Environmental and Social Management Framework November 2020 Republic of the Philippines: National Community-Driven Development Project 1 Table of Contents Abbreviations and Glossary of Terms PART A: INTRODUCTION TO THE ESMF I. Context II. Purpose and Structure of the Document III. Project Description IV. Institutional Arrangements V. Community Empowerment Activity Cycle (CEAC) Process VI. Overview of Subproject Types PART B: SAFEGUARDS POLICY PRINCIPLES AND OBJECTIVES I. Applicable Safeguards Policies II. Philippine EIS System PART C: SAFEGUARDS PROCEDURES I. Safeguards Processing a. Subprojects Screening and Safeguards Classification b. Preparation of Safeguards Instruments c. Disclosure and Consultation II. Grievance Redress III. Subproject-level Safeguards Monitoring PART D: DETAILED POLICY AND PROCESSING RESOURCES Annex A Overview of WB and ADB Safeguards Categorization Annex B Safeguards Provisions for the Contingent Disaster Response Sub-Component Annex C NCCDP Negative list Annex D Safeguards Processing along the CEAC Annex E Threshold of Philippine EIS System (DENR Thresholds and Requirements Matrix) Annex F Environmental and Social Screening Checklist (ESSC) Annex G Land Acquisition, Resettlement, and Rehabilitation Framework Annex H Indigenous Peoples Policy Framework Annex I Environmental and Social Management Plan (ESMP) template Annex J Voluntary Land Acquisition Deed of Donation Template Annex K Safeguards Considerations for Project Implementation during Covid -19 2 ABBREVIATIONS AC – Area Coordinator ACT – Area Coordinating Team AD – Ancestral Domain ADB – Asian Development Bank ADSDPP – Ancestral Domain Sustainable Development & Protection Plan AO – Administrative Order AR – Accountability Reporting BA – Barangay Assembly BAWASA – Barangay Waterworks and Sanitation Association BFAR – Bureau of Fisheries and Aquatic Resources BIR – Bureau of Internal Revenue BLGU – Barangay Local Government Unit BRT – Barangay Representation Team BSPMC – Barangay Sub-Project Management Committee BUB – Bottom-Up Budgeting CADC – Certificate of Ancestral Domain Claim CADT – Certificate of Ancestral Domain Title CDD – Community-Driven Development CDDSP – Community-Driven Development Support Project CDP – Comprehensive Development Plan CEAC – Community Empowerment Activity Cycle CF – Community Facilitator CLUP – Comprehensive Land Use Plan CNC – Certificate of Non-Coverage CP – Certification Precondition CSW – Criteria Setting Workshop CV – Community Volunteer DA – Department of Agriculture DAC – Deputy Area Coordinator DENR – Department of Environment and Natural Resources DOD – Deed of Donation DP – Displaced Persons DRM – Disaster Risk Management DSWD – Department of Social Welfare and Development DTI – Department of Trade and Industry EA – Environmental Assessment EARF – Environmental Assessment and Review Framework ECA – Environmentally Critical Area ECC – Environmental Compliance Certificate ECP – Environmentally Critical Project 3 EIA – Environmental Impact Assessment EIAM – Environmental Impact Assessment Monitoring EIS – Environmental Impact Statement EMA – External Monitoring Agency EMB – Environmental Management Bureau ESA – Environmental and Social Assessment ESMF – Environmental and Social Management Framework ESMP – Environmental and Social Management Plan ESSC – Environmental and Social Safeguards Checklist FBI – Field-Based Investigation FLUP – Forest Land Use Plan FMB – Forest Management Bureau FPA – Fertilizer and Pesticide Authority FPIC – Free and Prior Informed Consent GIIP – Good International Industry Practice GOP – Government of the Philippines GRC – Grievance Redress Committee GRM – Grievance Redress Mechanism GRS – Grievance Redress System IA – Irrigators Association IBF – Inter-Barangay Forum ICC – Indigenous Cultural Community IEC – Information and Education Campaign IEE – Initial Environmental Examination IP – Indigenous Peoples IPM – Integrated Pest Management IPP – Indigenous Peoples Plan IPPF – Indigenous Peoples Policy Framework IPRA – Indigenous Peoples Rights Act ISA – Irrigators Service Association KALAHI-CIDSS – Kapit-Bisig Labn sa Kahirapan-Comprehensive and Integrated Delivery of Social Services KC – KALAHI-CIDSS LARRF – Land Acquisition, Resettlement, and Rehabilitation Framework LARRP – Land Acquisition, Resettlement, and Rehabilitation Plan LCC – Local Counterpart Contribution LGU – Local Government Unit MAO – Municipal Agricultural Officer MCC – Millennium Challenge Corporation MCT – Municipal Coordinating Team MDP – Municipal Development Plan MGB – Mines and Geosciences Bureau M&E – Monitoring and Evaluation MIAC – Municipal Inter-Agency Committee 4 MIBF – Municipal Inter-Barangay Forum MOA – Memorandum of Agreement MPO – Municipal Project Office NAPF – National Anti-Poverty Framework NCDDP – National Community-Driven Development Program NCIP – National Commission on Indigenous People NGO – Non-Government Organization NPMO – National Project Management Office NPMT – National Project Management Team NSC – National Steering Committee NWRB – National Water Resources Board O&M – Operation and Maintenance PAMP – Protected Area Management Plan PD – Project Description PDP – Philippine Development Plan PDW – Project Development Workshop PMO – Project Management Office POW – Program of Work PPA – Programs, Projects, and Activities PPT – Project (subproject) Preparation Team PSA – Participatory situational analysis RCDS – Regional Community Development Specialist RFA – Regional Financial Analysts RFR – Request for Fund Release RIE – Regional Infrastructure Engineer RO – Regional Office ROW – Right of Way RPMO – Regional Project Management Office RPMO – Regional Project Management Team SET – Sustainability Evaluation Tool SI – Social Investigation SIA – Social Impact Assessment SP – Subproject SPS – Safeguards Policy Statement SRPMO – Sub-Regional Project Management Office TEMS – Thematic Environmental Management System TOR – Terms of Reference TSSD – Technical Support Services Division WB – World Bank 5 GLOSSARY Ancestral Domain Areas generally belonging to indigenous peoples (IPs) comprising lands, inland waters, coastal areas, and natural resources therein, held under a claim of ownership, occupied or possessed by the IPs, by themselves or through their ancestors, communally or individually since time immemorial, continuously to the present except when interrupted by war, force majeure or displacement by force, deceit, stealth or as a consequence of government projects or any other voluntary dealings entered into by government and private individuals/corporations, and which are necessary to ensure their economic, social and cultural welfare. It will include ancestral lands, forests, pasture, residential, agricultural, and other lands individually owned whether alienable and disposable or otherwise, hunting grounds, burial grounds, worship areas, bodies of water, mineral and other natural resources, and lands which may no longer be exclusively occupied by IPs but from which they traditionally had access to for their subsistence and traditional activities, particularly the home ranges of IPs who are still nomadic and/or shifting cultivators. Ancestral Domain Consolidation of plans of IPs within an ancestral domain for the Sustainable sustainable management and development of their land and natural Development & resources as well as the development of human and cultural Protection Plan resources based on their indigenous knowledge systems and (ADSDPP) practices. Ancestral Land Land occupied, possessed and utilized by individuals, families and clans who are members of the IPs since time immemorial, by themselves or through their predecessors-in-interest, under claims of individual or traditional group ownership, continuously, to the present except when interrupted by war, force majeure or displacement by force, deceit, stealth, or as a consequence of government projects and other voluntary dealings entered into by government and private individuals/corporations including, but not limited to, residential lots, rice terraces or paddies, private forests, swidden farms and tree lots. Certificate of Ancestral A title formally recognizing the rights of possession and ownership of Domain Title (CADT) IPs over their ancestral domains identified and delineated in accordance with IPRA. Certificate of Non- A certification issued by the EMB certifying that, based on the Coverage or CNC submitted subproject description, the subproject is not covered by the EIS System and is not required to secure an ECC. 6 Certificate of Non- A certificate issued by the NCIP attesting to the fact that the area Overlap where a particular plan, program, project or activity will be done, does not overlap with or affect any ancestral domain. Certification A certificate issued by the NCIP, signed by the Chairperson, attesting Precondition (CP) to the grant of FPIC by the concerned IPs after appropriate compliance with the requirements provided in this guidelines. Communal Claims Claims on land, resources and rights thereon belonging to the whole community within a defined territory Compensation Refers to payment in cash or in kind of the replacement costs of the acquired or affected assets. Consensus-Building A part of the decision-making process undertaken by the IPs through their indigenous socio-political structures and practices in arriving at a collective/communal decision. Culture Sensitive The quality of being compatible and appropriate to the culture, beliefs, customs and traditions, indigenous systems and practices of IPs. Cumulative Impacts Additive impacts from various sources Customary Laws A body of written or unwritten rules, usages, customs and practices traditionally observed, accepted and recognized by respective IPs. Customs and Practices Norms of conduct and patterns of relationships or usages of a community over time accepted and recognized as binding on all members. EMB Director The Director of the DENR-EMB at the Central Office EMB RD / EMB RO The Director of the DENR-EMB at the Regional Office Director Environment Surrounding air, water (both ground and surface), land, flora, fauna, humans and their interrelations. Environmental A certificate of Environmental Compliance Commitment towhich the Compliance Certificate Proponent conforms with, after DENR-EMB explains the ECC conditions, by signing the sworn undertaking of full responsibility over implementation of specified measures which are necessary to comply with existing environmental regulations or to operate within best 7 environmental practices that are not currently covered by existing laws. Environmental Impact Process that involves evaluating and predicting the likely impacts of a Assessment subproject (including cumulative impacts) on the environment during construction, commissioning, operation and abandonment. It also includes designing appropriate preventive, mitigating and enhancement measures addressing these consequences to protect the environment and the community’s welfare. Environmental Impact A a document, prepared and submitted by the subproject Proponent Statement (EIS) that serves as an application for an ECC. It is a comprehensive study of the significant impacts of a subproject on the environment. It includes an Environmental Management Plan/Program that the Proponent will fund and implement to protect the environment. Environmental Section in the EIS that details the prevention, mitigation, Management compensation, contingency and monitoring measures to enhance Plan/Program (EMP) positive impacts and minimize negative impacts and risks of a proposed subproject or undertaking. Environmentally Critical An environmentally sensitive area declared through Area Proclamation2146 wherein significant environmental impacts are expected if certain types/thresholds of proposed subprojects are located, developed or implemented in it. Updating of technical descriptions of ECAs is vested on the DENR-EMB through Section 2- D of Administrative Order (AO 42 series 2002. Environmentally Critical Projects belonging to subproject types declared through Proclamation Subproject (ECP) No. 2146 and Proclamation No. 803 which may pose significant negative environmental impact at certain thresholds of operation regardless of location. Updating of technical descriptions of ECPs is vested on the DENR-EMB through Section 2-D of AO 42 (2002), in coordination with the DTI as provided for in Section 3-A of AO 42. Field-Based A ground investigation undertaken to determine whether or not the Investigation (FBI) plan, program, project or activity overlaps with, or affects, an ancestral domain, the extent of the affected area, and the IPs whose FPIC is to be obtained. Free and Prior Informed A consensus of all members of an IP community to be determined in Consent accordance with their respective customary laws and practices, free from any external manipulation, interference and coercion, and obtained after fully disclosing the intent and scope of the activity, in a 8 language and process understandable to the community. Indigenous elder/leader Indigenous elders/leaders emerge from the dynamics of customary laws and practices; they evolve from a lifestyle of conscious assertion and practice of traditional values and beliefs. They are recognized as authority in conflict resolution and peace-building processes, on spiritual rites and ceremonies and in doing so, possess the attributes of wisdom and integrity. They lead and assist the community in decision- making processes towards the protection and promotion of their rights and the sustainable development of their ancestral domains. Indigenous Knowledge Systems, institutions, mechanisms, and technologies comprising a Systems and Practices unique body of knowledge evolved through time that embody patterns of relationships between and among peoples and between peoples, their lands and resource environment, including such spheres of relationships which may include social, political, cultural, economic, religious spheres, and which are the direct outcome of the indigenous peoples, responses to certain needs consisting of adaptive mechanisms which have allowed indigenous peoples to survive and thrive within their given socio-cultural and biophysical conditions. Indigenous People A group of people or homogenous societies identified by self- ascription and ascription by others, who have continuously lived as organized community on communally bounded and defined territory, and who have, under claims of ownership since time immemorial, occupied, possessed and utilized such territories, sharing common bonds of language, customs, traditions and other distinctive cultural traits, or who have, through resistance to political, social and cultural inroads of colonization, non-indigenous religions and cultures, became historically differentiated from the majority of Filipinos. IPs also include peoples who are regarded as indigenous on account of their descent from the populations which inhabited the country, at the time of conquest or colonization, or at the time of inroads of non- indigenous religions and cultures, or the establishment of present state boundaries, who retain some or all of their own social, economic, cultural and political institutions, but who may have been displaced from their traditional domains or who may have resettled outside their ancestral domains. Initial Environmental Simplified checklist version of an IEE Report prescribed by the Examination Checklist DENR, to be filled up by a Proponent to identify and assess a Report subproject’s environmental impacts and the mitigation/enhancement measures to address such impacts. 9 Initial Environmental Document similar to an EIS, but with reduced details and depth of Examination Report assessment and discussion. Land Acquisition Refers to the process whereby a person or entity is compelled by a public agency to alienate all or part of the land a person/entity owns or possesses, to the ownership and possession of that agency for public purpose in return for a consideration Migrant A person who is not a native to the ancestral domain or not a part owner of ancestral land but who, as a consequence of social, economic, political or other reasons, such as displacement due to natural disasters, armed conflict, population pressure, or search for seasonal work, opted to occupy and utilize portions of the ancestral land/domain and have since then established residence therein. Municipal Coordinating A committee formed by the LGU and composed of LGU personnel Team (MCT) tasked to provide direct support to the Project’s Area Coordinating Team (ACT). The MCT is the municipal counterpart of the ACT in the implementation of the Project in the municipality. Procedural Review Phase in the ECC application review process to check for the completeness of the required documents, conducted by EIAM Division at the EMB Central Office or Regional Office. Displaced Persons Refers to any person or persons who would be identified, during the (DPs) subproject identification stage within the CEAC process and/or preparation of detailed proposal - a baseline census information collected for each of the inventories implemented in relation to a particular infrastructure subproject, to be affected by any of the following circumstances: Acquisition or possession by the Subproject, in full or in part, permanent or temporary, of any title, right or interest over houses, lands (including but not limited to residential, agricultural and grazing lands) and/or any other fixed/movable assets; Acquisition or possession by the subproject of crops (annual and perennial) and trees whether partially or in whole; Whose business/livelihood is in part or as a whole affected by the Subproject. Project Description Document, which may also be a chapter in an EIS, that describes the 10 nature, configuration, use of raw materials and natural resources, production system, waste or pollution generation and control and the activities of a proposed subproject. It includes a description of the use of human resources as well as activity timelines, during the pre- construction, construction, operation and abandonment phases. Proponent Any natural or juridical person intending to implement a subproject or undertaking (i.e. association, barangay or LGU) Protected Area Identified portions of land and water set aside by reasons of their unique physical and biological significance, managed to enhance biological diversity and protected against destructive human exploitation. Public Participation Open, transparent, gender-sensitive, and community-based public involvement in the EIA process, aimed at ensuring the social acceptability of a subproject or undertaking, involving the broad range of stakeholders, commencing at the earliest possible stage of subproject design and development and continuing until post- assessment monitoring. Rehabilitation Refers to compensatory measures provided under these guidelines other than payment of the replacement costs of acquired or affected assets. Relocation Refers to the physical movement of a DP from his/her pre-subproject place or community. Replacement Cost Refers to the value determined to be fair compensation for real property based on its productive potential, replacement cost of houses and structures (as reckoned on current fair market price of building materials and labor without depreciation or deductions for salvaged building materials), and the market value of residential land, crops, trees and other commodities. Resettlement Refers to all “process� taken to mitigate any and all adverse impacts of the subproject on DP’s property and/or livelihood including compensation, relocation and rehabilitation (where applicable). Scoping The stage in the EIS System where information and subproject impact assessment requirements are more definitely established and focused to provide the Proponent/Community and the stakeholders the final scope of work and terms of reference for the EIS. 11 Self-governance and The inherent right of IPs to self-governance and self-determination Self-determination includes the right to pursue their economic, social, and cultural development; promote and protect the integrity of their values, practices and institutions; determine, use and control their own organizational and community leadership systems, institutions, relationships, patterns and processes for decision- making and participation; Significant Impacts Impact which damage the environment to the point that the environmental resource loses its capacity to sustain life or to continue functioning within baseline levels and efficiency; impacts which need action through prevention, (e.g. change in subproject setting or design) or mitigation (reduce, repair, rehabilitate) or other interventions to protect the environment from being harmed at levels that reduce its functionality for its users or dependent biota. Social Acceptability Acceptability of a subproject by affected communities based on timely and informed participation in the EIA process particularly with regard to environmental impacts that are of concern to them. Social acceptability within the EIA process administered by the DENR-EMB is limited to its environmental aspects while its other aspects including resolution of conflicts and other social acceptability issues is recognized by the DENR-EMB as falling entirely within the Local Government Unit’s jurisdiction and responsibility. The DENR-EMB review process will provide guidance to the LGUs on environmental aspects to consider in its resolution of issues, e.g. EMB can advise on nature, extent and magnitude of direct and indirect impacts and impact areas to assuage the people’s fears and concerns on environmental pollution, health and safety. Stakeholders Entities who may be directly and significantly affected by the subproject or undertaking, including the Proponent, government agencies who have mandates over the subproject, local government units who have jurisdiction over the subproject, local communities who may be affected by subproject impacts, locally-based or locally- active NGOs/POs within the impact areas and other public sectors who may be potentially affected by the subproject as defined by the findings of the environmental impact assessment of the subproject. 12 PART A INTRODUCTION TO THE ESMF 13 I. CONTEXT 1. This document presents the environmental and social management framework (ESMF) for the National Community-Driven Development Program (NCDDP) of the Republic of the Phil- ippines. This CDD Project is the government’s flagship program to help implement the Phil- ippine Development Plan (PDP) 2011–2016 and the National Anti-Poverty Framework (NAPF) to bring about more equitable access to basic services, reduce poverty, achieve inclusive growth, and improve human development outcomes in the poorest areas of the country. The NCDDP is covering nine hundred (900) of the poorest municipalities in sixteen (16) of the eighteen (18) regions of the country, or approximately twenty-eight percent (28%) of the total population, and is implemented using the Community-Driven Development (CDD) approach. The Department of Social Welfare and Development (DSWD) is the executing agency for the NCDDP, which will be implemented from 2013. The World Bank (WB) and the Asian Development Bank (ADB) are financing the NCDDP1. 2. Any community driven development initiative must ensure that the Government of the Phil- ippines’ (GOP), the World Bank and Asian Development Bank policies on environmental and social safeguards assessment are met and all subprojects undertaken by the communi- ty are environmentally and socially sound and sustainable. Due to its wide coverage, the NCDDP will be working in almost all ecological and social contexts known to the Philippines. In addition, the use of a demand-driven approach for small-scale, local-level public infra- structure means that the subprojects as well as their specific contexts and design elements, and the types of environmental and social safeguards issues that results from processes that define these elements, are not known prior to implementation, hence the use of this framework document. The ESMF introduces the social and environmental safeguards screening procedures, management principles and monitoring that must be considered for every CDD subproject proposed and implemented by the community. Out of this framework, an operations manual has been developed by DSWD to detail the environmental and social safeguards requirements for specific types of subprojects proposed. This ESMF is developed consistent with the requirements of the WB’s and ADB’s social and environmental safeguards policies. 3. The NCDDP builds on DSW D’s ten years of experience in implementing CDD under the Ka- pit-bisig laban sa kahirapan – Comprehensive and Integrated Delivery of Social Services (Kalahi-CIDSS) Project. Previous Kalahi-CIDSS (KC) experience shows that a majority of the community subprojects of are limited in size and scale and are considered category C2 subprojects that do not pose environmental or social impacts, and hence do not require an environmental assessment but only a review of environmental implications. As of March 30, 1 The official name of the Project, as approved by the Board of the National Economic and Development Authority (NEDA) of the Government of the Philippines (GOP) is “National Community-Driven Development Program� or NCDDP. The World Bank refers to this Project as the National Community-Driven Development Program (NCDDP), while the Asian Development Bank (ADB) uses the name “Community-Driven Development Support Project (CDDSP)�. Both refer to this Project. For purposes of this document, the NCDDP is used, and should be taken to refer to both the WB and ADB Projects. 2 WB and ADB follow the same screening and categorization of subprojects, i.e., Categories A, B, and C, which are dependent on the assessment of significance of environmental or social impacts. A discussion on WB and ADB categorization is included as Annex A. 14 2013, of the 9,679 subprojects3 supported by the Kalahi-CIDSS, no more than 10 subpro- jects were considered as environment category B subprojects based on the WB and ADB categorization (Annex A), for which minor impacts are expected and which can be mitigat- ed, and hence required a GOP Initial Environmental Examination (IEE). Of the subprojects implemented under the original KC Project, about eighteen percent (18%) were in IP areas.4 With the Project’s community-driven nature, subprojects in IP communities were directly so- licited by IPs themselves, through the conduct of facilitated activities for decision-making on subproject choices. The IP Thematic Review conducted by the Project together with the World Bank showed high participation of IP households in decision-making assemblies, re- sulting in subprojects that were responsive to IP needs. In addition, significant improve- ments are being incorporated into the social mobilization process of the KC Project (and will be used for NCDDP) based on a review of IP participation and decision making undertaken as part of the NCDDP preparation process.5 Since the project effectiveness, the NCDDP has been following this approach and has not seen a major deviation from the types and scale of subprojects supported under the Kalahi-CIDSS. However, the PMO likewise recognized the need to promote Integrated Pest Management (IPM) training as part of future irrigation sub- projects, through partnership with the Department of Agriculture (DA). 4. Noting the minimal environmental and social impacts of subprojects done through the KC CDD process, the environmental and social safeguards procedures and guidelines have been simplified. There were originally three safeguards documents which served as guidance documents for the Kalahi-CIDDS. This has been simplified from three (3) documents - Environmental Impact Assessment (EIA) Guidelines, Environmental Social Management Framework (ESMF) and the Safeguards Manual – to a streamlined Environmental and So- cial Management Framework (ESMF). 5. O v e r t h e c o u r s e o f N C D D P i m p l e m e n t a t i o n , the revised ESMF also applied to subprojects financed under the NCDDP Disaster Risk Management (DRM) Contingent sub- component. This sub-component is established to specifically facilitate effective response by the NCDDP in the aftermath of a natural disaster that may affect the national program’s areas of operation. While amended operational procedures will apply in such instances, the same environmental and social safeguards management policies and procedures for the overall NCDDP (as described in this document) will remain in force. Specific provisions for the application and adaptation of this ESMF document to these emergency conditions are presented in Annex B. When the COVID19 pandemic hit the country, the KC-NCDDP was able to switch to DROM implementation in 3,715 barangays in 167 municipalities. Although, the DROM-NCDDP currently covers poor rural areas that are less impacted by the outbreak, these areas are reportedly starting to experience the ripple effect of economic displacement due to loss of income/employment of household members working in urban areas or overseas as well as losses in agricultural income as they are unable to bring their produce to the market. Moreover, the COVID19 pandemic is forecasted to be a cyclical occurrence which raises the need to start preparing the community to prevent as well as develop a local response system. The DSWD further adjusted the DROM guidelines to comply with COVID19-related protocols which includes the conduct of community mobilization in small groups rather than general assemblies to ensure physical distancing. The menu of sub-projects was also expanded to support community-based activities in terms of preparedness and/or early recovery/early rehabilitation responses to the pandemic. The preparedness response could include: (i) mobilization/organization of community volunteers into Barangay Health Emergency Response Team (BHERT) in accordance with the DILG guidelines; (ii) designation/ enhancement of existing community facilities to serve as isolation unit in 15 accordance with the DOH protocols; (iii) provision of additional facilities and/or equipment to enable the community health workers to detect possible cases of COVID19; (iv) installing community-based early detection and/or surveillance of COVID19 cases and persons displaced due to COVID19; and, (v) organizing a referral system for COVID19 treatment. The early recovery responses could include (i) provision of temporary employment primarily through cash-for-work scheme; (ii) provision of capacity building/skills training for enterprise development; and, (iii) employment promotion. In 2020, the NCDDP proposed for additional financing (AF) operations under the World Bank that would maintain the same development objective as the parent project but would adopt some strategic adjustments in response to the impact of COVID 19 outbreak as well as in pursuit of institutionalizing CDD elements in the barangay and municipal development process. The ESMF was updated to incorporate additional safeguards guidelines related to the Covid-19 pandemic. The additional guidelines emphasize the need for health safety protocols including social distancing during stakeholder engagement and civil works. II. Purpose and Structure of the document 6. This document presents the environmental and social management framework (ESMF) for the NCDDP to ensure that the GOP, WB and ADB policies on environmental and social as- 3 Based on monitoring data from the Kalahi-CIDSS Engineering Unit as of end of March 2013.. 4 IP Thematic Review Report 5 Developing an IP Lens in Development Projects: A Study of Kalahi-CIDSS Projects with Indigenous Peoples in preparation for the NCDDP by Jane Austria, 2012 16 sessment (ESA) are met and all subprojects undertaken by the community are environmen- tally and socially sound and sustainable. 7. This ESMF lays down the general parameters and guidelines for the NCDDP safeguards. A more detailed and user-friendly safeguards sub-manual was prepared to guide subproject implementers, community-proponents, and the LGUs in complying with the Project’s envi- ronmental and social safeguards requirements for all subprojects to be financed under the NCDDP. 8. The document is divided into four parts, described as follows; Section Description Part A: Introduction This part details the context of the NCDDP as well as the pur- to the ESMF pose and outline of this document. This section also provides a general description of the subproject and the implementation process at the community level through the Community Em- powerment Activity Cycle (CEAC). The section ends with a short description of subproject types, as well as a reference to the NCDDP negative list (Annex C). Part B: Safeguards This section enumerates the various policies of the GOP, WB, Policy Principles and and the ADB on environmental and social safeguards. De- Objectives tailed description of the specific safeguards policies of the WB and ADB that may be triggered by the NCDDP are likewise provided. Part C: Safeguards This section provides more detailed guidance on the pro- Procedures cessing of environmental and social safeguards within the NCDDP, including subprojects screening and classification, preparation of safeguards instruments, disclosure and consul- tation, and grievance redress. Part D: Detailed Poli- This section provides additional detailed references, materials, cy and Processing and tools to assist subproject staff in the conduct of safe- guards Resources activities and in the preparation of safeguards instru- ments. The guidelines related to Covid-19 are included here. III. Project Description 9. The objective of the NCDDP will be communities in targeted poor municipalities empowered to achieve improved access to services and to participate in more inclusive local planning, budgeting and implementation The Project will have the following components (i) subproject Barangay (community) grants, (ii) local capacity building and institutional and support, and (iii) program management and M&E systems enhanced. 17 10. Component 1: Barangay (community) grants. This component would support two types of assistance to participating barangays. First, planning grants will be made available to communities to support the so called “Community Empowerment Activity Cycle� (CEAC). These grants would be used for the orientation, consultation, participatory priority-setting, action planning, review and approval processes for different community subprojects at barangay and inter-barangay (municipal) levels. Planning grants would also support technical assistance inputs to ensure the quality of design and implementation of community infrastructure. Second, investment grants will support community subprojects and activities (community based public infrastructure and services such as roads, bridges, schools, day cares, etc.) that respond to community-identified priorities. An open menu of sectoral investments would be eligible for financing under these grants. The component would also support efforts to strengthen the barangay assembly as a forum for community-local government engagement and local-level governance. The component would ensure financing of a minimum of four-rounds of block grants for subproject investments to all eligible rural municipalities. Block grant financing would be shared between national government (including ODA) and local level counterpart contributions (LCC) from municipal, barangay and communities themselves. 11. Component 1 would also include a contingent disaster response sub-component. If triggered, this sub-component would finance rapid response measures and early recovery activities to address disaster, emergency and/or catastrophic events, as needed, at the barangay level through community grants implemented following a set of simplified procedures set out in a special NCDDP Disaster Response Operations Manual. Applicable national and World Bank emergency response procedures for procurement and disbursements would be applied.6 The environmental and social policies and procedures would be the same as for regular NCDDP subprojects. This contingent sub-component is included in the Project to allow DSWD greater flexibility to respond quickly to national or local emergencies using existing subproject resources and to draw on NCDDP systems (including a network of trained facilitators, community committees and volunteers) to speed- up community response and recovery. The current “negative� list (of ineligible subproject types) would be revised to allow investments that might be called for in a post-disaster or emergency context (such as repair of public buildings, debris removal or short-term wage payments) and which are consistent with relevant World Bank financing guidelines. In addition, the negative list would also be expanded with additional, typical, post-disaster activities that would not be eligible for subproject funding (such as repair of waste management or hazardous material storage facilities, salvage logging, etc.). The activation of the contingent sub-component would be “triggered� by a formal declaration of a state of emergency (at national or local levels) by the Government. 12. Component 2: Local capacity building and implementation support. This component supports the strengthening of municipal LGUs and staff to facilitate, support and oversee the participatory assessments, planning and subproject implementation of community infrastructure; to ensure quality of infrastructure investments and the integrity of resource management; and to monitor and report on subproject progress and results. The component would also provide for greater support and capacity building of MLGUs to enhance local poverty reduction action planning, budget execution and public financial management (in collaboration with DILG and DBM), and to national government agencies at sub-national level to enhance their own community based activities and participation in the NCDDP. This 6 As per OP/BP 8.00 Rapid Response to Crises and Emergencies, and related procedural guidelines. 18 component specifically would finance training, consultant services and other incidental costs. 13. Component 3: Program Administration, Monitoring and Evaluation to finance the oversight, coordination and overall management of the program. This would include contracting specialized staff and procurement of required goods and financing of incremental operating costs to assist DSWD in the execution, monitoring and reporting of the program at national, regional and regional levels. The component would also support enhancements and streamlining of the current KALAHI-CIDSS monitoring and reporting system, the hiring of additional regional level monitoring officers, design and contracting for specialized studies, and to facilitate regular review of monitoring and evaluation data for management decisions. Such studies will include a review of technical quality and maintenance of infrastructure, an economic analysis of NCDDP subprojects, specific household surveys to track key outcome indicators and a detailed process evaluation of NCDDP, including of procedural variations that are expected to be implemented in different contexts (conflict, disasters, indigenous populations) and of the links with the BUB and regular LGU planning processes. This component would also support the dissemination of lessons learned and relevant training events for different stakeholders. The component would specifically finance consultant services, training/workshops and operating costs (including Project-specific staff). The additional financing has the same components as above. It would cover 676 poor municipalities which were severely affected by the COVID19 pandemic. IV. Institutional Arrangements on Environment and Social Safeguards 14. At the national level, environment and social safeguards officers are assigned under the Technical Support Services Division (TSSD) of the National Project Management Office (NPMO) of the DSWD to supervise and assist the regional safeguard officers in ensuring the integration of safeguards in subproject planning and implementation. A safeguards officer will be assigned for each island cluster. There will be a total of three – one each for Luzon, Visayas and Mindanao. 15. At the Regional Project Management Office (RPMO), technical assistance, review, and compliance monitoring of environmental and social safeguards is the responsibility of the Regional Infrastructure Engineer (RIE) and the Regional CD Specialist (RCDS), respectively. 16. Based on the experiences from KALAHI-CIDSS, preparation of environmental and social safeguards instruments for subprojects at the community level will be the responsibility of the community volunteer (CV) members of the subproject preparation team (PPT), guided by the Area Coordinator (AC), and assisted by the Deputy Area Coordinator (DAC). Monitoring of compliance to safeguards instruments for individual subprojects will be carried out by the barangay subproject management committee (BSPMC), assisted by Kalahi- CIDSS Community Facilitators (CF). For environmental protection subprojects and subprojects costing more than Php. 2 million, the monitoring will be done by the safeguards officers at the regional level, in coordination with the safeguards officers at the national level under the TSSD of the NPMO. In addition, where there will be an increased number of Indigenous Peoples’ communities in a given region, regional offices shall hire IP focal 19 persons for IP safeguards7. The safeguards officer at the national level will conduct random monitoring of subprojects’ compliance to safeguards requirements. V. Community Empowerment Activity Cycle (CEAC) Process 17. The NCDDP is implemented at the community-level through a participatory problem solving process called the “Community Empowerment Activity Cycle� or the CEAC. The CEAC is a series of activities where local communities collectively work together to analyze local condi- tions and identify community problems related to poverty, identify, prioritize, and develop so- lutions, and design and implement subprojects, and manage resources to implement prob- lems identified. 18. There are four basic stages to the CEAC: (i) Social Preparation and Participatory Situation Analysis; (ii) Community Planning and Subproject Development; (iii) Community-managed Implementation and CBO Formation, and; (iv) Community-based Monitoring. Each stage is composed of a number of activities that progressively build on each other, and which lead to the implementation of community subprojects. The stages, as well as the activities which form them, shall be implemented in sequence. This means that a community cannot pro- ceed directly to community planning and subproject development without having undergone social preparation. 19. The NCDDP processes and steps to ensure safeguards compliance are built directly into the CEAC activities, as shown in Figure 1 below. A more detailed table presentation of the safeguards processing activities along the Community Empowerment Activity Cycle (CEAC) is shown in Annex D of this document. 7 This recommendation is a result of the assessment and study of the Kalahi-CIDSS experience in relation to IP engagement, commissioned by the World Bank for NCDDP. 20 Figure 1: CEAC Procedure and Safeguards Activities CEAC Procedure Safeguards activities along the CEAC Social investigation (SI) – Project staff gather information on and assess potential safeguards risks. Municipal Orientation (MO) and Barangay Assembly (BA) – Environmental and Social Safeguards Framework is discussed, and processing process and requirements explained. Social preparation and Participatory Situation Analysis (PSA) – Potential safeguards risks Participatory Situation discussed with community volunteers (CV) as part of situation anal- Analysis stage ysis. Safeguards processing step 1: Eligibility Screening – Proposed subproject ideas are screened against the NCDDP Negative List of ineligible activities. Project Development Workshop (PDW) – CVs trained on safe- guards requirements and processing. Safeguards processing step 2: Safeguards Screening is undertaken using the Environmental and Social Screening Checklist. Community Planning and Subproject Development Safeguards processing step 3: Preparation of Safeguards In- stage struments (ESMP, LARRP, IPP) is undertaken, as needed, as part of the preparation of subproject proposals. Instruments reviewed and approved prior to MIBF. Implementation of Environmental and Social Safeguards Instru- Community-managed Im- ments (ESMP, LARRP, IPP) during subproject implementation, as plementation and CBO For- needed. mation Monitoring of safeguards implementation by CVs undertaken as part Community-based Monitor- of subproject implementation, and Community-based Evalu- ation ing and Accountability Review. 21 VI. Overview of Subproject Types 20. Eligible subprojects under the investment grant are based on an open menu. The common subprojects under the Investment Grant, based on the experience of the KALAHI-CIDSS Project, include water supply systems, school buildings, access roads, day care centers, health stations, post-harvest facilities, drainage systems, and small irrigation facilities. Proposals on local disaster response and prevention as well as peace building will also be considered for the investment grant. Table 1 shows the main types of subprojects. Table 1: Anticipated Subprojects for the NCDDP Subproject Infrastructure/Components Water supply system Level 1 or 2 system, communal faucet, communal wells, water tank, water distribution line School buildings School building, toilets, and related facilities Access roads Road improvement, concreting/paving, road widening, small bridges Day care centers Day care building and facilities Health stations Barangay health center, medical facilities and supplies Post-harvest facilities Post-harvest equipment, rice mill, warehouse Drainage system and Drainage canals, drainage cover, rainwater harvesting system, flood environmental retarding ponds, seawall, river-wall protection, septic tanks and other protection measures wastewater management measures, composting facilities, solid waste management and collection Small irrigation facilities Irrigation canals, Lateral canals, small water impounding ponds Additional potential subprojects under the DRM Contingent Sub-component Earth works Backfilling, reshaping or landscaping of areas affected by erosion Temporary roads Temporary bypass roads up to 500 meters in length Debris removal and Removal or natural or man-made (building materials) debris which is disposal disposed of in accordance with Government regulations Source: DSWD 21. A negative list (Annex C) has been developed by DSWD for application under the KALAHI- CIDSS Project, which is also adopted for and applied under NCDDP. The list includes activi- ties that may be harmful to the environment and the people, and hence are ineligible subpro- jects. The list likewise includes additional types of activities indicated by ADB as prohibited investments based on ADB policies, and a list of excluded areas under National Commis- sion of Indigenous Peoples (NCIP) Administrative Order 3, series of 2012 (AO 3, s2012) - Part III, Section 25. on “Excluded Areas�. 22 PART B SAFEGUARDS POLICY PRINCIPLES AND OBJECTIVES 23 I. APPLICABLE SAFEGUARDS POLICIES 22. Table 2 below provides a comprehensive list of major environmental, social and related policies of the World Bank, ADB, and the GOP that are to be considered in assessing the potential environmental and social impacts of proposed subprojects, as well as in formulating measures to ensure compliance by subproject implementers, the community- proponents, and the Local Government Units (LGUs). Table 2: List of major environmental and social policies and regulations of the WB, ADB and the Government of the Philippines relevant to NCDDP I. World Bank OP/BP 4.01 Environmental Assessment OP/BP 4.12 Involuntary Resettlement OP/BP 4.10 Indigenous People OP 4.09 Pest Management Covid-19 Guidelines on: (i) Public Consultations, (ii) Construction and Civil Works, and (iii) Contingency Planning for Project Sites II. Asian Development Bank – SPS 2009 Safeguard Policy Statement 2009 SPS 2009. Appendix 1 - Safeguards Requirements 1: Environment SPS 2009. Appendix 2 – Safeguards Requirements 2: Involuntary Resettlement SPS 2009. Appendix 3 – Safeguards Requirements 3: Indigenous Peoples III. Government of the Philippines A. Environmental Policies/Regulations 1. RA 9275 Clean Water Act of 2004 2. RA 10121 Philippine Disaster Risk Reduction Management Act of 2010 3. RA 9147 Wildlife Resources Conservation and Protection Act (2001) 4. RA 9003 Ecological Solid Waste Management Act of 2000 5. RA 8749 Clean Air Act of 1999 6. RA 7942 Philippine Mining Act (1995) 7. RA 7586 National Integrated Protected Areas System (NIPAS) Act of 1992 8. RA 6969 Toxic Substances and Hazardous and Nuclear Wastes Control Act of 1990 9. PD 1144 Fertilizer and Pesticide Act 10. RA 8550 Philippine Fisheries Code 11. PD 1067 Water Code of the Philippines (1976) 12. PD 984 Pollution Control Law (1976) 13. PD 705 Revised Forestry Code (1975) 24 14. PD 1586 Philippine Environmental Impact Assessment (EIA) System 25 15. Renewable Energy Act B. Social Safeguard Policies RA 8371 Indigenous Peoples Rights Act (1997) EO 1035 Acquisition by the Government of Private Real Property or Rights (1985) RA 8974 Facilitating the Acquisition of Right-of-Way Sites for Infrastructure Subprojects PD 260 Declaring (various places) as National Shrines, Monuments, and/or Landmarks, defining the implementing agencies and providing funds therefore (1975) PD 1505 Amending the Presidential Decree No. 260, as amended, by Prohibiting the Unauthorized Modification, Alteration, Repair and Destruction of Original Features of all National Shrines, Monuments, Landmarks and Others Important Historic Edifices (1978) RA 7279 Urban Development and Housing Act – as it pertains to rights against forced demolition and resettlement Comprehensive Land Use Planning C. Other Related Regulations RA 7160 Local Government Code of the Philippines PD 856 Sanitation Code of the Philippines DO 35 S2020 Construction Safety Guidelines for the Implementation of All DPWH Infrastructure Projects during the Covid-19 Public Health Crisis 23. The table below (Table 3) describes each of the specific WB environmental and social safe- guards policies which are applicable under the NCDDP. The third column provides guid- ance on specific measures and actions required of each party to comply with the WB Policy and lists the range of safeguard instruments that may be adopted and the manner in which to integrate and verify environmental and social due diligence requirements Table 3: Detailed description of WB Environmental and Social Safeguards Policy Policy Objectives Procedures Environment Safeguards 26 WB Environmental The Bank requires envi- In this project, the subprojects are Assessment (OP ronmental assessment screened through an Environmental and 4.01) (EA) of projects proposed Social Screening Checklist (ESSC) to for Bank financing to help assess the level of risk. An EA may be ensure that they are envi- required depending on the scale and na- ronmentally sound and ture of the subproject. For other subpro- sustainable, and thus to jects an Environmental and Social Man- improve decision making. agement Plan (ESMP) may be required. The project staff will screen all subpro- jects early in the identification stage of the CEAC and determine project bound- aries and classify projects into the ap- propriate safeguards category. The En- 27 vironmental and Social Screening Checklist (ESSC) is in Annex F. When necessary, for all subprojects, preparation of safeguards instruments such as EA, ESMP et al., may be de- ferred to implementation, but must be completed before beginning actual civil works. The regional staff will review and clear the safeguards instruments prepared by the subproject beneficiary for impact identification and appropriateness of proposed mitigation measures. Pest Management WB OP 4.09 – This policy promotes the This policy will be addressed as part of Pest Management use of biological or envi- the screening process to be done at the ronmental control methods start of the CEAC process. Purchase of and reduces reliance on pesticides are not eligible for financing synthetic chemical pesti- under this Project. This policy seeks to cides. The Bank supports prevent the increased usage of pesti- the use of Integrated Pest cides in areas benefitting from improved Management (IPM) Prac- irrigation. tices. Communities which will benefit from irri- gation activities under the Project may experience a potential increase in pesti- cide usage. In these cases the PMO regional staff will coordinate with the Mu- nicipal Agricultural Officer (MAO) of the LGU where the farming communities re- side. Adoption of the KASAKALIKASAN program of the Department of Agriculture (DA) on Integrated Pest Management will be implemented. Coordination with DA extension staff and the LGU’s MAO is integral to this approach. Involuntary Resettlement WB OP 4.12 – Involuntary taking of land Subprojects need to be screened during Involuntary Reset- or any form of economic preparation stage for likelihood of land tlement displacement must be acquisition and its subsequent impacts in avoided where feasible or terms of loss of shelter, loss of assets or minimized by exploring all access to assets, and loss of livelihood. alternative subproject If and when lands need to be acquired or 25 designs. livelihoods are affected, the specific guidelines shown in Annex G must be Displaced Persons (DP), followed to prepare a Land Acquisition, regardless of legality of Resettlement, and Rehabilitation Plan land tenure, should be (LARRP). assisted in their efforts to RPMO and NPMO safeguards teams will improve their livelihoods ensure that all land and asset acquisition and standards of living or requirements stipulated in this ESMF at least to restore them to have been fully complied with before any pre-displacement levels. civil works start. Indigenous Peo- ples WB OP 4.10 – This policy contributes to Some NCDDP subproject sites may be Indigenous Peo- the Bank’s mission of pov- inhabited by Indigenous Peoples (IP) and ples erty reduction and sustain- subproject activities may negatively af- able development by en- fect their identity, cultures and customary suring that the develop- practices, and in the process further ment process fully re- marginalized them. As such, measures spects the dignity, human shall be adopted to (a) avoid potentially rights, economies, and cul- adverse effects on the IP communities, tures of Indigenous Peo- or (b) when avoidance is not feasible, ples. minimize, mitigate, or compensate for such effects. The social preparation particularly during the Social Investigation (SI) and Partici- patory Situational Analysis (PSA) stages for each beneficiary community must in- clude assessment of presence and situa- tion of IPs with the objective of evaluat- ing the project’s potential effects on them. When IPs are the sole or overwhelming subproject beneficiaries, the elements of an IP Plan would be addressed in the subproject design (given the participatory nature of the NCDDP). Therefore, a sep- arate IP Plan is not required. However, RPMO and NPMO IP specialists shall ensure that IP Plans are prepared for communities where IPs are not the sole or overwhelming beneficiaries of the subprojects. Specific guidance is provid- ed in Annex H To facilitate better coordination and su- 26 pervision for IP safeguards, DSWD and National Commission on Indigenous People (NCIP) shall sign a MOA of part- nership and issue a joint circular for close coordination at regional, provincial, municipal and community levels. II. PHILIPPINE EIS SYSTEM 24. The Department of Environment and Natural Resources (DENR) has procedures for screen- ing and scoping of subprojects under DENR Administrative Order 2003-30. The said order presents subprojects by typology, and classifies specific subprojects within each typology depending on specific technical thresholds. Based on the Environmental Impact Statement (EIS) system, proponents of subprojects will prepare either a Project Description (PD) or an Initial Environmental Examination (IEE) depending on the whether they fall below or above the specified thresholds. The order likewise specifies the need for subproject proponents to secure either an Environmental Compliance Certificate (ECC) or a Certificate of Non- Coverage (CNC), depending on the threshold, as well as processing time of the ECC/CNC application. The detailed technical threshold of Philippine EIS System / DENR classifica- tion matrix, including the specific documentary requirements, is included as Annex E. 25. Based on experiences under KALAHI-CIDSS, the majority of subprojects under the NCDDP are expected to fall below the thresholds set by the DENR AO 2003-30. Hence community volunteer subproject proponents are expected to only prepare a Project Description, to be included as part of the proposal for subprojects, and secure a CNC. 27 PART C SAFEGUARDS PROCEDURES 28 I. Safeguards Processing 26. This section describes the safeguards processing guidance to assist with integration of environmental and social safeguards management under the NCDDP. The following guidance shall serve to ensure that potential impacts and practical mitigation measures are identified early on in the planning and development of community subproject proposals, in order to avoid or mitigate potential impact that may be generated by subprojects financed under the NCDDP. Annex D provides a more detailed process along the CEAC. 27. Consistent with streamlining the screening and processing of environmental and social safeguards, the NCDDP shall adopt a simplified three step process, as follows: First step – Eligibility screening of all proposed subproject concepts against the negative list (Annex C), to determine eligibility of subprojects for support under NCDDP. Second step – Safeguards Screening. If the subproject is deemed eligible, the subproject is screened using the Environmental and Social Safeguards Checklist or ESSC (Annex F) to determine potential safeguards risks, and categorization. The ESSC provides a series of questions relating to the environmental and social safeguards policies triggered under the NCDDP (namely, in the case of the World Bank, 4.01 on Environmental Assessment, 4.09 on Pest Management, 4.10 on Indigenous Peoples, and 4.12 on Involuntary Resettlement). Through this review and screening, the appropriate safeguards instruments, if any, are identified for preparation under the project. The subproject is also assessed whether it is covered under the Philippine EIA system, using the DENR threshold of subprojects (Annex E). Subprojects not covered under the Philippine EIA do not need to secure a Certificate of Non-Coverage (CNC) since a CNC is optional under the law. Instead, subproject proponent/community shall be provided with additional resources, such as the Thematic Environmental Management System (TEMS) Manual developed under the Millennium Challenge Corporation (MCC), and/or the Illustrated Environmental Technical Planning Guidelines developed by WB, to assist them in developing their subproject proposals. Third Step – Preparation of Safeguards Instrument. All subprojects involving civil works will prepare an Environmental and Social Management Plan (ESMP). If the subproject needs additional safeguard instruments such as LARRP and IPP (addressing land and IP issues), these are drafted and approved before the start of any civil works. Projects that involve the provision of water should prepare a water safety plan as per DSWD guidelines and Department of Health (DOH) AO 2014-0027. Also, if the subproject is covered under the Philippine EIA system, determine whether (i) an IEE report or an IEE checklist needs to be completed to secure the ECC, or; (ii) only a Subproject Description is needed, particularly for non-covered subprojects. As discussed in the introduction, NCDDP will not involve any Category A subproject based on the KALAHI-CIDSS experience, and based on the types and scale of subprojects demanded and implemented by the community. 28. The environmental and social assessment and review procedures shall apply to proposed subprojects that pass eligibility screening under the first step above. The following table (Table 4) outlines the specific tasks and activities to guide subproject staff, community- 29 proponents, and other stakeholders, particularly the LGUs in complying with the NCDDP safeguards requirements. A. Subproject Screening and Safeguards Classification 29. The table below describes the standard approach for screening and safeguards classifica- tion of community subprojects. Table 4: Subproject Screening and Safeguards Classification Process Implementation and Verification Timing (CEAC) The ACT, in close coordination with The Community Facilitators (CFs) Social Preparation and their LGU counterparts and assisted shall facilitate generation of PSA, and the by the Regional Specialists and subproject ideas to address poverty Community Planning technical staff, shall facilitate problems identified, and shall discuss and Subproject screening by community volunteers and explain the negative list in detail Development stages, of subproject concepts to (a) to community volunteers. CFs shall and before the determine eligibility against the then facilitate discussion and subproject proposal negative list of ineligible activities; (b) agreement among community has gone through the propose an appropriate volunteers (CVs) of eligible and required approval and Environmental and Social Assessment ineligible subprojects based on the prioritization process. (ESA) Categorization based on (i) negative list. technical and physical features; (ii) environmental and social footprint, The CF shall facilitate preparation of and; (iii) prevailing baseline and more detailed subproject concept associated vulnerabilities. forms around the eligible subprojects identified. The ACT shall explain the The ACT, assisted by the Regional purpose and rationale of the ESA Safeguards Officers, also determine categorization in detail to CV which safeguards policy is triggered. subproject proponents, who shall then be assisted by the team to categorize their propose subproject concepts, using the Environmental and Social Safeguards Checklist (ESSC). The designated Regional Safeguards Officers shall review the subproject concept categorization based on the subproject concept form and ESSC, and confirm category and safeguards policies triggered. The Regional Safeguards Officers propose and/or confirm scope of safeguards instruments to be developed as a result of the preliminary subproject concept screening and categorization exercise. 30 B. Preparation of Safeguards Instruments 30. All NCCDP financed subprojects will prepare an Environmental and Social Management Plan (Annex I) based on the screening results. The ESMP identifies safeguards risks and corresponding mitigating measures related with the location and nature of the proposed subprojects. Projects that involve the provision of water should prepare a water safety plan as per DSWD guidelines and Department of Health (DOH) AO 2014-0027. If and when the screening results indicate additional instruments, they must be prepared based on the following frameworks: i. Land Acquisition, Resettlement, and Rehabilitation Framework: Detailed guidance for land acquisition, resettlement and rehabilitation is provided in Annex G). ii. Indigenous Peoples Policy Framework: Detailed guidance for engaging Indigenous Peoples, as well as the National Commission on Indigenous Peoples, is discussed in Annex H. 31. The table below provides general guidance in the preparation of these various safeguards instruments. Table 5: Preparation of Safeguards Instruments Process Implementation and Verification Timing (CEAC) Members of the Subproject The Area Coordinator mobilizes Community Planning Preparation Team (PPT), a committee members of ACT and Technical and Subproject of community volunteer (CV) Specialists from the RPMO to explain Development stage of proponents of subprojects, prepares in detail the Subproject’s the CEAC. ESMP and, if needed, other required Environment and Social Safeguards safeguards instruments as part of policies, procedures, and The same should be their subproject proposal. instruments, and train members of presented to the MIAC the PPTs in preparing safeguards for technical review, The PPT CVs shall be assisted by the instruments. Designated RPMO and approved by the Community Facilitator and other Safeguards Officers as well as Barangay Assembly members of the Area Coordinating members of the Municipal Inter- (BA) prior to Team (ACT), under the supervision of Agency Committee (MIAC) also submission to the IBF the designated regional safeguards undertakes review of the safeguards for prioritization. officers and other technical staff and instruments prepared by the PPTs. specialists of the RPMO. Once the RPMO and the MIAC are satisfied with the quality of, and provides certification to, the safeguards instruments, these are included as part of the subproject proposal subjected to (i) Barangay Assembly approval, and; (ii) Inter- Barangay Forum (IBF) prioritization. 31 C. Disclosure and Consultation 32. World Bank and ADB safeguards consultation and disclosure requirements will be met through the conduct of Barangay Assemblies (BA) and Inter-Barangay Forums (IBF) activi- ties embedded within the CEAC process, and through disclosure of this framework national- ly, through the DSWD and NCDDP Project, and the World Bank websites. In addition, the IP Policy Framework which is embedded in this ESMF will also be distributed through the National Commission on Indigenous People (NCIP) 33. Preparation of safeguards instruments will also include open and transparent consultation with local communities, subproject beneficiaries, and subproject affected persons, as well as other local and interested stakeholders, as part of the CEAC. Responsibility for the facilita- tion of the conduct of these activities shall be with the Project’s Area Coordinating Team (ACT) based at the municipal level. 34. All safeguards documents will be made available through physical copies in the appropriate LGU hall (barangay or municipal hall). II. Grievance Redress 35. Complaints and grievances relating to any aspect of NCDDP (including environmental and social safeguards policies and/or activities) will be managed following the NCDDP Griev- ance Redress System (GRS) which also builds on the KALAHI-CIDSS GRS. 36. Complaints and Grievances may be filed through the following means; (i) Filing of complaints through a Grievance Redress Committee (GRC) Logbook /database – each NCDDP covered barangay shall form a GRC during the first Barangay Assembly (BA). ACT and the Municipal Coordinating Team (MCT) shall be required to provide a Logbook to record complaints raised by community member(s) or any individual in relation to NCDDP implementation while RPMOs and NPMO will utilize the existing database system. Non- NCDDP complaints shall be forwarded to the concerned offices/institutions for appropriate action. (ii) Complaints/Grievance Reports via text messages – members of the GRC shall make available official contact numbers for complaints/grievance filing. Grievances can likewise be sent via text to 09189122813 or 09189108010, at email address kc_me_central@yahoo.com. These contact numbers and details shall likewise be disclosed during Barangay Assemblies and public gatherings, as well as posted in public places in the municipality and barangay. (iii) Letter addressed to any GRC head or committee member 37. The RPMO and NPMO shall determine the validity of complaints filed. The RPMO shall likewise ensure confidentiality until proper venue has been provided to discuss and settle the reported issues. III. Subproject-level Safeguards Monitoring 32 38. The NCDDP shall ensure proper monitoring and evaluation of compliance to this ESMF. This shall include capture of environmental and social safeguards data integrated into the NCDDP M&E systems at regional level, including monitoring arrangements to track compli- ance to safeguards policies, preparation of safeguards instruments, and implementation of safeguards activities in all stages of the CEAC. The NPMO shall likewise conduct supervi- sion and in-house monitoring of implementation of safeguards instruments. The procedure for monitoring will be guided by the monitoring, evaluation, and reporting arrangements to be further detailed in the safeguards manual, and subject to “no objection� by the WB and ADB. 33 PART D DETAILED POLICY AND PROCESSING RESOURCES 34 Annex A: Overview of WB and ADB Project Categorization 1. The World Bank’s Operational Policy (OP) 4.01, and the Asian Development Bank’s Safeguards Policy Statement (SPS) of 2009 clarify the rationale, scope and content of relevant environmental and social assessment requirements under projects supported by the two Banks. The WB’s OP 4.01 requires the conduct of an environmental assessment (EA) of projects/programs proposed for Bank financing to help ensure that they are environmentally and socially sound and sustainable. This is the umbrella policy for the Bank's safeguards policies, and the EA is a process whose breadth, depth, and type of analysis depends on the nature, scale, and potential environmental and social impact of the project investments/sub- projects to be supported. The ADB’s SPS (2009) is supported by relevant Environmental Assessment Guidelines (2003). 2. World Bank OP 4.01 and ADB SPS (2009) require that projects be assigned an EA category based on the likely intensity and severity of the potential environmental and social impacts. For the NCDDP, due to the small-scale and temporary nature of these impacts, both Banks consider the NCDDP an environmental category B project. As such, this Environmental and Social Management Framework (ESMF) document serves as the environmental and social assessment instrument (i.e., defines what constitutes an EA for this project). The ESMF, in turn, requires that DSWD screen proposed sub-project investments using the Environmental and Social Screening Checklist (Annex F) to identify the areas of possible social/environmental impact and identify relevant mitigating measures. 3. WB and ADB follow the same screening and categorization of subprojects, i.e., Categories A, B, and C, which are dependent on the assessment of significance of environmental or social impacts. (i) Category A subprojects normally cause major environmental or social impacts that are irreversible, diverse, or unprecedented. An Environmental Impact Assessment (EIA) is required for this subproject. (ii) Category B subprojects for which minor impacts are expected and can be mitigated. An Initial Environmental Examination (IEE) is required for this subproject. (iii) Category C subprojects do not pose environmental or social impacts. No environmental assessment is required but environmental implications need to be reviewed. 4. To ensure compliance with ADB and WB environmental and social safeguards policies, the NCDDP will screen all subprojects using the Environmental and Social Screening Checklist (ESSC) that has been developed as a tool for environmental and social categorization and assessment of various subprojects. 5. The environmental and social assessment requirements of the ADB, WB and the GOP are similar in terms of the use of environmental assessment (EA) as a tool for subproject plan- ning, and in requiring an instrument such as an environmental impact assessment before subproject implementation. However, the scope of the environmental and social assess- ment of the GOP differs from that of the ADB and WB in terms of categorization. The GOP categorization is generally based on scale and size of the subproject whereas ADB’s and 35 WB’s categorization is based on the significance of the environmental impact of the particu- lar subproject. 36 Annex B Safeguards Provisions for the Contingent Disaster Response Sub-Component for the National Community Driven Development Project (NCDDP) Background and “Trigger� The contingent disaster response sub-component is designed for enabling an accelerated response to disaster scenarios, which - by their very nature – usually cause substantial negative environmental and social impacts. The contingency sub-component would essentially include a range of mitigation, repair and restoration measures to restore pre-disaster conditions, if possible with a higher degree of resilience. The disaster event with the highest likelihood of occurrence during the project implementation period would be a tropical storm (typhoon), with extremely high wind speeds, and high amounts of precipitation. The main primary impacts caused by this scenario would include coastal and inland flooding, erosion, landslides and mudflows, damage of river bank protection and hydrotechnical installations, uprooting of trees, damage to infrastructure, roads, dwellings and other buildings, deposition of mud, sediments and debris over large areas, including agricultural plots. The location of the contingent disaster response sub-component would be within the overall geographic scope of the project, given the strong overlap between the most disaster-affected areas in the Philippines and the 900 NCDDP rural municipalities. The formal trigger of the contingent disaster response sub-component would be a declaration of a national state of calamity by the President of the Philippines or of a local state of calamity (Municipal level) by the Local Government Unit. Modified Positive List Due to the widespread damage associated with an extreme weather event the following additional activities are envisaged and would be allowed for under the contingent disaster response sub- component: 1. repair of rural and local roads; 2. backfill, reshaping and landscaping of areas affected by erosion; 3. Repair of river bank protection systems and earth-fill dykes up to 5m height if supervised by a qualified civil engineer; 4. repair / reconstruction of small bridges (span up to 15 m); 5. construction of temporary bypass roads up to 500 m length, if (i) not located in sensitive habitats and (ii) land acquisition follows the provisions of the main ESMF and (iii) the by- passes are completely removed and the alignment restored to its original conditions once the need for their service has expired; 6. repair / reconstruction of communal irrigation and water supply systems; 7. collection and removal of technogenic debris (building parts, mixed waste, timber) as well as uprooted trees and plant debris from public infrastructure, public spaces and ag- 37 ricultural areas, and its deposition in pre-existing waste management facilities that are operating under national licensing and regulations and comply with normal practice in the Philippines. 8. repair of public buildings and infrastructure (e.g. transmission lines, street lighting, traffic signs, bus stops); 9. collection and removal of earth, mud and plant debris from public infrastructure and spaces as well as agricultural areas, and its deposition, landscaping and greening at ap- propriate locations; The first three activities listed above are already allowed under NCDDP open-menu of sub- projects (and undertaken in non post-disaster contexts). Activities listed under numbers 4 through 9 would only be carried out in the event of an emergency (i.e they are not part of NCDDP’s regular project menu). The scope of these activities as well as the simplified implementation procedures that would apply to all NCDPP contingent sub-component activities would be outlined in greater detail in the simplified Operations Manual that will be developed for the Contingent Sub-component (the acceptance of which by the World Bank would be a condition of disbursement for the sub-component). Modified Negative List The negative list has been compiled to exclude certain activities associated with disaster response and post-disaster reconstruction that fulfill one or more of the following criteria: (i) environmentally risky, (ii) may create impacts that require more sophisticated planning and preparation of mitigation measures, (iii) have technical complexities and requirements that would go beyond the capacity normally available in a CDD project environment, (iv) would trigger additional safeguards policies or change the project’s safeguards category, (v) are not aligned with public interests or do not benefit common goods or public services. Applying the above criteria to the anticipated context of the contingent disaster response sub- component, the following list of activities has been compiled: • repair of facilities storing hazardous substances (e.g. fuel depots), except simple clear- ing of debris or landslide materials on access roads and perimeters; • major repair or reconstruction of damaged waste management facilities, except the col- lection of spilled and dispersed waste from the facility and returning it to its original posi- tion on the facility, or a safe temporary repository on the perimeter; • repair of privately owned production facilities; • any “salvage logging� operations (which might be undertaken as result of storm damage to forests); • repair of dykes or dams that are higher than higher than 5 m, or store water volumes larger than 1,000,000 m3; • construction of new temporary or permanent infrastructure to bypass devastated areas which have a segment length of > 500 m, and a cumulative length of 2,000 m within a corridor of 10 km or less; • construction of new, or substantial expansion of existing flood protection works, espe- cially when this involves the conversion of floodplains or riverine forests; • bulk purchase of fuel, lubricants, pesticides, herbicides or other hazardous substances; 38 • any activity in a sensitive or protected natural habitats as defined by OP4.04, except the removal of debris and the repair of pre-existing infrastructure, e.g. access roads or park ranger buildings. Additional Safeguards Provisions For the contingent disaster response sub-component no activities are anticipated that would require provisions and mitigation measures that are significantly different from the main NCDDP. All key relevant provisions for environmental and social management are already contained in the ESMF and would remain fully applicable to the contingent component. The additional activities described in the modified positive list would not change the project’s safeguards category or trigger additional safeguards policies. The following provisions refer to selected aspects of the modified positive list that warrant specific considerations, and should be seen as guidance to increase readiness and facilitate implementation should the sub-component be triggered. The additional provisions will not require substantial additional resources, skills or capacity. Provisions for road repair and bypass construction works: The repair and reconstruction of roads, as well as of temporary bypasses should follow general good practice in engineering and environmental management, as described e.g. in the World Bank’s “Handbook on Roads and the Environment� (technical paper No. 376). Special attention should be paid to the following issues: • Where road embankments have been damaged by flooding the reason may be insuffi- cient dimensioning of the original drainage system. In the course of repair and recon- struction the placement of new culverts should be considered to avoid the damming and accumulation of precipitation that can cause erosion and collapse of embankments. This measure, combined with diligent repair and maintenance (cleaning) of drainage ditches and existing culverts would help to increase the resilience against future storm and flood events. • If temporary bypasses are required due to damaged bridges, landslides, collapsed em- bankments etc. they should be constructed in a manner to maximize their functionality and minimize negative environmental impacts. Their length would be limited to 500 m per segment (and to 2,000 m within a 10 km stretch of road corridor) and they would not be allowed in or adjacent to protected areas or sensitive habitats. They would be con- structed to allow complete removal after decommissioning, e.g. by placing a layer of ge- otextile under the temporary embankment, and using geotextile to maximize structural stability while economizing on material demand. Often suitable coarse aggregate may be difficult to find, in which case geotextile layering (“reinforced earth�) would be a both technically and environmentally suitable solution for temporary road construction. • The fill material required for temporary bypass construction should be minimized and sourced from either pre-exiting, licensed borrow areas, or from the earth and debris de- posited by floods and / or landslides. • Temporary embankments should be bunded and / or equipped with silt barriers drainage ditches and sedimentation ponds to avoid excessive siltation of the immediate surround- ings. This will be especially important in areas of agricultural use and near settlements. 39 • After the repair of the original road sections the bypass must be completely removed and the area restored to its original condition. • If any temporary bridges are constructed they must allow free flow of water, avoid the narrowing of the cross section of the watercourse and resulting change of flow speed, and minimize disturbance of the river bed and resulting turbidity (deploy silt barriers, minimize vehicle movement in and close to river bed). Complete removal and restoration of the river banks must be ensured after the bypass ceases to be required and is de- commissioned. Provisions for waste management: Mineral substances (earth, sand, gravel, rocks), organic waste and “technogenic� waste (resulting from goods, objects or structures made of artificial, synthetic materials) should be separately collected and treated in the manner described below: • Mineral substances are considered environmentally harmless and should - as far as their geotechnical properties are sufficiently acceptable - be reused as backfill for damaged earthworks (e.g. embankments, dykes) or as fill for landscaping areas. Fine materials with poor geotechnical quality could still be used to fill depressions and raise ground to increase local flood resilience. Superfluous materials that cannot be reasonable reused should be deposited in a safe, stable, unused area outside zones prone to flooding or landslides. They should be emplaced with stable slope angles, lightly compacted and vegetated. • Organic waste, such as wood, timber, plant debris, should be collected and as far as possible separated. Reusable and recyclable items (timber, wood as construction mate- rial or fuel) should be extracted, and only the remaining plant debris deposited in a safe area for composting. The compost could later be reused in agricultural activities. If biofu- el burning power plants, or biogas reactors are in the affected area these would also be potential recycling pathways. • Technogenic waste should be collected and recyclables (e.g. plastic bottles, glass, met- als) as well as reusable items as far as possible extracted. The remaining fraction should be deposited at a pre-existing waste management facility that is licensed under domestic regulations and operated according to prevailing good practice in the Philippines. While this could constitute a deviation from the World Bank Group’s EHS (environment, health and safety) guidelines, which demand the implementation of GIIP8 it would be deemed acceptable under the circumstances because: (i) not collecting the waste would carry a negative impact of larger magnitude; (ii) the incremental negative impact of contributing to an existing facility not operated according to GIIP would be negligible; (iii) there may be no technically or economically feasible alternatives; (iv) compliance with national reg- ulations would be ensured; (v) the waste segregation before deposition would minimize its quantity, and (vi) none of the expected waste types are deemed hazardous. Provisions for works in or near protected areas: All allowable works in protected areas must be supervised by qualified personnel from the park service, nature protection agency or environmental protection agency. Also the project’s environmental specialist should receive, review and approve a detailed work plan (including maps and drawings) that specifies the exact nature, location, dimensions, and footprint of the works, as well as the planned environmental and social management and mitigation measures and the special provisions and precautions to 8 Good international industry practice. 40 be followed. The works would be absolutely restricted to the repair of small scale, pre-existing park infrastructure, such as access roads, ranger buildings, communication equipment, fire towers and similar. Provisions for repair of dams and dykes: All works on dams and dykes designated as water retention structures above 3m height need to be supervised by an experienced and qualified civil engineer. The maximum allowable height of dams and dykes that may be carried out under the project would be 5m, or the maximum allowable storage volume 1,000,000 m 3. Monitoring and Supervision All arrangements for monitoring and supervision that are in place for the main project would also be applicable to the contingent disaster response sub-component; including monitoring of sub- grant tranches, technical completion reports and technical audits, and sustainability evaluations. In the event of more complex or potentially sensitive subprojects, CFs and ACTs would seek advice from relevant RPMO and NPMO staff, and the World Bank’s environmental and social specialists during activity preparation and implementation. Examples of such types of subprojects include: 1. repair / reconstruction of small bridges (span up to 15 m); 2. construction of temporary bypass roads up to 500 m length, if (i) not located in sensitive habitats and (ii) land acquisition follows the provisions of the main ESMF and (iii) the by- passes are completely removed and the alignment restored to its original conditions once the need for their service has expired; 3. Repair of river bank protection systems and earth-fill dykes up to 5m height if supervised by a qualified civil engineer; 4. works near waste management facilities or other installations with elevated environmen- tal risk levels; 5. works in or adjacent to national parks or sensitive or critical habitats. 41 Annex C: NCDDP/CDDSP Negative List 1. The following are NCDDP ineligible subproject activities and/or expenditure types. a. Purchase or compensation for land; b. Road construction into protected areas; c. Repair of government offices (unless the emergency response Disaster Risk Man- agement (DRM) contingent sub-component has been triggered); d. Meeting halls and places of worship; e. Dams higher than 5 meters; f. Environmentally hazardous materials such as chainsaws, explosives, pesticides, herbicides, insecticides, asbestos and other potentially dangerous materials. g. Production of, trade in, or use of unbounded asbestos fibers; h. Fishing boats (beyond the weight limit set by Bureau of Fisheries and Aquatic Re- sources (BFAR); i. Activities that have alternative prior sources of committed funding; j. Activities for fiesta and other religious and cultural activities; k. International travel; l. Salaried activities that employ children below the age of 16, and production or activi- ties involving harmful or exploitative forms of forced labor or child labor; m. Consumption items; n. Maintenance and operation of infrastructure built from Project funds; o. Production of or trade in any product or activity deemed illegal under the Philippines laws or regulations or international conventions and agreements or subject of inter- national phase outs or bans, such as (a) pharmaceuticals, pesticides, and herbi- cides; (b) ozone-depleting substances, (c) polychlorinated biphenyls and other haz- ardous chemicals, (d) wildlife or wildlife products regulated under the Convention on International Trade in Endangered Species of Wild Fauna and Flora and (e) trans- boundary trade in waste or waste products; p. Production of or trade in weapons and munitions, including paramilitary materials; q. Production of or trade in alcoholic beverages, excluding beer and wine; r. Production of or trade in tobacco; s. Gambling, casinos and equivalent enterprises; t. Production of or trade in radioactive materials, including nuclear reactors and com- ponents thereof; u. Commercial logging operations or the purchase of logging equipment for use in pri- mary tropical moist forests or old-growth forests; and v. Marine and coastal fishing practices, such as large-scale pelagic drift net fishing, harmful to vulnerable and protected species in large numbers and damaging to ma- rine biodiversity and habitats. 2. In compliance with the NCIP AO 3, series of 2012 - Part III, Section 25 on “Excluded Areas�, the following areas are likewise excluded from any activity except for the exclusive purposes for which they are identified. a. Sacred grounds and burial sites of indigenous communities; b. Identified international and local cultural and heritage sites; c. Critical areas identified or reserved by the ICCs/IPs for special purposes, and; 42 d. Other areas specifically identified by ICCs/IPs in their Ancestral Domain Sustainable Development Protection Plan, or ADSDPP. 3. In relation to work under the Disaster Risk Mitigation contingent sub-component: a. repair of facilities storing hazardous substances (e.g. fuel depots), except simple clearing of debris or landslide materials on access roads and perimeters; b. major repair or reconstruction of damaged waste management facilities, except the collection of spilled and dispersed waste from the facility and returning it to its origi- nal position on the facility, or a safe temporary repository on the perimeter; c. repair of privately owned production facilities; d. any “salvage logging� operations (which might be undertaken as result of storm damage to forests); e. repair of dykes or dams that are higher than higher than 5 m, or store water volumes larger than 1,000,000 m3; f. construction of new temporary or permanent infrastructure to bypass devastated ar- eas which have a segment length of > 500 m, and a cumulative length of 2,000 m within a corridor of 10 km or less; g. construction of new, or substantial expansion of existing flood protection works, es- pecially when this involves the conversion of floodplains or riverine forests; h. bulk purchase of fuel, lubricants, pesticides, herbicides or other hazardous sub- stances; i. any activity in a sensitive or protected natural habitats as defined by World Bank Operational Policy 4.04, except the removal of debris and the repair of pre-existing infrastructure (e.g. access roads or park ranger buildings). 43 Annex D: Safeguards Processing along the Community Empowerment Activity Cycle (CEAC) CEAC Process Safeguards Task and Activities, and Responsible Entity Output/Tools 1. Social Preparation Stage Social Community Facilitators (CF) conduct data gathering on the Community Profile Investigation demographic, environmental, and social and cultural completed, for use situation, to include; as reference in safeguards • Review of available documents, such as municipal processing development plans (MDP), comprehensive land use (include as annex plan (CLUP), ancestral domain sustainable development protection plan (ADSDPP), or refer to ops comprehensive development plan (CDP), etc. manual) • Physical environmental scanning and transectional survey • Random interviews of people in the barangay (especially with IP groups, if any) to validate/enhance demographic data Area Coordinators (AC) engage with NCIP and; • Determine presence of IP families in the Barangay/ community • Get demographic data and secure copy of ADSDPP • Gather information on IP traditional structures on representation and decision-making Deputy Area Coordinators (DAC) gather data on different Projects being implemented by the Municipality. Municipal AC raise awareness of the NCDDP’s Environmental and Minutes of Orientation Social Safeguards among the LGU and other stakeholders, meetings reflect and; disclosure and discussion of • Share and disclose the salient points of the Project’s safeguards Environment, IP, Land Acquisition, Resettlement, policies. and Rehabilitation (LARR), and Integrated Pest Management frameworks and policies. • Discuss environment, IP, LARR, and IPM concerns and issues observed from the SI, and their implications to subproject implementation. • Validate if municipal LGU has environmental management plan or Comprehensive Land Use Plan (CLUP/FLUP (Forest Land Use Plan)/PAMP (Protected Area Management Plan), and relevant ordinances on the environment. 44 CEAC Process Safeguards Task and Activities, and Responsible Entity Output/Tools Ensure presence of NCIP and representatives of the IP if in a municipality within or covering an ancestral domain (AD) with a certificate of ancestral domain claim (CADC) or certificate of ancestral domain title (CADT). Barangay CF raise awareness of the NCDDP’s Environmental and Minutes of the Consultation Social Safeguards among the community members, the meeting reflect barangay local government unit (BLGU) and other disclosure of stakeholders, and; safeguards. • Share and disclose the salient points of the Project’s Attendance record Environment, IP, Land Acquisition, Resettlement, reflect NCIP/IP and Rehabilitation (LARR), and Integrated Pest presence. Management frameworks and policies. • Discuss relevant environment, IP, LARR, and IPM PSA CV include IP concerns and issues observed from the SI, and the representative. implications and risks to subproject implementation. • Validate if LGU has environmental management plan. If necessary, CF conducts separate assembly with IP community. CF invites NCIP and representatives of the IP if in a barangay (i) within or covering an AD with CADC or CADT, or a portion thereof, or; (ii) with an IP community. CF facilitates inclusion of IP representatives in the PSA, Barangay Representation Team (BRT) and subproject Preparation Team (PPT) and other community volunteer committees elected by the BA. Participatory CF facilitates identification of environmental and social List of screened Situation Analysis issues, and risks and vulnerability assessment with subprojects community volunteers, using PSA tools. compared against list of ineligible CF facilitates participation of NCIP and representatives of activities (negative the IP if in a barangay (i) within or covering an AD with list) CADC or CADT, or a portion thereof, or; (ii) with an IP community. Attendance Cross check of SP concept against list of ineligible activities records reflect (see Annex C). NCIP/IP presence. 2. Community Planning and Subproject Development 45 CEAC Process Safeguards Task and Activities, and Responsible Entity Output/Tools Criteria Setting Municipal Coordinating Team (MCT) facilitate LGU sharing Defined subproject Workshop (CSW) of programs, projects, and activities (PPAs) to address local concept and scope development problems, including PPAs to address Criteria set with environmental and IP concerns. environmental and social safeguards If in a municipality with AD with CADT or CADC, AC consideration facilitates sharing by the IP leader of their ADSDPP and ensures IP-sensitive and appropriate representation in subproject identification. If needed, AC facilitates conduct of separate session of IPs during the CSW. AC facilitates discussion of affirmative action criteria on the environment and social safeguards, for decision by the Municipal Inter-Barangay Forum (MIBF). Where applicable, use the Thematic Environmental Management System (TEMS) Manual. Project Using the ESSC, Regional Specialists and Technical Staff Subproject Development discuss environment and social safeguards requirements preparation Team Workshop (PDW) with community volunteer – members of Subproject trained on Preparation Teams (PPT), such as; safeguards • Environmental Screening and identification of processing. subprojects needing CNC or ECC (categorization); • Inventory of land acquisition (i.e. Deed of Donation ESSC Form or DOD, and Right of Way or ROW) requirements, (Annex F) identification of subproject affected persons, and accomplished assessment of impact to subproject affected persons; • Review of IP proposed subprojects against ESMP prepared ADSDPP, and assessment of potential impact on IP and other vulnerable groups; Additional • Need to undertake IPM training for small irrigation safeguards and other related subprojects; instruments as agreed with RPMO AC invites NCIP and representatives of the IP if in a safeguards municipality (i) within or covering an AD with CADC or officers 9 CADT, or a portion thereof, or; (ii) with an IP community. CF facilitates meaningful attendance and participation of IP members of PPTs in the PDW. If needed, AC facilitates conduct of separate or additional sessions with IPs to further 9 These additional safeguards document may include an Initial Environmental Examination (IEE) or Subproject Description (PD), an Integrated Pest Management Plan, an Indigenous Peoples Plan (IPP), or a Land Acquisition, Resettlement, and Rehabilitation Plan (LARRP). 46 CEAC Process Safeguards Task and Activities, and Responsible Entity Output/Tools clarify proposal preparation requirements. Preparation of CF facilitates completion by CV members of PPTs of the Accomplished Detailed Environmental and Social Safeguards Checklist (ESSC), the ESSC, PD/IEE Proposals ESMP, the Initial Environmental Examination (IEE) or and ESMP, and Project Description (PD), and other relevant safeguard where applicable, instruments where applicable. additional safeguards Regional Specialists and Technical Staff, and Municipal instruments Inter-Agency Committee (MIAC) members provide technical assistance to PPT CVs on (i) completion of safeguards documents and (ii) inclusion of safeguards costs including training costs, costs of construction safety and cost estimate of permits, in the costs requirements for proposed subprojects, among others. AC facilitates review by the Municipal LGU MIAC of safeguards documents, as part of the MIAC technical review of subproject proposals. AC provides NCIP and representatives of the IP if in a municipality (i) within or covering an AD with CADC or CADT, or a portion thereof, or; (ii) with an IP community, with schedule of activities in line with the preparation of detailed subproject proposals. For Irrigation subprojects, AC to coordinate with the MAO or DA extension office for IPM training. CF facilitates attendance and participation of IP members of PPTs in the preparation of detailed proposals. If needed, CF facilitates conduct of separate or additional sessions with IPs to further clarify proposal preparation concerns of IPs. Subproject If in a municipality (i) within or covering an AD with CADC or RPMO/NPMO Approval & CADT, or a portion thereof, or; (ii) with an IP community, CF approved Request for Fund facilitates attendance and participation of IP members of evaluation of SPs Release BRTs and PPTs in the inter-barangay forum. If needed, AC or re-validated and facilitates conduct of separate session of IPs during IBF to recommended for gather inputs to deliberations on subproject prioritization, revision of assisted by the IP focal persons. Program of Work (POW)/design if Sub-regional Project Management Office (SRPMO) necessary technical staff conduct safeguards due diligence review of Request for Fund Release (RFR), prior to submission to the RPMO. Safeguards Regional CD Specialist (RCDS), Regional Infrastructure documents 47 CEAC Process Safeguards Task and Activities, and Responsible Entity Output/Tools Engineer (RIE), and Regional Finance Analyst (RFA) disclosed locally. conduct safeguards due diligence review of RFRs, prior to funds release.. NPMO safeguards staff conduct spot checks of regional safeguards clearances. RPMO and NPMO discloses results of IBF subproject selection and approval, RPMO due diligence review, NPMO spot checks, and funds release status. ACT posts safeguards documents (ie. ESMP, IPP, etc.) locally through posting in the municipal or barangay halls. If RPMO or NPMO due diligence result to adverse findings, RPMO specialists and technical staff conduct subproject proposal revalidation/revision as needed, and subject to IBF concurrence. 3. Community managed Implementation and CBO Formation Pre- CF ensure compliance by the Barangay Sub-Project Implementation Management Committee (BSPMC) of the IPPF and LARRF Workshop requirements CF facilitates presentation by the BSPMC of ESMP, LARRP, and/or IPP to the community, and discussion and planning of activities for implementation of the safeguards instruments. Implementation ACT/RPMO monitor comments, suggestions, complaints Safeguards- of SP, O & M through the GRS. related grievances monitored through Community Volunteer-members of the BSPMC implement GRS. their respective safeguards mitigating measures. ACT provides safeguards supervision. Filing of copy of DOD or Certification with the LGU, BSPMC, Compliance of and the RPMO. mitigating measures 4. Community-based Monitoring 48 CEAC Process Safeguards Task and Activities, and Responsible Entity Output/Tools Community- Monitoring of ESMP by BSPMC with monthly monitoring For Category B - Based Monitoring report. Semi-annual and Evaluation environmental In case of Category B subprojects funded by ADB, the monitoring report RPMO prepare semi-annual environmental monitoring to be uploaded at report and submits to NPMO for consolidation, prior to ADB website submission to ADB and uploading at the ADB website. Implementation of Post subproject mitigating measures as stated in the ESMP and other relevant safeguards instruments Should unanticipated impacts to IPs be flagged, the RPMO conducts social impact assessment of the affected population and adjustments made per result of the SIA. Accountability CVs discuss status of compliance to implementation of Completed SET Review safeguards measures during Accountability Reporting (AR) sessions. Conduct of sustainability evaluation using the Sustainability Evaluation Tool (SET). 49 Annex E: Philippine EIS System Thresholds and DENR Requirements for Possible NCDDP Subprojects Subproject DENR Classification DENR ECC/CNC Documentary Requirement Water S.4 - Level 1 – Deep well PD CNC supply system S.4 - Level 2 – Communal faucet S.3 – 6 wells and more IEE ECC School E.3 – institutional and other related facilities ≥ 1 IEE ECC buildings hectare (gross floor area) E.3 – institutional and other related facilities < 1 PD CNC hectare (gross floor area) Access C.4.b – Roads with no critical slope ≥ 2km but <20.0 IEE ECC roads km C.4.b – Roads with critical slope ≥2 km but < 10km IEE ECC C.4.b – Roads < 2km PD CNC C.4.a – Bridges and viaducts ≥80 m but < 10km IEE ECC C.4.a – Foot bridges and other bridges <80m PD CNC Day care E.3 - Institutional and other related facilities < 1 PD CNC centers hectare (gross floor area) Health E.7 – Clinics including rural health units PD CNC stations Post- D.4.c- Rice mill > 1 ton/hr IEE ECC harvest D.4.c – Rice mill ≤ 1 ton/ hr PD CNC facilities E.13 – Storage facilities ≥ 1 hectare (gross floor area) IEE ECC E.13 – Storage facilities < 1 hectare (gross floor area) PD CNC Drainage I.4 – Preventive or proactive measures against PD CNC system and potential natural hazards (shore protection, river environmental embankment/river bank stabilization, seawall, etc. protection S.1 – Impounding system < 25 hectares or impounded IEE ECC 3 measures water <20 million m R.6 – Materials Recovery Facilities with composting IEE ECC facilities R.6 – MRF with material segregation only PD CNC Small S.2 – Irrigation system (distribution only) 300 hectares IEE ECC irrigation but <1,000 hectare (service area) facilities S.2 – Irrigation system (distribution only) < 300 PD CNC hectares (service area) Notes: IEE refers to the Initial Environmental Examination; PD – Project (subproject) Description; CNC - Certificate of Non-Coverage; and ECC – Environmental Compliance Certificate 50 Annex F: Environmental and Social Safeguards Checklist Name of Subproject: Location: Community Representative and Address: RPMO Representative and Address: I. Subproject Screening: a. Has the subproject been screened against the list of ineligible activities (negative list)? If yes, proceed. If no, contact ACT to conduct screening. II. Site Selection: 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 Rating Low Medium High Natural Habitats No natural habitats No critical natural Critical natural present of any kind habitats; other habitats present. natural habitats Within declared occur protected areas. Water quality and Water flows exceed Medium intensity of Intensive water use; water resource any existing demand; water use; multiple multiple water users; availability and low intensity of water water users; water potential for conflicts use use; potential water quality issues are is high; water quality use conflicts expected important issues are important to be low; no potential water quality issues. 51 Natural hazards Flat terrain; no Medium slopes; Mountainous terrain; vulnerability, potential some erosion steep slopes; floods, soil stability/erosion potential; medium unstable soils; high stability/erosion problems; no known risks from erosion potential; volcanic/seismic/ volcanic/seismic volcanic seismic or flood risks flood/typhoons flood risks. Physical Cultural No known or Suspected cultural Known heritage sites Property suspected physical heritage sites; known in subproject area cultural heritage sites heritage sites in broader area of influence Involuntary Low population Medium population High population Resettlement density; dispersed density; mixed density; major towns population; legal ownership and land and villages; low tenure is well defined; tenure; income families and/or illegal ownership of land; communal properties. Indigenous No indigenous Dispersed and mixed Indigenous territories Peoples population indigenous (CADT), reserves and populations; highly /or lands; vulnerable acculturated indigenous indigenous populations. populations III. Areas for Potential Environmental and Social Impact Yes No A. Environment - Will the Subproject: 1 Risk the contamination of drinking water? 2 Cause poor water drainage and increase the risk of water related diseases such as malaria, dengue and schistosomiasis 3 Harvest or exploit a significant amount of natural resources such as trees, wood for fuel or water? 52 4 Be located within or nearby environmentally sensitive areas, protected areas (e.g. intact natural forests, mangroves, wetlands or threatened species?) 5 Create a risk of increased soil degradation or erosion? 6 Create a risk of increasing soil salinity? 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), or groundwater (e.g. wells) 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 “Yes�, please include an Environmental and Social Management Plan (ESMP) 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, 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? If the answer to any of the questions 10 -14 is “Yes�, please inform the RPMO and prepare appropriate documents required under the LARR Framework (see Annex G). C. Indigenous People – Are there: 15 Any indigenous groups living within the boundaries of the barangay where the subproject will be located? 16 Resources (land, water, etc.) to be used for the subproject, over which the Indigenous People have prior claim? 53 17 Members of these indigenous groups who would be affected (ie. benefit from, or be adversely affected) by the subproject? If the answer to questions 15 - 17 is “Yes� please inform the RPMO and if needed, prepare an Indigenous Peoples Plan (IPP). IPP will only be prepared if affected IPs are a minority in the area. D. Pesticides and Agricultural Chemicals - Will the subproject: 18 Will the subproject increase agricultural productivity? This may happen when the subproject is an irrigation or water impounding activity. If the answer to Question 18 is “Yes� please inform the RPMO and coordinate with the Municipal Agricultural Officer of the LGU. Integrated Pest Management techniques should be promoted among the beneficiaries. CERTIFICATION We certify that we have thoroughly examined all the potential adverse effects of this subproject. To the best of our knowledge, the subproject plan as described in the application and associated planning reports (e.g. ESMP, RAP, IPP), if any, will be adequate to avoid or minimize all adverse environmental and social impacts. Community Representative (signature) …………………………………………………………………………………… PMO team representative (signature)……………………………………………………………………………………… Date:…………………………………………………………………….. 54 Annex G Land Acquisition, Resettlement and Rehabilitation Framework I. POLICY FRAMEWORK 1. The NCDDP will support multi-purpose buildings, tribal halls, school room units, day care centers, barangay health stations, small scale flood protection works and other rural in- frastructures like irrigation facilities, roads and bridges, post-harvest facilities as well as domestic water supply systems. Such subprojects, will, under certain circumstances, re- quire land acquisition or if avoidance is not feasible, involve involuntary resettlement (as defined by the WB and the ADB). This LARR Framework was prepared to ensure that any negative impacts are avoided, minimized and properly managed. This framework and guidelines are fully consistent with and responsive to the Banks’ relevant involuntary resettlement policies (WB OP 4.12) 2. Involuntary taking of land or any form of economic displacement must be avoided where feasible or minimized by exploring all alternative subproject designs. Displaced persons (DP), regardless of legality of land tenure, should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them to pre-displacement level. 3. This document was essentially based on the following issuances: a) Executive Order 1035, Procedures and Guidelines for the Expeditious Acquisition by the Government of Private Real Properties or Rights thereon for Infrastructure and Other Government Development Projects. June 1985 b) Executive Order 132, Procedures to be followed in the Acquisition of Private Property for Public Use and Creating Appraisal Committee. c) World Bank Policy on Involuntary Resettlement (Bank Policy 4.12) 4. The magnitude of adverse project impacts is expected to be minimal and will only be known once the specific access roads, bridges, irrigation canals, and domestic water supply systems and other community infrastructure sub-projects are selected and de- signed. 5. This document lays down the principles and objectives, eligibility criteria of entitlements, legal and institutional framework, modes of compensation, people participation features and grievance procedures that will guide the implementation of compensation for DPs. The specific objectives of this document are: a. To ascertain that all displaced persons (DP) are informed and consulted regarding the proposed subprojects that will be implemented in their area using the different fora in the different stages of the CEAC process b. That compensation have been provided and supporting legal documents have been executed prior to subproject implementation, and ; 55 c. The specific arrangements between the land donor/DP and the Barangay/municipality and or the community have been documented and complied with. II. PRINCIPLES AND OBJECTIVES10 6. The principles outlined in the World Bank Policies on Involuntary Resettlement have been adopted in preparing this document. In this regard, the following principles and ob- jectives are to govern Project implementation: d. Involuntary resettlement should be avoided where feasible; e. Where population displacement is unavoidable, it should be minimized by exploring all viable project options as agreed upon during community assemblies or other fora; f. People unavoidably displaced should be compensated and assisted so that their economic and social future would be as favourable as it would have been in the absence of the project; g. People affected should be fully informed and consulted and have agreed on resettlement and compensation options; h. Existing social and cultural institutions of resettlers and their hosts should be supported and used to the greatest extent possible, and resettlers should be integrated economically and socially into host communities; i. Lack of legal rights to the assets lost will not hinder the DP from entitlement to such compensation or rehabilitation measures; particular attention should be paid to households headed by women and other vulnerable groups, such as indigenous peoples and appropriate assistance should be provided to help them get the rehabilitation or compensation package as agreed upon by the majority during barangay assembly; j. As far as possible, involuntary resettlement should be conceived and executed as part of the project; and k. The full cost of resettlement and compensation should be included in the presentation of project costs and benefits. 7. ENTITLEMENT FRAMEWORK. The Department of Social Welfare and Development, through the NCDDP National Project Management Office (NPMO), shall work closely with Local Government Units in the implementation of this Land Acquisition, Resettle- ment and Rehabilitation Policy Framework and Implementing Guidelines. The NCDDP NPMO, as represented by the Regional Project Management Offices (RPMO) and the Regional Community Process Specialist, will coordinate with the duly authorized repre- 10 WB Policy on Involuntary Resettlement (OP/BP 4.12) 56 sentative/s of the LGU in determining the appropriate compensation for DPs in accord- ance with the following compensation scheme: l. DPs losing more than 20% or all of their productive assets (agricultural land, house or business), or in cases when the remaining assets are not economically viable, are entitled to: (i) full compensation at replacement cost of the entire asset or at direct land/asset replacement and; (ii) rehabilitation assistance that allows them to enhance or at least maintain their standard of living. m. DPs losing less than 20% of their productive assets, and where the remaining assets remain viable for continued use, are entitled to cash compensation at replacement cost for the affected asset. n. Agricultural land will be replaced by: (i) land of equal productive capacity, which is acceptable to the DP; or (ii) full compensation at replacement cost, where land is not available. o. Commercial/residential land (or other real property) will be replaced by: (i) land of equal market value or business potential (as the case may be), which is acceptable to the DP; or (ii) full compensation at current market value, where suitable replacement land is not available or at the informed request of the DP. p. Replacement of damaged or lost crops will be based on full market value for one year's harvest and will be paid in cash. q. DPs whose land is temporarily taken will be compensated at full replacement cost for their net loss of income and/or damaged assets, including a reasonable amount for opportunity cost/s. r. Appropriate transfer and subsistence allowances will be given during the transition phase as part of the rehabilitation assistance package to allow /DPs to enhance or at least maintain their standards of living. 8. The determination of all these compensation packages should be done prior to the con- duct of the Municipal Inter-Agency Committee (MIAC) so that the deed of donation (DOD) or other modes of land acquisition are already completed before the MIAC tech- nical review. a. DPs LOSING RESIDENTIAL LAND AND STRUCTURES (i) The provision of replacement residential land (house site and garden) of equivalent size, satisfactory to the DP; and cash compensation reflecting full replacement cost of the structures, without depreciation; 57 (ii) If the DP so wishes and the portion of the land to be lost represents 20% or less of the total area of the residential land area, and the remaining land is still a viable residential lot, cash compensation, at full replacement cost (market value), will be provided to the DP; (iii) If after acquisition, the residential land and/or structure is insufficient to rebuild the residential structure lost, then at the request of the DP the entire residential land and structure will be acquired at full replacement cost, without depreciation; and (iv) Tenants, who have leased a house for residential purposes will be provided with a cash grant of three months rental fee at the prevailing market rate in the area, and will be assisted in identifying alternative accommodation. b. DPs LOSING AGRICULTURAL LAND AND/OR CROPS (i) The general mechanism for compensation of lost agricultural land will be through provision of “land for land" arrangements of equal productive capacity, satisfactory to the DP. However, if the DP so wishes and the portion of the land to be lost represents 20% or less of the total area of the landholding, and the remaining land is still a viable economic holding, cash compensation, at full replacement cost (market value), will be provided to the DP; (ii) If more than 20% of a villager's agricultural land is acquired and the remaining holding is not viable, then the Project will acquire the entire landholding and provide compensation of the acquired land at direct land replacement; (iii) DPs will be compensated for the loss of standing crops and fruit or industrial trees at full (current) market price; and (iv) DPs whose land is temporarily taken by the works under the Project will be compensated for their loss of income, standing crops and for the cost of soil restoration and damaged infrastructure, including a reasonable amount for opportunity cost/s. (v) DPs who will lose their income will be provided opportunities for alternative livelihood, through skills and entrepreneurship training, job matching or business development assistance. 9. DPs will also be provided compensation at full replacement cost, without depreciation for any other fixed assets affected in part or in-toto by the subproject, such as tombs and water wells. In cases where community infrastructure such as schools, churches, health centers, water sources, roads, or electrical and water supply connections are damaged, the Project will ensure that these are restored or repaired as the case may be, at no cost to the community. Additional details are provided in the following Compensation Matrix (Table 1). 10. Assistance to the vulnerable. Poor DPs, i.e., female-headed households, elderly or with disability and with no other support from kin as well as poor IP DPs are entitled to participate in income restoration programs that will be designed during the pre- implementation stage, and in coordination with the appropriate DSWD offices/units . 58 11. Income/livelihood restoration. The objectives of income/livelihood restoration is to en- sure the improvement of the socioeconomic conditions of DPs or at least to bring back the pre-subproject income and living standards of affected families at the subproject sites. This ESMF shall enable the development of sustainable income restoration and rehabilitation strategies that are appropriate for the cultural background and practices of DPs (IPs and non-IPs) in NCDDP sites. Strategies for income and livelihood restoration are consistent with the overall NCDDP framework and may include but not limited to: (i) training/capacity building for livelihood/micro-financing, food security in terms of de- veloping sustainable food sources, depending on the crop suitability (elevation, soil type, etc) as well as cultural preference; (ii) prioritized hiring of DPs to serve as contracted human resources for subproject activities; (iii) financial and in-kind assistance support to the poor will be allocated attached to capacity building initiatives. These may be in the form of farm/fisheries supplies and equipment. Costs for income/livelihood restoration strategies for poor DPs shall be included in the total costs of the proposed subproject, subject to the NCDDP negative list. Additional support may likewise be provided in co- ordination with appropriate DSWD offices and units. III. COMPENSATION MATRIX Table 1: Asset Impact Category DP Compensation Entitlement Arable land Less than 20% of Farmer/title 16. Cash compensation for affected land at land holding and holder full replacement cost the remaining land remains Tenant/lease 17. Cash compensation equivalent to economically viable holder market value of gross harvest of the affected land for one year or for the remaining period of tenancy/lease agreement, whichever is greater. More than 20% of Farmer/title 18. Land for land replacement or land holding lost holder compensation in cash according to DP’s OR where less than choice. Land for land replacement will be in terms of a new parcel of land of 20% of land holding equivalent size and crop productivity lost but remaining with a secured tenure status at a land becomes location acceptable to the DP. The economically not replacement land shall be free of taxes, viable registration & other costs. 19. Rehabilitation assistance 20. Transfer/resettlement assistance Tenant/lease 21. Cash compensation equivalent to holder market value of gross harvest for one year or for the remaining period of tenancy/lease agreement, whichever is greater. Agricultural 22. Cash compensation equivalent to 6- worker month salary 23. Assistance in getting alternative employment Commercial Land used for Title holder/ bus. 24. Cash compensation for affected land at 59 Asset Impact Category DP Compensation Entitlement land business partially Man full market value affected, limited 25. Cash compensation equivalent to 5% of loss gross annual income Rental/lease 26. Cash compensation equivalent to 10% holder of gross annual income. Land used for Title holder/ bus. 27. Land for land replacement or business severely Man compensation in cash according to DP’s affected, remaining choice. Land for land replacement will be provided in terms of a new parcel of area insufficient for land of equivalent size and market continued use potential with a secured tenure status at a location acceptable to the DP. The land shall be free of taxes & other transfer costs. 28. Rehabilitation assistance 29. Transfer/resettlement assistance 30. Opportunity cost compensation equivalent to 10% of gross annual income. Rental/lease 31. Opportunity cost compensation holder equivalent to 20% of gross annual income. 32. Assistance in rental/lease of alternative land/property Residential and Less than 20% of Title holder 33. Cash compensation for affected land at other non- land holding full replacement cost commercial affected and the Rental/lease 34. Minimum cash compensation equivalent land remaining land holder to 10% of lease/rental fee for the remaining period of rental/lease remains viable for agreement present use More than 20% of Title holder 35. Land for land replacement or land holding compensation in cash according to affected OR where AP/DP’s choice. Land for land replacement shall be of minimum plot of less than 20% of acceptable size under the zoning law/s land holding or a plot of equivalent size, whichever is affected but larger, in a nearby resettlement area remaining land with adequate physical and social becomes smaller infrastructure systems as well as than minimally secured tenure status. When the accepted under affected holding is larger than the relocation plot, cash compensation to zoning law/s and/or cover the difference in area/size. not viable for Replacement land shall be free of taxes, continued use registration and transfer cost. 36. Rehabilitation assistance 37. Transfer/resettlement assistance Rental/lease 38. Cash compensation equivalent to 20% holder of lease/rental fee for the remaining period of rental/lease agreement 39. Assistance in rental/lease of alternative 60 Asset Impact Category DP Compensation Entitlement land/property Structures Structure partially Owner 40. Cash compensation for affected (includes public affected but the structure and other fixed assets utilities/structur remaining structure 41. Full (cash) assistance in restoration of the remaining structure es) remains viable for Rental/lease 42. Cash compensation for affected assets continued use holder 43. Disturbance compensation equivalent to two-month salary or rental whichever is greater Entire structure Owner 44. Cash compensation for entire structure affected OR and other fixed assets structure partially 45. Rehabilitation assistance 46. Transfer/resettlement assistance affected but the Rental/lease 47. Cash compensation for affected assets remaining structure holder 48. Disturbance compensation equivalent to is not viable for six-month salary or rental whichever is continued use greater 49. Assistance in alternative rental arrangements Informal 50. Cash compensation for affected assets dwellers 51. Disturbance compensation equivalent to three-month salary or rental whichever is greater Standing crops Crops affected by DP 52. Cash compensation at full market value land acquisition or PLUS 5% premium temporary acquisition or easement Trees Trees lost Title holder 53. Cash compensation based on type, age and productive value of affected trees PLUS 10% premium Easement Temporary Title holder 54. Minimum cash compensation equivalent acquisition or to 10% of the value of affected asset easement IV. PROCEDURAL GUIDELINES FOR LAND ACQUISITION, RESETTLEMENT, AND REHABILITATION PLANNING (LARRP) A. Inventory and Entitlement 12. An inventory for each subproject such as a road, bridge, irrigation canal, water supply pipe alignment or segment thereof will be prepared by the Community with the assis- tance of the Area Coordinating Team or Service Provider using the ESSC (Annex F). The initial output shall be reviewed and discussed during the barangay assembly prior to the preparation of the appropriate instrument following this framework. 61 13. The information to be obtained in the Inventory will include the following information for each DP household: (i) number of persons and names; (ii) amount and area of all the residential plots lost; (iii) amount, category/type and area of agricultural land lost; (iv) quantity and types of crops and trees lost; (v) quantity and category of any fixed assets lost; and (vi) temporary damage to productive assets. 14. The entitlements of assets and land affected shall be calculated based on the above in- formation and using the compensation matrix, per negotiation approval and acceptance of the community/barangay assembly. B. Preparation of Appropriate LARR Instrument B.1 Voluntary Land Acquisition 15. Given the KC experience, voluntary land acquisition (VLA) is expected to be the main in- strument in land acquisition for NCDDP. In the rural areas where donations of lands for community use are generally practiced, arrangements have to be made to ensure that the donation is indeed voluntarily given, that the donor is the legitimate owner of such lands, and that the donor is fully informed of the nature of the subproject and the implica- tions of donating the property. Should the donor decide to donate the property on a con- ditional basis, the terms and conditions for the temporary use (usufruct rights) of the property must be clearly stated in the conditional Deed of Donation document. 16. Under these situations, the following land acquisition documentation need to be com- pleted, based on their relevance to the cases being encountered by subproject propo- nents: (Annex J provides the set of templates for VLA. These templates must be fully accomplished and shall form part of the subproject proposal.) (i) An assessment that the affected person does not suffer a substantial loss affecting his/her economic viability as a result of the donation; (ii) Certification from the LGUs and the proponents, that the land is free of claims or encroachments from any third party; (iii) Deed of Donation to the LGU (barangay, municipality) concerned or the community organization, as witnessed by the LGU barangay and municipal government officials, notarized by a registered Lawyer, with copies of donation papers furnished the Office of the Municipal Assessor and the Provincial Register of Deeds; (iv) Declaration of Ownership with Waiver of Claims for Affected Assets; (v) Joint Affidavits of Two Adjoining Landowners or Barangay Officials (for unregistered lands); (vi) Waiver of Rights/Quit Claim (for Plants, Trees, Houses, Structures claimed by Tenants, Informal Settlers) 62 (vii) Waiver of Rights/Quit Claim (With Sharing of Claim) 17. As incentive of the LGU to DPs who voluntarily donated portions of their properties to fa- cilitate construction/rehabilitation of the proposed subproject, proponents and LGUs can discuss possible incentive schemes, which may include: (i) Privileges to use community facilities with minimal fees to be paid by donor, as compared to other members of the Association; (ii) Amnesty for payment of back taxes (for those with no Tax Declarations); (iii) Employment during construction; (iv) Transfer/resettlement assistance, when necessary; or (v) Assistance in getting alternative employment. B.2 Land Acquisition, Resettlement, and Rehabilitation Plan (LARRP) 18. This Framework provides guidance in developing a Land Acquisition, Resettlement, and Rehabilitation Plan (LARRP) when involuntary taking of land cannot be avoided. To en- sure that the anticipated negative social impacts of proposed NCDDP community infra- structure subprojects are addressed, a LARRP shall be prepared and shall be part of the subproject proposal that would be submitted to the Regional Project Management Office (RPMO). 19. The LARRP shall be required under the following circumstances: (i) 200 people or more will experience resettlement effects (ii) 100 DPs or more are indigenous peoples or in some way vulnerable, e.g., households headed by women, persons without legal title; or (iii) 50 DPs or more are particularly vulnerable, e.g., hunter-gatherers, conflict affected persons 20. An Abbreviated LARRP shall be required if the number of DPs do not reach the above level.11 21. The LARRP or Abbreviated LARRP shall be prepared following World Bank’s OP/BP 4.12. C. Land Acquisition, Resettlement and Rehabilitation Planning (LARRP) in the Subproject Approval Process 22. The guiding principles contained in this document shall be adapted. The plans should re- flect the inventory of affected persons and properties, number of persons eligible for each entitlement or form of assistance as stated in the LARR Framework and Imple- mentation Guidelines, cost estimates and arrangements for consultation and participa- tion. 23. If indigenous peoples are among the subproject beneficiaries, the plan should include details and documentation on IP consultation which should include: 11 While ADB consistently uses the same LARRP outline, triggers for a LARRP under WB shall result to a changing in category - from the current category B to category A - under ADB. 63 (i) Extensive consultation with and informed participation of IPs to ensure that development is culturally appropriate; (ii) In cases of provision for individual titling, areas with IPs should get Information and Education Campaign (IEC) sessions so that they are aware of what they are getting into and some of its potential dangers; (iii) Capacity building activities and other important elements outlined in the IPPF. 64 Figure 1: VLA and LARRP Preparation and Approval Process CEAC - PDW Proposed inventory of DPs (landowners, Subproject informal dwellers, etc.) inventory of affected land and improvements; identification of potential negative CEAC impact per DP Identification of DPs Project Pro- posal Preparation Consultation with DPs (Brgy. Revise Subproject Assembly) Proposal Are DPs willing to donate? No Yes Are DPs seeking No compensation? Consult DPs on Yes Acceptable? compensation ar- No rangements Yes Prepare LARRP and Le- CEAC - MIBF Prepare VLD Docu- gal Documents ments Review VLD or LARRP at RPMO and NPMO CEAC –SPI st (Prior to 1 Approve SP Pay compensation Tranche Grants Is LARRP (if needed) prior to SP Release) acceptable? Proposal implementation No Yes Monitor compliance to approved LARRP 65 24. Payment of compensation and provision of other entitlements (in cash or in-kind) shall be satisfactorily completed for each subproject prior to the commencement of civil works by the community. 25. The same time requirement would apply if DPs voluntarily contribute any part of their land and/or assets for the subproject. That is, all deeds of donations and other relevant legal instruments for each subproject shall be satisfactorily completed prior to the con- duct of the MIAC technical review and sequent request for fund release (RFR). V. RIGHT-OF-WAY VALUATION 26. In view of Cost-Sharing Arrangement for NCDDP, LGU equity as far as costs related to LARRP documentation and implementation, shall cover the following items: (i) Value of land – depending on the type of area that will be traversed by the subproject (ii) Value of Improvements that will be damaged during construction (crops, trees, structures, etc) (iii) Other costs related to ROW acquisition (inventory of subproject affected stakeholders, consultation with affected individuals, notarization, cost of parcellary survey for annotation of individual land titles, etc.) 27. ROW Valuation shall be subject to the approval of NPMO, based on the submission of the following documents: (i) Certification from the regional and municipal offices on the submission of complete and correct legal and supporting documents (ii) Submission of Inventory of Subproject Affected Persons and Improvements (iii) Submission of Summary Table of Right-of-Way (ROW) valuation with corresponding supporting documents (copy of Deed of Sale/Provincial Assessor’s Valuation Schedule/Bureau of Internal Revenue (BIR) Zonal Valuation Schedule as basis of valuation for land and improvements that will be affected by the proposed subproject) 28. Validity of ROW Valuation shall be based on the Minutes of Meeting to be submitted by the MLGU reflecting the following: (a) that consultation with the subproject affected stakeholders has been conducted and they were informed of the proposed subproject(s), (b) that the proposed subproject(s) will traverse private properties which were donated or acquired by the MLGU (please specify), and (c) it was agreed among those present dur- ing the consultation that the basis of valuation for: c-1. land shall be Proof of Sale or Land Bank of the Philippine Certification or Provincial Assessor’s Valuation or BIR Zonal Valuation (this should be specified in the Minutes of Meeting) and c-2. for improvements that will be damaged during construction, the basis of valuation shall be Provincial As- sessor’s Valuation or BIR Zonal Valuation or Bill of Materials (this should be specified in the Minutes of Meeting). 66 67 Annex H: INDIGENOUS PEOPLES POLICY FRAMEWORK I. POLICY PRINCIPLES AND OBJECTIVES 1. The NCDDP Project shall (a) ensure the informed participation of indigenous peoples in the activities of the NCDDP in both new and repeat municipalities under the KALAHI- CIDSS Project, so that they are in a position to receive culturally compatible social and economic benefits, and (b) ensure that indigenous peoples are not adversely affected during the development process. 2. The NCDDP Project shall undertake activities to ensure that IPs in Project-covered are- as are able to: (i) Provide input to local planning data and activities used and undertaken to determine development priorities; (ii) Facilitate the choice of community subprojects as coming from the IPs themselves through informed decision-making to address local development challenges; (iii) Actively participate and lead in the design, development, and implementation of community subprojects, and; (iv) Provide feedback on subproject implementation, and benefits and risks to IP groups. II. GUIDELINES IN ENGAGING INDIGENOUS PEOPLE 3. The analysis of KALAHI-CIDSS implementation in IP areas carried out as part of NCDDP preparation highlighted a series of adaptations already being implemented by Regional teams. In addition to recommending that these innovations be systematized and included in the CEAC, the study highlighted additional changes to the process to improve its responsiveness to the needs of IP communities. In particular: (i) NCDDP implementation in IP areas will require additional time and a greater focus on capacity building activities drawing on the Technical Assistance Fund (included in the Community Grants); (ii) there is significant reluctance/lack of confidence on the part of IP groups (particularly in mixed communities) to engage in competitive processes at municipal lev- el to secure funding for their sub-project proposals which will require some further ad- jutsments to the facilitation process (including preparatory meetings with IP groups where relevant); and (iii) land (access and title through CADCs and ADSDPPs) is a sig- nificant concern of IP groups currently not being addressed through CDD interventions. 4. Based on the findings of the IP analysis the following adjustments to the faciliation pro- cess were agreed on: (i) the development of specific NCDDP facilitation modules for IP areas with a strong focus on capacity building of communities, awareness raising on IPRA and meeting the documentation requirements for Ancestral Domain Claims (ii) ad- justments in the criteria setting process in mixed communities to ensure that greater 68 weight is given to proposals from IP communities (therefore making some adjustments to the competitive process to the advantage of IP groups). In addition, the DSWD will es- tablish a protocol with NCIP for addressing land issues and clarify roles and responsibili- ties at National, Regional and Municipal levels. Finally, IP specialist positions will be es- tablished at NPMO and Social Development Unit staff at Regional level will be tasked with the coordination of the additional activities proposed; and a Technical Working Group on IP issues will be created at National level for closer engagement with NCIP and civil society organizations active in this area. 5. The key element of the NCDDP Project’s CDD strategy is facilitated participatory plan- ning and community implementation and management of development activities at the community (barangay) level, through the Community Empowerment Activity Cycle (CEAC)12. In ensuring meaningful participation of IPs, NCDDP Area Coordinating Teams (ACTs) shall (a) make use of appropriate mechanisms and structures, and; (b) undertake specific activities, that will enable indigenous groups to meaningfully engage in CEAC activities. Staff Development 6. Orientation on the IPRA as well as the Project’s strategy to address indigenous peoples’ concerns, including orientation on the Ancestral Domain Sustainable Development and Protection Plan (ADSDPP) or NCIP Administrative Order No. 1, series of 2004, and the FPIC process (NCIP AO 3 Series of 2012), shall form an integral part of the training pro- gram for Project staff at all levels, in order to better prepare Project staff in engaging IP communities in the NCDDP Project. Collaboration with NCIP shall be established to en- sure that trainers are knowledgeable to impart IP-related knowledge and that the training or capacity building processes are IP-friendly. 7. IP specialists will be hired and mobilized at NPMO and RPMO with IP population. In mu- nicipalities known to have IP communities, community facilitators with extensive IP background will be hired and trained. IP engagement along the CEAC 8. Social Preparation: In undertaking CEAC Social Preparation activities, ACTs shall en- sure the following: (i) Engagement with NCIP. Full engagement and coordination with NCIP across levels, parallel to the Project implementation structure will be observed at Project start. This engagement shall also lead to agreed protocols (including but not limited to geographical area coverage, development planning, consultation, etc.) in compliance with the FPIC process before the Project works with IP communities even at the planning stage. (ii) Demographic and other data on the situation of IP communities are gathered by Community Facilitators (CFs) and other members of the ACT as part of Social Investigation (SI), and that these data are used during team meetings 12 For a full description of the CEAC Process, please refer to Chapter 3 of the CEAC Field Guide of the KALAHI- CIDSS Project. 69 and tactic sessions to design activities and calibrate social facilitation plans for IP groups within their covered municipalities. (v) Council of Elders headed by the chieftain leaders and representatives of IP groups, as well as of the National Commission on Indigenous Peoples (NCIP), are present during the conduct of Municipal Orientations. (vi) Attendance forms used in Barangay Assemblies will reflect the IP composition of the attendees, as well as capture membership in a particular IP group, of attendees who are IPs. In cases where a particular IP group in is underrepresented, the ACT shall conduct additional meetings with the IP group concerned to feedback and gather inputs on concerns raised and decisions to be made in the BA. (vii) IP Leaders and representatives of IP groups are selected as community volunteers for the Participatory Situation Analysis (PSA) activities as selected by the IPs themselves.13 ACTs shall ensure that data on the situation of IPs are generated gathered, analyzed, and used in all stages of the PSA process. 9. Subproject Identification and Development: In undertaking CEAC Subproject Identi- fication and Development activities, ACTs shall ensure the following; (viii) IP Leaders, or their duly appointed representatives as selected by them, are included as members of community volunteer committees charged with the tasked with of preparing criteria for prioritization, and with preparing subproject proposals. (ix) Criteria on effects to IPs, including subproject benefits for, and potential risks to IP communities are used in identifying and selecting community subprojects to be proposed by the Barangay. (x) IP Leaders/representatives, as well as the NCIP are continually regularly consulted, their opinions and insights gathered, and their recommendations used in the design of community subprojects, and the development of community proposals. (xi) ACTs shall ensure that the process for designing subprojects are undertaken in a form and manner that is sensitive to and reflect IPs cultural identity, and are in line with the provisions of the IPRA law. The ACT shall likewise ensure consultation assemblies are undertaken specifically with IP groups at each stage of the subproject design and development process, and prior to Barangay Assemblies where decisions are made on important elements of the Subproject proposal, including but not limited to (a) site for subproject within IP areas; (b) use of materials and resources; (c) inclusion / exclusion of IPs as beneficiaries, and other concerns affecting IPs. (xii) Baseline data on indigenous groups are included as part of the community profile and needs assessment forms required for subproject proposals. 10. Prioritization: In undertaking Prioritization activities, ACTs shall ensure the following; (xiii) IP Leaders and representatives are included as members of the Inter- Barangay Forum (IBF), which shall prioritize proposed community subprojects for funding. In homogenous or predominantly IP barangays, an 13 NCIP AO 2 Series of 2012. 70 IP member shall be selected to represent the barangay in the IBF. In areas where an IP community straddles many barangays, but where the individual barangays are composed of mixed IP and non-IP populations, the team shall ensure that the IP tribe or community is represented in the IBF by an IP leader selected by them. This shall be in addition to the CVs selected by the barangays through the BA. (xiv) Leaders and representatives of IP barangays are adequately represented in the crafting of the prioritization criteria during the Criteria Setting Workshop (refer to item 152, (i), above). (xv) Criteria on benefits to IPs are included in the ranking by the MIBF of a subproject to be implanted in an IP area or barangay. 11. Subproject Implementation: In undertaking CEAC Subproject Implementation activi- ties, ACTs shall ensure the following; (xvi) Management committees of community subprojects implemented under the NCDDP Project in IP areas or are intended to generate benefits for IP include IP community volunteers / leaders selected by the community following customary procedures. In addition, members of IP communities shall be given priority in benefiting from labour and remuneration for work attendant to the implementation of subprojects in IP areas. (xvii) IP community volunteers involved in managing all aspects of subproject implementation, from procurement to implementation and construction (for infrastructure subprojects), to managing finances, as provided with training to equip them with bookkeeping, simple accounting, procurement, and resource management skills during design and implementation stages. III. UNANTICIPATED IMPACT 12. Indirect, and/or unanticipated impacts on IPs may become apparent during subproject implementation.14 Should this be noted, the NPMO will ensure that a social impact as- sessment will be conducted resulting to an updated IPP or formulation of a new IPP covering all applicable requirements specified in this ESMF. The social impact assess- ment will be done in accordance with the procedures stipulated under the CEAC. IV. INFORMATION DISCLOSURE 13. For IP communities, pertinent information for disclosure are: (i) notices of meetings/ con- sultation, (ii) NCDDP concept and implementation arrangements, (iii) results/minutes/ agreements made during meetings/consultations, grievance redress mechanisms, re- sults of assessment studies, IPPs, and M&E results. 14. Disclosure modalities will be in accordance with prevailing customs and traditions and shall be written in English or Pilipino and in the IP language and authorized by communi- ty elders/leaders shall be delivered and posted in conspicuous places or if lengthy, cop- 14 ADB Safeguards Policy Statement 2009: Appendix 3. 71 ies provided to community elders/leaders and IP organizations. Popular forms of printed materials include: fact sheets, flyers, newsletters, brochures, issues papers, reports, surveys etc. Popularized materials aim to provide easily read information. These materi- als may be in the local dialect enhanced with drawings, to inform a wide range of IPs about the planning and assessment processes and activities. 15. DSWD will disclose the following documents: (i) this Indigenous Peoples Policy Frame- work, as endorsed by DSWD and by NIPC, (ii) new or updated Indigenous Peoples Plans; and (iii) monitoring reports in relation. These documents will be generated and produced in a timely manner, and posted in ADB, World Bank, and DSWD NCDDP web- sites, as well as at any locally accessible place in a form and language understandable to the affected IPs and other stakeholders. Relevant ADB and World Bank information disclosure policies would be followed. V. MONITORING 16. The NCDDP shall ensure proper monitoring and evaluation of compliance to this IPPF. Project monitoring of IP engagement shall generally include the following: (i) Compliance Monitoring – This shall include establishment and maintenance of an IP database, and monitoring arrangements to (a) track engagement of indigenous groups in the various activities along the CEAC, and; (b) to determine whether IPPs were carried out as planned, and accordance with this IPPF; The NPMO shall conduct supervision and in-house monitoring of implementation of the IPP. The procedure for monitoring will be guided by the monitoring, evaluation, and reporting arrangements set forth in this IPPF. An appendix in the IPPF provides the guidance in the preparation of internal and external monitoring indicators. (ii) Community self-assessments of subproject preparation and implementation, to provide an avenue for IPs to communicate whether they have been involved in subproject activities and whether the final subproject addresses their needs, and; (iii) Independent, external monitoring by civil society (NGO’s and the press), and by an External Monitoring Agency (EMA), to provide avenue for identification of cases where indigenous groups have been bypassed or marginalized in the subproject planning and selection process. 17. External Monitoring Agency (EMA). External Monitoring will be commissioned by the NPMO to undertake independent external monitoring and evaluation, through an EMA who will be either a qualified individual or a consultancy firm with qualified and experi- enced staff. The Terms of Reference (TOR) for the EMA shall be prepared by the NPMO and shall be acceptable to ADB and WB prior to engagement. The NPMO shall be re- sponsible for the engagement of the EMA, and shall ensure that funds are available for monitoring activities, and that monitoring reports are submitted to the ADB, World Bank, and the NCIP. 18. NCIP engagement in M&E - In addition, Chapter III, Section 44 (h) of the Indigenous People’s Rights Act mandates that the National Commission on Indigenous Peoples (NCIP) be involved in monitoring of Project implementation in relation to indigenous peoples engagement. To this end, the NCIP sits as a member of the NCDDP National 72 Steering Committee. All RPMOs with NCDDP areas covering IP areas shall ensure that the NCIP is likewise represented at the RPMT. The RPMOs shall likewise invite repre- sentatives from the NCIP to observe and participate in municipal-level activities in IP ar- eas. 19. Schedule of Monitoring and Reporting. The NPMO shall establish a schedule for the implementation of this IPPF, and the IPPs taking into account the Project implementation schedule. It is expected that one month prior to the start of subproject implementation, internal and external monitoring key actors shall have determined all IPP activities. Quarterly progress reports shall be prepared and submitted to the ADB, World Bank, and the NCIP, following the NCDDP regular reporting systems and procedures. VI. GRIEVANCE REDRESS 20. The Project’s grievance redress system shall be used as the mechanism for IP groups to air out complaints or grievances in the course of implementation. Community facilitators shall inform indigenous groups about this system at the start of the implementation of the Project in the municipality in a culturally appropriate manner. Staff shall ensure that meetings and consultations about the system are conducted with IP groups on the sys- tem, independently of the regular GRS orientation activities, if needed. IPs shall likewise be informed that complaints may also be registered with and by the NCIP, and included in their quarterly reporting to the National Steering Committee (NSC) or the National and Regional Project Management Team (NPMT and RPMT, respectively). Regional offices shall ensure that the NCIP will likewise disseminate this information through its staff to indigenous groups, local non-government organizations (NGO) and the press. 21. In addition, the Project will continue to maintain a grievance register, which will provide information on the number and type of grievance and complains from indigenous groups at the municipal and provincial levels, and on the way these complaints have been ad- dressed. This information will be included in the quarterly Project reports to the National Steering Committee (NSC). 22. To the extent possible, resolution of grievances involving IP communities related to Pro- ject implementation shall be through traditional IP grievance resolution processes and systems, following of the principle of precedence of customary laws in the IPRA. VII. INSTITUTIONALIZATION 23. The NCDDP Project adopts an institutionalization framework and strategy that seeks to integrate lessons in the implementation of CDD processes and strategies into the regular planning, budgeting, implementation, and monitoring processes, systems, and structures of the barangay and municipal LGUs. In Project areas where IPs are found, Project staff shall ensure that NCDDP participatory approaches for engaging IPs, as well as the de- velopment priorities of IP are integrated into the local development planning system of LGUs, in line with the NCDDP institutionalization framework and strategy. These can in- clude (a) integration of key features of this safeguards framework and strategy into the LGUs governance systems; (b) establishment and maintenance of IP databases; (c) in- 73 tegration of ADSDPP processes into the MLGU local development planning instruments and manuals, and; (d) facilitating review and/or development of ADSDPPs, among oth- ers. 74 Annex I Environmental and Social Management Plan (ESMP) and Sample Mitigating Measures for Eligible Rural Infrastructure Sub-projects ( Barangay, Municipality of Province of _, Region _) A. Plan Template Potential Impacts Mitigation/ Monitoring Responsible Implementation Cost and Enhancement Parameter Entity Schedule Source of Measures Funds Pre- Construction Phase Construction Phase Operation and Maintenance Phase B. Possible Issues and Mitigation Measures Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds PRE-CONSTRUCTION PHASE (Social Preparation, Land/ROW Acquisition and Damage Compensation, Hiring, Procurement) In Compliance with: Govt. Policies on a) Gender and Development, and b) Public Disclosure; GOP: RA 9172 Women in Development and Nation Building; RA7160 Local Government Code and WB and ADB safeguards policies 0 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds Lack of − Hold consultative − Proof* of prior coor- LGU/Proponent to Both measures Consultative information meetings with pro- dination, consultation, take the lead in co- and monitoring to meetings to be held and/or low ject beneficiaries participation in vari- ordination and con- be done as about 3x prior to and affected per- ous stages of the pro- sultations, particu- participation of follows: construction: sons on the sub- ject starting from larly the Municipal the community, project components planning activities to Social Welfare De- ▪ During sub- P100/meeting x 50 particularly the and management operation and partment and the project con- pax/mtg x 3 marginalized plan with particular maintenance: Community Relation ceptualization meetings x 2 sectors such as attention given to ▪ General commu- Officers and initial de- sectoral groupings IP and women, in marginalized sec- nity sign (one general, one sub-project tors such as IP and ▪ Prior to finali- women ▪ IP groups women) x planning and zation of the ▪ Focused wom- barangays = P activities − Prior coordination sub-project and consultation en’s groups design with marginalized *Proof: e.g. Attendance ▪ Prior to con- sectors such as IP Sheet, Minutes of struction and women's Meetings Copy of groups Presentation Materials (to validate content and coverage of disclosure/ consultation) In compliance with RA 8974 and RA 7279; EO 1036 Acquisition of Private Property Land or ROW − Disclosure of WB − Proof of prior consul- LGU to facilitate the All activities to be Consultative acquisition, Involuntary Reset- tation and disclosure consultations, implemented meetings for damages to crops tlement and com- on WB/GOP guide- disclosure, prior to disclosure and pensation guide- lines for compensa- and other preparation of construction package drafting to lines, e.g. market tion structures value as basis for compensation be held about 2x − Presence of com- packages and prior to construction, pricing of land or pensation package payment of with 4 barangays crops and other properties − Proof of compensa- compensation (spatial approach) or 1 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds − Prepare compensa- tion/ payment before sectors: tion package for construction works land or ROW ac- P100/meeting x 50 quisition, and/or pax/mtg x 2 crop damage com- meetings x pensation, based barangays or on LARRF and pri- sectors = P or consultation with project-affected persons − Secure proper land acquisition docu- mentation (Deed of Donation or Quit Claim on land /other properties) − Payment of com- pensation prior to construction works In Compliance with: ..GOP RA 7160 Local Government Code Entry of external Give hiring preference Proof of local residence, LGU to facilitate Prior to No additional ESMP workforce to qualified local e.g. Community Tax arrangements for construction cost for hiring from community residents, Certificate (CTC) or local hiring the locality particularly those who certificate of residence will be displaced issued by the Brgy. Captain In Compliance with: ADB Policy on Environmentally Responsible Procurement and GOP Contract Policies and Procedures Possible illegal or Procure construction Presence and validity of LGU Municipal Every No additional ESMP unauthorized materials from sources environmental permits Project Office procurement Cost, as this 2 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds sourcing of with valid and/or license of sources (MPO) activity prior to requirement is part of construction environmental sources, of construction materials: construction the Standard materials i.e. for sand and gravel, to be monitored prior to Operating Procedure from those with DENR- award to every contractor in the GOP MGB/EMB permits; for Procurement timber resources, from Guidelines those with valid DENR- FMB/EMB permits CONSTRUCTION PHASE (Mobilization, Construction Proper, Demobilization) Physical Environment: Land − Destabilization − Schedule the con- − Presence of erosion Contractors to Erosion control − Vegetative stabiliza- of slopes and struction works dur- control, slope stabiliza- include in their bids and stabilization tion estimate: soil erosion due ing the relatively tion and protection the estimate of measures shall P5,000/hectare * to earthworks drier months structures in the site sub-projects stabilization and be implemented =P _/ha − River bank ero- − Implement appropriate − Absence of massive erosion control simultaneously sion due to erosion control, slope erosion induced by the measures; with construction − No additional ESMP earthworks stabilization and pro- construction works works. cost for Mechanical along rivers tection measures Contractors to or Engineering implement and the measures for soil − Vegetative stabiliza- LGUs to supervise erosion control and tion of the sloping ar- the Contractors slope stabilization, eas as these are inte- − Designate a Spoils grated in Sub- Storage Area near the project design and construction site cost for roads with critical slope. 3 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds Physical Environment: Hydrology Obstruction of − Leave enough chan- Presence of culverts Contractors to Daily No additional ESMP natural and nel for unobstructed properly placed along implement while the operations cost; Drainage and redirected flow of river flow natural drainage paths LGU supervises the installation of water during − Follow natural drain- Contractors culverts are construction works age paths when con- integrated in the along roads and structing road drain- sub-project cost, age canals and in- flood control works being part of the stalling culverts standard design. Physical Environment: Water Quality In compliance with: WB Pollution, Prevention and Abatement Handbook; GOP: RA 9275 Clean Water Act; DENR AO 2005-10 Increase in total − Same measures to − Presence of soil ero- Contractors to Daily operations No additional ESMP suspended solids, control soil erosion; sion control measures implement while the cost. Silt trap may be browning and − Supplemental meas- − Temporal/Short-term LGU supervises the installed only as turbidity of the ure along the river, if browning or turbidity of Contractors needed, receiving water needed: silt traps to the river supplemental to the body due to soil minimize downstream soil erosion control − # public complaints re- erosion/ increase siltation ceived by Proponent/ measures. Will only in run-off from Contractor need voluntary construction sites community labor or construction workers may devote certain number of hours for the task. The materials, e.g. rocks, may be sourced around the sub- 4 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds project site. Increase in BOD − Provision of sanitary − Presence of sanitary Contractors to Daily operations No additional ESMP load and debris in facilities to workers and waste segregation/ implement while the cost if rental or the waterbody containment facilities LGU supervises the construction of − Provision of facilities due to improper to workers to allow − No indiscriminately Contractors bunkhouse or disposal of them to segregate, scattered solid waste basecamp includes sanitary and solid and properly dispose the sanitary and biodegradables from waste from the waste disposal non-biodegradables. workers’ base facilities ( P5,000/ camp SP x SPs = P Contamination by − Provide oil and grease − No visible oil and Contractors to Daily operations Nil cost of oil and grease traps upstream of any grease film on water- implement while the improvised and fuel spills run-off discharge from bodies LGU supervises the temporary ring from heavy the sub-project to the − # public complaints Contractors canals around area waterbodies equipment and received by Propo- of storage of fuel storage areas − Provide ring canals nent/ Contractor drum containers of around fuelling tanks/ fuel : P5,000 x motorpool/ mainte- sub-projects = nance areas P − Collect used oils in containers and sell to licensed recyclers Physical Environment: Air Quality In compliance with: WB Pollution, Prevention and Abatement Handbook; GOP: RA 8749 Clean Air Act; DAO 2000-81; PD 984 Pollution Control Act – Noise Levels (DENR/LLDA/ARMM regulation) 5 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds Increase in − Minimize night-time − Qualitative ambient Contractors to Daily operations Water spraying: only suspended dust construction activities noise levels within resi- implement while the when needed; particulates along dential standards LGU supervises the Expected to be nil − Wet areas of dust (based on comparative unpaved roads, sources to minimize Contractors since the levels of sound in the and obnoxious discomfort to nearby households are far natural environment) gas and residents from the roads and − Presence of truck cover particulate − Control of vehicle speed the activities will only during deliveries emissions and to lessen suspension of be rehabilitation noise levels from road dust − Records of M&R of heavy equipment equipment − Delivery equipment operations within should be covered with − Records of annual reg- the vicinity of the tarpaulin sheets or any istration of vehicle construction and equivalent − # of people's com- along the − Regular M&R of equip- plaints on disturbance transport route of ment caused by construction the heavy at a level disrupting − Contractor to present their normal level of ac- equipment proof of compliance with tivities emission standards as part of the annual vehi- cle registration process Biological Environment In compliance with: GOP: PD 705 (Forestry Code) Localized tree − Prior acquisition of − Presence of permit − LGU or Contrac- Daily operations Permit acquisition cutting or Tree Cutting Per- tor may apply for cost, about: P2,000 − Compliance with condi- vegetation mit(TCP) the permits x _SPs = P tions of TCP clearing, and − Compliance with con- − Contractors to , total one- disturbance to ditions in secured implement while time application, wildlife permits the LGU super- including meetings vises the Con- and follow ups, and − - Implementation of 6 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds tree planting around tractors compliance with the facility (at the condition on school site) disposition of the cut trees (e.g. may be requested by LGU from the DENR for use in the school to be constructed) Temporal − This is a residual sec- − Presence of soil ero- − LGU or Contrac- Daily operations smothering of ondary impact of in- sion control measures tor may apply for creased siltation the permits No additional ESMP aquatic life due to − No fish kills due to which cannot be cost. Integrated in siltation from smothering − Contractors to avoided but can be soil erosion control earthworks implement while lessened in gravity measures. the LGU super- thru the implementa- vises the Con- tion of soil erosion tractors control measures Social Environment Obstruction of − Provide access thru − Presence of alternate − Contractor's pro- Daily operations No additional ESMP public access the road rehabilitation access route ject management Cost: Bgy Tanod to through the road site by proper sched- and self- be provided by the − Allocation of space uling of rehab works monitoring rehabilitation area along road to allow LGU along the road and/or passage of pedestrians − LGU/ Communi- assigning a barangay and vehicles to pass ty-based monitor- tanod to handle traffic through during rehab ing and assign- management of pe- works ment of barangay destrian and vehicles tanod for traffic − Presence of barangay − Provide alternate management tanod for traffic man- route agement − Presence of heavy traf- 7 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds fic in road approach or along the road being rehabilitated − # public complaints re- ceived by Proponent/ Contractor Increased health − Same measures for − Same parameters for LGU/IA and Daily operations No additional ESMP risk due to Water Quality to pro- Water Quality control settlers to enter Cost – addressed by improper disposal vide sanitary facilities into MOA on the Water Quality − Proper timing and fre- and waste manage- or lack of facilities quency of barangay ESW Mgt measures while ment facilities for con- for management defogging (when defogging is a struction workers; of solid waste and deemed necessary by standard barangay − Inclusion of the con- the LGUs) sewage during activity struction worker’s construction − # public complaints re- basecamps in the ba- ceived by Proponent/ rangay defogging to Contractor eliminate disease vec- tors, if solid waste is observed to have ac- cumulated to alarming levels Increased − Provide appropriate − Presence of signages − Contractor's pro- Daily operations Signages cost community warning signs and and lighting ject management allocation: P2,000 x hazards of lighting and self- SPs = P − # of accidents/ near- monitoring vehicular − Heavy equipment to accidents reported to (Normally,signages accidents due to observe traffic rules the barangay − LGU/ Communi- are standard costs construction ty-based monitor- of construction − # of public complaint ing works works, so this measure should not be attributed as an additional ESMP 8 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds Cost) Exposure of − Schedule the con- − List of designated resi- − Contractor's project Daily operations, No additional ESMP workers to struction works pref- dents upslope to pro- management and particularly Cost – This is emergency or erably during the drier vide the information or self-monitoring during heavy considered months signal. hazards of − LGU/ Community- rains. barangay volunteer flashfloods along − Install early warning − Presence of system based monitoring or counterpart task, river system to inform (procedures and tim- and assignment of which is expected to workers to take extra ing) of communication barangay residents happen only very precaution during un- to be observed by the to provide the early warning/signal. occasionally or even expected rainy peri- LGU and the contrac- ods, e.g. a barangay tors. rarely, although the resident living upslope impacts are very to send a message on serious if the heavy rains and pos- measure is not sible heavy flows at installed and not the headwaters. effectively done. Communication may be thru text or cell phone call or thru sending a messenger to the sub-project site. OPERATIONS AND MAINTENANCE Physical: Land Leaching of soil ISA will regulate use Records on water CIS ISA to manage From the initial No Additional ESMP nutrients and of irrigation water and withdrawals and the imposition and operation of the Cost: This is part of changes in soil charge water usage distributed to the service collection of water CIS facility sub-project characteristics fees, a deterrent to area usage fees institutional plan due to excessive excessive use of application of water. irrigation water, or 9 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds due to improper/excessi ve use of agro- chemicals Physical: Hydrology Reduction of − Renew NWRB clear- − Presence of renewed ISA to apply for the Annual Cost of permit downstream ance/water permits annual permit from permit renewal renewal and water supply, annually NWRB coordination with the especially during − Ensure there is good − Records of upper wa- DENR annually: peak season, upper watershed tershed status P5,000/yr resulting to management thru co- − Records of upper wa- ordination with the disruption or tershed management DENR or taking initia- deprivation of tives in forest cover activities by the DENR other water users protection or the LGU downstream Obstruction of - Regular removal of de- − Absence of accumulat- − IA to inventory list − Measure: Des- No additional ESMP water flow due to bris and other waste ed garbage at the of volunteer ignate at the Cost: IA aggregation of that may obstruct water check/ control gates members start of opera- representative to be flow tion garbage at the − List of IA members to do − IA to do self mgt. under the volunteer headworks or at - Designation of local volunteer work on − Daily operations program and monitoring community volunteers maintenance on solid on waste mgt the checkgates/ who will maintain the waste management of control gates of housekeeping of the ir- the CIS the irrigation rigation distribution system system Obstruction of − Regular removal of No visible obstructions to OMC shall Weekly or No additional ESMP 10 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds run-off along debris, logs, and other the water flow, e.g. no designate a monthly or as the cost: Collection of drainage canals materials along drain- debris along the water barangay tanod to need arises, obstructions and causing the run- age canals so that no flow oversee the particularly after drainage canal clogging occurs off to flow across maintenance of the heavy rains inspections are part the road surface, drainage canals of the regular job which may lead to along the road description for erosion of the designated road barangay personnel Physical: Water Quality In compliance with: WB Pollution, Prevention and Abatement Handbook; GOP: RA 9275 Clean Water Act; DENR AO 2005-10 Agro-chemical − Analysis of the irriga- − Records of water and ISA to coordinate Semi-annual or Water and soil contamination of tion water near the soil analysis with the DA for annual sampling: analysis part of DA surface and downstream part of sampling of the CIS the controls are monitoring program, − Compliance to Clean the service area prior groundwater due Water Act standards service area, or the actually already or the DENR may be to exit to natural wa- to excessive or terways ISA may also put in place thru requested to sample improper request the DENR the regulation on exit points as part of − Analysis of the application of to conduct the use of agro- their source groundwater within fertilizers and groundwater chemicals and monitoring the influence of the pesticides in the service area sampling their application Estimated budget for irrigation areas − Periodic analysis of annual analysis: the soil to pre-empt P500/sample x 4 potential soil toxicity quadrant sample areas x 3 sample types (surface water, groundwater and soil) x once a year: P6,000 annually/CIS 11 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds In Compliance with: GOP: PD 1144 Fertilizer and Pesticide Authority regulations Increased use of − Use only the agro- − List of FPA-cleared CIS ISA Schedule of No additional ESMP agro-chemicals chemicals allowed/ agro-chemicals to be to coordinate with training depends cost. Training (pesticides and cleared by the Phil used in the Mainit CIS the DA on IPCM on the ISA’s package is Fertilizer and Pesti- fertilizers) due to − Presence of IPCM Pro- Training continuing integrated in the cide Authority more intensive gram development Agro-Enterprise cropping within − Controlled and proper program for its devt. module − Program for Farmers’ the irrigable timing of application of farmer package. Training and proof of agrochemicals based service area, attendance and beneficiaries (at on an Integrated Pest given the demonstration of ac- least one training and Crop Manage- availability of quired skills a year is ment (IPCM) Program regular and which the ISA can proposed) adequate formulate with the as- irrigation water sistance of the DA and improved − Training of the farm- irrigation facilities ers on the proper se- lection, dosage and timing of agro-chem applications to ensure optimum absorption by the plant and soil − Introduce the use of organic fertilizer SOCIAL ENVIRONMENT In Compliance with: WB on a) Gender and Development, and b) Public Disclosure; GOP: RA 9172 Women in Development and Nation Building; RA7160 Local Government Code and WB and ADB safeguards policies Lack of − Sustain IP and wom- − Proof* of coordination − LGU/Proponent to Daily operations No additional ESMP participation of en’s involvement thru and participation of IP take the lead in co- cost: Part of day-to- coordination/conduct ordination and 12 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds the marginalized of activities and facili- and women consultations, par- day management of sectors such as tation of some meet- ticularly the Munic- the associations IP and women in ings in relation to the ipal Social Welfare operation of the fol- * Proof: e.g. Attendance Department and sub-project lowing: Sheet, Minutes of the Community Re- operation and lation Officers maintenance of − O&M committeeC for Meetings, Inventory of access infra roles and tasks − - ISA, BAWASA the sub-project assumed by women and School Board − Irrigators’ Service As- to handle the sociation (ISA) women’s participa- − Barangay Waterworks tion program for and Sanitation Asso- their women mem- ciation (BAWASA) for bers PWS − School Board − Local Health Office − Local Social Welfare Office − IP Organizations − Multi-purpose Coop- erative − Other people’s asso- ciations Induce an Training to Household − Absence of soil ero- LGU to coordinate Based on the No additional ESMP increase in members on proper sion/ accumulation in with DSWD on Sub-Project cost. Training can be agricultural land preparations and road drainage canals training, in Implementation integrated in the cost and shoulders activity in agricultural techniques, consultation with plan of the for continuing previously especially in sloping − - Number of communi- the Sub-Project Ass’n/Brgy. development inaccessible farm areas ty or Committee mem- Beneficiaries program of the areas along the bers trained within the CEAC Engagement of IP newly constructed 13 Mitigation/ Enhancement Implementation Cost and Source of Potential Impacts Monitoring Parameter Responsible Entity Measures Schedule Funds or newly facilitators and IP process improved roads, experts (if in IP area) which may cause improper land preparations resulting to damage to road drainage and shoulder Introduction and use of technologies that are not culturally appropriate for IPs IV. ABANDONMENT PHASE No abandonment of the sub-project(s) (is)are programmed since the Operations and Maintenance Phase is considered to sustain the life and utility of the se, the sub-projects, unless natural catastrophic events such as anomalous magnitude of earthquake or flooding destroys the facility beyond use. In this ca engineering and design of the replacement facilities will integrate and handle the demolition of the damaged structures. Prepared by: BSPMC Date: 14 The LGU OF BRGY. is confirming its willingness and commitment to implement and allocate funds for th e abovementioned ESMP. Barangay Chairperson Date: Approved and noted by: Municipal Mayor Date: Reviewed and Endorsed to the SRPMO by: Reviewed and Endorsed to the RPMO by: Area Coordinator SRPMO Head Date: Date: 15 Annex J (This is a sample of a Deed of Donation. You may freely copy and revise this form) DEED OF DONATION KNOW ALL MEN BY THESE PRESENTS: That I, _of legal age, single / married to with postal address at hereinafter referred to as the DONOR, and Barangay (name of barangay), Municipality of (name of municipality), Province of (name of province), herein represented by (name of Barangay Chairperson), Barangay Chairperson, of legal age, with postal address at hereinafter referred to as the DONEE, witnesseth: That the DONOR is the registered owner of a parcel of land, more particularly described as follows: (Insert description of property to be donated) That the DONEE is the duly elected Barangay Chairperson (relationship to the donor) of the Barangay where the parcel of land of the DONOR is located. That FOR AND IN CONSIDERATION of the DONEE's desire to contribute to the development of the Barangay and its residents, and as an act of gratitude and liberality on his part, the DONOR hereby voluntarily GIVES, TRANSFERS, and CONVEYS by way of donation, unto the said DONEE, his heirs and assigns, the above described property, together with all the improvements found thereon, free from all liens and encumbrances; That the DONOR affirms that this donation is not made with intent to deceive his creditors, and that he has reserved for himself sufficient funds and property; That the DONEE hereby accepts and receives this donation made, in favour of the Barangay Sub-Project Management Committee (BSPMC) of Barangay (name of barangay) for the implementation of (name of subproject), by the DONOR, and hereby manifests his gratefulness for the latter's generosity. IN WITNESS WHEREOF, both the DONOR & DONEE have hereunder subscribed their names this day of 200_ at , Philippines. 0 DONOR DONEE WITNESS ACKNOWLEDGEMENT Republic of the Philippines ( ) S.S BEFORE ME, a notary for and in the City of Makati, personally appeared: Name CTC Number Date/Place Issued (Donee) 00000000 June 28, 200_ / MakatiCity known to me and to me known to be the same persons who executed the foregoing Deed of Donation and acknowledged to me that the same is their free and voluntary act and deed. WITNESS MY HAND AND SEAL, on the date and place first above written. Notary Public Doc. No._ ; Page No. ; Book No._ ; Series of 200_. 1 Safeguards Considerations for Project Implementation during Covid-19 I. INFORMATION DISSEMINATION AND PUBLIC CONSULTATIONS 1. Identify and review planned activities under the project requiring stakeholder engagement and public consultations. 2. Assess the level of proposed direct engagement with stakeholders, including location and size of proposed gatherings, frequency of engagement, categories of stakeholders (international, national, local) etc. 3. Assess the level of risks of the virus transmission for these engagements, and how restrictions that are in effect in the country / project area would affect these engagements. 4. Identify project activities for which consultation/engagement is critical and cannot be postponed without having significant impact on project timelines. For example, selection of resettlement options by affected people during project implementation. Reflecting the specific activity, consider viable means of achieving the necessary input from stakeholders (see further below). 5. Assess the level of ICT penetration among key stakeholder groups, to identify the type of communication channels that can be effectively used in the project context. 6. Based on the above, the Project Proponent needs to identify the specific channels of communication that should be used while conducting stakeholder consultation and engagement activities. The following are some considerations while selecting channels of communication, in light of the current COVID-19 situation: • Avoid public gatherings (taking into account national restrictions), including public hearings, workshops and community meetings; • If smaller meetings are permitted, conduct consultations in small-group sessions, such as focus group meetings. If not permitted, make all reasonable efforts to conduct meetings through online channels, including webex, zoom and skype; • Diversify means of communication and rely more on social media and online channels. Where possible and appropriate, create dedicated online platforms and chatgroups appropriate for the purpose, based on the type and category of stakeholders; • Employ traditional channels of communications (TV, newspaper, radio, dedicated phone-lines, and mail) when stakeholders to do not have access to online channels or do not use them frequently. Traditional channels can also be highly effective in conveying relevant information to stakeholders, and allow them to provide their feedback and suggestions; • Where direct engagement with project affected people or beneficiaries is necessary, such as would be the case for Resettlement Action Plans or Indigenous Peoples Plans preparation and implementation, identify channels for direct communication with each 1 affected household via a context specific combination of email messages, mail, online platforms, dedicated phone lines with knowledgeable operators; • Each of the proposed channels of engagement should clearly specify how feedback and suggestions can be provided by stakeholders; • An appropriate approach to conducting stakeholder engagement can be developed in most contexts and situations. However, in situations where none of the above means of communication are considered adequate for required consultations with stakeholders, consider if the project activity can be rescheduled to a later time, when meaningful stakeholder engagement is possible. II. CIVIL WORKS A. Responsibilities of the Project Proponent 1. The Project Proponent should request details in writing from the main Contractor of the measures being taken to address the risks. The construction contract should include health and safety requirements, and these can be used as the basis for identification of, and requirements to implement, COVID-19 specific measures. The measures may be presented as a contingency plan, as an extension of the existing project emergency and preparedness plan or as standalone procedures. The measures may be reflected in revisions to the project’s health and safety manual. 2. The Project Proponent should require the Contractor to convene regular meetings with the project health and safety specialists and medical staff (and where appropriate the local health authorities), and to take their advice in designing and implementing the agreed measures. 3. Where possible, a senior person should be identified as a focal point to deal with COVID-19 issues. This can be a work supervisor or a health and safety specialist. This person can be responsible for coordinating preparation of the site and making sure that the measures taken are communicated to the workers, those entering the site and the local community. It is also advisable to designate at least one back-up person, in case the focal point becomes ill; that person should be aware of the arrangements that are in place. 4. The Project Proponent may provide support to projects in identifying appropriate mitigation measures, particularly where these will involve interface with local services, in particular health and emergency services. In many cases, the Project Proponent can play a valuable role in connecting project representatives with local Government agencies, and helping coordinate a strategic response, which takes into account the availability of resources. To be most effective, projects should consult and coordinate with relevant Government agencies and other projects in the vicinity. 5. Workers should be encouraged to use the existing project grievance mechanism to report concerns relating to COVID-19, preparations being made by the project to address COVID- 19 related issues, how procedures are being implemented, and concerns about the health of their co-workers and other staff. B. Responsibilities of the Contractor/ Community Labor 1 1. The Contractor/Community Labor should prepare a detailed profile of the project work force, key work activities, schedule for carrying out such activities, different durations of contract and rotations (e.g. 4 weeks on, 4 weeks off). This should include a breakdown of workers who reside at home (i.e. workers from the community), workers who lodge within the local community and workers in on-site accommodation. Where possible, it should also identify workers that may be more at risk from COVID-19, those with underlying health issues or who may be otherwise at risk. 2. Consideration should be given to ways in which to minimize movement in and out of site. This could include lengthening the term of existing contracts, to avoid workers returning home to affected areas, or returning to site from affected areas. 3. Workers accommodated on site should be required to minimize contact with people near the site, and in certain cases be prohibited from leaving the site for the duration of their contract, so that contact with local communities is avoided. 4. Consideration should be given to requiring workers lodging in the local community to move to site accommodation (subject to availability) where they would be subject to the same restrictions. 5. Workers from local communities, who return home daily, weekly or monthly, will be more difficult to manage. They should be subject to health checks at entry to the site and at some point, circumstances may make it necessary to require them to either use accommodation on site or not to come to work. 6. Entry/exit to the work site should be controlled and documented for both workers and other parties, including support staff and suppliers. Possible measures may include: • Establishing a system for controlling entry/exit to the site, securing the boundaries of the site, and establishing designating entry/exit points (if they do not already exist). Entry/exit to the site should be documented. • Training security staff on the (enhanced) system that has been put in place for securing the site and controlling entry and exit, the behaviors required of them in enforcing such system and any COVID -19 specific considerations. • Training staff who will be monitoring entry to the site, providing them with the resources they need to document entry of workers, conducting temperature checks and recording details of any worker that is denied entry. • Confirming that workers are fit for work before they enter the site or start work. While procedures should already be in place for this, special attention should be paid to workers with underlying health issues or who may be otherwise at risk. Consideration should be given to demobilization of staff with underlying health issues. • Checking and recording temperatures of workers and other people entering the site or requiring self-reporting prior to or on entering the site. • Providing daily briefings to workers prior to commencing work, focusing on COVID-19 specific considerations including cough etiquette, hand hygiene and distancing measures, using demonstrations and participatory methods. 1 • During the daily briefings, reminding workers to self-monitor for possible symptoms (fever, cough) and to report to their supervisor or the COVID-19 focal point if they have symptoms or are feeling unwell. • Preventing a worker from an affected area or who has been in contact with an infected person from returning to the site for 14 days or (if that is not possible) isolating such worker for 14 days. • Preventing a sick worker from entering the site, referring them to local health facilities if necessary or requiring them to isolate at home for 14 days. 7. Requirements on general hygiene should be communicated and monitored, to include: • Training workers and staff on site on the signs and symptoms of COVID-19, how it is spread, how to protect themselves (including regular handwashing and social distancing) and what to do if they or other people have symptoms. • Placing posters and signs around the site, with images and text in local languages. • Ensuring handwashing facilities supplied with soap, disposable paper towels and closed waste bins exist at key places throughout site, including at entrances/exits to work areas; where there is a toilet, canteen or food distribution, or provision of drinking water; in worker accommodation; at waste stations; at stores; and in common spaces. Where handwashing facilities do not exist or are not adequate, arrangements should be made to set them up. Alcohol based sanitizer (if available, 60-95% alcohol) can also be used. • Setting aside part of worker accommodation for precautionary self-quarantine as well as more formal isolation of staff who may be infected. • Conducting regular and thorough cleaning of all site facilities, including offices, accommodation, canteens, common spaces. Review cleaning protocols for key construction equipment (particularly if it is being operated by different workers). • Providing cleaning staff with adequate cleaning equipment, materials and disinfectant. • Reviewing general cleaning systems, training cleaning staff on appropriate cleaning procedures and appropriate frequency in high use or high-risk areas. • Where it is anticipated that cleaners will be required to clean areas that have been or are suspected to have been contaminated with COVID-19, providing them with appropriate PPE: gowns or aprons, gloves, eye protection (masks, goggles or face screens) and boots or closed work shoes. If appropriate PPE is not available, cleaners should be provided with best available alternatives. • Training cleaners in proper hygiene (including handwashing) prior to, during and after conducting cleaning activities; how to safely use PPE (where required); in waste control (including for used PPE and cleaning materials). • Any medical waste produced during the care of ill workers should be collected safely in designated containers or bags and treated and disposed of following the requirements 1 detailed in the DOH’s “Healthcare Waste Management Manual� chapters 5 and 6. . If open burning and incineration of medical wastes is necessary, this should be for as limited a duration as possible. Waste should be reduced and segregated, so that only the smallest amount of waste is incinerated. 8. Consider changes to work processes and timings to reduce or minimize contact between workers, recognizing that this is likely to impact the project schedule. Such measures could include: • Decreasing the size of work teams. • Limiting the number of workers on site at any one time. • Changing to a 24-hour work rotation. • Adapting or redesigning work processes for specific work activities and tasks to enable social distancing, and training workers on these processes. • Continuing with the usual safety trainings, adding COVID-19 specific considerations. Training should include proper use of normal PPE. While as of the date of this note, general advice is that construction workers do not require COVID-19 specific PPE, this should be kept under review. • Reviewing work methods to reduce use of construction PPE, in case supplies become scarce or the PPE is needed for medical workers or cleaners. This could include, e.g. trying to reduce the need for dust masks by checking that water sprinkling systems are in good working order and are maintained or reducing the speed limit for haul trucks. • Arranging (where possible) for work breaks to be taken in outdoor areas within the site. • Consider changing canteen layouts and phasing meal times to allow for social distancing and phasing access to and/or temporarily restricting access to leisure facilities. • At some point, it may be necessary to review the overall project schedule, to assess the extent to which it needs to be adjusted (or work stopped completely) to reflect prudent work practices, potential exposure of both workers and the community and availability of supplies, taking into account Government advice and instructions. 9. Consider whether existing project medical services are adequate, taking into account existing infrastructure (size of clinic/medical post, number of beds, isolation facilities), medical staff, equipment and supplies, procedures and training. Where these are not adequate, consider upgrading services where possible, including: • Expanding medical infrastructure and preparing areas where patients can be isolated. (Guidance on setting up isolation facilities is set out in WHO interim guidance on considerations for quarantine of individuals in the context of containment for COVID-19). Isolation facilities should be located away from worker accommodation and ongoing work activities. Where possible, workers should be provided with a single well-ventilated room (open windows and door). Where this is not possible, isolation facilities should allow at least 1 meter between workers in the same room, separating workers with curtains, if possible. Sick workers should limit their movements, avoiding common areas 1 and facilities and not be allowed visitors until they have been clear of symptoms for 14 days. If they need to use common areas and facilities (e.g. kitchens or canteens), they should only do so when unaffected workers are not present and the area/facilities should be cleaned prior to and after such use. • Training medical staff, which should include current WHO advice on COVID-19 and recommendations on the specifics of COVID-19. Where COVID-19 infection is suspected, medical providers on site should follow WHO interim guidance on infection prevention and control during health care when novel coronavirus (nCoV) infection is suspected. • Training medical staff in testing, if testing is available. • Assessing the current stock of equipment, supplies and medicines on site, and obtaining additional stock, where required and possible. This could include medical PPE, such as gowns, aprons, medical masks, gloves, and eye protection. Refer to WHO guidance as to what is advised. • If PPE items are unavailable due to world-wide shortages, medical staff on the project should agree on alternatives and try to procure them. Alternatives that may commonly be found on constructions sites include dust masks, construction gloves and eye goggles. While these items are not recommended, they should be used as a last resort if no medical PPE is available. • Ventilators will not normally be available on work sites, and in any event, intubation should only be conducted by experienced medical staff. If a worker is extremely ill and unable to breathe properly on his or her own, they should be referred immediately to the local hospital. • Review existing methods for dealing with medical waste, including systems for storage and disposal. The DOH’s Health Care Waste Manual provides guidance on medical waste handling, treatment, storage, transport, and disposal in chapters 5 and 6. 10. Given the limited scope of project medical services, the project may need to refer sick workers to local medical services. Preparation for this includes: • Obtaining information as to the resources and capacity of local medical services (e.g. number of beds, availability of trained staff and essential supplies). • Conducting preliminary discussions with specific medical facilities, to agree what should be done in the event of ill workers needing to be referred. • Considering ways in which the project may be able to support local medical services in preparing for members of the community becoming ill, recognizing that the elderly or those with pre-existing medical conditions require additional support to access appropriate treatment if they become ill. • Clarifying the way in which an ill worker will be transported to the medical facility, and checking availability of such transportation. 1 • Establishing an agreed protocol for communications with local emergency/medical services. • Agreeing with the local medical services/specific medical facilities the scope of services to be provided, the procedure for in-take of patients and (where relevant) any costs or payments that may be involved. • A procedure should also be prepared so that project management knows what to do in the unfortunate event that a worker ill with COVID-19 dies. While normal project procedures will continue to apply, COVID-19 may raise other issues because of the infectious nature of the disease. The project should liaise with the relevant local authorities to coordinate what should be done, including any reporting or other requirements under national law. 11. WHO provides detailed advice on what should be done to treat a person who becomes sick or displays symptoms that could be associated with the COVID-19 virus (for further information see WHO interim guidance on infection prevention and control during health care when novel coronavirus (nCoV) infection is suspected). The project should set out risk- based procedures to be followed, with differentiated approaches based on case severity (mild, moderate, severe, critical) and risk factors (such as age, hypertension, diabetes) (for further information see WHO interim guidance on operational considerations for case management of COVID-19 in health facility and community). These may include the following: • If a worker has symptoms of COVID-19 (e.g. fever, dry cough, fatigue) the worker should be removed immediately from work activities and isolated on site. • If testing is available on site, the worker should be tested on site. If a test is not available at site, the worker should be transported to the local health facilities to be tested (if testing is available). • If the test is positive for COVID-19 or no testing is available, the worker should continue to be isolated. This will either be at the work site or at home. If at home, the worker should be transported to their home in transportation provided by the project. • Extensive cleaning procedures with high-alcohol content disinfectant should be undertaken in the area where the worker was present, prior to any further work being undertaken in that area. Tools used by the worker should be cleaned using disinfectant and PPE disposed of. • Co-workers (i.e. workers with whom the sick worker was in close contact) should be required to stop work, and be required to quarantine themselves for 14 days, even if they have no symptoms. • Family and other close contacts of the worker should be required to quarantine themselves for 14 days, even if they have no symptoms. • If a case of COVID-19 is confirmed in a worker on the site, visitors should be restricted from entering the site and worker groups should be isolated from each other as much as possible. 1 • If workers live at home and has a family member who has a confirmed or suspected case of COVID-19, the worker should quarantine themselves and not be allowed on the project site for 14 days, even if they have no symptoms. • Workers should continue to be paid throughout periods of illness, isolation or quarantine, or if they are required to stop work, in accordance with national law. • Medical care (whether on site or in a local hospital or clinic) required by a worker should be paid for by the employer. 12. Ensure continuity of supplies and project activities with the following measures: • Identify back-up individuals, in case key people within the project management team (PIU, Supervising Engineer, Contractor, sub-contractors) become ill, and communicate who these are so that people are aware of the arrangements that have been put in place. • Document procedures, so that people know what they are, and are not reliant on one person’s knowledge. • Understand the supply chain for necessary supplies of energy, water, food, medical supplies and cleaning equipment, consider how it could be impacted, and what alternatives are available. Early pro-active review of international, regional and national supply chains, especially for those supplies that are critical for the project, is important (e.g. fuel, food, medical, cleaning and other essential supplies). Planning for a 1-2 month interruption of critical goods may be appropriate for projects in more remote areas. • Place orders for/procure critical supplies. If not available, consider alternatives (where feasible). • Consider existing security arrangements, and whether these will be adequate in the event of interruption to normal project operations. • Consider at what point it may become necessary for the project to significantly reduce activities or to stop work completely, and what should be done to prepare for this, and to re-start work when it becomes possible or feasible. 13. Ensure proper training and communication with workers through the following: • Workers need to be provided with regular opportunities to understand their situation, and how they can best protect themselves, their families and the community. They should be made aware of the procedures that have been put in place by the project, and their own responsibilities in implementing them. • It is important to be aware that in communities close to the site and amongst workers without access to project management, social media is likely to be a major source of information. This raises the importance of regular information and engagement with workers (e.g. through training, town halls, tool boxes) that emphasizes what management is doing to deal with the risks of COVID-19. Allaying fear is an important aspect of work force peace of mind and business continuity. Workers should be given an opportunity to ask questions, express their concerns, and make suggestions. 1 • Training of workers should be conducted regularly, providing workers with a clear understanding of how they are expected to behave and carry out their work duties. • Training should address issues of discrimination or prejudice if a worker becomes ill and provide an understanding of the trajectory of the virus, where workers return to work. • Training should cover all issues that would normally be required on the work site, including use of safety procedures, use of construction PPE, occupational health and safety issues, and code of conduct, taking into account that work practices may have been adjusted. • Communications should be clear, based on fact and designed to be easily understood by workers, for example by displaying posters on handwashing and social distancing, and what to do if a worker displays symptoms. 14. Relations with the community should be carefully managed, with a focus on measures that are being implemented to safeguard both workers and the community. The community may be concerned about the presence of non-local workers, or the risks posed to the community by local workers presence on the project site. The project should set out risk-based procedures to be followed , which may reflect WHO guidance (for further information see WHO Risk Communication and Community Engagement (RCCE) Action Plan Guidance COVID-19 Preparedness and Response). The following good practice should be considered: • Communications should be clear, regular, based on fact and designed to be easily understood by community members. • Communications should utilize available means. In most cases, face-to-face meetings with the community or community representatives will not be possible. Other forms of communication should be used; posters, pamphlets, radio, text message, electronic meetings. The means used should take into account the ability of different members of the community to access them, to make sure that communication reaches these groups. • The community should be made aware of procedures put in place at site to address issues related to COVID-19. This should include all measures being implemented to limit or prohibit contact between workers and the community. These need to be communicated clearly, as some measures will have financial implications for the community (e.g. if workers are paying for lodging or using local facilities). The community should be made aware of the procedure for entry/exit to the site, the training being given to workers and the procedure that will be followed by the project if a worker becomes sick. • If project representatives, contractors or workers are interacting with the community, they should practice social distancing and follow other COVID-19 guidance issued by relevant authorities, both national and international (e.g. WHO). 1