INTEGRATED SAFEGUARDS DATA SHEET APPRAISAL STAGE . Report No.: 89938 . Date ISDS Prepared/Updated: 21-Apr-2014 I. BASIC INFORMATION 1. Basic Project Data Country: Philippines Project ID: P145237 Project Name: Preparation of a program towards sustainable flood management in the Greater Metro Manila Area Task Team Leader: Joop Stoutjesdijk Estimated Board Date: 31-Dec-2015 Managing Unit: EASPS Sector(s): Water, Sanitation, and flood protection – flood protection (80%); Public Administration, Law and Justice - water, sanitation and flood protection (20%) Theme(s): Environment and Natural Resources Management – water resources management (60%); Public Sector Governance – managing for development results (20%); Social Protection and Risk Management – natural disaster management (20%) Is this project processed under OP 8.50 (Emergency Recovery) or OP 8.00 No (Rapid Response to Crises and Emergencies)? Project Financing Data (in USD Million) Total Project Cost: 2.73 Total Bank Financing: 0.00 Financing Gap: 0.00 Financing Source Amount Borrower 0.00 Japan Policy and Human Resources Development (PHRD) technical 2.73 assistance grants program, Pillar IV Total 2.73 Environmental Category: A - Full Assessment Is this a Repeater project? No Is this a Transferred No project? . . 2. Project Development Objective(s) The proposed development objective is to prepare priority projects that aim to improve flood 2 management and resilience in the Greater Metro Manila Area. . 3. Project Description The recently approved Metro Manila Flood Management Master Plan proposes a large program of priority infrastructure to safely manage and control major flood events in the Greater Metro Manila Area that comprises Metro Manila and Laguna de Bay and its shore area. Among the main large-scale priority interventions that have been identified in the Master Plan are: (i) a high dam in the upper Marikina River catchment area to reduce the peak flows entering the city during typhoon and other extreme rainfall events; (ii) flood protection works in the Marikina River, upstream of the proposed Phase IV of the Pasig-Marikina River Channel Improvement Program; (iii) land raising or another similar development along the western shore of Laguna de Bay to protect the population against high water levels in the lake; and (iv) further development of a comprehensive flood forecasting system and monitoring and early warning system for the Greater Metro Manila Area. The Government of the Philippines (GoP) intends to start the implementation of the Master Plan with substantial investments as soon as possible. It is therefore necessary to prepare some of the large high priority investments, both structural and non-structural, as well as develop improved institutional arrangements for flood management. Such investments will be essential to make substantial improvements to flood management in large parts of the Greater Metro Manila Area. The proposed PHRD grant will finance three components, the main one related to the development of feasibility and design studies of priority infrastructure that will lead to substantially increased safety of the population during flood events and the second one related to the development of institutional arrangements for sustainable flood management that will support the implementation and management of the infrastructure to be developed under the main component, as well as the management of existing and other future infrastructure. A small third component relates to project management and administration. Component A – Preparation of feasibility and design studies for priority flood management infrastructure. Considering the work government is doing, with the financial support of JICA, under the Pasig-Marikina River Channel Improvement Program, the PHRD grant will finance the design of flood protection works in the Marikina River, upstream of the proposed Phase IV of the Pasig- Marikina River Channel Improvement Program. It will also finance the development of a comprehensive flood forecasting system and monitoring and early warning system for the Greater Metro Manila Area. The work to be done on the Marikina River under this proposed grant will complement the work done by DPWH and JICA and will improve the capacity to safely convey floods through the entire Pasig-Marikina River System within Metro Manila. The other infrastructure referred to above is expected to be designed with financial support from an Australia grant. All studies will have to be prepared in close cooperation. The design phase under the PHRD grant will include the technical and engineering studies, economic studies, and social and environmental studies, all in compliance with the relevant World Bank Operational and Safeguard Policies and government requirements, and up to a level ready for appraisal/financing by the government. DPWH will be the main government agency to work with the consultants on the development of the proposals for flood protection works in the Marikina River, but will work closely with other agencies such as MMDA, Department of Interior and Local Government (DILG), and Local Government Units (LGU). The flood forecasting and early warning system will build on existing infrastructure such as the JICA- financed Effective Flood Control Operation System (EFCOS). EFCOS does not cover the entire Greater Metro Manila Area and more needs to be done within that larger area to be able to carry out proper forecasting and especially warning of the population. The proposed work to be carried out 3 under this component will not lead to duplication of efforts, but will expand on all the existing systems to ensure that the entire Greater Manila Area is fully covered. As there will always be residual flood risks (and it will take time to implement the Master Plan), it is important that a good flood forecasting and warning system is in place for the Greater Metro Manila Area. Although DPWH is the main implementing agency for the proposed grant, the main agency for flood forecasting and early warning is the Philippine Atmospheric, Geophysical and Astronomical Services Administration (PAGASA) under DOST, while MMDA is also involved in the management of existing flood forecasting systems, such as EFCOS. As such, the consultants will work very closely with DOST-PAGASA, MMDA, and other relevant agencies on the development of flood forecasting and early warning proposals. Multi-disciplinary teams of consultants, with expertise in engineering, resettlement, hydrology, instrumentation, economics, social science, environment, etc., will be recruited to prepare detailed feasibility and design studies for the above mentioned proposed interventions. It is envisaged that one consulting firm will be hired for the technical studies on the Marikina River and another consulting firm/institute for the social and environmental impact assessments, including the social surveys that will target the communities that are affected by the potential Marikina River project and that may have to be resettled. In addition, one consulting firm will be hired for the flood forecasting and early warning studies. Component B – Development of institutional arrangements for sustainable flood management. The institutional setup for flood management in the Greater Metro Manila Area is very fragmented with many agencies involved, often with overlapping mandates. The Master Plan recommends that there is a lead institution, working in partnership with other agencies and stakeholders to achieve the objectives of integrated flood management. The Master Plan has provided various options for the consideration of government, but it has requested for additional support and advice. A consulting firm will be recruited to develop in detail the optimal institutional arrangements for flood management in the Greater Metro Manila Area that would be acceptable to government. The team will include expertise in institutional development, change management, engineering, operation and maintenance (O&M), finance, etc. Component C – Project management and administration. Operational expenses for DPWH will be financed to manage the implementation of the grant and monitor the consultants and the outputs of the services. Fixed costs, such as staff costs, will be paid for by DPWH. 4. Project location and salient physical characteristics relevant to the safeguard analysis (if known) The project location is the Greater Metro Manila Area, in particular the Upper Marikina River. . 5. Environmental and Social Safeguards Specialists on the Team Maya Gabriela Q. Villaluz ( EASPS ) Victoria Florian S. Lazaro ( EASPS ) . 6. Safeguard Policies Triggered? Explanation (Optional) Environmental Assessment OP/BP 4.01 Yes While the project only supports the preparation of engineering designs of a priority investment identified in the Metro Manila Flood Management Master Plan, i.e. protection works in the 4 Upper Marikina River, and the conduct of environmental and social assessments for these priority investments, including resettlement studies, the policy is triggered since these studies are expected to lead to investments expected to have positive but also potentially adverse environmental and social impacts, including resettlement of mostly informal settlers, if not managed adequately. Part of this project is the conduct of environmental and social assessments and resettlement (rehousing) studies to precisely assess impacts and put forward options and mitigation measures to be considered in the engineering designs of the proposed main investment. The environmental and social assessments will be carried out by DPWH with technical assistance and support from qualified consultants to ensure that the Bank's and the National Government's environmental and social safeguard policies are being followed and complied with. The environmental and social impact assessment will carefully assess the environment and social impacts of the priority investment, including impacts from ancillary facilities as well as cumulative impacts, and lay out detailed plans for mitigation in the Environmental and Social Management Plan (ESMP), including a monitoring and reporting program. An institutional assessment and capacity building plan for DPWH's Environmental and Social Safeguards Division (ESSD) will be prepared as well. The ESMP will be properly costed to ensure that the costs to fully implement it get incorporated into any future civil works contract. The various options in terms of sites, alignments, resettlement (rehousing) will also be analyzed as part of the ESIA. A Grievance Redress Mechanism will be developed and be detailed in the ESMP and be presented to the communities 5 during public consultations. Natural Habitats OP/BP 4.04 Yes The ESIA will identify, if any, natural habitats and other ecologically sensitive areas that may be affected by the priority investments. The project will not support activities that would significantly convert or degrade critical natural habitats consistent with the policy. If the ESIA indicates that a project would significantly convert or degrade non- critical natural habitats, the project would include acceptable mitigation measures in the ESMP. Such mitigation measures could include, as appropriate, minimizing habitat loss (e.g. strategic habitat retention and post-development restoration) and establishing and maintaining an ecologically similar protected area. Forests OP/BP 4.36 Yes The ESIA will confirm the project impacts on forests and forest-dependent communities, if any, in and around the river system. As needed, the ESMP will include measures to address impacts on forests, forest health, and forest- dependent communities. Pest Management OP 4.09 No The project will not support directly or indirectly any investments that would trigger the policy. Physical Cultural Resources OP/BP 4.11 Yes The ESIA will closely assess the various alternative technical options to determine any possible cause of disturbance and negative impacts to historical areas, architectural land marks, and other cultural property, which may need to be mitigated. During construction, the landscape of the sites may also be affected and structural damage to old structures may occur due to vibrations and excavation of adjacent areas. The ESIA will confirm impacts of priority investments on physical cultural resources (PCR), and where needed a PCR management plan will be formulated as part of the ESMP, including chance find procedures that will be followed during construction. Indigenous Peoples OP/BP 4.10 Yes The whole of Metro Manila does not 6 have ancestral domains and/or Indigenous Peoples (IP) communities. However, a study done in early 2000s for another project found that there are IP communities in the upland areas of 8 LGUs of Rizal Province, where a section of the upper part of the Marikina River study area is located. It is unlikely that IP communities are present, but nevertheless an identification will be carried out by the social and environment consultants early on during the implementation of the studies and if the screening confirms a presence in the river’s flood plain study area, a social assessment to comply with OP 4.10 will be incorporated in the environmental and social impact assessment and either an IP Framework and/or IP Plan will be developed, as needed. Involuntary Resettlement OP/BP 4.12 Yes The Master Plan has indicated that thousands of families, both formal and informal, are living in the flood plain of the Upper Marikina River. Although technical solutions are sought that do not require resettlement of people, the investments may cause temporary and permanent physical and economic displacement of people occupying the flood plain. A Resettlement Policy Framework (RPF) and/or Resettlement Action Plan (RAP) will be prepared. The RPF and/or RAP will be guided by a series of rehousing studies. The RPF and/or RAP will assess various alternatives/options that will have the least impacts on people living in danger flood zones and factor these findings in the engineering designs. In addition, impacts to potentially affected persons and planning for mitigation of the same to their housing and livelihood conditions are important aspects of the studies to be made. The outcomes of these studies will influence the decision on the final configuration of the investments, including alignments. The RPF or RAP will provide a 7 sufficiently detailed analysis of the resettlement/rehousing impacts, social impacts, and the institutional aspects in order to be able to provide detailed recommendations on how these should be taken into account during implementation. Particular attention will be given to the key institutions and different government entities involved in the resettlement/rehousing. Interventions may include institutional strengthening activities, development of Peoples Plans, etc. The terms of reference (ToR) for the preparation of the RPF or RAP will be cleared by the Regional Safeguard Adviser (RSA) prior to their beginning. An independent Panel of Experts will be established to oversee inter alia the preparation of the RPF and/or RAP and provide guidance, where needed. The Panel will include expertise in social, resettlement, and urban planning and development. Identification of potentially linked activities/projects such as those implemented by DPWH, Metro Manila Development Authority and LGUs will also be carried out at the beginning of project preparation and if it is established that some of the activities and projects are related, the preparation of appropriate safeguards instrument will be discussed with the counterparts. The identification of linked activities/projects will be done as one of the first activities in the ESIA and will be carried out by the consultants, in cooperation with government counterparts, the Bank’s task team supported by the regional safeguards adviser, and the Panel of Experts. Safety of Dams OP/BP 4.37 No There are no dams in the direct catchment of the Marikina River. Projects on International Waterways OP/BP No There will be no sub-projects in 7.50 international waterways. Projects in Disputed Areas OP/BP 7.60 No There will be no sub-projects in disputed 8 areas. . II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the proposed project. Identify and describe any potential large scale, significant and/or irreversible impacts: The project itself is meant to produce design studies. While by itself the project is not expected to have social and environmental impacts, the studies will identify impacts related to future construction of the design interventions and incorporate mitigating measures in ESMPs and the design of the civil works. The future implementation of the identified priority projects may cause temporary and/or permanent displacement of people currently living in the flood plain of the Upper Marikina River. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: Improved flood management in the Greater Metro Manila Area is the anticipated result of expected future activities. This will help improve the quality of life and socio-economic well-being of communities that currently are perennially subjected to flooding as well as the overall environmental quality in the Greater Metro Manila Area. 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. An analysis of alternatives, in terms of type of civil works and locations, was carried out as part of the master plan preparation. A more detailed analysis will be carried out early on during the implementation of this project to determine in detail which of the infrastructure investments will have the least environmental and social impacts. The selected option will then be worked out up to design level, including tender documents. 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. DPWH is familiar with the Bank Safeguards Policies. It has an Environment and Social Safeguards Division, primarily dedicated to the environmental and social impact management of their different projects. It maintains separate sets of safeguard standards depending on the funding source of the project it implements. The performance of ESSD, based on the recent World Bank thematic review for the Philippines, points to the need of putting in place a capacity building program if it is to be in charge of handling safeguard issues during the future implementation of the designs prepared under this project. ESSD will benefit by strengthening its capacity to manage and coordinate the safeguards principles and procedures especially related to the preparation of the environmental and social assessment studies and for resettlement/rehousing of affected communities living in the flood plain of the Upper Marikina River. The consultants that will prepare the ESIA, ESMP, and RAP, as needed, will work closely with ESSD during the preparation of the studies. An independent Panel of Experts will be established to provide overall advice and guidance during the implementation of the studies and endorse key proposals and to oversee the implementation of the social and resettlement studies and how they integrate with the technical studies. The Panel will include expertise in social, resettlement, and urban planning and development. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. The key stakeholders of the project are the people that live in high risk areas in and along the flood 9 plain of the Upper Marikina River and local officials of the impacted Local Government Units. There will be extensive formal (through workshops) and informal consultations with the affected communities, non-governmental organizations (NGO) and civil society organizations (CSO) that work with these communities, LGUs, government agencies, etc. to ensure that the social aspects and rehousing/resettlement proposals will be understood and acceptable to all parties. The Bank task team in close cooperation with DPWH and other agencies will implement an information campaign that emphasizes expectations and transparency. . B. Disclosure Requirements Environmental Assessment/Audit/Management Plan/Other Date of receipt by the Bank 29-Feb-2016 Date of submission to InfoShop 31-Mar-2016 For category A projects, date of distributing the Executive Summary of the 31-Mar-2016 EA to the Executive Directors "In country" Disclosure Philippines 31-Mar-2016 Comments: The safeguard instruments will be prepared as part of the project, during the preparation of the studies to be funded under the project. Thus safeguard instruments cannot be disclosed prior to appraisal. Resettlement Action Plan/Framework/Policy Process Date of receipt by the Bank 29-Feb-2016 Date of submission to InfoShop 31-Mar-2016 "In country" Disclosure Philippines 31-Mar-2016 Comments: Indigenous Peoples Development Plan/Framework Date of receipt by the Bank 29-Feb-2016 Date of submission to InfoShop 31-Mar-2016 "In country" Disclosure Philippines 31-Mar-2016 Comments: If the project triggers the Pest Management and/or Physical Cultural Resources policies, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: . C. Compliance Monitoring Indicators at the Corporate Level 10 OP/BP/GP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) report? Yes [ X ] No [ ] NA [ ] If yes, then did the Regional Environment Unit or Sector Manager Yes [ ] No [ ] NA [ X ] (SM) review and approve the EA report? Are the cost and the accountabilities for the EMP incorporated in Yes [ X ] No [ ] NA [ ] the credit/loan? OP/BP 4.04 - Natural Habitats Would the project result in any significant conversion or Yes [ ] No [ X ] NA [ ] degradation of critical natural habitats? If the project would result in significant conversion or degradation Yes [ ] No [ ] NA [ X ] of other (non-critical) natural habitats, does the project include mitigation measures acceptable to the Bank? OP/BP 4.11 - Physical Cultural Resources Does the EA include adequate measures related to cultural Yes [ ] No [ ] NA [ X ] property? Does the credit/loan incorporate mechanisms to mitigate the Yes [ ] No [ ] NA [ X ] potential adverse impacts on cultural property? OP/BP 4.10 - Indigenous Peoples Has a separate Indigenous Peoples Plan/Planning Framework (as Yes [ ] No [ ] NA [ X ] appropriate) been prepared in consultation with affected Indigenous Peoples? OP/BP 4.12 - Involuntary Resettlement Has a resettlement plan/abbreviated plan/policy framework/process Yes [ ] No [ ] NA [ X ] framework (as appropriate) been prepared? If yes, then did the Regional unit responsible for safeguards or Yes [ ] No [ ] NA [ ] Sector Manager review the plan? OP/BP 4.36 – Forests Has the sector-wide analysis of policy and institutional issues and Yes [ ] No [ ] NA [ X ] constraints been carried out? Does the project design include satisfactory measures to overcome Yes [ ] No [ ] NA [ X ] these constraints? Does the project finance commercial harvesting, and if so, does it Yes [ ] No [ ] NA [ X ] include provisions for certification system? OP/BP 4.37 - Safety of Dams Have dam safety plans been prepared? Yes [ ] No [ ] NA [ X ] Have the TORs as well as composition for the independent Panel of Yes [ ] No [ ] NA [ X ] Experts (POE) been reviewed and approved by the Bank? Has an Emergency Preparedness Plan (EPP) been prepared and Yes [ ] No [ ] NA [ X ] arrangements been made for public awareness and training? 11 The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the World Yes [ ] No [ ] NA [ X ] Bank's Infoshop? Have relevant documents been disclosed in-country in a public Yes [ ] No [ ] NA [ X ] place in a form and language that are understandable and accessible to project-affected groups and local NGOs? All Safeguard Policies Have satisfactory calendar, budget and clear institutional Yes [ ] No [ ] NA [ X ] responsibilities been prepared for the implementation of measures related to safeguard policies? Have costs related to safeguard policy measures been included in Yes [ ] No [ ] NA [ X ] the project cost? Does the Monitoring and Evaluation system of the project include Yes [ X ] No [ ] NA [ ] the monitoring of safeguard impacts and measures related to safeguard policies? Have satisfactory implementation arrangements been agreed with Yes [ X ] No [ ] NA [ ] the borrower and the same been adequately reflected in the project legal documents? . . III. APPROVALS . Task Team Leader: Name: Joop Stoutjesdijk Approved By: Regional Safeguards Advisor: Name: Date: Sector Manager: Name: Date: