on the same basis as for a new Bank-financed dam. 9. When the owner of the existing dam or DUC is an entity other than the borrower, the borrower enters into agreements or arrangements providing for the measures to be undertaken by the owner. C. DENR REQUIREMENTS FOR SMALL DAMS IPAC Project: ESMF Annexes Page 29 10. The Revised Procedural Manual for DENR Administrative Order No. 03-30 or the Implementing Rules and Regulations of PD 1586 or the Philippine Environmental Impact System have the following requirements: Group II – Non-Environmentally Critical Projects (non-ECPs) in Environmentally Critical Areas (ECAs). An Initial Environmental Examination Report (IEER) is required for minor dams with a reservoir flooded area less than 25 ha of reservoir flooded area and less than 20 million cu. M. of water storage capacity. Template of Environment and Social Management Plan for Small Dams Project Phase Valued Eco Potential Impact Mitigation Measures Institu- Preparation/ Costs system tional Monitoring Component Responsi- Schedule bility Project Siting/ Project Change in • Prepare a Project Development Master Plan and Site Proponent Feasibility study FS cost Planning development and original Management and Rehabilitation Plan (FS) Site conditions conditions Land Change in land • Consult the zoning plans and regulations of the concerned Proponent Feasibility study FS cost use local government units (FS) affecting farming • Conduct proper valuation of assets and resources that will and other be damaged or lost and provide proper compensation for traditional uses of these the land Land Land disturbance • Control installations and measures- Map the existing topography and Proponent Feasibility study FS cost changes to the landform for each segment for protection. (FS) Map should identify areas which are easily erodible, such as highly erodible soils, steep slopes, haul roads or bare areas and prepare protection measures. Soils and Sediment run-off • Design of soil protection measures Proponent Feasibility study FS cost hdyrogeology (FS) Water Possible loss of • During the site selection process, take into account the Proponent Feasibility study FS cost aquatic, wetland value of the area to be flooded. (FS) or terrestrial habitat due to Water Alteration of During the site selection process, choose site that will Proponent Feasibility study FS cost water flows require no or minimum diversion of water flows (FS) IPAC Project: ESMF Annexes Page 30 Physical Cultural Loss of historical, • During site selection, avoid sites with historical, archeological Proponent Feasibility study FS cost Resources archeological and cultural value or occupied by tribal/indigenous people (FS) and cultural • In site selection, consult the Philippines National Museum- resources, Cultural Properties Division and their maps to determine areas displacement with possible historical, archeological and cultural value, so as to of indigenous avoid these groups • P r o p e r r elocation of the tribal/indigenous group, if inevitable, on areas where they can retain their lifestyle and customs, with adequate compensation will be provided for resources & livelihoods • PCR management plan in ESMP when PCR identified IPAC Project: ESMF Annexes Page 31 Project Phase Valued Eco Potential Impact Mitigation Measures Institutional Preparation/ Costs system Responsibility Monitoring Component Schedule Project People Displacement of people • Relocation of people to a suitable area Proponent Feasibility FS cost Siting/Planning living within the site where • Proper compensation will be provided for study (FS) the facility will be the resources lost constructed Landscape Visual impact thus affecting • During site selection process, consider the Proponent Feasibility FS cost tourism and decreasing the aesthetic value of the area – avoid study (FS) aesthetic value of the area environmentally critical areas. • Consult the DENR to determine no go zones such as critical natural habitats. For environmentally critical areas ensure that site is within buffer zone Ecology Loss of important fish and • During site selection process, avoid Proponent Feasibility FS cost other aquatic species sites are natural habitats for important study (FS) endemic fish and other aquatic species Project Design Environmental Pollutant emissions • Select the proper equipment and the best Proponent Feasibility FS cost quality available technology for controlling pollution study (FS) emissions that will be able to comply with the Philippine Clean Air Act and the Clean W ater Act and national air and water quality standards/guidelines set by DENR Environmental Noise generation • Design the power plant to reduce noise to Proponent Feasibility FS cost quality acceptable limits (for residential areas 50 study (FS) decibels at peak hours and 40 decibels during the wee hours in the morning) outside the perimeter of the power plant • Sound proofing of the generator housing Landscape Environmental aesthetics • The design of the facility should Proponent Feasibility FS cost consider the preservation of study (FS) environmental aesthetics Ecology Disturbance of vegetation • In designing the route of Proponent Feasibility FS cost and wildlife due to habitat transmission lines and access roads, take into study (FS) loss consideration the location of IPAC Project: ESMF Annexes Page 32 Project Phase Valued Ecosystem Potential Impact Mitigation Measures Institutional Monitoring Costs Component Responsibility Schedule sensitive or valuable ecosystems Proponent Detailed DED cost Project Design • Use of existing roads, alignment EngineeringDe selection and planning and reforestation sign (DED) Ecology Fish injuries caused by The design of the small dam must be such Proponent DED DED cost passing through the that fish must not be ingested into the turbine or any sharp part turbine (so the mesh of the trashrack must of the structure; be fine enough) and there must be a water obstruction to movement passage by-passing the facility (fish by- of aquatic life resulting to pass) at all times so that fish can migrate up loss of aquatic species or downstream • To enable fish to pass upstream, the construction of a fish ladder might be needed, e.g., a series of pools one above the other, with water overflowing from the higher ones to the lower ones to enable fish to jump up from one pool to the next Land Buffer zone • Mark out an adequate buffer zone as per Proponent DED DED cost DENR and local government regulations to prevent nuisances/damages to nearby communities and properties Water Siltation that can cause • • Design the intake in such a way as to Proponent DED DED cost blockage of the flow and avoid silt being deposited around it, which diversion of the would impede the flow to the turbine river/stream and damage • Incorporate settling basins into the to the penstocks, valves, headrace channel in order to prevent and sluice gates of the small remove silt being deposited around the dam intake Water Water quality: thermal • N/A for small dams without reservoirs Proponent DED DED cost stratification, turbidity • Selective or multi-level water intakes or and temperature structures for re-oxygenation downstream of changes, oxygen the reservoir depletion and anoxic waters IPAC Project: ESMF Annexes Page 33 Project Phase Valued Potential Impact Mitigation Measures Institutional Monitoring Costs Ecosystem Responsibility Schedule Component Water Loss/creation of aquatic • Design consideration of the facility Proponent DED DED cost Project Design habitat due to altered thermal regime Water Competition for water use • If the river is also used for irrigation, the Proponent DED DED cost design of the mini- facility must allow for water to be removed from the river for crop irrigation • The design of the weir and intake structures must allow the diversion of the correct water river flow volume whether the river is in low or high flow condition. • Payment of compensation for adversely affected water users of the same river used for the mini-dam facility. IPAC Project: ESMF Annexes Page 34 Project Land • Solid wastes and toxic • Compliance with RA 9003 for solid Proponent w/ DED Construct- Construction and hazardous wastes from wastes contractor ion cost construction, e.g., grease, oil, etc • Set-up temporary disposal mechanism within the construction area and properly • Possible generation of dispose the generated solid wastes domestic waste due to temporary quarters or • Contactor and its workers to observe barracks and field office built proper housekeeping, sanitation and waste for construction workers minimization. • Compliance with RA 6969 for toxic and hazardous wastes • All hazardous (ignitable, reactive, flammable, radioactive, corrosive and toxic) materials must be stored in clearly labeled containers or vessels IPAC Project: ESMF Annexes Page 35 Project Phase Valued Potential Impact Mitigation Measures Institutional Monitoring Costs Ecosystem Responsibility Schedule Component • Fire prevention systems and secondary Proponent w/ Contractor’s Construct- Project containment should be provided for contractor Monthly report ion cost Construction storage facilities to prevent fires or the release of hazardous materials to the environment • Proper disposal of domestic waste will be observed by the proponent and contractors Environmental Accumulation of solid • Proper disposal of the generated solid Proponent w/ Contractor’s Construct- quality wastes (vegetation) wastes will be observed contractor Monthly report ion cost from • Recover merchantable timbers clearing and Air Dust generation during • Sprinkling of water on roads and site to Proponent w/ Contractor’s Construct- land minimize dust contractor Monthly report ion cost preparation activities (i.e. excavation works and Ecology Disturbance of vegetation • All clearing activities will be carried out in a Proponent w/ Contractor’s Construct- manner such that damage or disruption to contractor Monthly report ion cost vegetation is minimized. • All trees that will be cut will be properly compensated • Relevant permits will be secured from concerned agencies prior to cutting • Recover merchantable timbers • Reforestation within the periphery of the facility Ecology Disturbance of wildlife and • A “No Hunting” policy from the contractor to Proponent w/ Contractor’s Construct- rare and minimize the potential increase for wildlife contractor Monthly report ion cost endangered hunting and poaching due to temporary species increase of workers in the area • Avoid areas that are considered as environmentally critical areas IPAC Project: ESMF Annexes Page 36 Project Phase Valued Potential Impact Mitigation Measures Institutio Monitoring Costs Ecosystem nal Schedule Component Responsi bility Noise control Noise associated with • Noisy activities will be limited during the Proponent w/ Contractor’s Construct- Project blasting, land clearing daytime to avoid annoyance to community. contractor Monthly report ion cost Construction and preparation • Proper scheduling of noisy construction activities during day time. • Use mufflers for noisy equipment • Use blasting mats, noise silencers • Use warning devices for blasting activities Environmental Soil and/or groundwater • Compliance with national laws, e.g., RA 6969 Proponent w/ Contractor’s Construct- quality pollution due to routine and related laws and international regulations contractor Monthly report ion cost and accidental release of concerning hazardous materials such as the chemicals/pollutants IFC Hazardous Materials Management, for materials like used batteries (storage, processing, disposal, transportation) Environmental Spoils from excavation • Proper disposal of solid wastes and proper Proponent w/ Contractor’s Construct- quality works and housekeeping will be initiated by the proponent contractor Monthly report ion cost construction and contractors materials Land Erosion caused by building • Employ slope stabilization methods on areas Proponent w/ Contractor’s Construct- roads or structures of steep slope contractor Monthly report ion cost on steep slope • Employ safety measures to minimize erosion and increased • Establishment of sediment traps sedimentation from digging activities. Landscape The natural landscape of • Reforestation of areas to replace those taken Proponent w/ Contractor’s Construct- the project site will be up by the construction of the access roads, the contractor Monthly report ion cost altered. dam facility and ancilliary facilities Ecology Loss of aquatic habitat due • Avoid or reduce construction activities during Proponent w/ Contractor’s Construct- to excavation work breeding or spawning seasons of sensitive contractor Monthly report ion cost in watercourses species IPAC Project: ESMF Annexes Page 37 Project PhaseValued Potential Impact Mitigation Measures Institutional Monitoring Costs Ecosystem Responsibility Schedule Component Project Environmental Threat to public health if • A Solid W aste Management Plan which Proponent Quarterly Operation Operation quality domestic solid waste includes recycling, proper housekeeping and self- & generated from the waste disposal will be formulated and monitoring maintenan operation not properly implemented. report ce (O&M) disposed of. cost Water Upon transformation into an • Addition of re-oxygenation devices downstream Proponent Quarterly O&M cost impoundment, there is of water impoundment self- possible reduction of monitoring capacity for self-cleaning of report the water (oxygen depletion, increase in nutrient content) Water Drying out of riverbed • Ensure water level is maintained to keep Proponent Quarterly O&M cost between the intake and riverbed submerged at all times self- the outlet monitoring Water • W ater pollution by • Effluent will be treated in a Proponent Quarterly O&M cost domestic effluent from the conventional septic system self- administration building. • Treat domestic effluents in an adequate septic monitoring • W ater pollution due tank system (at least report to emission of 3-chambers) pollutants during • Provide adequate wastewater operation and treatment facilities maintenance practices Water it Potential change of • Regular cleaning of the settling pond will be Proponent Quarterly O&M cost sedimentation; conducted to prevent siltation and to remove self- flowing water in the large organic debris before any incipient monitoring river may carry small decomposition occurs. report sediments that can • Remove sediments before the water enters cause accumulation the penstock of organic matter and acidification of waters Environmental Accumulation of • Employ measures to avoid accumulation of Proponent Quarterly O&M quality floating debris at the floating debris at the intake. self- cost intake • Regular removal of floating debris at the monitoring intake. report IPAC Project: ESMF Annexes Page 38 Project Phase Valued Potential Impact Mitigation Measures Institutional Monitoring Costs Ecosystem Responsibility Schedule Component Water There will be competition • Planning and management of facility in Proponent Quarterly O&M cost Project on water resource as a context of regional development plans self- Operation result of the plant • Compensation to be given for negative monitoring operation. impacts report Water Sudden change in • Employ best known operation Proponent Quarterly O&M cost volume of water flow due practices to minimize surges. self- to • Manage flow regime or spillway during monitoring intermittent operation of downstream movement of migratory fish. report the scheme resulting to loss in aquatic life Water Loss of aquatic habitat due • N/A if there is no impoundment Proponent Quarterly O&M cost to flushing of the • Provision and implementation of flushing self- impoundment and de- guidelines monitoring watering of basins report and channels during maintenance work Water Possible loss of aquatic, • Generally, low dams that allow no or limited Proponent Quarterly O&M cost wetland and/or storage capabilities will produce none or self- terrestrial habitat due to minimal flooding. monitoring flooding • N/A for run-of-river facilities with low dams report that allow no or limited storage capabilities and will produce none or minimal flooding • Proper management of reservoir water levels • Establish and maintain minimum levels of water flow. Water Obstruction to movement of • Include fishway or by-pass or other Proponent Quarterly O&M cost aquatic life resulting to structures that will aid in fish migration/ self- loss of aquatic species movement monitoring report IPAC Project: ESMF Annexes Page 39 Water Fish injuries caused by • Incorporate in the design of the facility Proponent Quarterly O&M cost passing through the features that will minimize injury or loss of self- turbine or any sharp part aquatic species monitoring of the structure report Project Water • Contamination of soil • Decommissioning plan must be in place. Proponent Environment O&M cost Decommissioni and water due to Structures and used equipment must be ng/ al Completion abandoned structures dismantled and disposed of properly to allow Abandonment and equipment. free flow of water report • Solid waste from demolition of buildings or used equipment. • Flooding due to blocking of abandoned dam. IPAC Project: ESMF Annexes Page 40 ANNEX 3B Inclusive Partnerships for Agricultural Competitiveness (IPAC) Project Environmental and Social Management Plan (ESMP) For Construction/Rehabilitation of Farm to Market Road NAME OF SUBPROJECT : __________________________________ PROJECT LOCATION : __________________________________ PROPONENT : ___________________________________ PROJECT DESCRIPTION : The subproject involves the construction/rehabilitation of ____ kilometers of _____________________ Farm to Market Road with the following activities: Item No. Scope of Work Quantity Unit We are committed to: • Comply with existing rules, regulations, guidelines and criteria; • Comply all mitigating measures necessary to minimize negative impacts and address enhancement measures to maximize positive impacts; and • Properly inform the contractor, residents of the barangay and other stakeholders on the commitments or agreements in connection with the subproject. IPAC Project: ESMF Annexes Page 41 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts 1.0 PRE-CONSTRUCTION PHASE (Social Preparation, Land/ROW Acquisition and Damage Compensation, Hiring, Procurement) In Compliance with: WB Policies on Involuntary Resettlement, IPs, Gender and Development and Public Disclosure; GOP: RA 7192 Women in Development Nation Building: RA 7160 Local Government Code, RA 7279 UDHA, RA 8371 IPRA and RA 8974 on ROW 1.1 Planning and Enhanced Hold consultative meetings Proof of prior coordination, LGU/proponent to take the Both measures and Consultative Meetings to design of road stakeholder with equal representation of consultation, participation lead in coordination and monitoring to be done be held about 3x prior to construction/ participation men and women, with project in various stages of the consultations, particularly, as follows: construction rehabilitation beneficiaries and affected subproject starting from the Municipal Social • During sub-project PhP 50/meeting x 50 persons on the sub-project planning activities to Welfare Department and conceptualization pax/mtg x 3 meetings x 2 construction plan, operation operation and maintenance: the Community Relation and initial design sectoral groupings (one and management plans and • General community Officers • Prior to finalization general, one women) x __ of the subproject the corresponding • Focused women’s barangays = PhP _____ design environmental management groups *Proof: e.g. Attendance • Prior to consultation plan. Prior coordination and Sheet, Minutes of consultation with women’s Meetings, copy of groups Presentation Materials (to validate content and coverage of disclosure/consultation) 1.2 Land or ROW Damages to crops Disclosure of WB Involuntary Proof of prior consultation LGU to facilitate the Consultative meetings for All activities to be acquisition and other Resettlement and and disclosure on WB/GOP consultations, disclosure, disclosure and package implemented prior to structures compensation guidelines, e.g. guidelines for preparation of drafting to be held about construction market value as basis for compensation compensation packages and 2x prior to consultation. pricing of land or crops and payment of compensation other properties PhP50/meeting x 50 pax/mtg x 2 meetings x Prepare compensation Presence of compensation ___ barangays or sectors = package for land or ROW package PhP _________ acquisition, and/or crop damage compensation, based Proof of on prior consultation with compensation/payment project-affected persons before construction works IPAC Project: ESMF Annexes Page 42 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts Secure Deed of Donation or Quit Claim on land/other properties Payment of compensation prior to construction works 1.3 Hiring of Increased Giving hiring preference to Proof of local residence, LGU to facilitate Prior to construction No additional ESMP cost construction employment qualified local community e.g. Community Tax arrangements for local for hiring from the locality workers/laborers opportunity and residents, particularly those Certificate (CTC) or hiring community income who will be displaced certificate of residence issued by the barangay Entry of external captain workforce 1.4 Procurement of Possible illegal or Procure construction materials Presence and validity of LGU Municipal Project Every procurement No additional ESMP cost, construction unauthorized from sources with valid environmental permits Office (MPO) activity prior to as this requirement is part materials sourcing of environmental sources i.e. for and/or license of sources of construction of the Standard Operating construction sand and gravel, from those construction materials; to Procedure in the WB/GOP materials with DENR-MGB/EMB be monitored prior to award Procurement Guidelines permits; for timber resources, to every contractor from those with valid DENR- FMD/EMB permits 2.0 CONSTRUCTION PHASE (Mobilization, Construction Proper, Demobilization) Physical Environment: Land IPAC Project: ESMF Annexes Page 43 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts 2.1Construction/ Destabilization of Schedule the construction Presence of erosion control, Contractor to include in Erosion control and Vegetative stabilization Rehabilitation of slopes and soil works during the relatively slope stabilization and their bids the estimate of stabilization measures estimate: PhP _____kms of erosion due to drier months protection structures in the stabilization and erosion shall be implemented 5,000/hectare * Farm to Market earthworks site control measures simultaneously with __subprojects = PhP Road construction works ___/ha River bank erosion Implement appropriate Absence of massive erosion Contractor to implement due to earthworks erosion control, slope induced by the construction and the LGU to supervise No additional ESMP cost along rivers stabilization and protection works the contractor for mechanical or measures through riprapping engineering measures for on critical sections soil erosion control and slope stabilization, as Vegetative stabilization of the these are integrated in sub- sloping areas project design and cost for roads with critical slope In slopes and other suitable places along the roadside, trees and grass should be planted. On sections with high filling and deep cutting their slopes should be covered by stone walls and planted with grass. Accumulation of Scrapping, removal & rubbish materials disposal of rubbish & foreign along the roadway materials to the dumpsite of as a result of the municipality. clearing & grubbing operations. Loosening of top Compaction of topsoil as soil due to the required by the specifications. removal of excess earth materials along the roadway. IPAC Project: ESMF Annexes Page 44 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts Existence of Hauling, spreading & slightly low lying compacting of filling areas along the materials from earth cuts. road sections Hauling, spreading & compacting of filling materials from borrow pits to fill in low laying areas. Muddy, soft, Hauling, spreading and unstable road compacting sub-base & foundation. surface materials at ___mtrs. thick each from ______to Sta. ____. Hardly passable Provision of PCCP with____ section along m thick Sta._____ to Sta._____ Exposure of soil Planting of trees or plants (i.e. on the side of the vetiver) that will mitigate road due to erosion clearing operation, resulting to erosion Physical Environment: Hydrology IPAC Project: ESMF Annexes Page 45 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts Obstruction of Leave enough channel for Presence of culverts Contractor to implement Daily operations No additional ESMP cost; natural and unobstructed river flow properly placed along while the LGU supervises drainage and installation redirected flow of natural drainage paths the contractor of culverts are integrated water during Follow natural drainage paths in the subproject cost, construction works when constructing road being part of the standard along roads and drainage canals and installing design. flood control culverts works Over flooding of Provision of ___ lines the road due to (____dia RCPC) along the excessive roadway as indicated in the accumulation of plan. rainwater Provision of __ units Junction Box and ___ Units Outfall/Headwalls to convey rainwater to RCPC and drainage Damage to some Provision of ____ lin. meters road sections due of lined canal at strategic to undefined location along the roadway waterway Physical Environment: Water Quality In compliance with: WBG Environmental Health and Safety Guidelines; GOP: RA 9275 Clean Water Act: DENR AO 2005-10 Increase in total Same measures to control soil Presence of soil erosion Contractors to implement Daily operations No additional ESMP cost. suspended solids, erosion control measures while the LGU supervises Silt trap may be installed browning and only as needed, IPAC Project: ESMF Annexes Page 46 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts turbidity of the Supplemental measure along Temporal/Short-term supplemental to the soil receiving water the river, if needed; silt traps browning or turbidity of the erosion control measures. body due to soil to minimize downstream river Will only need voluntary erosion/increase in siltation community labor or run-off from No. of Public complaints construction workers may construction sites Limestone and coal ash received by devote certain number of should be stacked together, proponent/contractor hours for the task. The fenced by bricks or an earth materials,e.g. rocks may wall, and kept away from be sourced around the water subproject site. In sections along the river, earth and stone should be properly disposed of so as not to block rivers or cause adverse impacts on water quality All justifiable measures will be taken to prevent the water produced in construction from entering into rivers and irrigation systems Increase in BOD Provision of sanitary facilities Presence of sanitary and Contractor to implement Daily operations No additional ESMP cost load and debris in to workers waste while the LGU supervises if rental or construction of the water body due segregation/containment the contractor bunkhouse or base camp to improper Provision of garbage facilities facilities includes the sanitary and disposal of sanitary to workers to allow them to waste disposal facilities and solid waste segregate, and properly No indiscriminately (Php 5,000/sp x ___sps = from the worker’s dispose biodegradables from scattered solid waste PhP _____ base camp non-biodegradables Drinking water should meet DENR standards IPAC Project: ESMF Annexes Page 47 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts Contamination by Provide oil and grease traps No visible oil and grease Contractor to implement Daily operations Nil cost of improvised oil and grease and upstream of any run-off film on water bodies while the LGU supervises temporary ring canals fuel spills from discharge from the subproject the contractor around area of storage of heavy equipment to the water bodies No. of public complaints fuel drum containers of and storage areas received by fuel: PhP5,000 x ___sp = Provide ring canals around proponent/contractor PhP_____ fuelling tanks/motor pool/maintenance areas Collect used oils in containers and sell to licensed recyclers Physical Environment: Air Quality In compliance with: WBG Environmental Health and Safety Guidelines; GOP: RA 8749 Clean Air Act; DENR AO 200-81; PD 984 Pollution Control Act – Noise Levels (DENR/LLDA/ARMM regulation) Increase in Minimize night-time Qualitative ambient noise Contractor to implement Daily operations Water spraying, only suspended dust construction activities levels within residential while the LGU supervises when needed particles along standards (based on the contractor unpaved roads, and Wet areas of dust sources to comparative levels of sound obnoxious gas and minimize discomfort to in the natural environment) particulate nearby residents emissions and Presence of truck cover noise levels from Control of vehicle speed to during deliveries heavy equipment lessen suspension of road dust operations within Records of M&R of the vicinity of the Delivery equipment should be equipment construction and covered with tarpaulin sheets along the transport or any equivalent Records of annual route of the heavy registration of vehicle equipment Regular M&R of equipment No. of people’s complaints Contractor to present proof of on disturbance caused by IPAC Project: ESMF Annexes Page 48 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts compliance with emission construction at a level standards as part of the annual disrupting their normal vehicle registration process level of activities Provision of masks to construction workers Provision of ear mufflers to operators of heavy equipment Exhaust mufflers of heavy equipment must be clean and provided with silencers Social Environment Obstruction of Provide access thru the road Presence of alternate access Contractor’s project Daily operations No additional ESMP cost; public access construction/ rehabilitation route management and self- barangay tanod to be through the road site by proper scheduling of monitoring provided by the LGU construction/ construction/rehab works Allocation of space along rehabilitation area along the road and/or road to allow passage of LGU/community-based assigning a barangay tanod to pedestrians and vehicles to monitoring and assignment handle traffic management of pass through during rehab of barangay tanod for pedestrian and vehicles works traffic management Provide alternate routes Presence of barangay tanod LGU/community-based Daily operations for traffic management monitoring Presence of heavy traffic in Contractor’s project road approach or along the management and self- road being constructed/ monitoring rehabilitated IPAC Project: ESMF Annexes Page 49 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts No. of public complaints received by proponent/contractor Same parameters for water quality control Increased health Provide sanitary facilities and Proper timing and LGU to enter into MOA on Daily operations risk due to waste management facilities frequency of barangay solid waste management improper disposal for construction workers defogging (when deemed or lack of facilities necessary by the LGUs) for management of Inclusion of the construction No additional ESMP Cost solid waste and worker’s base camps in the No. of public complaints – addressed by the water sewerage during barangay defogging to received by quality measures while construction eliminate disease vectors, if proponent/contractor defogging is a standard solid waste is observed to barangay activity have accumulated to alarming levels Increased Provide appropriate warning Presence of signages and Contractor’s project Daily opertions Signages cost allocation: community signs, lighting and barricades, lighting management and self- PhP2,000 x ____sps = hazards of whenever practicable monitoring PhP ___ (Normally, vehicular accidents No. of accidents/near signages are standard due to construction Heavy equipment to observe accidents reported to the LGU/community-based costs of construction works traffic rules barangay monitoring works, so this measure should not be attributed as Restrict work operations No.of public complaint an additional ESMP cost). during daytime only Drivers and heavy equipment operators shall operate heavy equipment at reduced speed Proper information dissemination on the affected areas IPAC Project: ESMF Annexes Page 50 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts Exposure of Schedule the construction List of designated residents Contractor’s project Daily operations, No additional ESMP cost- workers to works preferably during the upslope to provide the management and self- particularly during this is considered emergency or drier months information or signal monitoring heavy rains barangay volunteer or hazards of counterpart task, which is flashfloods along Install early warning system Presence of system LGU/community-based expected to happen only river to inform workers to take (procedures and timing of monitoring very occasionally or even extra precaution during communication to be rarely, although the unexpected rainy periods, e.g. observed by the LGU and impacts are very serious if a barangay resident living the contractor the measure is not upslope to send a message on installed and not heavy rains and possible effectively done. heavy flows at the headwaters Communication may be thru text or cell phone call or thru sending a messenger to the subproject site 2.2 Training and Haphazard Provide adequate training to Training and proof of IPAC Project/LGU Schedule of training No additional ESMP cost. Seminar implementation subproject implementers attendance and depends on the Training package is of SPs demonstration of acquired schedule of subproject integrated in the Support skills implementation Services Component Low quality of Provide adequate quality package. constructed control training to LGU and infrastructure PPO staff Lack or improper Lack or improper maintenance maintenance of of completed SPs completed SPs 2.3 Monitoring and Substandard Close monitoring and Monitoring report IPAC Project/LGU Daily operations No additional ESMP cost. supervision of quality of supervision of the work of the This is part of subproject subproject constructed contractor using the project cost. implementation subproject management tools IPAC Project: ESMF Annexes Page 51 Subproject/Activities/ Possible Mitigating / Monitoring Parameter Responsible Agency / Unit Implementation Cost of Mitigation (Php) Components Environmental EnhancementMeasures Schedule Effects/Impacts 3. ABANDONEMENT PHASE No abandonment of the subproject(s) are programmed since the Operations and Maintenance Phase is considered to sustain the life and utility of the subprojects, unless natural catastrophic events such as anomalous magnitude of earthquake or flooding destroys the facility beyond use. In this case, the engineering and design of the replacement facilities will integrate and handle the demolition of the damaged structures. The LGU (Proponent FO) of _____________________ is confirming its willingness and commitment to allocate funds for the abovementioned ESMP cost. Prepared by: _____________________________________ ________________ Municipal Planning and Development Officer Date Signed Endorsed by: ______________ _______________ Municipal Mayor Date Signed Reviewed and Endorsed to CPO for Approval: _______________________________ _______________ DAR Regional Director/Regional Project Manager Date Signed Reviewed and Approved by: _____________________________ ______________ Environmental Specialist, IPAC Date Signed IPAC Project: ESMF Annexes Page 52 ANNEX 3C Inclusive Partnerships for Agricultural Competitiveness (IPAC) Project Environmental and Social Management Plan (ESMP) For Construction/Rehabilitation of Bridges NAME OF SUBPROJECT : __________________________________ PROJECT LOCATION : __________________________________ PROPONENT : ___________________________________ PROJECT DESCRIPTION : Item No. Scope of Work Quantity Unit We are committed to: • Comply with existing rules, regulations, guidelines and criteria; • Comply all mitigating measures necessary to minimize negative impacts and address enhancement measures to maximize positive impacts; and • Properly inform the contractor, residents of the barangay and other stakeholders on the commitments or agreements in connection with the subproject. IPAC Project: ESMF Annexes Page 53 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures 2.0 PRE-CONSTRUCTION PHASE (Social Preparation, Land/ROW Acquisition and Damage Compensation, Hiring, Procurement) In Compliance with: WB Policies on Involuntary Resettlement, IPs, Gender and Development and Public Disclosure; GOP: RA 7192 Women in Development Nation Building: RA 7160 Local Government Code, RA 7279 UDHA, RA 8371 IPRA and RA 8974 on ROW 1.1 Planning and Enhanced Hold consultative Proof of prior LGU/proponent to Both measures Consultative design for stakeholder meetings with equal coordination, take the lead in and monitoring to Meetings to be held bridge participation representation of men consultation, coordination and be done as about 3x prior to construction/ and women, with project participation in consultations, follows: construction rehabilitation beneficiaries and various stages of the particularly, the • During sub- affected persons on the subproject starting Municipal Social project PhP 50/meeting x 50 sub-project construction from planning Welfare Department conceptualizatio pax/mtg x 3 meetings plan, operation and activities to operation and the Community n and initial x 2 sectoral design management plans and and maintenance: Relation Officers groupings (one • Prior to the corresponding • General finalization of general, one women) environmental community the subproject x __ barangays = PhP management plan. • Focused women’s design _____ groups • Prior to *Proof: e.g. consultation Prior coordination and Attendance Sheet, consultation with Minutes of Meetings, women’s groups copy of Presentation Materials (to validate content and coverage of disclosure/ consultation) Proof of local All activities to be 1.2 Hiring of Increased Giving hiring preference LGU to facilitate No additional ESMP residence, e.g. implemented prior construction employment to qualified local arrangements for local cost for hiring from Community Tax IPAC Project: ESMF Annexes Page 54 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures workers/laborers opportunity and community residents, Certificate (CTC) or hiring to construction the locality community particularly those who certificate of residence income will be displaced issued by the barangay captain Entry of external workforce 1.3 Procurement Possible illegal Procure construction Presence and validity LGU Municipal Prior to No additional ESMP of or unauthorized materials from sources of environmental Project Office (MPO) construction cost, as this construction sourcing of with valid environmental permits and/or license requirement is part of materials construction sources i.e. for sand and of sources of Every the Standard materials gravel, from those with construction materials; procurement Operating Procedure DENR-MGB/EMB to be monitored prior activity prior to in the WB/GOP permits; for timber to award to every construction Procurement resources, from those contractor Guidelines with valid DENR- FMD/EMB permits 2.0 CONSTRUCTION PHASE (Mobilization, Construction Proper, Demobilization) Physical Environment: Land IPAC Project: ESMF Annexes Page 55 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures 2.1Construction/ River bank Implement appropriate Presence of erosion Contractor to include Erosion control No additional ESMP Rehabilitation erosion due to erosion control, slope control, slope in their bids the and stabilization cost for mechanical of _____linear earthworks stabilization and stabilization and estimate of measures shall be or engineering meters of along rivers protection measures protection structures in stabilization and implemented measures for soil bridge through rip rapping on the site erosion control simultaneously erosion control and critical sections measures with construction slope stabilization, as Absence of massive works these are integrated in erosion induced by the Contractor to sub-project design construction works implement and the and cost for roads LGU to supervise the with critical slope contractors Physical Environment: Hydrology Obstruction of Leave enough channel Presence of culverts Contractor to Daily operations No additional ESMP natural and for unobstructed river properly placed along implement while the cost; drainage and redirected flow flow natural drainage paths LGU supervises the installation of of water during contractor culverts are construction integrated in the works subproject cost, being part of the standard Potential Proper stockpiling of design. siltation and spoils (on flat areas and sedimentation away from drainage No additional ESMP of nearby routes) cost. bodies of water IPAC Project: ESMF Annexes Page 56 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures Physical Environment: Water Quality In compliance with: WBG Environmental Health and Safety Guidelines; GOP: RA 9275 Clean Water Act: DENR AO 2005-10 Increase in Same measures to Presence of soil Contractors to Daily operations No additional ESMP total suspended control soil erosion erosion control implement while the cost. Silt trap may be solids, measures LGU supervises installed only as browning and Supplemental measure needed, supplemental turbidity of the along the river, if Temporal/Short-term to the soil erosion receiving water needed; silt traps to browning or turbidity control measures. body due to minimize downstream of the river Will only need soil erosion/ siltation voluntary community increase in run- No. of Public labor or construction off from Limestone and coal ash complaints received workers may devote construction should be stacked by certain number of sites together, fenced by proponent/contractor hours for the task. bricks or an earth wall, The materials,e.g. and kept away from rocks may be sourced water around the subproject site. In sections along the Temporary/short-term river, earth and stone browning or turbidity should be properly of the river disposed of so as not to block rivers or cause adverse impacts on water quality All justifiable measures IPAC Project: ESMF Annexes Page 57 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures will be taken to prevent the water produced in construction from entering into rivers and irrigation systems Provision of sanitary facilities to workers Provision of garbage facilities to workers to allow them to segregate, and properly dispose biodegradables from non-biodegradables Drinking water should meet DENR standards Provide oil and grease traps upstream of any run-off discharge from the subproject to the water bodies Provide ring canals around fuelling tanks/motor pool/maintenance areas IPAC Project: ESMF Annexes Page 58 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures Increase in Provision of sanitary Presence of sanitary Contractor to Daily operations No additional ESMP BOD load and facilities to workers and waste implement while the cost if rental or debris in the segregation/containme LGU supervises construction of water body due Provision of garbage nt facilities bunkhouse or base to improper facilities to workers to camp includes the disposal of allow them to segregate No indiscriminately sanitary and waste sanitary and and properly dispose scattered solid waste disposal facilities solid waste biodegradables from (Php 5,000/sp x from the non-biodegradables ___sps = PhP _____ worker’s base camp Drinking water should meet DENR standards Contamination Provide oil and grease No visible oil and Contractor to Daily operations Nil cost of by oil and traps upstream of any grease film on water implement while the improvised grease and fuel run-off discharge from bodies LGU supervises the temporary ring canals spills from the subproject to the contractor around area of heavy water bodies No. of public storage of fuel drum equipment and complaints received containers of fuel: storage areas Provide ring canals by PhP5,000 x ___sp = around fuelling proponent/contractor PhP_____ tanks/motor pool/maintenance areas Collect used oils in containers and sell to licensed recyclers IPAC Project: ESMF Annexes Page 59 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures Physical Environment: Air Quality In compliance with: WBG Environmental Health and Safety Guidelines; GOP: RA 8749 Clean Air Act; DENR AO 200-81; PD 984 Pollution Control Act – Noise Levels (DENR/LLDA/ARMM regulation) Increase in Minimize night-time Qualitative ambient Contractor to Daily operations Water spraying, only suspended dust construction activities noise levels within implement while the when needed particles along residential standards LGU supervises the temporary Wet areas of dust (based on comparative contractor access sources to minimize levels of sound in the facilities, and discomfort to nearby natural environment) obnoxious gas residents and particulate Presence of truck emissions and Control of vehicle speed cover during deliveries noise levels to lessen suspension of from heavy road dust Records of M&R of equipment equipment operations Delivery equipment within the should be covered with Records of annual vicinity of the tarpaulin sheets or any registration of vehicle construction equivalent and along the No. of people’s transport route Regular M&R of complaints on of the heavy equipment disturbance caused by equipment construction at a level Contractor to present disrupting their normal proof of compliance level of activities with emission standards as part of the annual IPAC Project: ESMF Annexes Page 60 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures vehicle registration process Provision of masks to construction workers Provision of ear mufflers to operators of heavy equipment Exhaust mufflers of heavy equipment must be clean and provided with silencers Social Environment Traffic Schedule delivery of Presence of alternate Contractor’s project Daily operations No additional ESMP congestion construction materials access route management and self- cost; barangay tanod and hauling out for monitoring to be provided by the disposal of waste Presence of barangay LGU materials during lean tanod for traffic LGU/community- traffic hours or at night management based monitoring and assignment of Provide traffic aides to No. of public barangay tanod for help ensure the free flow complaints received traffic management of traffic by proponent/contractor IPAC Project: ESMF Annexes Page 61 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures Provide alternate routes Restrict work operations during daytime only Drivers and heavy equipment operators shall operate heavy equipment at reduced speed Proper information dissemination on the affected areas Increased Provide appropriate Presence of signages Contractor’s project Daily operations Signages cost community warning signs, lighting and lighting management and self- allocation: PhP2,000 hazards of and barricades, monitoring x ____sps = PhP ___ vehicular whenever practicable No. of accidents/near (Normally, signages accidents due accidents reported to LGU/community- are standard costs of to construction Heavy equipment to the barangay based monitoring construction works, works observe traffic rules so this measure No. of public should not be complaint attributed as an additional ESMP cost). IPAC Project: ESMF Annexes Page 62 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures Increased Provide sanitary Proper timing and LGU and settlers to Daily operations No additional ESMP health risk due facilities and waste frequency of barangay enter into MOA on cost – addressed by to improper management facilities defogging (when solid waste the water measures disposal or lack for construction workers deemed necessary by management while defogging is of facilities for the LGU) standard barangay management of Inclusion of the activity solid waste and construction worker’s No. of public sewerage base camps in the complaints received during barangay defogging to by construction eliminate disease proponent/contractor vectors, if solid waste is observed to have accumulated to alarming levels Exposure of Schedule the List of designated Contractor’s project Daily operations, No additional ESMP workers to construction works residents upslope to management and self- particularly during cost- this is emergency or preferably during the provide the monitoring heavy rains considered barangay hazards of drier months information or signal volunteer or flashfloods LGU/community- counterpart task, along river Install early warning Presence of system based monitoring and which is expected to system to inform (procedures and assignment of happen only very workers to take extra timing) of barangay residents to occasionally or even precaution during communication to be provide the early rarely, although the unexpected rainy observed by the LGU warning signal impacts are very periods, e.g. a barangay and the contractor serious if the measure resident living upslope is not installed and to send a message on not effectively done IPAC Project: ESMF Annexes Page 63 Subproject Possible Mitigating / Monitoring Parameter Responsible Implementation Cost of Mitigation /Activities/ Environmental Enhancement Agency / Unit Schedule (Php) Components Effects/Impacts Measures heavy rains and possible heavy flows at the headwaters Communication may be thru text or cell phone call or thru sending a messenger to the subproject site 2.2 Design Quality Conduct periodic Proof of periodic work LGU/IPAC Project Periodic No additional ESMP verification and assurance inspection of work to inspection report cost. This is part of quality control ensure that it conforms subproject cost. to original plan and design specifications 3. ABANDONEMENT PHASE No abandonment of the subproject(s) are programmed since the Operations and Maintenance Phase is considered to sustain the life and utility of the subprojects, unless natural catastrophic events such as anomalous magnitude of earthquake or flooding destroys the facility beyond use. In this case, the engineering and design of the replacement facilities will integrate and handle the demolition of the damaged structures. IPAC Project: ESMF Annexes Page 64 The LGU (Proponent FO) of _____________________ is confirming its willingness and commitment to allocate funds for the abovementioned ESMP cost. Prepared by: _____________________________________ ________________ Municipal Planning and Development Officer Date Signed Endorsed by: ______________ _______________ Municipal Mayor Date Signed Reviewed and Endorsed to CPO for Approval: _______________________________ _______________ DAR Regional Director/Regional Project Manager Date Signed Reviewed and Approved by: _____________________________ ______________ Environmental Specialist, IPAC Date Signed IPAC Project: ESMF Annexes Page 65 ANNEX 3D Inclusive Partnerships for Agricultural Competitiveness Environmental and Social Management Plan (ESMP) For Construction/Rehabilitation of Communal Irrigation Projects/Systems NAME OF SUBPROJECT:____________________________________________________ PROJECT LOCATION: ______________________________________________________ PROPONENT : ___________________________________________________ PROJECT DESCRIPTION: The subproject involves the rehabilitation/construction of communal irrigation with service area of _____ hectares with the following activities: Item No. Scope of Work Quantity Unit We are committed to: • Comply with existing rules, regulations, guidelines and criteria; • Comply all mitigating measures necessary to minimize negative impacts and address enhancement measures to maximize positive impacts; and • Properly inform the contractor, residents of the barangay and other stakeholders on the commitments or agreements in connection with the subproject. IPAC Project: ESMF Annexes Page 66 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures 1. Pre- construction Phase 1.1 Site Selection Potentially cause Calculate yield and Proof of water NIA Mitigating Consultative and Water fresh water depletion extraction rates in relation to sampling and measures to be meetings to be held Sourcing (Streams, due to inadequate other water uses to avoid testing; done as follows: about 3x prior to rivers, etc.) assessment of the depletion coordination and • During site finalization of quantity of available consultation selection and subproject design surface water and Conduct water sampling and subproject Php50/meeting x ground water and testing to assess water conceptualizatio 10 pax/mtg x 3 n and initial underestimated water quality to determine if water meetings x design demand is suited for irrigation and to • Prior to final site ___sector = PhP establish baseline so that selection ___ any future degradation can be detected Coordinate with the Department of Environment and Natural Resources (DENR) regarding watershed protection 1.2 Planning and Enhanced Hold meeting with project Proof of prior NIA/LGU Mitigating Consultative design stakeholder beneficiaries and other coordination, measures to be meetings to be held involvement stakeholders on the consultation and done as follows: about 3x prior to construction plan, operation participation in • During finalization of and management plans and site selection, subproject subproject design corresponding planning and planning and Php50/meeting x environmental and social design initial design 10 pax/mtg x 3 • Prior to management plan. meetings x finalization of IPAC Project: ESMF Annexes Page 67 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures the subproject ___sector x design ___barangays = PhP ___ 1.3 Land or ROW Damages to crops Disclosure of WB Proof of prior NIA/LGU to All activities to be Consultative acquisition, and other structures Involuntary Resettlement consultation and facilitate the implemented prior meetings for damages and compensation disclosure on consultations, to construction disclosure and guidelines, e.g. market value WB/GOP disclosure, package drafting to as basis for pricing of land guidelines for preparation of be held about 2x or crops and other properties compensation compensation prior to packages and consultation. Prepare compensation Presence of payment of package for land or ROW compensation compensation PhP50/meeting x acquisition, and/or crop package 50 pax/mtg x 2 damage compensation, meetings x ___ based on prior consultation Proof of barangays or with project-affected compensation/pay sectors = PhP persons ment before _________ construction Secure Deed of Donation or works Quit Claim on land/other properties 1.4 Hiring of Increased Give hiring preference to Proof of local LGU to Prior to No additional construction employment qualified local community residence, e.g. facilitate construction ESMP cost for workers/laborers opportunity and residents especially those Community Tax arrangements hiring from the community income that will be displaced. Certificate (CTC) for local hiring locality or certificate of residence issued Entry of external by the barangay IPAC Project: ESMF Annexes Page 68 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures workforce captain 2. CONSTRUCTION PHASE (Mobilization, Construction Proper, Demobilization) Physical Environment: Land 2.1 Construction or Destabilization of Schedule the construction Presence of Contractor to Erosion control and Vegetative rehabilitation of slopes and soil works during the relatively erosion control, include in their stabilization stabilization communal erosion due to drier months slope stabilization bids the measures shall be estimate: PhP irrigation system earthworks and protection estimate of implemented 5,000/hectare * Implement appropriate structures in the stabilization simultaneously __subprojects = River bank erosion erosion control, slope site and erosion with construction PhP ___/ha due to earthworks stabilization and protection control works along rivers measures through rip measures No additional rapping on critical sections Absence of ESMP cost for massive erosion Contractor to mechanical or induced by the implement and engineering construction NIA to measures for soil works supervise the erosion control and contractor slope stabilization, as these are integrated in sub- project design and cost Physical Environment: Hydrology Disruption in the use Properly notify affected of water downstream areas and restore services as of the water supply quickly as possible and source (i.e., spring, schedule disruption during IPAC Project: ESMF Annexes Page 69 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures river) off-peak hours Physical Environment: Water Quality In compliance with: WBG Environmental Health and Safety Guidelines; GOP: RA 9275 Clean Water Act: DENR AO 2005-10 Increase in total Supplemental measure along Presence of soil Contractors to Daily operations No additional suspended solids, the river, if needed; silt traps erosion control implement ESMP cost. Silt browning and to minimize downstream measures while NIA trap may be turbidity of the siltation supervises installed only as receiving water body Temporal/Short- needed, due to soil Limestone and coal ash term browning or supplemental to erosion/increase in should be stacked together, turbidity of the the soil erosion run-off from fenced by bricks or an earth river control measures. construction sites wall, and kept away from Will only need water No. of Public voluntary complaints community labor In sections along the river, received by or construction earth and stone should be proponent/contrac workers may properly disposed of so as tor devote certain not to block rivers or cause number of hours adverse impacts on water for the task. The quality materials,e.g. rocks may be sourced Temporary Program construction around the degradation in water activities to shorten effect of subproject site. quality downstream physical disturbance of the water supply source (i.e. spring, river) IPAC Project: ESMF Annexes Page 70 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures Increase in BOD Provision of sanitary Presence of Contractor to Daily operations No additional load and debris in the facilities to workers sanitary and waste implement ESMP cost if rental water body due to segregation/contai while NIA or construction of improper disposal of Provision of garbage nment facilities supervises the bunkhouse or base sanitary and solid facilities to workers to allow contractor camp includes the waste from the them to segregate, and No sanitary and waste worker’s base camp properly dispose indiscriminately disposal facilities biodegradables from non- scattered solid (Php 5,000/sp x biodegradables waste ___sps = PhP _____ Drinking water should meet DENR standards Contamination by oil Provide oil and grease traps No visible oil and Contractor to Daily operations Nil cost of and grease and fuel upstream of any run-off grease film on implement improvised spills from heavy discharge from the water bodies while NIA temporary ring equipment and subproject to the water supervises the canals around area storage areas bodies No. of public contractor of storage of fuel complaints drum containers of Provide ring canals around received by fuel: PhP5,000 x fuelling tanks/motor proponent/contrac ___sp = PhP_____ pool/maintenance areas tor Collect used oils in containers and sell to licensed recyclers Temporary increase Provide barriers in work Contractor in noise level due to areas expected to use construction equipment with high noise activities and power level IPAC Project: ESMF Annexes Page 71 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures equipment operation Provide silencers for noisy equipment, whenever practicable Ensure that all equipment are maintained in proper working condition Schedule moving-in of equipment at daytime. Social Environment Increased health risk Provide sanitary facilities Same parameters LGU/IA and Daily operations No additional due to improper and waste management for water quality settlers to ESMP Cost – disposal or lack of facilities for construction control enter into addressed by the facilities for workers MOA on ESW water quality management of solid Proper timing and management measures while waste and sewerage Inclusion of the construction frequency of defogging is a during construction worker’s base camps in the barangay standard barangay barangay defogging to defogging (when activity eliminate disease vectors, if deemed necessary solid waste is observed to by the LGUs) have accumulated to alarming levels No. of public complaints received by proponent/contrac tor IPAC Project: ESMF Annexes Page 72 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures Exposure of workers Schedule the construction List of designated Contractor’s Daily operations, No additional to emergency or works preferably during the residents upslope project particularly during ESMP cost- this is hazards of drier months to provide the management heavy rains considered flashfloods along information or and self- barangay volunteer river Install early warning system signal monitoring or counterpart task, to inform workers to take which is expected extra precaution during Presence of LGU/commun to happen only unexpected rainy periods, system ity-based very occasionally e.g. a barangay resident (procedures and monitoring or even rarely, living upslope to send a timing of and although the message on heavy rains and communication to assignment of impacts are very possible heavy flows at the be observed by the barangay serious if the headwaters LGU and the residents to measure is not contractor provide the installed and not Communication may be thru early warning effectively done. text or cell phone call or signal thru sending a messenger to the subproject site Temporary increase Collect and sort all solid in volume of solid wastes and place in safe wastes designated areas Shorten storage of construction spoils at temporary disposal area Place garbage in waste cans located in strategic places IPAC Project: ESMF Annexes Page 73 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures Regular collection of garbage and proper disposal of waste Increased housing Provide temporary Presence of Contractor During project requirement for bunkhouse on site or rent housing facilities construction transient workers and houses in neighboring for transient project management communities if housing workers and staff requirements cannot be project accommodated in the management staff locality where the project is located Affects other Coordinate with appropriate Proof of NIA Prior to start of existing utilities and utility firms in relocation of coordination with construction infrastructure their utility lines concerned utility firms 2.2 Design Quality assurance Conduct independent Proof of NIA/IPAC Regular visit No additional verification and inspection to ensure that it inspection Project ESMP Cost, as this quality control conforms to original plan including requirement is part and design specifications inspection report of the Standard Operating Institute corrective measures Procedure to ensure conformance 3. Operation and Maintenance 3.1Operation and Leaching of soil IA will regulate the use of Records on water CIS/IA to From the initial No additional maintenance of nutrients and irrigation water and charge withdrawals and manage the operation of the ESMP Cost: This communal changes in soil water usage fees, a deterrent distributed to the imposition and CIS facility is part of IPAC Project: ESMF Annexes Page 74 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures irrigation system characteristics due to to excessive use of water service area collection of subproject including its excessive application water usage institutional plan structures and of irrigation water, or Collect minimal fees for the fees appurtenances due to maintenance of the facility improper/excessive to ensure sustainability of use of agro- the project chemicals Community to agree on the rules and regulations in the use of irrigation system Regularly conduct and maintain periodic water testing Increased flooding Place signages and IA assisted by and clogging of reminders of the rules and NIA drainage regulations pertaining to use of irrigation system in strategic places (i.e. near water source, structures) Monitor drains and soakways and keep them clear of debris Reduction of Renew NWRB Presence of IA to apply for Annual Cost of permit downstream water clearance/water permits renewed annual the permit renewal and supply, especially annually permit from renewal coordination with during peak season, NWRB the DENR resulting to Ensure there is good upper annually: PhP IPAC Project: ESMF Annexes Page 75 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures disruption or watershed management thru Records of upper 5,000/yr deprivation of other coordination with the DENR watershed status water users or taking initiatives in forest downstream cover protection Records of upper watershed management Increased population Regularly monitor water activities by the IA assisted by density / agricultural level in wells or DENR or the NIA/LGU activity as a result of improvement structures to LGU construction of detect overdrawing irrigation facilities. Minimize downstream/ down gradient effects of intervention Training on the proper use of pesticide and fertilizer. Planting of grasses, trees and bushes to retard the transport of contaminants to waterways. IV. ABANDONEMENT PHASE No abandonment of the subproject(s) are programmed since the Operations and Maintenance Phase is considered to sustain the life and utility of the subprojects, unless natural catastrophic events such as anomalous magnitude of earthquake or flooding destroys the facility beyond use. In this case, the engineering and design of the replacement facilities will integrate and handle the demolition of the damaged structures. IPAC Project: ESMF Annexes Page 76 The LGU (Proponent FO) of _____________________ is confirming its willingness and commitment to allocate funds for the abovementioned ESMP cost. Prepared by: _____________________________________ ________________ Assistant Provincial Irrigation Officer Date Signed Noted by: _____________________________________ _________________ Irrigator’s Association Chair Date Signed Endorsed by: _____________________________________ ________________ Provincial Irrigation Officer Date Signed Reviewed and Endorsed to CPO for Approval: ________________________________________ _______________ DAR Regional Director/Regional Project Manager Date Signed Reviewed and Approved by: _______________________________________ ________________ Environmental Specialist, IPAC Date Signed IPAC Project: ESMF Annexes Page 77 ANNEX 3E Inclusive Partnerships for Agricultural Competitiveness Environmental and Social Management Plan (ESMP) For Construction/Rehabilitation of Potable Water Supply System Level II NAME OF SUBPROJECT:____________________________________________________ PROJECT LOCATION: ______________________________________________________ PROPONENT : ___________________________________________________ PROJECT DESCRIPTION: Item No. Scope of Work Quantity Unit We are committed to: • Comply with existing rules, regulations, guidelines and criteria; • Comply all mitigating measures necessary to minimize negative impacts and address enhancement measures to maximize positive impacts; and • Properly inform the contractor, residents of the barangay and other stakeholders on the commitments or agreements in connection with the subproject. IPAC Project: ESMF Annexes Page 78 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures 1. Pre- construction Phase 1.1 Site Selection Potentially cause Calculate yield and extraction Proof of water LGU Mitigating Estimated budget and Water Sourcing fresh water depletion rates in relation to other potability test measures to be done for water potability due to inadequate water uses to avoid depletion as follows: test: P500/sample x assessment of the • During site 2 samples each x quantity of available Locate water supply source at selection and ___ potential site surface water and least 50 meters away from subproject ground water and nearest household, piggery, conceptualizatio n and initial underestimated water poultry and other possible design demand source of contamination • Prior to final site selection Conduct potability test or Potentially bring assess water quality to about saltwater determine if water is safe to intrusion and poorer drink and to establish water quality with baseline so that any future associated health degradation can be detected problem 1.2 Planning and Enhanced stakeholder Hold meeting with project Proof of prior LGU Mitigating Consultative design involvement beneficiaries and other coordination, measures to be done meetings to be held stakeholders on the consultation and as follows: about 3x prior to construction plan, operation participation in site • During finalization of and management plans and selection, planning subproject subproject design corresponding environmental and design planning and Php50/meeting x 10 and social management plan initial design pax/mtg x 3 • Prior to meetings x finalization of IPAC Project: ESMF Annexes Page 79 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures the subproject ___sector x design ___barangays = PhP ___ Increase in possible Design Subproject design LGU Prior to finalization No additional sources of vector- construction/improvement based on standards of subproject design ESMP cost. borne diseases due to with appropriate scale and poor design capacity Include in the design fencing of source 1.3 Land or ROW Damages to crops and Disclosure of WB Proof of prior LGU to All activities to be Consultative acquisition, other structures Involuntary Resettlement and consultation and facilitate the implemented prior meetings for damages compensation guidelines, e.g. disclosure on consultations, to construction disclosure and market value as basis for WB/GOP disclosure, package drafting to pricing of land or crops and guidelines for preparation of be held about 2x other properties compensation compensation prior to packages and consultation. Prepare compensation Presence of payment of package for land or ROW compensation compensation PhP50/meeting x 50 acquisition, and/or crop package pax/mtg x 2 damage compensation, based meetings x ___ on prior consultation with Proof of barangays or project-affected persons compensation/pay sectors = PhP ment before _________ Secure Deed of Donation or construction works Quit Claim on land/other properties IPAC Project: ESMF Annexes Page 80 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures Loss of plants/trees Locate project in less Presence of newly LGU After construction No additional vegetated areas as much as planted species in ESMP Cost; practicable affected area seedlings can be secured from Rehabilitate the affected flora DENR by planting appropriate species 1.4 Hiring of Increased Give hiring preference to Proof of local LGU to Prior to No additional construction employment qualified local community residence, e.g. facilitate construction ESMP cost for workers/laborers opportunity and residents especially those that Community Tax arrangements hiring from the community income will be displaced. Certificate (CTC) for local hiring locality or certificate of residence issued by Entry of external the barangay workforce captain 2. CONSTRUCTION PHASE (Mobilization, Construction Proper, Demobilization) Physical Environment: Water Quality In compliance with: WBG Environmental Health and Safety Guidelines; GOP: RA 9275 Clean Water Act: DENR AO 2005-10 2.1 Construction or Temporary Program construction Temporary/short Contractor to Daily operations No additional rehabilitation of degradation in water activities to shorten effect of term browning or implement ESMP cost water supply quality downstream of physical disturbance turbidity of the while the LGU system the water supply river supervises source (i.e. spring, IPAC Project: ESMF Annexes Page 81 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures river) Disruption in the use Properly notify affected areas of water downstream and restore services as of the water supply quickly as possible and source (i.e., spring, schedule disruption during river) off-peak hours Increase in BOD load Provision of sanitary Presence of Contractor to Daily operations No additional and debris in the facilities to workers sanitary and waste implement ESMP cost if rental water body due to segregation/contai while the LGU or construction of improper disposal of Provision of garbage nment facilities supervises the bunkhouse or base sanitary and solid facilities to workers to allow contractor camp includes the waste from the them to segregate, and No sanitary and waste worker’s base camp properly dispose indiscriminately disposal facilities biodegradables from non- scattered solid (Php 5,000/sp x biodegradables waste ___sps = PhP _____ Drinking water should meet DENR standards Contamination by oil Provide oil and grease traps No visible oil and Contractor to Daily operations Nil cost of and grease and fuel upstream of any run-off grease film on implement improvised spills from heavy discharge from the subproject water bodies while LGU temporary ring equipment and to the water bodies supervises the canals around area storage areas No. of public contractor of storage of fuel Provide ring canals around complaints drum containers of fuelling tanks/motor received by fuel: PhP5,000 x pool/maintenance areas proponent/contract ___sp = PhP_____ or IPAC Project: ESMF Annexes Page 82 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures Collect used oils in containers and sell to licensed recyclers Social Environment Temporary increase Provide barriers in work Presence of Contractor Daily operations No additional in noise level due to areas expected to use barriers ESMP cost – part of construction activities equipment with high noise the subproject cost and equipment power level No. of public operation complaints Provide silencers for noisy received by equipment, whenever proponent/contract practicable or Ensure that all equipment are maintained in proper working condition Schedule moving-in of equipment at daytime. Temporary increase Collect and sort all solid Presence of waste Contractor’s Daily operations No additional in volume of solid wastes and place in safe segregation/contai project ESMP Cost – part wastes/spoil materials designated areas nment facilities management of subproject cost and self- Shorten storage of No monitoring construction spoils at indiscriminately temporary disposal area scattered solid waste Place garbage in waste cans IPAC Project: ESMF Annexes Page 83 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures located in strategic places Regular collection of garbage and proper disposal of waste 2.2 Design Quality assurance Conduct independent Proof of LGU Regular visit No additional verification and inspection to ensure that it inspection ESMP Cost, as this quality control conforms to original plan and including requirement is part design specifications inspection report of the Standard Operating Institute corrective measures Procedure to ensure conformance 3. Operation and Maintenance 3.1Operation and Improvement in BAWASA/RWASA should Systems in place BAWASA/RW From the initial No additional maintenance of sanitation and health be institutionalized to and operation and ASA to operation of the ESMP Cost: This is water supply due to better access to manage the water supply and maintenance of the manage the water supply part of subproject system including its water supply to collect minimal fees to be water system being imposition and system institutional plan structures and used to maintain the facility done by collection of appurtenances and ensure sustainability of BAWASA/RWAS water usage the subproject A fees Community to agree on the rules and regulations in the use of water supply system Regularly conduct and maintain periodic water testing IPAC Project: ESMF Annexes Page 84 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures Place signages and reminders of the rules and regulations pertaining to the use of water in strategic places (i.e. near water source, structures) Water contamination Include focus on proper use No. of reported BAWASA/RW Regular No additional due to human and maintenance of the water water ASA maintenance ESMP cost: This is pathogens supply as part of the behavior contamination and part of regular change among users repair maintenance cost Construct spigot or similar system that prevents people from touching impounded water with their bare hands or mouth Water contamination Use fencing or equivalent Water supply BAWASA/RW Daily operations No additional due to animal manure that will keep livestock from source with ASA ESMP cost: this is grazing uphill or up-gradient appropriate fence part of the of the water supply installed subproject cost improvement Do not allow animals to drink directly from the water source Creation of pools of Monitor drains and soakways Regular BAWASA/RW Regular monitoring No additional cost stagnant water and keep them clear of debris monitoring report ASA activity of ESMP: this cost is part of the IPAC Project: ESMF Annexes Page 85 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures Monitor and repair leaks No. of report of As the need arises operating and from cracked contaminant leaks maintenance cost of structure, broken pipes, faulty the subproject. valves and similar structures Increase in the human Regularly conduct and Proof of results of BAWASA/RW Quarterly No additional health risks due to maintain periodic testing water testing ASA ESMP cost: this failure to test water cost is part of the quality before regular maintenance developing the water cost of the source subproject Depletion of water Regularly monitor water level Records of water BAWASA/RW Daily operations No additional supply in ground in wells or improvement level ASA ESMP cost: this level catchment structures to detect cost is part of the overdrawing operating expenses Reduction in water of the subproject supply for Minimize downstream/down downstream gradient effects of households intervention BAWASA Schedule of training No additional Increased population assisted by depends on ESMP cost: density / agricultural Train the community in LGU BAWASA Training package is activity because of operating and maintaining the continuing integrated in the new water system new water system development Support Services program for its Component members IV. ABANDONEMENT PHASE No abandonment of the subproject(s) are programmed since the Operations and Maintenance Phase is considered to sustain the life and utility of the subprojects, unless natural catastrophic events such as anomalous magnitude of earthquake or flooding destroys the facility beyond use. In this case, the engineering and design of the replacement facilities will integrate and handle the demolition of the damaged structures. IPAC Project: ESMF Annexes Page 86 The LGU (Proponent FO) of _____________________ is confirming its willingness and commitment to allocate funds for the abovementioned ESMP cost. Prepared by: _____________________________________ ________________ Municipal Planning and Development Officer Date Signed Noted by: _____________________________________ _________________ BAWASA Chair Date Signed Endorsed by: _____________________________________ ________________ Municipal Mayor Date Signed Reviewed and Endorsed to CPO for Approval: ________________________________________ _______________ DAR Regional Director/Regional Project Manager Date Signed Reviewed and Approved by: ________________________________________ _______________ Environmental Specialist, IPAC Date Signed IPAC Project: ESMF Annexes Page 87 ANNEX 3F Inclusive Partnerships for Agricultural Competitiveness Environmental and Social Management Plan (ESMP) For Construction of Multi-Purpose Building/Center NAME OF SUBPROJECT:____________________________________________________ PROJECT LOCATION: ______________________________________________________ PROPONENT : ___________________________________________________ PROJECT DESCRIPTION: Item No. Scope of Work Quantity Unit We are committed to: • Comply with existing rules, regulations, guidelines and criteria; • Comply all mitigating measures necessary to minimize negative impacts and address enhancement measures to maximize positive impacts; and • Properly inform the contractor, residents of the barangay and other stakeholders on the commitments or agreements in connection with the subproject. IPAC Project: ESMF Annexes Page 88 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures 1. Pre- construction Phase 1.1 Planning and Enhanced Hold meeting with project Proof of prior LGU Mitigating Consultative design stakeholder beneficiaries and other coordination, measures to be meetings to be held involvement stakeholders on the consultation and done as follows: about 3x prior to construction plan, operation participation in • During finalization of and management plans and site selection, subproject subproject design corresponding environmental planning and planning and Php50/meeting x and social management plan design initial design 10 pax/mtg x 3 • Prior to meetings x finalization of the subproject ___sector x design ___barangays = PhP ___ 1.2 Land or ROW Damages to crops Disclosure of WB Proof of prior LGU to All activities to be Consultative acquisition, and other structures Involuntary Resettlement consultation and facilitate the implemented prior meetings for damages and compensation disclosure on consultations, to construction disclosure and guidelines, e.g. market value WB/GOP disclosure, package drafting to as basis for pricing of land or guidelines for preparation of be held about 2x crops and other properties compensation compensation prior to packages and consultation. Prepare compensation Presence of payment of package for land or ROW compensation compensation PhP50/meeting x acquisition, and/or crop package 50 pax/mtg x 2 damage compensation, based meetings x ___ on prior consultation with Proof of barangays or project-affected persons compensation/pay sectors = PhP ment before _________ Secure Deed of Donation or construction works IPAC Project: ESMF Annexes Page 89 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures Quit Claim on land/other properties 1.3 Hiring of Increased Give hiring preference to Proof of local LGU to Prior to No additional construction employment qualified local community residence, e.g. facilitate construction ESMP cost for workers/laborers opportunity and residents especially those that Community Tax arrangements hiring from the community income will be displaced. Certificate (CTC) for local hiring locality or certificate of residence issued Entry of external by the barangay workforce captain 2. CONSTRUCTION PHASE (Mobilization, Construction Proper, Demobilization) Physical Environment: Water Quality In compliance with: WBG Environmental Health and Safety Guidelines; GOP: RA 9275 Clean Water Act: DENR AO 2005-10 2.1 Construction Sedimentation/siltatio Set up temporary silt Temporal/short Contractor Daily operations No additional Multi-purpose n of drainage or trap/ponds to prevent term browning or ESMP cost. Silt Building/Center waterways from siltation turbidity of the trap may be unconfined stockpiles river installed only as of soil and other Proper stockpiling of spoils needed. Will only materials (on flat areas and away from need voluntary drainage routes) community labor or construction workers may devote certain IPAC Project: ESMF Annexes Page 90 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures number of hours for the task. The materials, e.g. rocks, may be sourced from the subproject site Contamination by oil Provide oil and grease traps No visible oil and Contractor to Daily operations Nil cost of and grease and fuel upstream of any run-off grease film on implement improvised spills from heavy discharge from the water bodies while the LGU temporary ring equipment and subproject to the water supervises the canals around area storage areas bodies No. of public contractor of storage of fuel complaints drum containers of Provide ring canals around received by fuel: PhP5,000 x fuelling tanks/motor proponent/contract ___sp = PhP_____ pool/maintenance areas or Contractor to Daily operations Collect used oils in implement containers and sell to while LGU licensed recyclers supervises the contractor Social Environment Temporary increase Provide barriers in work Presence of Contractor Daily operations No additional in noise level due to areas expected to use barriers ESMP cost – part construction equipment with high noise of the subproject activities and power level No. of public cost equipment operation complaints Provide silencers for noisy received by equipment, whenever proponent/contract IPAC Project: ESMF Annexes Page 91 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures practicable or Ensure that all equipment are maintained in proper working condition Schedule moving-in of equipment at daytime. Temporary increase Collect and sort all solid Presence of waste Contractor’s Daily operations No additional in volume of solid wastes and place in safe segregation/contai project ESMP Cost – part wastes/spoil designated areas nment facilities management of subproject cost materials and self- Shorten storage of No monitoring construction spoils at indiscriminately temporary disposal area scattered solid waste Place garbage in waste cans located in strategic places Regular collection of garbage and proper disposal of waste 2.2 Design Quality assurance Conduct periodic inspection Proof of LGU Regular visit No additional verification and of work to ensure that it inspection ESMP Cost, as this quality control conforms to original plan including requirement is part and design specifications inspection report of the Standard Operating Institute corrective measures Procedure to ensure conformance IPAC Project: ESMF Annexes Page 92 Project Phase/ Possible Mitigating/ Monitoring Responsible Implementation Cost of Mitigation Activities/ Environmental Enhancement Parameter Agency/ Unit Schedule (Php) Components Effects/ Impacts Measures 3. Operation and Maintenance 3.1Operation and Ensured Allocate sufficient budget Systems in place FO No additional maintenance of sustainability of the for maintenance; prepare and and operation and ESMP Cost: This is MPC subproject implement an acceptable O& maintenance of the part of the M plan water system being operation and done by the FO maintenance cost of Proper collection and the subproject. Generation of disposal of solid wastes domestic wastes Proper housekeeping and maintenance IV. ABANDONEMENT PHASE No abandonment of the subproject(s) are programmed since the Operations and Maintenance Phase is considered to sustain the life and utility of the subprojects, unless natural catastrophic events such as anomalous magnitude of earthquake or flooding destroys the facility beyond use. In this case, the engineering and design of the replacement facilities will integrate and handle the demolition of the damaged structures. IPAC Project: ESMF Annexes Page 93 The LGU (Proponent FO) of _____________________ is confirming its willingness and commitment to allocate funds for the abovementioned ESMP cost. Prepared by: _____________________________________ ________________ Municipal Planning and Development Officer Date Signed Noted by: _____________________________________ _________________ Farmer’s Organization Chair Date Signed Endorsed by: _____________________________________ ________________ Municipal Mayor Date Signed Reviewed and Endorsed to CPO for Approval: ________________________________________ _______________ DAR Regional Director/Regional Project Manager Date Signed Reviewed and Approved by: ______________________________________ ________________ Environmental Specialist, IPAC Date Signed IPAC Project: ESMF Annexes Page 94 ANNEX 3G IPAC ENVIRONMENTAL CODE OF PRACTICE For Construction of Small Infrastructure Projects Environmental Mitigating measure Frequency of monitoring aspect Watercourse and • Interceptor dikes and swales • At least once every Water quality two days to weekly • Storm drain diversion protection • Sanitary toilet facilities Erosion and Sediment • Subsurface drains • Daily in dry weather control and three times a day • Silt fences during prolonged • Straw bale barriers rainfall • Brush barriers • Gravel or stone filter berms • Storm drain inlet protection • Use of structural sediment and erosion control devices including earth dikes & drainage swales Concrete and • Do not pour excess concrete or wash sweepings into • Entire time of the Grouting the street, storm drain or side of the road activity is ongoing Vegetation and • Do not locate construction routes, stockpiles, etc, • Before and during Wildlife where significant adverse impact on existing construction vegetation may occur Waste Management • Properly manage construction wastes and • During construction contaminated materials and keep in away from communities. Treat them and dispose in an environmentally responsible manner, according to the govt. regulations. Materials • Store construction materials under cover and away • Everyday management from drainage areas Air Quality • Use water (as appropriate) to control dust in dirt and • Everyday Protection debris pile areas Recreational Use and • Create buffer zones between construction area and • Before construction Sites storm drain/ receiving water. Buffer zones should have established natural vegetation to remove sediments. Access Development • Stabilize construction entrances, construction roads, • Before construction parking areas, and other on-site vehicle IPAC Project: ESMF Annexes Page 95 transportation routes to ensure reduction of off-site tracking of mud, dirt, and rocks, and maintain these areas throughout the project Heritage or • Determine before the project commences if the • Before construction Archaeological Sites project site is a heritage or archaeological site. In case of chance finds, proper procedures shall be followed and findings should be reported to the National Museum. Site Restoration and • Maintain original landscape and vegetation as much • Before construction Deactivation as possible. Mark, flag, or fence areas where land cover or vegetation should be preserved or restored. Noise control, • Exert effort to limit hours of operation to prescribed • During construction vibration and light noise levels to reduce noise and light nuisance to the Abatement communities • Install noise and light abatement measures Health and Safety, • Procedures should be put in place and train staff to • Before construction Emergency Response deal with any emergency which could cause major injury to the health and safety of workers and the people in the community IPAC Project: ESMF Annexes Page 96 ANNEX 4 CULTURAL PROPERTY PROTECTION MEASURES AND CHANCE FIND PROCEDURES A. WB Policy on Management of Cultural Property (OP 4.11, July 2006) Cultural resources are important as sources of valuable historical and scientific information, as assets for economic and social development, and as integral parts of a people's cultural identity and practices. The loss of such resources is irreversible, but fortunately, it is often avoidable. The objective of OP/BP 4.11 on Physical Cultural Resources is to avoid, or mitigate, adverse impacts on cultural resources from development projects that the World Bank finances. B. National Policy on Cultural Heritage - Republic Act No. 10066 (March 2010) An Act Providing for the Protection and Conservation of the National Cultural Heritage, Strengthening the National Commission for Culture and the Arts (NCCA) and its affiliated cultural agencies and other purposes. Pertinent Provisions of R.A. 10066: - Article V, Section 15. Conservation of Cultural Property - All intervention works and measures on conservation of national cultural treasures, important cultural property, as well as national historical landmarks, sites or monuments and structures previously marked by the National Museum and the National Historical Institute before the implementation of this Act, shall be undertaken through the appropriate cultural agency which shall supervise the same. The appropriate cultural agency shall approve only those methods and materials that strictly adhere to the accepted international standards of conservation - Article XIII, Section 48. Prohibited Acts - To the extent that the offense is not punishable by a higher punishment under another provision of law, violations of this Act may be made by whoever intentionally: (a) Destroys, demolishes, mutilates or damages any world heritage site, national cultural treasures, important cultural property and archaeological and anthropological sites; (b) Modifies, alters, or destroys the original features of or undertakes construction or real estate development in any national shrine, monument, landmark and other historic edifices and structures, declared, classified, and marked by the National Historical Institute as such, without the prior written permission from the Commission. This includes the designated security or buffer zone, extending five (5) meters from the visible perimeter of the monument or site; (c) Explores, excavates or undertakes diggings for the purpose of obtaining materials of cultural historical value without prior written authority from the National Museum. No excavation or diggings shall be permitted without the supervision of a certified archaeologist; (d) Appropriates excavation finds contrary to the provisions of the New Civil Code and other pertinent laws; (e) Imports, sells, distributes, procures, acquires, or exports cultural property stolen, or otherwise lost against the will of the lawful owner; IPAC Project: ESMF Annexes Page 97 (f) Illicitly exports cultural property listed in the Philippine Registry of Cultural Property or those that may be categorized as such upon visitation or incorrectly declares the same during transit; and (g) Deals in cultural property without proper registration and license issued by the cultural agency concerned. - Article XIII, Section 49. Penal Provisions - Upon conviction, the offender shall be subject to a fine of not less than Two hundred thousand pesos (P200,000.00) or imprisonment for a term of not less than ten (10) years, or both, upon the discretion of the court: Provided, That any cultural property attempted to be concealed from registration or those intended to be encumbered or excavated in violation of this Act shall be summarily confiscated and forfeited in favor of the Commission: C. Definition Cultural property include monuments, structures, works of art, or sites of significance points of view, and are defined as sites and structures having archaeological, paleontological, historical, architectural, or religious significance, and natural sites with cultural values. This includes cemeteries, graveyards and graves. D. IPAC Guiding Principle on Protection of Cultural Property IPAC will only pose limited risks of damaging cultural property since subprojects will largely consist of small investments in community infrastructure and income generating activities and minor, rural agricultural support civil works. E. Chance Find Procedures 1. Chance find procedures will be used as follows: a. Stop the construction activities in the area of the chance find. b. Delineate the discovered site or area. c. Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be present until the responsible local authorities take over. The National Historical Institute shall be responsible for significant movable and immovable cultural property that pertains to Philippine history, heroes and the conservation of historical artifacts and the National Museum shall be responsible for significant movable and immovable cultural and natural property pertaining to collections of fine arts, archaeology, anthropology, botany, geology, zoology and astronomy, including its conservation aspect. the Philippine National Museum Cultural Properties Division take over. The contact person is Mr. Oscar G. Desembrana, Museum Researcher II, Cultural Properties Division (CPD) at telephone number 527-1216, or via email at culturalprop@nationalmuseum.gov.ph. d. Notify the supervisory Engineer who in turn will notify the responsible local authorities and the Philippine National Museum Cultural Properties Division immediately (less than 24 hours). e. Contact the responsible local authorities and the Philippine National Museum Cultural Properties Division who would be in charge of protecting and preserving the site before deciding on the proper procedures to be carried out. This would require a preliminary evaluation of the findings to be IPAC Project: ESMF Annexes Page 98 performed by the archaeologists of the Philippine National Museum Cultural Properties Division (within 72 hours). The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage, including the aesthetic, historic, scientific or research, social and economic values. f. Ensure that decisions on how to handle the finding be taken by the responsible authorities and the Philippine National Museum Cultural Properties Division. This could include changes in the layout (such as when the finding is an irremovable remain of cultural or archaeological importance) conservation, preservation, restoration and salvage. g. Implementation for the authority decision concerning the management of the finding shall be communicated in writing by the Philippine National Museum Cultural Properties Division; and h. Construction work will resume only after authorization is given by the responsible local authorities and the Philippine National Museum Cultural Properties Division concerning the safeguard of the heritage. 2. These procedures must be referred to as standard provisions in construction contracts, Safeguards Procedures for Inclusion in the Technical Specifications for Contracts. During project supervision, the Site Engineer shall monitor the above regulations relating to the treatment of any chance find encountered are observed. 3. Relevant findings will be recorded in the IPAC Construction Monitoring Report and the World Bank Implementation Supervision Reports (ISRs), and Implementation Completion Reports (ICRs) will assess the overall effectiveness of the project’s cultural property mitigation, management, and activities, as appropriate. IPAC Project: ESMF Annexes Page 99 ANNEX 5 CONTENT AND FORMAT INITIAL ENVIRONMENTAL EXAMINATION (IEE) A. Introduction 1. IEE is an important tool for incorporating environmental concerns at the project level. IEE should be carried out as early as the project planning stage as part of feasibility thus it can assure that the project will be environmentally feasible. The general objectives of IEE study should at least cover the following: (i) To provide information about the general environmental settings of the project area as baseline data; (ii) To provide information on potential impacts of the project and the characteristic of the impacts, magnitude, distribution, who will be the affected group, and their duration; (iii) To provide information on potential mitigation measures to minimize the impact including mitigation costs; (iv) To assess the best alternative project at most benefits and least costs in terms of financial, social, and environment. It is not always necessary to change location of the project, but it can be changed in project design or project management; and (v) To provide basic information for formulating management and monitoring plan 2. The IEE Template is to be adopted for Category B subprojects, that is, activity that has potential adverse environmental impacts on human populations or environmentally important areas – including wetlands, forest, grasslands and other natural habitats. As these impacts are site-specific, an Initial Environmental Examination (IEE) is required to identify and assess the potential environment and social impacts. However, the IEE is also used to confirm whether this is, indeed, requires an EIA, as a follow up. B. The Process in Preparing IEE 3. An early step is to determine the scope of the IEE study. This activity is known as “scoping” as a procedure designed to establish the terms of reference (TOR) for the IEE. The scoping procedure should at least produce the following outputs: (i) Identified the likely environmental impacts or other environmental concerns and consideration that need to be further investigated in IEE study (ii) Identified environmental component which need detailed or further study (iii) Determined the general approach and methodology required to carry out the IEE study (iv) Identified the need to fit the outputs of IEE into the project context especially on environmental management and monitoring plan 4. The next step is undertaking IEE study, and the following are key important activities: B.1. Describing Environmental Condition of the Project Area 5. Collection of baseline information on biophysical, social and economic aspects of the project area is the most important reference for conducting IEE study. The description of environmental settings includes the characteristic of area in which the activity of proposed project would occur IPAC Project: ESMF Annexes Page 100 and it should cover area affected by all impacts including potential compensation area, and potential area affected by its alternatives. Normally, information is obtained from secondary sources when there is a facility of maintaining database, or other existing documentation, and through field sampling. Collection of baseline data should be designed to satisfy information requirements and should focus on relevant aspects that are likely to be affected by the proposed project. Therefore, the level of detail in this description of study area should be sufficient to convey to readers nature of environmental and social resources condition of the affected areas. B.2. Assessing Potential Impact 6. The "technical heart" of the environmental assessment process involves the prediction of changes over time in various environmental aspects as a result of a proposed project. The prediction of the nature, extent, and magnitude of environmental changes likely to result from a proposed project is aided by various tools and techniques, the choice of which depends upon the impacts of concern, data availability or lack thereof, and the appropriate specificity of quantitative models. However, the choice of the appropriate method for conducting an environmental assessment can only be guided by certain criteria, but no single method will meet all the necessary criteria. In addition, the prediction has to be based on established scientific knowledge that is still very limited in ecosystems in most countries. For this reason, the prediction of ecological changes and their impacts often does not generate concrete conclusions on the magnitude of the impacts. B.3. Formulating Mitigation Measures 7. Once the impacts have been analyzed, their significance will be determined, i.e., whether they are acceptable, require mitigation, or are unacceptable. Subsequently, measures will be devised to mitigate anticipated environmental changes and consequential impacts during project implementation and operation, or further reduce the residual environmental changes inherent in the selected project design. They normally include technical, social, and institutional measures to be implemented as integral elements of the project. Examples are sound operating rules of a reservoir to ensure minimum impacts on downstream water users, and installation of an electrostatic precipitator to remove fly ash in a coal-fired power plant project, and adequate drainage system in an irrigation project. B.4. Preparing the Institutional Requirements and Environmental Monitoring Plan 8. Environmental management involves the implementation of environmental protection and mitigation measures and monitoring for significant environmental impacts. Environmental protection measures are taken to: (i) mitigate environmental impacts, (ii) provide in-kind compensation for lost environmental resources, or (iii) enhance environmental resources. These measures are usually set out in a plan, which covers all phases of the project from IPAC Project: ESMF Annexes Page 101 pre-construction through decommissioning, and outlines mitigation and other measures that will be undertaken to ensure compliance with environmental regulations and reduce or eliminate adverse impacts. The basic implementation arrangements should be presented – taking account of the local conditions. Responsibilities for mitigation and monitoring shall be defined along with arrangements for information flow, and for coordination between agencies responsible for mitigation. A plan should specify who/which agency is responsible for undertaking the mitigating and monitoring measures, e.g., for enforcement of remedial actions, monitoring, training, and financing. A third party may be contracted in case the local authorities’ capacity is limited. Institutional strengthening activities may be proposed, including establishment of appropriate organization arrangements; appointment of key staff and consultants; and arrangements for counterpart funding. 9. Environmental monitoring involves: (i) planning a survey and sampling program for systematic collection of data/information relevant to environmental assessment and project environmental management; (ii) conduct of the survey and sampling program; (iii) analysis of samples and data/information collected, and interpretation of data and information; and (iv) preparation of reports to support environmental management. Environmental monitoring is normally carried out before and during planning to establish baseline data needed for Environmental assessment and evaluating environmental impacts during project implementation. It continues through project operation to detect changes in the key environmental quality parameters, which can be attributed to the project. The results of the monitoring program are used to evaluate the following: (i) extent and severity of the environmental impacts against the predicted impacts; (ii) performance of the environmental protection measures or compliance with pertinent rules and regulations; (iii) trends in impacts; and (iv) overall effectiveness of the project environmental protection measures. 10. Environmental monitoring should have clear objectives, and the survey and sampling program custom-designed to focus on data/information actually required to meet the objectives In addition, the design of the monitoring program has to take into account its practicability considering the technical, financial, and management capability of the institutions that will carry out the program and period of monitoring that will be needed to achieve the objectives (see Table A3.1). The monitoring program should include action or emergency plans so that appropriate action can be taken in the event of adverse monitoring results or trends. It should also be constantly reviewed to make sure that it is effective, and determine when it can be stopped. Table A5.1: Features of an Effective Environmental Monitoring Plan • Realistic sampling program (temporal and spatial) • Sampling methods relevant to source • Collection of quality data • Comparable new data with other relevant data used in environmental assessment • Cost-effective data collection • Quality control in measurement and analysis • Innovations (e.g., in tracing contaminants and automated stations) • Appropriate databases • Multidisciplinary data interpretation to provide useful information • Reporting for internal management and external checks IPAC Project: ESMF Annexes Page 102 • Allowance for, and response to, input from third parties • Presentation in the public arena (external assessment) 11. Both the environmental management and monitoring plans need to include who will implement them, when, and where. The capacity of the executing agency, local government, and community organization should be reviewed to identify feasible approach for implementing the plans. The project lifecycle should be taken into account in setting the timing of implementation. For example, plans regarding environmental mitigation measures should be implemented in the engineering design for the contract documents, and materials to be avoided in procurement, among others. On the other hand, the location for monitoring should be selected based on where the impacts would occur and the areas to be affected. To ensure that the environmental management and monitoring plans will be implemented, it is necessary to identify the key management issues to be included as a requirement either as a loan covenant or conditions for implementing the project. C. Documenting IEE Studies 12. IEE reports should be presented in certain way to meet the requirements of WB and the country. However, wherever possible, WB requests that the Borrower follow Bank-prescribed format for IEE. This is to ensure that environmental assessment results are presented in a clear and concise fashion to contribute most effectively to decision-making. However, if several other financial institutions fund the proposed Project in the form of co-financing modality, it is necessary for Bank to come up with an agreement with those institutions on IEE reporting requirement. In this context, it is necessary to ensure that the content of the IEE reports cover all issues required by the WB. Although the presentation of the IEE report may not follow WB’s standard, it is necessary to ensure that the IEE should be formulated and presented in accordance to WB’s guideline. C.1. Initial Environmental Examination 13. The content and format of the IEE report is in Table A5.2. If the approved IEE concludes that the project will not have any significant adverse environmental impacts, then the environmental assessment is deemed complete. If there are unresolved issues, the recommendation should be either that further studies be undertaken to resolve the issues, or that a subproject is considered not eligible. Table A5.2: Outline of an IEE Report a. Introduction b. Description of the Project c. Description of the Environment d. Screening of Potential Environmental Impacts and Mitigation Measures e. Institutional Requirements and Environmental Monitoring Plan f. Public Consultation and Information Disclosure g. Findings and Recommendation h. Conclusions IPAC Project: ESMF Annexes Page 103 a. Introduction 14. This section usually includes the following: (i) purpose of the report, including (a) identification of the project and project proponent; (b) brief description of the nature, size, and location of the project and of its importance to the country; and (c) any other pertinent background information; and (ii) Extent of the IEE study: scope of study, magnitude of effort, person or agency performing the study, and acknowledgement. b. Description of the Project 15. Furnish sufficient details to give a brief but clear picture of the following (include only applicable items): (i) type of project; (ii) category of Project; (iii) need for project; (iii) location (use maps showing general location, specific location, and project site); (iv) size or magnitude of operation; (v) proposed schedule for implementation; and (vi) descriptions of the project, including drawings showing project layout, and project components. This information should be of the same type and extent as is included in feasibility reports for proposed projects to give a clear picture of the project and its operations. c. Description of the Environment 16. Furnish sufficient information to give a brief but clear picture of the existing environmental resources in the area affected by the project, including the following (to the extent applicable): (i) Physical Resources : (e.g.)   atmosphere (e.g. air quality and climate)   topography and soils,   surface water   groundwater   geology/seismology. (ii) Ecological Resources : (e.g.)   fisheries   aquatic biology  wildlife   forests   rare or endangered species   protected areas   coastal resources (iii) Economic Development: (e.g.)   industries   infrastructure facilities (e.g. water supply, sewerage, flood control) IPAC Project: ESMF Annexes Page 104  transportation (roads, harbors, airports, andnavigation)  land use (e.g. dedicated area uses)  power sources and transmission  agricultural development, mineral development, and tourism facilities (iv) Social and Cultural Resources: (e.g.)   population and communities (e.g. numbers, locations, composition, employment)   health facilities   education facilities   socio -economic conditions (e.g. community structure, family structure, social well being)   physical or cultural heritage   current use of lands and resources for traditional purposes byIndigenous Peoples   structures or sites that are of historical, archaeological, paleontological, or architectural significance. d. Screening of Potential Environmental Impacts and Mitigation Measures 17. Using the checklist of environmental parameters for different sector projects, this section will screen out “no significant impacts” from those with significant adverse impact by reviewing each relevant parameter according to the following factors or operational stages. Mitigation measures, where appropriate, will also be recommended environmental problems due to project location, and related to project design, construction, and operations. Potential environmental enhancement measures and additional considerations will also be covered. e. Institutional Requirements and Environmental Monitoring Plan 18. This section should state the impacts to be mitigated, and activities to implement the mitigation measures, including how, when, and where they will be implemented. Institutional arrangements for implementation should be described. The environmental monitoring plan will describe the impacts to be monitored, and when and where monitoring activities will be carried out, and who will carry them out. The environmental management and monitoring costs should also be described. f. Public Consultation and Information Disclosure 19. This section will describe the process undertaken to involve the public in project design and recommended measures for continuing public participation; summarize major comments received from beneficiaries, local officials, community leaders, NGOs, and others, and IPAC Project: ESMF Annexes Page 105 describe how these comments were addressed; list milestones in public involvement such as dates, attendance, and topics of public meetings; list recipients of this document and other project related documents; describe compliance with relevant regulatory requirements for public participation; and summarize other related materials or activities, such as press releases and notifications. This section will provide of summary of information disclosed to date and procedures for future disclosure. g. Findings and Recommendations 20. This section will include an evaluation of the screening process and recommendation will be provided whether significant environmental impacts exist needing further detailed study or deemed as ineligible. If there is no need for further study, the IEE itself, which at times may need to be supplemented by a special study in view of limited but significant impacts, becomes the completed environmental assessment for the project and no follow-up EIA will be needed. IPAC Project: ESMF Annexes Page 106 Annex 6 MASTERLIST OF PROJECT DISPLACED PERSONS (DPs) Inclusive Partnerships for Agricultural Competitiveness (IPAC) Project Name of Subproject: ______________________________Prepared by: ___________________________________________________ ARC / Barangay: ____________________________________________ MPDC/MARO Municipality: ____________________________________Validated by: ___________________________________________________ Province: __________________________________________________ BCIT Chairperson Date prepared: __________________________________________________ DP Name of DP Age Sex Marita Ethnicit Educati Status of EstimatedA Total Existing Occupation/ Estimated No. l y on Land rea of land area use of Source(s) of Total Status Ownership affected owned/ land Income Income/Year (Use codes (sq.m) occupied (in Pesos) below) 1 2 3 4 5 Status of land ownership: 1 = owned, ARB (OLT) 4 = tenant 2 = owned, non ARB 5 = rent-free occupant/caretaker 3 = rented/leased 6 = informal dweller/squatter IPAC Project: ESMF Annexes Page 107 Annex 7 SUMMARY OF ASSETS/LIVELIHOOD AFFECTED AND AGREED ARRANGEMENTS Inclusive Partnerships for Agricultural Competitiveness (IPAC) Project Name of Sub-project: ____________________________________________________ Prepared by: ___________________________________________________________ ARC / Barangay: _______________________________________________________ MPDC/MARO Municipality: ____________________________________________________________ Validated by: ___________________________________________________________ Province: _______________________________________________________________ BCIT Chairperson Date prepared: __________________________________________________________ PAP No. Name of PAP 1 3 Value of Assets/Livelihood Affected Arrangement(s)/Agreement(s) Category Qty Value Name: ____________________________________________ Land Structures Signature: _________________________________________Crops and Trees 2 Livelihood Date: _____________________________________________Others, specify Name: ____________________________________________Land Signature: _________________________________________Structures Crops and Trees 2 Date: _____________________________________________Livelihood Others, specify Name: ____________________________________________ Land Structures Signature: _________________________________________Crops and Trees 2 Livelihood Date: _____________________________________________Others, specify Name: ____________________________________________ Land Structures Signature: _________________________________________Crops and Trees 2 Livelihood Date: _____________________________________________Others, specify Name: ____________________________________________ Land Structures Signature: _________________________________________Crops and Trees 2 Livelihood Date: _____________________________________________Others, specify IPAC Project: ESMF 1 = Attach Annexes valuation references (I.e. BIR zoning schedule, municipal assessor's approved valuation schedule, price lists from hardwares, etc.) Page 108 2 = for permanent income loss, compute 1 year net income. for temporary income loss, compute 6-months income. 3 = indicate whether PAP agreed to donate the land, allow perpetual use, be paid cash compensation, be given land for land and other arrangements. ANNEX 8 ABBREVIATED RESETTLEMENT PLAN OUTLINE 8 Inclusive Partnerships for Agricultural Competitiveness (IPAC) Project A. SCOPE OF LAND ACQUISITION AND RESETTLEMENT A.1 Describe alternative options, if any, considered to minimize land acquisition and its effects, and why the remaining effects are unavoidable A.2 Summarize key effects in terms of land acquired, assets lost, and people displaced from homes or livelihoods B. OBJECTIVES, POLICY FRAMEWORK AND ENTITLEMENTS B.1 Describe key national and local land, compensation and resettlement policies, laws and guidelines that apply to project B.2 Explain how Bank Policy on Involuntary Resettlement (IR) will be achieved C. CONSULTATION AND GRIEVANCE REDRESS PARTICIPATION Describe consultation processes and procedures for redress of grievances D. COMPENSATION, RELOCATION AND INCOME RESTORATION D.1 Describe arrangements for valuing and disbursing compensation D.2 Describe arrangements for housing relocation, including transfer and establishment D.3 Describe income restoration measures to be implemented D.4 Identify any environmental risks, describe management and monitoring steps F. RESETTLEMENT BUDGET AND FINANCING Identify land acquisition and resettlement costs and funding sources G. IMPLEMENTATION SCHEDULE Provide time schedule showing how DPs will be provided for prior to subproject implementation. H. MONITORING AND EVALUATION Specify arrangements for M&E I. ANNEXES i.1 Subproject Location Map i.2 Master List of Displaced Persons (DPs) i.3 Summary of Affected Assets i.4 Highlights of Consultation Meetings 8 The shorter LARP version shall be required if the number of DPs do not reach the following threshold levels: 200 people or more will experience resettlement effects, 100 DPs or more are IPs or in some way vulnerable i.e., households headed by women, persons without legal title, or 50 DPs or more are particularly vulnerable, e.g. hunter-gatherers, conflict affected persons IPAC Project: ESMF Page 109 ANNEX 9 Legal Documents Inclusive Partnerships for Agricultural Competitiveness (IPAC) Project (The Project will use the following legal documents templates for Land Acquisition, Rehabilitation and Resettlement prepared by WB) : LARR Form 4 - Deed of Donation LARR Form 5 - Deed of Donation with Quit Claim LARR Form 6 - Waiver & Quit Claim Form LARR Form 7 - Affidavit of Possession LARR Form 8 - Affidavit of Possession with Quit Claim LARR Form 9 - Declaration of Ownership with Waiver of Claim LARR Form 10 - Dec of Ownership & Voluntary Undertaking LARR Form 11 - Affidavit of Claimant LARR Form 12 - Joint Affidavit of Adjoining Landowners LARR Form 13 - Joint Affidavit of Barangay Officials LARR Form 14 - Dec. of Heirship and SPA LARR Form 15 - Request for MARO Verification LARR Form 16 - Affidavit of Non Tenancy LARR Form 17 - Check Sheet for Deed of Sale LARR Form 18 - Affidavit of Vol. Undertaking for informal settlers LARR Form 19 - Group Waiver for Affected Structure IPAC Project: ESMF Page 110 ANNEX 10 IPAC PROJECT RESETTLEMENT POLICY FRAMEWORK A. Introduction This policy framework serves as a guidepost for IPAC Project implementers to ensure that persons displaced by the implementation of the Rural Infrastructure Services (RIS) to improve access to market are properly informed of their rights, consulted on and provided with sustainable resettlement options and fair and just compensation for losses of lands and assets. While the number of people affected and the magnitude of adverse project impacts cannot be ascertained at this time, IPAC Project will ensure that these impacts will be minimal and that no subprojects will commence construction works unless displaced persons are properly compensated and/or rehabilitated. B. Framework Objectives The Resettlement Policy Framework aims to provide the project implementers with guide in determining displaced persons (DPs) who are eligible for entitlements and appropriate compensation for their properties and assets affected by the project. It also seeks to ensure that all DPs sometimes referred to as project affected persons (PAPs) are adequately compensated for their losses and are provided with assistance to improve, or at least maintain their pre-Project living standards and income earning capacity. C. Legal Bases for Resettlement Policy Framework. This framework on the Land Acquisition, Resettlement and Rehabilitation of Displaced Persons is based on the following issuances of the Philippine government (Table 1): Table 1. Philippine Legal Issuances on Land Acquisition and Resettlement Philippine Government LAW/ ORDER PROVISIONS Executive Order 1035 (1985) Requires the conduct of: □ Feasibility Study □ Public Information Campaign □ Parcellary survey □ Assets Inventory Other features include: □ Land acquisitioned based on fair market value to be negotiated between owner and appraiser □ Resettlement/relocation of tenants, farmers & other occupants □ Financial Assistance to displaced tenants, cultural minorities & settlers equivalent to the average gross harvest for the last 3 years & not less than P15,000 per ha. IPAC Project: ESMF Page 111 □ Disturbance compensation to agricultural lessees equivalent to 5 times the average gross harvests during the last 5 years □ Compensation for improvements on land acquired under CA 141 Government has power to expropriate in case agreement is not reached. Supreme Court Ruling (1987) □ Defines just compensation as fair and full equivalent for the loss sustained taking into account improvements, location, capabilities, etc. □ The value given by the appraiser can only serve as a guide for negotiation. The objective is to enable the DBP to replace affected assets at current market price Department of Public Works and □ Aims to avoid unnecessary delays in civil Highways (DPWH) DP 145 (1995) works □ Inclusion of parcellary plans and cost estimates for ROW acquisition in detailed engineering stage □ EO 1035 & MC 65 will still be followed in matters relating to the acquisition and compensation of private properties Republic Act (RA) 6389 □ Provides disturbance compensation for agricultural leases equivalent to 4 times the average gross harvest in the last 5 years RA 7279 Urban Development Housing Act □ Provides guidelines for resettlement of of 1992 ((UDHA 1992) persons living in danger areas e.g. riverbanks, shorelines & waterways or areas where government infrastructure project are about to be implemented. Guidelines cover the provision of basic services and facilities in resettlement sites, livelihood support, meaningful participation and adequate social preparation for the affected households, close coordination between sending and host LGUs, grievance redress and related aspects. □ Danger areas as enumerated in Article VII, Section 28 of RA 7279 includes Waterways but not specifically water pipelines Right of Ways (ROW). The 2002 Bignay incident of Manila Water showed that waterlines are potential danger area. □ Relocation involving court eviction cases shall be undertaken by the local government, agencies involved (in this IPAC Project: ESMF Page 112 case the MWSS) within forty-five (45 days) from service of notice of final judgment by the court. □ Informal settlers who built their house on or before the effectivity date (March 28, 1992) are entitled to all benefits and considerations prescribed in the said act. All those exempted or not covered by the said act will be dealt with accordingly (see Section 5a) RA 8368 (1997) □ Repealed PD 772 of 1975 which penalized squatting and similar acts □ All pending cases under the provisions of PD 772 are consequently dismissed RA 8371 (1997) □ Protects and recognized rights of indigenous cultural communities on their ancestral lands. RA 8974 (2000) □ Aims at ensuring that the owners of real property acquired for NG infrastructure projects are promptly paid just compensation. It also provides for the compensation of affected improvements and structures at replacements cost without depreciation and inclusive of labor costs for reconstruction and the arrangement of independent appraisers for a more accurate determination of the market values of lands and improvements. Section 5 provides for standards in the determination of the fair market value of land. □ Section 5, Standards for the Assessment for the Value of the Land Subject of Expropriation proceedings or Negotiated Sale – in order to facilitate the determining just compensation the court may consider among other well- established factors, the following relevant standards: 1. The classification and use for which the property is suited. IPAC Project: ESMF Page 113 D. Key Gaps Between the Philippine Laws and the World Bank’s Policy on Involuntary Resettlement and Indigenous Peoples The key gaps between the local laws and regulations and the provisions of the World Bank’s Policy on Involuntary Resettlement and Indigenous Peoples include: Table 2. Gaps between Philippine laws and WB Policy on Involuntary Resettlement and Indigenous Peoples Gaps Philippine Laws WB Policy a) Limited assistance Philippine Constitution, Article XIII, The WB OP 4.12 does not or protection is given Section 10: Urban or rural poor distinguish between the rural poor versus dwellers shall not be evicted nor their affected rural and urban the urban poor. dwellings demolished, except in poor and this is adopted. It accordance with the law and in a just also does not make humane manner. Focus is given on distinction to residential or urban poor as per Urban Development business. This is adopted. and Housing Act. b) The law is not very No specific law for replacing lost Loss of income is clear on assistance to income. Common practice is to compensated apart from small enterprises and provide livelihood assistance to only loss of structure and or shop renters, displaced those who opt to go to government land. This is adopted. vendors, etc. resettlement area. c) Donation is the first Under the law, there are different The potential donors will option taken by modes of acquiring title to, and be informed of other implementing agencies ownership of real estate property, as modes of land acquisition when acquiring land well as the modes of acquiring right to and specific criteria will for development. use private property for another be used to ensure that the purpose. RA 8974 specifies the land donation is genuine, if following methods: Donation, Quit such is taken as the Claim, Exchange or Barter, Negotiated means to acquire land. Sale or Purchase, Expropriation and This is adopted. any other modes of acquisition authorized by law. d) Valu ation of th e The Implementing Rules and OP 4.12 requires that property for negotiated Regulations of RA8974 state that the replacement cost which is sale. Implementing Agency shall negotiate defined as the amount with the owner for the purchase of the necessary to replace the property by offering first the current structure or improvement zonal value issued by the Bureau of based on the current Internal Revenue for the area where market prices for the private property is located. If materials, overhead, and rejected, renegotiation using the values all other attendant costs recommended by the Appraisal associated with the Committee or Independent Land acquisition. If needed IPAC Project: ESMF Page 114 Appraiser as a guide is taken. other forms of assistance shall be added to top off Standards to determine market value the compensation allowed are as follows: by local laws. This is adopted. >The classification and use for which the property is suited; >The development costs for improving the land; >The value declared by the owners; >The current selling price of similar lands in the vicinity; >The reasonable disturbance compensation for the removal and/or demolition of certain improvements on the land and for the value for improvements thereon; >The size, shape and location, tax declaration and zonal valuation of the land; E. Resettlement Guiding Principles The IPAC Project adopts the following principles outlined in the World Bank’s Operational Policy 4.12 to protect the rights of the Displaced Persons: • Acquisition of private land and other assets should be avoided, where feasible, and minimized as much as possible. • All DPs residing or cultivating land, working, doing business, or having rights of ownership along an alignment or segment of alignment to be constructed, rehabilitated or improved under the Project are, as of the time of conduct of the baseline surveys, entitled to be provided with compensation sufficient to assist them to improve or at least maintain their pre-Project living standards, income earning capacity and production levels. • Lack of legal rights to the assets lost will not bar the DP from entitlement to such compensation or rehabilitation measures. • Replacement premise and agricultural land will be as close as possible to the land that was lost and is acceptable to the DPs. IPAC Project: ESMF Page 115 • All replacement land for agriculture, residential and business use will be provided with secured tenure status and without any additional cost, taxes, and surcharges to the DPs at the time of transfer. • Planning and implementation for acquisition of land and provision of compensation will be carried out in consultation with the DPs, to ensure minimal disturbance and transparency in transactions between the Project implementers and the DPs. • Entitlements will be provided to DPs not later than one month prior to expected start-up of works at the respective subproject site. Construction work will not be initiated until DPs are compensated or adequately relocated. • Financial and physical resources for compensation will be made available as and when required. • Affected community infrastructure must be restored or replaced. • Institutional arrangements should be in place to ensure the effective and timely design, planning and implementation of the inventories. • Effective and timely implementation, supervision, monitoring and evaluation of the resettlement plan must be carried out. F. Modes of Land Acquisition Private assets (e.g., land, structures and other improvements) will be acquired for the Sub- project through: • Donation and/or grant of ROW • Negotiated purchase, which is also equivalent to voluntary sale or willing buyer/willing seller scheme • Expropriation • Usufruct • Lease Agreement For land donation it is important to examine the processes and documents to ensure that donation was not coerced. The following protocol is prescribed to help ensure that donation is voluntarily done: 1. Ensure transparency of information and process in getting informed consent of the potential donor. The affected parties must understand: a. what the land is going to be used for, by whom and for how long; IPAC Project: ESMF Page 116 b. that they will be deprived of the ownership or right to use the land, and what this really means; c. that they have the right to refuse to donate the land; d. whether there are alternatives to using this land; e. what they will need to do to donate the land and the costs involved (e.g. execute documents, get spouse consents, pay taxes); f. The effect of the donation on their family, and what they can do if they (or their family or heirs) want the land back. g. His right to refuse must be a legitimate right, unconditional, and the potential transferee must be capable of exercising it in the local community and political context. The decision to donate must be made without coercion, manipulation, or any form of pressure on the part of public or traditional authorities. h. For collective or communal land, donation must be based upon the informed consent of all individuals using or occupying the land. 2. The proportion of land donated by any individual does not exceed 10 percent of the potential donor’s land holding. 3. Voluntary land donation will not cause any household relocation to include those who may be informal settlers. 4. Voluntary land donation should be used only to support small scale community infrastructure, where the impacts are minor. For IPAC potential projects this may be applicable to small right of way. 5. There should be a clear agreement as to which party will pay the costs associated with the donated land. This could include measurement costs, documentation and notarial fees, transfer taxes, registration fees. It should also include the costs of re measuring/re titling the transferee’s remaining land and any new documentation relating to it. 6. Ensure that the documentation establishes a deadline to initiate project use of donated land. Thereafter, specific due diligence must be conducted on each parcel of land proposed for donation to identify: • The owner or owners of the land • The users of the land, or any parties that occupy the land (either physically or through ownership of an asset or conduct of livelihood or business activities on the land) • Any competing claims of ownership or use • Structures and assets on the land IPAC Project: ESMF Page 117 • Any encumbrances on the land It is important to (i) identify the right that is being transferred (an ownership right, a use right, a right of way etc.) and (ii) check whether the transferee actually has the right s/he claims to have. In some circumstances – but not all – the transferee will have documentary evidence of such right. Where no such evidence exists, the due diligence can establish rights by speaking with local community officials and neighbors. If careful due diligence has not been carried out, significant conflict has arisen at the later stage if another party claims that they have the same or a competing right. The Sub-project Proponent may seek the imposition of an Easement of Right-of-Way (ROW) provided for under the Philippine Civil Code. In such cases, a ROW easement agreement will be executed by the property owner and the Sub-project Proponent, whereby the former will grant the latter the right to use the affected portion of the lot, as ROW, but the owner retains ownership of the said portion of the lot. In these cases, the Sub-project Proponent may pay the owner the value of the affected portion of the lot based on an independent appraiser carried out according to internationally accepted norms. In addition, the Sub-project Proponent shall compensate the property owner at replacement cost for any improvements and/or structures on the land affected by the ROW. The Sub-project Proponent will enter the easement area after the provision of the full payment for the easement to the property owner. The ROW easement agreement will be immediately registered with the Registry of Deeds. The Sub-project Proponent may also acquire a property through usufruct. The property owner retains the naked ownership of the land, while the Sub-project Proponent enjoys the benefit of the use of land. The Sub-project Proponent and the property owner will execute a usufruct agreement. The agreement will cover the rights and responsibilities of the two parties, including the duration of the usufruct which should not be lower than the project life. The Sub-project Proponent may also acquire lands through lease agreements with the rightful property owner. The Sub-project Proponent and the property owner will execute a Lease Contract. The contract will cover the rights and responsibilities of the two parties, including the duration of the lease which should not be lower than the project life. In the case of negotiated purchase, the Sub-project Proponents will offer as the purchase price an amount equal to the replacement cost of the assets, as determined by an independent appraiser using internationally accepted procedures. This arrangement is a private land purchase - willing seller willing buyer arrangement, and it does not trigger WB OP 4.12. There are however instances when this can trigger OP 4.12 when the purchase of land is done by a government entity which has the authority to expropriate private land for public good. This happens when the project is site specific and alternate land that suits subproject design is not just difficult but may be impossible to find without significantly increasing the cost of construction. For such purposes, it is important that: 1. All displaced persons which includes owners and occupants are informed and consulted on the same items found above in item 1 for land considered for donation. IPAC Project: ESMF Page 118 2. Minimize land acquisition. Towards this encourage the participation of DPs during planning and implementation of Abbreviated RAP. 3. The land owner of partially acquired land equal to or beyond 20% may seek payment for the entire property since such loss may lead to loss of the economic of the land. 4. Additional grants and allowances to top up the compensation that may be prescribed by national laws to make up for issues in compensation related to replacement value, lost income specially for commercial properties be used. 5. Land for land compensation (of equal value and land use) should be considered when this is feasible. 6. Special assistance shall be provided to vulnerable groups (women headed households, elderly and disabled) to prevent being worse after relocation. 7. Community facilities damaged or displaced by proposed civil works should be replaced/ repaired at cost of proponent. 8. Document all issues related to Abbreviated RAP. A project cannot be considered complete when there are outstanding issues and these should be subject of supervision activities. For detailed guidance particularly on compensation, see Attachment 1 of this framework. All land transaction should be registered with the Registry of Deeds for annotation in the title of subject property. G. Guidelines on Entitlement Implementation of this Resettlement Framework at the local level is lodged on the local government unit (LGU) as proponent of the subproject. IPAC Project, represented by the Provincial Project Office will work and coordinate closely with the duly authorized representatives of the LGU in determining the appropriate compensation for DPs in accordance with the following compensation scheme: • DPs losing more than 20% or all of their productive assets (agricultural land, house or business), or in cases when the remaining assets are not economically viable, are entitled to: - Full compensation at replacement cost of the entire asset or at direct land/asset replacement; and - Rehabilitation assistance that allows them to enhance or at least maintain their standard of living. • DPs losing less than 20% of their productive assets, and where the remaining assets remain viable for continued use, are entitled to cash the compensation at replacement cost for the affected asset. IPAC Project: ESMF Page 119 • Agricultural land will be replaced by: - Land of equal productive capacity, which is acceptable to the DP; or - Full compensation at replacement cost, where land is not available. • Commercial/residential land (or other real property) will be replaced by: - Land of equal market value or business potential (as the case may be), which is acceptable to the DP; or - Full compensation at current market value, where suitable replacement land is not available or at the informed request of the DP. • Replacement of damaged or lost crops will be based on full market value for one year’s harvest and will be paid in cash. • DPs whose land is temporarily taken will be compensated at full replacement cost for their net loss of income and/or damaged assets, including a reasonable amount for opportunity cost/s. • Appropriate transfer and subsistence allowances will be given during the transition phase as part of the rehabilitation assistance package to allow DPs to enhance or at least maintain their standards of living. • Verification of titles and tax payments shall be undertaken before land replacement or cash compensation. DPs Losing Residential Land and Structures • The provision of replacement residential land (house site and garden) of equivalent size, satisfactory to the DP, and cash compensation reflecting full replacement cost of the structures, without depreciation. • If the DP so wishes and the portion of the land to be lost represents 20% or less of the total area of the residential land area, and the remaining land is still a viable residential lot, cash compensation, at full replacement cost (market value), will be provided to the DP. • If after acquisition, the residential land and/or structure is insufficient to rebuild the residential structure lost, then at the request of the DP the entire residential land and structure will be acquired at full replacement cost, without depreciation. • Tenants, who have leased a house for residential purposes will be provided with a cash grant of three months rental fee at the prevailing market rate in the area, and will be assisted in identifying alternative accommodation. DPs Losing Agricultural Land and/or Crops IPAC Project: ESMF Page 120 • The general mechanism for compensation of lost agricultural land will be through provision of “land for land” arrangements of equal productive capacity, satisfactory to the DP. However, if the DP so wishes and the portion of the land to be lost represents 20% or less of the total area of the landholding, and the remaining land is still a viable economic landholding, cash compensation, at full replacement cost (market value),will be provided to the DP. • If more than 20% of a villager’s agricultural land is acquired and the remaining holding is not viable, then the Project will acquire the entire landholding and provide compensation of the acquired land at direct land replacement. • DPs will be compensated for the loss of standing crops and fruit or industrial trees at full (current) market price. • DPs whose land is temporarily taken by the works under the Project will be compensated for their loss of income, standing crops and for the cost of soil restoration and damaged infrastructure, including a reasonable amount for opportunity costs. • DPs who will lose their income will be provided opportunities for alternative livelihood, through skills and entrepreneurship training, job matching or business development assistance. DPs Losing Business IPAC Project adopts the following mechanism for compensating loss of business: • The provision of alternative business site of equal size and accessibility to customers, satisfactory to the DP. • Cash compensation for lost business structure reflecting full replacement cost of the structures, without depreciation. • Cash compensation for the loss of income and opportunity during the transition period. • Cost of money in case of delays of one year and more in releasing payment. Others DPs will also be provided compensation at full replacement cost, without depreciation for any other fixed assets affected in part or in toto by the Project, such as tombs and water wells. In cases where community infrastructure such as schools, churches, health centers, water sources, IPAC Project: ESMF Page 121 roads, or electrical and water supply connections are damaged, the Project will ensure that these are restored or repaired as the case may be, at no cost to the community. Details of the entitlements are shown in Attachment 1 of RPF. H. Subproject Appraisal, Approval and Implementation 1. Subproject Appraisal. The following guidelines shall be adopted in the appraisal of the subproject: • The Project thru the Provincial Project Social Safeguards Officer/Provincial Project Office will conduct orientation meetings with the proponent barangay and municipal LGU officials to discuss details of the Resettlement Policy Framework including guidelines in the computation of compensation for lands, crops and other assets, roles and responsibility of the LGUs and other implementation arrangements. • The municipal planning and development officer (MPDO) with assistance from the municipal engineer (ME) of the proponent LGU and DAR’s development facilitator will conduct an inventory of displaced persons (DPs) for each road, bridge, , irrigation canal, water supply pipe alignment or segment thereof. • Once the inventory of DPs has been completed, community consultations/public assemblies shall be convened by the LGU with assistance from the Provincial Project Office to orient the DPs on the features and description of the Project and the proposed subproject including the benefits and adverse impacts and mitigating measures to be adopted and the resettlement compensation packages, valuation and payment schemes prescribed under the project. • A walk-thru of the alignments to determine the specific location of subprojects on the ground may be arranged by the municipality upon request of the DPs. Field verification activities will be conducted with the presence of the design engineers. • All consultation meetings including issues raised and agreements reached and other related activities must be properly documented copies of which shall be submitted to the Central Project Office as basis for validation. • Compensation for lands to be acquired from each of the affected households may be based from BIR zonal valuation, assessor’s fair market value, proof sale of areas adjacent to the subject land for acquisition and Land Bank valuation. Valuation of improvements including crops, trees and other structures may be secured from the Municipal Agriculture Office (MAO), Community Environment and Natural Resources Office (CENRO), and/or bill of materials from existing hardware/s where the subprojects are located. IPAC Project: ESMF Page 122 • Aside from the Masterlist of DPs, Summary of Affected Lands and Improvements/Livelihood and the corresponding legal documents and right of way valuation, the LGU must also prepare an abbreviated resettlement plan if the DPs are less than 200. Templates of the abovementioned documentary requirements are shown in Annexes 5 to 7 • An Abbreviated Resettlement Plan must reflect information on the inventory of displaced persons and properties, valuation of assets and description of compensation and other resettlement assistance to be provided, meetings and consultations made with displaced people and agreements reached, implementation arrangements and grievance redress mechanisms, arrangements for supervision, monitoring and evaluation, and implementation schedule and budget. • Funds for implementing the resettlement plan shall be provided by the LGU based on the budgetary requirements established by the municipal and barangay committees in consultation with the DPs. • All arrangements and agreements indicated in the resettlement plan shall be subject to review and concurrence/approval of the Central Project Office. 2. Subproject Approval. The following guidelines shall govern approval of the subproject: • The Project shall not proceed with the endorsement of the subproject to SAC for approval unless a compensation package in accordance with this framework, satisfactory to all concerned, is agreed upon between the LGU and the owners of land/asset affected and those who stand to lose their crops, jobs or sources of income. • All subprojects submitted for approval that involve resettlement must be supported by the following documentary requirements: - Abbreviated Resettlement Plan; - Masterlist of DPs; - Summary of Affected Lands and Improvement/Livelihood; and - Legal documents signed by all the concerned DPs. • In consideration of the length of time required to process and complete the required legal documents specially in cases when some of the identified DPs are no longer residing within the subproject site, endorsement of the subproject to SAC for approval may be considered by the Project if all of the DPs and/or their representatives have expressed their support to the project and at least 60% of the identified DPs have already signed the appropriate legal documents. 3. Subproject Implementation. The Project shall not allow any subproject activities to commence until the compensation has been paid and resettlement, when necessary, is completed in IPAC Project: ESMF Page 123 accordance with this document and to the satisfaction of the DPs. Payments of compensation and provision of other entitlements (in cash or in-kind) must be satisfactorily completed for each subproject prior to the World Bank issuance of “no objection” for award of contract for civil works. Similarly, in cases where DPs voluntarily contribute any part of their lands and/or assets for the subproject, all deeds of donations and other relevant legal documents must be satisfactorily completed prior to the World Bank issuance of “no objection” for award of contract for civil works. I. Institutional Arrangements The overall responsibility for the implementation and enforcement of the policy and guidelines set forth under this Resettlement Framework at the local level shall be lodged with the Local Government Unit (LGU) as proponent of subprojects that will be funded under the IPAC Project. The DAR, through the respective Regional and Provincial Project Offices and the Municipal Agrarian Reform Officers (MAROs), shall provide guidance to the LGU proponents to ensure that the policy and guidelines are strictly adhered to. The LGU through the Municipal Planning and Development Office (MPDO) and its other authorized representative, shall be responsible for the inventory and identification of DPs, determination of DPs who are eligible for compensation, inventory of affected assets, and determination of the appropriate compensation and/or rehabilitation schemes. In coming up with its Abbreviated Resettlement Plan, the LGU shall see to it that the DPs are appropriately oriented and consulted in the process. The LGU shall also be responsible for the preparation and execution of other pertinent legal documents signed by the DPs that are required under its Abbreviated Resettlement Action Plan. The MARO shall provide guidance and work closely with the LGU in this regard. All arrangements and agreements shall be subject to review and concurrence/approval by the IPAC Project Central Project Office. The Project shall retain a Social Safeguards Specialist at the CPO to oversee the implementation and adherence to the policies and guidelines set out under the Resettlement Framework. A Project Social Safeguards Officer shall be designated in each of the 44 provinces covered by the project to handle coordination and monitoring of the LARR concerns. Supervision, Monitoring and Evaluation The IPAC Project through the respective Provincial Project Office (PPO) and the MARO shall, closely supervise and monitor LGU compliance and implementation of the inventories and resettlement action plans, in close coordination with the respective LGU and barangay-based committees. Quarterly monitoring reports shall be prepared by the PPO and submitted to the CPO through the respective Regional Project Office for review and periodic validation. Data from the monitoring reports shall form part of the project’s monitoring and evaluation system. The IPAC CPO shall retain an external agency or agencies, as and when needed, to carry out independent monitoring and evaluation of the implementation of the LGU resettlement action plans. IPAC Project: ESMF Page 124 The LARR documentation and approval process flow diagram is shown in Figure 1 below: Figure 1. LARR Documentation and Approval Process Proposed Subproject - inventory of DPs (landowners, tenants, informal dwellers, etc.) Identification of DPs (LGU, MARO) - inventory of affected land and improvements Conduct of consultation with DPs No Successful? Mode Yes - Consultation re: arrangements, etc. - Preparation/Revision of ARP Donate - Preparation and execution of legal documents (MARO, MLGU, DF) Compensate - PPO & RPO to validate proposed subproject & review & facilitate revision of No documents Acceptable? CPO to validate proposed Yes subproject and initially review ARP & other relevant d No Acceptable? CPO to review and approve ARP & relevant Yes documents Regional SAC/National SAC Approval Payment of compensation due to DPs made prior to construction Project Implementation & Monitoring of LGU Compliance (per IPAC Project: ESMF Page 125 approved ARP) J. Grievance Redress Mechanism Complaints and grievances relating to any aspect of the resettlement entitlements and/or activities, including the determined area and price of the lost assets, will be managed as follows: • A Complaints and Grievance Committee (CGC) at the barangay level shall be established to hear the complaints and grievances of the DPs regarding the acquisition of land and other assets, compensation, resettlement, rehabilitation and other entitlements. Members of the CGC shall include the Barangay Captain, Barangay Secretary and a member of the Barangay Justice (Lupong Tagapamayapa) as well as formal and informal representatives of the affected community. • The complaint, grievance and appeal shall have the following levels:  LEVEL 1 Displaced Person addresses complaints and grievances to the Barangay CGC. The Committee will have to document its investigation to the facts presented and provide a written response to the DP, within fifteen (15) calendar days of receiving the complaint.  LEVEL 2 If the DP is not satisfied with the decision of the Committee; the DP may appeal the case to the MPDO within fifteen (15) calendar days of receiving the written decision/s from the Barangay Committee. The decision of the MPDO shall be rendered within thirty (30) calendar days of receipt of the DP's appeal after validating the facts of the complaint.  LEVEL 3 If the DP is not satisfied with the decision of the MPDO; the DP may appeal the case to the PPO within fifteen (15) calendar days of receiving the written decisions from the MPDO. The decision of the PPO shall be rendered within thirty (30) calendar days of receipt of the DP's appeal after validating the facts of the complaint. • If the DP is not satisfied with the decision of the PPO, the case may be submitted to the IPAC Project Central Project Office (Technical Review Unit), for consideration. The decision of the TRU shall be rendered within thirty (30) calendar days of receipt of the DP's appeal. • DPs will be exempted from all administrative and legal fees. • Resorting to courts prior to availment of this complaint and grievance process will make the appellant’s action dismissible, on the ground of non-exhaustion of administrative remedies. Modes of Filing Complaint to the Complaints and Grievance Committee. Although different modes of filing is acceptable to the Project, as a matter of policy, the IPAC Project, shall only entertain and act upon complaints and grievances which was duly signed by the complainant to avoid misuse or abuse of the procedure. The complainant, however, is assured of confidentiality by the officers and members of the Complaints and Grievance Committee until proper venue has been provided to discuss and settle the reported issues. IPAC Project: ESMF Page 126 • Filing of complaints through Barangay CGC Logbook – each IPAC Project barangay shall be required to provide a Logbook to record complaints raised by community member(s) in relation to Project implementation • Filing of complaints through Barangay Drop Boxes - each IPAC Project barangay shall be required to provide a Logbook to record complaints raised by community member(s) in relation to Project implementation. Non- IPAC Project complaints shall be forwarded to the concerned offices/institutions for appropriate action. • Complaints/Grievance Reports via text messages – members of the CGC shall make available official contact numbers for complaints/grievance filing • Personal filing of grievances/complaints For the Indigenous Peoples, all complaints shall be discussed and negotiations must be carried out in the specific communities where affected indigenous peoples live. The CGC together with the tribal council concerned should facilitate this process and the Project must ensure that affected IPs are properly represented. Where necessary, IPAC Project will bring in NCIP staff so that rights of IPs are protected. If negotiations are stalled, or IPs disagree with all possible options presented during these deliberations, the affected tribes can bring their grievance or complaints to the municipal implementing units of the Project. Should this still fail the IP expectations, the IPs can elevate their complaints to the Provincial representative of the NCIP and the Office of the Provincial Agrarian Reform Officer, with copies of the complaint furnished the Office of the Provincial Governor. Resolution of conflicts should be encouraged at the lowest level possible, thru the facilitation of Municipal and Community Tribal Councils. Again, the documentation of such meetings and interactions with affected IP households/communities must be documented and distributed to relevant stakeholders. The CPO Desk Officer for complaints and grievances is Ms Charie R. Regalado of Project Management Service, DAR who may be contacted in the following means: (email address: charie9950@gmail.com; office address: Project Management Service, Department of Agrarian Reform, Elliptical Road, Diliman, Quezon City, Philippines; Telephone no.: (632) 4267496; Mobile no. (63) 918 9005070). She shall oversee the proper handling of complaints and grievances and ensure that a summary of the entries of the CGC logs per region shall be part of the progress report submitted to The World Bank Group. H. Proposed Budget and Financing An estimated budget of P36.656 million or US$833,091 9 under the IPAC Project is proposed to be allocated for the implementation and monitoring of activities to ensure compliance of the project’s social safeguard policies including LARR, Indigenous People, and gender and development. The details of the proposed budget is shown in Table 3 below. 9 At an exchange rate of US$1.00 = PhP44.00. IPAC Project: ESMF Page 127 Table 3. Proposed Budget for IPAC Project Social Safeguards Quantity Unit Cost Amount (P'000) Particular Unit Year 1 Year 2 Year 3 Year 4 Year 5 (P'000) Year 1 Year 2 Year 3 Year 4 Year 5 Total Technical Assistance National - Social Safeguards Specialist 1/ MM 6 12 12 12 56 336 672 672 672 - 2,352 Stakeholders Orientation (DAR & LGUs) Regions 14 100 1,400 Honoraria - Provincial Project Social Safeguards Officer Provinces 44 44 44 44 44 24 1,056 1,056 1,056 1,056 1,056 5,304 Operating Expenses (including supplies & staff travel) Provinces 44 44 44 44 44 120 5,280 5,280 5,280 5,280 5,280 26,400 Monitoring & Evaluation 2/Lump Sum 200 200 1,000 200 1,000 2,600 Total 8,272 7,208 8,008 7,208 7,336 36,656 1/ The specialist will handle the implementation of the Resettlement and Indigenous Peoples Policy Frameworks and Gender and Development concerns. 2/ Monitoring and evaluation of social safeguards shall form part of the IPAC Project's M&E/MIS system as well as conduct of third party results monitoring and evaluation. At the local level, the concerned LGUs shall be required to allocate in its annual budget, funds for implementing the asset inventories and resettlement action plans including the necessary compensation package. The annual budget requirements shall be worked out by the concerned municipal and barangay committees in consultation with the DPs based on their resettlement action plans. IPAC Project: ESMF Page 128 Attachment 1 Compensation Matrix IMPACT DISPLACED ASSET COMPENSATION ENTITLEMENT CATEGORY PERSON (DP) Farmer/title • Cash compensation for affected land Less than 20% of holder at full replacement cost land holding and the remaining land • Cash compensation equivalent to remains Tenant/lease market value of gross harvest of the economically viable holder affected land for one year or for the remaining period of tenancy/lease agreement, whichever is greater. • Land for land replacement or compensation in cash according to DP’s choice. Land for land replacement will be in terms of a new parcel of land of equivalent size Farmer/title and crop productivity with a secured Arable land More than 20% of holder tenure status at a location acceptable land holding lost OR to the DP. The replacement land where less than 20% shall be free of taxes, registration & of land holding lost other costs. but remaining land • Rehabilitation assistance becomes • Transfer/resettlement assistance economically not • Cash compensation equivalent to Tenant/lease market value of gross harvest for viable holder one year or for the remaining period of tenancy/lease agreement, whichever is greater. • Cash compensation equivalent to 6 Agricultural months salary worker • Assistance in getting alternative employment • Cash compensation for affected land Title holder/ Land used for at full market value Commercial bus. man • Cash compensation equivalent to 5% business partially land of gross annual income affected, limited loss Rental/lease • Cash compensation equivalent to holder 10% of gross annual income. IPAC Project: ESMF Page 129 IMPACT DISPLACED ASSET COMPENSATION ENTITLEMENT CATEGORY PERSON (DP) • Land for land replacement or compensation in cash according to DP’s choice. Land for land replacement will be provided in terms of a new parcel of land of equivalent size and market potential Title holder/ with a secured tenure status at a Land used for bus. man location acceptable to the DP. The business severely land shall be free of taxes & other affected, remaining transfer costs. area insufficient for • Rehabilitation assistance continued use • Transfer/resettlement assistance • Opportunity cost compensation equivalent to 10% of gross annual income. • Opportunity cost compensation Rental/lease equivalent to 20% of gross annual holder income. • Assistance in rental/lease of alternative land/property Less than 20% of Title holder • Cash compensation for affected land land holding affected at full replacement cost and the remaining • Minimum cash compensation Rental/lease equivalent to 10% of lease/rental fee land remains viable holder for the remaining period of for present use rental/lease agreement • Land for land replacement or compensation in cash according to DP’s choice. Land for land replacement shall be of minimum plot of acceptable size under the More than 20% of zoning law/s or a plot of equivalent Residential and size, whichever is larger, in a nearby land holding affected other non- resettlement area with adequate OR where less than Title holder physical and social infrastructure commercial 20% of land holding systems as well as secured tenure land affected but status. When the affected holding is remaining land larger than the relocation plot, cash becomes smaller than compensation to cover the difference in area/size. Replacement land shall minimally accepted be free of taxes, registration and under zoning law/s transfer cost. and/or not viable for • Rehabilitation assistance continued use • Transfer/resettlement assistance • Cash compensation equivalent to 20% of lease/rental fee for the Rental/lease remaining period of rental/lease holder agreement • Assistance in rental/lease of alternative land/property IPAC Project: ESMF Page 130 IMPACT DISPLACED ASSET COMPENSATION ENTITLEMENT CATEGORY PERSON (DP) • Cash compensation for affected Structure partially Owner structure and other fixed assets affected but the • Full (cash) assistance in restoration of the remaining structure remaining structure • Cash compensation for affected remains viable for Rental/lease assets continued use holder • Disturbance compensation equivalent to two months salary or rental whichever is greater • Cash compensation for entire Owner structure and other fixed assets • Rehabilitation assistance Structures • Transfer/resettlement assistance Entire structure • Cash compensation for affected affected OR structure assets partially affected but Rental/lease • Disturbance compensation holder equivalent to six months salary or the remaining rental whichever is greater structure is not viable • Assistance in alternative rental for continued use arrangements • Cash compensation for affected Informal assets dwellers • Disturbance compensation equivalent to three months salary or rental whichever is greater Crops affected by • Cash compensation at full market land acquisition or value PLUS 5% premium Standing crops temporary DP acquisition or easement • Cash compensation based on type, Trees Trees lost Title holder age and productive value of affected trees PLUS 10% premium Temporary • Minimum cash compensation Easement acquisition or Title holder equivalent to 10% of the value of easement affected asset Temporary or • Cash compensation equivalent to Loss of permanent loss of one year income if the loss is business, business, income or permanent income or employment (not DP • Cash compensation equivalent to one to six months income if the loss employment covered in previous is temporary categories) IPAC Project: ESMF Page 131 ANNEX 11 IPAC PROJECT INDIGENOUS PEOPLES DEVELOPMENT FRAMEWORK A. The PROJECT The Project Inclusive Partnerships for Agricultural Competitiveness (IPAC) is designed to enhance market opportunities for smallholder farmers through a more beneficiary-led process where farmers have the opportunity to identify, prepare, implement and manage their preferred enterprises. It will enable ARBs, smallholder farmers and landless farm workers through their farmer’s organizations (FOs) to engage in agri-enterprise on their own or in partnership with commercial private sector or buyers. Support will be provided in the form of organizational development and extension including technical assistance, rural infrastructure and land tenure services. Investments in productive partnerships in agribusiness of Farmer’s Organizations with private business partners will also be supported through a one-off Matching Grant to finance feasible business plans of qualified FOs who can provide matching contributions. Projects to be supported under the grant will include investments to improve productivity, product quality, production facilities, semi-processing and marketing, production of value added agricultural products, food safety promotion and improvement, business management, income-generating activities, new product development and provision of services. Infrastructure projects which prove to be critical to make the agri-enterprise work will also be supported. The Project will be implemented by the Department of Agrarian Reform (DAR) in collaboration with the Department of Trade and Industry (DTI), Department of Agriculture (DA), Department of Science and Technology (DOST), Local Government Units, State Universities and Colleges and various service providers The project consists of three components: (1) Support Services to Enhance Market Linkages which involves four subcomponents: (a) Organizational Development and Extension Services (b) Business Development Services (c) Rural Infrastructure Services (d) Land Tenure Improvement (2) Investments in Productive Partnerships which involves two subcomponents: (a) Market Forum Facilitation (b) Productive Partnership Subprojects (3) Project Management Monitoring and Evaluation IPAC Project: ESMF Page 132 The project will cover 50 ARC Clusters covering about 300 ARCs located in 44 provinces. These include 26 provinces in Luzon (Abra, Benguet, La Union, Pangasinan, Ilocos Norte, Ilocos Sur, Cagayan, Isabela, Nueva Vizcaya, Bulacan, Bataan, Nueva Ecija, Pampanga, Tarlac, Zambales, Batangas, Quezon I & II, Marinduque, Oriental Mindoro, Occidental Mindoro, Palawan, Albay, Camarines Sur, Masbate, Sorsogon and Camarines Norte), 11 provinces in the Visayas (Aklan, Capiz, Iloilo, Negros Occidental, Bohol, Cebu, Negros Oriental, Eastern Samar, Leyte, Northern Samar, and Samar Province), Seven provinces in Mindanao including ARMM (Misamis Occidental, Compostela Valley, Davao del Norte, Davao Oriental) , Maguindanao, Lanao del Sur and Basilan. The 50 ARC Clusters are located in 203 municipalities/cities. The list of the 50 ARC clusters and their specific location is shown in Annex 1. Based on the initial screening of covered LGUs in the 44 target provinces, using the Ancestral Domain Information System (ADIS) of NCIP, only 9 provinces have no reported issued nor applicationsCADT/CALT. IPs and ICCs present in the Clusters belong to the Maeng, Muyadan, Ibaloy, Kankana-ey, Bago, Bugkalot, Ikalahan, Aeta, Agta, Ambala, Tadyawan, Bangon, Tagbanua, agtaCimaron, Kabihug, Eskaya, Bukidnon, Dibabaon, Mangguangan, Ata Manobo, Mandaya, Iranon, Dalaman, Yakan, B’laan and Manobo tribes. However, because of the demand-driven nature of the rural infrastructure subprojects and agro processing facilities which will be constructed and implemented as support to the agribusiness ventures to be financed under IPAC Project, the exact locations and type of investments to be established during the project have yet to be ascertained at this time. Likewise, the presence of Indigenous Peoples (IPs) in the specific subproject’s influence area as well as the extent of subproject impacts on the IPs and their ancestral lands can only be identified and assessed during subproject preparation phase. IPAC Project adopts the Indigenous Peoples Development Framework and ensures that where indigenous peoples are found, that the Project deliberately seek their genuine involvement in sub- project decision making. This development framework supports the priority given to the Indigenous Peoples by the Government of the Philippines under Republic Act 8371 known as the Indigenous Peoples Rights Acts of 1997 and the World Bank’s Operational Policy on Indigenous Peoples (OP 4.10). These are also in line with the expressed goal of Asset Reform under the Social Development Agenda of the Philippine Development Plan (2011-2016) to recognize, protect and empower ICCs/IPs’s rights and welfare. B. Framework Objective The Framework and Procedural Guidelines seek to ensure that Indigenous Peoples are informed, consulted and mobilized to participate in the planning, implementation and monitoring of sub- projects to be supported by IPAC Project. The inclusion and active participation of the IPs in this process will provide them with access to livelihood opportunities and protect them from any potential risks and adverse impacts of subprojects to be financed by the Project. IPAC Project: ESMF Page 133 C. Definitions: “Indigenous Peoples” will be used to refer to cultural communities, tribal groups that can be identified in particular geographical areas by the presence in varying degrees of the following characteristics: • a collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; • self-identification and identification by others as members of a distinct cultural group; • an indigenous language, often different from the national language of the country or region; and • cultural, economic,social or political institutions that are separate from the dominant society and culture. Table1. Results of Screening of covered LGUs in 44 Target Provinces for presence of IP communities: Provinces #of LGUs Presence of IPs Ancestral domain and IPs LGUs locations. LUZON 1. Abra 5 Luba Maeng AD/AL coverage in Tubo, Luba and Manabo are municipal –wide Pilar None Manabo Muyadan Villaviciosa None Tubo Maeng 2. Benguet 9 Atok Ibaloi, 8 Bgys in Atok, , 7 bgys in Kankanaey Bakun& 7 bgys in Kibungan have CADTs, other LGUs have Bakun Kankana-ey, pending CADT applications Bago Kapangan Ibaloy, Kankana-ey, Kalanguya La Trinidad Ibaloy Tuba Ibaloy Mankayan Kankan-ey IPAC Project: ESMF Page 134 Sablan Ibaloy Tublay Ibaloy, Kankan- ey Kibungan Kankana-ey 3. La Union 5 Agoo none AD/AL coverage in Pugo is municipal-wide, while for Sto. Tomas none Tubao& Rosario are in some portions of the brgys. Pugo Bago, Kankana- ey Tubao Ibaloy, Kankana-ey, Bago Rosario Bago, bontoc, Kankana-ey 4. Pangasinan 9 Alcala none IPs (Kalanguya, Ibaloi, Kankanaey, Bago and Applai) Basista none are in the municipalities of San Nicolas and Sison Bautista none Bayambang none Malasiqui none San Carlos none Sta. Barbara none Sto. Tomas none Urbiztondo none 5. Ilocos Sur 6 Banayoyo 9 ICCs Indigenous Cultural Communities in Banayoyo Lidlida Lidlida ICC includes Bisangol, Casilagan, Elefante, guardia, Lintic, Lopes, San Emilio San Emilio ICC Montero, Naguimba&Pila ICC Salcedo Salcedo ICC G. del Pilar G. del Pilar ICC Quirino Quirino ICC 6. Ilocos Norte 7 Dingras none IPs belonging to the Isneg, IPAC Project: ESMF Page 135 Laoag none Kankanaey and Tingguian tribes are in Adams, Carasi, Dumalneg and Nueva Era Marcos none Piddig none Sarrat none Solsona none Vintar None 7. Cagayan 5 Piat none IPs are in Baggao, Pamplona, Gattaran, Lallo, Buguey, Amulung none Penablanca,Sta. Teresita, Gonzaga and Calayan Solana none Enrile none Tuao none 8.Isabela 8 Aurora None IPs are in Divilacan,Maconacon, Dinapigue, San Mariano and Quezon None Palanan Roxas none San Manuel none San Guillermo none Echague none Jones none San Agustin none 9. Nueva 7 Aritao Kalanguya, Vizcaya Ikalahan Bambang none Dupax del Norte Bugkalot Dupax del Sur Bugkalot, Kalanguya Kasibu Kalanguya, Ikalahan IPAC Project: ESMF Page 136 Kayapa Kalanguya, Ikalahan Sta Fe None 10. Bulacan 1 San Ildefonso IPs are in Rizal, San Jose del Monte, Norzagaray and DR Trinidad 11. Bataan 3 Dinalupihan Aeta, Ambala Hermosa Aeta, Ambala Morong Aeta 12. Nueva Ecija 6 Science City of Munoz None Kalanguya tribe is in the municipality of Carranglan while Talugtug the Talavera Dumagat tribe is in the towns of Gabaldon and Gen. Tinio Pantabangan Rizal Llanera 13. Pampanga 3 San Luis None IPs are in the municipalities of Florida Blanca, Porac, Mabalacat San Simon None and Angeles City Apalit None 14. Tarlac 1 Concepcion None IPs are in San Jose, San Clemente, Bamban, Capas and Mayantoc 15. Zambales 2 San Marcelino Aeta Castillejos None 16. Batangas 2 Balayan None Calatagan None 17. Quezon I 2 Candelaria None Sariaya None IPs are in Gen Nakar, Real , Mauban, Burdeos , Panukulan Quezon II, 9 Agdanganan, None and Polilio Buenavista None IPAC Project: ESMF Page 137 Catanauan YES, Aeta, in Bgy San Jose Anyao Mulanay None San Andres None San Francisco none Unisan none Macalelon none Gen Luna none 18. Marinduque 3 Sta. Cruz none No identified IPs in the island of Marinduque Torrijos none Mogpog none 19. Or. Mindoro 4 Bansud Tadyawan With CADCs Bongabong Bangon, Buhid Gloria Tadyawan, Tau Buhid Pinamalayan 20. Occidental 2 Rizal None Mindoro Calintaan Tau-Buid 21. Palawan 3 Aborlan Tagbanua Narra none S. Espanola none 22. Albay 3 Oas none IPs (AgtaTaboy, AgtaTabangnon are in Rapu-rapu, Tiwi, Tabaco, Polangui identified area Polangui and Bacacay with IP/resettlement area Libon none 23. Camarines 5 Baao Agta, Ocampo&TigaonAgtaTabangnon Sur AgtaTabangnon and Agtacimaron have CADCs IPAC Project: ESMF Page 138 Bula Agta, AgtaTabangnon Pili AgtaTabangnon Ocampo Agta tabangnon, Agta cimaron Ocampo Agta tabangnon, Agta cimaron Tigaon Agta Cimaron, Agta Tangnon 24.. Masbate 3 Aroroy None Mandaon Balud 25. Sorsogon 1 Casiguran None IPs are in Donsol, Matnog, Pilar, Bulusan, Irosin and Prieto Diaz 26. Camarines 2 San Lorenzo Ruiz Kabihug The IPs in Basud applied for Norte CADT Basud Kabihug 27. Aklan 7 Buruanga None Tangalan Malinao, NewWashington Ibajay Makato Kalibo Numancia Malay 28. Capiz 6 Maayon none IPs (Ati and Bukidnon) are in the municipalities of Dumarao, Panitan IPAC Project: ESMF Page 139 Pilar Jamindan and Tapaz Pontevedra Pres. Roxas Sigma 29. Iloilo 2 Passi none IPs (Ati, Panay-Bukidnon) are in Alimodian, Barotac Viejo and San Enrique Calinog 30. Negros 3 Himamaylan none IPs are in Hinobaan, San Carlos Occidental & Cadiz (Ata), Murcia (Bukidnon) and Kabankalan Binalbagan (karolano-Bukidnon) Isabela 31. Bohol 5 Alicia None Carmen Dagohoy Pilar San Miguel Sierra Bullones Eskaya 32. Cebu 4 Pinamungjan none Aloguinsan Barili Carcar 33.. Negros 3 Bayawan - Yes, Bukidnon Found in portions of Oriental Tribe Bgys.Tayawan, Minaba and Camudlas have Basay Yes, Bukidnon Bgys. Cabatuanan, Maglinao, Tribe Linantayan, Cabalayongan Sta Catalina None 34. Eastern 4 Can-avid none Samar Taft IPAC Project: ESMF Page 140 Dolores Sulat 35. Leyte 6 Tacloban City, None Sta Fe Alangalang San Miguel Palo Babatngon San Isidro Villaba Tabango 36. Northern 4 Mondragon none Samar San Roque Pambujan Lope de Vega 37. Samar 6 Basey none Province Calbiga Marabut Pinabacdao Sta. Rita Villareal Mindanao 38. Davao del 6 Asuncion Yes, Dibabaon Norte, and Mangguangan San Isidro Yes, Ata IPAC Project: ESMF Page 141 Manobo tribe New Corella Yes, Mangguangan Kapalong Yes, Dibabaon and Mangguangan Tagum City, None Talaingod, Yes, Ata Manobo tribe 1 Island Garden City of Sama Samal 39. Davao 3 Mati, Yes, Mandaya Oriental, San Isidro Gov. Generoso 40. Misamis 1 Tudela Subanen Occidental 41. Saranggani 3 Alabel B’laan With CALT application Gen Snntos City none Malapatan none 42.Maguindanao 4 Parang, Barira, Buldon, No data Matanog 43. Lanao del 6 Bayang, No Data Sur LumbacaUnayan, Lumbatan, Lumbayanague, Marogong, Sultan Dumalondong 44. Basilan 6 Lamitan Yakan With pending CADT application Tipo-tipo Yakan, Sama- With CADT application Bangingi UngkayaPukan Sumisip Yakan With approved CADC Maluso Lantawan Sama-Bangingi With CADC-CADT application Source: NCIP Inventory of IP communities ADIS IPAC Project: ESMF Page 142 D. Legal Bases for IP Development Framework 1. The IPAC Project policy objectives and guidelines supporting Indigenous Peoples are based on the following national/sectoral and World Bank policies: a. 1987 Constitution of the Republic of the Philippines which recognizes the rights of the IPs to their ancestral domains and their power of dominion over their lands and resources. Moreover, it respects their basic rights and their respect for their beliefs, customs and traditions tied to the land. a. Republic Act 8371 or the Indigenous Peoples Rights Act of 1997, which recognizes the Indigenous Peoples rights to ancestral domains and self-governance. • National Commission on Indigenous Peoples (NCIP) Administrative Orders: NCIP AO No.01 s. 2006 – The Free and Prior Informed Consent (FPIC) Guidelines of 2006 • NCIP AO No. 3 s. 2012 – The Revised Guidelines on Free and Prior Informed Consent and Related Processes of 2012 b. World Bank Operational Policy 4.10 which requires borrowers/project proponents to: a) secure full support of the Indigenous Peoples to the project by way of free, prior, and informed consultation; b) provide measures to avoid and/or mitigate possible adverse impacts of project on the Indigenous Peoples communities; and c) ensure that the Indigenous Peoples also receive social and economic benefits that are culturally appropriate and when possible, enhanced. E. IP Development Guiding Principles 2. IPAC Project adopts the following principles for the protection of the dignity and rights of the Indigenous Peoples: • Indigenous Peoples are given equal opportunity to participate in the development/updating of Comprehensive ARC Cluster Development Plan as a means to respond to IPs issues and concerns. In cases where the cluster is known to have IP communities, the plan should include a separate IP section which will discuss the profile of the IPs; specific areas inhabited by them; production system and income sources of the population; among others. • Indigenous Peoples and their communities are properly consulted especially when identified subprojects pose potential risks and/or adverse impacts to them as a community. The Project must ensure that adverse effects on IPs are minimized, mitigated and/or compensated and that the IPs receive culturally compatible social and economic benefits from the subproject. IPAC Project: ESMF Page 143 The compensation for affected land and assets will follow the Policy Framework on Land Acquisition, Resettlement and Rehabilitation for Project Affected Persons prepared by the Project. • Consensus of all IP members affected must be determined in accordance with their respective laws and practices, free from any external manipulation, interference and coercion, and obtained after fully disclosing the intent and scope of the sub-project activity, in a language and process understandable to the community. • IPAC Project must ensure that none of its infrastructure or related projects will damage non- replicable cultural property. In cases where infrastructure projects (i.e. roads, irrigation, etc.) will pass through sites considered as cultural properties of the IPs, The Project must exert its best effort to relocate or redesign the projects, so that these sites can be preserved and remain intact in situ. 3. Overall Guidelines: IPAC Project shall employ the following activities to ensure that IPs concerns and protection from adverse effects of subprojects are integrated in all phases of project implementation: • The project will facilitate the formation and institutionalization of productive partnerships between the local government and the IP communities (as represented by their tribal councils). The IPAC Project Central Project Office will establish institutional linkages with the National Commission on Indigenous Peoples (NCIP) at all levels to ensure their participation in this activity. • The project shall require the participation of IPs/Cultural Communities in the social assessment, validation and planning for sub-projects located within their barangay or ancestral domains. It shall include the following elements: i. Gathering of baseline information on the demographic, social, cultural, and political characteristics of the affected Indigenous Peoples’ communities, the land and territories that they have traditionally owned or customarily used or occupied, and the natural resources on which they depend. ii. Taking the review and baseline information into account, designing a culturally appropriate process for consulting with the Indigenous Peoples at each stage of sub project preparation and implementation iii. An assessment, based on free, prior, and informed consultation, with the affected Indigenous Peoples’ communities, of the potential adverse and positive effects of the project given their distinct circumstances and close ties to land and natural resources, as well as their lack of access to opportunities relative to other social groups in the communities in which they live. iv. The identification and evaluation, based on free, prior, and informed consent with the affected Indigenous Peoples’ communities, of measures necessary to IPAC Project: ESMF Page 144 avoid adverse effects, or if such measures are not feasible. This shall be documented as the subproject’s IP Plan and it shall present the measures to minimize, mitigate, or compensate for such effects, and to ensure that the Indigenous Peoples receive culturally appropriate benefits under the project. ( see Attachment xxx for the outline) • IPs must be informed of the potential adverse impacts of the subprojects on the environment and on the socio-economic-cultural lives of these IP communities and their rights to compensation. Compensation for land and other assets to be acquired will follow the Project’s Policy Framework on Land Acquisition, Resettlement and Rehabilitation. • Subproject proponents/LGUs must adhere to the requirements of the National Commission on the Indigenous Peoples (NCIP) for the issuance of Certification Precondition (CP) which attest to the granting of Free and Prior Informed Consent by the concerned Indigenous Cultural Communities (ICCs)/Indigenous Peoples and/or Certificate of Non-Overlap in areas that are patently and publicly known to be outside any ancestral domain. • No subprojects shall be endorsed for approval without the submission by the concerned proponents/LGUs of an application for Certification Precondition (CP) or CNO to the NCIP. 4. Comprehensive ARC Cluster Development Plan: Under the project, updating of the ARC cluster development plan will be undertaken by a preparation team to be organized by the Provincial Project Office. The team will also be tasked to develop an IP section in the Plan in ARC clusters with IP communities and ancestral domain to ensure that IP views, concerns and aspirations as well as their local patterns of social organizations, religious beliefs and resource use are considered in the formulation of culturally appropriate development strategies including capability building, production and livelihood, and social support services. This shall be considered the IP Plan for the specific ARC Cluster. For ARC clusters with ICCs/IP communities and ancestral domain (AD), preparation and development of an IP section in the plan including data gathering and consultation, analysis and planning will be led as much as possible by NCIP representatives but strictly together with the IP communities. When an Ancestral Domain Development and Protection Plan (ADDPP) already exists and is recognized as still valid, said plan shall be integrated to the ARC cluster Development Plan. On the other hand, formulation of an IP section for IP communities in the ARC clusters that are patently and publicly known to be outside any ancestral domain (AD) or those areas that are yet to be ascertained whether these are located the AD or not, will be undertaken by the preparation team with request for NCIP representative as member. IPAC Project: ESMF Page 145 F. Subproject Appraisal, Approval and Implementation 5. Subproject Appraisal. The following guidelines will govern subproject appraisal: • All subprojects submitted for approval must be supported by any of the following: a) application for Certification Precondition (CP) for subprojects which are located within or passes through the ancestral domain of any indigenous tribe; or b) application for Certificate of Non-overlap for subprojects located in areas which are patently and publicly known to be outside any ancestral domain. The proponent/ LGUs will be responsible for securing the appropriate clearance from the National Commission on Indigenous Peoples (NCIP). • The designated Provincial Project Social Safeguards Officer will assist the LGUs (or the Department of Agrarian Reform) in coordinating with the NCIP to facilitate the conduct of the required field-based investigation (FBI) and consultation meetings with the concerned IP communities for the issuance of the Free and Prior Informed Consent (FPIC). • In cases where the subprojects being submitted for approval were identified by the IP communities themselves and are included in the ADDPP development priorities articulated in the IP Section of the updated ARC Cluster Development Plan, the conduct of the field- based investigation (FBI) will no longer be required. Instead, the subprojects will be subjected to validation process by the NCIP representative. • To facilitate the validation process and issuance of the Certification Precondition by the NCIP, the Provincial Project Office thru the Provincial Project Social Safeguards Officer will assist the NCIP in conducting field validation by providing documents and information relative to the consultation meetings conducted with the IP communities during the preparation of the IP section in the updated ARC Cluster Development Plan. 4. Subproject Approval. In view of the processes involved for the issuance of the CP/CNO, the project will consider the submission of the LGU/ application for CP/CNO received by the NCIP together with the progress in the implementation of the IP section in the ARC Development Plan. as the minimum requirement for presentation of the subproject to the inter-agency Subproject Approval Committee (SAC) for approval. Proof of NCIP receipt is needed. 5. Release of Funds. The proponent’s request for release of funds should be supported by the Certification Precondition (CP) or Certificate of Non-overlap from the NCIP. 6. Subproject Implementation. In the event that a subproject involves land acquisition or use of other resources which may adversely affect the IPs in the area, the project will ensure that no subproject will be allowed to commence until compensation and/or other required rituals have been completed to the satisfaction of the indigenous communities affected. IPAC Project: ESMF Page 146 Figure 2. IPAC Project ARC Clusters Screening for Presence of IPs/ICCs ARC Cluster Initial Screening and validation (in terms of presence With No IPs IPs/ICCs? or absence of IPs/ICCs in the ARC Cluster) WithinAD? With IPs/ICCs ARC Clusters within Outside AD but or overlaps with an IPs/ICCs are present Apply for CP or Apply for Certificate of Certificate of Non-Overlap Prepare and Submit Application to NCIP Regional Office (as pre-requisite to subproject approval) Approval and Implementation of Subprojects Conduct of FBI and Community Conduct of FBI Issuance of NCIP Certification (Certificate of Exemption, Certification Precondition, Certificate of Non-overlap) IP Plan preparation Monitoring of Compliance with Conditions set (based on Certification issued/based on MOA signed by the IP community and proponent) IPAC Project: ESMF Page 147 RESPONSIBILITY MATRIX Activity Office/Person In-Charge Output Required Remark(s) Lead Support 1. Initial PPO RPO Initial Screening Report Identification of ARCs Screening within ancestral domain (AD) area, outside AD area but with IPs/ICCs 2. ARC CPO RPO/PPO Travel Report/Findings For ARC Clusters within AD Cluster or with IPs/ICCs, ARC Validation validation should be coordinated with NCIP 3. LGU/DPWH/ RPO/PPO Application for Certification Application to be filed at the Confirmation Precondition, Certificate of NCIP Regional Office of presence NIA Exemption or Certificate of or absence of Non-Overlap IPs 4. DPWH/NIA/ RPO/PPO NCIP Certification Validation to be conducted Application LGU by the NCIP FBI Team, for Certi- Report shall serve as basis of fication NCIP Certification issuance Precondition, Certificate of Exemption or Certificate of Non-Overlap 5. Issuance of NCIP Central LGU/NIA/DP Certification Precondition, NCIP Certifi- Office WH to follow Certificate of Exemption or cation and up issuance Certificate of Non-Overlap preparation of of NCIP IP Plan Certification Preparation of IP Plan with MOA for CP considered. 7. LGU/DPWH/ RPO/PPO Implementing agencies, IP Plan and Copy of NCIP Disseminatio NIA LGUs, organizations Certification for distribution n of informed of the conditions and presentation conditions set by the NCIP in relation to stated in the implementation of IPAC NCIP Project Certification/ IP Plan to be complied with by the Project IPAC Project: ESMF Page 148 proponent 8. Complian- Implementing RPO/PPO NCIP conditions complied IP Plan and NCIP ce w/ Con- agencies, with by the Project proponent Certification as basis of ditions set LGUs, activities based on organizations NCIP Certification 9. Monitoring CPO RPO/PPO a. Conditions complied with Monitoring Report to be based on NCIP Certification prepared by the PPO, for issued and IP Plan review and endorsement to CPO by the RPO b. Activities documented by Documentation Report IPAC Project G. GRIEVANCE REDRESS MECHANISM All complaints shall be discussed and negotiations must be carried out in the specific communities where affected indigenous peoples live. The Complaint and Grievance Committee (CGC) together with the tribal council concerned should facilitate this process and the Project must ensure that affected IPs are properly represented. Where necessary, IPAC Project will bring in NCIP staff so that rights of IPs are protected. If negotiations are stalled, or IPs disagree with all possible options presented during these deliberations, the affected tribes can bring their grievance or complaints to the municipal implementing units of the Project. Should this still fail the IP expectations, the IPs can elevate their complaints to the Provincial representative of the NCIP and the Office of the Provincial Agrarian Reform Officer, with copies of the complaint furnished the Office of the Provincial Governor. Resolution of conflicts should be encouraged at the lowest level possible, thru the facilitation of Municipal and Community Tribal Councils. Again, the documentation of such meetings and interactions with affected IP households/communities must be documented and distributed to relevant stakeholders. The CPO Desk Officer for complaints and grievances is Ms Charie R. Regalado of Project Management Service, DAR who may be contacted in the following means: (email address: charie9950@gmail.com; office address: PMS, Dept. of Agrarian Reform, Elliptical Road, Diliman,QC; Telephone No.: 426-74-96; CP no. 0918 9005070). She shall oversee the proper handling of complaints and grievances and ensure that a summary of the entries of the CGC logs per region shall be part of the progress report submitted to The World Bank Group. IPAC Project: ESMF Page 149 A summary of grievances and complaints reviewed and status of the same shall be part of the IPAC’s progress report submitted to the WB and the oversight agencies. H. Public Consultation and Disclosure of Information There will be a separate session with the Indigenous Peoples during the Public Consultation with the Project’s multi stakeholders The participants will be given at least two weeks notice prior to the consultation to ensure their availability. The date and place of the consultation will be cited in final version including the list of participants, photos and documentation of issues raised. IPAC Project: ESMF Page 150 Attachment Indigenous Peoples Plan Outline The IPP includes the following elements, as needed: (a) A summary of the information of the legal and institutional framework applicable to Indigenous Peoples, IPRA, OP 4.10 (b) A summary of the social assessment. (c) A summary of results of the free, prior, and informed consultation with the affected Indigenous Peoples’ communities that was carried out during project preparation and that led to consent for the project. (d) A framework for ensuring free, prior, and informed consultation with the affected Indigenous Peoples’ communities during project implementation. (e) An action plan of measures to ensure that the Indigenous Peoples receive social and economic benefits that are culturally appropriate, including, if necessary, measures to enhance the capacity of the project implementing agencies. (f) When potential adverse effects on Indigenous Peoples are identified, include an appropriate action plan to avoid, minimize, mitigate, or compensate for these adverse effects. (g) The cost estimates and financing plan for the IPP. (h) Accessible procedures appropriate to the project to address grievances by the affected Indigenous Peoples' communities arising from project implementation. When designing the grievance procedures, the borrower takes into account the availability of judicial recourse and customary dispute settlement mechanisms among the Indigenous Peoples. (i) Mechanisms and benchmarks appropriate to the project for monitoring, evaluating, and reporting on the implementation of the IPP. The monitoring and evaluation mechanisms should include arrangements for the free, prior, and informed consultations with affected IPs, IP communities IPAC Project: ESMF Page 151 ANNEX 12 IPAC INTEGRATED PEST MANAGEMENT FRAMEWORK A. Introduction The IPAC Project basically aims to enhance access to markets and competitiveness of ARCs smallholder farmers and landless farmers in the targeted ARC clusters. It also seeks to increase access of ARBs, smallholder farmers and farmers’ organizations to appropriate and sustainable production, post-harvest and processing technology and agri-extension, among others. IPAC will build the technical know-how, entrepreneurial capacities and competitiveness of FOs by providing support to the Extension and Business Development Services under the project’s Component 1, the Support Services for Enhanced Market Linkages Extension services will cover training, extension and implementation of productivity enhancement activities including improvement in production systems for collective farming, quality improvement, standardization, and post-harvest operation. These extension services will be provided through Farmer’s Field Schools and Farmer-to-Farmer Extension. The Farmer Field School (FFS) is a participatory approach to extension, whereby farmers learn about agro-ecosystem management and makes use of the crop field as a field laboratory where FFS participants learn about the ecology of the crop through regular observation and experiment with new production options. In line with the National Pest Management Program of the government, the IPAC Project will adopt the Integrated Pest Management (IPM) as a strategy to promote crop protection using non-pesticide methods through the conduct of the IPM – FFS for the farmer organizations and their members in the target ARC clusters. B. Framework Objectives The IPAC Integrated Pest Management Framework aims to improve farm productivity and reduce production costs and losses due to pest by providing the small farmer’s organizations and their farmer members with knowledge and skills in improved crop production and protection technologies. It also seeks to reduce pesticide-related health hazards to farmers and help them adapt to changing climate conditions by adopting an integrated crop protection strategy. C. Definition The Food and Agriculture Organization (FAO) of the United Nations (2002) defines Integrated Pest Management as: “IPM means the careful consideration of all available pest control techniques and subsequent integration of appropriate measures that discourage the development of pest populations and keep pesticides and other interventions to levels that are economically justified and reduce or minimize risks to human health and the environment. IPM emphasizes the growth of a healthy crop with the least possible disruption of agro-ecosystems and encourages natural pest control mechanisms.” IPAC Project: ESMF Page 152 The IPM generally involves the use of non-chemical methods of pest control as follows1: 1. Biological controls: use of the natural enemies of crop pests, often called beneficials, which include parasites, predators, and insect pathogens; 2. Cultural control and crop or livestock management: tissue culture, disease-free seed, trap crops, cross-protection, cultivation techniques, refuge management, mulching, field sanitation, crop rotations, grazing rotations, and intercropping; 3. Strategic control: variety selection, planting location, timing of planting, and timing of harvest; and 4. Genetically based controls: insect- and disease-resistant root stock and varieties, developed through classical and modern molecular breeding. D. Legal Bases for Integrated Pest Management Framework. The IPAC Project policy objectives and guidelines supporting Integrated Pest Management are based on the following national/sectoral, World Bank policies and relevant internationally-accepted standards: 1. Memorandum Order No. 126, s. 1993, which requires the implementation of Kasaganaan ng Sakahan at Kalikasan (KASAKALIKASAN), the National Pest Management Program, with the long term goal of making integrated pest management (IPM) the standard approach to crop husbandry and pest management in rice, corn, and vegetable production in the country. 2. World Bank Operational Policy (OP) 4.09 which supports the use of integrated pest management as a strategy that promotes the use of biological or environmental control methods and reduces reliance on synthetic chemical pesticides by bank borrowers/proponents to manage pests that affect either agriculture or public health. It also provides that Bank-financed agriculture operations may support the purchase of pesticides when their use is justified under an IPM approach and requires that any pesticides it finances be manufactured, packaged, labeled, handled, stored, disposed of, and applied according to standards acceptable to the Bank. This policy is triggered since the project will finance agriculture operations that could raise potential pest or disease vector management issues and require for the increase usage of pesticides under the project. The screening procedures include the scanning of pest management concerns. The ESMF is complemented by an Integrated Pest Management Framework (IPMF) that provides the scope and coverage in the preparation and implementation of a Pest Management Plan (PMP) to address pest management issues. In sub-projects that require an EA, the ESMP will be accompanied by a PMP. Where pest management concerns are present, even if the sub-project does not require an EA, a PMP will still be prepared to adequately prescribe the appropriate alternative technologies or mitigating measures. The EA will be presented in a public consultation and disclosed. The PMP is based on on-site evaluations of local conditions conducted by appropriate technical specialists with experience in participatory integrated pest management (IPM). IPM training will be conducted as part of the project to educate the agricultural workers and farm organizations. The IPM approaches include certified pesticides, ____________________________________________ 1 Schillhorn van Veen, T., Forno, D., Joffe, S., Umali-Deininger, D. and Cooke, S. (1997) Integrated pest management: Strategies and policies for effective implementation. Environmentally sustainable development studies and monographs, No. 13. World Bank, Washington, DC. IPAC Project: ESMF Page 153 its proper application and handling, as well as biological control, cultural practices, and the development and use of crop varieties that are resistant or tolerant to the pests. In case the need to procure chemical-based fertilizers and pesticides arises, the proponent will indicate how the list of pest control products was developed and agree this with the Bank before the list is authorized for procurement. 3. WHO Recommended Classification of Pesticides by Hazards and Guidelines to Classification 2009 by International Programme on Chemical Safety (IPCS) distinguishes between the more and the less hazardous forms of each pesticide in that it is based on the toxicity of the technical compound and on its formulations. The WHO Recommended Classification of Pesticides by Hazard was approved by the 28th World Health Assembly in 1975 and has since gained wide acceptance. In December, 2002 the United Nations Committee of Experts on the Transport of Dangerous Goods and on the Globally Harmonized System of Classification and Labelling of Chemicals (UNCETDG/GHS) approved a document called “The Globally Harmonized System of Classification and Labelling of Chemicals” with the intent to provide a globally-harmonized system1 (GHS) to address classification of chemicals, labels, and safety data sheets. The GHS (with subsequent revisions) is now being widely used for the classification and labeling of chemicals worldwide. For this revision of the Classification the WHO Hazard Classes have been aligned in an appropriate way with the GHS Acute Toxicity Hazard Categories for acute oral or dermal toxicity as the starting point for allocating pesticides to a WHO Hazard Class (with adjustments for individual pesticides where required). E. Integrated Pest Management Guiding Principles The IPAC Project adopts the following principles for the implementation of the Integrated Pest Management in Components 1: Support Services for Enhanced Market Linkages and Component 2: Investments in Productive Partnerships (refer to Section E): a) IPM as an ecological approach. It builds on biological control as its foundation. Farm analysis and action revolved around : i) growing a healthy crop through the use of resistant varieties, better land preparation and water management, ii) conserved natural enemies; iii) visit field regularly, and make farmers as good decision maker. b) IPM as a human resource development strategy. The sustainability of IPM is insured by farmers becoming experts in their own field. Future gains in yields, profits and sustainability will be the result of farmers making better use of available technologies and limited resources. IPM implemented by farmers emphasizes the ability of farmers in making decisions, increasing their own efficiency and becoming better managers. F. Adoption of Integrated Pest Management (IPM) Approach for Support Services for Enhanced Market Linkages Component (Component I) The following guidelines shall be adopted in the conduct of the IPM-FFS roll-out in the ARC cluster under Component I: IPAC Project: ESMF Page 154 • The project through the DAR Provincial Project Office (DAR PPO) in partnership with the Agricultural Training Institute (ATI-DA), concerned non-government organizations, government institutions and other IPM practitioners will conduct training on IPM-FFS. • About 650 farmers’ organizations (FOs) in the 50 ARC clusters covered by the project will be trained on the IPM – FFS covering at least 20 participants per FO or a total of 13,000 individual farmers. • The project will promote the adoption of IPM among farmers involve in irrigated/organic rice production, corn, vegetables and other high value crops production through direct farmers training and season-long farmers field school (FFS). • The FFS will meet once a week for the duration of the cropping season, from fourteen to sixteen weeks. A weekly session of an FFS usually last for half day or a five hour session. The typical day for the FFS is divided into three parts: 1) agro-ecosystem analysis and its relevance to the different stages of growth of the rice crop, 2) group dynamic activity, 3) special topic related to barangay level condition or problem. The farmer participants will be divided into working groups, each group will work as a team in all FFS activities. • The project will conduct IPM promotion support activities among the local government officials, farmers’ organizations, other stakeholders and local media. This activity is aimed at generating political support and commitment in the development and implementation of local policies promoting IPM and other sustainable agricultural practices. • The project will also develop IEC materials to encourage the adoption of IPM as a mechanism for sustainable agricultural production. • The project will also support the provision of extension workers who will be responsible for the provision of technical assistance to FOs and their respective members who have already completed their season long IPM-FFS. • The DAR Provincial Environmental Specialist with assistance from the Regional Environmental Specialist will be responsible for the overall coordination, supervision and management of the IPM-FFS at the provincial level while the Environmental Specialist at the Central Project Management will oversee, monitor and evaluate the conduct and implementation of the IPM- FFS at the national level. G. Adoption of Integrated Pest Management (IPM) Approach for Investments in Productive Partnerships Component (Component II) The following guidelines shall be adopted in the conduct of the IPM-FFS roll-out in the ARC cluster under Component II: IPAC Project: ESMF Page 155 • Proponents of qualified agribusiness proposal with pest management concerns will be required to prepare and submit a Pest Management Plan (PMP) even if the subproject does not require an environmental assessment (EA). The PMP should be based on on-site evaluation of ARC cluster area conducted by IPM practitioners and specialist. • For sub-projects that require an environmental assessment (EA), the ESMP will be accompanied by a PMP. • The project through the DAR Provincial Project Office (DAR PPO) in partnership with the Agricultural Training Institute (ATI-DA), concerned non-government organizations, government institutions and other IPM practitioners will conduct training on IPM-FFS for farmer organizations and their members who are recipient of Matching Grant Program. • The project will also support the provision of extension workers who will be responsible for the provision of technical assistance to matching grant recipient FOs and their respective members who have already completed their season long IPM-FFS. • In case a successful agribusiness proposal calls for the improvement and upscaling of production systems involving the use of chemical-based fertilizers and pesticides, the farmer organization/proponent will provide the list of required pest control products to the CPO for NOL of the Bank before this is approved for procurement. H. Budget and Financing Funding support for the conduct of IPM-FFS in the 50 ARC clusters is included in the budget allocation for Component I, Support Services for Enhanced Market Linkages. I. Outline of a Pest Management Plan Proponents of agribusiness proposals with pest management concern should prepare a Pest Management Plan using the outline shown below. IPAC Project: ESMF Page 156 OUTLINE OF A PEST MANAGEMENT PLAN Purpose of the Pest Management Plan The purpose of the Pest Management Plan (PMP), which is in accordance with the Integrated Pest Management Framework (IPMF) of the ESMF, is to provide guidance to Matching Grant-recipient farmers’ organizations/proponent in the use of environmentally sensitive pest management strategies to enhance the health and safety of farmers and protect the environment. Objectives The objectives of the IPAC Pest Management Plan (PMP): 1. Protect human health and the surrounding environment by employing a range of preventative strategies and using least-toxic products for pest control and eradication. 2. Inspect and monitor pest populations and locations to enhance control strategies. 3. Avoid the use of chemical-based pesticides. Minimize the quantity and toxicity of alternative measures used for pest management. 4. Minimize environmental impacts by using species-specific pesticides and targeting application areas carefully. 5. Establish clear criteria for acceptable circumstances in which using a pesticide other than a least-toxic pesticide is necessary; toxic pesticides shall only be used when there is a threat to public health and safety, or to prevent economic or environmental damage, and only after other alternatives have been implemented and are shown to be ineffective. PMP Principles IPM promotes the use of a range of non-chemical approaches to control pest populations. If an infestation with unacceptable impacts occurs, thereby warranting additional treatment, IPM favors the use of least- toxic pesticides. The targeted application of a toxic pesticide is allowed only after all other reasonable non-toxic options are exhausted. This plan outlines crop protection strategies approved for use at IPAC- covered ARC Clusters. Provisions for the use of least-toxic pesticides, and toxic chemicals when necessary, are also included should a pest infestation occur. In addition, the matrix below provides a framework for the dealing of pests as they occur on site. Template of PMP: The preparation of a PMP is to be required as part of the project proposal for agri-production support to be submitted by proponent FOs. The proponent will follow the format below for subproject proposals requiring a PMP. 1. Basic Information A. Baseline on pest issues 1. Types of pests which affected production for the last 5 years 2. Adverse effects on productivity B. Pesticide usage IPAC Project: ESMF Page 157 1. Types and names of pesticides being used by farmers 2. Common practice on the application of pesticides a) quantities b) timing and how often c) effects 3. Knowledge of farmers on health hazards and risks involved in using the pesticides 4. Knowledge of farmers on banned pesticides C. Farmers knowledge on IPM 1. Training on IPM attended by farmers on IPM, (title of training, purpose, date and duration, who conducted, how many participants) 2. No. Of farmers trained who are adopting IPM) 3. No. Of farmers with training on IPM vs. total number of farmer members in the coop or the community D. Pesticide handling and management 1. Practices in the proper storage of pesticides 2. Knowledge of farmers on safety measures in handling and using pesticides as part of good agricultural practices 2. PMP Matrix (refer to next page) IPAC Project: ESMF Page 158 PEST MANAGEMENT PLAN (PMP) MATRIX PMP RESPONSE FOR: This pest Actions to be taken to control the pest problem is a: Application Area Type of pests Treatment Pest control Trainings Operations Monitoring Follow-up scheme measures and for Maintenance effectiveness Health Concern Safety Issue Nuisance Other: IPAC Project: ESMF Page 159 The following considerations should be made in the preparation of a PMP: 1. Monitoring the pest populations and other relevant factors 2. Accurate identification of the pest 3. Determining action levels that trigger treatments 4. Timing treatments to the best advantage 5. Spot treating the pest (to minimize human and other non-target organism exposure to pesticides) 6. Selecting least disruptive tactics 7. Evaluating the effectiveness of treatments to fine tune future actions 8. Educating farmers involved with the pest problem The Decision Making Process 1. The Pest management process begins with the assessment of the potential pest problem. Certain pests may pose a greater potential threat in small numbers or may become threatening only in large numbers. Once assessment has been made, further actions can be ascertained for the required treatment protocols on a pest specific basis. 2. If treatment action is necessary, it is important to thoroughly survey the area to determine the best place to treat in order to solve the pest problem. Treatment should be applied where actions will have the greatest effect. 3. The timing of treatments should take into consideration the optimal times during the pest’s life cycle when treatment would have the greatest effect and the times when treatment could prove to be ineffective or even worsen the problem. 4. There are three guiding principles to use when choosing treatments: conserve and enhance naturally occurring biological controls; use a multi-tactic approach; and view each pest problem in its larger context. Criteria for Selecting Treatment Strategies Once the IPM decision making process is in place and monitoring indicates that pest treatment is needed, the choice of specific strategies can be made. Choose strategies that are: • Least hazardous to human health • Least disruptive of natural controls in landscape situations • Least toxic to non-target organisms other than natural controls • Most likely to be permanent and prevent recurrence of the pest problem • Easiest to carry out safely and effectively • Most cost effective in the short and long term • Appropriate to the site and maintenance system Treatment Option 1. Education is a cost effective pest management strategy. Information that will help change people’s behaviors, including proper disposal of waste will play a part in managing certain pests. 2. Habitat modification such as redesign of structures and landscape plantings, improved sanitation, eliminating water sources for pests; and eliminating the pest habitat will help reduce the resources pests need to flourish. 3. Physical controls or direct removal of pests from an environment. IPAC Project: ESMF Page 160 4. A biological control uses a pest’s natural enemies to attack and control the pest. Biological control strategies include conservation (conserving the biological control application) and augmentation (artificially increasing the number of biological controls in a given area). 5. Least toxic pesticides are those which are effective against the target pest, have a low acute and chronic toxicity to mammals, biodegrade rapidly, kill a narrow range of target pests and have little or no impact on non-target organisms. These include materials such as the following: • Pheromones and other attractants • Insect growth regulators • Repellents • Desiccating dusts • Pesticidal soaps and oils • Some botanical pesticides Criteria in selecting a pesticide: • Safety • Species specificity • Effectiveness • Endurance • Speed • Repellency • Cost Scope This PMP applies to the operations of agriculture enterprise funded by Matching Grant Program. Farmers’ organizations which are recipients of funding support under Component II are expected to ensure that provisions in this plan area adopted. . Monitoring Monitoring the effectiveness of the PMP over time requires diligent tracking of several items: pest populations and locations; management strategies employed; quantities and types of chemicals and products used; and the outcome of pest management activities. The FO/proponent is responsible for maintaining records that include the information below: 1. Target pest 2. Prevention and other non-chemical methods of control used 3. Type and quantity of pesticide used 4. Location of the pesticide application 5. Date of pesticide application 6. Name of the pesticide applicator 7. Application equipment used 8. Summary of results IPAC Project: ESMF Page 161 Documentation of Public Consultation A. BASIC INFORMATION PROJECT NAME: INCLUSIVE PARTNERSHIPS FOR AGRICULTURAL COMPETITIVENESS (IPAC) DATE and VENUE April 14, 2015, Tagum Tourist Inn, Tagum City, Davao del Norte PARTICIPANTS There are seventy-six (76) participants who attended the ESMF ((NUMBER AND Public Consultation composed of: AFFILIATION) a) Indigenous Peoples: Dibabaon Tribes = 5, Ata-Manobo Tribes = 4, Mandaya Tribes = 6 b) Women’s Group = 5; People’s Organizations = 6 c) NGOs= 4; Provincial Agrarian Reform Council Committee (PARCCOM) =2 d) Local Government Units= 10 (Tagum, New Corella, Asuncion, Kapalong, Talaingod & San Isidro) e) Line Agencies (LAs) Regional (7) & Provincial Office (6) National Commission on Indigenous Peoples (NCIP), Environmental Management Bureau/ Department of Environment & Natural Resources (EMB/DENR) Department of Public Works & Highways (DPWH) Department of Trade & Industry (DTI) National Irrigation Administration (NIA) Department of Agriculture (DA) and Department of Agrarian Reform (DAR) Regional & Provincial Program Beneficiaries Development (PBD) Technical Staff, Municipal Agrarian Reform Officers (MAROs) & Development Facilitators (DFs) of the municipalities covered by the Agrarian Reform Community (ARC) Cluster) B. OBJECTIVES OF THE CONSULTATION: The Public Consultation on IPAC’s Environment and Social Management Framework (ESMF) aims to: 1. Inform the participants on the concept and design of IPAC Project; 2. Promote better understanding by the project stakeholders of the Environment and Social Management Framework as a tool to address and mitigate adverse environmental and social impacts that will be potentially generated by the project; 3. Discuss with the participants the methodology, procedures and guidelines involved in the screening for Environmental Impact Assessment, Land Acquisition Process, IP Engagement Documentation and Approval Process, Involuntary Resettlement, and Gender Development as embodied in the ESMF Framework; 4. Elicit and document the stakeholders’ comments and recommendations on how to improve the ESMF design, implementing guidelines and mechanisms, institutional arrangements; and requirements for sub-projects approval and funding under IPAC; and 5. Elicit stakeholders’ support for the ESMF Framework and the IPAC Project. C. Highlights of Discussions 1. The Public Consultation on the Environment and Social Management Framework (ESMF) started with the presentation of Director Celerina G. Afable of Project Management Service (PMS,DAR) on the Inclusive Partnerships for Agricultural Competitiveness (IPAC) Project. The Peoples Organizations (POs), DAR officials and staff & the WB Procurement Officer attended the presentation and later separated from the group for the dialogue on procurement. 2. The presentation on the IPAC Project was followed by the discussion on the ESMF. The participants were later grouped into three (3): i) the Indigenous Peoples group; ii) the women and NGOs; iii) Line Agencies and Local Government Units (LAs/LGUs) Objectives Supportive Constraints Suggestions Obj. nos. 1 to 4 IP:Compensation of IP: The IPs were IP: All project – (on IP Engage- project- affected concerned that they will related consultations ment Documen- properties be left out in the Project must be coordinated tation and identification and with the Tribal Involuntary prioritization Chieftain (agreed) Resettlement IP:Protection and IP:Awareness of IP and Gender) respect of areas that cultures should be are sacred for the IPs promoted under the and recognition of IP:Some projects are Project. (agreed) Ancestral Domains not culture-sensitive (ADs) LAs/LGUs: LAs/LGUs: cost/budget LAs/LGUs: Disclosure of options and in-charge for the Memorandum of in the Resettlement social preparation Agreement (MOAs ) Action Plan (either to aspect should be with partners donate or to clearly defined LAs/LGUs must compensate) include the budget for the conduct of social LAs/LGUs:the LGUs preparation activities compliance onRROW including issuance of & other safeguards clearances. requirements before implementation of the project Women/NGOs: gender equality and special attention to the IPs and the sectoral representations Obj. nos. 1 to 4 LAs/LGUs: LAs/LGUs:Delayed LAs/LGUs: Include ( on environ- appreciates the issuance of permit to an inventory of mental impact inclusion of screening cut trees by DENR affected trees along assessment) of projects at the RROW in the ESMF o initial stage of IPAC facilitate issuance of permit to cut trees (complied : in LAs/LGUs: Summary of Affected The framework takes Assets of the Full into consideration Resettlement Plan Forest and Natural and Abbreviated Habitat Resettlement Plan Obj. no. 5 (IPAC IP:Partnership with IP:Agribusiness IP: IP organizations Project) agribusiness buyers projects will be granted should be spelled out in the production & only to Farmers in the framework as marketing of agri- Organization (FOs);IP one of the products is a good organizations (IPOs) beneficiaries in initiative were not mentioned addition to FOs Women/NGOs: The IP: Most IP IP: IPOs should be sector is looking organizations have no able to avail of forward to productive legal personality but assistance even programs and recognized by LGUs & without legal projects for women NCIP and not capable personality, to provide the needed particularly under the counterpart Matching Grant (qualified IPOs) IP:LGU to help provide the counterpart for projects needed by the IPs IP:Registration & other documentary requirements should be facilitated by the project. (agreed) IP: Peace and order IP:Close coordination LAs/LGUs:Appreciate situation are not stable with Bgy. Captain and that Farmer Field in some IP areas, Tribal Chieftains in all School & Farmer hence, may hamper processes of project Business School were implementation identification and given importance implementation to ensure security (agreed) LAs/LGUs:specific roles of partner LGUs: Recipients of LAs/LGUs:The agencies are well- project, if not properly Project should ensure defined validated, might benefit that recipients have those who are not truly good track record and qualified capable to handle projects. (agreed) LAs/LGUs:budget LAs/LGUs:Spell out requirements/ in the MOA with line counterpart of line agencies the budget agencies not defined requirement for all activities especially in the case of NCIP D. Assessment and Conclusion 1. The Public Consultation was well attended as all the invited participants/sectors were present and actively participated in the workshop/discussion group. 2. The IPAC Project design, its coverage and components were understood by the participants. The women and the Indigenous Peoples are particularly interested in the possible projects under the Matching Grant Program. The IPs stressed their desire that the IP organizations be included in the project document and not just Farmers Organizations or FOs. 3. The IPs appreciated that they are consulted and informed of the IPAC Project’s Environment and Social Safeguards Framework. The NCIP Region XI representative expressed her appreciation of the DAR’s practice of involving/coordinating with them in DAR projects involving IPs. She however, expressed the need to provide the necessary budgetary support in the conduct of FPIC-related activities. 4. Overall, the purpose of the consultation was attained having informed the participants about the IPAC Project, the Environment and Social Management Framework, the methodology, procedures and guidelines involved in the screening for Environmental Impact Assessment, Land Acquisition Process, IP Engagement Documentation and Approval Process, Involuntary Resettlement, the Gender Development as embodied in the ESMF. The stakeholders were able to put forward their comments and recommendations on how to improve the ESMF design, implementing guidelines and mechanisms, institutional arrangementsand requirements for sub-projects approval and funding under IPAC. The stakeholdersexpressed their support for the ESMF Framework and the IPAC Project. 5. The comments and suggestions generated in the small group discussions will be considered in the finalization of the ESMF, as noted in the suggestions in the above table. 6. Once the ESMF is finalized and approved, the said document will be posted in the DAR and WB web sites and hard copies will be provided to the concerned Local Government Units for posting and library reference. E. Attachments: 1. Presentation materials 2. Attendance sheet 3. Photos 4. Invitees list and proof of received invitations 5. Publications announcement of the Public Consultations and relevant records Attachment 1 Inclusive Partnerships for Agricultural Competitiveness Environment and Social Management Framework Public Consultation April 14, 2015 DAVAO DEL NORTE ESMF Objectives To guide the Project Planners, Financiers and Implementers to adequately address and mitigate adverse environmental and social impacts that will be potentially generated by the project. . Contents of ESMF Screening of projects Define responsibilities including monitoring Preparation of and reporting safeguards Instruments: arrangements among EMP, RAP, IPP the involved parties (e.g. DAR PMO, PIUs Implementation of the and partner agencies). above plans Monitoring and evaluation IPAC Project Development Objective The project development objective is to improve access to markets and enhance the competitiveness of smallholder farmers in the targeted Agrarian Reform Community Clusters. The PDO will be achieved through investing in support services delivery, productive investments, and capacity building and project management. Project Components 1. Support Services for Enhanced Market Linkages • Extension and Business Development • Land Tenure Improvement Services • Rural Infrastructure Services 2. Investments in Productive Partnerships • Matching Grant Sub-projects • TA for Project Preparation and Mentoring 3. Project Management, Monitoring and Evaluation Triggered Safeguards Policies Environment Safeguards Social Safeguards OP 4.01 Environment Assessment OP 4.10 Indigenous Peoples OP 4.04 Natural Habitat OP 4.11 Physical Cultural Resources OP 4.12 Involuntary Resettlement OP 4.09 Pest Management OP 4.36 Forests Disclosure and Access to Information Others: Gender development which has the Philippine Gender Law ( RA9710) as counterpart Phil. Legal Frameworks Environment Social PD 1586 EIS EO 1035 procedures for Land Acquisition DENR Administrative Order No. 2003-30: Supreme Court Ruling (1987) on just compensation EMB Memorandum Circular 005 series 2014 DPWH DO 142 on inclusion of cost of ROW tech survey. Additional on Social RA 6389 disturbance compensation Republic Act 7160 (1991) "Local Government Code" RA 7279 UDHA (R.A.) No. 7192 recognizes the role of women in nation- RA 8368 decriminalized squatting building R.A. No 9700 (CARPER Law) right of women to own land RA 8371 IPRA In case of discrepancy with WB RA 8974 prompt payment of Compensation safeguards Policy: the higher CA 141 Public Lands Act standards prevail. NCIP AO #1 on procedure for FPIC Millennium Development Goal (MDG) No. 3 on gender equality IPAC screening for EIA Priority Subprojects ARC Cluster Validation/Initial Identify Type/Magnitude of Unclassified Subproject Prepare and Submit PDR Covered Under the EIS Not Covered (DENR-EMB Region) ESIA or IEE Report or IEE Prepare ESIA, IEE Report or IEE Checklist Checklist and ECoPs Prepare Environmental & Social Management Plan (EMP) Submit ESMP to Submit ESMP to CPO DENR-RO & CPO Issuance of ECC, Secure other Permits APPROVAL AND IMPLEMENTATION OF SUBPROJECT AND Dissemination of ESMPs to implementing agencies, LGUs & Farmer Organizations Monitoring Compliance with Mitigation Measures (base on ESMP) during subproject implementation Sustainability Environmental Monitoring Land Acquisition Process Proposed Subproject - inventory of DPs (landowners, tenants, informal Identification of DPs dwellers, etc.) (LGU, MARO) - inventory of affected land and improvements - identification of potential negative impact per PAP Conduct of consultation with DPs No Successful? Yes Mode - Consultation re: arrangements, etc. - Preparation/Revision of FRP/ARP Donate - Preparation and execution of legal documents (MARO, MLGU, DF) - LGU to submit to PPMO for review Compensate and endorsement to RPMO - PPO & RPO to validate proposed subproject & review & facilitate revision of documents No - Submit/endorse to NPCO Acceptable? CPO to validate proposed subproject Yes and initially review FRP/ARP & other relevant documents No CPO to review and approve FRP Acceptable? /ARP & relevant documents Yes Regional SAC/National SAC Approval Payment of compensation due to DPs made prior to construction Project Implementation & Monitoring of LGU Compliance (per approved FRP/ARP) Guidelines on Involuntary Resettlement 1. Scope: Persons residing/ doing business or cultivating on affected land as of day 1 of census survey who could not say no to the loss of land. Potential for expropriation 2. Magnitude: >200 Full RAP; <200 ARAP 3. Avoidance is the first rule. 4. Consultation is a must with DPs. 5. Replacement cost principle. Use Compensation Matrix as guide. 6. Other assistance specially to the vulnerable group. 7. All compensation to be settled a month prior to civil works. 8. Grant of ROW, usufruct, lease arrangement and open purchase, donation, subject of Due Diligence Review to confirm fairness and transparency. IP Engagement Documentation and Approval Process ARC Cluster Initial Screening and validation (in terms of presence or With No IPs absence of IPs/ICCs in the ARC Cluster) IPs/ICCs? Within AD? With IPs/ICCs ARC Clusters within or Outside AD but IPs/ICCs overlaps with an AD are present Apply for CP or Certificate of Apply for Certificate of Non- Pre-conditionExemption Overlap Prepare and Submit Application to NCIP Regional Office (as pre-requisite to subproject approval) Approval and Implementation of Subprojects Conduct of FBI and Community Assembly Conduct of FBI Issuance of NCIP Certification (Certificate of Exemption, Certification Precondition, Certificate of Non-overlap) IP Plan preparation Monitoring of Compliance with Conditions set (based on Certification issued/based on MOA signed by the IP community and proponent) IP Engagement Protocol • Preliminary Screening through http://202.57.46.66/adis/Public/Default.aspx • Use IPRA and FPIC procedures, and OP 4.10 • Principles: – Respect for the Rights of IPs to own and control their resources and culture. – Communication and consultation for consent, – IP participation in Project Development cycle – Benefit sharing – As much as possible, coordinate with NCIP Gender Development • To ensure equality in benefits between gender as they participate in agribusiness and rural enterprise development, credit and microfinance, market matching and investment linkaging and training programs. • Promote knowledge of gender mainstreaming by providing orientation on the concepts and tools of Gender and Development such as Gender Sensitivity Training (GST) using Gender-Based Effectivity Skills Training (G-BEST) and other tools developed by DAR Grievance and Redress Mechanism • Step 1: Complainants present their concern to their Barangay Chairman • Step 2: If not resolved satisfactorily in 15 days, then concern is elevated to the MPDO • Step 3: If not resolved satisfactorily in 15 days, then concern is elevated to the PDO • Step 4: If not resolved satisfactorily in 30 days, then concern is elevated to the IPAC PMO (GRM officer is Charie Regalado – email address: charie9950@gmail.com; office address: PMS, Dept. of Agrarian Reform, Elliptical Road, Diliman, Quezon City; Telephone No.: 426-74-96; CP no. 0918 900 5070) • Will be part of Progress Reports to WB and TWG Institutional Arrangement • DAR – overall administration of the IPAC • MLGUs design and implementation of small infrastructure facilities such as storage and drying facilities, multi-purpose buildings and potable water supply. As proponent of subprojects for IPAC Project funding, the LGU will be responsible in securing safeguards requirements. • DENR – review and approval of EIS, issuance of ECC/CNC, monitors EMP • NCIP – address issues and concern of IPs, issuance of CNO/CP, facilitates formulation of IPP from MOAs w/IPs • DTI – major implementing agency for launching market fora, drawing private sector participation, matching FOs to market and buyers, evaluating proposals and technical assistance in the implementation of productive partnerships. • DA – responsible for agricultural extension component specifically in the diffusion of proven and tested production technologies and farming systems • DOST – provide technical assistance in technology training for FOs engaged in processing. • DPWH – design and implementation of farm-to-market roads and bridges. • NIA – design and implementation of communal irrigation Public Consultation and Disclosure 1. All safeguards instrument including this ESMF should undergo consultation in easily accessible locations. 2. Disclosure thru DAR website and WB, hard copies in libraries of the particular LGU of a subproject. Maraming Salamat!!! "The original is a PDF file with no Text. We were not able to OCR and extract the Text. Error:PDF01"