E1467 V33 DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS SOCIAL AND ENVIRONMENTAL MANAGEMENT SYSTEMS POLICY FRAMEWORK and OPERATIONS MANUAL 0 Preface This material provides guidance to Project Proponents in developing their own Social and Environmental Management System (SEMS) for infrastructure projects, with reference to the system the Department of Public Works and Highways (DPWH) is already implementing. In 2003, the DPWH SEMS Operational Manual was launched through DPWH Department Order (DO) 245 s. 2003 in line with the policy direction of DPWH to fast-track its development of infrastructure projects with considering the need for integrating social and environmental requirements for sustainable development. The use of the manual aims to: i. enhance the Department's social and environmental performance; ii. guide Project Proponents in complying with Philippine environmental laws, regulations, policies, and other issuances; iii. secure social acceptability of projects through a process of public participation and consultation; iv. avoid delays in Project implementation arising from the lack of environmental permits and social acceptability; v. avoid penalties from non-compliance to environmental laws; vi. streamline operations and standardize reports; and, vii. streamline the review of reports and procedures. The DPWH has used the 2003 Operational Manual to road and bridge projects, and its application of the Philippine EIS System such as the conduct of Environmental Impact Assessment (EIA), Environmental Impact Statement (EIS) report preparation, post- Environmental Compliance Certificate (ECC) issuance activities, and environmental Project audit. The SEMS Policy Framework Manual was revised in 2007, with the inclusion of a an updated Land Acquisition, Resettlement, Rehabilitation and Indigenous Peoples Policy (LARRIP). The latest DPWH SEMS Policy Framework aims to meet the changing national regulations and organizational set-ups, and enhance global environmental and social safeguards policies and practices, including the adoption of the World Bank Environmental and Social Safeguards Policies which provide international best practice safeguards guidelines and standards for development projects. i This document has benefitted from the comments and recommendations of the officials and representatives of the Local Government Units (LGUs) during public consultations led by DPWH and attended by representatives of the LGUs in Tacloban City on October 21-22, 2014 coming from the Administrative Regions 6, 7, and 8. These LGUs have signified their interest to submit investment proposals for the review and evaluation of DPWH, following the “Build Back Betterâ€? principles of the government, particularly for the reconstruction and rehabilitation of damaged infrastructure destroyed by Typhoon Yolanda. The SEMS PF is accompanied by an Operations Manual which is periodically updated to reflect lessons learned and to integrate updates on the guidelines and procedures of the Philippine EIA Law, pertinent laws, policies, and issuances by the DPWH, other agencies and international best practice for compliance by DPWH and other project proponents. DPWH recognizes the importance of incorporating the social dimension in the planning of infrastructure projects. The current Social Impact Assessment (SIA) process in the revised SEMS (2014) updates and enhances the current practices, and includes the following new features: (i) more systematic and simplified checklists for environmental and social consideration on the screening of a national and local infrastructures using the Environmental and Social Screening Checklist (ESSC) (ii) improved templates for the social analysis, and (i) provides a framework for other social mitigation measures which incorporates the Gender Action Plan (GAP) and the Social Development Plan (SDP). The SEMS Policy Framework is accompanied by the Land Acquisition, Resettlement, Rehabilitation and Indigenous Peoples (LARRIP) Framework which was approved in February 2007 and updated in October 2014. Overall, the social development outcomes through the SIA process in the updated SEMS PF discusses (i) participation, (ii) gender and development (ii) social safeguards and (iv) management of vulnerable people such as Indigenous Peoples. Public participation is a key feature of DPWH performance requirements and forms a major component of the Environmental Impact Assessment (EIA) process. This includes the creation of Multipartite Monitoring Teams (MMTs) to encourage public participation, greater stakeholders’ vigilance and provide check-and-balance mechanisms in monitoring of project implementation and provide opportunities to communities to give feedback on project risks, impacts and mitigation measures. Consultations are based on inclusive and culturally appropriate processes to effectively engage and facilitate inclusion of impacted groups. ii TABLE OF CONTENTS 1 SEMS POLICY FRAMEWORK ...................................................................................................... 1 1.1 SEMS POLICY FRAMEWORK IN PERSPECTIVE ............................................................................. 1 1.2 DPWH INFRASTRUCTURE PROJECTS ......................................................................................... 4 1.3 NATIONAL POLICY ON ENVIRONMENTAL IMPACT ASSESSMENT (EIA) ............................................ 6 1.4 DPWH ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES ...................................................... 8 1.5 WORLD BANK ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES………………..…………10 1.6 VISION AND MISSION OF ENVIRONMENTAL AND SOCIAL SAFEGUARDS DIVISION (ESSD) 18 1.7 TIMING OF THE DELIVERY OF SAFEGUARDS ............................................................................... 19 2 ENVIRONMENTAL SAFEGUARDS REQUIREMENTS .............................................................. 22 2. 1 G E N E R A L EI A G U I D E L I N E S …… …… … …… … …… …… … …… .. .. .. .. .. .. .. .. . ... .. .. . 22 2.2 EIA PROCEDURES…………………………………………………………………………..……….23 2.3 IDENTIFICATION OF ENVIRONMENTAL IMPACTS AND MITIGATING MEASURES………………….......24 3 SOCIAL DEVELOPMENT AND SOCIAL SAFEGUARDS REQUIREMENTS ............................ 26 3.1 SOCIAL IMPACT ASSESSMENT……………………………………………………………….......... 26 3.2 LAND ACQUISITION, RESETTLEMENT, REHABILITATION AND INDIGENOUS PEOPLES FRAMEWORK.26 3.3 SOCIAL SAFEGUARDS MEASURES………………………………………………………………….27 3.4 INDIGENOUS PEOPLES…………………………………………………………………….28 3.5 GENDER RESPONSIVE PLANNING…………………………………………………………29 3.6 SOCIAL SAFEGUARDS REQUIREMENTS………………………………………………..…29 SEMS POLICY FRAMEWORK OPERATIONS MANUAL 4 ENVIRONMENTAL IMPACT ASSESSMENT .............................................................................. 34 4.1 SCREENING OF ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT .......................................... 34 4.2 PROJECT SCREENING FOR EIA COVERAGE AND REQUIREMENTS ............................................... 35 4.3 INITIAL STAKEHOLDER IDENTIFICATION, ANALYSIS AND ENGAGEMENT PLAN ............................... 35 4.4 ECC ACQUISITION FOR EIS-BASED PROJECTS ......................................................................... 36 4.4.1 Social Preparation/IEC ...................................................................................................... 36 4.4.2 Public Scoping with Community ........................................................................................ 36 4.4.3 Request For Scoping With EMB ....................................................................................... 37 4.4.4 Technical Scoping With Review Team ............................................................................. 37 4.4.5 EIA Study and Report Preparation .................................................................................... 37 4.4.6 Perception Survey ............................................................................................................. 38 4.4.7 Focus Group Discussion (FGD) ........................................................................................ 43 4.4.8 EIA Procedural Review ..................................................................................................... 46 4.4.9 Payment of filing Fee/ Set-up of Review Fund .................................................................. 46 4.4.10 Substantive review, Site Visit (SV), Public Consultation (PC) Or Public Hearing (PH) 46 4.4.11 Endorsement And Decision-Making .............................................................................. 47 4.5 ECC ACQUISITION FOR IEE CHECKLIST-REQUIRED PROJECT .................................................... 48 4.6 APPLICATION FOR CERTIFICATE OF NON-COVERAGE (CNC) ...................................................... 48 iii 5 IMPLEMENTATION OF ENVIRONMENTAL AND SOCIAL MANAGEMENT PLANS ............... 50 5.1 ECC CONDITIONS MONITORING ............................................................................................... 50 5.2 ORGANIZING THE MULTIPARTITE MONITORING TEAM ................................................................. 51 5.3 W ATER MONITORING ............................................................................................................... 52 5.4 AIR MONITORING ..................................................................................................................... 55 5.5 NOISE MONITORING ................................................................................................................. 60 5.6 EMERGENCY RESPONSE .......................................................................................................... 62 6 ENVIRONMENTAL AND SOCIAL PERFORMANCE MONITORING AND AUDIT ................... 63 6.1 CONTRACT MONITORING.......................................................................................................... 63 6.2 PROJECT INSPECTION DURING PRECONSTRUCTION ................................................................... 64 6.3 PROJECT INSPECTION DURING CONSTRUCTION ......................................................................... 66 6.4 PROJECT INSPECTION AFTER CONSTRUCTION (TURNOVER) ....................................................... 68 7 SOCIAL IMPACT ASSESSMENT ................................................................................................ 69 7.1 DATA GATHERING –SETTING THE BASELINE INFORMATION ........................................................ 70 7.2 PERCEPTION SURVEY .............................................................................................................. 70 7.3 CONDUCT SOCIO-ECONOMIC, CENSUS, AND INVENTORY OF ASSETS........................................... 71 7.4 CONDUCT OF FOCUS GROUP DICUSSION .................................................................................. 72 7.5 DATA ANALYSIS ....................................................................................................................... 72 7.6 MITIGATING SOCIAL IMPACTS ................................................................................................... 72 7.7 PUBLIC DISCLOSURE ............................................................................................................... 73 7.8 MONITORING AND EVALUATION ................................................................................................ 73 8 INDIGENOUS PEOPLE ................................................................................................................ 74 8.1 LEGAL AND INSTITUTIONAL FRAMEWORK................................................................................... 74 8.2 PROCEDURES.......................................................................................................................... 74 8.2.1 Determining the Presence of Indigenous Peoples or the Existence of Ancestral Domains in Potential Project Areas .............................................................................................................. 74 8.2.2 Obtaining Voluntary Solicitation or Initiation from Indigenous Peoples ............................ 78 8.2.3 The Field Based Investigation (FBI) .................................................................................. 80 8.2.4 Obtaining the Free, Prior and Informed Consent (FPIC) from Indigenous Peoples ......... 84 8.2.5 Preparing an Indigenous Peoples’ Development Plan (IPDP) or Indigenous Peoples’ Action Plan (IPAP) ........................................................................................................................ 86 9 LAND ACQUISITION, RESETTLEMENT, REHABILITATION AND INDIGENOUS PEOPLE POLICY ................................................................................................................................................. 98 9.1 INTRODUCTION ........................................................................................................................ 98 9.2 LEGAL FRAMEWORK ................................................................................................................ 98 9.3 SOCIOECONOMIC BASELINE INFORMATION .............................................................................. 103 9.3.1 Objectives ........................................................................................................................ 103 9.3.2 Procedures for Determining Baseline Survey And Extent Of Losses ............................. 103 9.4 POLICY ON ELIGIBILITY, COMPENSATION AND OTHER ENTITLEMENTS ....................................... 105 iv 9.4.1 Relocation Options .......................................................................................................... 110 9.4.2 Grievance redress ........................................................................................................... 110 9.4.3 Procedures for grievance ................................................................................................ 110 9.4.4 Income Restoration and Relocation Strategies ............................................................... 110 9.5 PUBLIC PARTICIPATION AND CONSULTATION ........................................................................... 114 9.5.1 Project Scoping ............................................................................................................... 114 9.5.2 Resettlement Planning .................................................................................................... 114 9.5.3 LARRIP Disclosure.......................................................................................................... 115 9.6 POLICY ON GENDER SENSITIVE PLANNING .............................................................................. 118 9.7 GRIEVANCE PROCEDURES ..................................................................................................... 119 9.8 ON INDIGENOUS PEOPLE W HO W ILL BE AFFECTED BY THE PROJECT ...................................... 120 9.8.1 Legal Bases: .................................................................................................................... 120 9.8.2 Coverage of the Policy on Indigenous Peoples .............................................................. 121 9.8.3 Three Types of Procedures:............................................................................................ 123 9.9 INVOLUNTARY TAKING OF LAND INSIDE ANCESTRAL DOMAINS .................................................. 124 9.9.1 Involuntary Taking of Land without Resettlement ........................................................... 124 9.9.2 Involuntary Taking of Land with Removal and Resettlement .......................................... 126 9.10 INVOLUNTARY TAKING OF LAND AFFECTING IPS OUTSIDE ANCESTRAL DOMAINS ...................... 127 9.10.1 IPs Are to Be Resettled ............................................................................................... 128 9.10.2 IPs are Not to Be Resettled ......................................................................................... 130 9.10.3 Resettled IPs Occupying Lands of Public Domain ...................................................... 130 9.11 EXTRACTION OF NATURAL RESOURCES INSIDE ANCESTRAL DOMAINS AND THEIR USE .............. 130 9.12 GRIEVANCE PROCEDURE ....................................................................................................... 131 9.13 PROCESS FOR SECURING VOLUNTARY ENDORSEMENT FROM IPS ............................................ 131 9.13.1 Legal and Institutional Framework .............................................................................. 131 9.13.2 Rationale for the Process: ........................................................................................... 132 9.13.3 Scope of the Process: ................................................................................................. 132 9.14 INSTITUTIONAL ARRANGEMENTS ............................................................................................. 141 9.14.1 Legal/Land Acquisition and Valuation Unit ................................................................. 142 9.14.2 Livelihood/Special Project Unit .................................................................................... 143 9.14.3 Local Administrative Authorities .................................................................................. 143 9.14.4 Project Supervision Consultants ................................................................................. 143 9.15 MONITORING AND EVALUATION .............................................................................................. 144 9.15.1 Objective ..................................................................................................................... 144 9.15.2 Scope .......................................................................................................................... 144 9.15.3 Monitoring Mechanism ................................................................................................ 144 9.15.4 Stages and Frequency Of Monitoring ......................................................................... 146 9.15.5 Schedule of Implementation of RAPS and Monitoring ................................................ 146 9.15.6 Reporting ..................................................................................................................... 147 9.15.7 Monitoring Indicators ................................................................................................... 147 9.15.8 Institutional Arrangement for the External Monitoring Functions ................................ 149 9.15.9 Results of the Public Consultations Conducted. ......................................................... 150 v List of Annexes Annex 1. List of Negative project attributes Annex 2. Environment and Social Screening Checklist Annex 3. Land Acquisition and Resettlement Templates for Phil. EIA Procedural Requirements Annex 4: Project Thresholds for Coverage Screening and Categorization Annex 5: Project Screening Of Impacts Annex 6: Profoma Request for Scoping Annex 7: Technical Screening Checklist –EIS Annex 8: Initial Environmental Examination (IEE) Checklist Annex 9: Annotated Outline for EIA Reports for Proposed (New) Single Projects Annex 10: Perception Survey Protocol Annex 11: Sample Chain of Custody Form Annex 12: Complete CNC Application Form Annex 13: Water Quality Sampling Report Template Annex 14: Air Quality Monitoring Report Template Annex 15: Noise Monitoring Data Sheet Annex 16: Environmental Management Plan Annex 17: Environmental Monitoring Plan with Environmental Quality Performance Level Annex 18: Inspection Checklist for Pre-Construction Annex 19: Inspection Checklist for Construction Phase Annex 20: Inspection Checklist for Post-Construction Phase Annex 21: Sample Framework for Social Action Plan Annex 22: Gender Action Plan Framework for Infrastructure Project Annex 23: Checklist for Social Dimension Annex 24: Indicators for Gender Annex 25: DPWH Environmental Protection Clauses vi List of Acronyms and Abbreviations BOD Biochemical Oxygen Demand COC Chain of Custody; Chain-of-Custody Form COD Chemical Oxygen Demand CAA 1999 Philippine Clean Air Act (R.A. 8749) CNC Certificate of Non-Coverage DAO34 DENR Administrative Order No. 34 of 1990 DAO35 DENR Administrative Order No. 35 of 1990 DAO96-37 DENR Administrative Order No. 37 of 1996 DAO 30-03 DENR Administrative Order No. 30 of 2003 DENR Department of Environment and Natural Resources DPM DAO96-37 Procedural Manual DPWH Department of Public Works and Highways ECC Environmental Compliance Certificate EIA Environmental Impact Assessment EIAMG EIA Management Guide (by Carl Bro International) ESSD Environment and Social Safeguards Division EIARC EIA Review Committee EIS Environmental Impact Statement EMB Environmental Management Bureau EMP Environmental Management Plan EMoP Environmental Monitoring Plan GPS Geographical Positioning System HVS High Volume Sampler (for dust monitoring) IEE Initial Environmental Examination IO Implementing office IP Indigenous Peoples LARRIP Land Acquisition, Resettlement and Rehabilitation and Indigenous Peoples MOA Memorandum of Agreement MMT Multipartite Monitoring Team NRIMP National Roads Improvement and Management Project PD Presidential Decree PM Project Manager PMO Project Management Office (DPWH) RA Republic Act RAP Resettlement Action Plan SEMS PF Social and Environmental Management System Policy Framework TL Team Leader WB World Bank vii SOCIAL AND ENVIRONMENTAL MANAGEMENT SYSTEMS POLICY FRAMEWORK 1 INTRODUCTION 1.1 SEMS P O L I C Y F R A ME W OR K I N P E R S P E C TI V E The SEMS Policy Framework (PF) has been developed specifically for the proposed infrastructure projects administered, managed or directed by DPWH. This is designed to ensure due diligence and avoid causing environmental harm or exacerbating social tensions, and to make consistent the treatment of social and environmental issues by all the involved agencies involved in development projects. The purpose of this SEMS PF is to provide DPWH and other implementing agencies guidelines to screen and scope projects for their likely social and environmental impacts, and identify appropriate safeguards instruments and requirements in compliance with the Philippine EIA law and other international best practice safeguards policies such as of the World Bank. Its objective is to provide a holistic approach to integrating safeguards measures in the project cycle, from its identification, planning, design, implementation, monitoring, evaluation and completion. At the project identification and preparation stage, the SEMS serves to identify, characterize and address environmental and social issues in an integrative, organized, and systematic way, with reference to various sector environmental and social laws rules and regulations which provides standards for environmental and social performance. The general strategies are impact and risk avoidance (alternatives), mitigation, and offsetting. These strategies form part of the environmental and social management plans, which are developed with monitoring and evaluation plans. At the project implementation stage, the environmental mitigating measures are also implemented, and at the project monitoring and evaluation stage, the environmental and social performance is evaluated. In those activities, regulatory instruments (such as certifications, permits, licenses) are prescribed and therefore ideally listed in the project SEMS. SEMS PF shall provide guidance statements on the following, when applicable: ï‚· Screening of sub-projects, determining Environmental Category and appropriate environmental assessment instruments that will identify magnitude of social impacts and safeguards instruments to prepare using the Impacts Screening Checklist prepared ï‚· Description of the Infrastructure Projects (nature, scale, location) ï‚· Project Development Cycle (corresponding studies to be undertaken such as Feasibility Study to be undertaken simultaneous with Safeguards preparation 1 ï‚· Environmental and Social Safeguards Policy (PD 1586, DAO 03-30, and its Revised Procedural Manual, WB Safeguards Policies, RAP and IP, as applicable and in accordance with Philippine laws and policies) ï‚· Environmental Mission and Vision ï‚· Identification of Risks and Impacts (Environmental Assessment such as IEE, EIA, SEMP that may include best practices or WB environmental codes of practices) ï‚· Development Applicable Environmental and Social Management Programs (with Permits and Performance Standards) to manage impacts - Pollution Prevention - Natural Resource and Biodiversity Conservation - Climate change adaptation - Disaster Risk Reduction - Land Acquisition and Involuntary Resettlement - Labor and Working Conditions - Community Health, Safety, and Security, (and Access) - Gender Management Plan - Indigenous Peoples - Cultural Heritage ï‚· Implementation of Environmental and Social Management Program ï‚· Monitoring and Review ï‚· Stakeholder Engagement (in all project stages) that include monitoring - Stakeholder Identification, Analysis and Engagement Planning - Disclosure of Information - Consultation - Informed Consultation and Participation (conduct and documentation of FPIC) - Indigenous Peoples ï‚· Internal Communications and Reporting Protocols ï‚· External Communications and Grievance Mechanisms ï‚· Reporting to Affected Communities ï‚· Emergency Preparedness and Response ï‚· Environmental Clauses in Project Contracts ï‚· Organizational Capacity Building and Competency ï‚· Project Record Keeping and Data Base ï‚· SEMS Continual Update ï‚· Safeguards Financial and Logistical Programming 2 The system may be viewed operationally as consisting of input-process-output-outcome (IPOO) elements, as exemplified in Figure 1 which was developed in the DENR-World Bank study in 2003-2005. As far as the delivery of safeguards is concerned the Output element shows what needs to be accomplished. The Input Elements shows the items needed in the delivery process of safeguards. Figure 1. A Model Safeguard System Source: Strengthening the Environmental Performance Monitoring and Evaluation System (SEMPES) of the Philippine Environmental Impact Statement System (PEISS) 3 1.2 DPW H I N F R A S T R U C T U R E P R O J E C TS The Department of Public Works and Highways (DPWH) is one of the three departments of the government mandated to undertake (a) the planning of infrastructure projects, such as national roads and bridges, flood control, water resources and other public works, and (b) the design, construction, and maintenance of national roads and bridges, and major flood control systems. DPWH serves as engineering and construction arm of the government ensuring the safety of all infrastructure facilities and securing for all public works and highways the highest efficiency and quality in construction. Infrastructure projects or activities are grouped or classified as follows 1. Development- construction of a new productive unit 2. Rehabilitation - restoration of an existing unit to essentially the same condition as when it was first constructed. 3. Reconstruction - construction involving major modifications to the existing unit in terms of design, magnitude and efficiency. 4. Improvement - restoration of an existing unit to a condition better than that of the present. Each infrastructure project follows a project cycle of four phases, and described as follows: 1 Table 1 Project Cycle 1. PROJECT IDENTIFICATION It is the process of collecting and identifying potential projects with expected return of investments. 2. PROJECT PREPARATION a. Project Feasibility Study The feasibility study consists of various investigations and tests necessary to determine whether the project can and should be carried out and if, so, how and when? b. Inclusion in the Medium-Term If the project meets the above feasibility criteria, it is considered for inclusion in the medium-term infrastructure program for the period of six years c. Fund Appropriation Based on the medium-term infrastructure program, appropriations for the projects are authorized through legislation. d. Detailed Engineering Detailed engineering of a project under the medium term program is undertaken in preparation for actual 1 Source: http://www.dpwh.gov.ph/doing_business/index.htm - accessed October 14, 2014 4 implementation under the annual infrastructure programs. e. Inclusion of Project in Annual Projects proposed for inclusion in the annual Program: Programming infrastructure program are a) those that rank high in priority within the medium-term program, and b) those that are technically ready for actual implementation during the year (i.e. with substantially completed detailed engineering). 3. PROJECT IMPLEMENTATION a. Fund Releases Immediately after the National Economic Development Authority (NEDA) Board approves the annual infrastructure program in early November, the DBM issues the Advice's of Allotment (AAs) for the projects in the program on a comprehensive basis. b. Right-Of-Way Acquisition The right-of-way of any infrastructure project, such as road, shall be acquired ahead of construction in order not to impede the work. c. Bidding and Contracting In line with the policy of the government to rely on the private sector as the main engine of economic development, infrastructure projects are generally undertaken by contract after public bidding. d. Construction Actual construction work is carried out through the Project Management Office (PMO) and the Regional/District Offices. e. Completion and Acceptance Project completion is the transition from the development to the operational stage. Completion reports and as-built plans are prepared for the submission to the implementing office heads, to management, and to funding institutions. f. Payment Due and demandable claims are processed by the DPWH either at the Central, Regional or District level, in accordance with existing government budgeting, accounting and auditing rules 4. PROJECT OPERATION AND EVALUATION a. Operation and Maintenance National roads and bridges, major flood control structures, and related facilities of national importance remain under the responsibility of the DWPH during the operational phase. The Regional and District undertake the maintenance of the facilities generally by administration. b. Impact Evaluation Impact evaluation or post-project appraisal is an attempt 5 to assess the results of a project and, as a function of the results, of the means employed to achieve them 1.3 N A TI O N A L P O L I C Y O N E N V I R O N ME N TA L I MP A C T A S S E S S ME N T (EI A) The application of EIA in the infrastructure projects of DPWH is founded on PD 1151, PD 1586, Presidential Proclamation 2146, DENR AO 2003, EMB MC 2007-002, EMB MC 2010-14, EMB MC 2014-05 and other issuances of DENR and EMB. i) PD 1151 (1977) Philippine Environment Policy Section 4. Environmental Impact Statements. -- Pursuant to the above enunciated policies and goals, all agencies and instrumentalities of the national government, including government-owned or controlled corporations, as well as private corporations, firms and entities shall prepare, file and include in every action, project or undertaking which significantly affects the quality of the environment a detailed statement on: a) the environmental impact of the proposed action, project or undertaking; b) any adverse environmental effect which cannot be avoided should the proposal be implemented; c) alternative to the proposed action; d) a determination that the short-term uses of the resources of the environment are consistent with the maintenance and enhancement of the long-term productivity of the same; and e) whenever a proposal involves the use of depletable or non-renewable resources, a finding must be made that such use and commitment are warranted. ii) PD 1586 (1978). Establishing An Environmental Impact Statement System Including Other Environmental Management Related Measures And For Other Purposes Section 2. Environmental Impact Statement System. - There is hereby established a Environmental Impact Statement System founded and based on the environmental impact statement required, under Section 4 of Presidential Decree No. 1151, of all agencies and instrumentalities of the national government, including government-owned or controlled corporations, as well as private corporations, firms and entities for every proposed project and undertaking which significantly affect the quality of the environment. 6 Section 9. Penalty for Violation. - Any person, corporation or partnership found violating Section 4 of this Decree, or the terms and conditions in the issuance of the Environmental Compliance Certificate, or of the standards, rules and regulations issued by the National Environmental Protection Council pursuant to this Decree shall be punished the suspension or cancellation of his/its certificate and/or a fine in an amount not to exceed fifty thousand pesos (50,000.00) for every violation thereof, at the discretion of the National Environmental Protection Council. iii) Presidential Proclamation 2146. Proclaiming Certain Areas and Types of Projects as Environmentally Critical and within the Scope of the Environmental Impact Statement System Established Under Presidential Decree No. 1586 iv) DAO 2003-30. Implementing Rules and Regulations (IRR) for the Philippine Environmental Impact Statement (EIS) System v) EMB MC 2007-002. Revised Procedural Manual for DAO 2003-30 vii) EMB MC 2010-14 Standardization of Requirements and Enhancement of Public Participation in the Streamlined Implementation of the Philippine EIS System viii) EMB MC 2014-05 Revised Guidelines for Coverage Screening and Standardized Requirements under the Philippine EIS System vi) Memorandum of Agreement (MOA) between DPWH and National Economic Development Authority (NEDA) EMB (1999) on streamlining the procedure for processing of applications for an Environmental Compliance Certificate for infrastructure projects. The practice of EIA inherently takes into account compliance with other environmental laws in the Philippines led by other agencies. Table 2 Environmental Laws PD 1152 Philippine Environment Code (1977 RA 9275 Philippine Clean Water Act of 2004 RA 8749 Philippine Clean Air Act of 1999 RA 6969 Substances and Hazardous and Nuclear Wastes Control Act of 1990 RA 9147 Wildlife Resources Conservation and Protection Act RA 8974 An Act to Facilitate the Acquisition of Right-of-Way, Site or Location for National Government Infrastructure Projects and for Other Purposes (2000) RA 8371 The Indigenous Peoples Rights Act of 1997 7 RA 9003 National Solid Waste Management Act of 2001 RA 6685 An Act Requiring Private Contractors to whom National, Provincial, City and Municipal Public Works Projects have been Awarded Under Contract To Hire At Least Fifty Percent of the Unskilled and at least Thirty Percent of the Skilled Labor Requirements to be taken from the Available Bona Fide Residents in the Province, City or Municipality in which the Projects are to be Undertaken, and Penalizing those who fail to do so. PD 1096 National Building Code of the Philippines Such laws take into consideration international commitments of the country and international best practices. 1.4 DPW H E N V I R O N ME N T A L A N D S O C I A L S A F E G U A R D P O L I C I E S DPWH has integrated in its development operations various environmental and social laws, through issuances of Department Orders and the World Bank’s environment and social safeguards policies. The institutionalization of the safeguards policies in DPWH started with the creation of EIA Project Office (EIAPO) which was renamed Environment and Social Safeguards Office (ESSO) and now the Environmental and Social Safeguards Division (ESSD). Strengthening the EIAPO was the subject of Department Order No. 220 issued by the Secretary of Public Works and Highways in November 1999, pursuant to a Memorandum of Agreement (MOA) between the Department of Environment and Natural Resources and the DPWH forged earlier that year. The EIAPO’s roles were extended beyond EIA compliance to include the design and implementation of Resettlement Action Plans (RAPs), public consultation and information dissemination, and providing guidance and training to all DPWH offices. In 1999 the DPWH adopted the Land Acquisition, Resettlement and Rehabilitation (LARR) Policy to avoid, mitigate or compensate for adverse social impacts of infrastructure projects. Improving Republic Act No. 6685, the DPWH issued two orders, D.O. No. 93 (1988) and No. 51 (1990), committing to a higher percentage of local hiring which is 70 percent and 30 percent of unskilled and skilled respectively must come from the host locality. Memorandum Circular No. 55 (2001) disseminates R.A. 8974 requiring the DPWH to ensure rapid processing of all applications for compensation for rights-of-way. This rule is however just one of a series of memoranda and Department orders related to providing just compensation for assets and lands acquired or displaced by DPWH projects. DPWH Department Order 245 series 2003 outlining the social and environmental management policies, as follows: 8 i. The SEMS Policy Framework and Operations Manual shall be applied in all infrastructure projects, particularly those covered by the Philippine EIS System (PD 1586). Whenever possible, other projects not covered by the EIS System shall still be implemented in a manner compliant with the environmental management plan recommended in the SEMS Operations Manual. ii. The Implementing Office concerned shall ensure that the costs of implementing the environmental compliance and monitoring activities as indicated in the SEMS Operations Manual are included in the project budget. The required SEMS-related activities shall be determined during the preparation of the feasibility study for a project. iii. The Implementing Office shall prepare an annual budget incorporating the costs of implementing the activities in the SEMS Operations Manual such as the monitoring and the conduct of environmental studies. iv. A SEMS Committee shall be created to conduct an annual review of the SEMS Operations Manual and suggest possible amendments and/or revisions. The committee shall be headed by the Planning Service Director, with members from concerned offices, namely: Monitoring and Information Service (MIS), Environmental and Social Safeguards Division (ESSD), Project Management Office for Feasibility Studies (PMOFS) and other offices to be determined by the Undersecretary for Planning. A revised version of the Manual may be released as often as necessary. v. All Environmental Impact Statements (EIS) for projects of the Department must be reviewed and recommended for approval by the ESSD. Initial Environmental Examination (lEE) Reports and lEE checklists and applications for Certificates of Non- Coverage (CNCs) must be reviewed and recommended for approval by the REIAO of the region concerned. vi. All EISs, lEEs, lEE checklists prepared for the projects must be approved by the implementing office for submission to DENR as part of their application for an Environmental Compliance Certificate (ECC). vii. Compliance to the conditions of the Environmental Compliance Certificates (ECCs), and implementation of the mitigating measures as contained in the Environmental Management Plans (EMPs), including the implementation of the Environmental Monitoring Plan (EMoPs) shall be the responsibility of the Implementing Office, to be monitored by ESSD. 9 viii. To ensure compliance to these above-mentioned conditions and mitigating measures, the tender documents for infrastructure projects subject for bidding will be included in the contractor's bid documents and contract which will include special provisions for such environmental measures under "Environmental Clauses." ix. The cost of implementing these conditions and mitigating measures in the ECCs and EMPs/EMoPs shall be included in the project cost and budget of the Implementing Office concerned. 1. 5 W O RLD B AN K EN V IR O NM E NT AN D SO C I AL S AF EG UA RD S PO L IC IE S Table 3 below describes significant aspects of the WB Environmental and Social Safeguards Policies applicable to infrastructure projects. 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. : T A B L E 3. WB E N V I R O N M E N T A L A N D S O C I AL S AF E G U A R D S P O L I C I E S Policy Objectives Procedures Environmental Safeguards WB Environmental WB requires screening of 1. Screening for Environment Assessment (OP sub-projects proposed for WB Category of sub-projects. Screen 4.01) financing to help ensure that sub-projects early in the identification they are environmentally stage, determine project boundaries, sound and sustainable, and and classify projects into appropriate thus improve decision- safeguards categories using the making. Environmental and Social Screening Checklist (ESSC) 2. Determining Safeguards Instruments to be used. The requirements under the Philippine environmental regulations are then determined. An EA may be required depending on the scale and nature of the subproject. If a subproject does not require an EA 10 under the local requirement, but is a Category B, an EA will be required. An SEMP is included as part of the EA process. The SEMP will form part of the bidding documents and be included as contractual obligations of the winning contractor that will carry out works under the subproject. When necessary, for all sub-projects, preparation of safeguards instruments such as EAs, SEMPs, etc., may be deferred to implementation, but must be completed before civil works commence. The WB will review and clear the safeguards instruments prepared by the subproject beneficiary for impact identification and appropriateness of proposed mitigation measures. Please refer to page 16 for WB Review procedures. Involuntary Resettlement WB Involuntary To assist displaced persons 1. Project Screening for Involuntary Resettlement (OP in their efforts to improve, or Resettlements. Screening of impacts 4.12) at least restore, their incomes on involuntary resettlement on the and standards of living after basis of the project’s possible displacement. architectural and engineering designs. . 2. Preparation of RAPs. RAPs will be prepared taking into consideration the magnitude of impacts. Full RAPs will be prepared if 200 persons or more are expected to be displaced by a subproject, and abbreviated RAPs will be carried out if less than 200 persons are expected to be displaced by a subproject or if impacts are “minorâ€?, i.e., if the affected people are not 11 physically displaced and less than 10 percent of their productive assets are lost. The screening checklist for the LAAR is found in the Annexes of the SEMS PF Operations Manual. This will be used to determine the magnitude of impact, types of affected land, and required safeguards instruments. Its formulation should be done in a participatory manner starting with meetings with communities who will help in seeking the participation of landowners. 3. RAP Review. The WB will prior review and clear all full RAPs, defined as more than 200 persons displaced or sub-projects with impacts that are not “minorâ€?, and the first three abbreviated RAPs. 4. RAP Implementation. Implementation will be carried out by the project 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 proponent sub-borrower. Pest Management 1. Screening for potential impacts of using hazardous materials for pest management in the ESSC. WB Pest This policy addresses pest Management management in projects 2. Cover the potential impacts through the EA and the use of integrated pest management (IPM) 12 in the SEMP Indigenous Peoples WB Indigenous This policy contributes to the 1. Local Consultations. Local Peoples (OP 4.10) Bank’s mission of poverty consultations will be conducted in the reduction and sustainable locations of the sub-projects using development by ensuring that methods that are consistent with the the development process fully social and cultural values of the local respects the dignity, human community. The services of social rights, economies, and development officers who can facilitate cultures of Indigenous intergenerational and gender equal Peoples. participation will be enlisted. 2. Information to Affected Communities. Information will be provided to affected communities at each stage of project implementation with additional measures, including modifications to designs to address adverse effects. 3. Community Consensus. To generate support for a subproject or when sensitive issues need to be addressed, local communities will be allowed to reach consensus. 4. Development of IP Plan. Based on social assessment and in consultation with the affected IPs, the borrower prepares the IPP to document measures to enhance positive effects by ensuring its cultural responsiveness and mitigate adverse effects. 5. Implementation/ Monitoring. Monitoring and supervision of sub- projects will be carried out in a culturally sensitive manner paying close attention to complaints and 13 grievances being resolved. The assistance of the NCIP shall be mobilized. Natural Habitats WB Natural The Bank supports the 1. Screening for potential impacts Habitats (OP 4.04) protection, maintenance, and on Natural Habitats using the rehabilitation of natural ESSC. Refer to the ESSC in SEMS habitats and their functions. PF OM. The Bank supports, and expects borrowers to apply a 2. Cover the potential impacts precautionary approach to through the EA. natural resource management to ensure opportunities for environmentally sustainable development. Physical Cultural Resources WB Physical This policy addresses 1. Screening for potential impacts Cultural physical cultural resources, on Physical Cultural Resources Resources (OP which are defined as movable using the ESSC. Refer to the ESSC in 4.11) or immovable objects, sites, SEMS PF OM. structures, groups of structures, and natural 2. Cover the potential impacts features and landscapes that through the EA. have archaeological, paleontological, historical, 3. Inclusion of a Chance Find architectural, religious, Procedure in civil works contracts aesthetic, or other cultural to cover accidental finds (SEMS PF significance. Physical cultural OM). resources may be located in urban or rural settings, and may be above or below ground, or under water. Physical cultural resources are important as sources of valuable scientific and historical information, as assets for economic and social development, and as integral parts of a people’s cultural identity and practices. 14 Gap Analysis between the WB Safeguards Policies and the Phil. EIA Country Systems Environmental Safeguards 1. On O.P. 4.01 Environmental Assessment and O.P. 4.04 Natural Habitats, OP 4.11. Physical Cultural Resources (PCR), OP 4.09 Pest Management 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), that will be bridged in this SEMS PF to ensure that a comprehensive assessment of the environment and social impacts of the projects is conducted. The major gaps are: a. Screening, scoping and submission of environmental information. As prescribed in the DENR EIA Procedural Manual, the content and extent of the environmental information needed for submission in the conduct of the environmental assessment do not include the following information, among others: i. New access arrangements or changes to existing road layout, impact on existing traffic, new or expansion of access roads; ii. Presence / relationship with other existing/planned projects to determine cumulative effects; iii. Degree of land/ecosystem disturbance – trees to be cut, proposed cut and fill /reclamation for existing terrain iv. Project location – will project area or ancillary areas/ activities be located in a protected area or a physical cultural heritage site or property v. Proof of land ownership and authority of proponent to develop primary land and ancillary properties vi. Use of internationally-controlled chemicals, including pesticides, herbicides and the like vii. Other measures which may be required as a consequence of the project (eg new roads, extraction of aggregate, provision of new water supply, generation or transmission of power, increased housing and sewage disposal), 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 while the World Bank requires at least two public consultations for Category A projects. For non-environmentally critical projects, even those located in environmentally critical areas, under the Philippine 15 EIA law, screening and public scoping as well as public consultation is optional and not mandatory. Under the Bank’s safeguards policies, the coverage of Category B projects requires at least one public consultation. c. Impact assessment and adequacy of Environmental Management Plan and mitigating measures. The threshold set for the scale of the projects to merit a full- blown EIA is high. This means that most if not all of the proposed sub-projects will be classified as non-environmentally critical projects and be required to submit only an IEE. In effect, the depth of the assessment is not expected to be comprehensive and the time allotted for the entire process including the impact assessment is compressed to 15, maximum 60 days. If EMB fails to complete the review process by this time, the ECC is automatically issued to the proponent. The Environmental Management Plan that is approved by EMB and referred to in the Environmental Compliance Certificate (ECC) follows a set of generic mitigating measures that need to be described in detailed to ensure that the environmental and social mitigating measures are measurable, adequate and sustainable. d. Monitoring and reporting of SEMP implementation, the government does not monitor the environmental compliance of projects regularly. Field visits, audits and review and evaluation of the proponents’ self-monitoring compliance reports should be done regularly. 2. On OP 4.37 Safety of Dams. In addition to gaps mentioned above, the Procedural Manual does not provide specific guidelines to be followed for major infrastructure such as dams. In fact, the threshold set for a mandatory EIA for a proposed dam is if its reservoir creates a flooded area of 25 hectares or has a water storage capacity of 20 million m3. Below this capacity, a dam is only considered a non-environmentally critical project and classified as a small water impounding area which only requires an IEE. It does not distinguish the height of the dam which is critical under OP 4.37. Social Safeguards 3. The key gaps between the local laws and regulations and the provisions of the World Bank’s Policy on Involuntary Resettlement include: a. Philippine Constitution, Article XIII, Section 10: Urban or rural poor dwellers shall not be evicted nor their dwellings demolished, except in accordance with the law and in a just humane manner. Focus is given on urban poor as per UDHA. Limited assistance or protection is given to the rural poor unless they are tenured agricultural tenants. The law is not very clear on assistance to small enterprises and shop renters.The WB OP 4.12 does not distinguish between affected rural and urban poor and this is adopted. b. R.A. No. 8974, Sections 8, 9, 10 and 13 provides compensation of affected properties based on fair market value. However, land donation is the first approach to the acquisition of private land. The potential donors will be informed of other modes of land acquisition and specific criteria will be used to ensure that the land donation is genuine. 16 c. Notwithstanding the ruling by the Supreme Court, none of the laws and regulations clearly provide for compensation at replacement cost. This framework shall adopt replacement value of the affected assets in determining cost of compensation. d. Income restoration/ rehabilitation assistance is available only to resettled and beneficiaries of socialized housing. This framework specifies the need for social assessment in the preparation of RAPs so that income restoration and rehabilitation will be addressed effectively. e. There is no policy for displaced vendors and employees of micro/small enterprises that have to shut down their business / to be relocated. This framework shall provide for rehabilitation assistance to fill this gap. 4. The country system for Indigenous Peoples is considered superior to that of the WB policy on Indigenous Peoples. However, IP trigger under IPRA is limited to impacts of projects to ancestral domains. OP 4.10 on the other hand is triggered by either or both impacts on ancestral domains or IP communities practicing traditional way of life even when they are living outside their ancestral domain. Although the prescribed procedures as written in several NCIP administrative orders are clearly directed towards the protection and promotion of IP rights, its implementation, monitoring are very much challenged by issues related to the following: a. serious absence of operational budget support from the government to support the required activities. 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 have also been observed among tribal leaders and some NGO’s assisting them. 5. The IPPF includes guidelines related to supervision and monitoring. Under this project, budget for the same will be part of the commitments by DPWH or the proponent. Lessons Learned in Safeguards Implementation The following is a list of difficulties encountered in safeguards implementation experienced by similar development projects to learn from and to better improve safeguards performance for this project. ï‚· Capacity and consistency of the implementing agency to oversee the overall safeguards performance of the project and monitor the same at the sub-borrower level. This oversight responsibility includes providing timely advice and support to the sub-borrowers to improve safeguards compliance which requires the hiring of full- time, qualified environmental and social safeguards specialists at the PMO. 17 ï‚· Integration of the Social and Environment and Social Management Plan (SEMP) in the bidding documents and design and reporting on the actual delivery of the SEMP on a regular basis during the implementation of the projects. ï‚· 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. ï‚· 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 have a way of life different from the mainstream society. When IP community(ies) are present in significant area of the sub project 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 and mitigation of adverse effects. ï‚· Inconsistencies between documentation and ground realities. Need for PMO to do site validation and confirmation of information with project-affected persons. ï‚· Inconsistent laws particularly between the Philippine Water Access Law and property rights, so that ownership of land may be better established ï‚· Capacity building on social and environmental safeguards for sub-borrowers should not be assumed present. The implementing agency including the LGUs must invest on their safeguards capacity building. 1.6 V I S I O N A N D M I S S I O N O F E N V I R O N ME N TA L A N D S O C I A L S A F E G U A R D S D I V I S I O N (ESSD) The Department’s environmental and social vision and mission is articulated in the formerly EIAPO (now ESSD) vision and mission formulated during a strategic planning workshop held in March 2001 under the CO5 package, or the Strengthening of Environmental, Socio-Economic and Land Acquisition Capabilities project under the National Roads Improvement and Management Program (NRIMP). This vision is stated as follows: “To serve as the environmental and social technical arm of the Department that is composed of highly competent, well trained, committed multi- disciplinary staff to promote environmentally sustainable infrastructure projects.â€? 18 Complementing this vision is the mission statement reflecting the DPWH’s and ESSD’s objectives and key role within the Department: “To integrate environmental and social concerns in all stages of the DPWH infrastructure project cycle through the enhancement of the capacity of the EIAPO [ESSD] staff, increase in the level of environmental awareness within the DPWH family and the development and implementation of a sound social and environmental management system.â€? These statements provide the DPWH, through ESSD, with a clear goal and a broad strategy to direct its actions related to social and environmental concerns. Policies and procedures not covered by national laws or department orders are to be guided by the DPWH environmental and social vision and mission. 1.7 T I MI N G O F TH E D E L I V E R Y O F S A F E G U A R D S Timing of Safeguards Preparation The basic approach in the preparation of an environmental and social assessment report is to have it simultaneously and closely coordinated, and integrated with the preparation of the sub- project feasibility study (Refer to Figure 1). The selection, design, contracting, monitoring and evaluation of sub-projects will be consistent with the safeguards guidelines provided in this SEMS PF OM. 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. 19 Figure 2. Timing of Feasibility Study vis-a-vis EA preparation of Projects Feasibility Study Phase Environmental Assessment Phase SLA with Sub-borrower Specifying the need for the issuance of an ECC/CNC prior to loan release to finance the project physical implementation Hiring of Consultants Inventory and evaluation of the Scoping and Assessment of proposed project and existing Environmental and Social Baseline conditions infrastructures Pre-feasibility study Analysis of Environmental and Social Impacts and drafting of SEMP, RAP and/or IPP Public Consultations and participatory selection of Alternatives Feasibility Study, Financial Analysis EIS/IEE finalization and processing of ECC/CNC and WB EA clearance if and Detailed Engineering Design applicable Project Implementation (Construction Compliance Monitoring of ECC and and Operation) SEMP, RAP and/or IPP 20 Table 4. Safeguards preparation integrated in the Project Cycle Project Stage Safeguards Activity 1. PROJECT IDENTIFICATION Project screening of impacts for the selection of projects 2. PROJECT PREPARATION a. Project Feasibility Study Impact assessment with list of measures, cost. Development of social and environmental and management plans (SEMP) b. Inclusion in the Medium-Term Investment plan c. Fund Appropriation Include in project cost the SEMP budget d. Detailed Engineering Acquisition of Environmental and Social permits e. Inclusion of Project in Annual Program: Programming 3. PROJECT IMPLEMENTATION Implementation of Social and a. Fund Releases Environmental Management Plans b. Right-Of-Way Acquisition c. Bidding and Contracting d. Construction e. Completion and Acceptance f. Payment 4. PROJECT OPERATION AND Social and Environmental Performance EVALUATION Monitoring and Evaluation a. Operational and Maintenance SEMP Compliance Monitoring Reports b. Impact Evaluation Environmental Completion Report 21 2 ENVIRONMENTAL SAFEGUARDS REQUIREMENTS The Environmental Impact Assessment (EIA) is an environmental planning tool to avoid or minimize significant environmental and social impacts and risks of in the entire project life cycle of development projects or undertakings. In the Philippines, it is an enforced planning tool with the required submission of an EIA Report as a prerequisite in acquiring an Environmental Compliance Certificate (ECC) for covered projects, or at the option of the proponent, a Certificate of Non-Coverage (CNC) for non-covered project. The EIA requirements continue from the certification process to project environmental performance monitoring during project implementation and abandonment. Generically, the EIA process for certification consists of the following: 1. Screening for Coverage and Requirements 2. EIA Report Preparation 3. EMB Review 4. Decision making for ECC issuance 2.1 G E N E R A L EI A G U I D E L I N E S Given the infrastructure life cycle, policies under DO 245 series 2003, and best practices, the following are the guidelines in the application of EIA: i. At the Project Identification Stage, an internal screening of project impacts will be undertaken for the candidate projects to ensure project alternatives are identified to avoid significant environmental cost. ii. At the Project Preparation Stage, a detailed environmental and social impact and risk assessment will be undertaken as input to feasibility study and detailed engineering design, acquisition of environmental approvals (such as ECC, CNC and other environmental permits), and stakeholders engagement protocols. iii. At the Project Implementation Phase, the Implementing Office shall implement environmental management plan, environmental monitoring plan, social develop plans, other plans, ECC conditions. iv. At Project Completion, the Implementing Office prepares an Environmental Completion Report and turns over the Project Environmental Records to DENR and development partners to document lessons learned and for archiving. 22 2.2 EI A P R O C E D U R E S A Project Screening for coverage and requirements or level of effort is adopted as a first step of the Philippine EIA process. The level of effort in conducting an EIA is dependent on the nature, scale, and location of project as provided in the RPM and subsequent DENR issuances. An ECC is required in case the project has potential significant adverse environmental and social impact. The required document, as basis of DENR in issuing an ECC, may be an Environmental Impact Statement for an environmentally critical project (ECP), or Initial Environmental Examination (IEE), which is a narrative report or a checklist for non-ECP projects located in environmentally critical area. An ECC may be amended should a project may be modified. In cases of project expansion another EIA process will be undertaken, depending on the nature of expansion or modification, and there are criteria set to determine what EIA document will be submitted and procedure to follow. The document may be an Environmental Performance Report and Management Plan, or a Project Description. Projects with no perceived potential adverse impact is not covered and may be issued a CNC upon request of the project proponent. A Programmatic EIS may be submitted for co- located projects at the option of the proponent. In determining whether a proposed sub-project will require an Environmental Assessment, the proponents take into consideration the following Environmental Screening and Scoping Checklist (ESSC) to determine the safeguards category and the appropriate safeguard instrument for the proposed sub-project. ï‚· List of negative sub-project attributes rendering a proposed subproject ineligible for support, (SEMS PF OM Annex 1); ï‚· Proposed checklist of likely environmental and social impacts to be filled out for each subproject or group of subprojects. Environmental and Social Screening Checklist ESSC. (SEMS PF OM Annex 2); The proponent will provide the basic information below together with the checklist, and submit to DPWH or private financial institutions for their review and evaluation. These agencies will review the submitted checklist and conduct a scoping exercise to determine the coverage of the environmental assessment needed for each sub-project. Basic Information A. Proponent’s Company name and main contact person Company address, telephone, fax and e-mail detail B. General characteristics a. Size / scale of sub-project 23 b. Land area c. Relationship with other projects d. Type of renewable energy/ use of natural resources e. Production of waste, pollution and nuisances f. potential risks, in particular to substances or technologies used. C. Site-specific characteristics a. Location - Street, barangay, municipality/city, province b. Existing land use, natural resources or environmentally sensitive areas in the project area or adjacent to it, such as: i. Urban - commercial/ industrial area ii. Urban – residential area iii. Wetlands; iv. Coastal zones; v. Mountains, forests, nature reserves and parks and other areas classified as protected areas vi. Land or seascapes of historical, cultural or archaeological significance. Subprojects are also screened for coverage under the Philippine Environmental Impact Statement (EIS) System. If the subproject is covered, the type of safeguard instrument required may vary from Initial Environmental Examination (IEE), IEE checklist, or EIS depending on the subproject’s environmental category. Refer to SEMS PF OM Annex 2 for the Environmental Category and Documentary Requirements of projects Commonly Implemented by LGUs. A scoping meeting may be organized with the DENR to determine requirements under Philippine Regulations. If under Philippine Regulations an EIS or full EA is required, this document will help the proponent meet in part or in full the WB safeguards requirements, depending on the coverage and extent of the EA conducted. The implementation of the Environmental and Social Management Plan (SEMP), which is part of the EIS will also be included as part of the contractual obligations of the winning Civil Works Contractor. If the proposed subproject involves procurement of equipment intended for environmental infrastructure, an SEMP for the operations phase shall be prepared ahead of the scheduled delivery to inform the procuring entity of the mitigating measures of potential negative environmental impacts. 2.3 IDENTIFICATION OF ENVIRONMENTAL IMPACTS AND MITIGATING MEASURES The list of negative sub-project attributes that renders a sub-project ineligible (SEMS PF OM ANNEX 1) and the screening checklist will guide the proponent in reviewing the sub-project characteristics to determine the safeguards instruments needed for compliance to the safeguards requirements of the project. (SEMS PF OM ANNEX 2) 24 The purpose of conducting an Environmental Impact Assessment is to protect environmental resources and minimize any potential adverse effects from project construction and operation. The assessment of all environmental impacts should adhere to an integrated process, divided into the following stages: 1. Screening and Scoping 2. Baseline data collection 3. Assessment of Environmental Impacts 4. Development of Mitigating measures 5. Analysis of Alternatives 6. Environmental and Social Management and Monitoring Plans (SEMP) The assessment of predicted environmental impacts shall be the basis for the sub-borrower and the design consultants in the selection of appropriate project alternatives. ï‚· Inclusion of SEMPs in technical specifications of contracts to help prevent and mitigate potential environmental impacts. Below is a sample Assessment of environmental impacts and its mitigating measures analysis for a water supply project. SEMS PF OM provides a detailed discussion of the steps in the EIA process (environmental impact assessment, cumulative impact assessment and SEMP) for a water supply project. Likewise, the SEMS PF OM will include Environmental Codes of Practice (ECOP) for different types of infrastructure projects. Table 3. Water supply project: Impact Assessment and Mitigating measures Project Valued Environmental Mitigating Measure phase/activity Ecosystem Impact Component Project siting Land Use Land Loss Refer to land use plan and preserve protected areas by not converting land use to accommodate project Public Water Reduced water Project siting should be done users supply for away from sources of water domestic use supply for domestic use and and irrigation irrigation Construction Protected Disturbance of Project siting should not Areas natural encroach into protected areas conditions or critical natural habitats Operation Water Altered water Ensure that water in the river is flows not diverted that could result in reducing the river flow by 50% or drying up of river sections 25 3 S OC I AL D E V E L OP M E N T AN D S O CI AL S AF E GU AR DS R E Q UI R E M E NT S 3.1 S O C I AL I M P A C T A S S E S S M E N T The current practice of the DPWH, which are important features of the Social Impact Assessment (SIA) include the conduct of consultations and establishing the socio-economic conditions of the people within, and surrounding the project areas. SIA is usually undertaken to enhance project benefits and opportunities; and identify mitigation measures to minimize identified social impacts and risks. In the SEMS, the goal of the SIA is to provide an integrated framework for incorporating (i) consultation and participation, (ii) gender dimension, (iii) indigenous peoples, and (iv) social analysis and mitigation to address negative impacts into the DPWH’s Project’s operat ional framework. 3.2 T H E L A N D AC Q U I S I T I O N , R E S E T T L E M E N T , R E H A B I L I T A T I O N A N D I N D I G E N O U S P E O P L E S (L ARRIP) F R AM E W O R K Under normal circumstances, land taking for development projects can be a difficult and tedious process. Reconstruction from natural or human-made disasters, civil strife, and conflict can be doubly challenging. Property records may have been destroyed; owners have died or have evacuated elsewhere; the court system may be non-functional or functioning below their capacity. People may have been traumatized by injury, loss of lives and property. Permanent acquisition of private lands will be avoided as much possible, exploring all feasible alternative sites because of the heightened risk of impoverishment and weakened bargaining power of landowners. Utmost care and sensitivity will be exercised because of the trauma and loss that the owners and users may have experienced. Where permanent land acquisition is necessary, it will be minimized as much as possible to avoid physical and economic displacement. Acquisition of land used for residential purposes will be avoided if the land taking will entail physical displacement and relocation of owners and or occupants to another site. Informal users or occupants may be victims of the disaster who have relocated to the land for safety or because their own lands were devastated or rendered inhabitable. Temporary acquisition will be minimized as much as possible in extent and duration. Temporary acquisition should avoid physical and economic displacement. Where land and immovable or fixed assets on the land will be acquired, they will be done through good faith negotiations. Expropriation will be avoided as much as possible because of the expense, 26 time, and the state of the land owners and the additional burden it places on the government system. At all stages of the design, approval, and implementation and, relevant and accurate information will be provided in a timely manner to affected people in language understandable to them and through means or channels which are accessible and affordable. The Land Acquisition, Resettlement, Rehabilitation and Indigenous Peoples (LARRIP) Framework is based on RA 8974, an Act to Facilitate Acquisition of the Right of Way, Site or Location for National Government Infrastructure Projects. The Infrastructure Right-of-Way (IROW) Procedural Manual was extracted from the LARRIP, which is specifically designed for projects involving involuntary resettlement. The LARRIP spells out the legal framework and donors’ policies governing instances when infrastructure projects implemented by the DPWH cause the involuntary taking of land, structures, crops, and other assets resulting in some cases in the displacement and resettlement of affected persons. The LARRIP enumerates the entitlements and benefits that Project Affected Families (PAFs) or Persons (PAPs) should rightfully receive under the law based on the Project’s adverse impacts on their assets, livelihood, and lives. It expounds on safeguards to be followed based on Philippine law when these affected persons are Indigenous Peoples, living inside and outside an officially declared ancestral domain. Finally, the LARRIP delineates the institutional framework for the implementation of the policy and provides mechanisms, both internal and external to the DPWH, for monitoring and evaluating the impact of safeguard measures, e.g. resettlement plan, indigenous peoples’ action plan. ANNEX 3 provides an inquiry tree to determine if a project requires the use of the Land Acquisition and Resettlement guidelines and procedures in the SEMS. 3.3 S O C I AL S A F E G U A R D M E AS U R E S Four safeguard measures accompany the SIA which include the following: (i) Social Development Plan The main objective of the SDP is to undertake sustainable development initiatives beyond the project life. The full benefits of the project should be able to reach the most disadvantaged and vulnerable sectors which include the vulnerable groups that are residing within the immediate vicinity of the project area. The SDP should also be able to complement the existing development plan of the local government so that there will be joint efforts complementing each other’s resources. A framework for SDP is attached as Annex 27 SIA -A, specifying the social issues and corresponding intervention, activities, budget, timeframe and responsibility. (ii) Resettlement Action Plan (RAP) This document provides a framework for addressing resettlement issues and concerns. Details of the Land Acquisition and Resettlement may be referred an Inquiry tree to determine if land acquisition and resettlement is required by a project (Annex 3). RAP preparation are provided in the LARRIP accompanying this SEMS Framework. Reference will also be made on the document entitled “Citizens Charterâ€? for detailed guide in implementing the IROW. (iii) Gender Action Plan The gender mitigating actions to be developed by the project are designed to accelerate gender equity, improve women’s roles in leadership, and especially in areas where local stereotypes and discrimination against women may still exist. The project’s gender action plan (GAP) details actions ensuring that women are specifically invited to project consultation meetings, that households headed by women, and that women’s representation (Ex. NGOs) are mobilized to participate in all project related activities. Refer to Annex SIA -B Framework for ‘Gender Action Plan.’ (iv) Indigenous People Action Plan An Indigenous Peoples plan (IPAP) is required for all projects with impacts on Indigenous Peoples. Its level of detail and comprehensiveness is commensurate with the significance of potential impacts on Indigenous Peoples. The details on the requirement for IPs are also specified within the framework of the LARRIP. 3.4 INDIGENOUS PEOPLES The rights of Indigenous Peoples are well-established in Philippine laws and jurisprudence. The Philippine Constitution acknowledges and promotes the rights of indigenous cultural communities to their ancestral domains and recognizes the applicability of customary laws in determining the ownership and extent of these ancestral domains. Following the directive of the Constitution, Congress passed the Indigenous Peoples’ Rights Act (IPRA) in 1997. The IPRA sets conditions, requirements, and safeguards for plans, programs, and projects affecting Indigenous Peoples. It spells out and protects the rights of Indigenous Peoples. The IPRA also created the National Commission on Indigenous Peoples (NCIP) to carry out the policies set forth in the IPRA. The NCIP has issued a number of orders that puts into 28 operation the provisions of the IPRA, the most important of which is the NCIP Administrative Order No. 3 s. 2012 or the Free and Prior Informed Consent (FPIC) Guidelines of 2012. The SEMS Policy Framework Operations Manual incorporates the procedures that the National Commission on Indigenous Peoples (NCIP) has issued concerning the formulation of the Ancestral Domains Sustainable Development and Protection Plan (ADSDPP) and obtaining the Free and Prior, Informed Consent (FPIC) of Indigenous Peoples (FPIC). It also relates the requirements demanded by the NCIP with the requirements of multilateral lending agencies. 3.5 GENDER RESPONSIVE PLANNING DPWH incorporated gender and development into the major phases of road infrastructure project from planning design, pre-construction, construction and maintenance. The “Gender Toolkit for Making Road Infrastructure Projects Gender Responsiveâ€? (2011) was developed using the Harmonized Gender and Development Guidelines for Project Implementation, Monitoring and Evaluation (NEDA) and incorporates a framework that promotes equality and empowerment of women. 3.6 S O C I AL S A F E G U A R D S R E Q U I R E M E N T S Review will commence with the enumeration by the proponent with assistance from DPWH or the LGU, when necessary, of the extent of land acquisition, project-affected population and loss of assets that may result from a subproject’s implementation, using a checklist. To facilitate review, implementing unit may complete the checklist. Reviewers from DPWH and DENR, as the case may be, will verify the information put in by sub-borrowers from the submitted subproject documents, and from the project site visit. See Table 4 below. T AB L E 4. C H E C K L I S T O F P R O J E C T - A F F E C T E D P E R S O N S AN D A S S E T S Social Impact Yes No Specify Details a) Land acquisition necessary Size & use of land b) HHs / Persons will be displaced Total no. of HHs /persons c) Presence of informal settlers Total no. of informal HHs / settlers 29 d) Legal structures acquired / damaged No., size & built of structures e) Informal structures being removed No., size & built of structures f) People losing means of livelihood Total no. of HHs /persons g) Basic services will be inaccessible Type/s of basic services h) Crops / trees being damaged / lost No. & type of crops / trees if) Tenants / Lessees losing crops / trees No. of tenant HHs losing how many, what type of crops / trees j) Informal settlers losing crops / trees No. of informal HHs losing how many, what type of crops / trees k) Indigenous peoples to be displaced Total no. of indigenous HHs /persons l) Cultural property affected No., size and type of cultural property 3.6.1.1.1.1 Social safeguards requirements will be triggered when any one of the above social impacts is positively identified and confirmed. Based on the information derived from the checklist, the following are validated (See Table 5): ï‚· Appropriateness of the prepared/submitted social safeguard document for the social category of the subproject; and ï‚· Conformity of the prepared social safeguard documents to the provisions of the SEMS Policy Framework. Table 5. Required Social Safeguards Document No. of Displaced Persons Required Document/s > 200 persons displaced and/or requiring Full Resettlement Plan shifting of dwelling structures 30 Presence of IP communities or ancestral Indigenous People Plan domain 1-200 persons or “minor impactsâ€?i.e., no Abbreviated Resettlement Plan shifting of dwelling structures 31 The presence of IPs within the project’s area of influence as residents or as food gatherers and/or places considered sacred makes a project socially critical. Table 6. Criteria for Review of Social Aspect Criteria Means of Verification 1 Consultation and participation of - Minutes of Public Consultations adversely affected persons or, in the case - Expression of Support of stakeholders, particularly of IPs, if they are present in the subproject those adversely affected area - Survey Report on Acceptability / Willingness - Free & Prior Informed Consultation, for DPs that are IPs 2 Compensation & assistance to be - Compensation Table provided according to the provisions in - Rehabilitation Program/s SEMS Policy Framework - Resettlement Implementation Schedule, in relation to overall Subproject Implementation 3 Resettlement site of adversely affected - Resettlement Site Development Plan & Vicinity persons (if any) with conditions equal to, Map or better than, those in existing sites - Description of available / accessible basic infrastructure and services in resettlement sites - Visit to resettlement site/s 4 Implementation of RAP in relation to - Comprehensive Resettlement Implementation overall Subproject Implementation Schedule within the overall Subproject Schedule implementation schedule 32 5 If applicable, due diligence on donations - Documentation of meetings held regarding land of affected lands for subproject donation/s – need to assess agreement to donate, implementation 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) 6 Management of cultural properties within, - Report on presence/absence of a cultural property or in close proximity to, the subproject - Brief reconnaissance report by competent authority area to determine what is known of the cultural property aspects of the subproject site. 7 Provision for M&E - Resettlement Action Plan - Resettlement Plan Cost Estimates 33 SEMS Policy Framework Operations Manual 4 E N V I R O N M E N T A L I M P A C T AS S E S S M E N T This section prescribes the procedures for DPWH or Project proponents to be undertaken in order to determine the Environmental and Social Safeguards Policies are triggered and the safeguards instruments needed to address the potential environmental and social impacts of a project. The procedures also serve as a guide for proponents to obtain an Environmental Compliance Certificate (ECC) and Certificate of Non-Coverage (CNC) from the DENR. These procedures, consistent with the administrative laws of the Philippines, and administrative policies, guidelines and procedures of DPWH and other agencies, aim to comply with the regulatory procedure mainly taken from EIA Revised Procedural Manual (RPM) of DAO 2003-30. 4.1 S C R E E N I N G O F E N V I R O N ME N TA L A N D S O C I A L I MP A C T A S S E S S ME N T Objective Provide the Project Development Unit early overview of environmental and social impacts and risks on identified projects Timing Project Identification Stage Deliverable Rapid Environmental and Social Impact Assessment Tool Form to be drafted Lead Group ESSD Support Group Project Planning Group Procedure 1. Project Planning Group advises ESSD on the list of candidate projects 2. ESSD to provide Project Information Form to Project Planning Group 3. Project Planning sends back to ESSD the Project Information Form with location map of projects 4. ESSD conducts an rapid assessment of the level of criticality of candidate site in relation to the construction and operation of the proposed project, by table survey and/or site visit if necessary. Information includes environmentally critical areas, sensitive community, opposition groups. 5. ESSD to send and discuss result of the assessment with the Planning Group 6. Planning Group advises projects lined up for Project Preparation 34 7. ESSD Prepares EIA budget 4.2 P R O J E C T S C R E E N I N G F O R EIA C O V E R A G E A N D R E Q U I R E ME N TS Objective To screen the project for EIA Coverage and Requirements Timing Project Feasibility Study Deliverable List of EIA requirements Forms Lead Group ESSD or REIAO Support Group Project Implementing Office (PIO) Procedure 1. Lead group obtains Project Information from PIO 2. Lead group evaluates project category 4.3 I N I T I AL S T A K E H O L D E R I D E N T I F I C A T I O N , A N A L Y S I S A N D E N G A G E M E N T P L A N EMB Memorandum Circular 2010-05 sets the guidelines in identifying stakeholders. It is part of the basic policy and operating principle of the Philippine EIS System that the EIA Process is based on timely, well-informed public participation of potentially-affected communities, identified stakeholders in both direct and indirect area needs to be informed of, consulted on, the project at the earliest stage of the EIA as possible. The following are considered as direct/primary stakeholders: o Individuals/households/communities within the smallest local government unit where the project is located. o Household deriving their primary income from the direct impact area o Organizations/sectors who are locally active in the direct impact area o Agencies who have mandates or exercise authority over the project o Entities who may have identified as having legitimate interest in the project as validated by EIA study findings 35 4.4 ECC A C Q U I S I T I O N F O R EIS- B A S E D P R O J E C T S 4.4.1 S O C I AL P R E P A R A T I O N /IEC Objectives: Initial contact and determination of perception of the affected communities and stakeholders Support: ï‚· Project Manager ï‚· Socio Economist ï‚· Technical Staff Procedure DPWH shall utilize different instruments in informing the public (such as advertisements) of a proposed Project. This shall enable the affected communities to determine the effect of the Project once it push through. This will also enable DPWH to determine if there is resistance/ apprehension for their proposed Project (or major modification i.e Skyway extension) 4.4.2 P U B L I C S C O P I N G W I T H C O M M U N I T Y Objective: The main objective of such consultation is to gather relevant concern and issues for their proposed Project or major modification.( for ECC Amendment) Upon identification of potentially affected communities, stakeholders both direct and indirect impact areas, DPWH shall prepare inform these sectors thru a public consultation that the Project will undergo the EIA System and secure an ECC. A representative from the EMB must be present during the consultation as required by DAO 03-30. DPWH are not required to reply to all issues and concerns during this consultation since the result of the EIA study including all issues raised will be presented to the stakeholders/ community. Procedure a. preparation of list of invitees; b. determination of venue for the activity c. sending invitation letters d conduct of public scoping e. summarize issues and concerns of stakeholders 36 4.4.3 R E Q U E S T F O R S C O P I N G W I T H EMB Objective: Determination of agreed upon scope of the EIA Study Procedure Preparation of a Project Description (PD) for the proposed Project (or major amendment) accompanied by a letter of request for technical scoping will be submitted to EMB. The PD also includes the issues raised by the stakeholders during the concluded public consultation. EMB shall assemble an Environmental Impact Assessment Review Committee (EIARC) for the proposed Project (or major amendment) The proforma request for scoping based on DAO 03-30 is attached as Annex 6. 4.4.4 T E C H N I C A L S C O P I N G W I T H R E V I E W T E AM The technical scoping is the initial meeting with the EMB, EIARC and DPWH. The purpose of the activity is to determine the scope of EIS/ EPRMP document to be submitted. This shall be done by accomplishing the scoping checklist of EMB. The scope of the study is binding and EMB will not request additional studies not included in the checklist during the review of the EIS document. The checklist as prescribed by DAO 03-30 will be provided by EMB. 4.4.5 EI A S T U D Y A N D R E P O R T P R E P A R AT I O N DPWH shall prepare an EIS based on the agreed upon scope with EMB. The EIS should contain at least the following: 37 a. EIS Executive Summary; b. Project Description; c. Matrix of the scoping agreement identifying critical issues and concerns, as validated by EMB; d. Baseline environmental conditions focusing on the sectors (and resources) most significantly affected by the proposed action; e. Impact assessment focused on significant environmental impacts (in relation to project construction/commissioning, operation and decommissioning), taking into account cumulative impacts; f. Environmental Risk Assessment if determined by EMB as necessary during scoping; g. Environmental Management Program/Plan; h. Supporting documents, including technical/socio-economic data used/generated; certificate of zoning viability and municipal land use plan; and proof of consultation with stakeholders; i. Proposals for Environmental Monitoring and Guarantee Funds including justification of amount, when required; j. Accountability statement of EIA consultants and the project proponent; and k. Other clearances and documents that may be determined and agreed upon during scoping. If the Project involves major modification and needs to amend the ECC and Environmental Performance Report and Management Plan (EPRMP) shall be prepared instead of the EIS. The EPRMP shall include the following: a. Project Description; b. Baseline conditions for critical environmental parameters; c. Documentation of the environmental performance based on the current/past environmental management measures implemented; d. Detailed comparative description of the proposed project expansion and/or process modification with corresponding material and energy balances in the case of process industries, and e. EMP based on an environmental management system framework and standard set by EMB. In gathering of baseline data for socio-economic module of the Project , perception survey, Key Informant Interviews (KII) and Focus Group Discussions (FGD) shall be conducted to determine the current economic situation in the impact areas. 4.4.6 P E R C E P T I O N S U R V E Y Objective: To obtain the perceptions of individual household stakeholders located in the impact area of a project. Lead Person: Social Impact Assessment Component Specialist Support: � EIA Team Leader � IO Representative � ESSD Staff trained to use the Statistical Package for the Social Sciences (SPSS) or a 38 similar statistical analysis software � Survey Team consisting of interviewers and a supervisor Overview: The survey team may be selected among the staff of a district or regional office who presumably know the local language and are familiar with the community. The perception survey is normally conducted as part of the baseline data gathering for an EIA, but may also be carried out as part of the planning process using a different sampling protocol. The procedure below assumes that all the households within the direct impact area are to be covered in the survey. These households are usually those along the right-of-way, and should have been identified before the survey. No instruction in taking a random sample from a population is therefore needed. Materials and Equipment: � Perception survey protocol (Annex 12) � #2 pencils � Plastic envelopes � Letters of introduction for interviewers. Output: Perception Survey Report Procedure: Meeting with local officials before conducting the survey: 1. In coordination with the District and/or Regional Office, prepare for a meeting with local government officials in the impact area. Preparatory tasks will include: � Drawing up a list of invitees to the meeting � Preparing a program and selecting a facilitator � Selecting a venue � Arranging food and audiovisual equipment, if needed � Preparing and sending out invitations. 39 2. Send out the invitations at least two weeks before the planned meeting. 3. Two days prior to the meeting, check to see that all arrangements have been made as agreed upon. Confirm the number of attendees. 4. On the day of the meeting itself, arrive at the venue at least two hours earlier to oversee to the final preparations. 5. Convene the meeting with local officials to inform them about the objectives and expected activities of the survey, and to obtain their cooperation and assistance in the following ways: � Disseminate information to target households about the survey � Provide access to the barangay � Provide security to the survey team. 6. Advise the local officials when the survey will be conducted. Choose a date when interviewees are most likely to be available. Training the Survey Team: 1. Determine who will compose the survey team, specifically the interviewers and the field supervisor. 2. Conduct a training seminar for interviewers and their supervisor. Provide an interviewer’s kit consisting of a plastic envelope, copies of the survey protocol, and pencils. Discuss the survey protocol, the tasks of interviewers and supervisors, guidelines and interview tips (see below), and the survey procedure. 3. At the end of the training, specify the particular areas of assignment of each survey team member. Provide everyone with an introduction letter to the barangay officials in their assigned areas, and the schedule for the activity. During the survey (Instructions to Interviewers): 1. Read the interviewing tips listed below. 2. Be onsite early on the scheduled date for the survey. 3. Bearing your introduction letters, coordinate with the local officials in your assigned areas. 4. Select an interviewee and conduct the interview according to the following procedure: 40 a. Knock on the door, then identify yourself and explain your purpose to whomever answers the door. b. Ask politely for the household head (either the father or mother). In his or her absence, talk to eldest adult family member. If no adults are available, move to the next house along the route until a qualified person is found. c. Explain the purpose of the survey, then ask whether the household head is willing to be interviewed. If the person is unwilling to be interviewed, ask if another adult is willing. If no one from the household wants to be interviewed, move to the next house. d. Ask the questions exactly as they are phrased and in the sequence that they appear in the survey protocol. e. Before ending the interview, check whether all the questions in the survey protocol have been answered. f. Thank the interviewee and ask if you may return in case there is need for additional information. 5. Submit completed protocols to the supervisor. During the survey (Instructions to Supervisors): 1. Make a random check of the veracity of the interview responses obtained by the interviewers. Take at least one completed protocol per interviewer and visit the interviewee named in the protocol. Observing the same procedures for interviewing, select questions in the protocol at random, and ask these questions again. Compare the responses gathered with those entered by the interviewer. 2. At the end of each day of the survey, edit the completed protocols. Editing means ensuring that all items have been answered (including NAPs and NAs), and that the responses are properly entered and understandable. 3. Periodically report to the EIA Team Leader and the Social Impact Assessment Component Specialist on the progress of the survey work. After conducting the survey (Instructions to the Survey Team) 1. Bring all completed survey protocols to the District Office and complete the editing of the protocols. 2. Turn the edited protocols over to the EIAPO staff trained in the use of the Statistical 41 Package for the Social Sciences (SPSS) for encoding, collating and tabulating the survey data. Processing and analyzing the survey results: 1. Supervise the processing, tabulation and analysis of the data using SPSS or other software. 2. Prepare the Perception Survey Report, which should discuss findings grouped under the following major headings: a. Respondents’ Profile b. Household Characteristics c. Perceptions regarding the environment in general d. Perceptions towards the DPWH project at hand e. Social acceptability of the project 3. Discuss the findings of the Perception Survey with the IO, ESSD, EIARO and the District Office. Draw out the implications of the findings for making the DPWH project socially acceptable. Recommend IEC strategies that could help achieve this end. Tips for Interviewers and Supervisors: 1. Prepare for the interview by reading and reviewing the protocol. Take note of the special instructions (in caps) found in the protocol. Familiarity with the questions in the protocol will make both you and the respondent feel more relaxed about the interview. 2. Conduct the interview such that the interviewee’s answers remain private. Other people hearing the interview may affect the responses. 3. If you notice that the interviewee is not at ease, talk about something else until he or she feels comfortable enough to respond to the interview. 4. Close-ended items call for ticking off the answers (called fixed alternatives) in the protocol as they are given by the interviewee. Some items may require more than one answer (or multiple responses), so tick off all answers given. 5. Open-ended items, which are followed by blanks, do not call for specific responses. You may sometimes need to probe—e.g., by asking. If there is any answer given that does not fall under any one of the fixed alternatives, place this under the blank space after the word “Others.â€? 42 6. Use probing questions when you get superficial answers. Some useful probing questions are: � “Bakit ninyo nasabi iyan?â€? � “May maidagdag pa po ba kayo? � “Ano po ang ibig ninyong sabihin?â€? � “Ano pa po ang masasabi ninyo?â€? 7. Write down responses to open-ended questions and other important remarks verbatim or exactly as they are stated. Use the same language and do not summarize or paraphrase. 8. Try to fill out all the items in the survey protocol. Use gentle persuasion to obtain a response if the respondent hesitates or refuses, but do not push. If no response is given, write NA (no answer) on the blank. If an item is not applicable, write NAP. 4.4.7 F O C U S G R O U P D I S C U S S I O N (FG D) Objective: To obtain the perceptions and sentiments of stakeholder representatives groups in the project area. Lead Person: Social Impact Assessment Component Specialist Support: � EIA Team Leader � IO Representative � Regional or District personnel knowledgeable in the local language to act as FGD Facilitator � ESSD staff members to serve as FGD Documenters Materials and Equipment: � FGD Guide (see sample questions at the end of this section) � Tape recorder and tapes � Still or video camera � Manila paper 43 � Board for posting � Marking pens and pencils � Registration sheet Output: FGD Report with photo/video documentation Overview: FGDs are intended to allow stakeholder groups and their representatives to air their concerns and opinions about the project. Expected to participate in FGDs are people other than the Project-Affected Persons (PAPs), who will be covered by the perception survey. Procedure: Preparing for the FGD: 1. Together with Regional/District personnel: � Draw up a list of 6 to 10 FGD participants who shall represent varied local stakeholder groups, including the concerned LGU, NGOs, POs and/or IPs. � Select a date and venue. 2. Prepare and send out invitations to the selected stakeholder group representatives at least two weeks before the FGD. 3. Make arrangements for food and equipment. 4. Meet with the FGD team (Facilitator and Documentors) for orientation on the objectives, process/procedures, FGD Guide, and functions of the team members. 5. If necessary, translate the FGD questions (refer to FGD Guide) into the local language of the project area. 6. Cut each Manila paper into three. On each piece, write one question or set of questions from the FGD guide. 7. Two days before the FGD, check whether the arrangements are in order and confirm the FGD participants’ attendance. 8. On the day of the FGD, come to the venue two hours earlier to make a last-minute check on arrangements made. 9. Immediately before the FGD is conducted, ask participants to register their names, 44 designations, organization they represent and their signatures. During the FGD (Instructions to the FGD Team): 1. A facilitator is expected to know the questions in the FGD instrument by heart. He/she should have ready the pieces of Manila paper containing each question or question set. 2. The Facilitator and two documentors should place themselves approximately equidistant from each other to form a triangle within the group. One documentor may move around to record the session and to take pictures or video shots of parts of the proceedings. The other documentor takes notes on the discussion and records observations on the group’s interaction. 3. The SIA Component Specialist oversees the FGD activity and helps the Facilitator keep the discussion on track. He or she may also ask probing or follow up questions as needed. Actual Conduct of the FGD (For Facilitator): 1. Welcome the participants and ask everyone to introduce themselves. Make small talk to establish rapport and set the group at ease. 2. Explain why the FGD is being held, emphasizing the importance of their participation. Allow participants to ask a few questions on the project. 3. Start and guide the discussion on a topic by posting the appropriate question on the board. Follow the FGD guide, but change the sequence of the questions as needed. 4. Probe and follow-up the participants’ responses with short questions that may not be among those in the instrument. However, make sure the discussion stays on the same topic. 5. See to it that all participants are given equal chance to speak and share their views. Ensure that every question/topic gets an equal amount of discussion time. 6. End on time (no more than three hours after starting). Thank the participants for their involvement. After the FGD: 1. Ensure that the FGD transcripts, photo/video documentation, and observations are completed within two weeks after the meeting. Provide copies to every member of the FGD Team. 2. Meet the FGD Team to discuss and analyze the data from the transcripts and 45 observations. Draw out the implications of the findings for making the DPWH project socially acceptable. Recommend EMP measures and IEC strategies that could help achieve this end. Sample FGD Guide Questions: 1. What have you heard about the project? Who were your sources of information? 2. In what specific ways will the project be advantageous or beneficial to the various stakeholders in the project area? 3. In your opinion, who or what group will benefit most from the project? 4. In what specific ways will the project be disadvantageous or non-beneficial? 5. Who or what group will be most disadvantaged by the project? 6. In what ways can these disadvantages be mitigated? 7. In what ways can benefits from the project be enhanced? 8. Would you support the project? Why or why not? 4.4.8 EI A P R O C E D U R A L R E V I E W After the completion of the EIS document, DPWH shall submit one (1) document to EMB for procedural review (screening). EMB will determine the completeness of the EIS document prior to acceptance of the document Upon acceptance of the EIS, EMB will inform DPWH on the number of copies to be provided and instruct DPWH to pay the processing fee and review fund to the third party fund manager designated by EMB 4.4.9 P AY M E N T O F F I L I N G F E E / S E T - U P O F R E V I E W F U N D Processing fee for the application of the ECC shall be paid by DPWH to EMB. The setting up of review fund for the Project shall also be set-up by DPWH with the designated Project fund manager by EMB. 4.4.10 S U B S T A N T I V E R E V I E W , S I T E V I S I T (SV), P U B L I C C O N S U L T A T I O N (PC) O R P U B L I C H E A R I N G (PH) 46 The review of the EIS/ EPRMP document by EMB are governed by prescribe timeframe. Included in the said timeframe is the site visit and public consultation or public hearing as required during the technical scoping with EMB. Site visit is usually the same day as the conduct of the public consultation or hearing. DPWH will present the result of their EIA study the stakeholders/ affected communities in the public consultation/hearing. 4.4.11 E N D O R S E M E N T A N D D E C I S I O N -M AK I N G ECC Application shall be issued within the following timeframes after the official acceptance of application documents and payment of the required processing and review fees as prescribe by EMB Memorandum Circular 14 Series of 2010: ï‚· 40 days if the proposed Project is categorized as ECP and to be signed by the EMB Director/DENR Secretary or ï‚· 20 working days if categorized as Non-ECPs and to be signed by the EMB Regional Director. DAO 03-30 states that if .no decision is made within the specified timeframe, the ECC application is deemed automatically approved and the approving authority shall issue the ECC within five (5) working days after the prescribed processing timeframe has lapsed 47 4.5 ECC A C Q U I S I TI O N F O R IEE C H E C K L I S T - R E Q U I R E D P R O J E C T In securing an ECC for DPWH project which requires IEE checklist based on the Project categorization of EMB, EMB formulated several checklist that needs to be accomplished by DPWH is securing ECC for their Projects. DPWH Projects must satisfy the criteria stated in the checklist submitting them to EMB. The checklist for DPWH projects formulated by EMB is as follows: ï‚· Roads and Bridges Project; ï‚· Irrigation, Flood and Minor Dam projects, ï‚· Waste Management Projects, Generic Checklist for other Projects not stated 4.6 A P P L I C A T I O N F O R C E R T I F I C AT E O F N O N -C O V E R A G E (CNC) Objective: To prepare a Certificate of Non-Coverage (CNC) for submission to the DENR Lead Person: Study Team Leader Overview: The activity begins at the project identification stage wherein a project design provides sufficient information to proceed with CNC preparation. For the information to be sufficient, the following must be available: � Type of proposed infrastructure � Scope of work � Length and width of right of way and other relevant technical information � Location map of project � Municipalities to be traversed or affected by the project � Justification for and benefits from the project. The Implementing Office (IO) will serve as the project proponent. The IO should send a written request to Regional Director to ask the ESSD to secure the CNC. A study team leader should then be selected among its staff. Procedure: 1. Obtain Project Description from the IO. The description should contain the following: 48 � Type of proposed infrastructure � Scope of work � Length and width of right of way and other relevant technical information � Location map of project � Municipalities to be traversed or affected by the project � Justification for and benefits from the project. 2. Complete CNC Application Form (Annex 12) containing a brief description of the project, and a map of the project site. 3. Prepare a cover letter to formally stating the application for a CNC. The letter must justify why the project is not covered by the EIS system. This justification must cite a specific provision of DAO 03-30. EMB MC 2014-05, or the DPWH-DENR MOA. In addition, it will be worth emphasizing in the letter that the project’s impact on the environment is minimal, and that the project site is not considered a critical area. 4. Submit the application for a CNC to the proper regional office. Pay the required filing fees, and make sure that a dated proof of acceptance or receiving copy of the application is received from the DENR. 5. Call DENR to request CNC status. A response should be obtained within two days. 6. File the CNC and submit copies to the IO and the ESSD. 49 5 I M P L E M E N T A T I O N O F E N V I R O N M E N T A L A N D S O C I AL M AN A G E M E N T P L A N S 5.1 ECC C O N D I T I O N S M O N I T O R I N G Objective: To ensure that a project complies with the provisions of its Environmental Compliance Certificate Lead Person: Team Leader Overview: The Team Leader need not be the same person who handled the EIA for the project, but is someone who will be responsible for addressing all its subsequent environmental compliance requirements. The person should be from the ESSD or the EIARO directly supervising the project. The person is also expected to be monitoring the ECCs of more than one project. Procedure: 1. Make several copies of the ECC and keep a copy within easy reach. 2. Prepare an overall calendar containing milestones and deadlines for all projects whose ECCs are being monitored. Calendar may cover several years, depending on the project. Post the calendar in a conspicuous location. Check this calendar daily. 3. For each provision, identify the parties responsible for compliance, the schedule for compliance, and the proof of compliance to be submitted to the DENR. Call or meet with the DENR case handler for clarification if needed. Document the discussion with the case handler. 4. Prepare a project ECC monitoring calendar indicating milestones and deadlines for complying with ECC provisions. Calendar may cover several years, depending on the ECC. Mark key dates indicated in ECC calendar in the overall calendar. 5. Complying with certain provisions, such as the submission of additional studies, should be broken down into several smaller activities. Set a starting and completion time for each activity and indicate this schedule in the ECC monitoring calendar. 6. Make sure that periodic activities, such as air and water quality monitoring, are also indicated in the calendar. 7. Prepare a schedule of reminders to responsible parties based on ECC calendar. 8. Ensure the implementation of each ECC condition according to schedule. Use the ECC Compliance Monitoring Report (Annex ) issued by the EMB as a guide. 50 9. Send an official letter with a dated receiving copy to the DENR each time an ECC provision is completed. Indicate the specific provision and the date of completion. 10. In cases when a provision cannot be complied with in time, notify the DENR well in advance (preferably at least two weeks ahead) of the delay. Specify the reason for the delay, being careful not to provide unnecessary detail. Rather than request an extension, provide a reasonable estimate of the expected date of completion. Send assurances that such delay causes no harm to the environment or the community. 5.2 O R G A N I Z I N G T H E M U L T I P A R T I T E M O N I T O R I N G T E AM Objective: To organize a Multipartite Monitoring Team consistent with the objectives of DAO96-37 Lead Person: District Engineer (to be assigned by Regional Director) Support: � IO for logistics � ESSD for technical assistance. Overview: A Multi-partite Monitoring Team (MMT) is a group of stakeholder representatives tasked to monitor a project in support of the DENR’s compliance monitoring. According to DAO96-37, MMTs are designed to “encourage public participation, greater stakeholders’ vigilance and provide appropriate check-and-balance mechanisms in the monitoring of project implementation.â€? The functions as well as the criteria and guidelines for the creation of an MMT are discussed in detail in DPM and should be understood thoroughly by the Lead Person. Procedure: 1. Prior to project construction, coordinate with the Provincial Environment and Natural Resources Officer (PENRO) or Community Environment and Natural Resources Officer (CENRO) to identify an LGU representative with whom to form an MMT Executive Committee (Execom). PENROs generally head MMTs for major projects encompassing several municipalities; CENROs chair smaller projects. The MMT Execom shall then take the lead in organizing the MMT. 2. Other representatives to the MMT should be selected from among the following local stakeholder groups: 51 � The health sector (e.g., a Department of Health official) � An environmental NGO or PO � An indigenous community (if applicable) � A college or university. Other stakeholder groups may also be invited, depending on how the project relates to their concerns. Members should also be technically competent, credible, committed and available for duty in the MMT. 3. Attend an MMT meeting to finalize an annual work and financial plan based on the environmental monitoring plan found in the EIS, and the approved Memorandum of Agreement based on the ECC conditions. It is critical to remind the MMT that the DPWH is not authorized to set aside an Environmental Monitoring Fund (from which honoraria may be drawn), but the agency will shoulder the costs of travel, food and other monitoring expenses. 4. MMTs have their own monitoring schedules and procedures based on DENR requirements. However, its members may be invited to observe monitoring exercises by the DPWH. 5.3 WATER MONITORING Objective: To determine the impact of construction operations on the quality of nearby water bodies Responsible Persons: ESSD or district staff trained in water quality monitoring Materials and Equipment: � Portable water quality analyzer (for temperature, pH, conductivity, turbidity, dissolved oxygen and salinity) � Water sampling bottles (of various types provided by laboratory) � Rinsing bottle and triple distilled water � Vicinity map � Field notebook � Felt-tip permanent marker for labeling 52 � Safety equipment (gloves, wading boots, life vests, as appropriate) � Cooler with ice for storing samples � Camera Output: Water Quality Sampling Report Procedure: Before leaving for field sampling: 1. Check water quality analyzer for operating condition, battery power level, and compliance with calibration schedules. Check freshness and sufficiency of calibrating solutions. Identify 2. water quality parameters to be measured based on the EMP. 3. Obtain water quality sampling bottles from a DENR-recognized laboratory. Sampling bottles vary depending on the parameter to be analyzed; some parameters will call for bottles containing chemical preservatives. Check presence of labels on each bottle. 4. Ensure bottles are stored in sturdy coolers, which are usually provided by the laboratory. Check chain-of-custody (COC) forms (Annex 13) that should accompany sampling bottles. At sampling station: 1. Coordinate with local officials before sampling. If needed, hire residents as guides, porters or field assistants. Instruct assistants on the purpose of the sampling, personal safety, and caring for the equipment. For their safety and to preserve data quality, minimize their contact with samples and sampling materials. Provide field assistants with safety gear, food and drinks, and fair compensation. 2. Inspect sampling station, ensuring that station is identical to the location specified in the environmental monitoring plan or sampling map and is consistent with objectives of monitoring. 3. Calibrate water quality analyzer according to method and schedule recommended by manufacturer. 4. If several samples are to be taken at a station, collect or analyze the relatively cleaner water first. 5. Operate water quality analyzer following manufacturer’s directions. Rinse probes with distilled water before using. It is sometimes better to sample a water body by collecting some water in a thoroughly rinsed beaker or similar vessel and immersing the probe into the vessel rather than directly into the water body. However, make sure that readings of the water in the vessel are taken quickly after collection. Rinse probes after each sample. 6. Collect water samples from a well-mixed location as far away from the riverbank as 53 practicable. Waders, a boat or a sampling pole may be used to reach the preferred location. 7. Fill a bottle by placing the mouth against the flow, immersing slowly about 20 cm below the surface. 8. Add the required preservative, seal, label and store the sampling bottle in the cooler. 9. Log the station location, coordinates, number of samples, sample labels, environmental conditions, observations and other information in the field notebook. 10. Locate the stations in the vicinity map. 11. Check storage condition of samples at the end of each sampling day, repacking or replacing ice as necessary. After sampling: 1. Check samples before traveling back from field, repacking or replacing ice as necessary. Check again before sending samples back to the laboratory. 2. Samples should be shipped to the laboratory as soon as possible and within the prescribed holding time. Fill out and submit COC forms. 3. Wait for laboratory report, periodically following up as necessary. Keep all laboratory reports for inclusion in the EIA. 4. Prepare water quality sampling report using sampling report template in Annex 14. Additional Reference on Water Quality Sampling: Environmental Management Bureau, 1994. Water Quality Monitoring Manual. Department of Environment and Natural Resources, Quezon City. 54 5.4 AI R M ONI TO RIN G Objective: To determine the impact of construction operations on concentrations of dust and vehicular emissions (sulfur dioxide and nitrogen dioxide) Responsible Persons: ESSD or district staff trained in air quality monitoring Materials and Equipment: � High-volume sampler � Pre-weighed particulate filters � Gas analyzer � Absorbing solutions and sampling reagents � Portable power generator with 20-m (minimum) extension cord � Fuel for generator � Portable spectrophotometer (for analysis on field) � Vicinity map � GPS or compass � Outdoor thermometer � Barometer (for sampling at high elevations) � Rinsing bottle and triple distilled water � Field notebook � Felt-tip permanent marker for labeling � Non-powdered latex glove and tweezer � Safety equipment (hard hats, reflectorized vests, traffic warning signs, as appropriate) � Cooler with ice for storing chemicals � Camera 55 Optional: Portable anemometer and wind vane with mast Output: Ambient Air Quality Sampling Report Procedure: Before leaving for field sampling: 1. Clean and maintain instruments according to manufacturer’s recommendations. Check for compliance with calibration schedules (performed by an independent laboratory usually every 6 months to 1 year). Check oil levels in generator. 2. Purchase particulate filters from a DENR-recognized laboratory. Ensure that particulate filters have been properly inspected, weighed, packed and labeled by the laboratory following DENR Air Sampling Manual. 3. Purchase absorbing solutions and sampling reagents for sulfur dioxide and nitrogen dioxide, following procedures prescribed by 1999 Clean Air Act. Ensure that reagents are packed, labeled and preserved following DENR Air Sampling Manual. 4. When sampling at distant locations where exposed absorbing solutions cannot be delivered to the laboratory without exceeding the required holding time, a portable spectrophotometer must be brought along to conduct analysis on field. 5. Ensure that absorbing solutions are accompanied by chain-of-custody forms, which should be filled out as necessary. 6. Whenever possible, purchase fuel for the generator from a station close to the sampling site, rather than travelling to the site with a full tank of gas in the generator. During field sampling: 1. Coordinate with local officials before sampling. If needed, hire residents as guides and field assistants. Instruct assistants on the purpose of the sampling, personal safety, and caring for the equipment. For their safety and preserving data quality, minimize their contact with samples and sampling materials. Provide field assistants with safety gear, food and drinks, and fair compensation. 2. Identify sampling station based on the Environmental Monitoring Plan or sampling map. Select sampling position following station selection criteria described below. Notify and obtain permission from property owners and local authorities before sampling. 3. Set up portable wind vane if available. Using visual cues or the portable wind vane, position generator at least 30 m downwind of sampling station. However, make sure that the generator poses no annoyance to residents, particularly during 24-hour sampling. 56 4. Set up instruments and generator in safe, stable and secure positions. Put on or install safety equipment as necessary. 5. Using gloved hand or tweezers, place filter on HVS following equipment manufacturer’s specification. Inspect filter for tears and holes. Check filter placement to ensure no leaks along the sides. 6. Rinse impingers on gas analyzer with distilled water and shake off excess water. Transfer absorbing solutions to respective impingers. Rinse empty reagent containers and shake off excess water. 7. Inspect wires, tubing and connections in all equipment in preparation for operation. 8. Turn on equipment. Record time of start of sampling for each instrument. After about 5 minutes of operation, record flow rates of each instrument. Ensure that flow rates are steady and are within recommended ranges. For 1-hour sampling, record flow rate again after 30 minutes from start of sampling. For 24-hour sampling, record flow rate every four hours or make sure flow rate recorder is operating. 9. Periodically inspect equipment operation and sampling conditions during the sampling period. Be prepared to discard samples and repeat sampling where data quality is compromised. Take pictures of sampling set-up from various directions. If sampling from a location other than that indicated in the monitoring plan, indicate sampling position in vicinity map. 10. In field notebook, record temperature, pressure, average wind speed, direction, and cloudiness during sampling based on observations taken near start, middle, and end of sampling period. If wind vane and anemometer is not available, use the Beaufort scale (Annex 16) to estimate wind speed and visual indicators (clouds, smoke plumes) to find wind direction. Record stability class using Pasquill’s criteria (Annex 16). For 24-hour sampling, record weather conditions every four hours. Indicate occurrence of rain. For conditions where safety is compromised (such as poor weather), stop sampling. During end of sampling: 1. Near end of 1-hour sampling, record flow rate again. Turn off each sampler exactly 1 hour after start of sampling (or at end of sampling period). 2. Using gloved hand or tweezers, remove filter from HVS, fold in half and return to envelope. Record name of station, average flow rate, date and time of sampling on envelope. 3. Rinse absorbing solution containers and shake off excess water. Transfer spent solution 57 from impinger to container. Record name of station, date and time of sampling on container label, then pack container in ice. Rinse impingers and shake off excess water. Prepare instruments and materials for transportation to next station. 4. Analyze samples within prescribed holding times by sending them immediately to a laboratory or by analyzing them on field using the portable spectrophotometer. 5. Log station name, coordinates, date and time of sampling, flow rates, weather conditions, reagent and filter labels, and other relevant information in field notebook. Include spectrophotometer readings, calibration results and calculations. List name of sampling personnel or MMT members present. 6. Locate the sampling stations in the vicinity map. Reminders for 24-hour sampling: 1. If sampling personnel cannot be present at the station during the entire 24-hour period, the field assistants may be instructed in taking basic instrument readings. Provide field assistants with shelter and a means of contacting sampling personnel if an emergency occurs while on duty. 2. Train the field assistants to read and record flow rates and weather conditions according to schedule. However, check their work regularly. After sampling: 1. Send filters and reagents back to laboratory for analysis. Ensure that samples are properly labeled, and that COC forms are properly accomplished and returned to laboratory. Provide lab with flow rates and meteorological data for calculation of concentrations. 2. Clean equipment and prepare for next sampling. 3. Wait for laboratory report, periodically following up as necessary. Check lab calculations. Keep all laboratory reports for inclusion in the EIA. 4. Prepare ambient air sampling report using sampling report template in Annex 17. Compare the sampling results with relevant ambient air quality standards (Annex 18). Criteria for Air Quality Sampling Site Selection: 1. Samplers should be placed away from a flow obstacle such as a house, building, tree and other structures at a distance equivalent to at least 10 times the height of the obstacle. Schoolyards, parks and roofdecks often serve as good sampling positions. 58 2. Place a sampler at least 5 meters from the edge of the traffic lane. For a heavily traversed road, place the samplers at least 20 meters from the roadside. 3. Do not place a sampler indoors or under obstructions like overhangs and tree canopies. 4. There should be at least 270 degrees unrestricted airflow around the sampler. 5. The sampler intake line should be about 2 to 15 meters above the ground. 6. To avoid windblown dust from the ground, choose a location with good ground surface cover, such as short grasses. 7. If the environmental monitoring plan does not identify a sampling station, choose a location that represents air quality around a populated area. 8. Where possible, there should be a clear line-of-sight between the source and the station. Additional Reference on Sampling Site Selection: U. S. Environmental Protection Agency, 1994. Quality Assurance Handbook for Air Pollution Measurement Systems: Volume I, Part 1: Ambient Air Quality Monitoring Program Quality System Development). EPA Publication No. 600/R-94/038a. Office of Research and Development, Washington DC. Additional Reference on Air Sampling: Environmental Management Bureau, 1994. Air Quality Monitoring Manual. Department of Environment and Natural Resources, Quezon City. 59 5.5 NOISE MONITORING Objective: To determine the impact of construction operations on noise levels Responsible Persons: ESSD district staff trained in noise monitoring Materials: � Vicinity map � GPS or compass � Noise meter with calibration kit � Data Sheet for Noise Monitoring (one sheet per reading) Optional: � Wind vane and anemometer with mast � Outdoor thermometer � Wet-bulb thermometer or hygrometer Output: Noise measurements (to be included in Ambient Air Quality Sampling Report) Procedure: 1. Choose a noise monitoring station close to the ambient air quality sampling station, following the Environmental Management Plan or sampling map if available. 2. Set up weather instruments and take readings of wind, temperature and humidity. Record data in Noise Monitoring Data Sheet (Annex 19). Locate each sampling station in the vicinity map. 3. Calibrate noise meter as necessary. 4. Set noise meter to record “Aâ€? weighted frequencies, and place setting on “Slow.â€? 5. With microphone facing the general direction of the project activity, take 50 successive instantaneous readings at 10-second intervals. Ignore values that may occur between readings. Tally each reading in the proper row of the Data Sheet. 6. After all 50 readings have been taken and tallied, count the number of occurrences of each noise reading and write down the total in second-to-last column of the Data Sheet. 60 7. After counting the total readings in each row, calculate the cumulative frequency and write down the total in the last column. 8. Take the average of the fifth and sixth highest reading and write down the result in the box labeled L10. Do the same for L50 (average of the 25th and 26th highest reading) and L90 (average of the 45th and 46th highest reading). 9. For 24-hour sampling, use same procedure to obtain one set (L10, L50 and L90) of noise measurements for each of the four monitoring periods: Daytime (0700H-1700H), Evening (1700H-2100H), Nighttime (2 100H-0500H), and Morning (0500H-0700H). Each noise measurement should be determined from 50 readings using the procedure described above. Prepare a table of results for inclusion in the Air Quality Monitoring Report. Follow the section on noise found in the Air Quality Monitoring Template. 61 5.6 E ME R G E N C Y R E S P O N S E Objective: To ensure and monitor the implementation of environmental management measures during the conduct of emergency repair measures Responsible Person: Team Leader ESSD or district Overview: After the occurrence of a natural disaster such as an earthquake or typhoon, rehabilitation works may have to be urgently undertaken on a completed structure. One problem during such an emergency is that while the scale of the civil works can be significant, public interest may call for immediate action without going through the permitting processes usually required for major projects. Strong coordination with the DENR and making sure that the standard EMP is enforced while the repair work is undertaken are major themes of this task. Repair work not classified as urgent will have to go through the usual permitting procedures discussed in other sections. Procedure: 1. Determine the scale of the damage, the repair work that needs to be undertaken, and the schedule of the work. 2. Prepare a letter formally notifying the regional DENR office that emergency repair or rehabilitation activities are to be undertaken. Describe in full the activities, and provide strong justification why the repair work is to be undertaken immediately. Describe what environmental protection measures and monitoring system that will be put in place by the DPWH during the repair activities. Invite the DENR to inspect the repair work. 3. Mobilize a team to conduct air, noise and water quality monitoring, following procedures in previous section. Prepare a monitoring report according to the recommended templates. Identify any opportunities for improving DPWH’s response to such emergencies. 62 6 E N V I R O N M E N T A L A N D S O C I AL P E R F O R M A N C E M O N I T O R I N G A N D A U D I T The tasks under this function are those that are non-regulatory in nature and are conducted as part of the project cycle within the DPWH. It is the role of the ESSD, regional or district office in this cycle to ensure that environmental and social provisions are included in all contracts, and to ensure that these provisions are complied with. Since these provisions are often based on the ECC or are consistent with environmental quality standards, they are obviously closely related to post-ECC environmental monitoring. Indeed, these activities often overlap and may be conducted on field at the same time. However, unlike environmental monitoring, project auditing focuses on compliance with the institutional components of environmental management, and is performed through inspections and a review of paperwork. 6.1 CONTRACT MONITORING Objective: To ensure a contractor’s compliance with contract provisions on environmental protection and social enhancement Responsible Person: Team Leader from ESSD Overview: This task defines the administrative procedures for managing contracts. For guidance on monitoring compliance with specific provisions of contracts, other sections of the manual should be consulted. Procedure: During bidding process: 1. Revise the sample DPWH Environmental Protection clauses found in Annex 25 to apply to the project based on the EMP and the ECC for the project. 2. Discuss contract clauses with bidders to allow the latter to include realistic costs of complying with contract provisions in their bids. After awarding: 1. Keep a copy of the contract. 2. Prepare an overall calendar containing milestones and deadlines for all projects to be monitored. Calendar may cover several years, depending on the contracts. Post calendar in conspicuous location. Check this calendar daily. 3. Prepare a project contract calendar indicating milestones and deadlines for complying with specific contract provisions. Calendar may cover several years, depending on the contract. Make sure that contract calendar is consistent with calendar for ECC 63 compliance. Provide contractor with the contract calendar. 4. Prepare a schedule of reminders, notices and inspections based on contract calendar. 5. Mark key dates indicated in contract calendar in the overall calendar. 6. Notify contractors of approaching deadlines. 6.2 P R O J E C T I N S P E C TI O N D U R I N G P R E C O N S TR U C TI O N Objective: To evaluate onsite conditions to avoid potential environmental problems and compliance issues Lead Person: Team Leader (assigned by IO) Support: ESSD Materials and Equipment: � Map of project site � Preconstruction checklist � Tender documents � Camera � Personal Protective Equipment or PPE (hard hats, safety shoes, etc.) Output: Accomplished inspection checklist for preconstruction (Annex 21) Overview: It is presumed that the Team Leader has been to the site at least once, or has read the EIA or IEE for the project. This familiarity with both the project and project site should guide the inspection. During the preconstruction stage, no construction activity is taking place at the site, although some preparatory work may be ongoing. The main purpose of the visit is to inspect the proposed locations to be used for the work camp, equipment depot, fuel storage area, waste disposal site, quarries and other facilities. While the EIA has thoroughly studied the project site, these ancillary facilities are not likely to have been given the same attention in the report. The inspection must check whether these facilities were appropriately selected, if proper permits have been obtained, or whether they contain critical receptors that may be 64 harmed during construction. The inspection will also identify potential problems during construction. The preconstruction checklist is to be used to guide the inspection, but the inspection team should note that checklist should not be taken as the sole basis of the activity. Procedure: 1. Consult the contract monitoring calendar to determine the date of the inspection. 2. Coordinate with regional or district personnel and contractor for accommodations and transportation. 3. Visit the proposed work camp, equipment depot, waste disposal site, quarries and other facilities. In each site, it is critical to look for the following: � Nearby bodies of water that may be contaminated � Homes that will need to be relocated � Protected areas that may be disturbed � Trees and vegetation to be cleared � Historical landmarks that may be violated � Public utilities such as water or power lines that may be damaged � Traffic routes that may be disrupted. Other issues may be determined during the inspection. Appropriate actions should be identified, such as a change in the proposed location of a facility, or the application of mitigation measures (see EMP for a list of possible measures). 4. Quarries and batching plants may require permits from the DENR regional office and from the local government. The inspector should check the status of these permits. Accomplish the inspection checklist (Annex 18) as suggested. Although the focus of the inspection is on identifying potential problems, the inspection should also write down actual observations of the project site in the “Remarksâ€? column 65 6.3 PROJECT INSPECTION DURING CONSTRUCTION Objective: To evaluate onsite conditions for compliance with ECC, environmental standards, contractual requirements and other criteria. Lead Person: Team Leader (assigned by IO) Support: ESSD Materials and Equipment: � Checklist � Tender documents � Map of project site � Camera � Personal Protective Equipment or PPE (hard hats, safety shoes, etc.) Output: Accomplished Inspection Checklist for Construction (Annex 19) Overview: This activity focuses on how well the Environmental Management Plan is implemented by the contractor as construction progresses. It also aims to check on workers’ health and safety, and on the overall sanitation and housekeeping practices at the worksites and ancillary facilities. The inspection should be conducted as provided for in the contract, but may also be done to coincide with compliance monitoring. Inspections may also be conducted immediately after the occurrence of a natural disaster at the site. Procedure: 1. Consult the contract monitoring calendar or project status to confirm that the project is ready for turnover. Environmental quality monitoring, if called for, may be conducted at the same time as this activity. 2. Coordinate with regional or district personnel and contractor for accommodations and transportation. 3. Make use of the checklist (Annex 19) to guide the inspection, but watch for problems not covered by checklist. Focus on housekeeping, waste management and worksite safety. Coordinate with the pollution control officer and safety officer. Look for opportunities for 66 reducing pollution and enhancing general environmental conditions. 4. Make note of positive measures implemented by the contractor that can be applied elsewhere. 5. Check whether quarries and batching plants are operating with the necessary permits. In accomplishing the checklist, the inspector should always try to fill up the “Remarksâ€? column with actual observations of the project site 67 6.4 P R O J E C T I N S P E C TI O N A F TE R C O N S T R U C TI O N (T U R N O V E R ) Objective: To evaluate onsite conditions for compliance with ECC, environmental standards, contractual requirements and other criteria. Lead Person: Team Leader (assigned by IO) Support: ESSD Materials and Equipment: � Checklist � Tender documents � Map of project site � Camera � Personal Protective Equipment or PPE (hard hats, safety shoes, etc.) Output: Accomplished Inspection Checklist for Project Turnover (Annex 20) Overview: Inspection after construction focuses on whether the site has been satisfactorily restored to its original or natural state. Ideally, the site should be free of pollution and hazards left over from construction. The result of the inspection is critical because it may become the basis whether the project may be turned over by contractor to the DPWH. Procedure: 1. Consult the contract monitoring calendar or project status to confirm that the project is ready for turnover. Environmental quality monitoring, if called for, may be conducted at the same time as this activity. 2. Coordinate with regional or district personnel and contractor for accommodations and transportation. 3. Make use of the checklist (Annex 20) to guide the inspection, but watch for problems not covered by checklist. Focus on uncollected wastes, abandoned equipment and structures, fuel storage areas, excavations and other remnants that can cause pollution or pose hazards. Place in map and take photos of areas that need to be rehabilitated or restored. 4. In accomplishing the checklist, the inspector should always try to fill up the “Remarksâ€? column with actual observations of the project site. 68 7 S O C I AL I M P A C T A S S E S S M E N T Objective: To incorporate the social dimension in the preparation of the environmental social impact assessment. Lead Person: Social Development Specialist for the Social component Resettlement Specialist (specific to RAP preparation) Support: í¯€ EIA Team Leader í¯€ IO Representative í¯€ESSD Staff trained to use the Statistical Package for the Social Sciences (SPSS) or a similar statistical analysis software or Excel. í¯€ Survey Team consisting of interviewers and a supervisor Overview: The social context of the subproject aims to cover the following elements. (i) Public consultation (ii) Collection of baseline data (iii) Identification and analysis of social impacts (iv) Mitigating the social impacts Specific activities include: ï‚· Conduct of consultation with local residents ï‚· Data Gathering (primary and secondary data) ï‚· Conduct survey of relevant features of the area (population trend, labor and employment, income profile, health indicators, sanitation) ï‚· Collect information and file data to establish baseline conditions ï‚· Quantify and characterize data collection ï‚· Analyze data ï‚· Examine probable impacts (ex. displacement, health related issues, resettlement,) ï‚· Prepare recommended mitigation measures ï‚· Prepare social development plan, RAP and Gender Action Plan ï‚· List of parameters to be monitored ï‚· Prepare monitoring plan Support: í¯€ EIA Team Leader í¯€ IO Representative í¯€ESSD Staff trained to use the Statistical Package for the Social Sciences (SPSS) or similar statistical analysis software 69 í¯€ Survey Team consisting of interviewers and a supervisor Procedures A. Public Consultation – social preparation/IEC (i) The public consultation procedures in the environment and social assessment are specified in SEMS 4.4.11 (formerly 3.13). This is an initial activity during the first level scoping to orient the people of the proposed project, gather feedback, and prepare the community and set schedule for the upcoming community activities related to social impact assessment. (ii) Consultations should be based on inclusive and culturally appropriate processes to effectively engage and facilitate inclusion of impacted groups, disadvantaged and vulnerable groups, including women. 7.1 D AT A G AT H E R I N G – S E T T I N G T H E B A S E L I N E I N F O R M AT I O N 1. Review of Secondary Data (i) Establish the existing conditions of the human environment of the Project area through collection and review of secondary data from (a) Barangay Profiles, (b) Socio-Economic Profile, (c) Comprehensive Land Use Plan, (d) Minimum Basic Need (MB) and other statistical information on labor and employment, health situation, basic services. The latter could be taken from the National Statistic Coordinating Board (NSCB) (ii) Review social policies and other related studies. This includes the Constitution and local government code, DAO2003-30, RA 8974 and other relevant policies to establish policy requirement for mainstreaming of social dimension. 2. Gather Primary Data Primary data collection through field surveys will be used in the social analysis and consists of information taken from the following: 7.2 PERCEPTION SURVEY (i) A Perception survey shall be conducted, headed by the ESSD, or a social Development Specialist, to obtain the perceptions of individual household located in the impact area of the Project. This is done to systematically identify the host communities’ views on the Project and elicit current issues and concerns and other information regarding the proposed Project. 70 (ii) Conduct perception survey. The preparation for the conduct of structured survey of households should apply the procedure specified in SEMS Annex 10. Depending on the size of the barangay population, a sample size of at least 20% of households within the corridor of impact is taken as representative sampling size. The protocol for the perception survey is provided in SEMS Annex 10. (iii) Consult with local residents, professional and experts on their views both positive and negative impacts about the project and solicit recommendations to mitigate any identified adverse impact. This can be done through key informants’ interview (KII) or informal discussions with individual or sectoral groups. Include women in the discussion. (iv) Encode perception survey results using Excel software. Tabulate results to form the socioeconomic profile and baseline data of the community. (iv) Document the perception survey results which include the anticipated social impacts of the proposed project, as well as peoples’ views, perception and obtain issues and concerns related to the proposed Project. This will be incorporated in the preparation of the SIA report. During the scoping stage, once it is determined that the project will involve involuntary resettlement: 7.3 CONDUCT SOCIO-ECONOMIC, CENSUS, AND INVENTORY OF ASSETS. (i) The conduct of the socioeconomic survey, Census and inventory will be undertaken simultaneous with the perception survey, headed by ESSD or by the Resettlement Specialist hired for the project. (ii) A census, inventory and socio economic survey of PAFs will be undertaken representing 100 % of the PAFs. This includes all families living within the ROW of the road project or within the scope of land to be acquired for the project. Ex. hospital, public market, etc. (iii) Use the information and survey forms for socioeconomic and inventory forms specified for RAP planning. (iii) Encode, tabulate, process and analyze results. (iv) Draw a master list of affected households to reflect losses of residence, business premises and other improvement, loss of trees and crops. The data will be encoded using SPSS and or excel to form the data base information of Project affected families. 71 7.4 CONDUCT OF FOCUS GROUP DISCUSSION The FGD is a powerful tool to collect both quantitative and qualitative assessment of PAFs on their current condition and how the project will affect their quality of life due to displacement. (i) Prepare for the FGD to ensure that all participants are actively involved in the process. (ii) Document the FGD results. 7.5 D AT A A N A L Y S I S (i) Prepare a narrative report that incorporates the findings from secondary data, the perception survey and key informants interview. (ii) Analyze and interpreted results; (iii) Draw out identified social impacts; (iv) Draw out recommendations coming from consulted individual/organization and key informants. The checklist for Social dimension in Annex 23 can be used to identify the topics covered by the social analysis. 7.6 M I T I G A T I N G S O C I A L I M P AC T S (i) Prepare Social Development Plan (SDP) The Social Development Plan is a document that reflects the interventions responsive to the identified negative impacts. The main objective of the SDP is to undertake sustainable development initiatives beyond the project life. The full benefits of the project should be able to reach the most disadvantaged and vulnerable sectors that are residing within the immediate vicinity of the project area. The approach will be characterized by participatory planning approach anchored on sustainable development and self-reliance, which can be achieved through the participation of the communities who will be involved in the planning, implementing and monitoring of the programs responsive to their immediate and long term needs. The SDP should also be able to complement the existing development plan of the local government so that there will be joint efforts, complementing each other’s resources. The SDP shall reflect gender needs and consideration of women, particularly vulnerable, and female headed. (ii) Prepare Resettlement Action Plan/IP Plan 72 A Resettlement Action Plan will be prepared when people will be displaced by the project and requires resettlement. The RAP shall be fully compliant with the applicable national legislation, including DPWH Land Acquisition, Resettlement, Rehabilitation and Indigenous Peoples ‘Policy (LARRIP) revised in March 2007. The RAP/IP Plan shall reflect the following: ï‚· An accurate disaggregation of local household social and economic indicators reflecting the specific socioeconomic information of PAFs to be displaced and IP households. ï‚· Accurate identification of compensation and benefits. ï‚· Ensuring that livelihood restoration effectively addresses PAFs needs and IPs and resettlement sponsored trainings. ï‚· Ensuring the input, participation and representation of PAFs/ IP households in all phases of project development. ï‚· Entitlement Matrix of the distribution of compensation payments to ensure that PAFs/IPs are paid in full. ï‚· Ensure that institutional support in the delivery of resettlement program is in place, budget appropriated and timeframe for implementation is specified and followed. (iii) Prepare Gender Action Plan – The project’s gender action plan (GAP) details actions ensuring that women are specifically invited to project consultation meetings, that households headed by women, and that women’s representation. 7.7 PUBLIC DISCLOSURE (i) During the review of the submitted SEIA, a public consultation is usually conducted to present the results of the SEIA and to ensure that the issues raised have been addressed in the social impact assessment. (ii) Another outcome of consultation will be the record of all stakeholders’ contributions in the form of Issues and Response Report. This report will be an ongoing record of stakeholders’ issues raised during the consultation. (iii) Response to the issues will indicate the manner in which issues will be considered / have been considered in the SEIA process, or can be resolved through other means. (iv) The protocol for the disclosure needs to be developed. Refer to SEMS 9.5.3 on LARRIP Disclosure for guidance. (v) For project affected families, (PAFs), disclosure of the Entitlement Matrix based on the provisions of RA 8974 and the LARRIP will be disclosed to PAFs. 7.8 M O N I T O R I N G A N D E V A L U AT I O N The monitoring process as defined in the LARRIP shall be followed which shall also be applied in the monitoring of the SDP and the GAP. Indicators for the SDP can be developed using the checklist for the Social Dimension found in Annex 23. The indicators for GAP are provided in Annex 24. 73 8 INDIGENO US PEOPLE 8.1 L E G AL A N D I N S T I T U T I O N A L F R AM E W O R K The rights of Indigenous Peoples are well-established in Philippine laws and jurisprudence. The Philippine Constitution acknowledges and promotes the rights of indigenous cultural communities to their ancestral domains and recognizes the applicability of customary laws in determining the ownership and extent of these ancestral domains. (Section 22, Article II; Section 5, Article XII). It directs the State to protect the rights of indigenous cultural communities to preserve and develop their cultures, traditions and institutions and to consider these rights in the formulation of national plans and policies. (Section 17, Article XIV). Following the directive of the Constitution, Congress passed the Indigenous Peoples’ Rights Act (IPRA) in 1997. The IPRA sets conditions, requirements, and safeguards for plans, programs, and projects affecting Indigenous Peoples. It spells out and protects the rights of Indigenous Peoples. The IPRA also created the National Commission on Indigenous Peoples (NCIP) to carry out the policies set forth in the IPRA. The NCIP has issued a number of orders that puts into operation the provisions of the IPRA, the most important for the purposes of this policy is NCIP Administrative Order No. 3 or the Free and Prior Informed Consent (FPIC) Guidelines of 2012. 8.2 PROCEDURES The Free and Prior Informed Consent (FPIC) Guidelines of 2012 spells out the procedure for obtaining the Free and Prior Informed Consent for affected communities. It details the process for conducting Field Based Investigation (FBI) and obtaining the Certification Precondition from the NCIP attesting that the applicant has complied with the requirements for securing the affected ICC/IP’s FPIC. It also provides the procedure for validating projects solicited/initiated by Indigenous Peoples. 8.2.1 D E T E R M I N I N G T H E P R E S E N C E O F I N D I G E N O U S P E O P L E S O R T H E E X I S T E N C E O F A N C E S T R A L D O M A I N S I N P O T E N T I AL P R O J E C T A R E A S Objectives: a. To identify if there are Indigenous Peoples living or using the land in the vicinity of the project. b. To determine if a project identified for possible implementation will affect an ancestral domain. 74 Offices/Persons Involved: For projects at the Central Office: o Project Director and staff; o Environmental and Social Safeguards Division (ESSD) Staff assigned for the Region where the project will be implemented; For other projects o Director, Regional Office and staff o Regional Environmental Assessment Office (REAO) staff o District Engineer, DEO and staff Procedure: 1. Once the necessity for a particular project is established during the Project Identification Stage, the first step is to prepare a brief Project Description a. Type of Proposed Structure; b. Scope of Work: Specify project type according to the following: i. Development: Construction of a new productive unit; ii. Rehabilitation: Restoration of an existing unit to essentially the same condition as when it was first constructed; iii. Reconstruction: Construction involving major modifications to the existing unit in terms of design, magnitude, and efficiency iv. Improvement: Restoration of an existing unit to a condition better than that of the present. c. Project Technical Description: A short and concise description of the physical and technical nature of the project, including the standard units of physical measurement of the category, e.g. for buildings – in square meter; for roads – in kilometer; for flood control, in lineal meters. d. Municipality(ies) to be traversed/affected by the project; e. Justification/benefits of the project; f. Location Map of the Project 75 2. Visit the NCIP Provincial, Regional, or Central Office and do preliminary research or scoping: a. An Ethnographic Map of the Project Area; b. A Masterlist of Ancestral Domains c. Ancestral Domain Sustainable Development and Protection Plan (ADSDPP) 3. Visit the NCIP Provincial, Regional, or Central Office and submit the above Project Description. 4. The NCIP Regional Director should order the conduct of a pre-Field Based Investigation (FBI) Conference. (following NCIP Administrative Order No. 3, series of 2012 or the Free and Prior Informed Consent Guidelines of 2012). The purpose of the pre-FBI is to determine if a known ancestral domain is affected. 5. Attend the pre-FBI conference at the provincial or regional office of the NCIP. 6. If during the pre-FBI conference, it was determined that no known ancestral domain would be affected, the Provincial Officer submits report to the NCIP Regional Director. Otherwise, proceed to step 10. 7. Within three days upon receipt of the report, the Regional Director of the NCIP will issue a Certificate of Non-Overlap (CNO) to the project proponent. The CNO comes with a signed undertaking that the applicant agrees to the conduct of the FBI/FPIC requirement should it be found later that there is, in fact, an overlap in whole or in part of any ancestral domain. 8. Report receipt of the CNO. 9. Commence feasibility studies. 76 10. If the NCIP has definitely determined that an overlap exists with a known ancestral domain or the NCIP is not certain that the project does overlap with a known ancestral domain, request through the NCIP a meeting with the Provincial Consultative Bodies of IPs. 11. Prepare for the meeting. The meeting can have either of two objectives: a. If an overlap cannot be ascertained by the NCIP, seek the PCB guidance regarding the presence of IPs in the area or the existence of an ancestral domain. b. If an overlap has been determined, work to have the PCB endorse the project. Consult the Ancestral Domain Sustainable Development and Protection Plan (ADSDPP) to see if the road project is part of the priorities of the IP community. 12. Present the above Project Description to the Provincial Consultative Bodies (PCBs) of IPs. 13. If the PCB cannot ascertain the presence of IPs and ancestral domains, the NCIP can call for an FBI. Proceed to 8.2.2 Obtaining Voluntary Initiation or Solicitation from Indigenous Peoples 14. If the PCB can ascertain the presence of IPs and ancestral domains and has determined that there is an overlap, request for an endorsement. Proceed to 8.2.3. The Field Based Investigation 77 8.2.2 O B T AI N I N G V O L U N T A R Y S O L I C I T A T I O N O R I N I T I AT I O N F R O M I N D I G E N O U S PEOPLES Voluntary solicitation or initiation from Indigenous Peoples can greatly enhance the social acceptability, and hence, the feasibility of the project. Given the public nature and function of national roads and highways, the policy of the DPWH is to first obtain the voluntarily endorsement of Indigenous Peoples whose ancestral domains will be affected by the civil works component and linked activities. By voluntary the process by which this endorsement is obtained should be free from coercion and manipulation, through a process consistent with the affected IPs customary law, witnessed by an official of the National Commission on Indigenous Peoples (NCIP), participated in by the recognized leaders/elders of the community. All expressions of voluntary initiation or solicitation of projects should be properly documented. NCIP Administrative Order No. 3 s. 2012 states that the NCIP shall validate all expressions of voluntary initiation or solicitation of projects and provides a process for doing so. Objectives: o To spell out the process for obtaining voluntary solicitation or initiation from IPs Offices/Persons Involved: For projects, at the Central Office: o EIA team o Survey Team o Environmental and Social Safeguards Division (ESSD) Staff assigned for the Region where the project will be implemented; o Regional Environmental Assessment Office (REAO) staff Procedure: 1. In the course of conducting the perception survey or the public consultations as part of the EIA process, the EIA team may have encountered Indigenous Peoples (IPs), the Survey Team Leader should flag this to the EIA team leader. 2. The EIA team leader (if a non-ESSD staff or a consult) should inform the REAO 3. The REAO staff crafts a separate consultation process for IPs affected. 78 4. The REAO coordinates with the NCIP Provincial and Regional Office regarding the consultation, i.e. the framework, the process, the date, the venue, etc. 5. Ensure that NCIP attends and witnesses the consultation. 6. Carry out the consultation according to the IPs customary law, in a language understood by them, with adequate representation from all sectors of the community, and attended by the leaders. The project proponent may decide to let the NCIP representative facilitate the meeting. 79 7. Disclose the project in a manner that is informative but would not unduly raise expectations or anxieties. 8. Obtain the following information : a. the IP groups in the area; b. the number of IPs; c. their location; d. the areas that they use for livelihood; e. their practices, whether nomadic or sedentary; f. their “rootednessâ€? in the area, i.e. whether they are migrants, whether they are “indigenousâ€? or have collective attachment to the area, and whether they had settled there after being displaced by a government project, by war, natural calamities, and other forcible means. g. their attitudes towards the project; 9. Comprehensively document the proceedings; 10. Diligently record the names of those who attended. 11. Obtain their signatures to attest to their attendance. 12. If expressions of voluntarily solicitation or initiation are obtained, document this. 13. Translate in a language that the IPs understand; 14. Obtain the signatures of the IP elders/leaders and members of the community 15. Obtain the signature of the NCIP representative as facilitator/witness. 16. Submit these documents to the NCIP for validation and/or issuance of Certification Precondition. 80 8.2.3 T H E F I E L D B AS E D I N V E S T I G AT I O N (FBI) NCIP Administrative Order (AO) No. 3, series of 2012 calls for the conduct of a Field Based Investigation (FBI) to ascertain if a plan, program, project or activity overlaps with or affects an ancestral domain. It is also conducted to ascertain the extent of the affected areas and the ICCs/IPs whose FPIC is to be obtained. For the conduct of the FBI, NCIP Administrative Order No. 3, series of 2012 directed the formation of an FBI team for each province consisting of at least five (5) members, two of whom shall come from the Provincial Office and one (1) from the Community Service Center (Service Center) or vice versa and two (2) IP elders/leaders identified by the CSC. Based on the NCIP AO No. 3, the project proponent, presumably to avoid conflicts of interest, have no role in the conduct of the FBI. However, funding for the conduct of the FBI is to be provided by the project proponent. Whatever the participation of the DPWH is in the FBI process, it is to the best interest of the DPWH that the FBI be conducted properly. The FBI process properly done can stand in place of the social assessment required by multilateral lending agencies whenever initial screening shows that Indigenous Peoples are likely to be affected by the project. The Field Based Investigation (FBI) should be conducted ideally during the feasibility studies stage. The results are important inputs for crafting the budgets for the different contract packages and for drawing different scenarios to avoid, minimize, or mitigate adverse effects to Indigenous Peoples and ancestral domains. Objectives: a. To list down the possible tasks of the DPWH during the FBI. b. To determine the equivalency of the FBI with the requirements of multilateral lending agencies for social assessment. Offices/Persons Involved: For projects, at the Central Office: o Environmental and Social Safeguards Division (ESSD) Staff assigned for the Region where the project will be implemented; For other projects o Regional Environmental Assessment Office (REAO) staff 81 Procedure: 1. Prepare a budget for the conduct of the FBI. 2. Secure vehicles and necessary logistics for the FBI team. 3. Join the FBI team; 4. Furnish the FBI team with the necessary documents. 5. Advise the FBI team regarding the technical aspects of the project, e.g. extent, from what station the road rehabilitation begins where it ends, location of potential quarry sites. 6. Observe consultations with indigenous peoples. 7. Prepare a back-to-office report. Table 1: Comparison of Social Assessment Requirement and the Field Based Investigation O.P. 4.10 of the World Bank (Operational Policy on Country System: Field Based Indigenous Investigation 1. A review, on Peoples) a scale appropriate to the IP Policy Framework as part of project, of the legal and institutional the LARRP of the project framework applicable to Indigenous Peoples; proponent. Found in the Social and Environmental Management Systems Manual (SEMS) of NRIMP-2. 2. Gathering of baseline information on the FBI: demographic, social, cultural and political • Copy of the latest official characteristics of the affected Indigenous or municipal census record barangay Peoples’ indicating the IP population in communities, the land and territories that they affected area, and/or other the have listings; available traditionally owned or customarily used or occupied, • Views and opinions of and the natural resources on which they elders/leaders on what should depend; cover the area affected following Section11 (a) of the Guidelines, their approximation of the number of IP household heads within the area affected; • Indicative map showing the extent of the overlap and the names of Sitios and Barangays affected; 82 FBI: • Validation and listing of elders/leaders of the affected community; • Initial documentation of concerned ICCs/IPs decision-making process for purposes of Section 25 of the guidelines; • Recommendations needed for the proper conduct of the FPIC proceedings. 3. Taking the review and baseline information FBI into account, the identification of key project • Highlights of the stakeholders and the elaboration of a culturally discussion sand attendance appropriate process for consulting with the sheet duly signed/thumb Indigenous Peoples at each stage of project marked by the IP preparation and implementation. elders/leaders; • Addressed in the FPIC process found in NCIP Administrative Order No. 3 or the Free, Prior and Informed Consent Guidelines of 2012 4. An assessment, based on free, prior, and Addressed in the FPIC process informed consultation, with the affected found in NCIP Administrative Indigenous Peoples’ communities, of the potential Order No. 3 or the Free, Prior and adverse and positive effects of the project. Critical Informed Consent Guidelines of to the determination of potential adverse impacts 2012. is an analysis of the relative vulnerability of, and risks to, the affected Indigenous Peoples’ communities 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, regions, or national societies in which they live; 5. The identification and evaluation, based on free, prior, and informed consultation with the affected Indigenous Peoples’ communities, of measures necessary to avoid adverse effects, or if such measures are not feasible, the identification of measures to minimize, mitigate, or compensate for such effects, and to ensure that the Indigenous Peoples receive culturally appropriate benefits under the project. 83 8.2.4 O B T AI N I N G T H E F R E E , P R I O R A N D I N F O R M E D C O N S E N T (FPIC) F R O M INDIGENOUS PEOPLES Plans, programs, projects, and activities that affect ancestral domains and Indigenous Peoples that have been resettled in public lands due to past government projects and due to natural calamities and war require the Free, Prior, and Informed Consent of the affected ICCs/IPs. (For the scope of these plans, program, projects, and activities, see Part II of the NCIP Administrative Order No. 3 or the Free, Prior, and Informed Consent Guidelines of 2012.) The process for obtaining the FPIC is explained in Part II, Section 13 of NCIP Administrative Order No.3 series of 2012. The DPWH is the project proponent and has no other role than to present the project. The process is managed by the FPIC. However, there are things that DPWH should avoid so as not jeopardize the process, and with it, the project. Objective: o To list down actions that should be avoided by DPWH personnel when dealing with affected IP communities before, during, and after the FPIC process. Offices/Persons Involved: For projects at the Central Office: o Environmental and Social Safeguards Division (ESSD) Staff assigned for the Region where the project will be implemented; For other projects o Regional Environmental Assessment Office (REAO) staff Actions to be Avoided: o Employment or use of force, threat, coercion, intimidation, at any degree or in any manner, including those done by individuals or group of persons acting for the applicant; o Bringing of firearm/s in the community during visits by the applicant or group of persons acting for the applicant. When needed, armed security shall be obtained from local police authorities or the Armed Forces of the Philippines as requested by the NCIP; o Bribery of promise of money, privilege, benefit or reward other what is presented by the applicant during the consultative community assembly/first meeting and with the elders/leaders; 84 o Clandestine or surreptitious negotiations with IP individuals, some members of the community concerned or leaders done, without the knowledge of the council of elders or majority of the members of the community; o Donations to the community or to any of its members for the purpose of influencing the decision of the ICCs/IPs. o Holding of unauthorized meeting such as but not limited to wining and/or dining sessions and the like or such other activities with the NCIP Official and personnel and/or members of the affected community, with the intention of unduly influencing the result of the FPIC process; o Deliberately delaying the progress of the FPIC process. 85 8.2.5 P R E P A R I N G A N I N D I G E N O U S P E O P L E S ’ D E V E L O P M E N T P L A N ( IPDP) O R I N D I G E N O U S P E O P L E S ’ A C T I O N P L A N (I P AP ) Objective The objective of this chapter is to assist the DPWH ESSD, the Regional Environmental Impact Assessment Office (REIAO) staff , and the RAP Focal Person at the District Engineering Offices (DEO) in the preparation of an Indigenous Peoples’ Development Plan (IPDP) or the Indigenous Peoples’ Action Plan (IPAP). (For brevity and consistency, the acronym IPAP will be used throughout the text.) This chapter does the following: ï‚· It explains what an IPAP is; ï‚· It explains the rationale for an IPAP; ï‚· It discusses the situations when an IPAP has to be drawn up; ï‚· It explains the larger policy and legal framework impacting the crafting of the IPAP and the significance or relationship of existing country instruments to the IPAP; ï‚· It compares the contents of the IPAP to that of the Memorandum of Agreement (MOA) required by the National Commission on Indigenous Peoples whenever a plan, project, or activity affects an ancestral domain; ï‚· It spells out specific tasks involved in the crafting of an IPAP at each stage of the project cycle. Offices/Persons Involved: For projects, at the Central Office: o Environmental and Social Safeguards Division (ESSD) Staff assigned for the Region where the project will be implemented; For other projects o Regional Environmental Assessment Office (REAO) staff Legal References: Republic Act 8371 or the Indigenous Peoples’ Rights Act (IPRA) National Commission on Indigenous Peoples (NCIP) Administrative Order No. 1 series of 2004 on the Ancestral Domain Sustainable Protection and Development Plan (ADSDPP). National Commission on 86 Indigenous Peoples (NCIP) Administrative Order No. 3 series of 2012 or the Free and Prior Informed Consent (FPIC) Guidelines of 2012 What is an IPAP? When an infrastructure project has been found through the social assessment to have potentially adverse effects on Indigenous Peoples there is need to formulate an Indigenous Peoples Plan (IPAP). The IPAP sets out measures through which the DPWH and other government agencies will ensure that Indigenous Peoples affected by the project receive culturally appropriate social and economic benefits. It also specifies ways that the identified adverse effects are avoided, minimized, mitigated, or compensated. Why an IPAP? In the process of construction, upgrading, rehabilitation, or maintenance of infrastructure projects exerts impacts on the surrounding community. Many of these impacts are negative and can either be temporary or permanent. These affect different groups in varying degrees of intensity. Because of pre-existing conditions and circumstances, some are more vulnerable than others. The distinct circumstances of Indigenous Cultural Communities (ICCs) or Indigenous Peoples (IPs) expose them to types and degrees of risks from infrastructure projects that more mainstream groups or dominant groups in society do not and are not likely to experience. These risks include loss of identity and culture, destruction of customary livelihoods, exposure to disease, heightened experience of discrimination as infrastructure projects displace them from the land on which their identity and way of life are inextricably linked and deprive them of natural resources they depend on. Aware of these risks, national and DPWH policy calls for prudence, caution, and care in the planning, design, and implementation of infrastructure projects to avoid potentially adverse effects on Indigenous Peoples or when avoidance is impossible, to minimize, mitigate, or compensate for these adverse effects. In what situations does an IPAP need to be formulated? An IPAP has to be formulated whenever Indigenous Peoples are likely to be affected by an infrastructure project regardless of number, the type of effect, their intensity, or their location. In the extremely rare case, when a project affects only one (1) Indigenous Person (IP), an IPAP still has to be prepared. The question in this situation is if the IPAP is to be presented as a stand-alone document or integrated in other social safeguard documents such as the Resettlement Action Plan (RAP). The impact on the IP community or families may be marginal or minor not involving any resettlement, affecting only a insignificant fraction of the IP families’ land and requiring only a small amount of compensation. Nevertheless, an IPAP still needs to be formulated. An IPAP has to be crafted if the affected IPs are residing in their ancestral domain or outside. In the case when IPs are to be resettled while other affected IPs will remain in their area of residence, an IPAP has to be formulated for both resettled IP and those staying put in the area of residence. 87 When a Stand-Alone IPAP When the IPAP is has to be formulated integrated as a Special Section of the RAP Number. When the affected IPs are When the affected IPs are 20% or more than the total less than 20% of total number of Affected Persons Project Affected Persons (PAPs). Type of Impact Mixture of Severe and Mixture of Severe and Marginal Marginal With Resettlement or No With Resettlement or No resettlement Resettlement. Location Inside and Outside an Inside and Outside an Ancestral Domain Ancestral Domain If the project is voluntarily initiated or solicited by IPs, should an IPAP be formulated? If a project were voluntarily initiated or solicited by IPs, an IPAP is not required. In the event, the DPWH enters into a Memorandum of Agreement (MOA) with the affected IP community, inside or outside an ancestral domain, that provides for benefits other than those provided by law, this MOA will serve as an IPAP. What are the policies and framework governing the formulation of an IPAP? Republic Act 8371 or The Indigenous Peoples’ Rights Act (IPRA) recognizes certain rights of Indigenous Peoples or Indigenous Cultural Communities (ICCs) that bear upon the formulation of an IPAP. These are: ï‚· The right to an informed and intelligent participation in the formulation and implementation of any project, government or private, that will impact upon their ancestral domains; (Chapter III, Section 7b); ï‚· The right to participate fully, if they so choose, at all levels of decision-making in matters which may affect their rights, lives and destinies through procedures determined by them; (Chapter IV, Section 16)’ ï‚· The right to receive just and fair compensation for any damages inflicted by or as a result of any project, government or private; (Chapter III, Section 7b)’ ï‚· The right to stay in their territory and not to be removed from that territory through any means other than eminent domain. If relocation is necessary as an exceptional measure, it can only take place with the free and prior informed consent of the IPs and ICCs concerned; (Chapter III, Section 7c);’ ï‚· The right to be secure in the lands to which they have been resettled; (Chapter III, Section 88 ï‚· The right to determine and decide their own priorities for the lands they own, occupy, or use; (Chapter IV, Section 17). NCIP Administrative Order (AO) No. 1 series of 2004 sets out guidelines for the formulation of the Ancestral Domain Sustainable Development and Protection Plan or ADSDPP. As defined in AO No.1 series of 2004, an ADSDPP “embodies the goal and objectives, policies and strategies of ICCs/IPs for the sustainable management and development of their ancestral domain and all resources therein including the human and cultural resources such as Indigenous Knowledge Systems and Practices (IKSPs). Its aim is to ensure that the rights of ICC s/IPs are protected, promoted, and recognized. Anchored on a community-based planning approach, the ADSDPP serves as a community-based blueprint for the ICC/IPs’ total development plan. The ADSDPP contains the list and schedule of programs/projects towards the sustainable development and protection of ancestral domains. This list facilitates the conduct of the Free and Prior Informed Consent (FPIC). The ADSDPP has three (3) major parts: the Ancestral Domain and Community Situationer; the Development Plans and Programs; and the ADSDPP Implementation Policies and Mechanisms. NCIP Administrative Order (AO) No. 3 series of 2012 or the Free and Prior Informed Consent (FPIC) Guidelines of 2012 enumerates and elaborates on the guidelines for the exercise of the Free, Prior, and Informed Consent by Indigenous Peoples on any plans, projects, or activity that are to be introduced into or would affect any ancestral domain area. It also spells out in details the procedure for applying for a Certification Precondition, for the conduct of Field Based Investigation (FBI), and for securing the Free and Prior Informed Consent of the affected ICC/IPs. When the ICC/IPs gives its Free and Prior Informed Consent to the infrastructure project, the terms and conditions are embodied and formalized in a Memorandum of Agreement between and among the project proponent, the affected ICC/IPs, the NCIP, and other involved parties. World Bank Operational Policy 4.10 states that if projects are likely to positively or adversely affect Indigenous Peoples (IP), the borrower conducts a social assessment. On the basis of this social assessment and in consultation, the borrower or project proponent prepares an Indigenous Peoples’ Plan (IPP) or Indigenous Peoples’ Action Plan (IPAP). The IPAP spells out measures by which the proponent will ensure that: ï‚· Indigenous Peoples affected by the project receive culturally appropriate social and economic benefits; ï‚· Potential adverse effects on Indigenous Peoples are identified and these adverse effects are avoided, minimized, mitigated. 89 The level of detail and complexity of the IPAP depends on the specific project and the kind of effects to be addressed. For instance, when the overwhelming majority of those to be adversely affected are IPs, then an IPAP needs to be prepared. The proponent integrates the IPAP into the project design. What are the diferences among ADSDPP, the Memorandum of Agreement (MOA), and the IPAP? The ADSDPP is a long-term community-based, comprehensive plan that contains the ICCs/IPs’ collective vision, mission, general objectives, long-term goals, and priority concerns. The ADSDPP contains a list of development plans and projects that is used as reference in determining the fit between the proposed infrastructure project and the long- term development goals and priority concerns of the affected ICC/IP. Being long-term, the ADSDPP does not refer to specific impacts of projects; neither does it refer to measures to enhance positive effects or avoid, minimize, mitigate, or compensate adverse impacts. The Memorandum of Agreement (MOA) is a requirement of the IPRA and NCIP Administrative Order No. 3 series of 2012 or the Free, Prior and Informed Consent Guidelines of 2006. It is forged when: ï‚· a project affects a known ancestral domain or an IP community which has been resettled in lands of the public domain due to a government project or to displacement because of war, natural calamities, ï‚· the affected ICC/IPs have given their Free, Prior and Informed Consent (FPIC) to the Project. The MOA sets down the terms and conditions of the agreement reached between the proponent and the affected IP community/ies. The FPIC team prepares the MOA strictly according to The FPIC Guidelines of 2012 lists down the contents of the MOA: ï‚· the detailed premises of the agreement; ï‚· All parties involved; ï‚· Inclusive dates/duration of the agreement; ï‚· Other than what has already been granted by law, the benefits to be derived by the host ICC/IPs indicating the type of benefits, specific target beneficiaries as to sector and number, the period covered, and other pertinent information that could guide the future monitoring and evaluation of the MOA; ï‚· Use of all funds to be received by the host ICC/IP communities, ensuring that a portion of such funds shall be allocated for development projects, social services, 90 and/or infrastructures in accordance with their development framework; ï‚· Detailed measures to protect IP rights and value systems; ï‚· Detailed measures to conserve/protect any affected portion of the ancestral domain critical for watersheds, mangroves, wildlife sanctuaries, forest cover, and the like; ï‚· Responsibilities of the applicant as well as the host IP community; ï‚· The monitoring and evaluation system of the MOA, to include submission of reports and creation of monitoring teams; ï‚· Whether the concerned ICCs/IPs shall require another FPIC to be conducted in case of merger, reorganization, transfer of rights, acquisition by another entity, or joint venture; Elements of an IPAP (from O.P. 4.10 of the MOA of the FPIC Guidelines of 2012 World Bank) A review, on a scale appropriate to the project, LARRIP of the legal and institutional framework applicable to Indigenous Peoples Gathering of baseline information on the FBI report (separate NCIP or Philippine demographic, social, cultural, and political government requirement and pre-requisite to characteristics of the affected Indigenous the conduct of the FPIC process) Peoples’ communities, the land and territories that they have traditionally owned or customarily used or occupied, and the natural resources on which they depend A summary of the social assessment FBI Report (separate NCIP or Philippine government requirement) A summary of the results of the free, prior, and FPIC report of the FPIC team plus the informed consultation with the affected Resolution of Consent or Non-Consent issued Indigenous Peoples’ communities during project by the affected IP communities (separate NCIP implementation or Philippine government) MOA An action plan of measures to ensure that the Other than what has already been granted by Indigenous Peoples receive social and law, the benefits to be derived by the host economic benefits that are culturally ICC/IPs indicating the type of benefits, specific appropriate, including, if necessary, measures target beneficiaries as to sector and number, to enhance the capacity of the project the period covered, and other pertinent implementing agencies. information that could guide the future monitoring and evaluation of the MOA; 91 MOA When potential adverse effects on Indigenous Detailed measures to protect IP rights and Peoples are identified , an appropriate actionvalue systems; Detailed measures to plan of measures to avoid, minimize, mitigate,conserve/protect any affected portion of the or compensate for these adverse effects ancestral domain critical for watersheds, mangroves, wildlife sanctuaries, forest cover, and the like MOA Use of all funds to be received by the host ICC/IP communities, ensuring that a portion of The cost estimates and financing plan for the such funds shall be allocated for development IPAP projects, social services, and/or infrastructures in accordance with their development framework; Accessible procedures appropriate to the project to address grievances by affected Indigenous Peoples’ communities arising from Provided for in Section 37 and 38 of the FPIC project implementation. When designing the Guidelines of 2012. Provided for in the IP Policy grievance procedures, the borrower takes into Framework and Procedures, a separate World account the availability of judicial recourse and Bank Requirement customary dispute settlement mechanisms among the Indigenous Peoples. Mechanisms and benchmarks appropriate to the project for monitoring, evaluating, and MOA: reporting on the implementation of the IPAP. The monitoring and evaluation system of the The monitoring and evaluation mechanisms MOA, to include submission of reports and should include arrangements for the free, prior, creation of monitoring teams; and informed consultation with the affected Indigenous Peoples ‘communities. ï‚· Remedies and/or penalties for non-compliance or violation of the terms and conditions which includes applicability of customary laws and imposition of sanction/s. ï‚· Undertaking in writing to answer for damages which the ICCs/IPs may suffer on account of the plan, program, project or activity or a cash bond or a surety bond to be deposited or posted by the applicant if the ICCs/IPs so requires; and ï‚· Other requirements provided in the Guidelines. The IPAP is a World Bank requirement crafted by the proponent for Bank-financed projects, whenever these projects have been found through the social assessment to have potentially adverse effects on Indigenous Peoples. The IPAP sets out measures through which the DPWH and other government agencies will ensure that Indigenous Peoples affected by the project receive culturally appropriate social and economic benefits. It specifies ways that the identified adverse effects are avoided, minimized, mitigated, or compensated. It also includes a financing plan and a mechanism for monitoring. Can the MOA serve as the IPAP? 92 To answer the question, it is important to determine what the contents of an IPAP are. The elements of an IPAP are found on the left column of the matrix below. Their equivalents in the MOA prescribed by the FPIC Guidelines of 2012, safeguard instruments, and Government of the Republic of the Philippines instruments are found on the right column. How does one go about crafting the IPAP? At what stages of the project cycle does an IPAP need to be formulated? When the affected IPs are less than 20% of the total Project Affected Persons (PAFs), a separate section is contained in the Full Resettlement or Abbreviated Resettlement Action Plan (RAP). When the affected IPs are more than 20% of the total Project Affected Persons (PAFs), a full-blown IPAP is drafted. The RAP Focal Person at the District Engineering Office with the support and technical assistance of the ESSD and the REAO will prepare the IPAP. Preparations for the crafting an IPAP should begin at the Pre-Feasibility Studies stage. At the pre-Feasibility Studies stage, it is important to determine if the project as conceived will likely pass through or affect a known ancestral domain. At the FS stage, the objective is to make an initial identification of those contract packages that will likely affect ICCs/IPs, the different ICCs/IPs who will likely be affected, and the potential effects on them. At this stage, consultation should begin with Provincial Consultative Bodies (PCBs) of IPs and with those IPs who will likely be affected by the project. The objective of the consultation is to gauge their attitude towards the project while taking care not to raise expectations. To identify the IPs, the Field Based Investigation may be conducted here by the NCIP alongside the Social Impact Assessment that the DPWH will be doing. If support is evident or if the Contract Package is identified in the Ancestral Domain Sustainable Development and Protection Plan (ADSDPP), (assuming the ADSSPP were available) the project proponent may, with or without the NCIP, get written statements of endorsement or voluntary solicitation. The NCIP can validate if these written endorsements or voluntary solicitation were obtained freely, without manipulation, after proper disclosure, in a consultation representative of the potentially affected IPs/ICCs. The Feasibility Studies should also produce a list of scenarios or alternatives for each Contract Package (CP). During project appraisal, the cost and benefits, including the risks of each Contract Package are assessed. At the end of the project appraisal, the list of contract packages is finalized. If there are CPs that will likely affect IPs, an IP policy framework is drawn up by the proponent. At the Detailed Engineering Stage, consultations continue. The Resettlement Action Plan (RAP) is finalized. After the design has been finalized, this is disclosed to the affected ICCs/IPs. Their initial support is finalized. If no endorsement is made, the NCIP with the DPWH commences the Free and Prior Informed Consent process for affected IPs living inside their Ancestral Domain. If successful, the FPIC process should result in a 93 Memorandum of Agreement (MOA) which doubles as an IPAP. For those affected IPs living outside an ancestral domain, an IPAP is drawn, provided that IPs constitute more than twenty percent (20%) of Project Affected Persons (PAP). If less than this proportion, a special chapter on IPs is appended to the full-blown or abbreviated Resettlement Action Plan (RAP). The MOA and/or the IPAP should be integrated in the project design. Implementation of the IPAP and/or MOA commences prior to construction and continues during construction. Observance of the IPAP and/or MOA is monitored internally by the DPWH and externally by the External Monitoring Agent (EMA). The NCIP also monitors the MOA and/or IPAP. In the post-construction stage, an evaluation is conducted of the Resettlement Action Plan and the MOA/IPAP to determine if the ICCs/IPs were better off with the project than without it or at the very least, they maintained the quality of life they enjoyed before project implementation. Stage in the Objective: Activities Output Relation to Project Cycle IPAP/IPAP Elements DPWH NCIP Pre- To determine Prepare project plan, Project Certificate No ancestral Feasibility if the project description and other profile, of Non- domain Studies will pass or relevant documents, plan, Overlap means no affect a including indicative map description, MOA. IPAP known Submit these to the NCIP. other may still be ancestral --------------------------------- relevant needed if domain area. If available, obtain a listing documents indigenous of Ancestral Domains Application peoples are including ethnographic for a found to be maps Certificate those Examine if the project will of Non- affected. pass through a known Overlap ancestral domain If not, apply for a Certificate of Non- Overlap. 94 Stage in the Objective: Activities Output Relation to IPAP/IPAP Project Elements Cycle DPWH NCIP Feasibility To To review legal and Social FBI Gathering of baseline Studies identify institutional framework Impact Report information on the those governing IPs. Assessment Certificate demographic, social, contract Coordinate with the NCIP Report on cultural, and political packages for Social Impact Written Precondition characteristics of the that will Assessment and for endorsement affected Indigenous most consultations with the that the Peoples’ communities, likely Provincial Consultative project are the land and territories affect IPs. Bodies (PCBs). voluntarily that they have To Consult PCBs if the project initiated/soli traditionally owned or initially will affect known ancestral cited by customarily used or identify domains or if there are affected IP occupied, and the the IP indigenous peoples living communities natural resources on groups along the route or in the and PCBs. which they depend as who will immediate vicinity. part of the FBI and the likely be Obtain Social Impact affected endorsements/statements of Assessment Report by the support/solicitation from A summary of the project; PCBs. results of the free, prior, To If PCBs cannot ascertain and informed ascertain the presence of IPs or an consultation with the initial ancestral domain, DPWH affected Indigenous impacts of works with the NCIP to Peoples’ communities. contract conduct Field Based If voluntary packages Investigation. The FBI endorsements/solicitation on IPs conducted can serve as the s are secured from To Social Assessment required the ICCs/IPs, no IPAP determine by O.P. 4.10. needed. IPs’ If available, consult the If no voluntary initial ADSDPP. endorsement, explore attitude During the FBI, conduct alternative routes. towards first consultation with the ICC/IPs likely to be affected project. by the project Assess ICC/IPs’ attitude towards the project. If IPs prove supportive, obtain endorsements/statements of support/solicitation from ICCs/IPs. 95 Stage in the Objective: Activities Output Relation to IPAP/IPAP Project Cycle elements DPWH NCIP Project To determine To assess project Policy Institutional and Legal Appraisal whether to feasibility, costs Framework Framework proceed with and benefits and Governing Governing IPs the contract risks IPs package or To finalize list of not. contract packages To craft the project’s framework governing IPs. Detailed To obtain free DPWH: If Detailed Certification An action plan of measures to Engineering and prior unfinished, Design, Precondition ensure that the Indigenous (including informed continue getting RAP (that Peoples RAP consent from voluntary IPAP validates receive social and economic Preparation) the affected endorsements Written the benefits that are culturally ICCs/IPs from IPs. endorseme consultation appropriate, including, if finalize the NCIP: Conduct nt s done); necessary, measures to enhance IPAP, and validation of from Validation the integrate it in consultations to IPs of capacity of the project the project determine if that Resolution implementing agencies; design indeed project the of When potential adverse effects was voluntarily Contract Consent on solicited or Packages or Non- Indigenous Peoples are identified initiated by IPs. are Consent , NCIP with voluntarily an appropriate action plan of DPWH: If not solicited/ measures to avoid, minimize, voluntarily initiated mitigate, or compensate for these solicited, conduct adverse effects free, prior, and The cost estimates and financing informed consent plan for the IPAP. proceedings Accessible procedures including appropriate presentation of to the project to address detailed design grievances of the road by affected Indigenous Peoples’ DPWH: Integrate communities arising from project the MOA and/or implementation. When designing the IPAP into the grievance procedures, the the project borrower takes into account the design availability of judicial recourse and customary dispute settlement mechanisms among the Indigenous Peoples Mechanisms and benchmarks appropriate to the project for monitoring, evaluating, and reporting on the implementation of 96 the IPAP. Stage in the Objective: Activities Output Relation to Project IPAP/IPAP Cycle DPWH NCIP Elements Construction To implement Implementatio External Monitorin and monitor n and g the of IPAP Internal Reports implementatio Monitoring of Monitoring n of the IPAP IPAP Reports Post To assess the Post-Project External Evaluatio Construction overall effect Monitoring of and n of IPAP IPAP Internal Reports implementatio Evaluation n Reports 97 9 L AND ACQUI SI TION, RESETTLEM ENT, REH ABI LI TATION AND INDIGENO US PEOPLE POLI CY 9.1 INTRODUCTION The first Land Acquisition, Resettlement and Rehabilitation (LARR) Policy was formulated in 1999 specifically for the National Road Improvement and Management Program (NRIMP) Phase 1, World Bank assisted project. Thereafter, the LARR Policy of 1999 was adopted, with some modifications in pursuance to prevailing laws and policies, by other financing institutions such as the Asian Development Bank (ADB), Japanese Bank International Cooperative (JBIC) in their projects. A second edition of the LARR Policy was formulated in 2004 for project under the Sixth Road Project. To some extent the ADB LARR Policy was applied to JBIC funded projects. To ensure uniformity of standards in the Resettlement Planning, a revised LARR Policy, rd 3 edition, was formulated. The updated LARR policy shall provide guidance to those preparing resettlement action plans (RAPs) either foreign or locally funded projects. This policy includes the principles and objectives of the involuntary resettlement policy, the legal framework, eligibility, compensation and entitlements, implementation procedures that ensure complaints are processed, public support and participation, and the provision of internal and external monitoring of the implementation of the RAP. 9.2 L E G A L F R AM E W O R K The policy framework within which the Resettlement Action Plans for Structures and Land will operate is derived from the Constitution, Republic Act 8974, Environmental and Social Safeguards of the financing institutions and other applicable laws. Hereunder are the various provisions and prescriptions of laws, policies and guidelines related to operation and implementation of resettlement. Basic National Policy 1. Article III, Section 9: “Private property shall not be taken for public use without just compensationâ€? 2. RA 8974- An Act to Facilitate the Acquisition of Right –Of-Way (ROW), Site or Location for National Government Infrastructure Projects a law that was assigned and took effect in November 2000. RA 8974 provides the different bases for land valuation for the following modes of acquisition, negotiated sale and expropriation.  98 The Implementing Rules and Regulations of this law state that the Implementing Agency shall negotiate with the owner for the purchase of the property by offering first the current zonal value issued by the Bureau of Internal Revenue for the area where the private property is located. The law also states that valuation of the improvements and/or structures on the land to be acquired shall be based on the replacement cost which is defined as the amount necessary to replace the structure or improvement based on the current market prices for materials, e overhead, and all other attendant costs associated with the acquisition and installation in place of the affected improvements/installation. Methods of Negotiation. Under the law, there are different modes of acquiring title to, and ownership of, private property particularly real estate property, as well as the modes of acquiring right to use private property for another purpose. RA 8974 specifies the following methods: Donation, Quit Claim, Exchange or Barter, Negotiated Sale or Purchase, Expropriation and any other modes of acquisition authorized by law. For the full text of RA 8974 and its Implementing Rules and Regulation please refer to Appendices 1 and 2 respectively. Zonal value as the first offer. In case the mode of acquisition is through a negotiated sale, the first offer shall be the zonal value of the particular land where the property is located, issued by the Bureau of Internal Revenue. In case the owner rejects the first offer, the Department shall renegotiate using the values recommended by the Appraisal Committee or Independent Land Appraiser as a guide for negotiation. Standards to determine market value. Negotiated sale between DPWH and the PAF based on the following standards to determine the market value: o The classification and use for which the property is suited; o The development costs for improving the land; o The value declared by the owners; o The current selling price of similar lands in the vicinity; o The reasonable disturbance compensation for the removal and/or demolition of certain improvements on the land and for the value for improvements thereon; o The size, shape and location, tax declaration and zonal valuation of the land; o The price of the land as manifested in the ocular findings, oral as well as documentary evidence presented; and o Such facts and events as to enable the affected property owners to have sufficient funds to acquire similarly-situated lands of approximate areas as those required from them by the government, and thereby rehabilitate themselves as early as possible. 99 Quit Claim. A quit claim instrument is required to be executed by owners of lands acquired under the Public Land Act because of the reservation made in the issuance of patents or titles thereto. In other words, even if the title or free patent describes the whole area as owned by the patentee or title holders, by operation of the law, a strip of twenty or sixty meters, as the case maybe, of that area described is not absolutely owned by him, because it is reserved by the government for public use. Hence, if the government should exercise its right to use the area reserved by it for public use, the owner shall be required to execute a Quit Claim over such area reserved and actually taken by the government for public use. This mode can be availed of not only in cases where the lot acquired under the Public Land Act is still covered by Free Patents but even after the issuance of Certificate of Title or Transfer Certificates of Title because of a series of transactions involving transfer of ownership from one person to another. No payment shall be made for land acquired under the quit claim mode except for damages to improvements, and, if eligible, assistance with income restoration. In case PAPs/PAFs are qualified for compensation but with arrears on land tax. To facilitate the processing of payment on land acquired from the PAPs with tax arrears the DPWH will pay the arrears and deduct the amount to the total compensation cost. In case the PAPs/PAFs are qualified but already dead and the heirs have not undergone extra-judicial partition, the PAPs/PAFs will be given a grace period to meet the requirement within the validity period of allotment for two (2) years. Beyond two years that the PAPs cannot comply with the requirement they have to settle the case in court. In case of expropriation. For Structures: In the event that the PAF rejects the compensation for structures at replacement cost offered by DPWH, the Department or the PAF may take the matter to court. When court cases are resorted to either by DPWH through expropriation or by the PAFs through legal complaints, the DPWH will deposit with the court in escrow the whole amount of the replacement cost (100%) it is offering the owner for his/her assets as compensation to allow DPWH to proceed with the works. The PAF will receive the replacement cost of the assets within one (1) month following the receipt of the decision of the court. For Land: If the owner contests the Depart compensation for land, the PAF or the DPWH may take the matter to court. DPWH shall immediately pay the owner: a) 100% of the value of the property based on the BIR zonal valuation, and b) the value of improvements and structures. However, if the owner rejects the full payment, the DPWH will deposit 100% of the BIR zonal value in an escrow account. The court shall determine the 100 just compensation within sixty (60) days, taking into account the standards for the assessment of the value of the land (Sec. 5, RA 8974). 3. Other Applicable laws and Policies: Executive Orders, Administrative Orders, and Department Orders. a. Commonwealth Act 141 Section 112 or Public Land Act - prescribes a twenty (20) meter strip of land reserved by the government for public use, with damages being paid for improvements only. b. Presidential Decree 635 amended Section 112 of CA 141 increasing the width of the reserved strip of twenty (20) meters to sixty (60) meters. c. EO 113 (1995) and EO 621(1980) i. National Roads shall have an ROW width of at least 20 meters in rural areas which may be reduced to 15 meters in highly urbanized areas. ii. ROW shall be at least 60 meters in unpatented public land. iii. ROW shall be at least 120 meters through natural forested areas of aesthetic or scientific value. d. EO 1035 i. Financial assistance to displaced tenants, cultural minorities and settlers equivalent to the average annual gross harvest for the last 3 years and not less that PhP15, 000 per ha. ii. Disturbance compensation to agricultural lessees equivalent to 5 times the average gross harvest during the last 5 years. iii. Compensation for improvements on land acquired under Commonwealth Act 141. iv. Government has the power to expropriate in case agreement is not reached. e. MO 65, Series of 1983 i. Easement of ROW where the owner is paid the land value for the Government to use the land but the owner still retains ownership over the land. ii. Quit claim where the Government has the right to acquire a 20 to 60 m width of the land acquired through CA 141. Only improvements will be compensated. f. Republic Act 6389 Provides for disturbance compensation to agricultural lessees equivalent to 5 times the average gross harvest in the last 5 years. g. Article 141, Civil Code Real actions over immovables prescribed after thirty (30) years. The provision is without prejudice to what is established for the acquisition of ownership and other real rights by prescription (1963). 101 4. ADB/World Bank Resettlement Policy Basic Principles � Involuntary resettlement should be avoided where feasible.  � Where population displacement is unavoidable, it should be minimized by exploring all viable project options.  � People unavoidably displaced should be compensated and assisted, so that their economic and social future would be generally as favorable as it would have been in the absence of the project.  � People affected should be fully informed and consulted on resettlement and compensation options.  � Involuntary resettlement should be conceived and executed as part of the project  Operational Policies � The absence of a formal legal title to land by some affected groups should not be a bar to compensation, especially if the title can be perfected; particular attention should be paid to households headed by women and other vulnerable groups, such as indigenous peoples and ethnic minorities, and appropriate assistance provided to help them improve their status.  � In case of severe impacts on agricultural land use, rehabilitation measures shall be given to PAFs that are actively cultivating affected plots, in the form of a combination of training, money to be invested to improve productivity, agricultural extension and income restoration allowances.  � If possible, income restoration entitlements may also be given to informal settlers affected by non-severe loss of agricultural land, though the rehabilitation may have lesser effect than for severely affected PAFs.  � Existing social and cultural institutions of re-settlers and their hosts should be supported and used to the greatest extent possible and re-settlers should be integrated economically and socially into host communities.  � The full costs of resettlement and compensation should be included in the presentation of project costs and benefits  Some costs of resettlement may be considered for inclusion in the Bank loan financing the project. Costs that are covered include all costs associated with land improvement, construction of new housing and community infrastructure, and income generating measures. Other costs including land acquisition would need review and clearance of a special committee in the World Bank Headquarter at Washington. Thus, it must be covered by a specific proposal with all the required information 102 9.3 S O C I O E C O N O M I C B A S E L I N E I N F O R M AT I O N 9.3.1 O B J E C T I V E S 1. To gain an understanding of the perceptions of the people regarding the project and identify options on resettlement 2. To determine the impact of losses 3. To develop alternatives measures to replace lost income 4. To identify problems and issues and mitigating measures to address them 9.3.2 P R O C E D U R E S F O R D E T E R M I N I N G B A S E L I N E S U R V E Y A N D E X T E N T O F LOSSES 1. Conduct of Baseline Socioeconomic Survey A socioeconomic survey will be carried out along with the Inventory of Losses (IOL) to identify the magnitude of resettlement impacts. Details on the IOL obtained information on names of PAPs and all assets that are within the scope and the right of way (ROW) which include productive and residential land, housing structures, business establishments, other miscellaneous items (fence, and wells). Several methods will be used to obtain the socioeconomic data and inventory of land (IOL). The SES will utilize a questionnaire administered to 100% of affected households. It would be necessary to hire Enumerators to interview head of affected households and or in the absence of head of household, the wife or next person of aged who can make decision for the family may take as a replacement. 2. Conduct of Inventory of Land and Assets To determine the extent or magnitude of losses, an inventory of losses (IOL) will be carried out covering 100% of the affected families. This will be undertaken simultaneously with the socioeconomic survey (SES) by the Consultant hired by DPWH. The IOL specifies the types of losses such as land, structure income, crops and other assets. The following are involved in the inventory and site identification. 1. Local Government Units (LGUs) – responsible for the conduct of inventory and identification of sites for resettlement and socialized housing 2. Housing and Land Use Regulatory Board (HLURB) – prepare guidelines for the inventory and identification of sites for socialized housing and periodic training and technical assistance in the conduct of inventory – provide relevant information on land use and zoning and assist in the preparation of Land Use Plan incorporating the identified sites for socialized housing 103 3. National Mapping and Resource Information Authority (NAMRIA) – provide base maps, aerial photographs and other cartographic materials needed for the inventory. 4. Land Management Bureau (LMB) – furnishes the LGUs with cadastral maps, inventory of government-owned lands and other relevant data. 5. National Housing Authority (NHA) – makes available existing guidelines and criteria on the identification of sites for socialized housing, accept and act as repository (of deeds, TCTs, pleas, etc.) of government-owned lands found suitable for the above stated purpose, and assist the concerned LGUs in the implementation of appropriate housing programs arising from the inventory gathered on socialized housing projects. 6. Other agencies which can provide relevant information and data requirements: – Bureau of Internal Revenue (BIR) – provides data on land valuation and taxation. – Department of Agriculture/Bureau of Soils and Water Management (BSWM) – provides data on Network of Protected Agricultural Areas. – Department of Agrarian Reform (DAR) – provides data on lands covered by the Comprehensive Agrarian Reform Program (CARP). 104 9.4 POLICY ON ELIGIBILITY, COMPENSATION AND OTHER ENTITLEMENTS The settlement of claims for compensation for lost assets of PAFs is summarized in the matrix at the end of this section. The determination of compensation and entitlements is based on the legal framework and principles of the LARR policy. a. Criteria for Eligibility for compensation 1) Landowners i. Legal owners (agricultural, residential, commercial and institutional) who have full title, tax declaration, or who are covered by customary law (e.g. possessory rights, usufruct, etc.) or other acceptable proof of ownership. ii. Users of arable land who have no land title or tax declaration iii. Agricultural lessees 2) PAFs with Structures i. Owners of structures who have full title, tax declaration, or who are covered by customary law (e.g. possessory rights, usufruct, etc.) or other acceptable proof of ownership. ii. Owners of structures, including shanty dwellers, who have no land title or tax declaration or other acceptable proof of ownership. iii. Renters b. Indicators of Severity of Impacts Properties to be acquired for the project may include the entire area or a portion of it. Hence, compensation for such assets or properties depends on whether the entire property will be affected or just a portion of it. Severe –The portion of the property to be affected is more than 20% of the total land area or even less than 20% if the remaining portion is no longer economically viable or it will no longer function as intended. The owner of this property (land or structures, etc.) shall be entitled to full compensation in accordance to RA 8974. Marginal –the impact is only partial and the remaining portion of the property or asset is still viable for continued use. Compensation will be on the affected portion only. c. Compensation per category of assets affected. The classifications or categories of assets to be compensated include Land, Structures, other Improvements and Crops, Trees and Perennials. Described below are the compensation and entitlements provisions for which the PAFs are eligible, per classification of assets affected. 105 1) Compensation for Structures Compensation in cash for the affected portion of the structure, including the cost of restoring the remaining structure, as determined by the concerned Appraisal Committee, with no deduction for salvaged building materials. 2) Compensation for Other Improvements i. Compensation in cash at replacement cost for the affected portion of public structures to government or non-government agencies or to the community in case of a donated structure by agencies that constructed the structure. Compensation to cover the cost of reconnecting the facilities, such as water, power and telephone. 3) Compensation For Crops, Trees and Perennials i. Cash compensation for perennials of commercial value as determined by the DENR or the concerned Appraisal Committee ii. PAFs will be given sufficient time to harvest crops on the subject land iii. Compensation for damaged crops (palay and corn) at market value at the time of taking. The compensation will be based on the cost of production per ha. pro-rata to the affected area. iv. Entitlement for fruit-bearing trees will be based on the assessment of the Provincial or the Municipal Assessors where the project is located. 4) Compensation For Land Computation of the replacement cost of land shall be pursuant to RA 8974. The initial offer to the PAF is the indicated price in the current zonal valuation issued by the Bureau of Internal Revenue (BIR) for the locality where the property is located. If the offered price is not acceptable to the PAF, the second offer will be current market value at the time of taking, based on the standards prescribed in Sections 5 and 6 of RA 8974. a. Land swapping if feasible, ‘land for a new parcel of land of equivalent market value, at a location acceptable under zoning laws, or a plot of equivalent value, whichever is larger, in a nearby resettlement area with adequate physical and social infrastructure. When the affected holding has a higher value than the relocation plot, cash compensation will cover the difference in value b. Holders of free patent, homesteads under CA 141, or the Public Lands Act, will be compensated for improvements only. c. Holders of Certificates of Land Ownership Award (CLOA) granted under the Comprehensive Agrarian Reform Act shall 106 be compensated pursuant to the provisions of RA 8974. However, CLOAs granted under Public Land Act or CA 141 landowners shall be compensated for the affected improvements only. d. Other Types of Assistance or Entitlements i. Disturbance Compensation - For agricultural land severely affected the lessees are entitled to disturbance compensation equivalent to five times the average of the gross harvest for the past 3 years but not less than PhP15, 000. ii. Income Loss. For loss of business/income, the PAF will be entitled to an income rehabilitation assistance not to exceed P 15,000 for severely affected structures, or to be based on the latest copy of the PAF’s Tax record for the period business activities. iii. Inconvenience Allowance in the amount of P 10,000.00 shall be given to PAFs with severely affected structures, which require relocation and new construction. iv. Rehabilitation assistance (skills training and other development activities) equivalent to PhP15, 000 per family per municipality will be provided in coordination with other government agencies, if the present means of livelihood is no longer viable and the PAF will have to engage in a new income activity v. Rental Subsidy. Will be given to PAFs without sufficient additional land to allow the reconstruction of their lost house under the following circumstances: a. The concerned properties are for residential use only and are considered as severely affected. b. The concerned PAFs were physically residing in the affected structure and land at the time of the cut-off date. c. The amount to be given will be equivalent to the prevailing average monthly rental for a similar structure of equal type and dimension to the house lost. d. The amount will be given for the period between the delivery of house compensation and the delivery of land compensation. vi. Transportation allowance or assistance. If relocating, PAFs to be provided free transportation. Also, informal settlers in urban centers who opt to go back to their place of origin in the province or be shifted to government relocation sites will be provided free transportation 107 e. Entitlement Matrix Entitlement Matrix LAND(Classified as More than 20% of PAF with TCT or PAF will be entitled to Cash compensation Agricultural, the total tax declaration for loss of land at 100% replacement cost at Residential, landholding lost or (Tax declaration the informed request of PAFs. If feasible, Commercial, where less than legalized to full land for land will be provided in terms of a Institutional) 20% lost but the title) new parcel of land of equivalent productivity, remaining land at a location acceptable to PAFs, or Holders holding become of free or homesteads patens and economically Holders of Certificates of Land Ownership unviable. (CLOA) under CA 141 Public Lands Act will be granted under Comprehensive Agrarian Reform Act shall be compensated for the land at zonal value. If granted under Voluntary Offer to Sell by the Landowner. CLOA issued under CA 141 shall be subject to the provisions of Section 112 of Public Lands Act shall receive compensation for damaged crops at market value at the time of taking. Rehabilitation assistance in the form of skills training equivalent to the amount of P000 (non- cash), per family, if the present means of livelihood is no longer viable and the PAF will have to engage in a new income activity. PAF without TCT Cash compensation for damaged crops at market value at the time of taking. Agricultural lessors are entitled to disturbance compensation equivalent to five times the average of the gross harvest for the past 3 years but not less than PhP 15,000. Less than 20% of PAF with TCT or PAF will be entitled to (Tax Cash the total lost tax compensation for loss of land at 100% landholding or declaration or replacement cost at the informed request of where less20% declarations that PAFs. Holders of free or homesteads or lost or where the are legalizable to patents and CLOAs under CA 141 Public remaining land full title Lands Act will be compensated on land holding still viable improvements only. for use Holders of Certificates of Land Ownership Award (CLOA) granted under the Comprehensive Agrarian Reform Act shall be compensated for the land at zonal value., if granted under Voluntary Offer to Sell by the Landowner. CLOA issued under CA 141 shall be subject to the provisions of Section 112 of the Public Land Act. Cash compensation for damaged crops at market value at the time of taking. PAF without Cash compensation for damaged crops at TCT market value at the time of taking. Agricultural lessors are entitled to disturbance compensation equivalent to five times the average of the gross harvest for the past 3 years but not less than PhP 15,000. (Computation Pro-rata) 108 STRUCTURES More than 20% of the AF with TCT or tax AF will be entitled to: (Classified as total landholding loss declaration (Tax Cash compensation for entire structure at Residential/ or where less than declaration can be 100% of replacement cost. Commercial/ 20% loss but the legalized to full Industrial) remaining structures title). Rental subsidy for the time between the no longer function as submission of complete documents and the intended or no longer release of payment on land. viable for continued PAF without use. TCT AF will be entitled to: Cash compensation for entire structure at 100% of replacement cost. Rental subsidy for the time between the submission of complete documents and the release of payment on land Less than 20% of the PAF with TCT or Compensation for affected portion of the total landholding lost tax declaration (Tax structure. or where the remaining declaration can be structure can still legalized to full function and is viable title). for continued use. PAF without TCT Compensation for affected portion of the structure. IMPROVEMENTS Severely or marginally PAF with or without PAF will be entitled to: affected TCT, tax Cash compensation for the affected declaration, etc. improvements at replacement cost CROPS, TREES, PAF will be entitled to: PERRENIALS Cash compensation for crops, trees, and perennials at current market value as prescribed by the concerned LGUs and DENR. 109 9.4.1 R E L O C A T I O N O P T I O N S PAPs will be provided with options suitable to their preference. Cash compensation will be paid for affected assets at replacement value. The PAPs will not be displaced until after they have received in full the compensation and applicable allowances due to them. A Resettlement site with housing units and complete basic amenities will be provided by the concerned LGUs to accommodate PAPs who will opt to resettle in these sites. 9.4.2 G R I E V A N C E R E D R E S S A grievance redress mechanism aims to ensure that the complaints and grievances of PAPs are addressed and resolved in a timely and satisfactory manner. A community based Resettlement Committee will be established in the barangays where grievances can be dealt with more effectively by local people tasked to address the issues and concerns of affected households. 9.4.3 P R O C E D U R E S F O R G R I E V A N C E Grievances related to any aspect of the project or sub-project will be handled through negotiations and are aimed at achieving consensus following the procedures outlined below: a) The grievance shall be filed by the PAP with the Resettlement Implementation Committee (RIC) who will act within 15 days upon receipt thereof, except complaints and grievances that specifically pertain to the valuation of affected assets, since such will be decided upon by the proper courts; b) If no understanding or amicable solution can be reached, or if the PAP does not receive a response from the RIC within 15 days of registry of the complaint, he/she can appeal to the concerned Regional Office, which should act on the complaint/grievance within 15 days from the day of its filing; c) It the PAP is not satisfied with the decision of the Regional Office, he/she, as a last resort, can submit the complaint to any court of law. PAPs shall be exempted from all administrative and legal fees incurred pursuant to the grievance redress procedures. All complaints received in writing (or written when received verbally) from the PAPs will be documented and shall be acted upon immediately according to the procedures detailed above. 9.4.4 I N C O M E R E S T O R A T I O N A N D R E L O C AT I O N S T R AT E G I E S PAPs losing their productive assets and income sources will participate in an income restoration program that will be developed as a collective effort of the PAPs , DPWH the executing agency and the relevant people’s committees. A livelihood program will be initiated upon settlement and appropriate livelihood intervention program shall be started 110 to ensure that the quality of life of PAPs will be sustained than before resettlement took place. 1. Objectives The objectives of the income restoration intervention are to restore and stabilize income of PAPs during displacement to ensure quality of life and sustain pre project economic condition. 2. Potential Categories of Affected livelihood The categories of affected livelihood that will be potentially affected are identified below along with appropriate income restoration measures. Potential Affected Income Restoration Measures Livelihood/other categories  Temporary loss of  Compensation at replacement cost on temporary loss Farming/productive land of productive land;  Vocational training on change of/ or alternate livelihood;  Rice subsidy as specified in the entitlement Matrix per household  Affected businesses  Compensation for lost income  Vocational training  Provide access to credit assistance  Affected jobs  Compensation for 3 months on lost of income (employees)  Vocational training assistance  Provide access to credit assistance  Affected income of  Special assistance as specified in the entitlement Vulnerable persons Matrix  Vocational training  Provide access to credit assistance 3. Approach and Strategy The Income Restoration Program (IRP) will adopt an approach that will address the immediate and sustain the long-term rehabilitation of affected PAPs. The proposed strategy will respond to the PAPs’ need for work and economic opportunities after relocation and in the long term, a sustainable livelihood restoration program that will ensure improved socio-economic conditions of the PAPs The social survey results will be used to track both a) extent of land lost, and b) disaggregated requests made by PAPs for livelihood assistance. Livelihood restoration and vocational training will be based on consultation with the affected households to ensure that the courses developed meet their capacities, resources and interests. A disaggregated training and vocational needs assessment of PAPs and a rapid local economic appraisal of target barangays will be undertaken by 111 DEO to determine occupational and local market needs and serve as a basis for demand-driven skills training and short-term vocational training. Linkages to area vocational training centres and respective Municipal/City Social Welfare and Development (SWD) and Department of Labor and Employment (DOLE) will be further developed in order that priority linkage and employment referral be provided to those displaced from livelihoods by the project. (i) Short Term Strategy a) Job placement or temporary work during construction Some of the ways to enhance capacity of PAPs to augment income will focus on (i) absorption of skilled family members of PAPs into the Project. The DEO will ensure provision of employment support during construction and project operation. The Barangay Resettlement Committee (BRAC) will coordinate and arrange with the DEO to identify family members of PAPs who are skilled workers for employment. DPWH will screen applicants, provide training if necessary and give priority employment to affected PAPs. Some possible work during construction of the plant site and coal extraction would require workers as masons, drillers, drivers, operators, or during operations, as maintenance workers; employment scheme related to demolition and relocation, food for work and sweat equity in house reconstruction. b) Transitional Stabilization Assistance Economically displaced PAPs will also be provided with transitional assistance to offset potential losses in income while they make the transition to alternative livelihoods. PAPs losing productive land will be provided with a stabilization allowance in the form of a cash allowance equivalent to 30kgs of rice per household member for periods of 3 to 6 months based on the severity of impact and whether or not they need to relocate. Other PAPs experiencing loss of non-land based income sources are entitled to receive an income substitution allowance equivalent to 6 months income (for businesses with or without tax receipts) and 6 months net wage (for affected employees). The level of assistance for businesses without or without tax receipts and employees without labor contracts will be based on the minimum wage. c) Social Services/Nutritional program Other initiatives that will supplement income will be provided in the form of short term welfare services focusing on vulnerable groups such as, children under 5, undernourished children, pregnant women, old and disabled persons. A supplementary feeding program will be administered by the Project for the women during the settlement phase. If appropriate, this will be continued until desired level of nutritional status has been achieved. (ii) Long Term Strategy 112 The strategy would include implementation of the following activities: a) Vocational skills training Conduct of vocational skills training to fully avail of the job opportunities that will be generated by the project, as well as to link market demand for possible job referral and placement and requirements from nearby industrial factories, and even for overseas jobs. b) Agricultural enhancement program An agricultural enhancement program will be established especially targeting farmers who remain in the project area and whose lands are partially affected. The Livelihood Specialist will coordinate with institutions such as the DA and DAR and tap resources that will provide support for extension programs that will enable affected farmers to increase productivity from smaller productive land areas. One such program would be the development of vegetable production for backyard gardening. Vegetable cultivation provides an opportunity to significantly increase food. The program will establish farms near the relocation sites intended for intensive farming technologies and high value crops, and training of farmers for appropriate technology. c) Micro finance/credit assistance Linking livelihood support with some existing social assistance of government program such as financing micro and small enterprises to enable PAPs gain access to credit assistance for income generation projects particularly for women. d) Linkages to Cooperatives Farmer’s cooperatives are common which are vehicles for promoting economic support and continuing capital-build – up assistance. Cooperative development is supported by the national law RA 6938, Article 123 which encourages communities to undertake formation and organization of cooperatives that are responsive to the community’s economic growth and development. Majority of the farmers in the areas are members of farmers cooperative however, problems on financing and proper management needs to be strengthened. e) Special Measures to Support Vulnerable Groups Vulnerable PAPs (those with income below the poverty threshold, disabled, households headed by women) will be entitled to participate in any training course. Priority assistance will be provided in terms of loan assistance, and other form of support to augment their income. Additional food subsidies equivalent will be granted for a period one year to PAPs under this category. 113 9.5 PUBLIC PARTICIPATION AND CONSULTATION Consultation during the project shall include at least three major rounds of stakeholders consultation, i,e., (i) during project scoping where information of the project was disseminated in all affected communes, (ii) during the resettlement planning and validation of study results (iii) during disclosure of LARP and furthermore as an on-going basis during project implementation. 9.5.1 P R O J E C T S C O P I N G i. Courtesy calls will be conducted to establish initial relationship between the proponent, and the concerned LGUs, barangays and projected affected persons. This activity was done to formalize the entry of the Consultants to the project sites. ii. Project orientation. The orientation activity will discussed the LARRIP communication plan and flow to prepare the communities and PAPs to participate in all aspects of LARP planning. The activity will be conducted through presentation of the project scope and objectives, benefits and advantages as well as the LARRIP communication plan. In this activity, the whole LARRIP is communicated and will allow participants to respond or give their reactions to the project presentation and to surface perceived issues and problems. iii. Use of local community guide for the survey and interviewers’ training provided the opportunity for the barangay leaders and locals to become part of the data gathering process.. 9.5.2 RESETTLEMENT PLANNING (i) Data collection: Community participation will start with data collection which will served as baseline information on project affected households. Various approaches will be utilized in gathering qualitative and quantitative data which include the following (i) key Informants Interview (KII) with the City, Provincial and District local heads and affected families; (ii) household survey (100%) of project affected households. Collected information through baseline survey will be analysed and processed which will form the benchmark for resettlement planning. (ii) Formation of the RIC. This task has to be undertaken at the barangay level. The RIC shall comprise of representative leaders chosen by the PAPs whom they can trust to handle issues and grievances during implementation. (iii) Review of the draft LARP shall be done together with some affected representatives and DPWH RAP Coordinator. The Draft LARRIP shall be translated in a local dialect that is understandable to PAPs. Comments and recommendation resulting for the review exercise shall be incorporated in the finalization of the LARP. 114 9.5.3 L ARRIP D I S C L O S U R E LARRIP disclosure and PAPs endorsement of the LARP. Disclosure of the LARP to PAPs will be carried out by the DEO Coordinator and the Consultants through consultation meetings with DP representatives. The basic information of the LARP will be translated into local language and shall be placed in public offices where PAPs can readily access. A project information brochure (PIB) will be distributed to all PAPs indicating general contents which shall include the following items: (i) project profile (ii) project impacts (iii) compensation and entitlements (iv) grievance redress mechanism (v) resettlement procedures, timing of payments and schedule. A Public Information Booklet (PIB) will be prepared for dissemination to affected households on their rights and entitlement. The RP will be disclosed and be made available to the all barangays where affected households can have access to examine its contents. (ix) Documentation Proper documentation of the participatory process will be done which will include the following: o List of names of participants and their signatures o Minutes of meetings o Issues raised and Responses o Photographs of the consultation meetings The information campaign will convey to all PAPs the following: i. The road project that has triggered the Involuntary Resettlement Safeguard ii. Policy. Why is it important? Who would benefit from it? What are its benefits to the affected families? Each PAP is entitled to receive just compensation for his/her affected plot at a rate to be negotiated between the BIR zonal valuation and the fair market value as provided by RA 8974; iii. the BIR zonal valuation and the fair market value may be substantially different; iv. the negotiations process detailed in RA 8974 provides that: a. DPWH first asks the PAPs to donate their affected land, provided that the following conditions shall be met: 1) The AP’s have decided to donate their that is: prior to the decision, they have been (a) informed of their compensation entitlements at market rates; (b) actually offered the relative compensation amounts; 2) Land redistribution or donations do no 3) Land to be donated is titled, un-rented, has no encumbrances nor is occupied by informal settlers; 4) The voluntary aspect of land redistribution or donations is documented by a document signed by the donor that he/she is aware of the above conditions. 115 The inclusion of the document in the RAP will be the basis for its approval. In addition, based on BIR rules, arrear taxes for donated plots need to be paid or waived. If waiver is not possible, the taxes will have to be paid by the LGU. b. if they do not agree, DPWH will offer them compensation at the BIR zonal valuation rates; c. if also in this case they do not agree, the DPWH will promptly seek the services of Land Bank, DBP or an independent appraiser to determine the fair market value based on the following parameters: o land use classification o development costs for improving the land value declared by PAPs o current selling price of similar properties in the vicinity, based on deeds of sale o disturbance o tax declaration and BIR zonal valuation replacement cost. d. DPWH will go back to the PAPs and communicate to them the current market value so determined by an independent land appraiser to specify the negotiation limits (BIR zonal value and current market value); e. DPWH than begins negotiations with the PAPs to determine the final compensation; f. If the PAPs do not accept the terms of this negotiation and the land valuation possible under RA 8974, their affected properties will be expropriated; g. DPWH shall immediately pay the PAP whose property is under expropriation the amount equivalent to the sum of one hundred percent (100%) of the BIR zonal valuation and the court shall determine the just compensation to be paid to the PAP within sixty (60) days from the date of filing of the expropriation case. When the decision of the court becomes final and executory, DPWH shall pay the PAP the difference between the amounts already paid and the just compensation as determined by the court. In the interim, DPWH will deposit 100% of the BIR valuation into an escrow account. The information campaign will also convey to the PAPs the available channels for complaints and grievances and related procedures. In this respect the PAPs will be informed that grievances from the PAPs related to the LARR Plan implementation or any aspect of the project will be handled through negotiations and are aimed at achieving consensus according to the following procedures: i. The PAPs will lodge their grievances by writing to the Resettlement Implementation Committee (RIC) for immediate resolution. 116 ii. If the complaint is not satisfactorily resolved in 15 days or the PAP does not receive any response from the RIC, the PAP can forward the complaint or file an appeal at the DPWH Regional Office (RO). iii. If the complaint is not satisfactorily resolved in 15 days or the PAP does not receive any response from the DPWH RO, the PAP can file a legal complaint in any appropriate Court of Law. The information campaign will be carried out by the IBRD-PMO with the support of ESSO, the Regional Offices and District Engineering Offices and will be implemented through community meetings and leaflets according to the following specifications: i. Community Meetings. Community meetings to be organized in sufficient number and at the appropriate location and time so as to allow the potential participation of all PAPs or their authorized representatives. In the course of the meetings DPWH personnel will explain the reasons for the meeting and will provide the information detailed above. PAPs will be free to ask for clarification and to propose procedures that may facilitate the implementation of the compensation program. When necessary DPWH will provide the PAPs with transportation to reach the meeting venue. At each meeting the numbers and names of the participants will be recorded and minutes of the discussions will be taken by DPWH. ii. Leaflets. A leaflet, printed in the language understandable to the PAPs, providing a statement of purpose, project details and clearly indicating the information listed above to be distributed by the DEOs to each PAP. Additional copies of the leaflet will be distributed during the community meetings. It will also be posted in enlarged poster form in strategic locations like the municipal, city and barangay halls. The women, elderly, and the indigenous people who are among the PAPs shall likewise be consulted and mobilized to participate in the consultation meeting, and discussed with them the socio cultural implication of the Resettlement Action Plan. To ensure that the DPWH District Engineering Offices fully understand the purposes and mechanisms of the information campaign, workshops on the matter shall be organized and conducted at the DPWH Central Office in Manila or in the DPWH Regional Offices as maybe necessary. Representatives of DEOs affected by the project component shall be the main participants in these workshops. Internal monitoring will be done by ESSD which at the same time shall be called the Internal Monitoring Agent (IMA) while external monitoring will be carried out by an External Monitoring Agent (EMA) to be hired by DPWH. Reports of the IMA and EMA will be made available to the ROs and/or the DEOs and to all concerned parties, including the PAPs. 117 9.6 POLICY ON GENDER SENSITIVE PLANNING Men and women may experience benefits and risks associated with project-sponsored activities differently, and as such gender is considered in the project an important crosscutting issue. Resettlement and livelihood changes stand to impact both men and women, though households led by single-women may face additional challenges where they are reliant on the availability of existent social networks and extended family for the care of their children. A strategy to address gender issues is included in the LARRIP and the Indigenous Peoples plan, which mandates the active participation of men and women during public consultation and project monitoring; representation of women in resettlement committees; and capacity-building activities. Gender policies and programs are reflected in the Toolkit for Making Road Infrastructure Project Gender Sensitive (2011). The Project shall advocate gender mainstreaming as a key strategy for promoting gender equity, and for ensuring that women participate in all phases of resettlement activities, and that their needs are explicitly addressed in the decision-making process. The following specific actions will be done to address gender issues during the initial stage, and shall be undertaken in the remaining stages of the project. (i) During focus group discussion, consultation meetings and workshops, women as well as men will be invited. (ii) In the planning of the income restoration program, PAPs comprising of men and women will be consulted during the workshop. (iii) For the relocating PAPs, a separate discussion with women from affected households and female-headed PAPs, shall be held to discuss and agree on their relocation preference. (iv) Compensation will be given to both men and women. (v) Disaggregated monitoring indicators by gender, ethnicity, and gender of the head of displaced households will be developed, for monitoring capacity development training program, livelihood program, participation, and other resettlement activities. 118 9.7 GRIEVANCE PROCEDURES Grievances related to any aspect of the project or sub-project will be handled through negotiations and are aimed at achieving consensus following the procedures outlined below: a. The grievance shall be filed by the PAP with the Resettlement Implementation Committee (RIC) who will act within 15 days upon receipt thereof, except complaints and grievances that specifically pertain to the valuation of affected assets, since such will be decided upon by the proper courts; b. If no understanding or amicable solution can be reached, or if the PAP does not receive a response from the RIC within 15 days of registry of the complaint, he/she can appeal to the concerned Regional Office, which should act on the complaint/grievance within 15 days from the day of its filing; c. It the PAP is not satisfied with the decision of the Regional Office, he/she, as a last resort, can submit the complaint to any court of law. PAPs shall be exempted from all administrative and legal fees incurred pursuant to the grievance redress procedures. All complaints received in writing (or written when received verbally) from the PAPs will be documented and shall be acted upon immediately according to the procedures detailed above. 119 9.8 O N I N D I G E N O U S P E O P L E W H O W I L L B E AF F E C T E D B Y T H E P R O J E C T Indigenous peoples who will be affected by the project deserve special attention because of their unique vulnerability and their distinct ways of relating to the physical environment. The DPWH recognizes that the identities and cultures of Indigenous Peoples are inextricably linked to their physical environment and the natural resources on which they depend. This exposes IPs to certain types of risks and to intensified levels of impacts that the dominant groups in Philippine society do not face when confronted by infrastructure development projects. Hence, the objective of this chapter is to ensure that DPWH-implemented projects do no further harm to IPs and leave them worse off with the projects than without. 9.8.1 L E G A L B A S E S : The rights of Indigenous Peoples are well-established in Philippine laws and jurisprudence. The Philippine Constitution acknowledges and promotes the rights of indigenous cultural communities to their ancestral domains and recognizes the applicability of customary laws in determining the ownership and extent of these ancestral domains. (Section 22, Article II; Section 5, Article XII). It directs the State to protect the rights of indigenous cultural communities to preserve and develop their cultures, traditions and institutions and to consider these rights in the formulation of national plans and policies. (Section 17, Article XIV). Following the directive of the Constitution, Congress passed the Indigenous Peoples’ Rights Act (IPRA) in 1997. The safeguards for plans, programs, and projects affecting Indigenous Peoples. It spells out and protects the rights of Indigenous Peoples. These are: The right to their ancestral domains; (Chapter III, Section 11) The right to an informed and intelligent participation in the formulation and implementation of any project, government or private, that will impact upon their ancestral domains; (Chapter III, Section 7b) The right to participate fully, if they so choose, at all levels of decision- making in matters which may affect their rights, lives and destinies through procedures determined by them; (Chapter IV, Section 16) The right to receive just and fair compensation for any damages inflicted by or as a result of any project, government or private; (Chapter III, Section 7b) The right to stay in their territory and not to be removed from that territory through any means other than eminent domain. If relocation is necessary as an exceptional measure, it can only take place with the free and prior 120 informed consent of the IPs and ICCs concerned; (Chapter III, Section 7c); The right to be secure in the lands to which they have been resettled; (Chapter III, Section 7d). The right to determine and decide their own priorities for the lands they own, occupy, or use; (Chapter IV, Section 17) The right to maintain, protect, and have access to their religious and cultural sites; (Chapter IV, Section 33) The IPRA also created the National Commission on Indigenous Peoples (NCIP) to carry out the policies set forth in the IPRA. The NCIP has issued a number of orders that puts into operation the provisions of the IPRA, the most important for the purposes of this policy is NCIP Administrative Order No. 1 or the Free and Prior Informed Consent (FPIC) Guidelines of 2012. 9.8.2 C O V E R A G E O F T H E P O L I C Y O N I N D I G E N O U S P E O P L E S This policy covers all Indigenous Peoples or Indigenous Cultural Communities (ICC) whether they are living outside or inside an officially declared ancestral domain or an area that has a pending application to be declared as an ancestral domain. It applies to projects that pass through three (3) types of procedures: o those projects that are voluntarily initiated and solicited by the IPs/ICCs. o those infrastructure projects that would require Free and Prior Informed Consent; and o those projects that do not require Free and Prior Informed Consent (FPIC). It contemplates six (6) types of situations where Indigenous Peoples may be affected by NRIMP-2 civil works and its linked projects. These situations are: o When the involuntary taking of land (including structures, improvements, crops, trees, and perennials) occurs inside an officially declared ancestral domain or an area with a pending application to be declared as an ancestral domain. o When due to the involuntary taking of land (including structures, improvements, crops, trees, and perennials) inside an officially declared ancestral domain or an area with a pending application to be declared such results in the removal and resettlement of Indigenous Peoples. o When removal of Indigenous Peoples results in resettlement outside their ancestral domain. 121 o When the involuntary taking of land occurs outside an ancestral domain or outside an area with a pending application to be declared such and Indigenous Peoples, whether as individuals, families or as a community, are among those to be resettled. o When the involuntary taking of land occurs outside an ancestral domain or an area with a pending application to be declared such and Indigenous Peoples are among those affected but no IPs will be removed from the locale and resettled elsewhere; and o When natural resources inside ancestral domains are extracted and used for civil works. 122 9.8.3 T H R E E T Y P E S O F P R O C E D U R E S : Given the public nature and benefit derived from infrastructure projects, the policy of the DPWH is for the IPs to voluntarily solicit and initiate an infrastructure project. For projects that the IPs without coercion, freely solicit and initiate inside or outside ancestral domain, there is obviously no requirement for a Free and Prior Informed Consent (FPIC). Chapter III or the Policy on Eligibility, Compensation and other Entitlements of this LARRP remains operative unless by voluntary concurrence of the proponent and the affected ICC/IP, this policy is superseded by a separate Memorandum of Agreement (MOA). This MOA shall serve as the IPAP. In general, no IPAP is required for projects that are voluntarily solicited or initiated by IPs. If an infrastructure project is not voluntarily initiated or solicited by the ICCs/IPs, the project proponent will work to enter into a separate Memorandum of Agreement (MOA) with the NCIP. In the absence of an agreement with the NCIP, the FPIC Guidelines of 2006 will apply only if an Ancestral Domain will be affected. Chapter II and III of this LARRP will guide the eligibility of affected IPs/ICCs, compensation, and other entitlements. In the event that an impasse results, DPWH will invoke Section 7c of the IPRA that allows the use of the State’s power o domain, however, is a last resort. In the event ICCs/IPs outside of ancestral domains will be affected, Section 6.5 of this Chapter shall apply. Requirement for Requirement for Location FPIC IPAP Inside Ancestral Voluntarily initiated or Domain None None solicited by IPs; Outside Ancestral Domain No None Projects that are not voluntarily initiated or Inside Ancestral solicited by IPs Domain Yes MOA=IPAP Outside Ancestral No except for a Domain special case IPAP required discussed in Section 6.5.4 of this chapter Invocation of Eminent Inside Ancestral Yes but result of Domain as a last Domain FPIC process is IPAP resort negative Outside Ancestral IPAP Domain No 123 9.9 I N V O L U N T A R Y T A K I N G O F L A N D I N S I D E AN C E S T R A L D O M A I N S In the event land (including structures, improvements, crops, trees, and perennials) is taken inside an ancestral domain, the DPWH and its agents shall observe the Free and Prior Informed Consent (FPIC) Guidelines of 2006 or the provisions of any agreement that the DPWH may have reached with the NCIP. The details of the FPIC Guidelines of 2012 are found in the Social and Environmental Management Systems (SEMS) Manual. Free and Prior Informed Consent (FPIC) must be determined using methods appropriate to the social and cultural values of the Communities, recognizing the primacy of customs, traditions, practices, and socio-political structures of the ICCs/IPs concerned. The process must be free from any external manipulation, interference and coercion and must give special attention to the concerns of Indigenous women, youth, and children. Free and prior informed consent is obtained only after a full disclosure of the intent, scope, benefits, potential adverse effects of the project, and measures to avoid, reduce, minimize, and mitigate these effects in a language and manner that is culturally appropriate and understandable to the affected Indigenous Peoples’ Communities. As required by the FPIC Guidelines of 2012, the DPWH or the project proponent shall prepare a presentation of the project to be explained to the affected IP/ICCs during the Consultative Community Assembly (CCA) or the First Meeting, whichever is applicable. The project proponent shall present the goals and the scope of the project, the operation plan including timeframe if available, the cost and benefits of the project to the ICC/IP and their ancestral domains, its relationship to the Ancestral Domain Sustainable Development and Protection Plan (ADSDPP) if available, and the perceived disadvantages or adverse effects to the ICC/IP and the measures that the project proponent is proposing to mitigate and minimize these. In addition, the project proponent will explain during the CCA or the First Meeting, the legal framework governing the taking of private or communal property for public use, the different modes of acquisition, policy on eligibility, compensation and other entitlements, and the other applicable laws and policies concerning these. With the NCIP representatives, the project proponent will explain the proposed grievance procedures to be followed and the institutional arrangements for monitoring and evaluation. 9.9.1 I N V O L U N T A R Y T A K I N G O F L A N D W I T H O U T R E S E T T L E M E N T The project may involve the involuntary taking of land and/or the structures, improvements, crops, trees, and perennials on it. The taking must ensure that non- replicable cultural property will not be damaged in the process in accordance with Chapter VI, Section 33 of the IPRA. All reasonable efforts should be done to ensure that road sections and linked activities projects, will not pass through religious and cultural 124 properties of IPs, e.g. burial sites and the like and that these be preserved, respected, and protected If passage through, and hence damage to and/or partial or total relocation of religious and cultural properties is unavoidable, this should be presented to the ICC/IPs in the Consultative Community Assembly (CCA) or First Meeting whichever is applicable and obtain the Free and Prior Informed Consent of the affected ICC/IPs. If consent is obtained, modes of compensation will be guided by Chapter III of the LARRP. The IPs may opt to receive the entitlements laid out in Chapter III in culturally appropriate form consistent with their customary law. When completion of the project would involve significant restrictions of access to religious and cultural sites and to traditional hunting, gathering grounds or natural resources that the IPs use, these restriction plus the measures to minimize them will be disclosed by the project proponent to the affected ICC/IPs and included as part of the Abbreviated Resettlement Action Plan (RAP). Temporary restrictions on indigenous peoples’ access to natural resources and r implementation plus the measures to minimize them shall be disclosed also by the proponent. Compensation for the involuntary taking of land, for affected structures, other improvements, for crops, trees and perennials inside ancestral domain where no removal and resettlement of IPs/ICCs are involved shall be governed by Chapters II (Legal Framework) and III (Policy on Eligibility, Compensation, and other Entitlements). The ICC/IPs may opt to receive the compensation in culturally appropriate form consistent with their customary law. Other than those granted by Chapter III, benefits to be enjoyed by the host ICC/IPs will be spelled out in the Memorandum of Agreement (MOA) that will be executed between and among the ICC/IPs, the project proponent, and other related parties in accordance with Sections 31 to 33 of the FPIC Guidelines of 2012. In the event the impact on certain IPs is severe (involving land whose use is other than residential) and subject to the free and prior informed consent of the affected IPs, land swapping will be explored first. Conditions pertaining to land swapping and other types of assistance or entitlements due to the severely affected as found in Chapter III of this LARRP will apply. The project proponent binds itself to the Memorandum of Agreement (MOA) it enters with the affected ICC/IPs, especially regarding the manner of transferring compensation and benefits to the affected persons/families and the community at large. Just the same, the project proponent in cooperation with the NCIP and the affected ICCs/IPs will include in the MOA measures to ensure that gender equity participation, transparency, and accountability are observed in the handling distribution, safekeeping, and use of the funds and in the overall implementation of the MOA. 125 The MOA with the additions written above shall serve as Action Plan (IPAP). 9.9.2 I N V O L U N T A R Y T A K I N G O F L A N D W I T H R E M O V AL A N D R E S E T T L E M E N T By policy, involuntary removal and relocation of ICCs/IPs should be avoided where feasible. If resettlement is unavoidable, the project affected families will be resettled as much as possible within their ancestral domain and in proximity to their original property so as not to disrupt the exercise of traditional resource use rights and livelihood activities. In presenting the project, the adverse impacts, and the possible resettlement sites, the DPWH and its agents shall observe the Free and Prior Informed Consent (FPIC) Guidelines of 2012 or the provisions of any agreement that the DPWH may have reached with the NCIP. The Indigenous Peoples’ Community will be consulted regarding the resettlement site. The project proponent in cooperation with the relevant government agencies shall ensure that the resettlement site is of equivalent productive potential (or developed to make them so) and spatial advantages, e.g. providing the same degree of access to resources and to public and privately provided services and protection. Barring this, the Resettlement Action Plan (RAP) should include measures to mitigate the lack of access to natural resources, basic services, and to cultural and religious sites. Compensation for those to be removed and resettled will be governed by Chapters II and III of this LARRP. Benefits agreed upon by the ICC/IPs and the proponent other than those provided by law shall be contained in the Memorandum of Agreement (MOA) in accordance with Sections 43 to 46 of the FPIC Guidelines of 2012. The affected ICC/IPs may choose to receive the compensation and assistance in culturally appropriate form consistent with their customary law. The project proponent binds itself to the Memorandum of Agreement (MOA) it enters into with the affected ICC/IPs, especially regarding the manner of relocation and the transfer of compensation and benefits to the affected persons/families and the community at large. Just the same, the project proponent in cooperation with the NCIP and the affected ICCs/IPs ought to include in the MOA measures to ensure that gender equity, participation, transparency, and accountability are observed in the handling, distribution, safekeeping, and use of the funds and in the overall implementation of the MOA. In the exceptional case when the resettlement site is outside the affected ancestral domain, the FPIC Guidelines of 2012 or the provisions of any agreement that the DPWH may have reached with the NCIP shall also apply. The IPs following their customary law, will be consulted regarding the choice of resettlement site. The project proponent in cooperation with the relevant government agencies shall ensure that the 126 resettlement site is of equivalent productive potential (or developed to make them so) and spatial advantages, e.g. providing the same degree of access to resources and to public and privately provided services and protection. Barring this, the Resettlement Action Plan (RAP) should include measures to mitigate the lack of access to natural resources, basic services, and to cultural and religious sites. Efforts must be made to prepare the receiving community. If the receiving area were an ancestral domain or an area with a pending application for a CADT, the free, prior and informed consent of the receiving Indigenous Peoples’ community will be obtained The Free and following Prior Informed Consent (FPIC) Guidelines of 2012. The project proponent binds itself to the Memorandum of Agreement (MOA) it enters into with the affected ICC/IPs, especially regarding the manner of relocation and the transfer of compensation and benefits to the affected persons/families and the community at large. Just the same, the project proponent in cooperation with the NCIP and the affected ICCs/IPs ought to include in the MOA measures to ensure that gender equity, participation, transparency, and accountability are observed in the handling, distribution, safekeeping, and use of the funds and in the overall implementation of the MOA. The MOA with the additions written above as the IPAP. In the extremely rare case when some IPs would be resettled by their own choosing or by necessity outside of their ancestral domain while their kindred who are also affected would remain or be resettled in the ancestral domain, depending on the number of IPs to be resettled, either an IPAP or a special section on IPs in the Resettlement Action Plan (RAP) will be prepared for those to be resettled outside the ancestral domain. This is in addition to the MOA that also serves as the IPAP for those remaining inside the ancestral domain. The IPs who chooses to be resettled outside their ancestral domain would be resettled in the designated resettlement sites. 9.10 I N V O L U N T A R Y T A K I N G O F L A N D A F F E C T I N G I P S O U T S I D E A N C E S T R A L DOMAINS In the implementation of infrastructure projects, it may happen that land is taken outside of an officially declared ancestral domain or an area with a pending application to be declared such but IPs still are among those to be affected. Regardless of the impact, the project proponent will conduct a separate meeting with the IPs to obtain their broad support for the project using methods appropriate to the social and cultural values of the affected, recognizing the primacy of customs, traditions, practices, and socio-political structures of the ICCs/IPs concerned. The process must be free from any external manipulation, interference and coercion and must give special 127 attention to the concerns of Indigenous women, youth, and children. There must be full disclosure of the intent, scope, benefits, potential adverse effects of the project, and measures to avoid, reduce, minimize, and mitigate these effects in a language and manner that is culturally appropriate and understandable to the affected Indigenous Peoples’ also disclose this LARRP to the affected ICCs/IPs. If necessary, separate consultations will be held with IP women and children and NCIP will be invited and should be present in the meeting. 9.10.1 IP S A R E T O B E R E S E T T L E D The project proponent shall disclose during the IP meeting the necessity of relocating the whole or large portion of the IP community or individual IP families. If the IP community were migrants in the place and would have to be resettled, the project proponent can present the option of returning to their place of origin. If this option were chosen, transportation allowance or assistance would be provided along with compensation and other types of entitlements due to those to be resettled as found in Chapter III of this LARRP. The project proponent with the NCIP will prepare the hosting community. If the place of origin and re-settlement of the affected IPs were an ancestral domain or an area with a pending application to be declared such, the Free and Prior Informed Consent (FPIC) of the hosting ICC/IPs would be obtained first following the FPIC Guidelines of 2012. If the IPs refuse this option, the proponent in cooperation with the relevant government agencies will fully disclose the resettlement site, aware of their possible preference to relocate and reside as a separate and distinct group in one neighborhood to preserve kinship and identity. The resettled IP community shall be compensated and enjoy entitlements the same as those given to non-IPs as spelled out in this LARRP. The IP community may opt to receive the compensation and entitlements in culturally appropriate form consistent with their traditions and customary law. The project proponent will prepare the hosting or receiving community. The proponent in collaboration with government agencies will ensure that by resettling the IPs (and non-IPs as well), the latter will at least maintain the level of well-being they enjoyed without the project. For this purpose, the proponent with the NCIP, other government agencies, and the affected IP community will draft an Indigenous Peoples’ Action Plan (IPAP) will contain participation, transparency and accountability. If resettlement would require a few IP families to be relocated but not others, and if the affected IPs so prefer, the project proponent will explore resettlement options within the immediate vicinity of the impact area so as not to destroy or weaken kinship and other social relations, limit their access to services, disrupt livelihoods, deprive them of traditional resource use rights, if any. The resettled IP families shall be compensated and enjoy entitlements the same as those given to non-IPs as spelled out in this 128 LARRP. The project proponent will draft an IPAP that ought to cover those who will be resettled and another IPAP for those who will remain. 129 9.10.2 IP S A R E N O T T O B E R E S E T T L E D IPs affected but do not require resettlement shall be compensated and enjoy the same types and level of assistance and entitlements as non-IPs who are similarly situated. The marginally affected IPs may choose to be compensated or to be assisted in their own manner, consistent with their culture and customary law. Depending on the number of IP PAFs, whether as a community or only a few families, the project proponent will either draft an IPAP or include a special section in the Abbreviated RAP pertaining to IP PAFs. 9.10.3 R E S E T T L E D IP S O C C U P Y I N G L A N D S O F P U B L I C D O M A I N Special cases are IPs who have been removed from their ancestral domain and have been resettled in lands of the public domain because of a government project or displacement due to conflict, natural calamities, and forcible dispossession of land. These IPs enjoy the right of security of tenure over lands to which they have resettled (Section 7d, IPRA) and shall not be treated as migrants. The Free and Prior Informed Consent Guidelines of 2012 apply to these types of IPs, in all cases of involuntary taking of land with or without resettlement. The MOA with the additions mentioned above that the project proponent enters into with the affected IPs will serve as the IPAP. 9.11 E X T R A C T I O N O F N A T U R A L R E S O U R C E S I N S I D E A N C E S T R A L D O M AI N S AND THEIR USE The provisions of the LARRP bind not only the project proponent or the DPWH but also its agents. Aside from observing environmental laws, environmental and social safeguard policies of the lender, and securing the necessary permits from the DENR and the Local Government Unit concerned, contractors or by agents of the contractor inside ancestral domains and their use inside or outside ancestral domain shall abide by the FPIC Guidelines of 2012, specifically Section 39 on Small Scale Quarrying. Contractors have joint and sole liability for the actions of their employees and their subcontractors or agents. It should not be construed, however, that the normal cut and fill activities for road construction are extraction of the natural resources. 130 9.12 G R I E V A N C E P R O C E D U R E Conflicts within the affected IP community will be addressed within the community itself in the context of its customary law and customary dispute resolution process and mechanisms, in the presence of the relevant staff of the NCIP office with jurisdiction over the area, and if so invited, project-related staff and other stakeholders, e.g. formal local leadership in the barangay and/or the municipality. Inter-community conflicts will be addressed between the communities themselves, according to their customary or agreed upon dispute resolution processes and mechanisms. If an outside facilitator, mediator, or arbiter is required or requested for, the PMO and project implementing and monitoring units in the field will seek the intervention of the NCIP to act as facilitator, mediator, or arbiter. This guideline applies to conflicts or disputes between the IP community/ies and any of the NRIMP-2 project units and implementers. The RAP focal person at the District Engineering Office with the assistance of regional and central office counterparts shall document the proceedings of the discussion or negotiations. This is in addition to the documentation done by the IP community/ies themselves and by the NCIP. If no satisfactory result or impasse results, the IP communities shall be allowed to elevate their complaints and grievances to the Municipal Resettlement Implementation Committee (MRIC) and the Multi-Sectoral Monitoring Team (MMT). The grievance procedure established herein in no way substitutes for or replaces the grievance procedure set forth in The Free and Prior Informed Consent (FPIC) Guidelines of 2012. At their choosing, the IPs may avail of the grievance procedure and mechanisms spelled out in The Free and Prior Informed Consent (FPIC) Guidelines of 2012. 9.13 P R O C E S S F O R S E C U R I N G V O L U N T A R Y E N D O R S E M E N T F R O M I P S 9.13.1 L E G A L A N D I N S T I T U T I O N A L F R AM E W O R K The rights of Indigenous Peoples are well-established in Philippine laws and jurisprudence. The Philippine Constitution acknowledges and promotes the rights of indigenous cultural communities to their ancestral domains and recognizes the applicability of customary laws in determining the ownership and extent of these ancestral domains. (Section 22, Article II; Section 5, Article XII). It directs the State to protect the rights of indigenous cultural communities to preserve and develop their cultures, traditions and institutions and to consider these rights in the formulation of national plans and policies. (Section 17, Article XIV). Following the directive of the Constitution, Congress passed the Indigenous Peoples’ Rights Act (IPRA) in 1997. The safeguards for plans, programs, and projects affecting Indigenous Peoples. It spells outland protects the rights of Indigenous Peoples. The IPRA also created the National Commission on Indigenous Peoples (NCIP) to carry out the policies set forth in the IPRA. The NCIP has issued a number of orders that puts 131 into operation the provisions of the IPRA, the most important for the purposes of this policy is NCIP Administrative Order No. 3 or the Free and Prior Informed Consent (FPIC) Guidelines of 2012. The Free and Prior Informed Consent (FPIC) Guidelines of 2012 spells out the procedure for obtaining the Free and Prior Informed Consent for affected communities. It details the process for conducting Field Based Investigation (FBI) and obtaining the Certification Precondition from the NCIP attesting that the applicant has complied with the requirements for securing the procedure affected for validating projects solicited/initiated by Indigenous Peoples. 9.13.2 R AT I O N AL E F O R T H E P R O C E S S : Given the public nature and function of national roads and highways, the policy is to first obtain the voluntarily endorsement of Indigenous Peoples whose ancestral domains will be affected by the civil works component and linked activities. By voluntary the process by which this endorsement is obtained should be free from coercion and manipulation, through a process consistent with the affected IPs customary law, witnessed by an official of the National Commission on Indigenous Peoples (NCIP), participated in by the recognized leaders/elders of the community, and by a representative of the World Bank. The project proponent (DPWH) will furnish the World Bank with a detailed report of the meeting containing an original copy of the written endorsement or agreement duly signed by IP leaders, representatives of the NCIP and the DPWH. Even as the requisite Certificate of Precondition is still being processed by NCIP, submission of this report will be the basis of the issuance of a No Objection Letter (NOL) for the particular contract package to proceed. National highways are linear projects, and certain sections will pass inside known ancestral domains and other sections outside. It may happen that the same contract packages will pass through more than one ancestral domain and cut across provinces and even regions. To facilitate the process of IP participation and voluntary IP endorsement of NRIMP-2 contract packages, the processes found below ought to be followed. 9.13.3 SCOPE OF THE PROCESS: The processes outlined below covers all NRIMP-2 contract packages that affect ancestral domains. There may be contract packages affecting IPs but these IPs live outside ancestral domains. For the treatment of these IPs, please refer to Chapter VI, Section 5 of the LARRP. The process to be followed in their case is the process of public participation applicable also to Non-IPs found in the Public Participation module of this Social and Environmental Operations Manual. 132 The exception is IPs resettled in lands of the public domain due to a government project or to displacement (see Chapter VI, Section 5.3 of the LARRP). For these resettled IPs, the process found in this module applies. For Contract Packages where IPs have yet to be identified and/or consulted Step 1: Submission of the project profile and other project documents to the Provincial or Regional Office of the NCIP as required by the NCIP Administrative Order No. 3 Series of 2012. Step 2: Disclosure of the project to the Provincial Consultative Bodies (PCBs) of IPs presenting the benefits and costs (indicative costs only), adverse impacts, and the means of mitigating these impacts, including DPWH’s Land Acquisition and Rehabilitation Policy (LARRP). Step 3: If PCBs determine that no ancestral domain or IP group will be affected, the proponent will submit a detailed report of the meeting containing an original copy of the written endorsement proving that the project was indeed voluntarily endorsed by the IPs. If neither the PCBs nor the NCIP can ascertain that no ancestral domain will be affected, proceed to Step 5. Step 4: The Social Safeguards Officer of the Bank examines the written endorsement and other agreements reached between the IPs and the proponent. Satisfied that the Bank’s safeguard policies have been have been observed, the Bank issues a No Objection Letter (NOL). Letter (NOL). The No Objection Letter (NOL) does not exempt the proponent from securing g the necessary Certification Precondition. It only shows that project has observed World Bank Social Safeguard policies. Step 5: Conduct of an immediate Field Based Investigation (FBI) with the NCIP to determine if there are any IP groups along the route of the project and if any ancestral domain is affected. Step 6: If there are IP groups along the route, there should be consultations with the different IP groups in the area in a manner mutually agreed upon by the NCIP and the project proponent, subject to due diligence by the Bank of the process and substance of the consultation, including attendance of a Bank representative during the consultations. One of the objectives of the consultations is to determine if the road project will affect an ancestral domain. The proponent makes a disclosure of the project. 133 Step 7: If no ancestral domain will be affected, a detailed report of the consultations will be submitted to the Bank. The report will indicate if the IPs are supportive of the project or not. Proceed to Step 9. If an ancestral domain will be affected, proceed to Step 8. Step 8: If an ancestral domain will be affected, the proponent and the NCIP asks for a voluntary endorsement of the project. If the IPs voluntarily endorse the project, a detailed report of the consultations containing an original copy of the written endorsement signed by the IP leaders, NCIP representative and the proponent proving that the project was indeed voluntarily endorsed by the IPs. Step 9: The Social Safeguards Officer of the Bank examines the report of the consultations, and if an ancestral domain is affected, the written endorsement and other agreements reached between the IPs and the safeguard policies have been observed, the Bank issues a No Objection Letter (NOL). The No Objection Letter (NOL) does not exempt the proponent from securing the necessary Certification Precondition and other government permits. It only shows that project has observed World Bank Social Safeguard policies. Since these are projects voluntarily endorsed by IPs, the written endorsement combined with any other agreements forged by the proponent with the affected IP community (i.e. regarding compensation and entitlements other than those provided in the LARRP) shall serve as the IPAP. The World Bank Social Safeguards Officer shall examine the equivalency of the documents w ensure that proper mechanisms are in place to ensure that gender equity, transparency, participation, and accountability are observed in the determination, distribution, and use of the entitlements and benefits and in the implementation of mitigating measures. If no endorsement is given, see Section below on No Endorsement Scenarios. For IPs who have been consulted In the course of the Rapid Social Impact Assessment conducted by the DPWH, some IP groups may have been consulted separately and may have already expressed their support or endorsement of the project, Step 1: If the IPs have voluntarily endorsed the project, the minutes of the consultation with the IPs plus a written endorsement, if available, will be submitted to the Bank and the NCIP. In addition, the project proponent submits a project profile, map and other documents to the NCIP as required by the NCIP Administrative Order No. 3 series of 2012. 134 Step 2: The NCIP with the World Bank validates the written endorsement with the Provincial Consultative Bodies (PCB) and the IP groups identified in the minutes or in the written endorsement. Step 3: Upon the mutual satisfaction of the World Bank and the NCIP that indeed consultation was done free from coercion or manipulation, proper disclosure was made, and that the endorsement was voluntarily given, and those endorsing represented the IP community, the World Bank Safeguards Officer issues a No Objection Letter (NOL). The No Objection Letter (NOL) does not exempt the proponent from securing the necessary Certification Precondition and other government permits. It only shows that project has observed World Bank Social Safeguard policies. 135 Since these are projects voluntarily endorsed by IPs, the written endorsement combined with any other agreements forged by the proponent with the affected IP community (i.e. regarding compensation and entitlements other than those provided in the LARRP) shall serve as the IPAP. The World Bank Social Safeguards Officer shall examine the equivalency of the documents w ensure that proper mechanisms are in place to ensure that gender equity, transparency, participation, and accountability are observed in the determination, distribution, and use of the entitlements and benefits and in the implementation of the mitigating measures. If as result of the validation process, it was found that the IPs have not been sufficiently consulted or if the endorsements are lacking (other IP groups have not been part of the process), the proponent will undertake public consultations. A Guideline for public participation module is found in this Social and Environmental Operations Manual. No Endorsement or No FPIC Scenarios It may happen that IPs may not want to give an outright endorsement but are open nonetheless to supporting the project. The following process is suggested. Step 1: If the Provincial Consultative Bodies (PCBs) fail to give an endorsement and requires separate consultations with the different IP groups, the project proponent with the NCIP conducts consultations with the different IP groups. A World Bank representative attends these consultations to ensure that disclosure is made, that the process is free from coercion and manipulation, and that the different sectors in the community are adequately represented. Step 2: If voluntary endorsement is obtained through these consultations, the project proponent submits the detailed report on the consultations and the written endorsement (or Resolution of Consent) and other agreements reached between the IPs and the proponent. Satisfied that the Bank’s safeguard policies have been observed, the Bank issues a No Objection Letter (NOL). The No Objection Letter (NOL) does not exempt the proponent from securing the necessary Certification Precondition and other government permits. It only shows that project has observed World Bank Social Safeguard policies. Since these are projects voluntarily endorsed by IPs, the written endorsement combined with any other agreements forged by the proponent with the affected IP community (i.e. regarding compensation and entitlements other than those provided in the LARRP) shall serve as the IPAP. The World Bank Social Safeguards Officer shall examine the equivalency of the documents w ensure that proper mechanisms are in place to ensure that gender equity, transparency, participation, and accountability are observed in the determination, distribution, and use of the entitlements and benefits and in the implementation of the mitigating measures. 136 In the event, that no endorsement or FPIC is obtained despite the consultations, the following process will be followed. Step 1: The proponent submits the Resolution of Non-Consent (RNC) to the World Bank Social Safeguards Officer, who will ascertain if all means have been exhausted to obtain voluntary endorsement or FPIC for the project. Step 2: The DPWH can invoke the power of eminent domain provided for in Section 7c of the Indigenous Peoples’ Rights Step 3: The proponent draws up an IPAP and submits this to the World Bank. If expropriation proceedings have to be initiated, proceed to Step 4. If no expropriation proceed to Step 6. Step 4: Refer to Section 2.12 Expropriation Proceedings (IROW Manual, 2003). Step 5: Once the Regional Trial Court issues a Writ of Possession, the proponent submits a copy of the Writ of Possession to World Bank Social Safeguards. Step 6: The World Bank Social Safeguards Officer examines the IPAP and, as the case may be, the Writ of Possession. Satisfied that the Bank’s safeguard policies have been observed, she issues a No Objection Letter (NOL). 137 SEMS PF October 23, 2014 Page 138 Summary of Impact and Corresponding Safeguard Instruments Location of Impact Relocation Site and Guiding Framework Safeguard Instrument Affected IPs Magnitude of Affected Families to be relocated Inside Without Not Applicable (NA) FPIC Guidelines of 2006 and/or possible MOA = IPAP Ancestral Resettlement MOA between the DPWH and the NCIP Domain For compensation and entitlements, Chapter II and III of the LARRP With Inside FPIC Guidelines of 2006 and/or possible MOA=IPAP Resettlement MOA between the DPWH and NCIP For compensation and entitlements, Chapter II and III of the LARRP Outside Ancestral FPIC Guidelines of 2006 and/or possible MOA=IPAP Domain MOA between the DPWH and NCIP For compensation and entitlements, Chapter II and III of the LARRP For those remaining Mixed: Some IPs FPIC Guidelines of 2006 and/or possible inside the Ancestral Domain: resettled outside MOA between the DPWH and the NCIP MOA=IPAP; ancestral domain; others For compensation and entitlements, For those resettled remain inside Chapter II and III of the LARRP outside the Ancestral Domain: Depending on magnitude, either a stand-alone IPAP or a special chapter in the RAP 138 SEMS PF October 23, 2014 Page 139 o Location f Impact Relocation Site and Guiding Framework IP Instrument Affected IPs Magnitude of Affected Families to be relocated Outside With Whole Community LARRP IPAP Ancestral Resettlement or a Large Portion Governed by possible MOA Domain of the Community between the DPWH and NCIP Explore option to resettle in their place of origin. If the identified receiving area were an ancestral domain, Free and Prior Informed Consent should be obtained from the hosting IP FPI community. C and/ Guidelines of 2006 or possible MOA between the DPWH and NCIP shall apply. For compensation and entitlements, Chapter II and III of the LARRP A Few Families but Explore option to resettle in IPAP to majority of the IP the immediate vicinity of the cover both Community IP community PAFs to be remains. resettled and For compensation and the IP entitlements, Chapter II and community III of the LARRP that remains. Without Not Applicable For compensation and Depending on 139 SEMS PF October 23, 2014 Page 140 Resettlement entitlements, Chapter II and the number of III of the LARRP IP PAFs, either a stand-alone IPAP will be drafted or a special IP Section in the Abbreviated RAP. o o Outside f With Whole Community r FPIC Guidelines of 2006 MOA=IPAP Ancestral Without or a Portion Domain Resettlement For compensation and h a v IPs who e entitlements, Chapter II and resettl been ed III of the LARRP in lands of the public domain 140 SEMS PF October 23, 2014 Page 141 9.14 I N S T I T U T I O N A L A R R A N G E M E N T S a) The Project Implementation Office or the Project Management Office (PMO) shall be responsible over-all for implementing the project. In coordination with relevant agencies, the PMO shall manage and supervise the project, including resettlement activities and land acquisition. It shall ensure that funds for the timely implementation of the RAP are available and that expenses are properly accounted for. The PMO shall be assisted by ESSD (formerly EIAPO per D.O. # 58 dated May 21, 2004) in providing technical guidance and support in the implementation of the RAP. b) Environmental and Social Services Division (ESSD) ESSO shall provide technical guidance and support in the implementation of the RAP and will be responsible for the following resettlement activities: a) overall preparation and planning of the RAP; b) submit RAP budget plans (to include compensation, relocation costs, operations) for approval and allocation of needed resources by the DPWH central office; c) in accordance with the Department’s resettlement policies, guide the District Engineering Offices and the Regional Offices in their tasks, such as the verification of PAFs, final inventory of affected assets, and information dissemination; d) amend or complement the RAP in case problems are identified during the internal and/or external monitoring of its implementation; e) in collaboration with its counterpart in the Region, follow-up with the DPWH Regional Office the processing of compensation claims of PAFs; f) in collaboration with PMO, monitor the actual payment of compensation to PAFs; and, g) in collaboration with its regional counterpart, prepare periodic supervision and monitoring reports on RAP implementation for submission to the PMO and the Bank. h) c) District Engineering Offices As the major implementer of this undertaking, shall act as the Technical Coordinator and shall: a) oversee the staking-out, verification and valid b) conduct inventories of properties that will be affected; c) approve disbursement vouchers/payments; d) submit reports on disbursements and payments to PAFs to the Regional Office and the PMO; and e) submit Monthly Progress Reports to ESSD, the Regional Offices 141 SEMS PF October 23, 2014 Page 142 and the PMO. The DEO will also be a member of the Resettlement Implementation Committee (RIC) and will actively participate in its functions. d) Regional Offices The Regional Office shall act as the Liaison between ESSO and the District Office and shall ensure that the RAP is implemented as planned. Its specific activities are: monitor the RAP implementation and fund disbursement; b) submit the monthly progress reports to ESSO, c) monitor payments to PAFs. The RO will also address grievances filed at its office by the PAFs for speedy resolution. e) Resettlement Implementation Committee (RIC) – shall be composed of representatives from the Regional Office and District Engineering Office, the City/Municipality, affected barangays, and PAFs/PAPs. Its functions are: i. Assist the DPWH staff engaged in LARP activities in (a) validating the list of AFs; (b) validating the assets of the PAFs that will be affected by the project (using a prepared compensation form); and (c) monitoring and implementing the LARP; ii. Assist the DPWH staff engaged in the LARP activities in the public information campaign, public participation and consultation; iii. Assist DPWH in the payment of compensation to PAFs; iv. Receive complaints and grievances from PAFs and other stakeholders and act accordingly; v. Maintain a record of all public meetings, complaints, and actions taken to address complaints and grievances; and vi. In coordination with concerned government authorities, assist in the enforcement of laws/ordinances regarding encroachment into the project site or Right-of –Way (ROW). The MRIC shall be formed through Memorandum of Understanding (MOU) between DPWH and the concerned local government unit. Please refer to MOU (Template). 9.14.1 L E G A L /L A N D A C Q U I S I T I O N A N D V AL U A T I O N U N I T Land acquisition procedures and valuation is a long and tedious process involving legal issues and requirement. This Unit will be responsible for identifying legal owners of land and will conduct negotiated agreement and sales with affected households. The preparation of inventory of land, cadastral mapping and contract for lease of land for the project will be undertaken by this unit. A civil lawyer will be assigned under this Unit to handle cases of grievances and requiring legal action. 142 SEMS PF October 23, 2014 Page 143 9.14.2 L I V E L I H O O D /S P E C I AL P R O J E C T U N I T A Unit on Special Project shall orchestrate all matters related to livelihood development, capacity building and training. This Unit is basically responsible to coordinate with various institutions for capacity building, skills training and project development to enhance productive capacities of PAPs 9.14.3 L O C AL A D M I N I S T R A T I V E A U T H O R I T I E S The concerned local administrative authorities play a very important role in the planning and implementation of resettlement-related activities. The following services and support of local authorities shall be tapped to assist in the resettlement activities. National Mapping and Resource Information Authority (NAMRIA) – provides base maps, aerial photographs and other cartographic materials needed for the inventory; City/Municipal Assessor’s Office – provides tax map and listing of all properties with their corresponding market values and/or assessed values located in their respective city/municipality. City/Municipal Social Welfare Development Office – provides assistance on social services, income generating projects (SEA-K), educational support for youth and program for elderly. City/Municipal Health Office – provides nutritional and health services; City/Municipal Agrarian Reform Office/DAR – responsible for technical input on agricultural related activities; provides data on lands covered by the Comprehensive Agrarian Reform Program (CARP). City/Municipal Agriculture Office/DA – responsible for agricultural activity, farm land, extension program Municipal Environment and Natural Resources Office - responsible for the provision and guidance on environment conservation and forest management. 9.14.4 PROJECT SUPERVISION CONSULTANTS The project supervision consultants will include one Resettlement Specialist and one community Development/Livelihood Specialist on an intermittent basis to assist and 143 SEMS PF October 23, 2014 Page 144 supervise all social and resettlement-related activities. Their responsibilities include the following: ï‚· Work closely with the RIC, local authorities and resettlement committees at all levels on all resettlement-related activities; ï‚· Assist in the conduct of the information campaigns and community participation; ï‚· Assist in the verification of census, inventory of losses and detailed measurement survey activities; ï‚· Check the accuracy of the DP database prepared and provide improvements if necessary; ï‚· Assist and improve, if necessary, procedures for the coordination of resettlement and compensation activities; ï‚· Ensure that grievances are addressed promptly and properly; 9.15 M O N I T O R I N G A N D E V A L U AT I O N 9.15.1 OBJECTIVE The main objective of monitoring the implementation of the Resettlement Action Plans (RAPs) is to determine whether or not these RAPs are being carried out in accordance with the Resettlement Policy. It involves the monitoring of land acquisition, payment of compensation for lost assets and resettlement of persons severely affected by the project. 9.15.2 SCOPE The RAPs to be prepared, implemented and monitored, shall cover all the items mentioned in the RAP outline including but not limited to the identification and compensation for the affected Structures and Other Improvements, and land that will have to be taken for right of way. 9.15.3 MONITORING MECHANISM A. Supervision And Internal Monitoring The Environmental and Social Services Division (ESSD) shall conduct the supervision and in-house monitoring of implementation of the RAPs, and will be alternately called the Internal Monitoring Agent (IMA). The tasks of the Internal Monitoring Agent are to: ï‚· Regularly supervise and monitor the implementation of the RAPs in coordination with the concerned District Engineering Office (DEO), Regional 144 SEMS PF October 23, 2014 Page 145 Office (RO), and the Resettlement Implementation Committee (RIC). The findings will be documented in the quarterly report to be submitted to the PMO, which in turn will submit the report to the Bank.  ï‚· Verify that the re-inventory baseline information of all PAFs has been carried out and that the valuation of assets lost or damaged, the provision of compensation and other entitlements, and relocation, if any, has been carried out in accordance with the RPAP Policy and the respective RAP Reports.  ï‚· Ensure that the RAPs are implemented as designed and planned.  ï‚· Verify that funds for implementing the RAPs are provided by the PMO in a timely manner and in amounts sufficient for the purpose.  ï‚· Record all grievances and their resolution and ensure that complaints are dealt with promptly.  The range of activities and issues that need to be recorded and verified shall include: ï‚· Compensation, allowance payments and delivery of assistance measures; ï‚· Re-establishment of PAPS settlements and business enterprises; ï‚· Reaction of PAPs, in particular, to resettlement and compensation packages; and ï‚· Re-establishment of income levels. B. External Monitoring and Evaluation An External Monitoring Agent (EMA) will be commissioned by the DPWH, PMO to undertake independent external monitoring and evaluation. The EMA for the Project will be either a qualified individual or a consultancy firm with qualified and experienced staff. The Terms of Reference of the engagement of the EMA shall be prepared by the DPWH and shall be acceptable to the Bank prior to the engagement. The tasks of the EMA shall be the following: ï‚· Verify results of internal monitoring ï‚· Verify and assess the results of the information campaign for PAFs rights and entitlements; ï‚· Verify that the compensation process has been carried out with the procedures communicated with the PAFs during the consultations; ï‚· Assess whether resettlement objectives have been met; specifically, whether livelihoods and living standards have been restored or enhanced; ï‚· Assess resettlement efficiency, effectiveness, impact and sustainability, drawing lessons as a guide to future resettlement policy making and planning; Ascertain whether the resettlement entitlements were appropriate to meet the 145 SEMS PF October 23, 2014 Page 146 objectives, and whether the objectives were suited to PAF conditions; ï‚· Suggest modification in the implementation procedures of the RAPs, if necessary, to achieve the principles and objectives of the Resettlement Policy. ï‚· Review on how compensation rates were evaluated; and ï‚· Review of the handling of compliance and grievances cases. 9.15.4 STAGES AND FREQUENCY OF MONITORING The stages and monitoring frequency of the contract packages by the IMA and EMA as follows: ï‚· Compliance Monitoring This is the first activity that both IMA and EMA shall undertake to determine whether or not the RAPs were carried out as planned and according to the RPAP Policy. The EMA will submit an Inception Report and Compliance Monitoring Report one month after receipt of Notice to Proceed for the engagement. The engagement of the EMA shall be scheduled to meet RPAP implementation activities at least one (1) month prior to the start of civil works. ï‚· Semi-Annual Monitoring The EMA will be required to conduct a monthly monitoring of RPAP implementation activities. ï‚· Final Evaluation Final evaluation of the implementation of the RPAP will be conducted three months after the completion of payments of compensation to PPAPs. ï‚· Post- Evaluation This activity will be undertaken a year after the completion of the project, to determine whether the social and economic conditions of the PAFs after the implementation of the project have improved. 9.15.5 S C H E D U L E O F I M P L E M E N T A T I O N O F R APS A N D M O N I T O R I N G The PMO in coordination with the ESSO shall establish a schedule for the implementation of RAPs and the required monitoring taking into account the project’s i schedule. It is expected that one month prior to the start of the civil works, all RPAP activities have been determined by the IMA and EMA as already concluded. 146 SEMS PF October 23, 2014 Page 147 9.15.6 REPORTING The EMA is accountable to the PMO and reports to the ESSO. The PMO submits copy of EMA and IMA Reports to the Bank. 9.15.7 MONITORING INDICATORS FOR THE IMA Monitorin g Basis for Indicators Indicators 1. Budget and ï?±ï€ Have all land acquisition and resettlement staff been appointed and mobilized for timeframe the field and office work on schedule? ï?±ï€ Have capacity building and training activities been completed on schedule? ï?±ï€ Are resettlement implementation activities being achieved against the agreed implementation plan? ï?±ï€ Are funds for resettlement being allocated to resettlement agencies on time? ï?±ï€ Have resettlement offices received the scheduled funds? ï?±ï€ Have funds been disbursed according to the RPAP? ï?±ï€ Has the social preparation phase taken place as scheduled? ï?±ï€ Has all land been acquired and occupied in time for project implementation? Deliver 2. y of ï?±ï€ Have all AFs received entitlements according to numbers and categories of loss Compensation set out in the entitlement matrix? and Entitlements ï?±ï€ Have AFs received payments for affected structures and lands on time? ï?±ï€ Have AFs losing from temporary land borrow been compensated? ï?±ï€ Have all received the agreed transport costs, relocation costs, income substitution support and any resettlement allowances, according to schedule? ï?±ï€ Have all replacement land plots or contracts been provided? Was the land developed as specified? Are measures in train to provide land titles to PAFs? ï?±ï€ How many PAFs opted to donate their land to the government? ï?±ï€ How many PAFs did not receive payment because their title is covered by the provisions of Sec. 112 of CA 141? ï?±ï€ How many PAFs opted to donate their lands to the government? ï?±ï€ How many landholdings were subjected to quit claim? Easement? ï?±ï€ How many PAFs accepted the first offer at zonal valuation? ï?±ï€ How many PAFs rejected the first offer and accepted the second offer? ï?±ï€ How many PAFs resorted to expropriation? ï?±ï€ How many PAF households have received land titles? ï?±ï€ How many PAFs have received housing as per relocation options in the RPAP? ï?±ï€ Does house quality meet the standards agreed? ï?±ï€ Have relocation sites been selected and developed as per agreed standards? ï?±ï€ Are the PAFs occupying the new houses? ï?±ï€ Are assistance measures being implemented as planned for host communities? ï?±ï€ Is restoration proceeding for social infrastructure and services? ï?±ï€ Are the PAFs able to access schools, health services, cultural sites and activities 147 SEMS PF October 23, 2014 Page 148 at the level of accessibility prior to resettlement? ï?±ï€ Are income and livelihood restoration activities being implemented as set out in income restoration For example utilizing replacement Plan? land, commencement of production, numbers of PAFs trained and provided with jobs, micro-credit disbursed, number of income generating activities assisted? ï?±ï€ Have affected businesses received entitlements including transfer and payments for net losses resulting from lost business and stoppage of production? 3. Public ï?±ï€ Have consultations taken place as scheduled including meetings, groups, and Participation community activities? Have appropriate resettlement leaflets been and prepared and Consultation distributed? ï?±ï€ How many PAFs know their entitlements? How many know if they have been received? ï?±ï€ Have any PAFs used the grievance redress procedures? What were the outcomes? ï?±ï€ Have conflicts been resolved? ï?±ï€ Was the social preparation phase implemented? ï?±ï€ Were special measures for indigenous peoples implemented? 4. Benefit ï?±ï€ What changes have occurred in patterns of occupation, production and resources Monitoring use compared to the pre-project situation? ï?±ï€ What changes have occurred in income and expenditure patterns compared to pre-project situation? What have been the changes in cost of living compared to pre-project situation? Have PAFs’ in ï?±ï€ What changes have taken place in key social and cultural parameters relating to living standards? ï?±ï€ What changes have occurred for vulnerable groups? G.2 FOR THE EMA Monitoring Basis for Indicators Indicators 1. Basic ï?±ï€ Location information on ï?±ï€ Composition and structures, ages, education and skill levels PAP households ï?±ï€ Gender of household head ï?±ï€ Ethnic group ï?±ï€ Access to health, education, utilities and other social services ï?±ï€ Housing type ï?±ï€ Land use and other resource ownership patterns ï?±ï€ Occupation and employment patterns ï?±ï€ Income sources and levels ï?±ï€ Agricultural production data (for rural households) ï?±ï€ Participation in neighborhood or community groups ï?±ï€ Access to cultural sites and events ï?±ï€ Value of all assets forming entitlements and resettlement entitlements 2. Restoration of ï?±ï€ Were house compensation payments made free of depreciation, fees or transfer living standards costs to the PPAP? ï?±ï€ Have PAFs adopted the housing options developed? ï?±ï€ Have perceptions of “communityâ€? b 148 SEMS PF October 23, 2014 Page 149 ï?±ï€ Have PAFs achieved replacement of key social cultural elements? ï?±ï€ Were compensation payments free of deduction for depreciation, fees or transfer 3. Restoration of costs to the PPAP? Livelihoods ï?±ï€ Were compensation payments sufficient to replace lost assets? ï?±ï€ Was sufficient replacement land available of suitable standard? ï?±ï€ Did transfer and relocation payments cover these costs? ï?±ï€ Did income substitution allow for re-establishment of enterprises and production? ï?±ï€ Have enterprises affected received sufficient assistance to re-establish themselves? ï?±ï€ Have vulnerable groups been provided income-earning opportunities? Are these effective and sustainable? ï?±ï€ Do jobs provided restore pre-project income levels and living standards? 4. Levels of ï?±ï€ How much do AFs know about resettlement procedures and entitlements? Do PAP PAFs know their entitlements? Satisfaction ï?±ï€ Do they know if these have been met? ï?±ï€ How do PAFs assess the extent to which their own living standards and livelihood been restored? ï?±ï€ How much do PAFs know about grievance procedures and conflict resolution procedures? How satisfied are those who have used said mechanisms. 5. Effectiveness ï?±ï€ Were the PAFs and their assets correctly enumerated? of Resettlement ï?±ï€ Was any land speculators assisted? Planning ï?±ï€ Was the time frame and budget sufficient to meet objectives? ï?±ï€ Were entitlements too generous? ï?±ï€ Were vulnerable groups identified and assisted? ï?±ï€ How did resettlement implementors deal with unforeseen problems? 6. Other Impacts ï?±ï€ Were there unintended environmental impacts? ï?±ï€ Were there unintended impacts on employment or incomes? 9.15.8 INSTITUTIONAL AR R A N G E M E N T FOR THE EXTERNAL MONITORING FUNCTIONS The External Monitoring Agent (EMA) shall be an independent agent or firm responsible for the monitoring of the implementation of the RAPs under this project. The Project Management Office (PMO) is responsible for the engagement of the EMA; ensures that funds are available for the monitoring activities both for the EMA and IMA; and submits EMA’s and IMA’s Monitoring Report. The Environmental and Social Services Division (ESSD) act as the Internal Monitoring Agent (IMA) responsible for the monitoring and evaluation of implementation of the RAPs. The ESSD shall provide the EMA copies of RAPs and other related documents of the monitoring activities. 149 SEMS PF October 23, 2014 Page 150 9.15.9 RESULTS OF THE PUBLIC CONSULTATIONS CONDUCTED. The EMA shall include during the monitoring, the results of the disclosure of the RAP to the PAPs during the public consultation conducted for each project contract packages. 150 SEMS PF October 23, 2014 Page 151 References Carl Bro International, 2000. Environmental Impact Assessment Management Guideline. Environmental Impact Assessment Project Office, Department of Public Works and Highways. Environmental Management Bureau, 1994. Air Quality Monitoring Manual. Department of Environment and Natural Resources, Quezon City. Environmental Management Bureau, 1994. Water Quality Monitoring Manual. Department of Environment and Natural Resources, Quezon City. Environmental Management Bureau, 1998. Procedural Manual for DENR Administrative Order No. 37, Series of 1996. Department of Environment and Natural Resources, Quezon City. U. S. Environmental Protection Agency, 1994. Quality Assurance Handbook for Air Pollution Measurement Systems: Volume II, Part 1: Ambient Air Quality Monitoring Program Quality System Development). EPA Publication No. 600/R-94/038a. Office of Research and Development, Washington DC. 151 SEMS PF October 23, 2014 Page 152 ANNEXES 152 SEMS PF October 23, 2014 Page 153 ANNEX 1 List of Negative Sub-project Attributes This negative list has been compiled to exclude certain activities that are not eligible under this project, if found meeting the following criteria: (i) high environmental risk; (ii) create impacts that require more sophisticated planning and preparation of mitigation measures; (iii) require technical complexities and requirements that would go beyond the capacity normally available in-country; (vi) implementation and completion of the subproject would go beyond the two year duration of the restructured project; and (vi) are not aligned with public interests or do not benefit common goods or public services. Applying the above criteria, the following is a negative list of activities under the sub- project: ï‚· Activities in highly vulnerable areas prone to natural calamities and located along natural river/coastal embankments and easements, floodplains, steep slopes, and other areas identified by government as “No built zonesâ€? ï‚· Sourcing materials for construction such as gravel and sand, from illegal quarries and sites which do not comply with the guidelines of the Government of the Philippines; ï‚· Activities involving the use of fuel wood, including trees and bush; ï‚· Activities involving the use of hazardous substances compounds which are toxic, explosive, flammable etc.); ï‚· Repair of facilities storing hazardous substances (e.g. fuel depots), except simple clearing of debris or landslide materials on access roads and perimeters; ï‚· Any “salvage loggingâ€? operations (which might be undertaken as a result of storm damage to forests); ï‚· Construction of new, or substantial expansion of existing flood protection works, especially when this involves the conversion of floodplains or riverine forests; ï‚· Bulk purchase of fuel, lubricants, pesticides, herbicides or other hazardous substances; ï‚· Any activity in a sensitive or protected area or natural habitat as defined by Philippine regulations and WB OP 4.04 Natural Habitats except the removal of debris and the repair of pre-existing infrastructure, e.g. access roads or park ranger buildings. 153 SEMS PF October 23, 2014 Page 154 ANNEX 2 Safeguards Screening Checklist This Form is to be used by the Project Management Office (PMO) in screening proposed subprojects. 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 WB. ----------------------------------------------------------------------------------------------------------------- Name of Subproject: Location: I. Subproject Screening: a. 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, contact PMO to conduct screening. II. Site Assessment: a. When considering the location of a subproject, rate the sensitivity of the proposed site in the following table according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable. They do indicate a real risk of causing undesirable adverse environmental and social effects, and that more substantial environmental and/or social planning may be required to adequately avoid, mitigate or manage potential effects. Issues Site Sensitivity Criteria Rating Low Medium High (L/M/H) 1. Natural No natural No critical natural Critical natural Habitats habitats present habitats or other habitats of any kind natural habitats present. (terrestrial or occur. Within aquatic). Site is declared sparsely protected vegetated and areas or existing known to have vegetation is high commonly found conservation throughout the value because area. of the presence of highly endangered species. 2. Water Available water is Medium intensity Intensive water quality and sufficient for of water use; use; multiple 154 SEMS PF October 23, 2014 Page 155 water existing demand; multiple water water users; resource low intensity of users; water potential for availability water use; quality issues are conflicts is potential water important. high; water and use use conflicts quality issues expected to be are important. low; no potential water quality issues. 3. Natural Flat terrain; no Mountainous Medium slopes; hazards potential some terrain; steep erosion vulnerability, stability/erosion potential; slopes; problems; no medium unstable soils; risks floods, soil known from high erosion stability/eros volcanic/seismic/ potential; volcanic/seismic ion flood risks. volcanic flood/typhoons. seismic or flood risks. 4. Physical No known or Suspected Known Cultural suspected cultural heritage heritage sites Property physical cultural sites; known in subproject heritage sites heritage sites in area. (churches, broader area of archaeologi influence cal sites, historical structures, sacred grounds) 5. Involuntary Low population Medium High Resettlemen density; dispersed population population t population; legal density; density; major mixed tenure is well ownership towns and and defined. villages; land tenure. low income families and/or illegal ownership of land; communal properties. 6. Indigenous No indigenous Dispersed and Indigenous Peoples population. mixed territories indigenous (CADT), populations; reserves and highly /or lands; acculturated vulnerable indigenous indigenous populations. populations. III. Areas for Potential Environmental and Social Impact: Yes No 155 SEMS PF October 23, 2014 Page 156 A. Environment - Will the subproject: 1 Risk the contamination or access to drinking water or food supply 2 Cause poor water drainage, increase flooding and heighten the risk of vector-borne diseases such as malaria or dengue 3 Harvest or exploit a significant amount of natural resources such as trees, gravel, sand, wood for fuel or water? (e.g. use of illegal quarries) 4 Be located within or nearby environmentally sensitive areas, protected areas (e.g. intact natural forests, mangroves, wetlands or threatened species?) or key biodiversity areas? 5 Create a risk of increased soil degradation, erosion or landslide? 6 Create a risk of increasing soil salinity, salt intrusion or loss in soil productivity? 7 Produce, or increase the production of solid wastes (e.g. water, medical/healthcare, domestic or construction wastes)? 8 Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), groundwater (e.g. wells), or community pools? 9 Result in the production of solid or liquid waste, or result in an increase in waste production, during construction or operation? If the answer to any question from 1-9 is “Yesâ€?, please include an Environmental and Social Management Plan (EMP) with the subproject application. B. Land Acquisition and Access to Resources - Will the subproject: 10 Require that land (public or private) be acquired (temporarily or permanently) for its development? 11 Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing, forests) 12 Displace individuals, families, or businesses? Have any individuals, families, businesses been displaced up to 2 years prior to subproject enrolment? 13 Result in the temporary or permanent loss of crops, fruit trees or household infrastructure such as crop storage facilities, outside toilets and kitchens 14 Result in the involuntary restriction of access by people to legally designated parks and protected areas? 156 SEMS PF October 23, 2014 Page 157 If the answer to any of the questions 10 -14 is “Yesâ€?, please prepare appropriate documents required under the Resettlement and Compensation Framework. Indigenous Peoples - Will the subproject: 15 Require land used by IPs for productive (food gathering, gardening, farming, pasture, fishing, forests) and/or cultural purposes (sacred ground, place of rites, etc.)? 16 Cover areas covered by a Certificate of Ancestral Domain Title or existing claim to one? 17 Affect IPs in the project area (positive or negative)? 18 Have a significant area that overlaps with the boundaries where IPs have a collective attachment to? 19 Have IPs as among the potential beneficiaries of the subproject? If the answer to any of the questions 15-19 is “Yesâ€?, please prepare IP Plan required under the Indigenous Peoples Framework. IV. Categorization of Subproject: In general these are the criteria for categorization of the project activities: Category A The activity is likely to have significant adverse environmental and social impacts that are sensitive, diverse, or unprecedented. ï‚· Site sensitivity rating above are mostly high, e.g. 4 out of 6; ï‚· Potential social and environmental impacts are mostly positive, e.g. 16 out of 19; ï‚· Scope of impacts is large in terms of area; and ï‚· Impacts are difficult or to mitigate. 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 those of Category A subprojects. These impacts are site- specific. Few if any of them are irreversible and in most cases, mitigation measures can be designed more readily than for Category A subprojects. ï‚· One or two site sensitivity ratings are medium or high; ï‚· Three to four potential social and environmental impacts are identified in Section III of this annex; and ï‚· Most bridge and road construction activities will fall under this category. 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. 157 SEMS PF October 23, 2014 Page 158 The proper categorization is left to the judgment of the PMO considering the guidelines above. The final objective of the categorization is to ensure that all social and environmental impacts are avoided, minimized or properly mitigated. 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. SEMP, RAP), if any, will be adequate to avoid or minimize all adverse environmental and social impacts. Person who conducted the screening: Signature: ______________________ Date: __________________ PMO team representative: Signature: ______________________ Date: __________________ 158 SEMS PF October 23, 2014 Page 159 Annex 3: Land Acquisition and Resettlement Procedures Figure 1: Inquiry Tree for Land Acquisition and Resettlement Step 1: Will the project require land? Yes No Stop Step 2: Who owns the land? Government Private IPs Proceed to IP Process Step 3: Are there structures and improvements on the land? Yes No Step 4: Who owns these structures and improvements? Proceed to Step 6 Owner/User User/Occupant with User/Occupant Permission without permission (renter) (informal settlers) IP Community? Yes No Proceed to IP Process Step 5: What are the uses of these structures and improvements? (There can be several) (i)Agriculture and Aquaculture; (ii)Residential; (iii) Office; (iv) Commercial;(v) Industrial; (vi)Public; (vii)Community; (viii)Recreational/Cultural; (ix) Utilities Step 6: What is the extent of asset (land, structures and improvements) taking? (i)Severe and permanent; (ii)severe and temporary; (iii) minor and permanent; (iv) minor and temporary; (v) restrictions of access and uses Step 7: How many are affected in each of the above category? 159 SEMS PF October 23, 2014 Page 160 Step 8: What are the types of livelihoods or incomes which will affected and the number of people affected? (Check all that applies) (i) wage or salary based; (ii) enterprise-based; (iii) rental of assets LARR Procedures Land is necessary for (i) the infrastructure to be designed under NRIMP 2; (ii) resettlement site for those to be physically or economically displaced as a result of the infrastructure in (i); (iii) the construction limit, temporary facility to host the displaced, detour roads and the like. The impact of the first two (i) and (ii) are permanent while the third (iii) is temporary. The following procedure will be followed. When land is required, the design consultant with the LGU will prepare a Resettlement Plan. This is (The outline of the Resettlement Plan is found in Appendix 1). The design consultant and the LGU will undertake the following activities: 1. Consultation and Establishment of Grievance Mechanism. Undertake consultation to inform the people on the presence, purposes, and activities that the design team will do. The procedures for the conduct of the different activities will also be disclosed as well as the roles of the different parties and the nature of participation of the affected community. The design consultants and LGU will follow a code of conduct for their work. At this first consultation, the LGU and the design consultant will establish a grievance mechanism to hold LGU personnel and the design consultants accountable to this code of conduct. 2. Land Investigation: Identify all interests on the land, including but not limited to ownership of the land, rental arrangements, tenancy, stewardship, homestead, free patents, management arrangements, rights by marriage or co-habitation, rights by succession, mortgages etc. For agricultural lands, determine if land is subject to agrarian reform. The land investigation ought to ascertain if the land. 3. Inventory of Improvements and Uses. Identify all structures and improvements on the land and all its current uses. 4. Census: Conduct a census to identify the socio-economic situation of those with interest to the land and those using or occupying the land, be they with formal permission of the owner, employed by the owner, or those occupying or using the land without permission of the owner or informal settlers. Specific attention must be paid to vulnerable groups. Vulnerable groups include but are not limited to the poor, seasonal or landless agricultural workers, widows, elderly with dependents, female headed households, differently-abled persons, and indigenous peoples; (Information to be obtained from the census is 160 SEMS PF October 23, 2014 Page 161 enumerated in Appendix 1). The end of the census will be the cut-off date for eligible persons and improvements. 5. Geodetic Survey: With the owner’s permission, conduct a physical or geodetic survey to determine boundaries and the extent of land taking per parcel or lot. 6. Inventory of Asset Losses: Conduct an inventory of losses on the affected land to determine the extent of permanent asset and/or income losses from the use of the land. Income losses cover not only losses of the owner, but also tenants, employees, and in agricultural land, seasonal farm workers. Income losses can be permanent or temporary. 7. Inventory of Income Losses. Conduct an inventory of income losses, identifying the sources of income lost and magnitude of losses. The sources of income can be: (i) wage based; (ii) rental of assets; (iii) enterprise based. 8. Impact Assessment. Activities 6 and 7 should result in an robust assessment of impacts of land acquisition. Depending on the extent of land acquisition, viability of the residual, and the necessity for physical displacement and relocation, the assessment of land acquisition can be severe or minor, temporary or permanent. 9. Identification and Assessment Resettlement Sites: If physical displacement is unavoidable, the consultant will identify potential resettlement sites and, with the environmental experts of the design team, assess the safety of the site as well as its environmental impacts. The resettlement experts on the team will conduct land investigation on the potential resettlement sites. Together, the resettlement and environmental experts will rank the different choices according to an agreed upon criteria. 10. Independent Valuation and Budgeting. The consultant will appraise and value these asset and income losses as well as all taxes and transaction costs, acquisition and development of a resettlement site, transfer costs, and other forms of transitional assistance, including administrative and operational costs plus contingency Incorporate all of these in a budget. (Valuation methods are discussed in Appendix 3). 11. Procedure for Good Faith Negotiations. The consultant will craft a procedure for good faith negotiations between the project implementer, the LGUs, and the affected landowners and the users of the land. The consultant will also identify other consultations which be conducted during implementation of the RP. 12. Implementation Arrangements and Schedule for Implementation. The consultant will craft implementation arrangements and timeline or schedule for implementation. III. Review, Approval, and Implementation Procedures 161 SEMS PF October 23, 2014 Page 162 1. Review and Clearance of the RP The design consultant will submit the RP to the DPWH, the LGU, and the World Bank who will conduct simultaneous, if not joint review of the RP. If everything is in order, the World Bank issues an NOL to the RP. The consultant will revise the RP according to the comments of the DPWH and the LGU. (The review of the RP will follow the checklist/procedure in Appendix 4.) 2. Disclosure of the RP. Upon receipt of the NOL, the LGU will disclose the RP on site and electronically on its website. The DPWH will disclose it electronically on the website. The World Bank will disclose in the RP. 3. Inclusion of the RP budget in the Budget Ordinance. Inclusion of the RP budget in the budget ordinance. The disclosure will trigger the inclusion of the resettlement budget in the budget ordinance of the LGU. 4. Passage of Ordinance and Start of Negotiations. The passage of the budget ordinance will trigger the start of negotiations with the landowners. The LGU will conduct information disclosure and consultation on the start of negotiations and resettlement implementation. 5. Execution of Conditional Deed of Sale, Quit Claim, and Pledge of Undertaking. When agreement is reached between the LGU and private landowner, the parties will execute a conditional deed of sale where the LGU will pay 80% of the agreed price including all taxes, transaction costs and all the entitlements due to the landowners. 6. Execution of Quit Claim and Pledge of Undertaking. The LGU will also pay compensation to the other affected persons identified in the RP, undertake resettlement (development, transfer, and implementation of transitional measures) (if applicable), and implement the relevant livelihood and other measures according to the RP. For renters and informal settlers, employees, after payment of compensation, they will sign a Quit Claim and Pledge of Undertaking. 7. Submission of Documents for Financing Approval by LBP and DBP. Along with the application for financing, the LGU will submit the following documents to the LBP or DBP: Bank’s NOL, proof of notices for negotiations and minutes, conditional deeds of sale, quit claims and pledge of undertaking, proof of payments to landowners and other affected persons, and progress report on resettlement implementation or documents to be submitted to the DPB and LBP for approval of financing. If the LGU is borrowing for land acquisition, some of these documents will not be required to be submitted with the financing application. 8. Certification of Satisfactory Implementation of the RP. Completion of resettlement implementation is a condition for disbursement of loan proceeds. The LGU will submit proof 162 SEMS PF October 23, 2014 Page 163 of payments and other relevant documentation. The PMU in LBP and DBP will monitor and certify the satisfactory implementation for Bank concurrence. 9. Issuance of Bank NOL. The Bank NOL is one among the conditions for the disbursement of loan proceeds or effectiveness and for NTP to be issued for civil works to proceed. 163 SEMS PF October 23, 2014 Page 164 TEMPLATES FOR PHILIPPINE EIA PROCEDURAL REQUIREMENTS ANNEX 4: PROJECT THRESHOLDS FOR COVERAGE SCREENING AND CATEGORIZATION ................................... 165 ANNEX 5: PROJECT SCREENING OF IMPACTS ............................................................................................... 168 ANNEX 6: PROFOMA REQUEST FOR SCOPING ............................................................................................... 170 ANNEX 7: TECHNICAL SCREENING CHECKLIST -EIS ...................................................................................... 171 ANNEX 8: INITIAL ENVIRONMENTAL EXAMINATION (IEE) CHECKLIST ............................................................... 188 ANNEX 9: ANNOTATED OUTLINE FOR EIA REPORTS FOR PROPOSED (NEW) SINGLE PROJECTS ...................... 206 ANNEX 10: PERCEPTION SURVEY PROTOCOL ............................................................................................... 211 ANNEX 11: SAMPLE CHAIN OF CUSTODY FORM............................................................................................. 221 ANNEX 12: COMPLETE CNC APPLICATION FORM .......................................................................................... 222 ANNEX 13: W ATER QUALITY SAMPLING REPORT TEMPLATE .......................................................................... 224 ANNEX 14: AIR QUALITY MONITORING REPORT TEMPLATE ............................................................................ 227 ANNEX 15: NOISE MONITORING DATA SHEET................................................................................................ 232 ANNEX 16: ENVIRONMENTAL MANAGEMENT PLAN ......................................................................................... 233 ANNEX 17: ENVIRONMENTAL MONITORING PLAN WITH ENVIRONMENTAL QUALITY PERFORMANCE LEVEL ........ 243 ANNEX 18: INSPECTION CHECKLIST FOR PRE-CONSTRUCTION....................................................................... 247 ANNEX 19: INSPECTION CHECKLIST FOR CONSTRUCTION PHASE ................................................................... 250 ANNEX 20: INSPECTION CHECKLIST FOR POST-CONSTRUCTION PHASE.......................................................... 255 ANNEX 21: SAMPLE FRAMEWORK FOR SOCIAL ACTION PLAN ......................................................................... 258 ANNEX 22: GENDER ACTION PLAN FRAMEWORK FOR INFRASTRUCTURE PROJECT.......................................... 261 ANNEX 23: CHECKLIST FOR SOCIAL DIMENSION ............................................................................................ 263 ANNEX 24: INDICATORS FOR GENDER........................................................................................................... 267 ANNEX 25: DPWH ENVIRONMENTAL PROTECTION CLAUSES ......................................................................... 268 164 SEMS PF October 23, 2014 Page 165 ANNEX 4: P ROJECT T HRESHOLDS FOR C OVERAGE S CREENING AND C ATEGORIZATION Projects/Description Covered (Required to Secure ECC) Not Covered (May Project Size secure ECC) parameters/Remarks Category A: Category B: Non-ECP Category D ECP EIS EIS IEE Checklist PD (Part I only) Dams (including those for irrigation, flood ≥25 hectares or >5 hectares but < ≤ 5 hectares None Reservoir flooded/ control, water source and hydropower ≥20 million m3 25 hectares OR AND ≤ 5 million inundated area or/and project/including run-of-river typw) >5 million m3 but m3 water storage < 20 million m3 capacity Water supply projects (without dams) None With water Level III source (e.g. (distribution irrigation gallery, system only) etc.) and water treatment facilities, including desalination, reverse osmosis (RO) Reclamation and other land restoration ≥25 hectares ≥ 5 hectares but <5 hectares None Area projects < 25 hectares reclaimed/restored Roads, new construction NATIONAL PROVINCIAL All types of road: ≤2 km ROAD ROAD and >2 but <20.0 km, ≥20.0 km OTHER TYPES of km (length with (length with no ROADS: no critical slope) critical slope) ≥20.0 km (length OR >2km but OR ≥10 km with no critical <10km.0 km (length with slope) OR ≥10 (length with critical slope) km (length with critical slope) critical slope) Road, widening, rehabilitation and/or None >50% increase in >50% increase in >50% increase in improvement capacity (or in capacity (or in capacity (or in terms of terms of terms of length/width) length/width) length/width) but ≤ AND ≥ 20.0 km AND >2 km but < 2 km increase in (length with no 20.0 km (length length critical slope) OR with no critical ≥ 10.0 km (length slope) OR > 2km with critical nut < 10.0 km slope) (length with critical slope) Bridges and viaducts (including elevated ≥10.0km ≥ 5km but < > 50 m but <50 ≤50m roads) new construction 10.0km km Regardless of length for footbridges or for pedestrian only Bridges and viaducts (including elevated None ≥50% increase in ≥50% increase in ≥50% increase in roads), rehabilitation and/or improvement capacity (in capacity (in capacity (in terms 165 SEMS PF October 23, 2014 Page 166 terms of terms of of length/width) but length/width) OR length/width) ≤2km increase in ≥ 10 km 1 ha but < 5 ha ≤ 1 ha Based on project area areas with critical slope (e.g. title, lease contract) Subdivision and other housing projects in None None ≥25 ha >1 ha but <25 ha Based on project area areas with flat areas (e.g. title, lease contract) Cemetery, memorial park and similar None None > 5.0 ha ≤50 ha Based on project area projects (e.g. title, lease contract) Sanitary Landfill for industrial and other None Multi-users Single-user Noen (commercial TSD wastes facilities are considered as “multi- userâ€?) Sanitary Landfill for domestic wastes only None Categories 2 to 4 Category 1 Noen Waste handling per Disposal Facility disposal facility day (categories based OR Category 1 < 15 tons on DAO 2006-10 with capacity ≥15 tons Materials Recovery Facility and Recovery None None With composting ≤3,750 MT Facility (for paper, plastics and other facilities > 3,750 (compost annual materials) MT annual production rate) or 166 SEMS PF October 23, 2014 Page 167 rated/production no composting rate facility (material segregation/sorting only) Domestic wastewater treatment facility None ≥5,000 m3 > 30 m3 but ≤30 m3 Based on system (including septage treatment facility) <5,000 m3 capacity Materials Recovery Facility using pyrolysis None ≥10.0 MT <10.0 MT None Annual or similar technology Treatment/processing capacity 167 SEMS PF October 23, 2014 Page 168 A NNEX 5: P ROJECT S CREENING O F I MPACTS Environmental and Social Impacts Indicate level of Identify mitigating project impact (and measures in corresponding EA type) project design and High– Medium- Low- in SEMP/RAP/IPP* major manage- mini- change able (EIS mal (EIS/ or IEE/ (SEMP) SEMP) SEMP) Site sensitivity Intrusion in environmentally sensitive areas or key x n/a biodiversity area (natural forest, watersheds, mangroves) Land conversion; consistency with Land Use/ Zoning x Vulnerability to natural hazards (flood/landslide/erosion x prone) Harvesting/Extraction of water, trees, minerals, gravel, sand, etc. Geology/Soils Change in surface landform /topography/terrain/slope Change in sub-surface conditions Inducement of subsidence Inducement of landslides or other natural hazards Soil Erosion Terrestrial Biology Vegetation removal; loss of productive lands, natural habitats or loss of access to parks Disturbance to natural ecosystem/ wildlife Hydrology/Hydrogeology Change in drainage flow Inducement of flooding Restriction of natural waterways Water Quality and Water Resource availability Surface- or groundwater pollution Limited access to potable water Water resource competition Waste generation Domestic sewage Solid wastes Construction debris Freshwater / Coastal / Marine Ecology Threat to aquatic plants and animals Loss of natural habitat Air Quality and Traffic congestion Air pollution / increase in greenhouse gas Traffic congestion Increase in noise Increase in vibration 168 SEMS PF October 23, 2014 Page 169 Environmental and Social Impacts Indicate level of Identify mitigating project impact (and measures in corresponding EA type) project design and High– Medium- Low- in SEMP/RAP/IPP* major manage- mini- change able (EIS mal (EIS/ or IEE/ (SEMP) SEMP) SEMP) SOCIAL IMPACTS Land acquisition and Involuntary resettlement Land acquisition Change in land ownership Displacement of property/ livelihoods Involuntary resettlement/ displacement of settlers Indigenous Peoples Presence or Impact (+ or -) Indigenous People Located in area/s covered by a Certificate of Ancestral Domain Title or existing claim to one? Require land used by IPs for productive (food gathering, gardening, farming, pasture, fishing, forests) and/or cultural purposes (sacred ground, place of rites, etc.)? Public health Effect on Community health and safety Effect on Occupational health and safety 169 SEMS PF October 23, 2014 Page 170 A NNEX 6: P ROFOMA R EQUEST FOR S COPING __________________ (Date) To (EMB DIRECTOR) ______________________ ______________________ ______________________ SUBJECT: REQUEST FOR SCOPING FOR ______________ PROJECT Dear Director ______________: (Company) would like to request for the conduct of the Scoping activity for the _____________ Project, preferably on1 ________________ to _______________ at ____________________________. We hereby submit the following documents required by EMB as basis of the Proponent’s preparedness for the Scoping activity: 1 Pro-forma Project Description for Scoping (PDS) √ Accomplished EIA Coverage and Requirements Screening 2 √ Checklist (ECRSC) Description and NAMRIA Map of Project’s Tentatively 3 √ Identified Impact Areas Preliminary List of Stakeholders and Partial List of Invitees 4 √ to the Public Scoping2 Summary Matrix of Accomplished IEC/Social Preparation 5 √ Activities with List of Issues and Proponent’s Response 6 Accomplished Scoping Checklist for the Project √ We hope our submission merits your timely and favorable action on our request. Very truly yours, ___________________________ (Company Head/Representative) _______________________________ 1 Proponent may present a tentative schedule of 3-4 day trip, say, within about 1-2 weeks after the submission of the letter-request. EMB will need time to review the documents submitted, form a Review Committee and coordinate with the Proponent for logistical arrangements for its Review Team. 2 Public Scoping not applicable to PEPRMP, EPRMP and projects entirely located in offshore/national waters outside the jurisdiction of any LGU and without any residing communities. 170 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening ANNEX 7: T ECHNICAL S CREENING C HECKLIST -EIS Date Submitted for Screening: ________________________________________ Form of Submission: ___ Hard ___ Digital Project Title: Project Location: Project Proponent: Address: Contact No: Fax No: Contact Person: EIS Consultant: Address: Contact No: Fax No: Contact Person: Project Classification and Type: ______________________________________________________ Project Classification Code (Refer to RPM for DAO 2003-30): _____________________________ Project Size based on Classification: _________________________________________________ Checklist of Documentary Requirements Acceptable? Screening Officers’ Remarks Yes No ï‚· Environmental Impact Statement (EIS)2 ï‚· Proof of Compatibility with the existing Land Use Plan ï‚· Proof of Authority over the Project Site ï‚· Accountability Statements of Preparers and Proponent (see Annexes 2-21 and 2-22 of Revised Procedural Manual for DAO 2003-30) ï‚· Photographs or plates of the project site, impact areas and affected areas and communities ï‚· Duly Accomplished Project Environmental Monitoring and Audit Prioritization Scheme (PEMAPS) Questionnaire (see Annex 2-7d of Revised Procedural Manual for DAO 2003-30) ACTION TAKEN: (Please check to indicate corresponding action taken) ï?¿ Document accepted; please submit copies EIARC Needed? ( ) Yes ( ) No Expertise Needed: Processing Fee: PhP _______ (Pay at EMB Cashier) Review Fund: Based on WFP (Pay to the duly authorized 3rd Party Review Fund Manager) ï?¿ Document not accepted O.R. No. Date NOTED BY: ___________________________ _________________________ 2 Please refer to attached checklist of EIS Contents 171 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Screening Officer Section/Division Chief EMB Regional Office Screening Office Date: 172 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Checklist of EIS Contents I. Executive Summary (maximum of 5 pages) Page Acceptable? REMARKS Contents No. Project Fact Sheet PD Summary (1 page) Process Documentation of the conduct of EIA (1 page) (EIA Team, EIA Study Schedule and Area, EIA Methodology, Public Participation) Summary of Baseline Characterization Key Environmental Impacts and Management and Monitoring Plan; and EMF and EGF Commitments (if applicable). II. I. Project Description REMARKS Items to be Described Specific Data Requirement Page Acceptable? No. 1) Project Location and a) Map showing sitio, barangay, municipality, province, region Area boundaries, vicinity, proposed buffers surrounding the area and Primary and secondary impact areas b) Geographic coordinates (shape file data) of project area (use WGS 84 datum - GPS setting) c) Rationale for selection primary and secondary impact areas d) Discuss the accessibility of the project site/area 2) Project Rationale ï‚· Cite and focus on the need for the project based on national and regional/local economic development in terms of contribution to sustainable development agenda or current development thrusts. ï‚· Describe the justification for the Project with particular reference made to the economic and social benefits, including employment and associate economic development, which the project may provide. The status of the project should be discussed in a regional and national context. 3) Project Alternatives a) Cite criteria used in determining preliminary options for facility siting, development design, process/technology selection, resource utilization including discussion of the consequences of not proceeding with the project: ï‚· Contextualize site selection in terms of vulnerability/susceptibility to Liquefaction, Ground Shaking, Ground Rupture, Earthquake induced Landslides, Volcanic eruptions, rain-induced landslide, storm surge, tsunami, and flooding as well as extreme climatologic conditions (data can be obtained from NDRRMC and NAMRIA as well as mandated agencies) ï‚· Discuss the alternatives (type and location) considered and nominated during the course of selecting the best option for which the EIS is prepared; ï‚· Description of the bases upon which the alternatives were rejected in favor of the preferred option; ï‚· Description of the significant differences in environmental impacts among the alternatives considered. Siting: Alternative project locations including factors significant to the selection such as perception of affected communities with regards to project, ancestral domain issues, land classification, etc. Discuss other options on the siting of major components of the project within the project area. Technology Selection/Operation Processes: Discuss project’s advantage over alternative technologies, operation processes and engineering design Discuss alternative measures for the prevention of the occurrence of major impacts Resources: Discuss the alternatives considered in the course of selecting the resource to be tapped for power generation and how the 173 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening decisions were made in favor of the preferred resource. Discuss the sustainability of the raw materials to be tapped and transportation plan of raw materials b) Reasons for selecting the preferred options delineated in terms of technical, commercial, social and natural environmental aspects c.)After the determination, please indicate a summary of the comparative environmental impacts of each alternative ï‚· Identification of Major components (including technical details such as specifications, capacity, number, etc.) 4) Project ï‚· Specify the operations and process Components ï‚· Identification of other Support Facilities (i.e. energy/power generating facility, water supply system) ï‚· Identification of materials/product handling facilities, infrastructure requirements (transport—road/rail/ship, energy, water supply and storage, storm water drainage, Sewerage, Telecommunications, accommodation and other infrastructure), ï‚· Identification of Pollution control devices and corresponding facility being served or connected Identification of waste management facilities and devices to address solid waste materials (domestic and hazardous and chemicals) air emissions, solid waste disposal, and wastewater ï‚· General layout of facilities; ï‚· Footprint of proposed layout of project facilities (if any) ï‚· Maps should be provided showing the precise location of the project area, and in particular, the location and boundaries of project area, location and footprint of project components, and location of all proposed buffers. ï‚· When applicable contextualize using the PAG-ASA 2020 and 2050 projected rainfall/temperature data. 5) Process/ Technology Indicative process flow-sheets showing material balances for the processing plant, and the anticipated rates of inputs, along with similar data on products, wastes and recycle streams Power and water supply system ï‚· Waste Management Systems (e.g. wastewater treatment facility, baghouse filter, desulfurizer, other air pollution control devices, etc.) 6) Project Size Daily/Monthly/Annual production rate (refer to annex 2-1b) Total Project Area in sqm. or hectares 7) Development Plan, Description of Phases to be described in terms of identifying specific activities (w/ Project Phases and special attention on those with significant environmental impacts as well Corresponding Timeframes as climate change adaptation options relevant to the project and project activities) and corresponding projected implementation timeframes: ï‚· Pre-construction (e.g. planning, acquisition of rights to use land etc.) ï‚· Construction (e.g. land/site clearing, temporary housing, transport of materials, health and other services for the workforce) ï‚· Operation (projected period of start-up/commissioning/full operation of various project components) include discussion on the operation of various components (as identified above) in terms of material/product handling, infrastructure requirements (transport—road/rail/ship, energy, water supply and storage, storm water drainage, sewerage, telecommunications, accommodation and other infrastructure), waste management (character and quantities of waste materials, air emissions, Solid waste disposal, wastewater) ï‚· Abandonment Final Rehabilitation/ Decommissioning Plan, to include Land/soil restoration and procedures and projected schedule. . The land use suitability of the various land disturbance types should also be described. The proposed decommissioning plan in terms of the following: ï‚· Procedures for the decommissioning of the project components; ï‚· Transport/disposal of equipment and other materials used in the plant’s operation; ï‚· Alternatives for the future use of abandoned area; ï‚· Consistency with long term zoning and land use development plan of the municipality; ï‚· Rehabilitation plans, if any 174 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Decommissioning plan to include land restoration, procedures, and proposed schedule. 8) Manpower Tabulate the following per project phase: ï‚· manpower requirements; ï‚· expertise/skills needed; ï‚· nature and estimated number of jobs available for men, women, and indigenous peoples (if sited in IP ancestral land); preferred scheme for sourcing locally from host and neighboring LGUs 9) Indicative Project Investment Cost (Philippine Peso) REMARKS General Contents Specific Content Requirement Page Acceptable? No. II. Key Environmental Impacts and See attached checklist of contents Management/Monit When applicable include appropriate climate change adaptation oring Plan measures/options (embedded in each sector). III. Impact Limit to most significant impacts per project phase and per Management Plan environmental component arising from key environmental aspects (See Annex 2-17 of RPM for DAO 2003-30) IV. Social Development SDP (if applicable) ï‚· Community development or livelihood programs/activities, Framework (SDP) and projected beneficiaries, partner institutions, timeframe of IEC Framework implementation as well as source and amount allotted per activity/component (See Annex 2-18 of RPM for DAO 2003- 30) IEC (if applicable) ï‚· Target sector, key messages, scheme/strategy/methods, V. Environmental Information medium, timelines and frequency, cost (See Compliance Monitoring Annex 2-19 of RPM for DAO 2003-30) Self Monitoring Plan Use Annex 2-20 of RPM for DAO 2003-30 as template Multi-Sectoral Monitoring Framework (if applicable) ï‚· Tabulate the list of stakeholder-members of the MMT, basis of selection, proposed role, and scope of MMT responsibilities and activities, etc. (See Annex 3-4 of the RPM for DAO 2003-30). Environmental Guarantee and Monitoring Fund Commitments (if applicable) ï‚· Present a propose amount of EMF (based on a draft AWFP in Annex 3-4 and consistent with guidelines in Annex 3-5 of RPM for DAO 2003-30); and ï‚· Present a proposed amount of EGF and the basis for the estimate following the guidelines in annex 3-6 of RPM for DAO 2003-30 VI. Emergency The safety policy and generic guidelines should be consistent with the Response Policy and regulatory requirements. Emergency Preparedness should also Generic Guidelines consider natural hazards to the infrastructures and facilities. VII. Abandonment Statement on Proponent’s policies and generic procedures for /Decommissioning Rehabilitation/ Decommissioning/Abandonment to be submitted as /Rehabilitation Policy post-ECC, within a timeframe specified in the ECC. 175 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening REMARKS General Contents Specific Content Requirement Page Acceptable? No. and VIII. Institutional Plan Discuss the organizational scheme of the proponent including line of for EMP command and reporting procedures as well as manpower complement Implementation and relationships with other operating departments. 176 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Checklist of EIS Contents Key Environmental Impacts and Management/Monitoring Plan Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge I. Land 1.1 Land Use and Classification 1.1.1 Change/Inconsistency in land use Description and Map showing the project area in relation to Assessment of the compatibility of the existing land use. proposed project in relation to land use 1.1.2 Encroachment in Environmentally Identify ECA where the project is located or near the and / or the coastal resource Critical Areas (ECAs) project area. management plan of the LGU if any. Identify areas vulnerable/susceptible to natural hazards where the project is located or near the project area (include map/s). 1.1.3 Possible tenurial / land issue Identify areas under CARP or with CADC / CADT where the project is located or near the project area. 1.2 Geology/Geomorphology 177 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge 1.2.1 Change in surface landform/ Slope and Elevation/Topographic Map; topography/ terrain/slope 1.2.2Change in sub-surface/ underground Regional/General Geological Map geomorphology 1.2.3 Inducement of subsidence, liquefaction, Geological Maps as needed; hazard maps (NAMRIA, Include discussions on impacts/effects of landslides, mud / debris flow, etc. NDRRMC, MGB, PHIVOLCS, PAG-ASA) natural hazard on the project. ï?¯1 1.3 Pedology st 1.3.1 Soil erosion / Loss of topsoil/overburden Summary of Soil Investigation Report on soil type and Control No: __________ ï?¯2 quality; Erodibility potential; Bank stability; nd 1.4 Terrestrial Ecology ï?¯3 ___ th Screening ï‚· Flora and fauna species inventory or survey report; rd 1.4.1 Vegetation removal and loss of habitat ï‚· Historical occurrences of pest infestation, forest/grass Quadrat sampling for flora; fire and/or similar incidences 1.4.2 Threat to existence and/or loss of Summary of endemicity / conservation status Use of mist nets, traps, transect walk for important local species fauna ï‚· Summary of abundance, frequency and distribution 1.4.3Threat to abundance, frequency and ï‚· Economic importance and uses of significant flora and distribution of important species fauna 1.4.4 Hindrance to wildlife access Sampling / survey map in relation to the project site 2. THE WATER 178 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge 2.1. Hydrology/Hydrogeology 2.1.1 Change in drainage morphology / Drainage map; historical flooding/drought occurrences, Discuss possible impacts of the project Inducement of flooding/ Reduction in stream stream flow measurements/estimates; Delineation of on the occurrence of flooding and vice volumetric flow watershed /sub-watersheds/ floodplain; and identification versa. Consider extreme weather of aquifers if any conditions and the PAG-ASA 2020 and 2050 climate projections 2.1.2 Change in stream, lake water depth Regional hydrogeological map 2.1.3 Depletion of water resources / Identification of current / projected water use in the area For project with significant water competition in water use and adjacent areas requirement, conduct water balance / budget analysis Spring and well inventory and location map; depth of water table ; Analysis/estimation of water availability taking into ï?¯1 consideration the PAG-ASA 2020 and 2050 climate st projections Control No: __________ ï?¯2 2.2 Oceanography nd ï?¯3 ___ th Screen 2.2.1 Change/disruption in circulation pattern Predicted tides; 24-hour tidal cycles; Surface current rd 179 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge system 2.2.2 Change in bathymetry Bathymetric map; USLE / similar modeling when applicable 2.3 Water Quality 2.3.1 degradation of groundwater quality Physico-Chemical characterization of water : Use DENR standard methods and ï?¿ pH procedures for sampling and analysis. ï?¿ BOD5 ï?¿ COD For project with coastal/marine structures 2.3.2 degradation of surface water quality ï?¿ DO and /or significant marine / coastal ï?¿ Oil and grease discharges, conduct circulation / plume 2.3.3 degradation of coastal/marine water ï?¿ TSS modeling (include worst case scenario of quality ï?¿ Heavy Metals :____________________ failure of WWTF) ï?¿ fecal / total coliform ï?¿ others: __________________________ For project with significant heavy metals discharges, conduct sediment transport sampling site map modeling 180 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge 2.4 Freshwater Ecology ï‚· Summary of endemicity / conservation status 2.4.1 Threat to existence and/or loss species ï‚· Abundance of ecologically and economically important of important local and habitat species (fishes, benthos, planktons); ï‚· Presence of pollution indicator species; 2.4.2 Threat to abundance, frequency and distribution of species sampling site map 2.5 Marine Ecology ï‚· Abundance/densities/distribution of ecologically and 2.5.1 Threat to existence and/or loss of economically important species (mangroves, fishes, Quadrat, transect, line intercept, spot important local species and habitat benthos, planktons, coral reefs, algae, seaweeds, sea dive, manta tow, marine resource grasses); 2.5.2 Threat to abundance, frequency and ï‚· Presence of pollution indicator species; characterization (e.g. municipal and ï‚· Historical occurrences of red-tide, fish kill or any related distribution event commercial fisheries data) ï‚· marine resource map sampling site map 3.0 THE AIR ï?¯1 3.1 Meteorology/Climatology st 3.1.1 Change in the local climate e.g. local Monthly average rainfall and temperature of the area; In the assessment, consider the PAG- Control No: _______ ï?¯2 temperature Climatological normals/extremes; Wind rose diagrams; ASA climate change projections for 2020 nd 181 ï?¯3 ___ th Sc rd ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge Frequency of Tropical cyclones and 2050. 3.1.2 Contribution in terms of greenhouse gas Data on Greenhouse gasses (i.e. carbon dioxide, methane, Discuss the project’s contribution in emissions nitrous oxide, etc.); Calculation of projected GHG emission terms of greenhouse gas emissions (applicable for power and landfill and possible for mining and dam): 3.2 Air Quality (and Noise) 3.2.1 Degradation of air quality characterization of ambient air quality: Use DENR standard methods and ï?¿ TSP procedures for sampling and analysis. ï?¿ PM10 ï?¿ SOx if applicable air dispersion modeling ï?¿ NOx (include worst case scenario of failure of ï?¿ Trace Metals :____________________ APCD); ï?¿ others: __________________________ (for sampling methods refer to Clean Air Act) Heavy metals (baseline and modeling) apply to selected chemical industries sampling site map 3.2.2 Increase in ambient noise level Characterization of ambient noise level Use DENR standard methods and 182 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge procedures for sampling and sampling site map measurement. if applicable noise attenuation modeling (applicable if there is source capable of generating 200 dB or more). 4.0 THE PEOPLE 4.1 Displacement of settler/s Demographic data of impact area: - Number of households and household size - Land area, Discuss how the project would affect - Population, Displacement / disturbance of properties existing properties in the area in terms of - Population density /growth - gender and age profile, relocation and devaluation - literacy rate, profile of educational attainment, Change/conflict in land ownership settlements map Change/conflict Right of way ï?¯1 4.2 In-migration Discuss the in-migration patterns as a Census of population / property that will be displaced / st result of project implementation disturbed Control No: __________ ï?¯2 proliferation of informal settlers nd ï?¯3 ___ th Scree 183 rd ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge Housing ownership profile / availability of housing/ number of informal settlers 4.3 Cultural/Lifestyle change (especially on Demographic data on Indigenous People (if any) and Discuss the impacts on IPs and Indigenous People, if there’s any) existing Culture/Lifestyle that may be significantly affected Culture/Lifestyle 4.4 Threat to delivery of basic services Availability of public services in terms of: Discuss how the project would affect the ï‚· Water supply /resource competition ï‚· Power supply delivery of basic services and may result ï‚· Communications /transportation to resource competition in the area ï‚· health resources (Government and Private) ï‚· peace and order / crime ï‚· education facilities 4.5 Threat to public health and safety ï‚· recreational facilities / sports facilities Discuss the project implementation’s threat to public health vis-à-vis the statistical data / information related to public services: baseline health conditions in the area ï‚· literacy rate, profile of educational attainment ï‚· Morbidity and mortality rates (infants and adults - 5-year trend) Analysis of diseases that may be ï‚· Common diseases in the area including endemic diseases; affected by climate change. ï‚· Environmental Health and Sanitation Profile; ï‚· Crime rate ï‚· Food security 4.6 Generation of Local Benefits from the Socioeconomic data: ï‚· Main sources of Income project 184 ï?¯1 st C ï?¯ ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge ï‚· Employment rate/ profile ï‚· sources of livelihood Enhancement of employment and ï‚· commercial establishments and activities ï‚· banking and financial institutions livelihood opportunities Increased business opportunities and associated economic activities Increased revenue of LGUs 4.7 Traffic congestion Road network/ systems Traffic impact assessment if applicable Existing Transportation/traffic situation (including capacity of road system in terms of load/count) III. Environmental Risk Assessment  for completeness during procedural screening; page numbers Type of Risks Scope of Assessment Report/Output Required should be provided upon submission of the EIS ERA ERP Monitori REMARKS ng Plan During scoping: Check () required/applicable items; items with  are automatically required; write specific instruction ( if any) on the blanks provided Pa  Pa  Pag  ge ge e 185 ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge - Identify conditions, events and circumstances which could be Safety Risks significant in bringing about identified safety risks ERA REQUIREMENT ï?¿ Fire - Description and assessment of the possible accident scenarios - Assessment of whether the project location is projected to have Quantitative Risk Assessment(QRA) ï?¿ Explosion extreme climate events for 2020 andor 2050 that could contribute Specific Instructions : ï?¿ to the triggering identified scenarios Release of toxic - Description of the hazards, both immediate (acute effects) and _____________________________ substances delayed (chronic effects) for man and the environment posed by the release of toxic substance, as applicable Descriptive/Qualitative Risk Assessment - Identify conditions, events and “triggerâ€? which could be significant Specific Instructions :  Physical Risks in bringing about identified physical risks - Description and assessment of the possible accident scenarios ______________________________ (Failure of Structure w/c could - Assessment of whether the project location is projected to have endanger life, property and/or the extreme climate events for 2020 andor 2050 that could contribute to the triggering identified scenarios environment) - Description of the hazards both immediate (acute effects) and  EMERGENCY PLAN : delayed (chronic effects) for man and the environment posed by Specific Instructions : the failure of structure, as applicable ______________________________ Refer to annex 2-7e for the decision criteria the outline Noted By: Signature Signature ï?¯1 Review Committee Members EMB Representatives st ï?¯2 1. 1. nd 2. 2. ï?¯3 ___ th Scree 186 rd ECC APPLICATION SCREENING FORM (For Non-ECPs in ECAs required an EIS; classified under Project Types F, and N.1 in Annex 2-1b of the Revised Procedural Manual for DAO 2003-30) Control No: __________ st nd rd ï?¯1 ï?¯2 ï?¯3 ___ th Screening Required Assessment  for completeness during procedural screening; page numbers should List of Key Impacts Baseline Data Parameter Requirements Methodology/Approach be provided upon submission of the EIS Baseli Impact Mgmt. Monito Remarks ne Analys Plan ring Conditi is Plan ons During scoping: Unless otherwise specified as agreed during scoping, all items listed are required. Write specific instructions ( if any) on the blanks/spaces Pa  Pa  Pa  Pa  provided ge ge ge ge 3. 3. 4. Project Proponent: 5. 6. Project Preparer/Consultant: Resource Person 1. 187 SEMS PF October 23, 2014 Page 188 ANNEX 8: I NITIAL E NVIRONMENTAL E XAMINATION (IEE) C HECKLIST ROAD AND BRIDGE PROJECTS __ _ __ _ __ _ _ __ _ __ _ __ __ _ __ _ __ _ _ __ _ __ _ __ __ _ __ _ __ _ _ __ _ __ _ __ __ Project Name or Title Below is the IEE Checklist Report for Road and Bridge Projects. Project Size Corresponding Project  Projects Parameter Size/Threshold Bridges and viaducts, new length ≥ 80 m but < 10.0 km construction length with no Roads, new construction, ≥ 2 km but < 20.0 km, critical slope, OR widening OR length with (including RO-RO facilities) ≥ 2 km but < 10.0 km critical slope Elevated roads, Regardless of length and flyover/cloverleaf/ interchanges width Tunnels and sub-grade roads length < 1.0 km and railways Pedestrian passages All underpass projects Please check applicable project category: For ECC applications, this IEE Checklist Report shall be submitted with: ï‚· Proof of Compatibility with the existing Land Use Plan ï‚· Proof of Authority over the Project Site ï‚· Accountability Statements of Proponent (see attached form) and the Preparer (if any, following Annexes 2-22 of Revised Procedural Manual for DAO 2003-30) ï‚· Photographs or plates/vicinity map of the project site showing impact areas and affected areas and communities ï‚· Duly Accomplished Project Environmental Monitoring and Audit Prioritization Scheme (PEMAPS) Questionnaire (see Annex 2-7d of Revised Procedural Manual for DAO 2003-30) (No other documents shall be required as pre-requisite to ECC applications per DENR MC 2010-14) Read the questions carefully and write the required information on the blank spaces provided or otherwise check (ï?¡) the appropriate boxes â–¡ or parenthesis ( ). Boxes with check marks( ) are automatically required. Use additional sheets if necessary and indicate this in the appropriate space. Project proponents are strongly discouraged to engage the services of consultants/facilitators/preparers to accomplish/fill-up the IEE Checklist Report Form. The Report Forms have been designed to be user-friendly. Furthermore, EMB Regional Office is required to complete the processing of an ECC application using the IEE Checklist Report within twenty (20) working days upon receipt for duly-accomplished forms with complete attachments Misleading or erroneous answers are basis for legal actions and/or denial of ECC issuance. 188 SEMS PF October 23, 2014 Page 189 9. 1 5. 9. 1. 1 PR O J ECT FA CT SH E E T Project Name: _______________________________________________________ Project Location: _______________________________________________________ Road/Bridge Width : ______________________________________________________ Road/Bridge Length : ______________________________________________________ Project Proponent: _______________________________________________________ _______________________________________________________ Office Address: Contact Person: _______________________________________________________ Designation: _______________________________________________________ Contact Information Telephone Number: _________________________________________ Fax Number: _________________________________________ Mobile Number: _________________________________________ E-mail Address: _________________________________________ I. PROJECT DESCRIPTION 1.1 PROJECT LOCATION AND AREA: Street Name, Barangay, and Municipality/City, Province _____________________________________________________________________________ _____________________________________________________________________________ ___________________________________________________________ See attached vicinity map/s and photographs of the project site including alignment and design. Geographic coordinates of the project area (Preferably use WGS 84 datum, otherwise specify datum used). Perimeter/Boundary points Longitude Latitude (based on OCT/TCT/etc) 189 SEMS PF October 23, 2014 Page 190 1.2 PROJECT COMPONENTS Facilities Length / Specification/Description/Remarks Area (meters) 1. Road 2. Intersections 3. Bridge/s 4. Access Roads/Ramp 5. Drainage Facilities (i.e. Reinforced Concrete Box Culverts (RCBC);Reinforced Concrete Pipe Culverts (RCPC), others) 6. Associated Facilities (i.e. Guardrails, Traffic signs, etc.) 7. Solid Waste Management Facility 8. Others, specify _______________________ (Use additional sheets if needed) 1.3 UTILITIES/REQUIREMENTS (Construction Phase): Utilities Source Estimated Demand/Consumption Power/Electricity KWh (Total) Power/Electricity (From Renewable Energy KWh Sources) Water (Total) 3 (Fill-up table below if water is m /day not obtained from the local water utility) Water (Rainwater Collection 3 m /day System) 190 SEMS PF October 23, 2014 Page 191 Water Source [ ] ground water [ ] well [ ] spring [ ] others: ____________________________ [ ] Surface water [ ] river [ ] lake [ ] others: ____________________________ Location of water source ____________________________________________________________________________ (Sitio/Zone, Barangay, Municipality/City, Province, Region) 191 SEMS PF October 23, 2014 Page 192 Energy/Water Efficiency Utilities Estimated Savings Proposed Efficiency/Conservation Measures Power/Electricity KWh 3 Water m /day 1.4 MANPOWER a. Construction Phase Manpower Expertise/Skills Total Requirement 1.5 INDICATIVE PROJECT COST Project Cost (PhP): ____________ 192 SEMS PF October 23, 2014 Page 193 II. ENVIRONMENTAL IMPACTS AND MANAGEMENT PLAN Possible Environmental/ Baseline Environment Preventive/ Mitigating Measures Monitoring Parameters/ Cost of Mitigation/ Monitoring Social Impacts Implementation LAND  Consistency with land Current land use w/in 1km radius  See attached proof of compatibility with use land use (as per zoning ordinance):  Residential  Commercial/ Institutional  Industrial  Agricultural/ Recreational  Protected Areas  Others, specify ___________________ Actual land uses w/in 1km radius:  Residential  Commercial/ Institutional  Industrial  Agricultural/ Recreational  Protected Areas  Others, specify ___________________ 193 SEMS PF October 23, 2014 Page 194 Possible Environmental/ Baseline Environment Preventive/ Mitigating Measures Monitoring Parameters/ Cost of Mitigation/ Monitoring Social Impacts Implementation  Disturbance to wildlife Existing vegetation in the area:  Compliance with conditions of DENR/LGU  Annual inspection of area  Cost integrated in the due to vegetation clearing  Forestland SLUP, Tree Cutting Permit, ROW, PCA Permit replanted/ revegetated construction /operation cost  Marshland  Limit land clearing as much as possible  Grassland  Provide temporary fencing to vegetation  Mangrove that will be retained  Wetland  Promote restoration of damaged or  Others, specify destroyed vegetation where possible (e.g., road side tree planting); ____________________  Change in surface Slope:  Provide erosion control and slope  Regular inspection of slope  Slope/ Erosion Control landform/ topography/  flat (0-3%) protection measures protection measures in  Cost: ___________ terrain/slope  gently sloping to rolling (3-18%)  Designate a Spoils Storage Area, with erosion-prone areas Others, specify topsoil set aside for later use and allow  Regular inspection for new ____________  Soil Erosion  steep (>18%) maximum re-use of spoils eroded areas near the site  Construction during dry season  Others, specify ___________  Stabilization of embankment with grasses, trees or other soil cover /construction of rip-rap  Others, specify ____________ Is the project site located in an area  Compliance with the DENR Administrative Order No. 2003-30 and DENR identified by Administrative Order No. 2000-28, Implementing Guidelines on Engineering MGB/PAGASA/PHIVOLCS as Geological and Geo-hazard Assessment hazard prone? (EGGA).  Yes  No 194 SEMS PF October 23, 2014 Page 195 Possible Environmental/ Baseline Environment Preventive/ Mitigating Measures Monitoring Parameters/ Cost of Mitigation/ Monitoring Social Impacts Implementation  Soil/Land contamination Existing soil type in the area:  Implementation of the Ecological Solid  Daily inspection of  Cost integrated in the due to improper solid waste disposal  sandy  Waste Management Plan (ESWMP); Set-up temporary fence around the waste/recycling bins for segregation construction /operation cost  clay construction area  Daily inspection for presence  sandy-loam  Implement re-use and recycling of waste of mixed garbage in the  Others, specify materials facility ____________________  Implement proper segregation, collection  Weekly inspection of waste and disposal of domestic wastes in accumulated designated areas  Others, specify  Implement proper collection, labeling and _________________ storage of hazardous waste  Provide receptacles / bins for solid wastes  Coordinate with the municipal / city waste collectors  Engage third party company for waste collection  Others, specify ________________  Encroachment into Is the project area near protected  Obtain appropriate permits/clearances  Regular coordination with  Cost integrated in the protected areas or from concerned agencies concerned agencies construction/ operation cost areas or ecologically-sensitive ecologically-sensitive areas?  Provide adequate buffer areas  Yes  Others, specify  No ________________  Impairment of visual Presence of visually significant  Implement landscaping and other  Regular inspection of  Cost integrated in the aesthetics beautification measures landscaping and other construction/ operation cost landforms/landscape/structures?  Devaluation of land  Provide adequate buffer beautification activities 195 SEMS PF October 23, 2014 Page 196 Possible Environmental/ Baseline Environment Preventive/ Mitigating Measures Monitoring Parameters/ Cost of Mitigation/ Monitoring Social Impacts Implementation values  Yes  Compensate adjacent property owners  Regular monitoring of buffer  No  Others, specify zones ________________  Regularly monitor presence/absence of complaints from adjacent property owners WATER  Increased siltation due Specify nearest/receiving water  Set-up proper and adequate sanitary Regular (ocular) inspection of:  Cost integrated in the to project activities body: facilities  Drainage / canal systems construction/ operation cost  Water quality ____________________________  Strictly require the contractor and its  Sanitation facilities degradation workers to observe proper waste disposal  Others, specify and proper sanitation __________________ Distance to nearest/receiving water  Strictly observe proper waste handling and Regular (ocular) inspection of disposal water body for: body:  0 to less than 0.5 km  Set up silt trap(Gabions, Fascines)/settling  Turbidity and/or silted ponds to minimize downstream siltation  0.5 to 1 km  condition  More than 1 km Others, specify  Floating wastes or debris ___________ If nearest/receiving water body is fresh water, specify classification:  AA  A  B  C  D 196 SEMS PF October 23, 2014 Page 197 Possible Environmental/ Baseline Environment Preventive/ Mitigating Measures Monitoring Parameters/ Cost of Mitigation/ Monitoring Social Impacts Implementation If nearest/receiving water body is coastal or marine water, specify classification:  SA  SB  SC  SD Current Water Use:  Fishery  Tourist Zone / Park  Recreational  Industrial  Agricultural Distance of project area to the nearest well used:  0 to less than 0.5 km  0.5 to 1 km  More than 1 km Use of the nearest well: 197 SEMS PF October 23, 2014 Page 198 Possible Environmental/ Baseline Environment Preventive/ Mitigating Measures Monitoring Parameters/ Cost of Mitigation/ Monitoring Social Impacts Implementation  Drinking/Domestic  Industrial  Agricultural  Competition in water Size of population using receiving  Implement rainwater harvesting and similar  Cost integrated in the use surface water: measures as an alternative source of water  Regularly monitor for construction/ operation cost  Depletion of water  ≤ 1,000 persons  Observe water conservation measures presence/absence of resources  >1,000 and ≤ 5,000persons  Others, specify complaints  Regular coordination with  >5,000person ____________________ concerned agencies  Regularly monitor for Available/nearest water source. occurrences of water shortages  Deepwell  Others, specify  Water district/LGU ____________  Surface water  Others, specify _____________________  Increased occurrence Is the project site located in an area  Use appropriate design for project facilities  Regularly monitor for  Cost integrated in the of flooding identified by MGB/PAGASA as  Implement appropriate drainage system presence/absence of complaints construction/ operation cost flood prone?  Regularly remove debris and other  Regular coordination with  Yes materials that may obstruct water flow concerned agencies  No  Others, specify  Regularly monitor for ______________________ increased frequency of flooding  Others, specify _________________ 198 SEMS PF October 23, 2014 Page 199 Possible Environmental/ Baseline Environment Preventive/ Mitigating Measures Monitoring Parameters/ Cost of Mitigation/ Monitoring Social Impacts Implementation AIR / NOISE 199 SEMS PF October 23, 2014 Page 200 Possible Environmental/ Baseline Environment Preventive/ Mitigating Measures Monitoring Parameters/ Cost of Mitigation/ Monitoring Social Impacts Implementation  Air quality degradation Distance to nearest community:  Properly operate and maintain all emission  Regularly monitor for  Cost integrated in the  0 to less than 0.5 km sources (e.g. vehicles, generator, etc) presence/absence of construction/ operation cost  0.5 to 1 km  Install when applicable, the appropriate air complaints pollution control device/s  More than 1 km  Strictly enforce good housekeeping Regular (ocular) inspection of: practices  Absence of white or black  Control vehicle speed to lessen smoke from vehicles, heavy suspension of road dust equipment, generator, etc.  Conduct water spraying to suppress dust  Presence of truck cover sources and minimize discomfort to nearby during deliveries residents  Use covered vehicles to deliver materials that may generate dust  Other, specify ________________________  Nuisance due to noise Distance to nearest community:  Properly operate and maintain all noise  Regularly monitor for  Cost integrated in the generation  0 to less than 0.5 km sources (e.g. vehicles, generator, etc) presence/absence of construction/ operation cost   Install when applicable, the appropriate complaints 0.5 to 1 km noise control device/s (e.g., mufflers,  Regular monitoring of buffer  More than 1 km silencer, sound barriers, etc.) zones  Implement appropriate operating hours  Provide adequate buffer and/or planting of trees  Others, specify ____________________________ PEOPLE 200 SEMS PF October 23, 2014 Page 201 Possible Environmental/ Baseline Environment Preventive/ Mitigating Measures Monitoring Parameters/ Cost of Mitigation/ Monitoring Social Impacts Implementation  Displacement of  Provide relocation/disturbance  Regularly monitor for  Cost integrated in the residents in the project compensation packages presence/absence of construction/ operation cost site and within its Size of population of host barangay:  Prioritize local residents for employment complaints vicinity   Regular coordination with  Displacement of  ≤ 1,000 persons Promptly pay local taxes and other financial obligations LGU Indigenous People  >1,000 and ≤ 5,000persons  Regular coordination with LGU  Others, specify  Enhanced employment  >5,000person  Prior consultation and coordination to _________________ and/or livelihood minimize disruption on daily domestic opportunities activities and respect for IP rights and  Reduced employment Classification of host barangay: cultural practices and/or livelihood  Urban  Ensure participation of IPs in opportunities  Rural consultations and dialogues  Increased revenues for  Provide appropriate traffic/warning LGU Available services within/near the signs, lighting, etc  Disruption/Competition host barangay:  Others, specify in delivery of public services (e.g.,  Schools (e.g. elementary, high _________________ education, peace and school, college) order, etc.)  Health facilities (e.g., clinics,  Enhanced delivery of hospitals, etc.) public services (e.g., education, peace and  Peace and order (e.g., police outpost, brgy. Tanod, etc.) order, etc.)  Recreation and sports facilities  Increase in traffic  Others, specify volume and worsening ________________ of traffic flow 201 SEMS PF October 23, 2014 Page 202 Possible Environmental/ Baseline Environment Preventive/ Mitigating Measures Monitoring Parameters/ Cost of Mitigation/ Monitoring Social Impacts Implementation  Impacts on community  Regular coordination with LGU  Regularly monitor for  Cost integrated in the health and safety  Provide appropriate warning signs, lighting presence/absence of construction/ operation cost  Others, specify and barricades, whenever practicable complaints __________________  Observe proper housekeeping  Regular coordination with LGU  Provide on-site medical services for any emergency.  Regularly monitor submission of reports to concerned  Participate in public awareness programs agency on health and safety  Others, specify  Implement appropriate safety programs for both community and workers _________________  Others, specify __________________________ 202 SEMS PF October 23, 2014 Page 203 III. INSTITUTIONAL PLAN FOR EMP IMPLEMENTATION Organization Chart: 203 SEMS PF October 23, 2014 Page 204 Attach design/plan/alignment of project (with dimensions and descriptions) 204 SEMS PF October 23, 2014 Page 205 SWORN STATEMENT OF ACCOUNTABILITY OF THE PROPONENT This is to certify that all the information and commitments in this Initial Environmental Examination (IEE) Checklist Report are accurate and complete to the best of my knowledge. By the authority vested in me by the _______(Company Name) as ___(Position/Designation), I hereby commit to ensure implementation of all commitments, mitigating measures and monitoring requirements indicated in this IEE Checklist Report as well as the following: ï‚· Conform to pertinent provisions of applicable environmental laws e.g., R.A. No. 6969 (Toxic Substances and Hazardous and Nuclear Wastes Control Act of 1990), R.A. No. 9003 (Ecological Solid Waste Management Act of 2000), R.A. No. 9275 (Philippine Clean Water Act of 2004), and R.A. No. 8749 (Philippine Clean Air Act of 1999). ï‚· Abide and conform to LGU development plans and guidelines. ï‚· Promptly pay local taxes and other financial obligations. ï‚· Regularly submit reports to concerned agencies. I hereby bind myself to answer any penalty that may be imposed arising from any misrepresentation or failure to state material information in this IEE Checklist. ____________________ NAME OF PROPONENT HEAD (Position) (Company Name) SUBSCRIBED AND SWORN TO before me this _____ day of ____________ 201__, affiant exhibiting his/her Community Tax Certificate No. ___________________ issued at ______________________ on __________________________. Doc. No. ____________________ Page No. ____________________ Book No. ____________________ Series of ____________________ 205 SEMS PF October 23, 2014 Page 206 ANNEX 9: ANNOTATED O UTLINE FOR EIA R EPORTS FOR P ROPOSED (N EW ) S INGLE P ROJECTS Executive Summary • Project Fact Sheet PD Summary • Process Documentation of the conduct of EIA (EIA Team, EIA Study Schedule & Area, EIA Methodology, Public Participation) • Summary of Baseline Characterization Key Environmental Impacts and Management & Monitoring Plan and EMF & EGF Commitments 1. Project Description Project Location and Area • Map showing sitio, barangay, municipality, province, region boundaries, vicinity, proposed buffers surrounding the area and Primary & secondary impact areas • Geographic coordinates (shape file data) of project area • Rationale for selection primary & secondary impact areas Project Rationale Cite and focus on the need for the project based on national and local economic development and in terms of contribution to sustainable development agenda or current development thrusts of the Philippines Project Alternatives • Cite criteria used in determining preliminary options for facility siting, development design, process/technology selection, resource utilization including discussion of the consequences of not proceeding with the project • Reasons for selecting the preferred options delineated in terms of technical, commercial, social and natural environmental aspects • Summary of the comparative environmental impacts of each alternative Project Components • Major components • Other Support Facilities (Le. energy/power generating facility, water supply system) • Pollution control devices and corresponding facilities being served or connected • Footprint of proposed layout of project facilities Process/ Technology Options • Production process (indicate type of raw material & final product) if process industry; Construction if infrastructure such as buildings, roads & bridges • Power generation & water supply system 206 SEMS PF October 23, 2014 Page 207 • Waste Management Systems Project Size • Total project area in square meters or hectares • Annual production rate & working days/hours if process industry Development Plan, Description of Project Phases and Corresponding Timeframes Phases to be described in terms identifying specific activities (w/ special attention on those with significant environmental impacts) and corresponding projected implementation timeframes: • Pre-construction (planning, acquisition of rights to use land,) • Construction (land/site clearing, temporary housing, transport of materials, health and other services for the workforce) • Operation (projected period of start-up/commissioning/full operation of various project components) • Abandonment (Land/soil restoration, decontamination or remediation activities and procedures & projected year of Abandonment). Manpower Tabulate the following per project phase: • manpower requirements; • expertise/skills needed; • nature & estimated number of jobs available for men, women indigenous peoples (if sited in IP ancestral land); preferred scheme for sourcing locally from host and neighboring LGUs and those from outside Indicative Project Investment Cost 2. Analysis of Key Environmental Impacts Land Land Use and Classification • Discuss inconsistencies/possible conflicts with existing land use/zonin g/classificationand encroachment in ECAs • Discuss Projected change as a result of project implementation (Le. Loss of topsoil/overburden (for agricultural areas or adjacent to agricultural areas)) Geology/Geomorphology Discuss Projected change and change management as a result of project implementation such as the following: • Change in surface landform/ topography/ terrain/slope • Change in sub-surface/ underground geomorphology • Inducement of subsidence/ collapse • Inducement of landslides or other natural hazards 207 SEMS PF October 23, 2014 Page 208 Pedology Analyze project's impact and provide management measures for the following as may be needed: • erodability potential • bank stability • Change in soil quality/fertility Terrestrial Biology Analyze project's impact and provide management measures with regards to the following as may be needed: • Vegetation removal and loss of habitat • Threat to existence of important local species • Threat to abundance, frequency and distribution of important species • 4 Hindrance to wildlife access WATER Hydrology/Hydrogeology Analyze project's impact and provide management measures with regards to the following as may be needed: • Change in drainage morphology • Change in stream, lake water depth • Reduction in stream volumetric flow • Inducement of flooding • Water resource use and competition • Reduction/Depletion of groundwater flow Oceanography Analyze project's impact and provide management measures with regards to the following as may be needed: • Change in circulation pattern • Change in stream, lake water depth • Change in bathymetry Water Quality • Identify specific source of possible pollution load and discuss assimilative capacity of the receiving water body (Le. groundwater, stream water, lake water, marine water • Include as part of the environmental management and monitoring plan, the sampling site map Freshwater or Marine Ecology Identify source of threat to ecology and discuss assimilative capacity of the receiving ecosystem • Threat to abundance, frequency and distribution of species 208 SEMS PF October 23, 2014 Page 209 • Loss of important species • Loss of habitat AIR Meteorology/Climatology • Discuss the project's possible effect on local climate if any • Discuss the project's contribution to global greenhouse gas if any Air Quality (& Noise) • Identify specific source of possible pollution load and discuss assimilative capacity considering the ambient air quality/noise levels in the area PEOPLE Identify settlers that will be displaced from among the existing settlers Discuss the in-migration patterns impact as a result of project implementation Discuss the impacts on IPs and Culture/lifestyle (if any) Discuss the project implementation's threat to public health vis-a-vis the baseline health conditions in the area Discuss local benefits expected from project implementation Discuss how the project would affect the delivery of basic services and resource competition in the area Discuss how the project would affect traffic situation in the area Identify entity to be accountable for environmental management in the area Discuss how the project would affect existing properties in the area in terms of relocation and devaluation Identify affected properties 3. ENVIRONMENTAL/ECOLOGICAL RISK ASSESSMENT Identify and provide management measures for: • Chronic Risks • Acute Risks / Worst Case Scenario 4. IMPACTS MANAGEMENT PLAN ï‚· Limit to most significant impacts per project phase and per environmental component arising from key environmental aspects ï‚· The SOP and IEC Framework shall be required for all ECPs. These may be required for EIS-Based ECC applications for non ECPs based on the EMB-RO's discretion. ï‚· The SOP of the project shall be derived from, and aligned with, the LGU's existing SOP. The project's SOP normally aims to prevent/mitigate and/or enhance a project's adverse and positive impacts, respectively, on people's livelihood, health and environment. ï‚· The SOP shall contain the following: a.) Livelihood or community development programs/activities, b.) Responsible community members/beneficiaries, c.) partner institutions (government, NGO, others), d.) timeframe implementation, and e.) source and amount per activity/component ï‚· The IEC Framework shall include the following information: a. Target Sector Identified as Needing Project IEC b. Major Topic/s of concern in Relation to Project 209 SEMS PF October 23, 2014 Page 210 c. IEC Scheme / Strategy / Methods d. Information Medium e. Indicative Timelines and Frequency f. Indicate Cost ï‚· The framework for compliance monitoring including environmental performance indicators shall serve as standards for determining compliance. This shall correspond to the baseline environmental parameter necessary to monitor the identified key environmental impacts for the specific sector/project type. ï‚· As a pro-active tool for minimization/elimination of adverse consequences to the environmental quality, the project proponent shall propose "Environmental Quality Performance Level" (EQPL) for each critical parameter identified above. At least two EQPLs are required namely the action and limit level. A third optional criterion is the early warning level which is actually a red-flagging alert level. ï‚· It shall also include description of the monitoring scheme and mechanisms to be employed: o Self-Monitoring Plan o Multi-sectoral Monitoring Framework (for ECPs and EIS-based Non-ECPs as deemed necessary by EMB RO) o Environmental Guarantee and Monitoring Fund Commitment (for ECPs and EIS-based Non-ECPs as deemed necessary by EMB-RO) 5. EMERGENCY RESPONSE POLICY AND GENERIC GUIDELINES The policy and generic guidelines are to be consistent with the relevant agencies' requirements that are to be complied with after the ECC is issued, e.g. MGB has a prescribed ERP content for mining projects. 6. ABANDONMENT/DECOMMISSIONING REHABILITATION POLICIES AND GENERIC GUIDELINES Statement on Proponent's policies and generic procedures; Detailed Abandonment/Decommissioning Plan to be submitted post-ECC, within a timeframe specified in the ECC 7. INSTITUTIONAL PLAN FOR EMP IMPLEMENTATION Discuss the Table of Organization of the Proponent where the reporting line and manpower complement/positions of the EU, MEPEO or equivalent units to higher management and relationships with operating departments are shown 210 SEMS PF October 23, 2014 Page 211 ANNEX 10: P ERCEPTION S URVEY P ROTOCOL PERCEPTION SURVEY PROTOCOL Bilang:_______ Petsa:____________ Oras Nagsimula: ________ Oras Natapos:______ Pangalan ng Nagtanong: ________________________ Lugar ng Interbyu (Brgy/Purok)__________________________ DIREKSYON: Lagyan ng tsek ï?? ang kahon o [ ] sa tabi ng sagot at isulat ang kasagutan sa mga blangkong guhit, kung walang pagpipilian on wala ang sagot sa mga pagpipilian. Pangalan ng iniinterbyu/tinatanong:_______________________________ Tirahan:_________________________________ A. KATANUNGAN TUNGKOL SA SARILI: 1. Kasarian (NO NEED TO ASK): [ ] Lalake [ ] Babae 2. Edad: [ ] 15-29 [ ] 25-29 [ ] 35-39 [ ] 45-49 [ ] 55-59 [ ]65pataas [ ] 20-24 [ ] 30-34 [ ] 40-44 [ ] 50-54 [ ] 60-64 3. Kayo ba ay may-asawa? [ ] May asawa [ ] Walang asawa [ ] Balo [ ] Others_____ 4. Ano ang inyong relihiyon? [ ] Katoliko [ ] Born Again [ ] Jehova’s Witness [ ] Islam/Muslim [ ] Iglesia ni Cristo [ ] Aglipayan [ ] Protestante [ ] Others:______________ 5. Ano ang pinakamataas na gradong naabot n’yo sa paaralan? [ ] Elementarya [ ] College [ ] Others____________________ [ ] Tapos ng Elementarya [ ] Tapos ng College [ ] High School [ ] Vocational [ ] Tapos ng High School [ ] Wala / hindi nakapag-aral 6. Kayo ba’y may trabaho/hanapbuhay? [ ] Mayroon [ ] Wala 6.1. Kung mayroon, ano ang inyong trabaho/hanapbuhay? [ ] Magsasaka Kung Oo, [ ] May sariling sakahan [ ] Nakikisaka [ ] Suwelduhan [ ] Mangingisda Kung Oo, [ ] May sariling Bangka/katig [ ] Suwelduhan [ ] Empleyado ng gobyerno opisina (hal. Bgry. Official, teacher, health worker, iba pa.) [ ] Empleyado ng pribadong pisina (hal. Clerk, mensahero, janitor, sekretarya, iba pa.) [ ] Negosyante/pangangalakal 9hal. Sari-sari store, nagtitinda, may-ari ng shop, iba pa.) 211 SEMS PF October 23, 2014 Page 212 [ ] Manggagawa (hal. Construction, manufacturing – factory worker, iba pa) [ ] Serbisyo (hal. Nanahi sa bahay, paglalaba, driver, iba pa) [ ] Others _______________________________ 6.2. Magkano ang inyong buwanang sahod/kita (ESTIMATE): [ ] Wala pang P1,000 [ ]P5,001-10,000 [ ]P15,001-20,000 [ ] P1,000-5,000 [ ]P10,001-15,000 [ ]Higit sa P20,000 7. Ipinanganak ba kayo ditto sa barangay na ito? [ ] Oo [ ] Hindi 7.1Kung Hindi, ilang taon sa kayong naninirahan sa barangay na ito? [ ] 1-2 [ ] 3-4 [ ] 5-6 [ ] 7-8 [ ] 9-10 [ ] Higit sa 10 8. Sa kasalukuyan, kasapi/miyembro ba kayo ng organisasyon sa inyong barangay? [ ] Oo [ ] Hindi 8.1. Kung Oo, ilan ang organisasyong ito? __________ 8.2. Kung Oo, aktibo ba kayo dito sa organisasyong ito? [ ] Oo [ ] Hindi B. KATANUNGAN TUNGKOL SA KASAMBAHAY (Household): 1. Ilan ang inyong mga kasambahay? [ ] 1-2 [ ] 3-4 [ ] 5-6 [ ] 7-8 [ ] 9-10 [ ] Higit sa 10 2. Kapamilya ba ninyo ang lahat ng inyong kasambahay? [ ] Oo [ ] Hindi 2.1. Kung hindi, ilan ang hindi kapamilya? ___________________ 3. Meron ba kayong kasambahay/kapamilya na nagbibigay ng tulong pinansyal para sa buong kabahayan n’yo? [ ] Meron, kung meron, ilan sila?__________ [ ] Wala C. KATANUNGAN SA BAHAY: 1. Kayo ba ang nagmamay-ari ng inyong bahay? [ ]Oo [ ] Hindi 1.1. Kung hindi, sino ang nagmamay-ari nito (GET NAME)? ________________________ 2. Kayo ba ang gumastos sa pagpapatayo ng inyong bahay? [ ]Oo [ ]Hindi 3. Gawa sa anu-anong materyales ang inyong bahay? 212 SEMS PF October 23, 2014 Page 213 Bubong Katawan ng bahay [ ] Kahoy [ ] Kahoy [ ] Cemento [ ] Cemento [ ] Nipa/cogon [ ]Nipa/cogon [ ] Kawayan [ ] Kawayan [ ] Yero/GI sheets [ ] Yero/GI sheets [ ] Others ____________ [ ] Others _______________ D. KATANUNGANTUNGKOL SA KAPALIGIRAN: 1. Sa nakalipas na 5 taon, may napansin ba kayong pagbabago sa infrastruktura ditto sa inyong barangay tulad ng mga lansangan at tulay? [ ] Mayroon [ ] Wala 1.1. Kung mayroon, anu-ano ang mga ito? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 2. Sa inyong palagay anu-ano ang mga ito? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 3. Kuntento ba kayo sa mga pagbabagong ito? [ ] Oo [ ]Hindi [ ] Hindi ko alam 3.1. Maging Oo o Hindi man ang inyong sagot, bakit ninyo nasabi ito? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ E. KATANUNGAN TUNGKOL SA PROYEKTO: 1. Alam ba ninyo na may plano ang DPWH na magkaproyekto ditto sa inyong lugar? [ ] Oo [ ] Hindi 2. Kung Oo, paano ninyo nalaman ito (CHECK AS MANY RESPONSES GIVEN)? [ ] Government/Barangay officials [ ] Balita ng kamag-anak/kaibigan/kapitbahay [ ] Opisyales/tauhan ng DPWH [ ] Radyo/TV/pahayagan [ ] Sa mga barangay meetings/konsultasyon [ ] Surveys at iba pang pag-aaral/reserts, 213 SEMS PF October 23, 2014 Page 214 [ ] Others ____________________ 3. Sa inyong palagay, anu-ano ang magiging epekto o maidudulot ng proyektong ito sa inyong lugar (PROBE TO GET AS MANY RESPONSES AS POSSIBLE)? Positibo: [ ] Pagkakaroon ng trabaho o ibang mapagkakakitaan (tulad ng ano?________________________________) [ ] Uunlad at magproprogreso ang barangay/bayan [ ]Uunlad ang mga negosyo ng mga nagtitinda sa tabi ng daan [ ] Mas medaling puntahan ang barangay/bayan [ ] Gaganda ang kapaligiran, hal., din a maputikan [ ] Di na mabilis masira ang mga sasakyang pribado at pampubliko [ ] Pagbaba ng bilang ng mga naaksidente sa daan [ ] Hindi ko alam [ ] Others ___________________________________________________________________________________ Negatibo: [ ] Pagkawala o pagliit ng bahay at lupa [ ] Polusyon ng hangin [ ] Polusyon ng tubig [ ] Pagkawala o pagdumi ng inuming tubig [ ] Hihina o masisira ang mga pananim, puno at halaman [ ] Pagdami ng tao/bahay o pagsikip ng lugar [ ] Pagkawala ng trabaho o kabuhayan [ ] Pagkasira o pagdumi ng kapaligiran [ ] Hindi ko alam [ ] Others ______________________________________________________________________________________ 4. Kung may negatibo o di-magandang epekto, sa inyong pananaw paano ito malulutas? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 5. Sa inyong palagay, paano makakatulong ang binabalak na proyekto ng DPWH sa inyong komunidad at sa mga residente nito? ______________________________________________________________________________________ 214 SEMS PF October 23, 2014 Page 215 ______________________________________________________________________________________ ____________________ 6. Pumapayag ba kayo na ituloy ang pinaplanong proyekto ng DPWH sa inyong lugar? [ ] Oo [ ] Hindi [ ] Hindi ko alam 6.1. Maging Oo o Hindi man ang inyong sagot, bakit ninyo nasabi iyan? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ F. KARAGDAGANG KATANUNGAN PARA SA MIYEMBRO NG “INDEGENOUS PEOPLEâ€? 1. Anong katutubong grupo ang inyong kinabibilangan? ___________________________________________________ 2. Gaano na katagal ang inyong katutubong grupo sa lugar na ito? ___________________________________________ 3. Sa inyong palagay, paano makakatulong sa inyong katutubong grupo ang proyektong binabalak ng DPWH ditto sa inyong lugar? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 4. Sa inyong palagay, paano naman makakatulong sa binabalak na DPWH proyekto ang inyong katutubong grupo? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 5. Sa tingin ninyo, may makakahandlang bas a pagtanggap ng inyong katutubong grupo sa binabalak na proyekto ng DPWH ditto sa inyong lugar? [ ] Meron [ ] Wala 5.1. Kung Meron, ano ang makakahadlang na ito at paano ito malulutasan? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ Maraming Salamat Po Sa Inyong Pagsagot! 215 SEMS PF October 23, 2014 Page 216 PERCEPTION SURVEY PROTOCOL No.:_______ Date:____________ Starting Time: ________ End:______ Name of Interviewee: ________________________ Location (Brgy/Purok)__________________________ DIRECTION: Check ï?? the appropriate box [ ] next to the interviewee’s response, or write on the blank if the response is not among the choices provided. Name of resident:_______________________________ Address:_________________________________ A. PERSONAL INFORMATION: 1. Gender (NO NEED TO ASK): [ ] Male [ ] Female 2. Age: [ ] 15-29 [ ] 25-29 [ ] 35-39 [ ] 45-49 [ ] 55-59 [ ]65up [ ] 20-24 [ ] 30-34 [ ] 40-44 [ ] 50-54 [ ] 60-64 3. Are you married ? [ ] Married [ ] Single [ ] Widowed [ ] Others_____ 4. What is your religion? [ ] Roman Catholic [ ] Born Again [ ] Jehova’s Witness [ ] Islam [ ] Iglesia ni Cristo [ ] Aglipayan [ ] Protestante [ ] Others:______________ 5. What is your highest educational attainment? [ ] Elementary level [ ] College level [ ] Others____________________ [ ] Elementary graduate [ ] College graduate [ ] High School level [ ] Vocational [ ] High School graduate [ ] None/No formal education 6. Are you employed? [ ] Yes [ ] No 6.1. If yes, what is your occupation? [ ] Farming If yes, [ ] Own a farm [ ] Tenant farmer [ ] Farm laborer [ ] Fishing if yes , [ ] Own a boat [ ] Fishery laborer [ ] Government employee (e.g., barangay official, teacher, health worker, etc.) [ ] Private employee (e.g. manager, clerk, messenger, secretary, etc.) [ ] Business owner (e.g. sari-sari store, vendor, shop owner, etc.) [ ] Laborer (e.g. construction, factory worker, etc.) 216 SEMS PF October 23, 2014 Page 217 [ ] Service employee (e.g. tailor, laundry, driver, etc.) [ ] Others _______________________________ 6.2. How much do you earn per month (ESTIMATE ONLY): [ ] Less than P1,000 [ ] P5,001-10,000 [ ] P15,001-20,000 [ ] P1,000-5,000 [ ] P10,001-15,000 [ ] More than P20,000 7. Were you born in this baranggay? [ ] Yes [ ] No 7.1. If No, for how many years have you been residing in this baranggay? [ ] 1-2 [ ] 3-4 [ ] 5-6 [ ] 7-8 [ ] 9-10 [ ] More than 10 8 Are you currently a member of an organization in this baranggay? [ ] Yes [ ] No 8.1. If yes, how many organizations? __________ 8.3. If yes, are you actively involved in any of these organizations? [ ] Yes [ ] No A> INFORMATION REGARDING THE HOUSEHOLD: 1. How many people live in this house? [ ] 1-2 [ ] 3-4 [ ] 5-6 [ ] 7-8 [ ] 9-10 [ ] More than 10 2 Are they all your relatives? [ ] Yes [ ] No 2.1 If No, how many are NOT your relatives? ___________________ 3 Are there other members of your household who provide financial support ? [ ] Yes [ ] No 3.1. If yes, how many members? ______________ C KATANUNGAN SA BAHAY: 1. Do you own this house?? [ ] Yes [ ] No 1.1. If Not, who owns this house (GET NAME)? ________________________ 2. Did you pay for the construction of this house yourself? [ ] Yes [ ] No 3. What types of materials were used in building this house? 217 SEMS PF October 23, 2014 Page 218 Roof Structure [ ] Wood [ ] Wood [ ] Cemento [ ] Concrete [ ] Nipa/cogon [ ] Nipa/cogon [ ] Bamboo [ ] Bamboo [ ] GI sheets [ ] GI sheets [ ] Others ____________ [ ] Others _______________ D INFRASTRUCTURE: 1. In the last 5 years, have you noticed any improvements in the infrastructure in your baranggay, such as roads and bridges? [ ] Yes [ ] No 1.1. If yes, what kind of improvements? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 2. In your opinion, what are the reasons for these improvements? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 3. Are you satisfied with these improvements? [ ] Yes [ ]No [ ] I don’t know 3.1. Why do you say so? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ E. INFORMATION ABOUT THE PROJECT: 1. Are you aware of the proposed DPWH project in your area? [ ] Yes [ ] No 2. If Yes, how did you hear of the projects (CHECK AS MANY RESPONSES GIVEN)? [ ] Government/Barangay officials [ ] Neighbors/Relatives [ ] DPWH Officials [ ] Radio/TV/Newspapers [ ] Barangay meetings/consultation 218 SEMS PF October 23, 2014 Page 219 [ ] Surveys/research [ ] Others ____________________ 3. In your opinion, what are the possible effects of the project(PROBE TO GET AS MANY RESPONSES AS POSSIBLE)? Positive: [ ] Creation of jobs and livelihood opportunities (such as?________________________________) [ ] Progress in the baranggay/municipality [ ] Opportunities for local vendors and businesses [ ] Better access to/from baranggay/municipality [ ] Cleaner surroundings [ ] Lower expenses for vehicle maintenance [ ] Fewer road accidents [ ] I don’t know [ ] Others ___________________________________________________________________________________ Negative: [ ] Loss of property [ ] Air pollution [ Water pollution [ ] Loss or contamination of drinking water [ ] Loss of plants, natural habitats [ ] Increase in congestion [ ] Loss of jobs or livelihood [ ] Damager or pollution of the environment [ ] I don’t know [ ] Others ______________________________________________________________________________________ 4. In your opinion, how should the negative effects be addressed? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 5. In your opinion, how can be the DPWH project help the community and its rsidents? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 219 SEMS PF October 23, 2014 Page 220 6. Are you in favor of the proposed DPWH project? [ ] Yes [ ] No [ ] I don’t know 6.1. Why do you say so? _______________________________________________________________________________________ _______________________________________________________________________________________ __________________ F. INDiGENOUS PEOPLE 1. To what indigenous group do you belong? ___________________________________________________ 2. How long has your group been in this location? ___________________________________________ 3. In your opinion, how can the proposed DPWH project help your indigenous group? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 4. In your opinion, how can your indigenous group help the proposed DPWH project? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ 5. In your opinion, are there problems in the acceptance or approval group of the proposed project by youy community? [ ] Yes [ ] No 5.1 If yes, what are these problems and how can they be addressed? ______________________________________________________________________________________ ______________________________________________________________________________________ ____________________ Thank You! 220 SEMS PF October 23, 2014 Page 221 ANNEX 11: S AMPLE C HAIN OF C USTODY F ORM Sample Chain of Custody Form Type of Sample Relinquished by Name of Sampler Date/Time Date/Time of packing Received by Number of samples Relinquished by Sample IDs Date/Time 1 7 Received by 2 8 Relinquished by 3 9 Date/Time 4 10 Received by 5 11 Relinquished by 6 12 Date/Time Name of Project Received for lab by Name of Lab 221 SEMS PF October 23, 2014 Page 222 ANNEX 12: C OMPLETE CNC APPLICATION F ORM 1. Name of Project Street/Sitio/Barangay Zone/Classification (i.e. industrial, residential) 2. Project Location City/Municipality Province Region 3. Proponent Name 4. Proponent Address Name Designation 5. Contact Person Landline No. Fax No. 6. Proponent Means of Contact Mobile No. Emal 7. Project Type/ Undertaking Capacity/Others: Space Allocation/Area (i.e. MW, m3, heads) (i.e. km, ha, sqm) Quantity to be Processed Others: 8. Project Size (i.e. MT of raw material) Production Rate (I.e. MT/year) 9. Description of Project Activities (i.e. during pre- construction, construction, operation and abandonment) Prepared/Submitted by: Concurred/Approved by: 222 SEMS PF October 23, 2014 Page 223 Signature over Printed Name Owner’s/Proponent’s Signature over Printed Name *The only requirement for CNC Application is to fill-up this form. No attachments are necessary. If additional space is needed for “Description of Project Activities,â€? a maximum o f 1 page may be attached. **As a general rule, DENR-EMB will process CNC Applications within the same day of receipt at the designated office. ***Be sure to secure the computer-generated tracking code assigned to your application, to be provided after presentation of proof of payment for the application fee. It will serve as assurance that your application has already been inputted into the DENR-EMB’s Automated Processing System and will be decided upon immediately. 223 SEMS PF October 23, 2014 Page 224 ANNEX 13: W ATER Q UALITY S AMPLING R EPORT T EMPLATE Water Quality Monitoring Report TABLE OF CONTENTS INTRODUCTION……………………………………………………………………….……………..…………………………..1 OBJECTIVES OF MONITORING…………………………………………………………………………………………….….1 THE SAMPLING TEAM……………………………………………………………………….…………………….……………1 PROCEDURE……………………………………………………………………………………………………………………..1 INSTRUMENTS AND METHODS……………………………………………………………………………………...………..1 SAMPLING STATIONS………………………………………..………………………………………………………………….1 QUALITY CONTROL AND ASSURANCE……………..…………………………………………………….…………………2 SAFETY AND SECURITY………………………………………………………………………………………………………..2 RESULTS…………………………………………………………………………………………………………………………..2 PROJECT ACTIVITIES DURING SAMPLING PERIOD……………………………..………………………………………..2 NATURAL INFLUENCES………………………………………….……………………………………………………………..2 OBSERVED WATER QUALITY………………………………………………………………………………………………….3 OTHER OBSERVATIONS…………………………………………….………………………………………………………….3 CONCLUDING REMARKS………………………..…………………………………………………………………………….3 GENERAL FINDINGS…………………………………………………………………………………………………………….4 RECOMMENDATIONS…………………………………..……………………………………………………………………….4 REFERENC………………………………………………………………………………………………………………………..4 ANNEXES………………………………………………………………………………………………………………..………..4 MAP OF SAMPLING STATIONS……………………………………..………………………………………………………….4 EQUIPMENT CALIBRATION REPORTS………………………………………...……………………………………………..4 PHOTOS……………………………………………………………………………………………………………………………4 LABORATORY RESULTS………………………………………………………………………………………………………..5 224 SEMS PF October 23, 2014 Page 225 10 INTRODUCTION Objectives of Monitoring {Identify the purpose of the monitoring, which will likely be for measuring baseline water quality conditions or as a means of ensuring compliance with environmental standards, ECC conditions and contractual requirements.} The Sampling Team {Identify who observed or participated in the activity, particularly MMT members if any were present.} Procedure {Cite the DENR Water Quality Sampling Manual as the principal reference for the sampling procedure.} {Provide a short narrative of the sampling exercise, monitoring the time and date of important activities.} Instruments and Methods {Identify the water parameters to sample, the recommended sampling procedure for each parameter, and the relevant standards. Identify the regulation covering the standard, such as DAO 24 or PNSDW. Identify brand model and type of sampling instruments. Make reference to their calibration schedules and their consistency with standard sampling procedures recommended by the DENR. Identify the Laboratory that supplied the sampling materials and performed the analysis. Mention that the laboratory is accredited to provide such services for all the parameters being sampled.} Sampling Stations {Prepare Table 1. Enumerate the sampling stations, making note that these stations were recommended in the environmental monitoring for the project. Point out the location of these stations relative to the project site in the vicinity map found in the annex. Identify the type of water sampled, whether river, marine, or groundwater Table 1. Sampling Stations. 225 SEMS PF October 23, 2014 Page 226 Station Name Location Type and usage Quality Control and Assurance {Describe the protocols taken to ensure quality in the measurements and results, including the use of blanks, spiked samples, duplicates, or split samples.} Safety and Security {Recount any safety or security measures adopted particularly those that called for changes in the sampling design.} Results Project Activities during Sampling Period {Discuss construction and other project activities that took place while monitoring was being conducted, noting those that may influence sampling results. Where necessary, prepare a table indicating the time and date of these activities.} Natural Influences {Characterize each source of water as to the following: ï‚· River water: depth and flow conditions; type of bottom sediment (rocky, sandy, silt); surrounding vegetation and land use; flow rate or velocity if possible ï‚· Ocean water: tidal amplitude and phase (based on tide table); wave conditions (whether calm, moderate or rough); bottom sediment (rocky, sandy, silt, coral);coastal habitat (coral, seagrass, mangrove, etc.); coastal land use ï‚· Groundwater: type (natural spring, monitoring well, deep well, or shallow well); approximate flow rate {Describe also the weather sampling, particularly the intensity of rainfall.} Laboratory Results {Should contain a copy of the form used by the laboratory for results of analysis. The name, address and contact number of the laboratory should be seen in the form. A signature of the person who conducted the analysis and a signature attesting to quality control by a superior should also be found in the form.} 226 SEMS PF October 23, 2014 Page 227 ANNEX 14: AIR Q UALITY M ONITORING R EPORT T EMPLATE TABLE OF CONTENTS INTRODUCTION……….….…………………….…………………………………………….…..………1 OBJECTIVES OF MONITORING….…………………………………………………………..………..1 THE SAMPLING TEAM….……………………………………………………………………………….1 PROCEDURE…………………………………….……………………………………………….……….1 INSTRUMENTS AND METHODS…………………………………… ……………..………………….1 SAMPLING STATIONS………………………………………………………………………………………………….1 QUALITY CONTROL AND ASSURANCE……………………………………..……………………….2 SAFETY AND SECURITY………………………………………………………………………………..2 RESULTS………………………………………………………………………………….……………….2 PROJECT ACTIVITIES DURING SAMPLING PERIOD…….……………………………………..…2 WEATHER CONDITIONS……… ………………………………………………………………………2 OBSERVED AIR POLLUTANT CONCENTRATIONS………………………………………………..3 NOISE……………….………………………………………… ……………………………………….…4 OTHER OBSERVATIONS……………………………………………………………………………….4 CONCLUDING REMARKS……………………………………………………………………………….5 GENERAL FINDINGS………………………………………………………………………………………………….5 RECOMENDATIONS……………………………………………………………………………………..5 REFERENCES………...…………………………………………………………………………………..5 ANNEXES……………….………………………………………………………………………………….5 MAP OF SAMPLING STATIONS ………………………………………………………………………5 EQUIPMENT CALIBRATION REPORTS……,………………………………………………………..6 PHOTOS……………………………………………………………………………………………………6 RAW DATA AND CALCULATIONS………………………………….….………………………………6 LABORATORY RESULTS…………………………………………………………………………………………………..6 227 SEMS PF October 23, 2014 Page 228 Introduction Objectives of Monitoring {Identify the purpose of the monitoring, which will likely be for measuring baseline air quality conditions, or as a means of ensuring compliance with environmental standards, ECC conditions and contractual requirements.} The Sampling Team {Identify parties who observed or participated in the activity, particularly MMT members if any were present.} Procedure {Cite the DENR Air Monitoring Manual as the principal reference for the sampling procedure.} {Provide a short narrative of the sampling exercise, monitoring the time and date of important activities.} Instruments and Methods {Identify the water parameters to sample, the recommended sampling procedure for each parameter, and the relevant standards. Identify the regulation covering the standard, DAO 2000- 81). Identify brand, model and type of sampling instruments. Make reference to compliance with their calibration schedules as evidenced by the calibration report attached in the annex and their consistency with standard sampling procedures recommended by the DENR. Identify the pollutants to sample, the recommended sampling procedure for each pollutant, the relevant standards, and the averaging time required for each standard. Make note of the appropriate section in the Clean Air Act covering the pollutant. Provide a brief summary of no more than two pages of the sampling procedure and method of analysis} Sampling Stations {Enumerate the sampling stations, making note that these stations were recommended in the environmental monitoring plan for the project. Point out the location of these stations relative to the project site in the vicinity map found in the annex. Describe the conditions at these stations in terms of the nearby receptors, their suitability in representing general air quality within the impact area, and any potential problems regarding their use, such as the presence of obstacles or hazards.} 228 SEMS PF October 23, 2014 Page 229 Table 1. Sampling Stations. Station Name Location Type and usage Quality Control and Assurance {Describe the measures taken to ensure quality in the measurements and results, including the use of blanks, spiked samples, duplicates, or split samples.} Safety and Security {Recount any safety or security measures adopted particularly those that called for changes in the sampling design.} Results Project Activities during Sampling Period {Discuss construction and other project activities that took place while monitoring was being conducted, noting those that may influence sampling results. Where necessary, prepare a table indicating the time and date of these activities.} Weather Conditions {Discuss the meteorological conditions based on recorded observations. Include a table with the headings shown in Table 2.} Table 2. Observed weather conditions during sampling. Station Date and Temperature Pressure Wind Wind Cloudiness Rain Time Speed Direction Infer air quality within the impact area not covered by the sampling stations, as well as air quality during periods when no sampling was conducted, based on your assessment of project activities and weather conditions as well as the observations of residents.} Concluding Remarks 229 SEMS PF October 23, 2014 Page 230 General Findings {Summarize main findings, reiterating critical results such as compliance or con-compliance with air pollution limits.} Recommendations {List possible solutions to the air quality issues identified, including opportunities to improve air quality. List also any changes that may be adopted to enhance the quality or success of the sampling exercise.} References List all journals, books, reports and other materials used in writing the report and interpreting the results. The Environmental Management Plan and the DENR Water Air Monitoring Manual must be among these references. Consult a style guide for the format. All references cited in the text should appear in the list; all entries in this list should have been explicitly cited somewhere in the text.} Annexes {Separate each annex using a title page.} Map of Sampling Stations {Should be small enough to resolve only the impact area, but large enough to show the project site and the sampling stations in one page. Indicate scale and direction of north. Mark areas of importance such as population centers, protected areas, well-known historical places and other landmarks. A small regional map indicating the boundaries of the map of sampling stations may also be included as an inset in the same page.} Equipment Calibration Reports {Should be the most recent and should prove that the recommended calibration schedules have been complied with. There should be one report for each piece of air sampling equipment used.} Photos {Photos should show the sampling instruments in operation and any adjacent structures that may be used to mark the location of the station. Photos should also demonstrate compliance with sampling site selection criteria.} Raw Data and Calculations 230 SEMS PF October 23, 2014 Page 231 {All or a representative sample of the raw data and calculations used in arriving at the concentrations presented in the table of results should be attached. Include the Data Sheet for Noise Monitoring, calibration curves, flow rate readings, corrections for a Normal atmosphere, and references to constants used. This annex should allow a retracing of the results and concentrations reported from the instrument readings and laboratory reports.} Laboratory Results {Should contain a copy of the form used by the laboratory for results of analysis. The name, address and contact number of the laboratory should be seen in the form. A signature of the person who conducted the analysis and a signature attesting to quality control by a supervisor should also be found in the form.} 231 SEMS PF October 23, 2014 Page 232 ANNEX 15: N OISE M ONITORING D ATA S HEET Data Sheet for Noise Monitoring Name of Project Station Day Date Time of first reading Time of last reading Wind spd Wind dir Temp Rel. Humidity Rain? o (mps) (C ) (%) Remarks/other observations: Name and signature of observer Noise Total Cumulative Level Occurrences occurrences Occurrences (dBA) 90 89 88 87 86 85 84 83 82 81 80 79 78 77 76 75 74 73 72 71 70 Results: L10: L50: L90: 232 SEMS PF October 23, 2014 Page 233 ANNEX 16: E NVIRONMENTAL M ANAGEMENT P LAN Issue Objective Target Activity/Mitigation Measure Indicator Responsible Timing Cost Party Refers to a problem or The overall policy An ideal condition A strategy or program of action to meet the target Measurable Persons or agency Schedule, The costs of the concern that should be objective or guiding or milestone sought parameters with responsible for frequency or measure, including prevented principle covering the by the measure which progress in carrying out the completion the source of issue addressing the issue measures or dates for the funding can be gauged overseeing their activities completion Loss and damage to To ensure that any All identified PAPs 1. Conduct linear mapping. Number of DPWH, NHA and Activity 1-6: Compensation and property impact on property is are properly 2. Conduct socioeconomic survey including an inventory complaints from LGUs Before entitlement of avoided, mitigated or compensated in a of PAPs and extent of expected impact on properties. PAPs about construction. project Affected properly timely manner and 3. Conduct Public Consultation regarding compensation. compensation families will be compensated. in accordance with 4. Conduct validation of compensation and check whether Activity 7: decided in the the DPWH impacts on PAPs can be avoided through changes in the Number and During and Resettlement To ensure fair and Resettlement design or construction method. percentage of PAPs after Action Plan (RAP) peaceful land Policy. 5. Implement compensation scheme and any technically compensated construction acquisition and economically feasible design changes to lessen the impact on PAPs Total amount of 6. Discuss the issue with the contractor compensation for 7. Monitor progress of compensation until all PAPs have PAPs been satisfied. Temporary loss of To minimize the loss The vegetative 1. Plan operations so as to minimize damage to vegetation Area or percentage Activity 1: The During design Minimal vegetative cover or restore vegetative cover is restored 2. Specify in the Construction Specifications where spoils of vegetative cover in Design Consultant. and cover due to before the end of and materials should not be stockpiled open areas near construction Activity 2 The construction and the construction 3. Monitor stockpiling project site Contractor related operations period 233 SEMS PF October 23, 2014 Page 234 Activity 3: The Engineer Spoils and Construction To ensure safe and All excess soil 1. Estimate the amounts and types of spoil and Amount of soil The Engineer During Cost will depend on Waste Disposal proper disposal of generated by the construction waste to be generated by the project. disposed of assisted by the construction the scale of the spoil and project is either 2. Plan cut-and-fill methods so as to minimize spoils EIAPO project; a separate construction waste. reused or disposed 3. Investigate whether the waste can be reused in the Incidents of waste line item shall of at designated project or by other interested materials and spoils include in the Bill of disposal sites improperly Quantities Issue Objective Target Activity/Mitigation Measure Indicator Responsible Timing Cost Party Clean and sanitary kitchens, eating areas and sleeping quarters shall be provided. 3. No trees or vegetation should be cut for cooking. Poaching of wildlife and vegetation by workers should be strictly prohibited. 4. A sewage treatment system shall be in place to control sanitary and kitchen effluents. 5. Oil and lubricants (used or spent) should be stored in covered, concrete-lined structures. Spent oil and 234 SEMS PF October 23, 2014 Page 235 lubricants shall be removed from the site by the Contractor in full compliance with the national and local regulations on hazardous waste. Oil waste must not be burned. 6. Fuel storage tanks should be surrounded by concrete secondary containment with a capacity exceeding that of the tank’s. 235 SEMS PF October 23, 2014 Page 236 7. Hazardous materials and wastes shall be stored on impervious ground under cover. The area shall be constructed as a spill tray to avoid spread of accidental spills. Safe ventilation of storage of volatile chemicals shall be provided. Access to areas containing hazardous substances shall be restricted and controlled. 8. Solid waste shall be managed according to the national and local regulations. As a rule solid waste must not be dumped, buried or burned at or near the project site, but shall be disposed off to the nearest sanitary landfill or site having and complying with the necessary permits. 9. The Contractor shall organize and maintain a waste separation, collection and transport system. 236 SEMS PF October 23, 2014 Page 237 Issue Objective Target Activity/Mitigation Measure Indicator Responsible Timing Cost Party Soil Erosion To minimize soil No landslides or 1.Fill should be compacted properly in accordance with Number and extent The Contractor During Costs of stabilizing erosion heavy scouring design standards of slope protection construction exposed slope during the 2.Unsuitable excavated materials should be removed from measures installed. through vegetation construction period. areas prone to erosion and structures shall 3. Adopt slope protection measures like, gabions and Sizes of areas be included in the mattresses, grouted riprap and other structures that will planted with trees Bill of Quantities. hold unstable soil. and vegetation. Costs should 4. Tree planting on road sides include 5. Slopes shall be planted with appropriate vegetation as Incidents of maintenance soon as possible using previously stockpiled topsoil. landslides. monitoring 6.In the short-term, either temporary or permanent drainage works shall protect all areas susceptible to Incidents of major The contract for erosion. Measures shall be taken to prevent ponding of scouring replanting and surface water and scouring of slopes. Newly eroded maintaining the channels shall be backfilled and restored to natural trees or vegetation contours. can be awarded to local cooperatives or NGO 1. Identify alternative routes for vehicles Traffic Congestion To minimize Smooth and safe Traffic flow Contactor During 2. Assign traffic endorsers disturbance and flow of traffic construction accidents Siltation To minimize siltation Minimal impact on 1.Stockpiling of earth fill shall be placed away from Water quality The Contractor During Minimal and protect water receiving waters drainage systems and water bodies and covered with parameters construction quality suitable material during the rainy season 2. Spoils and other material shall not be stored where 237 SEMS PF October 23, 2014 Page 238 natural drainage will be disrupted. Work Camp Operation To ensure that the Work camps are 1. Identify location of work camps in cooperation with the Incidents of non- The DPWH and Activity 1 All items shall be at and Location operation of work operated in LGU’s. Camps should not be located near existing compliance with LGUs for site before the Contractor’s camps does not accordance with settlements or near drinking water supply intakes. Cutting DPWH requirements selection and construction; own expense. adversely impact the DPWH of trees shall be avoided and removal of vegetation shall or sound permitting; Activity 2 to 8 environment and requirements and be minimized. environmental Contractor and during residents in the area. sound 2. Adequate bathrooms, toilets and wash areas shall be practices. Engineer. construction; environmental provided for employees. Activity 9 to practices. 11 after construction Issue Objective Target Activity/Mitigation Measure Indicator Responsible Timing Cost Party Small rivers or streams shall be discouraged. If extraction is necessary, then the extraction points shall be spread out along the length of the river to minimize disruption in river flow and to prevent instability to embankments. 7. The depth of material removal at any one location shall be limited, and extraction areas shall be limited, and extraction areas shall be selected where there is little fine material to be carried downstream. 8. Local residents and water users shall be consulted to ensure that irrigation intakes, bunds and local fishing are not adversely impacted. 238 SEMS PF October 23, 2014 Page 239 Dust/air/noise Pollution To minimize the dust Air quality should 1.All heavy equipment and machinery shall be well Complaints from the The Contractor Monthly All costs of and smoke be within the limits maintained and tested to ensure compliance with vehicular residents about dust during complying with emissions allowed by the emission limits on air pollution construction noise and air 1999 Philippine 2.Mufflers shall be installed in all equipment that can be caused by the project at stations pollution from To minimize noise Clean Air Act at all fitted with them selected by vehicles should be generation and times 3. Stockpiled sand and soil shall be slightly wetted before Visible dust caused the DENR or borne by the disturbance loading. by the construction identified in Contractor. Disturbance to the 4. Vehicles transporting sand and soil shall be covered operations. the EIS community is with a tarpaulin. Dirt and gravel roads through residential minimal areas shall either be black-topped or surfaced with Air quality bamboo-reinforced concrete. measurements 5. Blasting and the operation of heavy equipment shall be conducted only in daylight hours. Noise measurements 6. Vegetative buffer zones shall be maintained to protect during construction populated and sensitive area from road activities. operations 7. Spraying of bare areas with water 8. Mixing equipment should be well sealed 9. Heavy equipment shall observe speed limits. Issue Objective Target Activity/Mitigation Measure Indicator Responsible Timing Cost Party Disposal of spoils and Generation of spoils 1. Identify potential safe disposal sites close to the project. Location of disposal For disposal construction waste and construction Investigate the environmental conditions of the disposal area waste. sites and prepare recommendation of most suitable and safest site(s). Amount of spoils 2. Incorporated reuse of waste materials and the use of Dumped. designated disposal sites in the detailed design. 3. Require the contractor to document reuse and safe Amount of waste 239 SEMS PF October 23, 2014 Page 240 disposal of spoils and construction waste. materials reused 4. Instruct the construction waste disposal. Quarrying To ensure All quarry activities 1. Estimate amounts and types of materials to be used in Incidents of DPWH and Before, during The cost of environmental safe are conducted in the project. quarrying in non- contractors and after compliance with the quarrying at accordance with 2. Identify potential quarry sites, and inquire contractors to designated sites. construction requirements shall designated sites. DPWH conduct the necessary studies and obtain the required be included in the requirements and permits and licenses. Incidents of Contractor’s rate for To ensure that sound 3. The clearing of trees and natural vegetation shall be violations of sound supplying materials; quarrying is environmental discouraged. Temporary ditches and/or settling basins environmental quarry or priced in a conducted with the practices. shall be dug to collect runoff water and to prevent erosion practices. separate appropriate permits and contamination of surface water. Environmental Quarrying is only 4. Ponding of water shall be prevented through temporary Management and conducted in drains discharging to the natural drainage channels. Restoration designated quarry 5. The site should be restored back to safe and (Quarries) line item. sites, with proper ecologically sound conditions after quarrying has ceased For this line item. permits (unless the quarry is to continue its operation). The site For this line item, shall be left in a stable condition, without steep slopes. the consultant will Stripped material shall be spread to stable contours in prepare technical order to promote percolation and re-growth of natural specifications for vegetation and natural drainage. The site shall be drained, which the and no standing water shall remain. Contractor will 6. Extraction of rocks, gravel and sand from borrow pits include a cost estimate. 240 SEMS PF October 23, 2014 Page 241 Issue Objective Target Activity/Mitigation Measure Indicator Responsible Timing Cost Party 7. The Contractor shall document that all liquid and solid hazardous and non-hazardous wastes are separated, collected and disposed according to the given requirements and regulations. 8. At conclusion of the project, all wreckage, rubbish, or temporary works that are no longer required shall be removed or given to local residents. All temporary structures, including office buildings, shelters and latrines, shall be removed to prevent encroachment within the road right-of-way. The site shall be restored to near natural, safe and stable conditions. 9. Exposed areas shall be planted with suitable vegetation. 10. The Engineer shall report in writing that the camp has been vacated and restored to pre-project conditions. Health and Sanitation To maintain sanitary No incidences of 1. Install enough toilets, bathrooms and wash areas for Number of sanitary The Contractor During The cost of conditions at the illness due to poor workers and visitors. facilities construction complying with the worksite sanitation 2. Adopt system for garbage collection and treat the solid requirements shall Presence of a sewage wastes. be at the Adequate number treatment system Contractor’s own of sanitary facilities Presence or absence of expense and No improper of domestic waste at should be included disposal of places other than at in the day after domestic waste garbage bins or work rates for labor. designated collection areas. Number of illness due 241 SEMS PF October 23, 2014 Page 242 to poor sanitation 1. Identify a safety officer who will provide Occupational safety To ensure the safety Zero accidents at guidance in safety and monitor of the site 242 SEMS PF October 23, 2014 Page 243 ANNEX 1: E NVIRONMENTAL M ONITORING P LAN WITH E NVIRONMENTAL Q UALITY P ERFORMANCE L EVEL ENVIRONMENTAL MONITORING PLAN (EMoP) with ENVIRONMENTAL QUALITY PERFORMANCE LEVELS (EQPLs) Potential Sampling & Measurement Plan EQPL MANAGEMENT SCHEME Parameter Annual Key Environmental Aspects Impacts Per Fre- Lead EQPL RANGE MANAGEMENT MEASURE to be Estimate per Project Phase Envit’l Method quen Location Person Monitored d Cost ALERT ACTION LIMIT ALERT ACTION LIMIT Sector cy PRE-CONSTRUCTION I. PHASE Environmental Aspect # 1 Water Total Grab weekl Indicate Project P500/sa Quality: Suspended sampling; y coordi- PCO mple * 2 (shown with a sample entry Siltation Solids (TSS) RA9275 nates/ bottles/ in succeeding columns) lab Descrip- station/w analysis tion of k * 52 method station wks/yr = P52,000 Environmental Aspect #2 II. CONSTRUCTION PHASE Environmental Aspect #1 Environmental Aspect #2 III. OPERATION PHASE Environmental Aspect #1 Environmental Aspect #2 IV. ABANDONMENT PHASE Environmental Aspect #1 243 SEMS PF October 23, 2014 Page 244 Environmental Aspect #2 1EQPL-Environmental Quality Performance Level o Alert or Red Flag : early warning o Action Level : point where management measures must be employed so as not to reach the regulated threshold or limit level, or to reduce deterioration of affected environmental component to pre-impact or optimum environmental quality o Limit Level : regulated threshold of pollutant (standard that must not be exceeded); point where emergency response measures must be employed to reduce pollutants to lower than standard limit. 244 SEMS PF October 23, 2014 Page 245 Parameter Method and Location Frequency Responsible Reference Cost Scope Party Water quality: Color, In situ (with water 4-6 stations in water Monthly MMT DENR turbidity, dissolved quality analyzer) and bodies crossing the Administrative Order oxygen, BOD, Total grab sampling project site (b) No. 34 (1990) dissolved and suspended solids Water quality: Odor, Sensory Receiving waters Weekly Contractor color Air quality: Total 1990 Philippine Selected population Monthly MMT 1989 Philippine suspended Clean Air Act centers near project Clean Air Act particulates (TSP) site (b) sulphur dioxide (SO2), nitrogen dioxide (NO2) Air quality: dust, Visual inspection Bare areas Daily to weekly Contractor 1989 Philippine visibility, watering pf during dry periods Clean Air Act bare areas Noise and Noise meter Same as air quality Monthly MMT 1978 NPCC Rules disturbance sampling stations and Regulations Sensory, complaints Closest homes Weekly Contractor from residents Hiring of local Inspection of Project site Hiring periods; start Contractor, MMT D.O ** (19**) workers records of project stages Worker health and Site inspection Project site, workers’ Daily to weekly Contractor DOLE guidelines Nil safety camp Waste management Site inspection Project site, workers’ Daily Contractor Solid Waste Act Nil 245 SEMS PF October 23, 2014 Page 246 camp and sensitive areas Hazardous materials Visual inspection Depot, fuel and Weekly Contractor R.A. 6969 Nil handling material storage sites 246 SEMS PF October 23, 2014 Page 247 ANNEX 2: I NSPECTION C HECKLIST FOR P RE -C ONSTRUCTION Monitoring Checklist (Pre-Construction Phase) Instructions: 1. Entries ending in a question mark generally refer to the existence or availability of an item and should be answered by Yes or No. 2. Fill in the “Remarksâ€? column to provide additional detail on an item. Name and Location Project __________________________________________________________________ Name of Contractor ________________________________________________________________________ Name of Supervising Contractor ______________________________________________________________ General Remarks Name of environment officer Name of health officer Name of safety officer Expected number of workers MMT organized (w/MOA)? Copy of ECC/CNC onsite? ECC/CNC posted in public? Copy of EMP onsite? NOVs? Status Action taken Sensitive areas near project site Remarks Distance to nearest water body Distance to nearest protected area Dist. to nearest sensitive populated area* Spoils Remarks Spoils disposal site Disposal site permit? Garbage disposal site/method 247 SEMS PF October 23, 2014 Page 248 Permit for garbage disposal site? Traffic Remarks Traffic near project site** Alternate route needed? Other remarks: *School, church, hospital, etc. **Heavy, moderate, minimal Campsite/Depot Remarks Location of campsite (proposed) Distance to nearest water body Distance to nearest protected area Dist. to nearest sensitive populated area* Other remarks: Quarry Remarks Name of quarry site Date of ECC Date of quarrying permit Other remarks: Tree Cutting Remarks Number of trees to be cut Name and address of Replanting contractor Other remarks: Shoulders/Side Slopes/ROW Remarks Portion vegetated (%) Eroded / collapsed sections? Homes / structures? 248 SEMS PF October 23, 2014 Page 249 Other remarks: Water Bodies Remarks Name of water body Type of water body Local usage Location Nearest project facility Condition Clarity Color Odor Bank stability Oil present? Silt or spoils present? Garbage present Other remarks: General findings: NOTE: USE ADDITIONAL SHEETS IF NECESSARY Name__ ______________________________ Date of inspection ______________________ 249 SEMS PF October 23, 2014 Page 250 ANNEX 3: I NSPECTION C HECKLIST FOR C ONSTRUCTION P HASE Instructions: 1. Entries ending in a question mark generally refer to the existence or availability of an item and should be answered by Yes or No. 2. Fill in the Remarks column to provide additional detail on an item. Name of Location of Project ________________________________________________ Name of Contractor__________________________________________________ Name of Supervising Contractor_________________________________________ General Remarks Name of environment officer Name of health officer Name of safety officer Number of workers MMT organized (w/ MOA)? Copy of ECC/CNC onsite? Copy of EMP onsite? NOVs? Status Action taken Sensitive areas Remarks Distance to nearest water body Distance to nearest protected area Distance to nearest sensitive populated area* Spoils Remarks Spoils disposal site Disposal site permit? Dust Remarks Water truck for dust Frequency of use Dust deposits? Dust levels** Security Remarks Fencing? Access to outsiders? 250 SEMS PF October 23, 2014 Page 251 Traffic Remarks Road Warnings? Flagman? Alternate route? Traffic near project site Other remarks: *School, church, hospital, etc. **Heavy, moderate, minimal Worksite Safety Remarks Hardhat use (%) Safety shoes (%) Hearing protection* (%) Dust masks* (%) Eye protection* (%) Clinic present? First aid kits? Emergency transport? Fire extinguishers? Date of PPE inspection HandS orientation Other remarks: *Where applicable Sanitation Remarks No. of workers No. of sleeping areas No. of toilets No. of showers Type of toilet and disposal Wastewater treatment? Waste bins available? Garbage disposal method Final disposal site Garbage collected? 251 SEMS PF October 23, 2014 Page 252 Stagnant water? Other remarks: Depot Remarks No. of oil/fuel tanks Secondary containment? Fire extinguishers? Oil in soil? Oil in water? Uncollected oily wastes*? Stagnant water? Other remarks: *For example: containers, rags, used oil filters, engine parts Hazardous materials Remarks Type Amount Storage/disposal system Explosives Remarks Quarry Remarks Name of quarry site Date of ECC Date of quarrying permit 252 SEMS PF October 23, 2014 Page 253 Any unstable areas? Any open pits? Drainage present? Waste piles stable? Vegetation restored? Other remarks: Tree Cutting Remarks Number of trees cut No. of seedlings planted No. of saplings planted Est. survival rate (%) Name and address of replanting contractor Other remarks: Shoulders/Side Slopes/ROW Remarks Portion vegetated (%) Uncollected spoils? Eroded/collapsed sections? Encroachment? Other remarks: Hiring Skilled Unskilled Number % of total Number % of total No. of workers (peak) 100 100 No. from host baranggay No. from municipality No. from province Total from same area Total from other areas Sources of information (name and designation) Other remarks: 253 SEMS PF October 23, 2014 Page 254 Water Bodies Remarks Name of water body Type of water body Local usage Location Nearest project facility Condition: Clarity Color Odor Bank stability Oil present? Silt or spoils present? Garbage present? Other remarks: General findings: NOTE: USE ADDITIONAL SHEETS IF NECESSARY Name___________________________________ Date of inspection_________________________ 254 SEMS PF October 23, 2014 Page 255 ANNEX 20: I NSPECTION C HECKLIST FOR P OST -C ONSTRUCTION P HASE Monitoring Checklist (Post-Construction Phase) Name and Location of Project _________________________________________________________ Workers’ Camp Yes No Remarks Structures removed? Vegetation restored? Toilets removed? Septic tank desludged? Garbage hauled? Other remarks: Depot Yes No Remarks Oil/fuel tanks removed? Structures removed? Scrap collected? Oil in soil? Oil in water? Other remarks: Quarry Yes No Remarks Any unstable areas? Any open pits? Drainage present? Waste piles stable? Vegetation restored? Other remarks: Tree Cutting Remarks Number of trees cut No. of seedlings planted 255 SEMS PF October 23, 2014 Page 256 No. of saplings planted Est. survival rate (%) Name and address of Replanting contractor Other remarks: Shoulders/Side Yes No Remarks Slopes/ROW Portion vegetated (%) Uncollected spoils? Eroded / collapsed sections? Encroachment? Other remarks: Hiring Skilled Unskilled Number % of total Number % of total No. of workers (peak) 100 100 No. from host barangay No. from municipality No. from province Total from same area Total from other areas Source of information (name and designation) Other remarks: Water Bodies Name of water body Type of water body 256 SEMS PF October 23, 2014 Page 257 Local usage Location Nearest project facility Condition: Clarity Color Odor Bank stability Oil present? Silt or spoils present? Garbage present? Other remarks: General findings: NOTE: USE ADDITIONAL SHEETS IF NECESSARY Name _____________________________ Date of inspection ___________________ 257 SEMS PF October 23, 2014 Page 258 ANNEX 21: S AMPLE F RAMEWORK FOR S OCIAL ACTION P LAN Estimat Issue or Responsibilit Required Actions Timing ed Cost Notes Impact y (USD) (i) Livelihood impacts Identify Income Not a mandate of Identify on resettled restoration strategy for DPWH. This will households affected persons and linkages for be coordinated businesses. livelihood with partner Impact: Significant restoration agencies Disaggregated livelihood (gender livelihood such ethnicity, income, etc) as: DSWD, data required; to be DOLE, etc. tracked over the life of the project. (ii) Coverage and Ex. Coordinate the Individual Ex. Start affordability—waste establishment of households, component with disposal Community-based Waste Management Identify other waste Impact: Minimal Groups (CBWMG). institutions characterization/ Support project engage in solid need survey. impacted barangays waste wards with waste characterization study, leading to basic organization set up, equipment (iii) Road and safety Identify Road safety Identify entity To be See Social barriers. budgete Impact audit to be undertaken responsible for d within Assessment. Impact: identify as a part of detailed this the impact if significant or road construction detailed not design. Design is to design phase. take into account physical barriers to safely guide pedestrian access and provide for safe lateral road crossings. Crossing structures will 258 be installed at locations SEMS PF October 23, 2014 Page 259 convenient to local communities. Supplementary road safety awareness may be considered for local communities and schools. (iv) Pollution, traffic Establish and train Identify related See Social and delays related to community-based or appropriate Impact project construction. monitoring committees institution Assessment. (CBMC) at commune Impact: Identify levels to monitor and whether impact is supervise construction minimal or high of project sub- components. (vii) Inadequate Participatory Action Identify entity communication and Plan focused on in charge information vulnerable households, dissemination. (viii) Risk related to An HIV/AIDS and communicable Human Trafficking disease control and human trafficking. Awareness and Prevention Program will Impact: Significant or be further considered in insignificant? the design phase. HIV/AIDS awareness and prevention measures to be included in the contractors’ contracts. (ix) Assurances Adoption of Safeguards Project PMU Meeting between supporting requirements for the and contractors to application of social project implementing review and agree safeguards. agencies to to apply DPWH sign to uphold safeguard safeguards in requirements. the project. 259 SEMS PF October 23, 2014 Page 260 (x) Indigenous Involvement of IP Persons representative groups Impact: Significant or and committees in insignificant project development Ensure that livelihood restoration effectively addresses IP needs and issues and that impacted households attend resettlement- sponsored trainings. Ensure the input, participation and IP households on Lang Son/Dong Dang town CBMCs. (xi) Gender issues Mainstream gender PMU to within all project coordinate the Impact: Significant. components; meaningful consultation development developed; capacity and building; resettlement implementation and livelihood restoration, etc. of the Gender Action Plan (see Annex ____. The Project Supervision Consultants to provide oversight, coordination. 260 SEMS PF October 23, 2014 Page 261 ANNEX 4: G ENDER ACTION P LAN F RAMEWORK FOR I NFRASTRUCTURE P ROJECT Objectives and Activities Target Beneficiaries Responsibility Time Budget Frame 1. Improvement of water facility and sanitation in low income areas a) Provision of level 2 Identify name of facilities in target barangays to be barangays reaching at least __ % of women served b) Construction of public Identify names of toilets with separate barangay and specific facility for women location (coastal area, school, etc) c) Others initiatives 2. Institutional Strengthening and capacity building a) Community based water Identify recipient management of level 2 barangays facilities by women b) Training of 2nd liner Identify locatin of leaders and women elders watershed areas in Watershed management c) Support for DPWH Specify target groups /DEO/LGU staff (budget, to be trained such as other office needs, training activities) health workers, how many women? 3. Public Awareness and information campaign on water, sanitation, hygiene and rights of women a) Promotion of information City wide coverage, messages re health and barangay, etc hygiene b) Regular checkup of Identify the women’s health beneficiaries c) Continuous information City Wide coverage; dissemination and Identify specific area seminars on women’s rights and beneficiaries 4. Skills Development and training a) Training on practical skills Solo female parents for women IP women Disabled women Who else? b) Link women to micro- Solo female parents credit for capital fund and Poor households 261 SEMS PF October 23, 2014 Page 262 other income generating Who else? opportunities 5. Linkages and Participation in Women’s Program Linking women’s needs to Identify target Women’s Resource Center or other basic services ï‚· Number of women and men participating in vocational and professional training. ï‚· Representation of women and men in Community Based Monitoring Committees increases from __% (in the first year) to __% in the last year of the project. ï‚· Number of women and men with increased awareness of HIV/AIDs issues. ï‚· Number of women provided with livelihood support ï‚· Number of women and men receiving leadership training ï‚· Number of women receiving health check up ï‚· Number of women utilizing the intervention 262 SEMS PF October 23, 2014 Page 263 ANNEX 23: C HECKLIST FOR S OCIAL D IMENSION 1 Topics to be addressed in the Social Analysis A. Identify the project beneficiaries ï‚· Identify the population living within the area to be served by the project; ï‚· Identify the subgroups within this population, which , may have differing needs, demands and absorptive capacities (e.g., large medium and small-scale farmers; share farmers and sharecropper; landless rural laborers; fisher folks; traders; rural enterprise owners and employees, etc.); and ï‚· Prepare a socio-economic profile for the population, which would be affected by a project component or subproject. The profile should provide, needs, demands and absorptive capacities of each subgroup. Among other aspects, the profile should describe and quantify the population of each subgroup, differentiated by gender; occupations, levels of assets and incomes; savings and indebtedness; levels of education and literacy; the number of households, household sizes, the number of single-headed households. Are there ethnically or culturally distinct and/ or isolated communities within the area? B. Beneficiaries Needs ï‚· Determine the perceived needs of the subgroup(s) for improving food security and income; ï‚· Examine strategies for employment creation, productivity increase, sustainable production, transport, storage and processing of agricultural products for discussion with client groups; and ï‚· Assess whether the proposed infrastructure project will enable them to obtain a more secure and improved livelihood. C. Beneficiaries Demands ï‚· Assess the ability and willingness of the beneficiaries to pay for project inputs and/or provide labour to improve their agri-based production system (e.g., though the use of improve seed varieties, by accessing formal or informal credit for production purposes, local initiative to establish village-based or production- based organizations, etc.). identify and determine efforts which have already been made by members of the community and examine the experiences of those involved and their perceptions of whether these efforts have been successful; and ï‚· Determine what changes are proposed by the project and examine what these changes imply for beneficiaries inputs to the systems, including labour, time, type and intensity; energy; sustainable use of land, water and forest resources; machinery; pesticides; fertilizers; seeds. Consider the implications for processing and marketing products. 263 SEMS PF October 23, 2014 Page 264 D. Absorptive Capacity ï‚· Establish whether the changes to be introduced under the project represent a radical change from existing practices (e.g., from nomadic pastoralism or slash- and-burn agriculture to intensive, sedentary farming systems). Determine whether such changes have been successfully accomplished in similar communities elsewhere; ï‚· Determine if there are alternative, less risky, forms of assistance to groups building on the existing systems; ï‚· Determine, through consultation, the subgroup’s understanding of, and attitudes to, the changes expected; ï‚· Determine whether these groups have been given information, which will help them to fully understand the magnitude of the change expected, and the resulting costs, benefits, risks and obligations; ï‚· Determine whether formal and informal religious leaders, NGOs support the project; if support is not evident, determine possible reasons for, and implications of, their lack of support; ï‚· If credit assistance is being considered, assess the extent to which persons in the community have used credit and have experience in repaying credit; ï‚· Assess socio-cultural beliefs and practices, which may limit likely acceptance (e.g., resistance to changes in cropping patterns due to ritual significance of certain crops, resistance to individually based credit systems which cut across kin group land ownership, kin responsibilities, mutual help traditions); and ï‚· Determine how these factors could be accommodated in the project design. E. Gender Issue ï‚· Assess the relative roles and division of labour between men and women in the total agricultural system, household food security, household or small-scale agricultural processing and marketing, off-farm employment and community work in different client subgroups; ï‚· Determine the project will change these roles; ï‚· Assess the relative access to resources of women and men, e.g., credit, equipment, land, water and forest, training opportunities; ï‚· Identify constraints faced by women in gaining access to resources, including time, financial, literacy, asset ownership, and cultural or religious constraints; and ï‚· Identify whether major decisions, which may influence the adoption of technologies or practices, are made by women, men or jointly by women and men. Assess the implication of this decision-making framework on the mechanisms that are to be used to communicate project-related information to the community. F. Potential Adverse Impacts 264 SEMS PF October 23, 2014 Page 265 ï‚· Identify group(s), which maybe disadvantaged by the project. For example, through relocation, loss of rights to use land, loss of income, loss of cultural properties (e.g., ancestral land, burial ground, etc.); ï‚· Prepare a socio-economic profile for each vulnerable group, which will quantitatively describe and quantify the impact of the project on the affected group; ï‚· Identify, assess and discuss options for avoiding mitigating or compensating groups, which may adversely affected; and ï‚· As soon as possible, provide as much information as possible to these communities about the project; conducts dialogues with the communities that may potentially be adversely affected; and report on these dialogues and conclusions, which may be reached during dialogues. 2 Participatory Development Process ï‚· Facilitate discussions between client subgroups and executing agencies to give the clients a meaningful input to project design (e.g., in the selection of appropriate farming technologies, location of subprojects, in identifying the necessary extension services, in identifying and approving the layout of canals for irrigation subprojects, etc.); and ï‚· Identify mechanisms for the participation of the client subgroups during planning, implementation and operation (e.g., consultative mechanisms between government and communities; training of extension staff in client-centered approaches; roles for local leaders; use of formal and traditional information channels in different languages and for different literacy levels; collaboration with farmers in adaptive research trials and monitoring of project effectiveness; development of new client organizations or strengthening of existing ones to serve different subgroups; provision of training for local groups in management, financial and technical skills, etc.). 3 Delivery Mechanisms (Institutional Issues) ï‚· Assess the capability of the executing agency to deliver services to the target groups in ways which are commensurate with the group’s ability to use them. Consider the mandate and commitment of its leadership to poverty reduction objectives and participatory approaches; available resources. Assess any political constraints or tensions, which may interrupt the flow of benefits; and the extension staff acceptability, coverage and effectiveness to target subgroups; ï‚· Determine if there are any policy constraints, which my hinder effective project implementation (e.g., agricultural subsidies, agricultural trade restrictions, rural banking policies, new land development/environmental conservation, inter- agency coordination, etc.); 265 SEMS PF October 23, 2014 Page 266 ï‚· Formulate appropriate recommendations and initiate dialogues with concerned agencies or groups and/or assess how these policy constraints can be considered more creatively in project design; ï‚· Assess training needs of executing agency staff; ï‚· Formulate a training plan, which reflects the needs and priorities of staff members, train staff in the social dimensions, especially in client-centered approaches, in working with NGOs. Private sectors and local groups; and ï‚· Assess the need for NGOs to assist as intermediaries with these group(s), define the roles, which NGOs may perform and identify criteria for selecting NGOs or other intermediaries, which may be involved. 4 Benefits of Monitoring and Evaluation ï‚· Identify a few indicators of the achievement of the project output(s), purpose(s), and goal(s) for each component, which would be incorporated into the Project Targets column of the project framework table; See monitoring indicators of SDP and GAP and RAP. (currently formulated) ï‚· Specify indicators to monitor and evaluate the delivery and distribution of benefits to the target groups identified; and to identify adjustment required during implementation to meet the needs of groups more effectively. 266 SEMS PF October 23, 2014 Page 267 ANNEX 24: I NDICATORS FOR G ENDER INDICATORS FOR GENDER (i) Target beneficiaries ï‚· Beneficiaries are gender-disaggregated. ï‚· No. of men and women interviewed in the proposed project area. ï‚· Socioeconomic profile specified the particular needs of women and girl children ï‚· Data collected included women’s role in the home and community (ii) Participation ï‚· No. of men and women who participated in the decision making during consultation ï‚· Needs of women and girls were considered in the project design ï‚· No. of men and women that will benefit from the project positively (negatively) ï‚· Any legal, cultural, or religious constraints to the potential participation of women or girls in the project. ï‚· Cultural, social, religious, and other constraints on the potential participation of women; ï‚· No. of women’s organization consulted regarding the project Project Benefits • No. of men and women are equally benefitting the project • No. of men and women who were considered for employment short term or casual • No. of men or women who were employed on long term basis. • Sex-disaggregated data collected to monitor gender impact? • Project design mechanism that supports the needs of women. Institutional support • Implementing agency have the capacity to deliver services to women and/or girls? • Implementing agency have female field staff, e.g., female extension workers? • Implementing agency have budget to strengthen counterpart gender analysis, gender • planning, and implementation capacity; HIV/STDS No. of men and women who were participated in awareness campaign on HIVs/STD No. of men and women trained No. of men and women utilized as trainors in awareness creation Women participated in monitoring 267 SEMS PF October 23, 2014 Page 268 ANNEX 25: DPWH E NVIRONMENTAL P ROTECTION C LAUSES (Sample only; from Volume II :Standard Specification and VolumeIIA: Special Provisions, Baruio-Bontoc-Banaue Road ( Halsema Highway), DPWH/PMO-IBRD, April 1998) Site Visit 1. The Bidder acknowledge and shall verify that he has visited the site and location of the Works and is familiar with the environmental sensitivity and socio-economic conditions of the site and the surrounding area; the conformation of the ground; the character, quality and quantity of materials to be encountered; the character of equipment and facilities needed preliminary to and during the execution of the Works; the equipment to be furnished and installed and all other matters affecting the Works. Natural Environment 2. The Project is located in a relatively remote and under-developed area and is characterized by heavy seasonal rainfall and steep mountain slopes which are prone to frequent landslides. Forests form a protective cover against erosion and slope failure, and are the habitat for a number of mammals and birds, of which some are rare or endangered and protected under Philippines laws. 3. It is defined objective of the DPWH and the funding agency to implement the project in a manner that will cause minimum temporary and permanent disturbance to the existing conditions, especially the existence and condition accordance with the conditions stipulated in the projects ECC issued by the DENR. The Bid Documents and in particular the Conditions of Contract and Special Provisions of the Specifications have been set up accordingly. 4. Bidders are expected to obtain a clear understanding of the natural environment and the potential problem areas. Construction activities and the erection and operation of the Contractor’s temporary facilities shall take into account the above mentioned objective. Bidder should be aware that Restricted areas have been identified along the alignment where the Engineer may direct that additional precautions be taken or certain activities disallowed. Social Context 5. The Project is situated in a relatively remote and under-development area inhabited by poor indigenous ethnic groups undergoing rapid cultural change. The poorest families and most vulnerable group (e.g. female-headed households).in particular, survive from day-to-day by means of complex networks of dept, mutual obligations, barter, trading, laboring, subsistence production and sale of produce for cash. These arrangements can easily be disrupted, for example, by road closure or cutting of an irrigation pipe. 6. As with natured environment, it is the defined intention of DPWH and the funding agency to implement the project in such a way as to minimize any disruptions and 268 SEMS PF October 23, 2014 Page 269 consequent hardships to residents and road users, and in particular to maintain access along the road for the transport of perishable vegetables produce. 7. Bidders should duly consider socio-economic aspects in their construction planning and related activities. In particular, their attention is drawn to the contractual conditions relating to the maintenance of pre-existing utilities and services, especially water supplies, restrictions on road closure, the recruitment of the labor forces and their accommodation, wages and conditions. Environmental Protection Environmental Protection Plan 8. Within one month of his arrival on site, the contractor shall submit an Environmental Protection Plan (EPP) with operational details of his proposals to the Engineer for his approval Environmental Officer 9. The contractor shall have on his staff on site for the duration of the Contract a designated officer qualified to promote and maintain sound environmental management during construction and specifically the implementation of the approved EPP. This officer shall have the authority to issue instructions and shall take precautionary measure to prevent environmental damage, including, but not limited to, the establishment of environmentally sound practices and the training of staff and labor in their implementation. Bioengineer 10. The Contractor shall have on his staff on site for an appropriate period of at least one individual who has practical experience in the use of vegetation for civil engineering purposes and who shall be approved by the engineer. Such an individual is likely to have successfully completed tertiary studies in forestry, agricultural engineering, landscape architecture or environmental sciences, and will be responsible for the Contractor’s bioengineering program and re-vegetation of all land affected by the Contractor’s activities with the clean up restoration of the lands used and re-vegetation of disturbed grounds provisions of these Special Provision. Environmental Protection during Construction 11. The road crosses or passes close to several areas of existing or recent instability and the engineer shall have the power to disallow the method of construction and/or the use of any borrow/stockpile /spoil disposal area if in his opinion the stability and safety of the Works or any adjacent feature is endangered, or if there is undue interference with the natural or artificial drainage, or if the method or use of the area will promote undue erosion. In particular, the Contractor shall note that side-casting of spoil (down slope disposal of material from excavation) will not normally be permitted. Borrow areas and quarries shall be sited, worked and restored in 269 SEMS PF October 23, 2014 Page 270 accordance with Clause 102.2.8 of these Special Provision. Spoil shall be disposed of at approved disposal sites prepared, filled and restored in accordance with Clause 102.2.10. 12. Following excavation, the Contractors shall take all steps necessary to complete drainage and slope protection works in advance of each rainy season. Erosion or instability or sediment deposition arising from operation not in accordance with the Specifications shall be made good immediately by the Contractor at his expense. 13. Not with standing approval of the intended method of working, the Contractor shall at all times be responsible for constructing the earthworks in accordance with the specifications and drawings. 14. The project area can experience inclement weather – fog, heavy rainfall and typhoons – and earthquakes. It will be deemed that the Contractor is familiar with these conditions and has formulated his work program considering possible loss of time due to these causes, and it shall be the obligation of the Contractor to revise his work programme and enhance his construction efforts as necessary to ensure timely completion of the work scheduled for each working season. Where damage from rainfall, flooding or earthquakes is exceptional the provisions of sub- Clause 20.4 and 44.1 of the General Conditions shall apply. Revegetation of Disturbed Ground 15. Where directed by the engineer, the Contractor shall establish vegetation on fill slopes, cut slopes of IV:IH or less, worked out borrow pits, and other areas which may include roadway shoulders and verges, spoil disposal areas, gullies, and stream and river banks. Prior to placing topsoil and/or establishing vegetation on embankments, all fill material not compacted to the required standards shall be removed from the slopes. 16. The Contractor shall be responsible for supplying sufficient planting material ro carry out all revegetation work, and shall establish and operate plant nurseries as necessary and shall make his own arrangements for procuring cutting, slips and seed for growing. Prevention of Pollution 17. The Contractor shall ensure that his activities do not result in any contamination of land or water by polluting substances. He shall implement physical and operational measures such as earth bunds of adequate capacity around fuel, oil and solvent storage tanks and stores, oil and grease traps in drainage system from workshops, vehicle and plant washing facilities and service and fuelling areas and kitchens, the establishment of sanitary solid and liquid waste disposal systems, the maintenance in effective condition of these measures, the establishment of emergency response procedures for pollution events and dust suppression, all in accordance with normal good practice and to the satisfaction of the Engineer. 18. Should any pollution arise from the contractor’s activities including the improper deposition of sediment, he shall clean up the affected area immediately at his own 270 SEMS PF October 23, 2014 Page 271 cost and to the satisfaction of the Engineer, and shall pay full compensation to any affected parties. Protection of Trees and Vegetation 19. Unless otherwise provided in the Specifications, the contractor shall ensure that no tree or shrubs or waterside vegetation are felled or harmed except for those required to be cleared for execution of the Works. The Contractor shall protect trees and vegetation from damage to the satisfaction of the Engineer. The Contractors shall be responsible for obtaining any necessary felling permits and for ensuring the disposal of felled trees in accordance with prevailing regulations. No tree shall be removed without the prior approval of the Engineer and any competent authorities. Should the Contractor become aware during the period of the Contract that any tree or trees designated for clearance have cultural or religious significance he shall immediately inform the Engineer and awaits his instruction before proceeding with clearance. 20. In the event that trees or other vegetation not designated for clearance are damaged or destroyed they shall be repaired or replace to the satisfaction of the Engineer. Use of wood as fuel 21. The Contractor shall not use or permit the use of wood as a furl for the execution of any part of the Works, including but not limited to the heating of bitumen and bitumen mixtures, and to the extent practicable shall ensure that fuels other than wood are used for cooking, space and water heating in all his camps and living accommodation. Any wood so used must be harvested legally, and the Contractor shall provide the Engineer with copies of the relevant permits if required. Fire Prevention 22. In addition to the provision of adequate fire- fighting equipment at his base camp and other facilities to the satisfaction of the Engineer, the Contractor shall take all precautions necessary to ensure that no vegetation along the line of the road outside the area of the permanent works is affected by fires arising from the execution of the Works. These precautions shall include: a. Prevention of fires for any purpose in the vicinity of the Works except where expressly permitted by the Engineer. b. Provision of approved firefighting equipment at designated points along the road; such equipment will include a minimum of 5 back – pack water sprayer, 20 flame – beaters, 20 shovels, 10 machetes, and 10 Mattocks at each point; designated points will include the areas in the periphery of the project site. 23. Should a fire occur in the natural vegetation or plantations adjacent to the road for any reason the Contractor shall immediately suppress it. In the event of any other fire 271 SEMS PF October 23, 2014 Page 272 emergency in the vicinity of the Works the Contractor shall render assistance to the civil authorities to the best of his ability. 24. Areas of forest, scrub or plantation damaged by fire considered by the Engineering to have been initiated by the Contractor’s staff or labor shall be replanted and otherwise restored to the satisfaction of the Engineer at the Contractor’s expense Restricted Areas 25. In undertaking the Works, the Contractor shall be aware that the Engineer will not grant permission for temporary facilities including but not limited to borrow pits, quarries and labor camps and ancillary facilities/ activities of the project. The Engineer may also prohibit or restrict the Contractor’s activities in other ecologically, culturally or historically sensitive areas which become known to him during the course of the project. The location of any such areas shall be notified to the Contractor by the Engineer at the earliest opportunity. Relations with Local Communities and Authorities 26. In sitting and operating his plant and facilities and in executing the Works the Contractor shall at all times bear in mind and to the extent practicable minimize the impact of his activities on existing communities. Where communities are likely to be affected by major activities such as road widening or the establishment of a camp or quarry or extensive road closure or bypassing, he shall liaise closely with the concerned communities and their representatives and if so directed, shall attend additional meeting arranged by the Engineer or employers to resolve issues and claims and minimize impacts on local communities. 27. Any problem arising from his operations and which cannot be resolved by the Contractor shall be referred to the Employer through the Engineer. The Contractor shall be responsible for any compensation due or reinstatement necessary with respect to any damage caused by him to areas outside the site and no separate payment will be made in this regard. Privately of Community – Owned Services and Structured 28. The Contractor shall take all necessary precautions to ensure that no public or private services, utilities or similar facilities are damage or interrupted by the Works. These precautions shall include but not be limited to liaison with public and private service provider, local government units, and private owners; a condition survey of all affected services; provision of a satisfactory alternative service whilst the Works are carried out; and reinstatement of a satisfactory permanent facility completion of the Works in each area. 29. No services or utilities shall be disturbed or cut before arrangements have been made for a satisfactory alternative service, or the Contractor has obtained agreement in writing from the service provider or owner to a temporary cessation of service. 272 SEMS PF October 23, 2014 Page 273 30. Not less than 14 days before commencing site clearance on any particular section of road in accordance with his agreed Programme of Work, the Contractor shall supply the Engineer for his approval a copy of his condition survey of all utilities and services to be affected, copies of any agreements with service providers and owners, his plans for providing temporary service, and his plans for reinstating permanent service following construction of the Works. 31. Provision of temporary and permanent services shall be to at least the pre-existing level of service and to the satisfaction of the Engineer. Water Supply for Construction 32. The Contractor shall make his own arrangements at his own expense for water supply for construction and other purposes. Only clean water free from deleterious materials and of appropriate quality for its intended use shall be used. In providing water the Contractor shall ensure that the rights of and supply to existing users are not affected either in quality, quantity or timing. 33. In the event of a dispute over the effect of the Contractor’s arrangements on the water supply of others, the Engineer shall be informed immediately and shall instruct the Contractor as to appropriate remedial actions to be undertaken at his expense. Hot Mix Screening and Crushing Plants 34. The Contractor shall not locate any hot-mix, screening, crushing or similar potentially polluting plant closer than 200 m to any settlement, unless such plant is fitted with dust suppression equipment and be operated and maintained at all times in conformity with the manufacturer’s specifications, instructions and manuals. Conservation of Topsoil 35. Where shown on the Drawings or directed by the Engineer the Contractor shall remove topsoil. The depth of the topsoil to be stripped shall be as directed by the Engineer. Where directed by the Engineer the Contractors shall prior to removal of topsoil, excavate trial holes of a sufficient depth to enable the Engineer to measure the depth of the topsoil, Topsoil shall be stripped and stockpiled in locations safe from erosion, mixing with other material, or compaction by construction traffic, The Contractor shall maintain a record of the volume and location of topsoil stockpiles. Borrow Pits and Quarries 36. The Contractor shall make his own arrangements for the supply of any necessary aggregates including compensation for landowners and others, the acquisition of any necessary permits from the competent authorities, access, and site clearance and restoration, subject to the provisions of these Specifications and the Conditions of Contract. 273 SEMS PF October 23, 2014 Page 274 37. In making his arrangements for winning and working construction materials the Contractor shall bear in mind his duties and responsibilities towards the public and the environment as stipulated in the Conditions of Contract. He is reminded in particular of his obligations to liaise with local communities with respect to borrows and quarries and access to them, to seek the Engineer’s approval for his plans for moving large quantities of material on any particular route, to work safely and not to cause or exacerbate nuisance or health problems, not to damage or interfere with public or private property or resources, to remedy or compensate for any damage or accidents caused by his actions, to leave excavated sites and related facilities in a condition fit for productive use and otherwise acceptable to the landowner and the Engineer, and to ensure that his Sub-Contractors are under identical obligations as himself. 38. At least 14 days before he intends to commence opening up any approved borrow pit or quarry, the Contractor shall submit to the Engineer his intended method of working and restoration. This shall include but not limited to: i. the location, design and method of construction of any access track; ii. the volume and nature of materials to be removed’ iii. the sequence and method of excavation of materials; iv. measures for controlling runoff and sediment from the site during operation; v. proposals for site restoration including approximate finished levels, drainage, erosion and sediment control, slope stabilization and re-vegetation, including restoration of the access track where so directed by the Engineer. 38. No borrow pit or quarry operation shall be permitted until the method of working proposed by the Contractor for that particular pit or quarry has been approved by the Engineer in writing. The Contractor should note that the nature of the terrain through which the road passes severely restricts the number of environmentally acceptable sites for borrow pits and quarries. 40. The Contractor shall supply the Engineer with a copy of the relevant quarrying permits and his agreement with any landowner when so directed. Notwithstanding permission from others, such borrow pits and quarries may be prohibited or restricted in dimensions and depth by the Engineer where: i. they might affect the stability or safety of the Works or adjacent property or land; ii. they might interfere with natural or artificial drainage; iii. they may be environmentally unsuitable. 41. Where the Contractor obtains his construction materials from borrow pits and quarries operated by others, the Engineer reserves the right to disallow such materials where the borrow pits or quarries in question are unlicensed or fall under 5 (i), (ii) or (iii) above. 274 SEMS PF October 23, 2014 Page 275 42. The Contractor should note that all borrow pits, quarries and associated access tracks and stockpile areas shall be restores unless otherwise directed by the Engineer. Restoration shall generally be to stable vegetated and in some cases may be to agriculture or forestry use, to the satisfaction of the Engineer. 43. The Engineer may direct that materials be selected in borrow pits which may include double handling, stockpiling and excavation in particular areas of a borrow pit. 44. The Contractor shall construct all accesses, clear and remove all vegetation, boulders and unsuitable or oversize materials and dispose of it, in an approved manner. The Contractor shall provide adequate supervision in every borrow pit and quarry to ensure that suitable materials is not contaminated with unsuitable material. Unsuitable material shall be spoiled in accordance with Clause 102,2,10 of these Special Provisions. 45. The Engineer may permit or direct that worked-out borrow pits or quarries be used as spoil disposal sites. 46. On completion of work all excavations shall be restored in accordance with the plans approved under (4) above. The Contractor shall pay particular attention to the establishment of stable side slopes in excavations and a stable permanent drainage system. Where for any reason a working face is to be left exposed, the edge shall be permanently fenced, as instructed by the Engineer, and measurement and payment for such fencing shall be in accordance with Part 1 of the Standard Specifications. 47. The Employer reserves the right to inspect the site of any borrow facilities or quarries established or used by the Contractor in connection with the Works and to undertake any corrective measures necessary to reinstate the site, and to recover the cost from monies due or to become due to the Contractor. Spoils and Spoil Disposal 48. All suitable excavated materials shall be used insofar as is practicable in constructing the Works. Surplus and unsuitable material whether from site clearance, excavations, failed cut or fill slopes, landslides, or maintenance operations, shall be known as spoil. 275 SEMS PF October 23, 2014 Page 276 49. Unless otherwise permitted by the Engineer under paragraph (4), all spoil shall be deposited at spoil disposal sites approved in advance by the Engineer in accordance with Clause 102.1.3. 50. The Engineer’s approval of any spoil disposal site shall not in any way relieve the Contractor of his responsibility, inter alia, for land acquisition, provision of temporary access, works preparatory to spoiling, management of the spoiling operation, and making good after completion of spoiling. 51. Where the alignment transverses side-long ground and spoil volumes are low, or where existing environmental damage is so great that the additional impact from soil disposal would be insignificant, the Engineer may permit limited side-casting. Permission will be granted in writing for specific sections of roadway not exceeding 25 m in length. Where side-casting is permitted, the volume of material side-cast shall be limited to the surplus from the adjacent earthwork. Unless exempted by the Engineer, in all locations where side-cast material exceeds 250 mm average depth the surface will be revegetated in accordance with Clause B.3.5. The Engineer may direct that additional vegetation and stabilization measures be applied to side-cast slopes. 52. Spoil disposal sites will fall into three categories: i. borrow pits and quarries, whether pre-existing or opened up specifically for the road contract ii. riverside sites; iii. other sites where spoil disposal will not result in a potential safety hazard, instability, erosion, or water management problems. iv. Preference shall be given to the backfilling of borrow pits and quarries as an aid to site reinstatement and to a larger number of smaller sites. 53. Riverside sites shall be located only on major rivers with a high natural bed load, including and limited to valley-bottom sites on the following rivers; River Chico or Cayacayan River, River Guilron, River Talubin below Talubin Bridge, but not their tributaries. Riverside sites should be chosen such that land take is minimized and the presence of spoil in the river channel will not harmfully deflect the flow under flood conditions. Local communities must have given their informed consent before any riverside site shall be permitted. Riverside sites will not be permitted in areas of cultivated land if alternative sites are available in the vicinity, or in riverine forest. 276 SEMS PF October 23, 2014 Page 277 54. No spoil disposal sites shall be located: -on level irrigated rice terraces -on slopes of more than 25 degrees -where geological structures are unfavorable to stability (e.g. in fault or sheer zones or where structural planes are dipping out of slope) -on slopes that are being undercut by stream erosion -on spurs above converging stream channels -on talus slopes or in any situation where they might be expected to load a slope along a failure plane -in any watercourse or drainage line whether permanent or seasonal except those permitted under paragraphs (4) and (6) Disposal sites should also avoid forest, cultivated land, active slope failure areas, and gullies. Areas of groundwater discharge, sources of drinking or irrigation water, areas where failure of the spoil tip would endanger or harm the Works or buildings or cultivated land, and areas where permanent stabilization of the filled disposal area would be difficult. 55. The Engineer may restrict, prohibit, or otherwise modify the Contractor’s spoil disposal proposals if in the Engineer’s opinion they are likely to cause unacceptable environmental damage. 56. Except at riverside sites or where side cast, the Contractor shall prepare each approved disposal site to receive spoil by: i. marking the boundaries of the site with white paint so that the perimeter is clearly visible. ii. Erecting a sign at the entrance to the site with the words “Road Project Tipping Areaâ€? 277