INTEGRATED ENVIRONMENTAL AND SOCIAL SAFEGUARDS …documents.worldbank.org/curated/en/... · of the...

LAND BANK of the PHILIPPINES

INTEGRATED ENVIRONMENTAL AND SOCIAL SAFEGUARDS FRAMEWORK

SUPPORT for STRATEGIC LOCAL DEVELOPMENT and INVESTMENT PROJECT

(Draft)

06 March 2006

RP417

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

2

INTEGRATED ENVIRONMENTAL AND SOCIAL SAFEGUARDS FRAMEWORK Figure IESSF-1 illustrates the Integrated Environmental and Social Safeguards Framework (IESSF) for the SSLDIP. This Annex has 4 sub-annexes:

• Sub-Annex 1, Environmental Safeguard Framework (ESF)

• Sub-Annex 2, Resettlement and Compensation Framework (RCF), covering involuntary

resettlement and indigenous peoples

• Sub-Annex 3, Rules on Land Use Conversion

• Sub-Annex 4, World Bank Policies on: A. Management of Cultural Property B. Natural Habitats

3

Figure IESSF-1 The SSLDIP Integrated Environmental & Social Safeguards Framework

4

Sub-Annex 1 ENVIRONMENTAL SAFEGUARDS FRAMEWORK (ESF)

Contents Acronyms 1. PURPOSE OF THE FRAMEWORK 2. SUBPROJECT PREPARATION

2.1 Timing of Environmental Impact Assessment in Sub-Loan Preparation 2.2 Environmental Safeguards Procedures for Sub-Loan Preparation

2.2.1 Overview of Project Categories Requiring Environmental Clearance 2.2.2 Technical Procedures for Environmental Categorization and EA Report

Preparation 2.2.3 Levels of Subproject Review

2.3 Delineation of Roles and Responsibilities 2.4 Public Disclosure

3. MONITORING AND FOLLOW-UP 3.1 Overview of Monitoring 3.2 LBP PMO Document Monitoring 3.3 DENR procedures 3.4 Internal implementation and monitoring of the EMP

ATTACHMENTS

ESF-1 LBP Credit Policy Issuance No. 2004-002 ESF-2 Environmental Category and Documentary Requirements of

Subprojects Commonly Implemented by LGUs ESF-3 Recommended Format for Project Description ESF-4 Recommended Format for an IEE Report ESF-5 Recommended Format for an EIS ESF-6 Sample Terms of Reference for Preparation of Feasibility Study (By

Firm, EA included in the TOR) ESF-7 Sample EA Terms of Reference (TOR) for an Individual EA Preparer ESF-8 DENR Schedule of Filing and Processing Fees

5

Acronyms BP Bank Policy CFP Credit Facility Proposal CNC Certificate of Non-coverage CPI Credit Policy Issuance DAO DENR Administrative Order DENR Department of Environment & Natural Resources DOH Department of Health DPD Detailed Project Description EA Environmental Assessment ECA Environmentally Critical Areas ECC Environmental Compliance Certificate ECP Environmentally Critical Projects EHIA Environmental Health Impact Assessment EIA Environmental Impact Assessment EIS Environmental Impact Statement EIARC Environmental Impact Assessment Review Committee EMB Environmental Management Bureau EMP Environmental Management Plan EMR Environmental Monitoring Report ESF Environmental Safeguards Framework FI Financial Intermediary FS Feasibility Study IEE Initial Environmental Examination ISO International Standards Organization LBP Land Bank of the Philippines LC Lending Centers LGUs Local Government Units NCP Non-Covered Projects NOL No Objection Letter OP Operational Policy PD Project Description PEEQ Project intended to directly Enhance Environmental Quality PENRO Provincial Environment & Natural Resource Office PIU Project Implementation Unit PMO Project Management Office WB World Bank SLA Subsidiary Loan Agreement

SSLDI - Environmental Safeguards Framework

6

1.0 PURPOSE OF THE FRAMEWORK This Environmental Safeguards Framework (ESF) provides specific instructions and methodologies for use by the Project Management Unit (PMU) of Local Government Units (LGUs) and the program implementing agencies of the World Bank (WB) assisted – Support for Strategic Local Development Investment (SSLDI) program. The provisions of this project framework are consistent with Land Bank of the Philippines corporate environmental policy and the WB environmental directives to support environmental protection and promote sustainable development, while mitigating credit risks arising from adverse impact of subprojects in the environment. The framework is organized in two (2) parts:

♦ Part A: Main text, summarizing the overall procedures and arrangements; ♦ Part B: Attachments, sample documents and technical guidelines on the preparation

of the Environmental Safeguard reports. Important parts of this document have been extracted from the DENR DAO 2003-30 Procedural Manual. In the case that any discrepancies would exist with the current DENR regulations, the latter will prevail. The ESF proposed methodology is mainly based on and combines the following guidelines and documents:

♦ LBP’s Environmental Policy Relative to Credit Delivery (CPI 2004-002) ♦ Presidential Decree (PD) No. 1586 (EIS System, 1978) ♦ Presidential Proclamation No. 2146 (Critical Projects/Areas) ♦ Administrative Order No. 42 by the Office of the President, describing categories of

projects and areas subject to the EIS system; ♦ DENR Administrative order No. 2003-30: Implementing Rules and Regulations (IRR)

for the Philippines Environmental Impact Statement (EIS) System (2003); and its Procedural Manual for DAO 2003-30, as prepared by DENR;

♦ World Bank environmental safeguard guidelines, in particular on Environmental Assessment (Operational Directive 4.01) and Involuntary Resettlement (Operational Directive 4.12);

2.0 SUB-PROJECT PREPARATION

2.1 Timing of Environmental Impact Assessment in Sub-loan Preparation The basic approach in the preparation of environmental assessment report is to have it simultaneous, closely coordinated, and integral with the preparation of the subproject feasibility study. In doing this, all environmental aspects and impacts will be included right from the beginning to facilitate the proper selection of project alternatives that will bear the minimal amount of environmental risk or negative environmental impact. Subprojects covered by the Philippine EIS System shall prepare an environmental assessment report. The type of the EA report may vary from PD, IEE, IEE checklist, or EIS depending on the subprojects environmental category (Please refer to Attachment A - Table 1.0, Environmental Category of Subprojects Commonly Implemented by LGUs).


7

If the proposed subproject involves procurement of equipment intended for environmental infrastructure projects, an EMP for the operations phase shall be prepared ahead of the scheduled delivery to inform the procuring entity of the mitigating measures of potential negative environmental impacts. The timing of environmental assessment preparation may not only cover subprojects which have to prepare FS. In the event a subproject prepares a DPD, a separate environmental assessment (PD, IEE, or IEE checklist) shall be conducted prior to engineering design. The assessment of predicted environmental impacts shall be the basis for the LGU and the design consultants in the selection of appropriate project alternatives. Figure 1 shows schematically the project procedures indicating the scheduling and coordination of the EA activities for major/complex infrastructure project. Figure 1. Schematic presentation of EA preparation for Major Subprojects

Sub-Loan Agreement with LGU Specifying the need for the issuance of an ECC/CNC

prior to loan release to finance the project

physical implementation

Feasibility Study Phase Environmental Assessment Phase

Hiring of Consultants

Scoping and Assessment of Environmental and Socia! Baseline

conditions

Inventory and evaluation of the proposed project and existing

infrastructures

Pre-feasibility study

Analysis of Environmental Impacts and drafting of EMP

Financial Analysis and Detailed Engineering Design

Public Consultations and participatory selection of Alternatives

EIS/IEE finalization and processing of ECC/CNC and WB EA clearance if

applicable

Project Implementation (Construction and Operation)

Compliance Monitoring of ECC and EMP


8

2.2 Environmental Safeguards Procedures for Sub-loan Preparation 2.2.1 Overview of Project Categories Requiring Environmental Clearance The implementing rules and regulations (DENR Administrative Order NO. 30 series of 2003) of the Philippine Environmental Impact Statement System (PD 1586) provided guidelines on environmental compliance for various types of undertakings. The EIS law also gives emphasis on the need to secure an ECC prior to subproject construction. The two major classifications of project or undertaking identified by Presidential Proclamation No. 2146 that the DENR requires an ECC are:

♦ Environmental Critical Projects (ECPs); and. ♦ Projects located in Environmental Critical Areas (ECA).

Subprojects that are within these two major classifications shall prepare EA reports/safeguards document (PD, IEE, IEE Checklist, EIS) based on the DENR operational criteria and procedures. The type of EA report can be determined and shall be based on four (4) environmental categories prescribed by the Philippine EIS system:

1. Category A – Environmental Critical Projects (ECPs) with significant potential to cause negative environmental impacts.

2. Category B – Projects that are not environmentally critical in nature, but which

may cause negative environmental impacts because they are located in Environmentally Critical Areas (ECAs).

3. Category C – Projects intended to directly enhance environmental quality or

address existing environmental problems (PEEQ).

4. Category D – Projects not falling under other categories or unlikely to cause adverse environmental impacts (NCP).

As stated under DAO 2003-30, all projects located in ECA are classified as Category B and exhibit at least one of the following qualification criteria.

♦ Areas declared by law as national parks, watershed reserves, wildlife preserves, and sanctuaries

♦ Areas set aside as aesthetic, potential tourist spots ♦ Areas which constitute the habitat for any endangered or threatened species of ;

indigenous Philippine wildlife (flora and fauna) ♦ Areas of unique historic, archeological, geological, or scientific interest .Areas which

are traditionally occupied by cultural communities or tribes ♦ Areas frequently visited and or hard-hit by natural calamities (geologic hazards, floods,

typhoons, volcanic activity, etc.) ♦ Areas with critical slope ♦ Areas classified as prime agricultural lands ♦ Recharged areas of aquifers ♦ Water bodies ♦ Mangrove Areas ♦ Coral Reefs


9

For a project to be considered as Category C, the following criteria must be satisfied:

a. Projects or undertakings that lead to the improvement of environmental quality without the corresponding significant negative environmental impacts

b. Pollution control devices or similar facilities that are intended to prevent emissions and/or discharge beyond allowable limits. Also included are devices or facilities required under the ECC condition/s of the "main" project.

c. Preventive or proactive measures against potential natural hazards Examples of Category C projects are:

♦ Seawalls ♦ Reforestation Projects ♦ Artificial Reefs ♦ Embankment ♦ Riverbanks Stabilization

2.2.2 Technical Procedures for Environmental Categorization and EA Report Preparation Attachment A of the framework shows the DENR thresholds, the corresponding environmental category, and the EA documentary requirements for types of subprojects commonly implemented by LGUs. The list of subprojects shown in Attachment A are lifted from Table 2-1 of DAO 2003-30 and from Annex A of LBP CPI 2004-002 taking into consideration other types of subprojects not listed in DAO 2003-30 but is part of the earlier version of the EIS procedural manual - DAO 96-37. For projects not included in Attachment A, determination of coverage by the Philippine EIS System shall be based on the following criteria:

a. Location - the activity must conform with existing and duly approved land use plan of the area

b. Technology/Process - The activity must employ the use of appropriate

technology that will not require the use of toxic and hazardous materials; will not produce or require the disposal of waste materials that can poise serious health hazards; or; will not generate significant amount of organic or solid wastes;

c. Size - The activity/structure must not occupy a floor area of more

than 1,000 m2 in an urban area or 1.0 hectare in a rural area.

d. Emission and effluent - The effluents or discharges of the activity must conform

with emission and effluent standards established by the DENR e.g. RA 8749 or DAO 00-81; DAO 34 & 35 series of 1990, regardless of quantity, volume or amount;

e. Environment-related hazards and risk of accidents f. The nature of the activity shall not pose significant (cumulative) environmental impact as

determined by the EMB or DENR regional offices An activity that passes ALL criteria shall be considered as outside the purview of the

Philippine EIS System


10

The use of Attachment A is significant to the overall procedures (Philippine EIS System) involved in EA report preparation. The fundamental steps this section deals outlines EA transactions to be followed by client LGUs and LBP LCs.

Table 1. Transaction Procedures in EA / Safeguard Document Preparation

Step Activity

1

LGU presents to LBP LCs a brief detail of the proposed subproject for purposes of environmental category determination.

2

LBP LCs or assisted by PMO determines proposed subproject category based on Attachment ESF-2. For Category A and EIS-based subproject: - LGU gives notice to DENR-EMB or the DENR-EMB regional offices for subproject EA screening

(this procedure includes: convening of EIARC by the DENR-EMB for the subproject pre-scoping requirement, site scoping, and technical scoping)a.

For Category B, C/D subproject:

3

- Scoping is not necessary Submission of EA reports/safeguards document For Category A and EIS-based subproject: - LGU submits 1 set of EIS to DENR-EMB for procedural review. If EIS is complete, LGU pays the

necessary filing and processing fee including the cost of environmental reviewb. In addition, LGU submits additional 10 sets of EIS report together with 1 electronic copy to DENR-EMB; 2 sets of EIS report plus 2 electronic copies to PMO/WBc.

For Category B and IEE-based subproject: - LGU submits 1 set of IEE to DENR-EMB for procedural review. If IEE document is complete, LGU

pays the necessary filing and processing fee. In addition, LGU submits additional 5 sets of EIS report together with 1 electronic copy to DENR-EMB; 2 sets of EIS report plus 2 electronic copies to LBP-PMO.

For Category B but IEE-Checklist-based subproject: - LGU submits 3 copies of IEE checklist to DENR-EMB for review. LGU pays the necessary filing

and processing fee. In addition, LGU submits additional 2 sets of IEE Checklist to LBP-PMO. For Category C/D subproject:

4

- LGU submits the requirements of DAO 2003-30 to DENR-EMB. Submission of reports for Category D subproject is not required by LBP-PMO and WB

5

LGU secure ECC from DENR-EMB and NOL from WB and furnish LBP-PMO with copies of such environmental clearances (submission of the final EA documents i.e. EA reports, ECC/CNC, shall be the basis of release for the subprojects construction phase)

a DAO 2003-30 requires proponent to shoulder cost associated with this activity. b Cost of review shall cover honoraria of EIARC, site inspection, public hearings, etc. c If the subproject prepared the first EIS for housing and new sites development, sewerage, sanitary landfill, drainage and

flood control, hospital and medical facilities that S2LDI will finance


11

2.2.3 Levels of Subproject Review DENR Review The environmental safeguards for sub-loans (subprojects) must undergo project level and agency review to ensure that the necessary environmental safeguards are considered. As a basic requirement for Environmental Compliance Certification, subprojects have to successfully pass the DENR screening system. Screening of subprojects is typically performed at the regional offices of DENR-EMB for Category B subprojects and at the EMB central office for Category A subprojects. The regional offices may also review EIS for certain types of subprojects where there exist qualified professionals to constitute an Environmental Impact Assessment Review Committee (EIARC). WB Review Apart from the DENR review of the environmental assessment report, the World Bank will also conduct a review on a number of safeguards documents prior to the issuance of a No-Objection Letter (NOL). Among the safeguards document that will be reviewed by WB are.

♦ The first EIS report prepared in each of the areas of housing and new sites development, sewerage, sanitary landfill, drainage and flood control, hospital and medical facilities;

♦ The first three (3) lEE reports prepared for category B subprojects involving water supply systems and roads and bridges.

Any Category A subproject that have undergone WB appraisal/review shall only be allowed to proceed with the construction phase after the release of the environmental clearances from the DENR-EMB and the NOL from WB. LBP Review As an ISO 14001 certified institution, LBP-PMO will exercise environmental due diligence by keeping records of subprojects EA reports, feedbacks/technical information, and ECC/CNC. Environmental safeguards documents may undergo substantive review by the LBP-PMO environmental engineer or the LBP-EU particularly if pressing environmentally critical issues exist. The conduct of review by LBP-PMO/LBP-EU is part of its oversight function and task enumerated in the LBP CPI 2004-002 to verify that subprojects are in compliance to environmental standards and regulations. This type of review performed by either LBP-PMO or WB is entirely independent and does not conflict with the nature of evaluation DENR performs. 2.3 Delineation of Roles and Responsibilities 2.3.1 General Overview It is the responsibility of the borrower of the Sub-loan (i.e. the LGU) to carry out the necessary EA required by the ESF, and to obtain the environmental clearances for each individual project before starting of with the construction. Environmental sound practices have to be incorporated into the project design and implementation, and potential negative impacts will have to be mitigated to acceptable levels/standards.


12

Screening of social safeguards should be integrated into the process of the EA (Please refer to the social safeguards framework). The success of an environmental safeguard screening is depended on adequate baseline environmental data, technical expertise, good planning, management support, and coordination with key players and decision makers. The LGU/proponent with the assistance from the LBP-PMO must provide the safeguards team with:

♦ A clear and concise statement of work including the expected technical and procedural standards to be met;

♦ Available background information; ♦ EA documents standards; ♦ A reasonable schedule of deliverables; ♦ Budgetary allocations; and ♦ Procedures for post-review and comment, to include consolidation and clarification

of comments by the sub-borrower before delivery to the EA team. The LGU is responsible for the quality and accuracy of the information in the EA document, as well as the transmission of the EA process i.e. interagency coordination, scoping, public hearings, document review at the Sangguniang level, and general oversight. As the loans for investment financing are channelled to the LGUs through Land Bank of the Philippines (LBP), LBP shall be responsible in monitoring subprojects in terms of the LGUs compliance to environmental management measures and reportorial commitment. Therefore, a PMO is established within the LBP, which will include the environmental expertise to guide and provide the LGU PIU and their consultants with the necessary assistance in carrying out the EA and attaining environmental compliance to the conditions and statement of the ECC/EMP. WB staff will advise and support borrowers in carrying out their responsibilities. Within the bank, operational staff within the regions provides information to borrowers and ascertain whether policy requirement have been met. 2.3.2 SSLDI LBP Processing The roles and responsibilities of program partners is determined to define the extent of task an LGU or an implementing agency must do so that the subproject progress is kept in the right track. Figure 2 presents a general flowchart showing the preparations involve in environmental safeguards and the linkages of responsibilities and task among the program implementing agencies.


13


14

Table ESF-2 Institutional Responsibilities in Environmental Safeguards Activity LGU LBP WB

A

Subproject Screening Stage

1

Submits subproject proposal to LBP LCs for financial assistance

2

LCs (if needed, PMO assists) determine subproject environmental category, guided by the ESF.

3

LC prepares CFP, indicating subproject environmental category & submits CFP for approval by management.

B

Subproject Loan Approval Stage

5

Reviews & approves SLA (with environmental safeguards requirements)

4

Once approved, PMO drafts SLA (with environmental safeguards requirements)

6

Hires Consultant for preparation of EA report. LGU may opt to include in TOR of firm doing FS the needed works for EA report preparation. Or, LGU hires an individual based on WB criteria on selection of individual consultants. Attachments ESF-6 & ESF-7

C

Hiring of EA Consultant Stage

7

Submits final evaluation & copy of notice of award of the contract to the selected individual / winning firm to PMO.

8

Provides technical & procedural advice during the process of hiring & review the results of LGU’s final evaluation for consistency with WB procurement guidelines. Transmits to WB (for issuance of NOL) the result of LGU evaluation together with a copy of the notice of award of the contract to the selected individual / winning firm.

9

WB reviews the transmitted documents, & within 7 days from receipt of the documentation, issue a comment or a NOL to PMO.for the subproject.

D

Environmental Safeguards Preparation Stage

10

Hired EA consultant shall coordinate with the PMO for briefing on methodology of EA safeguards.

11

PMO provides technical & procedural advice to ensure that potential environmental impacts & procedures for environmental compliance are met.

13

PMO, or with assistance from LBP-EU, does substantive review on submitted EA documents to verify if necessary environmental safeguards are provided.

E

ECC/NOL Application Stage

12

EA Consultant prepares / submits the ff to DENR-EMB & PMO: a. Scoping report* b. Draft EA report & if applicable RP

&/or IPP (see Sub-Annex 2) c. Final EA report Documents submitted to DENR-EMB are for the issuance of ECC / CNC.

14

Transmits safeguards document to WB for reference, or if applicable, comment (applies to selected Category A subprojects for NOL issuance).

15

Reviews & issues NOL on the final EA report (only applies to classified Category A subprojects).

* Technical requirements for EIS subprojects


15

Copies of subprojects EA report must be prepared in draft form for presentation and comment by the Sangguniang Bayan/Panlungsod/Panlalawigan. Any amendment or additional information on the draft EA report as agreed during the sanguniang presentation should be included in the final EA report and must be submitted to the DENR and LBP-PMO.for review. The extent of review performed by LBP-PMO/LBP-EU is substantive in nature to ensure that appropriate mitigating measures and institutional responsibilities are not left out in the report. It is also imperative for the bank to perform such review so that credit risks as a result of non-compliance to environmental regulatory requirements are addressed by the LGU. The LGU is responsible for the quality and accuracy of the information in the EA document, as well as the transmission of the EA process (i.e., interagency coordination, scoping, public hearings, document review at the Sangguniang level, and general oversight). Thus, any costs associated with the government EA process i.e. filling and processing fee of EA report, cost of review, and cost of environmental monitoring shall be shouldered by the LGU. The LGU should put up its own funds for EA/ECC processing since the loan does not finance any processing fee and cost associated with review charged by DENR. Filling and processing fees varies according to the type of EA document submitted and the subprojects environmental category. Attachment E shows the schedule of fees charged by DENR. If the submitted documents warrant an interdisciplinary review, DENR will assemble experts to comprise the EIARC for the subproject review. The cost of EIARC review includes honoraria of at least five (5) specialist and two (2) to three (3) resource persons. The allowable rates for honoraria are as follows:

♦ For EIARC members – PhP 2,500 to 4,000 per meeting but not to exceed a total of PhP 12,000 per person. The EIARC Chair may receive additional honoraria provided the total amount does not exceed PhP 15,000.

♦ For Resource Persons – PhP 1,000 to 2,000 per meeting but not to exceed a total of PhP 6,000 per person

This honorarium does not include the cost of site inspection/scoping (i.e. transportation, venue of public hearing, food and accommodation, etc.). 2.4 Public Disclosure WB Policy on Disclosure of the EA Reports Whenever the Bank requires an environmental assessment (EA), the proposed borrower prepares an EA report as a separate, free-standing document. The EA report is publicly available (a) after the borrower has made the draft EA report available at a public place accessible to project-affected groups and local NGOs in accordance with OP/BP 4.01, Environmental Assessment, and (b) after such EA report has been officially received by the Bank, but before the Bank begins formal appraisal of the project. For financial intermediary (FI) operations or sector investment operations that are expected to have subprojects which, for environmental screening purposes, are classified as Category A under OP/BP 4.01, Environmental Assessment, each identified participating FI or the responsible project entity provides the Bank, before the beginning of formal project appraisal, with an assessment of the institutional mechanisms or framework in place for conducting the EAs for such Category A subprojects.


16

After these assessments have been officially received by the Bank, and before the Bank begins formal project appraisal, the assessments are publicly available. EA reports for such Category A subprojects are publicly available after they have been officially received by the Bank Disclosure of Social Safeguards Reports 3.0 MONITORING AND FOLLOW-UP 3.1 Overview of Monitoring Subprojects that are covered by the Philippine EIS System are required by DAO 2003-30 to conduct regular self-monitoring of parameters indicated in the subproject’s EMP. The LGU/Proponent must satisfy this requirement by submitting an Environmental Monitoring Report (EMR) on a semi-annual frequency (within January and July of each year) to the DENR-EMB regional office. Copies of the submitted EMR must be provided in two sets to LBP-PMO for reference and review purpose. One set of the EMR received by LBP-PMO will be transmitted to WB for record keeping. The primary purpose of compliance monitoring is to ensure the implementation of sound and standard environmental procedures as defined during the project preparation. Specifically, it aims to:

♦ Monitor project compliance with the conditions set in the ECC; ♦ Monitor compliance with the EMP and applicable laws, rules and regulations; and ♦ Provide a basis for timely decision-making and effective planning and management

of environmental measures through the monitoring of actual project impacts vis-a-vis the predicted impacts in the EIS/IEE.

There are also instances (critical environmental aspects) that the ECC sets the conditions for the activities to be monitored and the monitoring schedule. 3.2 LBP PMO Document Monitoring The submission of EA document shall be monitored to keep track of the pace of processing the ECC/NOL so that subproject physical implementation are not prolonged. This activity shall serve as a barometer that will push the agency responsible to work on the needed deliverables. Table 2. Checklist of Environmental Document

Environmental Report Checklist Monitoring Form Name of LGU EIS IEE IEE

checklist PD EMP Date of

Submission

Remarks

1. 2. 3. 4.

3.3 DENR procedures


17

All projects covered by the Philippine EIS System which have been issued an ECC shall be subjected to periodic monitoring by the DENR, i.e., compliance and impact monitoring in accordance with established procedures and protocols. Within the framework of the Philippine EIS System, the responsibilities of monitoring projects are lodged with the EMB regional offices to which the latter can request for the assistance of the Provincial Environment & Natural Resource Office (PENRO). As a minimum requirement in compliance monitoring, DENR-EMB shall focus on the following:

♦ Status of proponent's delivery of commitment made in its EMP (or, in the case of lEE Report, the Summary Matrix of Impacts.)

♦ Effectiveness of the committed EMP in mitigating project's environmental impacts ♦ Meeting the terms and conditions of the ECC

3.4 Internal implementation and monitoring of the EMP The PMU of the LGU shall monitor compliance with the conditionalities of the ECC and carry out the requisite data collection during both the pre-construction and construction phases. Semi-annual environmental monitoring reports (EMR) shall be submitted to DENR/EMB and LBP-PMO, including:

♦ Presentation of the collected data; ♦ Discussion on the compliance or non-compliance to the EMP and ECC; ♦ Conclusions and recommendations ♦ Photos of environmental monitoring and adherence to mitigating measures

During the subproject developmental phase the LGU through its PMU shall furnish the LBP-PMO copies of the EMR prepared for the pre-construction and construction stages of the subproject. Once construction works are completed, the proponent/LGU-PMU shall submit a statement of environmental closure to terminate the reporting commitment to LBP-PMO. However, the LGU should continue the submission of EMR on the operations phase to DENR-EMB. If any irregularities are observed, LBP-PMO will report its findings to the LGU-PMU and discuss the measures to be taken.


18

Attachment ESF-1 CREDIT POLICY ISSUANCE (CPI)

CPI No : 2004-002 Subject : Environmental Policy Relative to Credit Delivery Remarks : Adoption of environmental policies relative to LBP's credit delivery

A. Rationale

These policy guidelines are issued consistent with the bank's corporate environmental policy to support environmental protection and sustainable development, and to mitigate credit risks arising from adverse impact of projects in the environment.

B. Statement of Policy

In support of LBP's environmental protection commitment, loan evaluation, approval and release shall take into consideration the client's compliance with applicable environmental laws, regulations and requirements.

In line with this, the following guidelines shall be followed:

1. Lending Units shall ensure that the project being financed and collaterals offered as

security shall fully conform to environmental protection regulations and requirements.

2. Account Officers (AOs) shall continue to monitor the compliance to environmental

protection regulations and requirements of the project and collaterals until such time that the account is fully paid or the collaterals are released/substituted.

Clients shall be required to submit copies of the periodic monitoring reports of DENR on their projects/ collateral.

3. Results of the AO’s evaluation of project's and collateral’s compliance with

environmental regulations and requirements shall be among the basis for approval by the loan approving group (LAG) of loan accounts with environmental impact.

For this purpose, the Credit Facilities Proposal (CFP) is hereby amended to include the following information:

a. Type of project per the Environmental Impact Statement (EIS) System, as

follows (see Annex A):

• Category A - Environmentally Critical Projects (ECP) • Category B - Project in Environmentally Critical Area (ECA) • Category C - Project intended to directly enhance environmental

quality (PEEQ) • Category D - Project that is unlikely to cause adverse

environmental impacts (NCP).

This shall be indicated in the upper portion of page 1 of the CFP (see Annex B).


19

b. For projects classified as ECP; ECA; and PEEQ, a brief assessment of the impact of the said projects and or collaterals on the environment must be prepared. The assessment shall also indicate the measures that will be undertaken by the client to mitigate environmental risks, and attain an orderly balance between economic growth and environmental protection (see Annex C, D and E).

The bank’s appraisal report should include initial findings associated with environmental risk. This would also serve as basis in further evaluating / processing of the project.

Moreover, for projects classified as ECP; ECA and PEEQ, the Environmental Unit (EU) shall prepare the EU Assessment Report on the project to be attached to the CFP, prior to approval of the LAG.

4. To ensure compliance with this issuance, all Lending Units are enjoined to follow

the attached implementing procedures prepared by the Program Lending Group (PLG):

• Type of projects and environmental requirements for each, including the

pro-forma documents; • Documentary requirements for Environmental Compliance Certificate

(ECC) application; and • Guidelines for assessment of environmental impact of projects and

collateral.

5. Non-compliance with applicable environmental laws and regulations shall be considered a condition of default.

The AO, together with the EU, shall look into reported complaints against client’s projects/collateral and the results of such monitoring shall be included in the EU Assessment Report to be submitted to LAG

6. The EU, together with CPRMD, shall conduct pertinent trainings for all AOs to keep

them abreast with environmental laws, impact assessment and other environmental aspects of credit delivery.

C. Effectivity All previous issuances and orders inconsistent herewith shall be deemed amended or superseded accordingly. These guidelines shall take effect on March 16, 2004. For strict compliance. Thank you. MARGARITO B. TEVES

President and CEO


20

Attachment ESF-2 ENVIRONMENTAL CATEGORY AND DOCUMENTARY REQUIREMENTS OF VARIOUS TYPES OF LGU PROJECTS

Page 1 of 6 Project Category Category A Category B Category C Category D

Documents required and maximum time to grant or deny ECC application (working days)

♦ Programmatic EIS (180 days)

♦ EIS (120 days) ♦ PEPRMP (120 days) ♦ EPRMP (90 days)

♦ EIS (120 days) ♦ Project IEE (60 days) ♦ IEE Checklist (60 days) ♦ PEPRMP (60 days) ♦ EPRMP (30 days)

♦ PD (15 days) ♦ PD (15 days) ♦ Proof of Project

Implementation Start Prior to 1982 (15 days)

Project Sector/Sub-sector Type

Resorts and other tourism/leisure projects

>= 25 has. a < 25 has b < 5 has c

10 rooms/units OR 1,000 square meters in land area d

Agro-forestation / watershed management

>= 1000 has. a >= 100 has. but < 1000 has. b

Shall be based on the recommendations and endorsement of FMB an/or PAWB on a case-to-case basis

Fishery/Aquaculture Projects (inland based)

>= 25 has. a >= 1 has. but < 25 has. c

< 1 hectare

ENVIRONMENT

Fishery/Aquaculture Projects in water bodies

>= 100 has.a >= 1 has. but < 100 has. c

< 1 hectare

Subdivisions and housing projects, resettlement projects and other similar (horizontal) land development

>= 10 has b < 10 has c

URBAN DEVELOPMENT

Motels, Hotels, Condominium/Apartelles (residential) OR Commercial, [business centers with residential units (mixed use), malls, supermarkets]

>= 25,000 m2 (gross/total floor area including parking and other areas) a

>= 10,000 m2 but < 25 m2 (gross/total floor area including parking and other areas) b

< 10,000 m2 (gross/total floor area including parking and other areas) d

OR Kiosk type or mobile fastfood d

a Environmental Impact Statement b Initial Environmental Examination (IEE) c IEE Checklist


21

Environmental Category and Documentary Requirements of Various Types of LGU Projects (continued) Page 2 of 6 Project Category Category A Category B Category C Category D


♦ Programmatic EIS (180 days) ♦ EIS (120 days) ♦ PEPRMP (120 days) ♦ EPRMP (90 days)





Water supply systems > six production wells and other systems (e.g., infiltration gallery, etc.) a

Six or less production wells b

Water supply system (distribution only)

Level III b Level II and Level I d

Irrigation system (distribution system only)

>= 1000 has. service area a

< 1000 has. service area

b

>= 300 has. but < 700 has. service area c

< 300 has. service area d

INFRASTRUCTURE Water

Small water impounding project

<= 20 million m3 of impounded water c

Impounding system or flood control project

Reservoir (flooded area >= 25 has. a

Reservoir (flooded area < 25 has.) b

Importation/Acquisition of dredging equipment

Submission of EMP

Rehabilitation / improvement of existing drainage system

If there are expansion works b

If no expansion d

Drainage and Flood Control

Riverbanks stabilization or Seawall construction

Any type of works related to slope stabilization d

Sewerage and Sanitation

Acquisition of septic tank desludging equipment

Variable equipment capacity (submission of an environmental management plan is needed in addition to PD) d

a - Environmental Impact Statement b - Initial Environmental Examination (IEE) c - IEE Checklist d - Project Description


22








Domestic wastewater treatment facility

>= 5000 m3 daily capacity a

< 5000 m3 daily capacity

b

City sewerage system >= 50 km length of pipeline a

< 50 km length of pipeline b

INFRASTRUCTURE Sewerage and

Sanitation

Septage/Sewage handling

Collection transport, treatment and disposal in any amount/volume c

Acquisition of collection vehicles

Variable equipment capacity (submission of an environmental management plan is needed in addition to PD) d

Materials recovery facility

Segregation only d

Composting facility >= 15 MT daily capacity or 5475 MT annual capacity b,c

< 15 MT daily capacity or 5475 MT annual capacity

d Sanitary landfill for domestic wastes only*

>= 1000 MT daily capacity a

< 1000 MT daily capacity b

Solid Waste Management

Landfill for industrial and other wastes

Multi-users a Single-user b

INFRASTRUCTURE Roads and Highways

Bridges and viaducts, new construction

>= 10 km a >= 80 m but < 10 km b < 80 m d

a - Environmental Impact Statement b - Initial Environmental Examination (IEE) c - IEE Checklist d - Project Description * - At present all Sanitary Landfill projects are required by the DENR to prepare an EIS based on its scale impact to the environment


23




♦ EIS (120 days) ♦ Project IEE (60 days) ♦ IEE Checklist (60

days) ♦ PEPRMP (60 days) ♦ EPRMP (30 days)




Bridges and viaducts, rehabilitation / improvement

>= 50% increase in capacity (or in terms of length/width) b

< 50% increase in capacity (or in terms of length/width) d

Roads, new construction >= 20 km (no critical slope) a >= 10 km (with critical slope) a

< 20 km (no critical slope) b < 10 km (with critical slope) b

Farm-to-market roads of < 2 km d

INFRASTRUCTURE Roads and Highways

Roads, rehabilitation / improvement

>= 50% increase in capacity (or in terms of length/width) b

< 50% increase in capacity (or in terms of length/width) d

Causeways, ports and harbours, new

>= 15 has (reclamation) a >= 25 has (w/o reclamation) a

< 15 has (reclamation) b < 25 has (w/o reclamation) b

Causeways, ports and harbours, expansion or improvements

>= 5 has (reclamation) a >= 10 has (w/o reclamation) a

< 5 has (reclamation) b >= 1 has but < 10 has (w/o reclamation) b

< 1 has (w/o reclamation) d

Transportation

Public Transport Terminals (for buses, jeepneys and other means of land transport)

>= 10,000 m2 (gross/total floor area) but < 20,000 m2 (gross/total floor area including parking and other areas) c

including garage or terminals that do not include service facilities and occupying an area equal to or less than 5000 m2 d



24









Hydropower facilities Impounding >= 20 million m 3 a Impounding < 20 million m 3 b

Run-of-river system d

Waste-to-energy projects

>= 50 MW generating capacity a

< 50 MW but less than 50 MW generating capacity b

Gas-fired thermal power plants

>= 50 MW rated capacity a >= 10 MW but < 50 MW rated capacity b

< 10 MW rated capacity d

Renewable energy project such as ocean, solar, wind, tidal power and fuel cell

>= 100 MW rated capacity a

>= 5 MW but < 100 MW rated capacity b

< 5 MW rated capacity d

Mini-hydropower project >= 5 MW but <= 30 MW rated capacity (water impoundment of less than 20 million m3)c

INFRASTRUCTURE Power Plants

Power transmission lines

carrying a voltage of b/w 138 kV to 230 kV and < 20 km in length c

Cemetery, crematorium, etc.

>= 5 has. b < 5 has. or funeral parlors, crematorium, columbarium d

Community, Social, and

Personal Services Housing & land dev’t, i.e. resettlement project, economic & socialized housing project, open market housing, project under the community mortgage program

<= 10 has. c



25



♦ Programmatic EIS (180 days)

♦ EIS (120 days) ♦ PEPRMP (120 days) ♦ EPRMP (90 days)






Public market

>= 10,000 m2 but <= 20,000 m2 (gross floor area) c

Acquisition of health care equipment

submission of PD d

Institutional & related facilities - hospital & medical facilities / buildings (to conform to DOH EHIA Guidelines)

Tertiary hospitals or medical facilities a

Secondary hospitals or primary hospitals or medical facilities b

Clinics (out-patient, health centers, dental clinics) including rural health units d

Community, Social, and Personal

Services

Institutional & related facilities - religious, government, & educational (school buildings / structures)

>= 50,000 square meters (gross/total floor area including parking and other areas) a

>= 15,000 m2 (gross / total floor area) but < 50,000 m2 (gross / total floor area including parking & other areas) b

< 15,000 m2 (gross/total floor area including parking and other areas)

d

Slaughterhouse / abattoir

>= 500 kg/day production c

Cold chain (stationary facilities for storing agricultural products)

Submission of IEE Checklist

Grain highway Submission of IEE Checklist

Ro-Ro facilities Access road >= 2 km but <= 5 km (traversing areas with critical slope) OR Access road >= 2 km but <= 10 km (if no critical slope) c

AGRICULTURAL SUPPORT

Rehabilitation of small port facilities

Submission of IEE Checklist



26

Attachment ESF-3 RECOMMENDED FORMAT for PROJECT DESCRIPTION

I. INTRODUCTION II. PROJECT DESCRIPTION

A. Project Rationale B. Proposed Project Location C. Description of Project Operations

1. Process Flow 2. Material and Energy Balance 3. Production capacity and descriptions of raw materials, by-products, products

and waste materials D. Description of Project Phases

1. Pre-construction/Operational phase 2. Construction phase 3. Operational phase 4. Abandonment phase

E. Project Capitalization and Manpower Requirement III. ENVIRONMENTAL MANAGEMENT PLAN (discussion of the residual management

scheme among others) A. Air B. Water C. Land

IV. ATTACHMENTS (It should be noted that CNC applications does not require any other attachments aside from those needed to provide additional information or details on project descriptions. Specifically, barangay clearances or permits, LGU endorsements, and similar documents are not required.)


27

Attachment ESF-4 RECOMMENDED FORMAT for an IEE REPORT

I. TABLE OF CONTENTS II. EXECUTIVE SUMMARY III. INTRODUCTION

A. Project Background B. EIA Process Documentation C. EIA Methodology D. EIA Team E. EIA Study Schedule

IV. PROJECT DESCRIPTION A. Project Rationale B. Project Location C. Project Information D. Description of Project Phases

1. Pre-Construction / Operational Phase 2. Construction Phase 3. Operational Phase 4. Abandonment Phase

V. DESCRIPTION OF ENVIRONMENTAL SETTING AND RECEIVING ENVIRONMENT A. Physical Environment B. Biological Environment C. Socio-Cultural, Economic and Political Environment D. Future Environmental Conditions without the Project

VI. IMPACT ASSESSMENT AND MITIGATION A. Summary Matrix of Predicted Environmental Issues/Impacts and their Level of

Significance at Various Stages of Development B. Brief Discussion of Specific Significant Impacts on the Physical and Biological

Resources C. Brief Discussion of Significant Socio-Economic Effects / Impacts of the Project

VII. ENVIRONMENTAL MANAGEMENT PLAN A. Summary Matrix of Proposed Mitigation and Enhancement Measures, Estimated

Cost and Responsibilities B. Brief Discussion of Mitigation and Enhancement Measures C. Monitoring Plan D. Contingency Plan (if applicable) E. Institutional Responsibilities and Agreements

VIII. BIBLIOGRAPHY / REFERENCES

28

Attachment ESF-5 RECOMMENDED FORMAT for an EIS

I. TABLE OF CONTENTS II. EXECUTIVE SUMMARY

A. Brief Introduction B. Brief Description of Methodology and Profile of EIA Team C. Scope and Limitation of the EIA Study D. Brief Project Description E. Brief Description of Baseline Environmental Conditions F. Matrix of Issues and Impacts Raised During the Scoping and Consultations G. Matrix of Major Impacts, and Mitigation/Enhancement Measures with Summary

Discussion H. Matrix of Environmental Management Plan with Summary Discussion I. Matrix of Environmental Monitoring Plan with Summary Discussion J. Proposal of Environmental Guarantee and Monitoring Fund Scheme (when

applicable) K. Summary of Process Documentation Report, and L. Summary of Commitments, Agreements (or both) and Proofs of Social

Acceptability III. INTRODUCTION

A. Project Background B. EIA Approach and Methodology C. EIA Process Documentation D. EIA Team E. EIA Study Schedule

IV. PROJECT DESCRIPTION A. Project Rationale B. Project Alternatives C. Project Location D. Project Information E. Description of Project Phases

1. Pre-Construction / Operational Phase 2. Construction Phase 3. Operational Phase 4. Abandonment Phase

V. BASELINE ENVIRONMENTAL CONDITIONS A. Physical Environment

1. Geology and Geomorphology 2. Hydrology and Hydrogeology 3. Pedology and Land Use 4. Water Quality and Limnology 5. Meteorology 6. Air and Noise Quality 7. Oceanography

B. Biological Environment 1. Terrestrial Flora and Fauna 2. Marine Biology

C. Socio-Cultural, Economic and Political Environment VI. FUTURE ENVIRONMENTAL CONDITIONS WITHOUT THE PROJECT

29

VII. IMPACT ASSESSMENT AND MITIGATION A. Physical / Chemical Effects

1. Land 2. Water 3. Air

B. Biological/Ecological Effects 1. Terrestrial Flora and Fauna 2. Aquatic Flora and Fauna

C. Aesthetic and Visual Effects D. Socio-Cultural and Economic Effects

1. Population 2. Labor and Employment 3. Housing and Social Services 4. Infrastructure and Public Utilities 5. Health and Education 6. Culture and Lifestyle 7. Livelihood and Income 8. Archeological / Anthropological / Historical Sites

E. Mitigation and Enhancement Measures F. Residual and Unavoidable Impacts

VIII. ENVIRONMENTAL RISK ASSESSMENT (WHEN APPLICABLE) IX. ENVIRONMENTAL MANAGEMENT PLAN

A. Construction / Contractors Environmental Program B. Social Development Program C. Contingency / Emergency Response Plan D. Risk Management Program E. Abandonment Plan (when applicable) F. Environmental Monitoring Plan

X. ENVIRONMENTAL GUARANTEE AND MONITORING FUND PROPOSAL XI. COMMITMENTS AND AGREEMENTS XII. BIBLIOGRAPHY / REFERENCES

A. Attachments or Annexes B. List of EIS Preparers (with specified field of expertise) C. Original Sworn Accountability Statement of Key EIS Consultants D. Original Sworn Accountability Statement of Proponent E. Photos (or plates of proposed project site, impact areas and affected areas and

communities) F. Process Documentation Report G. Scoping Report H. Summary of Proof of Social Preparation Process Conducted

All projects or undertakings covered by the EIS System and classified by the Department of Health (DOH) as Health Sensitive Projects or located in Health Sensitive Areas shall include a chapter on Environmental Health Impact Assessment (EHIA). The EHIA Chapter shall contain, among others, the following information: • Health and Sanitation Information of the Affected Community

• Environmental Health Impact Analysis/Assessment

• Proposed Control and Mitigating Measures for the Environmental Health Impacts Identified.

30

Attachment ESF-6 SAMPLE TERMS of REFERENCE for PREPARATION OF FEASIBILITY STUDY

(By Firm, EA included in the TOR) I. BACKGROUND

This Consultancy is for the preparation of the Feasibility Study of the storm drainage component in Name of Local Government Unit (LGU). The SSLDIP subproject implementation is a joint effort of the Land Bank of the Philippines (LBP) and the Name of the LGU. The LBP is the executing agency responsible for the overall implementation of the Project. The LGU will be responsible for the preparation and implementation of the subproject.

II. OBJECTIVES OF THE STUDY

The objectives of the Consultancy Services will include: (a) to determine the feasibility of the storm drainage proposal to improve flood control

in the urban areas of Name of the LGU in conformity with LGU priorities and budgetary constraints;

(b) evaluate land acquisition requirements for the subproject, perform environmental

impact assessment to determine subproject alternatives, and collect socio-economic data on persons likely to be displaced by the proposed subproject; and

(c) acting on the recommendations in the feasibility study, to complete preliminary

design of the proposed subproject as well as necessary surveys and investigations.

III. SCOPE OF WORK

Feasibility Study which shall contain:

(a) Engineering Examination, including review of existing documents and data investigation of existing drainage system and its physical state of repair and rapid assessment of long term development prospects.

(b) Rapid Assessment, of long-term development prospects of the systems;

statement of sector development policy and design criteria in the Philippines; alternatives, recommended solution and phasing of cleaning of the open canal, rehabilitation and expansion of storm drainage and eventual disposal of canal sediments, and treatment of sludge in the most economic ways; identification of first phase, implementation schedule and base cost estimates for major cost components with respective contingencies; assessment of proposed subproject feasibility; and recommendation concerning investigations to be carried out prior to preliminary design, including their costs; schedule and implementation methods.

(c) Environmental Impact Assessment, including Environmental Management

Plan, of the planned or proposed subproject activities to facilitate the best selection of alternatives that will bear the minimum environmental impact. The EIA shall follow the minimum format recommended by the DENR and shall cover the requirements outlined in the SSLDIP Environmental Safeguards Framework. If the subproject exhibits potential health impact, supplemental and a separate Environmental Health Impact Assessment report shall be prepared.

31

(d) Institutional Examinations, including review of existing agencies involved in

storm drainage operations; organization of key agencies, manpower strength, flow of management information, accounting and budget procedures; and audit procedures; legislation concerning drainage; identification of bottlenecks, including proposals for improvement, streamlining and strengthening of agencies, their management information systems, sustainability of operations, O&M guidelines, budgets, affordability assessment, training programs, legislation and enforcement; projected income statements, source and application of funds and balance sheets for 200_.

(e) Finance / Economic Examinations, including assessments of subproject

viability, justification and rates of return based on with and without project analysis; identification of least cost alternatives: assessment of direct and indirect subproject benefits including (a) health improvements; (b) environmental improvements; (c) enhanced amenity; (d) avoided flood damage; and (e) enhanced property values.

(f) Resettlement Examinations, including Resettlement Plan (RP) identifying land

to be acquired and affected persons, their economic status and impact of loss of land; compensation and assistance policies; institutional arrangements for processing resettlement, compensation and settling grievances; costs, budgets and implementation schedule of resettlement; monitoring and evaluation of resettlement process. RP shall comply with the Government of the Philippines (GOP) and WB requirements specified in the SSLDIP Resettlement and Compensation Framework.

(g) Implementation Action Plan ( IAP ), describing the subproject with costs,

schedule and financing plan; implementation arrangements with responsible agency and administrative arrangements for implementation; time-bound implementation plan, procurement schedule, financial and economic analysis with assessment of risks; monitoring and evaluation indicators to supervise physical progress and financial status. IAP shall comply with the WB requirements specified in separate guidelines.

Preliminary Designs, which shall contain:

(a) Engineering Designs, showing alignment of key storm drainage lines, and other

main structures in adequate detail and on maps with scale of minimum 1:200, engineering report describing the designs and assumptions taken, updated implementation schedule and base cost estimates for major cost components, separately for civil works and equipment, project support and land acquisition showing foreign and local base costs, respective physical and price contingencies and estimate of total amount of taxes and duties; implementation methods, number of proposed contracts and procurement methods. Procurement shall comply with the GOP and World Bank requirements specified in separate guidelines.

(b) Institutional Report, designing in detail the recommended institutional

improvements, management procedures, including budgeting, and typical tertiary storm drainage; key job descriptions, training system and procedures outline training curricular and other strengthening measures;

32

(c) Resettlement Plan, with updated costs, budgets and implementation schedule for implementing resettlement; responsibility; monitoring and evaluation of resettlement process;

(d) Environmental Management Plan, (e) Implementation Action Plan, with updated schedule, costs, proposed financing

and arrangements for implementation with dates for key actions and responsibility.

(f) Engineering, Institutional and Environmental Aspects, are mutually

dependent and the Consultants will be responsible for ensuring that the institutional and environmental impact are appropriately reflected in recommended alternatives.

IV. TASKS

The objective of this consultancy is to complete the identified tasks from feasibility study, including preliminary engineering design. Tasks will include, but not necessarily be limited to the following:

(a) Assess the most appropriate investments for storm drainage in consultation with

the Local Chief Executive;

(b) Review the basis of rationale for the flood frequency to be used for design which is ten (10) years for canals and twenty five (25) years for closed conduits;

(c) Verify availability and suitability of sites recommended for treatment areas and

flood control gates in the city and suitable for such purposes, having regard to occupancy, procurement costs and possible environmental and resettlement implications. Based on the land available, propose the treatment station and flood control gates for the storm drainage system, if applicable;

(d) Check whether it is technically and institutionally feasible to decentralize the

urban wide storm drainage networks into two or more separate storm drainage zones, each with its own corresponding flood control gates;

(e) Identifying land to be acquired and affected persons, their economic status and

impact of loss of land; compensation and assistance policies; institutional arrangements for processing resettlement, compensation and settling of grievances; costs, budgets and implementation schedule of resettlement; monitoring and evaluation of resettlement process;

(f) Prepare the hydraulic and functional designs of the proposed facilities including

flood control gates, drainage main, pumping stations, and primary, secondary, and tertiary (as appropriate) drainage collector lines;

(g) Estimate preliminary capital and O & M cost for the storm drainage facilities, and

carry out, in consultation with the Financial Consultant, approximate FIRR and tariff calculations in order to establish financial viability and LGU budget needed for twenty five (25) years of operation;

(h) Based on the feasibility study and preliminary design, prepare the draft

Subproject Implementation Action Plans at the satisfaction of the WB;

33

(i) Prepare Resettlement Plan with updated costs, budgets, and implementation schedule for implementing resettlement, responsibility, monitoring and evaluation of resettlement process.

V. METHODOLOGY

The methodology to be employed in this consultancy will consist of visits to the subproject, discussions with LGU officials, situational reviews to confirm the efficacy of technical proposals, and desk reviews of the existing relevant feasibility and first stage priority reports. The Consultant shall provide the topographic survey and will be responsible in deriving the elevations and locating the various utilities and infrastructures.

The Consultant shall also perform the Environmental Impact Assessment (EIA) and Environmental Management Plan (EMP). The FS Engineering Consultant will be responsible for maintaining overall consistency between the FS and the EIA as well between the Preliminary Design and the EMP. The Consultant shall field an Environmental Specialist as part of the team to work together with the rest of the specialist in the team, under the overall coordination of the LGU-PIU.

The Consultant shall also be responsible for the preparation of detailed engineering designs, including the preparation of design reports, bid documents and assistance in the bidding process.

VI. SERVICES AND FACILITIES TO BE PROVIDED TO THE CONSULTANT

Following services will be provided by the LGU without any costs to the Consultants. Data. The LGU will provide the Consultants with access to all available data,

information, maps, drawings and internal documents relevant to the consulting services. All reference material will be lent to the Consultants and shall be returned at the completion of the assignment or earlier as may be requested.

Access. The LGU will arrange for access by the Consultants to all water supply,

drainage, sewerage and solid waste disposal facilities that the Consultants deem necessary to visit concerning performing their duties and to the key officials in the LGU and LGU departments concerned with subjects related to the assignment.

Services. The LGU will provide the Consultants during their stay in the area (LGU)

with unlimited telephone and fax service within the City/Municipality/Province and the Philippines and Internet and E-mail service as required for the services.

VII. REPORTING AND SCHEDULE

In performing their duties, Consultants shall prepare reports in English and submit them to the LGU, LBP and the Bank in numbers and within the time periods indicated in Table 1. All major reports should contain an executive summary.

The Inception Report shall contain an inventory of available data and information, review of (a) existing drainage system and its physical state of repair, (b) institutions

34

and their relevant findings, and adequate detailed work plan, any major inconsistencies between the TOR and Consultants findings.

The Intermediate Report shall contain technological, institutional and financial options of the project with explanation and quantification of benefits, weakness and risks of each option; recommendation of optimal option and rational for selection. The Final Report shall contain the Consultants’ final findings and recommendations; it shall be issued at completion of:

(a) Feasibility study, and shall include institutional analysis, resettlement plan, and

implementation action plan; and

(b) Preliminary design, updated resettlement and implementation action plans. (c) Environmental impact assessment report

The above reports will be produced first as draft final reports and finalized upon review by the PIU. The draft final reports will be reviewed at SB’s/SP meetings which will have a form of workshops with the Consultants’ presentation. The workshops will be organized by the Consultants according to the LGU instruction. A period of one month shall be allocated in the schedule for such reviews. Table 1 Reporting Requirements

Report Number of Copies Timing in Months from Start

Inception Report

6

2 and ½

Intermediate Report

6

3

Draft Report – Feasibility and Environmental Assessment Study

6

4 and 1/2

Final Report – Feasibility and Environmental Assessment Study

6

5 and 1/2

The Consultant will submit to LGU, LBP and the WB copies of all of the above mentioned reports in Microsoft Word and Excel files by e-mail. Later, two hard copies of the reports should be sent to the three institutions.

35

Attachment ESF-7 SAMPLE TERMS of REFERENCE for an INDIVIDUAL EA PREPARER

1. INTRODUCTION / BACKGROUND INFORMATION

A brief introduction about the proposed subproject is given below: “The goal of the subproject (Drainage System Improvement Work) is to minimize if not totally eliminate the occurrence of flooding in the city proper by replacing the existing and mostly silted drainage structures with an entirely new system. The existing drainage system receives wastewater from the septic tanks overflow of several residential households and commercial/ industrial establishments, but no records on the number of households/ establishments currently discharging into the systems are available. With this recent environmental situation, a combined sewer system (drainage-sewerage) was envisioned for the barangays that constitutes the city urban center. The City/Municipal/Provincial Government through its Project Implementation Unit (PIU) will be responsible for the implementation of the subproject”.

2. OBJECTIVES

This Terms of Reference outlines the requirements for consultancy service for the preparation of an Environmental Assessment Report (Initial Environmental Examination - IEE) which will address the environmental and social impacts of the proposed ”Drainage System Improvement Works” for the Name of the LGU. In general terms, the environmental assessment (IEE) report provides a linkage between the proposed project’s overall social and environmental impacts and its physical development. The IEE report identifies spatial areas of a community where physical development is planned with its corresponding environmental impacts. In more specific terms, the IEE preparer / consultant should come up with an Environmental Assessment report and perform consultancy tasks by means of: (a) Proper identification, quantification, and qualification of the environmental and

social impacts of the proposed drainage system improvement project within the Name of the LGU;

(b) Formulation of an Environmental Management Plan (EMP) that will explain the

cost-effective measures for the abatement of negative environmental impacts of the proposed development;

(c) Formulation of a Resettlement Plan (RP) for project affected persons in the event

the need arise; (d) Presentation of the environmental assessment (EA) report (IEE) for the

concurrence of the Sanguniang Panlungsod (SB) or Project Implementation Unit (PIU);

(e) Representation in behalf of the Name of the LGU during the technical review of

the IEE by the Department of Environment & Natural Resources-Environmental Management Bureau (DENR-EMB) regional office for the issuance of an Environmental Compliance Certificate (ECC).

36

(f) Collaboration with the consulting firm making the Feasibility Studies (FS) by providing sound advice during the selection of project alternatives.

3. ENVIRONMENTAL ASSESSMENT REQUIREMENTS

(a) All environmental assessments shall conform to the SSLDIP Environment Safeguards Framework furnished to the consultant and the guidelines of the Procedural Manual of DENR Administrative Order 2003-30.

(b) Other national laws and/or regulations on environmental reviews and impact

assessments; regional, provincial, or city environmental assessment regulations. (c) The Consultant shall undertake field surveys, surface and storm water quality

investigations and tests required to ensure the environmental acceptability of storm water discharge.

(d) The Consultant shall apply his own professional stamp or seal and signature to

each pertinent document to identify his professional responsibility.

4. STUDY AREA A brief description of the study area is provided below:

5. SCOPE OF WORK

The preparation of the IEE report requires a close coordination with the proponent (PIU), FS consultancy firm, and LBP-PMO of SSLDIP and a consultation process with the stakeholders. The tasks in carrying out the IEE shall include the following: Task 1 Description of the Proposed Subproject. Provide a brief description of the

relevant parts of the subproject, using maps (at appropriate scale/readable) where necessary, and including the following information: location; general layout; size, capacity, circulation system, etc.; pre-construction activities; construction activities; schedule / construction timetable; staffing and support; facilities and services; operation and maintenance activities; required off-site investments; life span / design life.

Task 2 Description of the Environment. Assemble, evaluate and present baseline

data on the relevant environmental characteristics of the study area. Include information on any changes anticipated before the subproject commences.

(a) Physical environment: geology (secondary data); soils; climate and

meteorology; ambient air quality; surface and ground water hydrology; existing water pollution discharges; receiving water quality.

(b) Biological environment: flora (secondary data); fauna (secondary

data); rare or endangered species; sensitive habitats, including parks or preserves, species with potential to become nuisances, vectors or dangerous (secondary data).

(c) Socio-cultural environment (include both present and projected

where appropriate): population; land use; planned development activities; community structure; employment; distribution of income,

37

goods and services; public health; cultural properties (if there applicable).

Task 3 Legislative and Regulatory Considerations Relative to the Subproject.

Describe the pertinent regulations and standards governing environmental quality, health and safety, protection of sensitive areas, protection of endangered species, siting, land use control, etc., at national, regional and local levels

Task 4 Determination of the Potential Impacts of the Proposed Subproject. In this

analysis, distinguish between significant positive and negative impacts, direct and indirect impacts, and immediate and long-term impacts. Identify impacts which are unavoidable or irreversible. Wherever possible, describe impacts quantitatively, in terms of environmental costs and benefits.

Assign economic values when feasible. Characterize the extent and quality of available data, explaining significant information deficiencies and any uncertainties associated with predictions of impact.

(a) Subproject Location: resettlement of people; impact on flora and

fauna. (b) Subproject Design: disruption of hydrology; drainage problems;

design of drainage component structures; crossings for people and animals.

(c) Construction Works: soil erosion; construction spoils (disposal of);

sanitary conditions and health risks associated with construction camp and workers coming into area; social and cultural conflicts between imported workers and local people.

(d) Subproject Operation: changes in ground water levels inside and

outside command (project) area; changes in surface water quality and risks of eutrophication; incidence of water-borne and water-related diseases.

Task 5 Development of Management Plan to Mitigate Negative Impacts.

Recommend feasible and cost-effective measures to prevent or reduce significant negative impacts to acceptable levels. Estimate the impacts and costs of those measures, and of the institutional and trainings requirements to implement them. Consider compensation to affected parties for impacts which cannot be mitigated. Prepare a management plan including proposed work programs, budget estimates, schedules, staffing and training requirements, and other necessary support services to implement the mitigating measures.

Task 6 Identification of Institutional Needs to Implement Environmental

Assessment Recommendations. Review the authority and capability of institutions at local, provincial/regional, and national levels and recommend steps to strengthen or expand them so that the management and monitoring plans in the environmental assessment can be implemented. The recommendations may extend to new laws and regulations, new agencies or agency functions, inter-sectoral arrangements. Management procedures and training, staffing, operation and maintenance training, budgeting, and financial support.

38

Task 7 Development of a Monitoring Plan. Prepare a detailed plan to monitor the

implementation of mitigating measures and the impacts of the proposed subproject during construction and operation. Include in the plan an estimate of capital and operating costs and a description of other inputs (such as training and institutional strengthening) needed to carry it out.

Task 8 Assist in Inter-Agency Coordination and Public Participation. Scoping

report and process documentation summarizing the presentation of participants; issues, concerns, and interest addressed; process by which agreements or resolutions were arrived, stakeholders who most actively participated; those who were present but were quiet, those who were not represented; and the outcome of the consultation activity.

Represent the LGU in the technical and environmental review of the proposed development by the DENR-EMB for the issuance of an Environmental Compliance Certificate (ECC). Where required, additional data shall be analyzed and incorporated in the IEE / EA report. Prepare all additional information that may be requested by the environmental impact assessment review team for the expeditious release of the ECC.

Task 9. Development of a Resettlement Plan (RP). When necessary, in the case of

displaced communities a resettlement action plan should be incorporated in the IEE / EA report.

6. REPORT SUBMISSIONS

The EA report should be concise and limited to significant environmental issues. The main text should focus on findings, conclusions and recommended actions, supported by summaries of the data collected and citations for any references used in interpreting those data. The Consultant shall be responsible in maintaining overall consistency between the Rapid Assessment design outputs of the FS consulting firm. The Consultant and the FS Consulting Firm are expected to work closely together as a team, under the overall coordination of the PIU and guided by LBP-PMO. The following services and facilities will be provided by the LGU (through its PIU) without any costs to the Consultant. Data The LGU will provide the Environmental Consultant with access to all

available data, information, maps, drawings and internal documents relevant to the consulting services as outlined in paragraphs 1 & 2, section 2.4 and paragraph 4, section 3.2 of the SSLDIP – Environmental Safeguards Framework.

All reference materials will be lent to the Consultant and shall be returned at the completion of the assignment or earlier as may be requested.

Access The LGU shall arrange the accessibility for the EA Consultant to the LGU’s

socio-economic profile, water supply systems, drainage systems, sewerage and solid waste disposal facilities that the Consultant deems necessary to visit concerning the function of their duties. The LGU shall likewise arrange meetings to key officials in the City/Municipality/Province, and relevant offices concerned with the implementation of the proposed subproject.

39

Services The LGU will provide the Consultant during his/her stay in the City with

unlimited telecommunication facilities (telephone and fax service) within the City/Municipality/Province and the Philippines and Internet and E-mail service as required for the services.

Organize the EA according to the outline below:

I. TABLE OF CONTENTS II. EXECUTIVE SUMMARY

A. Brief Introduction B. Brief Description of Methodology and Profile of EIA Team C. Scope and Limitation of the EIA Study D. Brief Project Description E. Brief Description of Baseline Environmental Conditions F. Matrix of Issues and Impacts Raised During the Scoping and

Consultations G. Matrix of Major Impacts, and Mitigation/Enhancement Measures with

Summary Discussion H. Matrix of Environmental Management Plan with Summary Discussion I. Matrix of Environmental Monitoring Plan with Summary Discussion J. Proposal of Environmental Guarantee and Monitoring Fund Scheme

(when applicable) K. Summary of Process Documentation Report, and L. Summary of Commitments, Agreements (or both) and Proofs of Social

Acceptability III. INTRODUCTION

A. Project Background B. EIA Approach and Methodology C. EIA Process Documentation D. EIA Team E. EIA Study Schedule

IV. PROJECT DESCRIPTION A. Project Rationale B. Project Alternatives C. Project Location D. Project Information E. Description of Project Phases

1. Pre-construction/operational phase 2. Construction phase 3. Operational phase 4. Abandonment phase

40

V. BASELINE ENVIRONMENTAL CONDITIONS A. Physical Environment

1. Geology and geomorphology 2. Hydrology and hydrogeology 3. Pedology and land use 4. Water quality and limnology 5. Meteorology 6. Air and noise quality

B. Biological Environment 1. Terrestrial flora and fauna

C. Socio-Cultural, Economic and Political Environment VI. FUTURE ENVIRONMENTAL CONDITIONS WITHOUT THE PROJECT VII. IMPACT ASSESSMENT AND MITIGATION

A. Physical/Chemical Effects 1. Land 2. Water 3. Air

B. Biological/Ecological Effects 1. Terrestrial flora and fauna 2. Aquatic flora and fauna

C. Aesthetic and Visual Effects D. Socio-Cultural and Economic Effects

1. Population 2. Labor and employment 3. Housing and social services 4. Infrastructure and public utilities 5. Health and education 6. Culture and lifestyle 7. Livelihood and income 8. Archeological/anthropological/historical sites

E. Mitigation and Enhancement Measures F. Residual and Unavoidable Impacts

VIII. ENVIRONMENTAL RISK ASSESSMENT (WHEN APPLICABLE) IX. ENVIRONMENTAL MANAGEMENT PLAN

A. Construction/Contractors Environmental Program B. Social Development Program C. Contingency/Emergency Response Plan D. Abandonment Plan (when applicable) E. Environmental Monitoring Plan

X. BIBLIOGRAPHY / REFERENCES

ATTACHMENTS (or ANNEXES) • Curriculum Vitae (CV) of the IEE Preparer with specified field of expertise • Original Sworn Accountability Statement of IEE Consultants (Annex A) • Original Sworn Accountability Statement of Proponent – LGU (Annex B)

41

• Photos or plates of proposed project site, impact areas and affected areas and communities

• Process Documentation Report • Formal Scoping Report • Summary of Proof of Social Acceptability • Maps/photos/plates/diagrams/sketches If the project is classified by the Department of Health (DOH) as Health Sensitive Projects or located in Health Sensitive Areas (Implementing Rules and Regulations, Chapter XX of PD 856) the IEE shall include a chapter on Environmental Health Impact Assessment (EHIA). The EHIA Chapter shall contain, among others, the following information: • Health and Sanitation Information of the Affected Community • Environmental Health Impact Analysis/Assessment • Proposed Control and Mitigating Measures for the Environmental Health Impacts

Identified. 7. PROJECT TEAM

The project team will provide direction throughout the subproject. All correspondence shall be addressed to the LGU-PIU and LBP-PMO for the SSLDIP. a. Project Implementation Unit (PIU)

b. LBP-PMO for SSLDIP Collaborative works should also be made with the environmental specialist of the consulting firm doing the Rapid Assessment and Detailed Engineering Design.

8. REPORTING REQUIREMENT AND SCHEDULE

In performing his/ her duties, the Consultant shall prepare reports in English and submit them to the PIU, PMO and the WB in quantities and within the time periods indicated in Table 1. All major reports should contain an executive summary. Details on the contents of the report are specified in the SSLDIP Operational Manual. The above stated reports will be produced as draft final reports and finalized upon review by the PIU, PMO and the WB. The draft final report will be reviewed at the Sangunian meetings, which will have a form of workshops with the Consultant’s presentation. The workshops will be organized by the EA Consultant according to PIU instruction. A period of one month shall be allocated in the schedule for such reviews.

42

Table 1 Reporting Requirements

Report Number of Copies Timing in Months from Start

Scoping Report (IEE/EIS)

(7)

1

Draft EA Report (IEE/EIS)

(3)

1 -1/2

Final EA Report (DENR/WB)

(10/2)

½

Total Preparation Time

2-1/2 The Consultant will submit to PIU, PMO and the WB copies of all the above-mentioned reports in Microsoft Word by e-mail. Later, two hard copies of the reports should be sent to the three institutions.

9. PAYMENT SCHEDULE

The assignment is expected to take about two and a half months to be completed. Below is the expected payment schedule: Table 2 Schedule of Payment

Accomplishment Payment

Mobilization upon contract signing

15%

Submission of Scoping Report

15%

Submission of Draft IEE Report

40%

Submission of IEE Report to DENR, PIU, PMO, WB

20%

Issuance of ECC and WB NOL

10%

43

Attachment ESF-8 SCHEDULE OF FEES

All proponents, upon submission of the appropriate document/s, shall pay the corresponding fees and other charges according to the schedule of fees in the table below:

Category Applied To Documents Required

for ECC / CNC Application

Fees (PhP)

Co-located projects

Programmatic EIS

10,000

A-1: New

Single Project

EIS

6,000

Co-located projects

Programmatic

EPRMP

4,000

A: Environmentally

Critical Projects

A-2: Existing and to be expanded (including undertakings that have stopped operations for more than 5 years and plan to re-start, with or without expansion) A-3: Operating without ECC

Single Project

EPRMP

4,000

B-1:New

Single Project

IEE or IEE Checklist

(if available)

4,000

Single Project

EPRMP (based on a checklist if available)

3,000

B: Non-

Environmentally Critical But located in an ECA

B-2: Existing and to be expanded (including undertakings that have stopped operations for more than 5 years and plan to re-start, with or without expansion) B-3: Operating without ECC

Co-located Project

PEPRMP

4,000

C: Environmental

Enhancement or Direct Mitigation

Co-located or Single

Projects

Project Description

600

D: Not Covered

Project Description or Proof of Project

Implementation Start Prior to 1982 (if

applying for CNC)

100

Minor

300/condition

Request for ECC Amendment

Major

1,200/condition

The fees enumerated above must all be paid by the proponent, regardless of whether the ECC is eventually granted or denied. These non-refundable fees cover the basic costs to government of the processing of proponent’s application.

44

Sub-Annex 2 RESETTLEMENT AND COMPENSATION FRAMEWORK (RCF) Contents Acronyms INTRODUCTION 1. DEFINITION OF TERMS 2. OVERRIDING DEVELOPMENT OBJECTIVE 3. INSTITUTIONAL AND LEGAL FRAMEWORK

3.1 Institutional Framework 3.1.1 The World Bank (WB) 3.1.2 Land Bank of the Philippines (LBP) 3.1.3 Local Government Unit (LGU) 3.1.4 External Monitoring Agency (EMA) 3.1.5 Affected Communities

3.2 Legal Framework 3.2.1 Government of the Philippines (GOP) Regulations 3.2.2 World Bank Policies 3.2.3 GOP and WB Policies, and Framework for SSLDIP

4. COMPENSATION AND OTHER ENTITLEMENTS 5. MODES OF ACQUIRING PRIVATE ASSETS 6. APPLICATION OF THE PARTICIPATORY PROCESS

6.1 Subproject Preparation Stage 6.1.1 Pre-Feasibility 6.1.2 Feasibility 6.1.3 Finalization of the RP and the Technical Design

6.2 Project Implementation Stage 6.3 Post Project Implementation Stage

7. GRIEVANCE PROCEDURES 8. COSTS AND BUDGETS 9. INDIGENOUS PEOPLES AND INDIGENOUS CULTURAL COMMUNITIES ATTACHMENTS

RCF-1 Compensation Table RCF-2 Terms of Reference for an Independent Appraiser RCF-3 Elements of a Full Resettlement Plan RCF-4 Elements of an Abbreviated Resettlement Plan RCF-5 Terms of Reference for an External Monitoring Agency RCF-6 Elements of an Indigenous Peoples Plan

45

Acronyms CA Commonwealth Act BIR Bureau of Internal Revenue DENR Department of Environment and Natural Resources DP Displaced Person EMA External Monitoring Agency EO Executive Order FPIC Free and Prior Informed Consent GOP Government of the Philippines ICC Indigenous Cultural Community IP Indigenous People IPP Indigenous People’s Plan LBP Land Bank of the Philippines LCE Local Chief Executive LGU Local Government Unit LRIC LGU Resettlement Implementation Committee M&E Monitoring & Evaluation NCIP National Commission of Indigenous Peoples NGO Non-Government Organization OP Operational Policy PCUP Presidential Commission for the Urban Poor PD Presidential Decree PhP Philippine Peso PIU Project Implementation Unit PMO Project Management Office PO People’s Organization RA Republic Act RCF Resettlement and Compensation Framework ROW Right-of-Way RP Resettlement Plan SSLDIP Support for Strategic Local Development and Investment Project WB World Bank

46

INTRODUCTION This Resettlement and Compensation Framework (RCF) shall serve as guideline in the preparation of Resettlement Plans (RPs) and other related documents to be required by the Land Bank of the Philippines and the World Bank from Subproject Proponents, the Local Government Units.

1. DEFINITION OF TERMS

Compensation means payment in cash or in kind for an asset to be acquired or affected by an infrastructure project at replacement cost (as defined below).

Cut-off Date is the date prior to which the occupation or use of the subproject area makes residents / users of the subproject area eligible to be categorized as affected persons. The cut-off date coincides with the commencement of the census of affected persons within the project area boundaries. Persons making claims based on subsequent occupation after the cut-off date are not eligible for claims for compensation and other entitlements.

Displaced Person (DP) includes any person or persons, household (sometimes referred to as project affected family), a firm, or a private or public institution who, on account of the acquisition of assets in a project, would have their right, title or interest in all or any part of a house, land (e.g., residential, agricultural, and industrial, including pasturelands, fishponds, communal forest, etc), fish pens, communal fishing grounds, annual or perennial crops and trees, or any other fixed or moveable asset acquired or possessed, in full or in part, permanently or temporarily, and who might suffer income or business loss as a consequence thereof. Eligible DPs may fall under any of the following three groups: a) Those who have formal legal rights to land including customary and traditional

rights; b) Those who do not have formal legal rights to land at the time of the cut-off date but

have a claim to rights to such land or assets; and c) Informal settlers and who satisfy the condition for eligibility to compensation as

provided in the definition of ‘cut-off-date’ in 2.c above Non-eligible DPs include those making claims based on subsequent occupation after the cut-off date.

External Monitoring Agency (EMA) is the entity designated by Subproject Proponent, the LGU, to monitor the implementation of its Resettlement Plan.

Financial Assistance is the cash amount given to tenants/settlers/occupants of severely affected land on top of cash payment/compensation of their crops and other fixed assets actually damaged by a subproject. It will also be given to owners of land acquired under Commonwealth Act 141 for the area of the affected portion subject to Section 112 thereof, which grants government easement right over a 60-meter wide corridor. Financial assistance will be determined based on applicable laws, in consultation with stakeholders and relevant government agencies, and thus given to: • Marginally and severely affected structures used for business, with or without title

to the land, to cover for income loss; • Marginally and severely affected farmlands, fishponds and fishpens that are not

covered by any acceptable proof of ownership, including portions of property acquired through CA 141, Section 112, to cover for improvements introduced to make the property productive;

47

• Severely affected farmlands, fishponds and fish pens that are covered by a title or other acceptable proof of ownership (e.g. ancestral claim, usufruct, ancestral land claim, etc.);

• A displaced person (DP) who holds full title, tax declaration or some proof of traditional ownership (such as usufruct when the DP belongs to an indigenous community), to the land where his/her severely affected dwelling stands and who has to shift elsewhere; and

• An informal settler who has to shift elsewhere for food subsidy.

Independent Shops are commercial stalls, such as groceries, vulcanizing shops, tailoring shops, beauty parlors, market stalls, hotels, movie houses, and similar establishments that serve as the owner’s principal source of income. Sari-sari stores, i.e., variety shops that are usually attached to a dwelling unit, may fall in the same category of independent shops.

Indigenous People are people belonging to any cultural minority group as identified by the National Commission on Indigenous Peoples.

Indigenous Cultural Communities are communities belonging to indigenous people

Informal Settlers (a.k.a. informal dwellers or squatters) are persons who have no legal title, tax declaration that can be perfected into a title, or those who are not covered by customary law (e.g., possessory rights, usufruct) or other acceptable proof of ownership. Informal settlers who are not professional squatters are eligible for compensation for lost assets and incomes, including entitlements.

Land Acquisition means the process whereby a person is compelled by Government to alienate all or part of the land he/she owns or possesses to ownership and possession of the Government for public purpose.

Local Government Unit (LGU) is the subproject proponent. It could be a City, Municipality or Province. Marginally Affected land or structure means less than 20% of the land or structure is affected and where the remaining unaffected portion is still viable for continued use. Professional Squatters, the term applies to persons who have previously been awarded home lots or housing units by the Government but who sold, leased or transferred the same to settle illegally in the same place or in another urban area, and non-bona fide occupants and intruders or lands reserved for socialized housing. This definition excludes individuals or groups that simply rent land and housing from professional squatters or squatting syndicates

Project refers to the World Bank funded Support for Strategic Local Development and Investment Project (SSLDIP) implemented by the Land Bank of the Philippines (LBP). Rehabilitation Support means additional assistance given to DPs whose source of income is severely impacted by the loss of productive assets, incomes, employment or sources of living, thereby requiring them to engage in some other income-earning activities. Rehabilitation support is intended to supplement payment of compensation and financial assistance as provided in 2.b. and 2.e for acquired assets in order to achieve full restoration of living standards and quality of life. The specific rehabilitation support to be given may be in the form of special skills training, project-related employment micro-credit and other self-help socio-economic measures.

48

Relocation means the physical shifting of DPs from their pre-project place to a new place of residence.

Replacement Cost is the amount needed to replace an asset without deduction for the costs of transaction. The computation of replacement cost is the value determined by an independent appraiser hired by the Project Proponent or by a court of law as compensation for: • Agricultural lands, fishponds and fish pens based on productive value or residential

land based on market value (for properties with similar location attributes); • Houses and other related structures based on current market prices of materials

and labor without depreciation and deductions for salvaged building materials; • Crops based on current market value; • Trees and other perennials based on the estimates of the Department of

Environment and Natural Resources or those of the independent appraiser’s • Other fixed assets such as mosques, churches, burial grounds, community wells,

barangay halls and health centers based on replacement cost or cost of mitigating measures; and

• Businesses based on opportunity loss and business current market prices of materials and labor without depreciation and deductions of salvaged materials.

Resettlement Action Plan (RAP) / Resettlement Plan (RP) refers to all measures to be taken by the Subproject Proponent in consultation with the community or the DPs and approved by the Lender, to mitigate any adverse social and economic impacts that are direct consequences of the acquisition of assets; and the provision of other entitlements, income restoration assistance, and relocation, as needed.

Rental Allowance is cash assistance given to house tenants of affected structures who will have to find a new place on account of the project, for the period between project site clearing and transfer to their new home but not exceeding a period of three (3) months.

Severely Affected Land / Structure means 20% or more of the land or structure is affected or when less than 20% is affected, the remaining portion is no longer viable for use.

Squatting Syndicates as defined by RA 7279 refers to groups of persons who are engaged in the business of squatter housing for profit or gain. Subproject refers to the project that is implemented by the LGU and funded by sub-loan from the SSLDIP loan facility implemented by the LBP.

2. OVERRIDING DEVELOPMENT OBJECTIVE

In the design and implementation of the subprojects, efforts must be exercised to ensure that all adverse impacts of acquisition of assets and properties are fully mitigated and that displaced persons (DPs) are benefited and are not worse off. Toward this end, the following fundamental measures will be ensured: • Effect on income and resources will be avoided or minimized in assets acquisition

that result in displacement of people; • No demolition of assets and/or entry to properties will be done until a DP is fully

compensated, except when a court of law grants a Writ of Possession to the LGU

49

for the subject property in expropriation cases as explained in Section 5 of this Framework;

• DPs are provided with sufficient compensation and assistance for lost assets,

income sources, and livelihood that will assist them to improve, or at least maintain, their pre-subproject standard of living;

• Special attention is paid to affected vulnerable groups, such as poverty groups, the

handicapped, women-headed households, people with weak or absent tenure rights, etc.; and

• All subproject stakeholders, including DPs, are consulted and participate in varying

practicable ways in the design, implementation and operation of the subproject. 3. INSTITUTIONAL AND LEGAL FRAMEWORK 3.1 Institutional Framework

The key players and their roles and responsibilities in resettlement planning, implementation and monitoring are presented below. Table RCF-2 in Section 6 breaks down the roles and responsibilities of other participants in the resettlement planning, implementation and monitoring process. 3.1.1 The World Bank (WB) The WB will review this SSLDIP Resettlement and Compensation Framework (RCF) to ensure its compliance with OP 4.12 and OP 4.10. It will agree with the Land Bank of the Philippines on the adoption of the RCF as the set of guidelines on social safeguards for the Project. The WB will review all Full RPs and first two Abbreviated RPs prepared under the Project. 3.1.2 Land Bank of the Philippines (LBP) Through its Lending Centers, assisted by the PMO, the LBP will review all subproject RPs, whether full or abbreviated, to check its compliance with the agreed RCF. 3.1.3 Local Government Unit (LGU) The LGU, through its PIU, will be responsible for the overall planning, implementation, coordination and monitoring and evaluation of land acquisition and resettlement activities under the subproject: • It will ensure that RPs are prepared, implemented and monitored and evaluated in

accordance with the agreed RCF. • The LGU will set up a LGU Resettlement Implementation Committee (LRIC) for the

implementation of the RP. The specific responsibilities of the LRIC include: - Assist the PIU in validating the list of DPs and inventory of affected assets and

in finalizing the compensation and other entitlements due to the DPs; - Assist in the conduct of public information campaign and consultation and help

to ensure the participation of the public, especially the DPs; - Assist the PIU in the payment of compensation and other entitlement to DPs; - Receive complaints and grievances from DPs and other stakeholders and act

on them accordingly;

50

- Maintain a record of all public meetings, complaints, and actions taken to address complaints and grievances; and

- In coordination with concerned government authorities, assist in the enforcement of laws / ordinances regarding encroachment into the subproject site or its ROW.

• The PIU Head will designate a staff to work closely with the LRIC. The LGU may

engage the services of a Consultant, a Resettlement Specialist, to provide technical support to the PIU on resettlement planning.

• The LGU will ensure that sufficient budget and resources are provided to the PIU

for resettlement planning and implementation. • The LGU will be responsible for encouraging the active participation of

stakeholders, particularly the displaced and host communities, in resettlement planning, implementation and M&E.

3.1.4 External Monitoring Agency (EMA) The EMA, engaged by the LGU, will monitor the effectiveness of resettlement activities in all stages of the subproject. Special efforts will be made to ensure good community relationships, for better reception of the subproject and for a clear understanding of its objectives. The EMA will submit periodic reports on the implementation process and make recommendations regarding identified issues and concerns. 3.1.5 Affected Communities It is also the responsibility of affected communities, particularly the DPs and host community/ies, to participate in consultations and in resettlement planning, implementation and M&E.

3.2 Legal Framework

3.2.1 Government of the Philippines (GOP) Regulations This RCF is anchored on the principle derived from the Bill of Rights of the Constitution of the Republic of the Philippines, which states: • in Article II, Section 9, “Private property shall not be taken for public use without

just compensation.” • in Article III, Section I, “No person shall be deprived of life, liberty, or property

without due process of law, nor shall any person be denied the equal protection of the laws.”

This RCF, hereinafter referred to as Framework, shares the same concern for due process and the right to just compensation for everybody. Adverse impacts by a subproject must be avoided or minimized, with the appropriate resettlement measures, and that DPs are given the opportunity to share project benefits with the rest of the population, are the guiding principles of this Framework.

Other relevant laws and orders of the GOP pertaining to land acquisition and compensation shall be adopted and observed by the LGU. Table RCF-1

51

3.2.2 World Bank Policies • OP 4.12, December 2001, on Involuntary Resettlement, providing the guidelines for

the resettlement of project-affected population to assist DPs in their efforts to improve their incomes and living standards, or at least restore them to pre-displacement levels. This policy is triggered when there is involuntary taking of land and other assets, or when involuntary restriction of access to legally designated and protected areas results in adverse impact on the livelihoods of the displaced persons. Only direct economic and social impacts resulting from “taking of land” are covered.

• OP 4.10, July 2005, on Indigenous Peoples, requiring all projects that are affecting

indigenous peoples to engage these people in a process of free, prior, and informed consultation; and to prepare an Indigenous Peoples Development Plan that will ensure these people to receive social and economic benefits that are culturally appropriate and gender and “inter-generationally” inclusive.

3.2.3 GOP and WB Policies, and Framework for SSLDIP

Where there is a discrepancy in the resettlement and compensation standards of the existing laws in the Philippines and of the standards of the WB, the LGU will comply with whichever is the higher standard. Table RCF-1 GOP Laws and Orders on Land Acquisition

Law / Order Provisions Executive Order 1035 (1985)

Requires the conduct of: • Feasibility study • Public Information Campaign • Parcellary survey • Assets inventory Other features include • Land acquisitioned, based on fair market value to be negotiated between owner &

appraiser • Resettlement / relocation of tenants, farmers & other occupants • Financial Assistance to displaced tenants, cultural minorities & settlers equivalent to

the average annual gross harvest for the last 3 years & not less than P15,000 per ha.

• Disturbance compensation to agricultural lessees equivalent to 5 times the average gross harvest during the last 5 years

• Compensation for improvements on land acquired under CA 141. Government has power to expropriate in case agreement is not reached.

Supreme Court Ruling (1987)

• Defines just compensation as fair & full equivalent for the loss sustained, taking into account improvements, location, capabilities, etc.

• The value given by the appraiser can only serve as a guide for negotiation. The objective is to enable the DP to replace affected assets at current market price.

DPWH DO 142 (1995)

• Aims to avoid unnecessary delays in civil works. • Inclusion of parcellary plans & cost estimates for ROW acquisition in detailed

engineering stage. • EO 1035 & MO 65 will still be followed in matters relating to the acquisition and

compensation of private properties RA 6389 • Provides for disturbance compensation to agricultural leases equivalent to 5 times

the average gross harvest in the last 5 years.

52

Table RCF-1 GOP Laws and Orders on Land Acquisition (continued) Law / Order Provisions

RA 7279, Urban Development and Housing Act of 1992

• Provides guidelines for resettlement of persons living in danger areas, e.g., riverbanks, shorelines, & waterways or areas where government infrastructure projects are about to be implemented. Guidelines cover the provision of basic services & facilities in resettlement sites, livelihood support, meaningful participation & adequate social preparation for the affected households, close coordination between sending & host LGUs, grievance redress and related aspects.

• Danger areas as enumerated in Article VII, Section 28 of RA 7279 includes Waterways but not specifically water/pipeline Right-of-Ways (ROW). The 2002 Bignay Incident of Manila Water showed that waterlines are potential danger areas.

• Relocation involving court eviction cases shall be undertaken by the local government, agencies involved (in this case the MWSS) within forty-five (45) days from service of notice of final judgement by the court.

• Informal settlers who built their house on or before the affectivity date (March 28, 1992) are entitled to all benefits and considerations prescribed in the said act. All those exempted or not covered by the said act will be dealt with accordingly (see Section 5.a).

RA 8368 (1997)

• Repealed PD 772 of 1975, which penalized squatting and similar acts. • All pending cases under the provisions of PD 772 are consequently dismissed.

RA 8371 (1997) • Protects & recognizes rights of indigenous cultural communities on their ancestral

lands. RA 8974 (2000)

• Aims at ensuring that owners of real property acquired for NG infrastructure projects

are promptly paid just compensation. It also provides for the compensation of affected improvements & structures at replacement cost (without depreciation & inclusive of labor costs for reconstruction) & the arrangement of independent appraisers for a more accurate determination of the market values of lands and improvements. Section 5 provides for standards in the determination of the fair market value of land:

• SECTION 5. Standards for the Assessment of the Value of the Land Subject of Expropriation Proceedings or Negotiated Sale — In order to facilitate the determination of just compensation, the court may consider, among other well-established factors, the following relevant standards:

i. The classification and use for which the property is suited; ii. The developmental costs for improving the land; iii. The value declared by the owners; iv. The current selling price of similar lands in the vicinity; v. The reasonable disturbance compensation for the removal &/or demolition of

certain improvements on the land & for the value of improvements thereon; vi. The size, shape or location, tax declaration & zonal valuation of the land; vii. The price of the land as manifested in the ocular findings, oral as well as

documentary evidence presented; and viii. Such facts & events as to enable the affected property owners to have sufficient

funds to acquire similarly-situated lands of approximate areas as those required from them by the government, & thereby rehabilitate themselves as early as possible.

Commonwealth Act 141 (CA 141), Public Lands Act (1936)

• Institutes classification & means of administration, expropriation and disposition of

alienable lands of the public domain. • Under Section 112, lands awarded for Free Patent are “subject to a right of right-of-

way not exceeding sixty (60) meters in width for public highways, railroads, irrigation ditches, aqueducts, telegraph and telephone lines and similar works as the Government or any public or quasi-public service or enterprise, including mining or forest concessionaires, may reasonably require for carrying on their business, with damages for the improvements only.”

NCIP Administrative Order No. 3, Series of 2002

• stipulates the processes necessary for securing FPIC from IP communities and EO

132 designating PCUP as clearing house for the conduct of demolition and eviction since both have bearing on actions related to IPs and RP

53

4. COMPENSATION AND OTHER ENTITLEMENTS

The following guidelines will be applied to mitigate the effects of involuntary resettlement:

• Only those DPs found to be residing in, doing business in, or cultivating land, or

having rights over resources within, the project area as of the cut-off date (e.g., date of start of census surveys) are eligible for compensation for lost assets (i.e., land, structures and other fixed assets) and for other assistance. DPs will be compensated for affected land, based on their tenure status, e.g., legitimate owner, lessee, etc. Proof of ownership shall include full title, tax declaration of settlers in public land, possessory rights or usufruct, ancestral land claims, among others. However, in cases where a tax declaration over assets that are inalienable or those that cannot be titled as prescribed by law (e.g., river easement, forest reserve) is the only proof of ownership, only structures and other improvements found therein should be compensated.

• The LGU shall compensate the DPs for land, structures and other fixed assets at

“replacement cost” as defined in Section 1.

• DPs losing all of their lands and structures (e.g., farmland, house), or incurring partial loss but where the remaining assets and properties are determined by competent authorities as not viable anymore for continued use will be paid full compensation for the entire asset at replacement cost. The compensation for the entire asset at replacement cost may be given in cash or in kind. The LGU will assume ownership of the said asset upon payment of full compensation thereof.

• In the case of DPs whose assets are “marginally affected” as defined in Section 1,

compensation for the affected assets will be paid in cash.

• Informal setters who are affected by the project and who are not “professional squatters”, as defined Section 1, are entitled to compensation at replacement cost for affected structures and other losses but not for land.

• Swap for “severely affected land” as defined in Section 1 will be in the form of land

of equivalent productive value and/or characteristics at a location acceptable to the DPs, or if replacement land is not available, cash representing the current replacement value of the land. Replacement of residential and agricultural lands will be as close as possible to the land that was lost. All replacement lands for residence, commerce and agriculture will be provided with secured tenure status.

• In addition to compensation for crops or property acquired or damaged by the

subproject, the LGU will provide the following resettlement assistance to eligible DPs: - “Financial assistance” to tenants/settlers/occupants as provided in Section 1. - Rental allowance for house tenants of affected main structures who will have to

find a new place on account of the project, equivalent to the period between project site clearing and transfer to their new home but not to exceed a period of three (3) months.

- Transportation assistance (in cash or in kind, depending on the mutual agreement of the DP and the LGU) to DPs who are relocating, including displaced shanty dwellers in urban areas who opts to go back to their places of origin (e.g., province) or to shift to government relocation sites.

54

• Granting of rehabilitation support in the form of special skills training, project-related employment, micro-credit or other self-help socio-economic support to DPs who are severely affected due to the loss of productive assets and/or their primary source of income and which will require them to engage in some other income-earning activities. If needed, the LGU will coordinate closely with concerned government agencies that have the mandate and the expertise to undertake the needed rehabilitation assistance.

• Rehabilitation support will also be granted to severely affected vulnerable groups

such as indigenous groups, single parent households, the handicapped, the elderly, etc., who have the least capacity to cope with the adverse social and economic impacts of development projects.

• For married couples, payment of compensation and other entitlements (i.e.,

financial assistance and rehabilitation support) will be given in the names of both husband and wife.

• Where relocation is considered necessary, the lot owner of the proposed relocation

site will also be entitled to compensation for his/her land, and depending on his/her choice, the compensation may be in cash or in the form of replacement land, of the same value, within or outside the relocation site.

• The LGU shall provide the relocation site for residential or commercial purposes

with such basic services as electricity, water, drainage, sewer system, road system, etc.

• Plans for the acquisition of land and other assets will be carried out in consultation

with the DPs who will receive prior information of the compensation, relocation and other assistance available to them.

• Any acquisition of, or restriction on access to resources owned or managed by DPs

as a common property, e.g., communal forest, communal farm, or communal fishing ground, will be mitigated to ensure access of those DPs to equivalent resources on a continuing basis, where feasible, or other alternative measures to be determined in consultation with the DPs.

• Resettlement programs will include adequate institutional arrangements to ensure

effective and timely design, planning, consultation and implementation of compensation and resettlement. The LGU will ensure effective coordination with relevant agencies for the preparation and implementation of the RP.

• The resettlement transition period will be minimized and the acquisition of assets,

compensation, resettlement and rehabilitation for a segment/section or phase (except where long-term rehabilitation measures, such as vocational training recommended) will be completed at least one (1) month prior to the initiation of preparation for construction work under the respective segment/section or phase thereof.

Entitlements and compensation for the types of loss shall be guided by the Compensation Table in this Framework. Attachment RCF-1

Technically, all informal settlers found to be at the subproject site at the time of the census, will be entitled to a specific compensation depending on the laws and standards being enforced at the beginning of the subproject. All possible means to

55

alleviate the DPs will be exhausted so as not to appear that they are better off without the subproject.

5. MODES OF ACQUIRING PRIVATE ASSETS

Private assets, e.g., land, structures and other improvements, will be acquired for the subproject through: • donation; • negotiated purchase, or • expropriation. In the case of donation, meetings held regarding land donation/s will be documented. For donated land/s, documentation of donation must be signed by all legal owners, must note the total land area from which portion needed by subproject is taken, and must state the legal tenability of the donation (e.g. no lien, occupants in affected portion). An assessment report on the donor’s economic viability will also be needed. In the case of negotiated purchase, the LGU will offer as the purchase price an amount equal to the replacement cost of the assets, as determined by an independent appraiser using internationally accepted procedures. Attachment RCF-2 The LGU will make the offer in writing and give the property owner 15 days within which to accept the amount offered as payment for his/her property. If the property owner agrees, he or she will issue to the LGU a written permit to enter the property. A contract of sale will be subsequently executed between the property owner and the LGU.

If negotiations fail, the LGU shall initiate expropriation proceedings. Upon filing of the complaint, and after due notice to the defendant/property owner, the LGU shall immediately deposit with the court or a court-appointed depository the amount equivalent to the sum of (1) one hundred percent (100%) of the value of the condemned property based on the current BIR zonal valuation and (2) an amount equal to the replacement cost of the improvements and/or structures. The LGU should then apply for a Writ of Possession to enable subproject construction. If the property owner contests the compensation payment, the Court will determine the just compensation to be paid to the owner within sixty (60) days from the date of the filing of the expropriation case. When the decision of the Court becomes final, the LGU will pay the owner the difference between the amount already paid and the just compensation determined by the Court (see Implementing Rules and Regulations, RA 8974, Section 14). The DP will receive the additional payment within one (1) month following the decision of the court.

The LGU may resort to the imposition of an Easement of Right-of-Way provided for under the Philippine Civil Code if the property owner agrees to this mode of land acquisition. In such cases, a ROW easement agreement will be executed by the property owner and the LGU, whereby the former will grant the latter the right to use the affected portion of the lost, as ROW, but the owner retains ownership of the said portion of the lot. In these cases, the LGU will pay the owner the value of the affected portion of the lot based on an independent appraiser carried out according to internationally accepted norms. In addition, the LGU shall compensate the property owner at replacement cost for any improvements and/or structures on the land affected by the ROW. The LGU will enter the easement area after the provision of the full

56

payment for the easement to the property owner. The ROW easement agreement will be immediately registered with the Registry of Deeds. The LGU may also acquire a property through Usufruct. The property owner retains the naked ownership of the land, while the LGU enjoys the benefit of the use of land. The LGU and the property owner will execute a usufruct agreement. The agreement will cover the rights and responsibilities of the two parties, including the duration of the usufruct.

The LGU may also acquire lands through lease agreements with the rightful property owner. The LGU and the property owner will execute a Lease Contract. The contract will cover the rights and responsibilities of the two parties, including the duration of the lease.

6. APPLICATION OF THE PARTICIPATORY PROCESS

The participatory process shall commence as early as during the subproject preparation stage and shall continue through to post-implementation evaluation. Key stakeholders will have valuable roles to play in each of the activities in the process. Table RCF-2

6.1 Subproject Preparation Stage 6.1.1 Pre-feasibility

• The PIU will conduct a preliminary meeting with the Local Chief Executive and the

Council about the subproject and its components: - Explain the general concept of the subproject; - Discuss and explain the requirements of the subproject and its perceived

impacts - Present tentative schedule of activities - Create awareness and appreciation about the subproject - Identify various subproject stakeholders - Present the SSLDIP RCF - Discuss the composition of the LRIC

Other target participants to this meeting are: - Heads of attached units to the PIU - Captain/s of the affected Barangay/s

• General Orientation of the Community

Before undertaking any survey activity in the community, the PIU will conduct a thorough barangay meeting to orient and ensure that the community understands the nature and extent of the proposed subproject, as well as the rights and entitlements of those who may be affected or displaced as a result of the subproject. Awareness of the subproject will hasten the data-gathering process and ensure quality of data.

The RCF will also be discussed for the communities to have an appreciation of the processes and procedures. The RCF will be publicly posted / disclosed and will be available to the community if they want to discuss it further with the community members.

57

Community orientation will be facilitated by barangay officials and assisted by the PIU to ensure correctness of information to be relayed to each member of the community. The agenda for this community orientation could be: - Subproject overview including overall objectives and merits - Identification and discussion of the likely impacts of the subproject - Activities to be undertaken, including the subproject schedule - Roles of the community with regards to the long-term sustainability - the Resettlement and Compensation Framework - Other matters

• Social Assessment

The PIU will conduct an assessment of the positive and negative impacts of the subproject especially to the affected community, identifying all types of possible risks involved. This will be most critical in deciding whether to push through the subproject or not. Often, subprojects though initially conceived as beneficial may in turn have to adverse socio-economic, environmental and cultural impacts, which are easily overlooked. The assessment will be carried out with the participation of various stakeholders (through consultations, focused group discussions and key informant interviews) especially those that will be adversely affected from the subproject and the concerned barangay. Where IP settlements / communities are affected, assessment activities should be coordinated with the National Commission on Indigenous Peoples (NCIP) prior to the field investigation. Results of such investigation will form part of the assessment.

6.1.2 Feasibility

• Draft RP Preparation

Based on the results of the Social Assessment, a full-blown socio-economic survey of the DPs, including an inventory and valuation of affected assets, will be conducted to arrive at an appropriate Resettlement Plan (RP). The RP should include the amounts and the process to be used in the payment of compensation to the DPs. A separate survey should be conducted for cultural minorities especially when they are not closely attached to the mainstream society. In such cases, a separate RP should be prepared for the group. (Refer to Section 9 of this Framework.) The RCF applies to all resettlement impacts, regardless of the number of people involved or the level of severity experienced. However, the level of details contained in the RP will vary according to the target group, complexity, scale, and severity of resettlement. A full RP will be required where 200 or more persons are affected. If less than 200 persons are affected, an abbreviated RP may be prepared. Attachments RCF-3 and RCF-4

• Presentation of the Draft RP

Upon completion of the draft RP, the PIU will present it to the Local Chief Executive and Council, heads of attached units to the PIU and captain/s of affected barangay/s with a view that a consensus will be achieved on the following: - Resettlement program - Relocation sites - Roles and responsibilities in the RP implementation

58

- Identified members of LRIC

• Community Consultation

Community consultation should be conducted continuously until a RP acceptable to the DPs is arrived at. All aspects of the subproject should be known to the affected community and if necessary, leaflets and brochures be distributed for greater information coverage.

Affected communities will also be informed on the mechanics and procedures for consultations, grievance redress mechanism, and the overall resettlement program. For indigenous groups, the NCIP will be tapped to lead the consultations and to have a more in depth analysis of the socio-cultural implications of the subproject. All proceedings and consultations will be recorded and form part of the RP.

6.1.3 Finalization of the RP and the Technical Design

All suggestions and relevant information introduced by the DPs should be included in the RP. The PIU will again meet the Local Chief Executive and Council, heads of PIU-attached units, captain/s of affected barangay/s and selected members of the community, particularly the People’s Organization (PO) leaders, Purok leaders or other recognized leaders representing the DPs to orient them with the results of all studies and assessments made to ensure that the subproject will proceed as agreed upon.

A copy of the final RP and the technical design will be given to each affected barangay for reference purposes to ensure all procedures and agreements are included and met.

• Setting up of LRIC

The LRIC will be established to assist in RP implementation, to be composed of: - Head of UPAO, - if applicable, a Commissioner of the National Commission of Indigenous

Peoples, - PIU, particularly its Resettlement Specialist - Representative of the Barangay of affected communities (DP and host) - Representative of the DPs in each affected barangay (to be elected by simple

majority by DPs present in a meeting to be held for the purpose); - If applicable, leader/s or elder/s of each affected IP group; - Representative of a non-government organization (NGO) or people’s

organization (PO) actively operating in the subproject area (to be elected by simple majority by DPs present in a meeting to be held for the purpose)

The LRIC will be headed by either the head of UPAO, or if applicable, a Commissioner of the NCIP. The LRIC will meet regularly to record milestones and update the members on the progress of the RP. The following items may also be included in the agenda: - Designation of specific assignments - RP timetable - Submittals to PCUP - Others matters

The LRIC will have to work closely with the PCUP, as the government’s clearing house of resettlement for the urban poor to ensure that the RP is properly

59

implemented. They can also assist the PIU in accomplishing the requirements for the Certificate of Compliance to be issued by the PCUP before any clearing operation takes place.

6.2 Project Implementation Stage

• Participation in the Implementation

Whenever possible, DPs will be contracted in the implementation of various activities in the subproject.

• Monitoring of the RP

The PIU, assisted by the LRIC will enlist the participation of the DPs in the internal monitoring of the RP. Representation of the DPs in the monitoring of the implementation will provide a more accurate reading of the community’s feelings and reactions. The internal monitoring will focus specifically on the following: - Seeing to it that the RP is implemented as designed and approved; - Verifying if funds for implementation are provided by the LGU in a timely

manner and in amounts sufficient for their purposes and that the funds are used in accordance with the provisions in the RP.

In addition to the internal monitoring, an independent External Monitoring Agency (EMA) will be hired by the LGU, to carry out a separate M&E program of the RP. This agency may be an NGO, an academic research institution, an independent consulting firm, with qualified and experienced staff or a combination of these. Criteria for selecting the appropriate agency shall be based on competence, experience and general advocacy of the group. The selection process will undergo the usual procurement procedures. Attachment RCF-5

6.3 Post Project Implementation Stage

• Evaluation of the RP Implementation

Upon completion of the RP implementation, a body composed of representative from PIU (preferably its Resettlement Specialist), LRIC head, DP representatives, and representatives from relevant NGO and PO will be formed to evaluate the different stages of the RP preparation and implementation, and the various processes and methodologies used. Areas for improvement and best practices will be identified for future use.

The EMA will give its independent evaluation of the RP and its implementation. All recommendations and comments will be documented and archived for future reference.

7. GRIEVANCE PROCEDURES

Accessible grievance mechanisms will be established for the DPs and their communities, and any host communities receiving them. It aims to address disputes that may arise from the resettlement.

Grievances will be handled through negotiations and are aimed at achieving consensus. Complaints will pass through two stages before they may be elevated to a court of law as a last resort.

60

Grievance Redress shall have the following level:

Level 1 A party lodges complaint or grievance to the LRIC. After proper

investigation of facts presented, the LRIC will provide a written response within fifteen (15) days upon receipt of the complaint.

Level 2 If the complaint / grievance cannot be resolved at the level of the

LRIC, the case shall be formally referred to the PIU, which will act / decide on the complaint within fifteen (15) days. The PIU shall inform the LRIC on the actions taken and progress of the case

The LRIC shall document all grievances, discussions, recommendations and resolutions in writing (or written when received verbally) at all grievance level.

DPs will be exempted from all administrative and legal fees incurred pursuant to the grievance redress procedures.

Resorting to courts prior to availment of this complaint and grievance process will make the appellant’s action dismissible on the grounds of non-exhaustion of administrative remedies. Details of grievance redress procedures are provided in the Operational Manual for Resettlement Planning and Implementation provided by the PCUP.

8. COSTS AND BUDGETS

The LGU will be responsible for providing needed resources for all activities related to the RP planning and implementation, including the operation of the LRIC. Each RP will include detailed cost estimates for compensation and relocation of DPs, if that be the case, with a breakdown by category of DPs, agricultural, residential and business lands; houses, structures and other fixed assets affected; transport assistance when shifting DPs; etc. Cost estimates will make adequate provisions for contingencies.

61

Table RCF-2 Roles and Responsibilities Subproject Stage Participatory Activities Participants Responsible Office/

Institution Subproject Preparation

Preliminary meeting within LGU for the overview of the proposed subproject

Local Chief Executive (LCE) & Council, PIU- attached units, affected barangay captain/s,

PIU &/or its Consultant, a Resettlement Specialist (RS)

General orientation- meeting, barangay level, preparatory to conduct of technical, social & environmental studies

PIU, concerned barangay officials, DPs, affected communities

PIU &/or its RS

Pre-Feasibility Study

Conduct of Social Impact Assessment

PIU, DPs, affected communities

PIU &/or its RS

RP preparation, census & socio-eco survey

Community heads, concerned barangay officials, DPs

PIU &/or its RS, Community heads

LGU draft RP orientation

LCE, LGU Council, , PIU- attached units, affected barangay captain/s

PIU &/or its RS

Feasibility Study

Community consultation on draft RP

Community heads, DPs, affected communities

Affected barangay officials, PIU &/or its RS

RP finalization

Community heads

PIU &/or its RS

Finalization of RP and Technical Design

Final RP orientation for LGUs, DPs & affected communities

LCE, LGU Council, PIU- attached units, affected barangay officials, community heads, DPs, affected communities

PIU &/or its RS

Implementation Setting up of LRIC LGU Council, affected

barangay officials, community heads, DPs, affected communities, UPAO head &/or NCIP Commissioner

LGU Council Chairman (Vice-Mayor) or his representative, PIU &/or its RS

Implementation of RP

Affected barangay officials, community heads, DPs, PIU, LRIC

PIU &/or its RS & LRIC

Internal monitoring of RP implementation

LRIC, PIU, community heads, DPs

LGUs and Community Heads,

External Monitoring

EMA

EMA

Post-Implementation

Evaluation of RP, processes and methodologies

LRIC, DP reps, EMA, PIU, reps of relevant NGO & PO

PIU &/or its RS & EMA

62

9. INDIGENOUS PEOPLES AND INDIGENOUS CULTURAL COMMUNITIES

In cases where indigenous peoples (IPs) and indigenous cultural communities (ICCs) will be affected, prior to the preparation of the RP, the LGU must secure a Free and Prior Informed Consent (FPIC) or a consensus of all members of the Indigenous Peoples and Indigenous Cultural Communities. This will be determined in accordance with their respective customary laws and practices, free and obtained after the LGU’s full disclosure of the intent and scope of the activity, in a language and process understandable to the concerned communities.

A Certificate of FPIC is issued by the concerned IPs/ICCs through an authorized representative (usually the Commissioner of the National Commission of Indigenous Peoples or NCIP). The certificate will be obtained upon signing of a Memorandum of Agreement by and between the LGU and the respective IPs/ICCs. Which agreement must be written in a language understandable to the IPs/ICCs. Signatures or thumb marks must be affixed on each page of the document signifying consent or rejection. In case of rejection, the IPs/ICCs shall state in the document of rejection whether or not they shall entertain alternative proposals of similar nature. Any alternative proposal shall be subject to another FPIC of the IPs/ICCs in accordance with the foregoing procedures and requirements.

As mentioned in the earlier part of this policy, that if necessary, a separate RP with an Indigenous Peoples Plan (IPP) will be developed for IPs/ICCs to ensure appropriateness and minimize negative socio-cultural impacts. Attachment RCF-6 Full consultation, consent and participation will be sought after to foster a cooperative environment and strengthen cultural relationships. It will be ensured that same social and economic benefits will be granted to such groups, recognizing their rights and privileges to their ancestral domains / lands as defined in Chapter 3 of RA 8371.

In order to have a meaningful consultation and participation, the following steps will be adhered to:

• information dissemination shall be in the local / tribal language • a tribal leader / representative from NCIP and an NGO representative working with

the group or an expert in the history, practices and traditions will always be present in all discussions with clusters of IPs;

• All meetings will be recorded and shared with the concerned IP group.

If IPs are part of the mainstream society, same information as the other will be gathered from the group. In addition, a social impact assessment will be conducted and the following information will be collected:

• HH ownership of economic and productive assets; • annual income form primary and secondary employment opportunities • economic information of community (brief information of economic and natural

resources, production, and livelihood systems, tenure systems, etc.) • social information of community (brief information of kinship, value system, types of

social organization of formal / informal groups, etc.)

63

• potential impact of subproject on basic social services (water supply, health clinics,

and schools) • potential impact of subproject on the social and economic livelihood

Community participation and consultation framework shall be coursed through the NCIP, the government agency mandated by law to oversee and protect the interests of IP/ICC. Grievance redress mechanisms to be developed will be in a manner familiar to the indigenous group. Such framework will be developed in close coordination with IP/ICC tribal elders and tribal leaders in collaboration with the NCIP.

The LRIC will include one of the commissioners of the NCIP (preferably the commissioner assigned to the region where the proposed subproject will be undertaken), and an indigenous group leader or elder from every tribe/group to represent their respective tribe. The NCIP Commissioner who is a member of the LRIC will automatically be the Chairperson of the committee.

64

Attachment RCF-1 COMPENSATION TABLE

Page 1 of 5 Type of Loss Application Entitled Person Compensation / Entitlement

Category A - Owners with full title, tax declaration or who are covered by customary law (e.g. Possessor’s rights, usufruct) or other acceptable proof of ownership

For the portion of land needed: Cash compensation at replacement cost for the land as determined by a licensed

independent appraiser using internationally recognized valuation standards Subject to the provisions set forth in Section 5 of RA 8974. Cash compensation for perennials of commercial value as determined by the DENR or

concerned appraisal committee. DP will be given sufficient time to harvest crops on the subject land.

Actual area needed by the project and the remaining land is still economically viable

Category B - DPs without title, tax declaration, or are not covered by customary law or other acceptable proofs of ownership

For the portion of the land needed: DP will be given time to harvest crops. Cash compensation for perennials of commercial values as determined by DENR or

the concerned appraisal committee. Financial assistance to make up for land preparation, Php 150/m2.

Category A

Cash compensation at replacement cost for the land as determined by a licensed

independent appraiser using internationally recognized valuation standards, or, if feasible, ‘land for land’ will be provided (a new parcel of land with an equivalent productivity, located at an area acceptable to the DP & with long-term security of tenure.

Subsistence allowance, Php 15,000/ha. DP will be given time to harvest crops. Cash compensation for perennial of commercial value as determined by the DENR or

concerned appraisal committee If relocating, DP to be provided free transportation Rehabilitation assistance (skills training and other development activities), Php 15,000,

will be provided in coordination with other government agencies if the present means of livelihood is no longer viable & DP will have to engage in a new income activity.

1. Arable Land

Remaining land becomes economically not viable (i.e. DP losing >20% of land holding or even when losing <20% but the remaining land is not economically viable anymore)

Category B

Financial assistance equivalent to the average annual gross harvest for the past 3

years but not less than Php 15,000. DP will be given sufficient time to harvest crops.

65

COMPENSATION TABLE (continued) Page 2 of 5 Type of Loss Application Entitled Person Compensation / Entitlement

Cash compensation for perennials of commercial value as determined by DENR or

concerned appraisal committee Financial assistance to make up for land preparation, Php 150/m2. If relocating, DP to be provided free transportation. Rehabilitation assistance, Php 15,000, will be provided in coordination with other

government agencies if present means of livelihood is no longer viable & DP will have to engage in a new income activity.

Category C - Agricultural lessees

As per RA 6389 and EO 1035 Disturbance compensation equivalent to 5 times the average gross harvest on land

holding during the 5 preceding years but not less than Php 15,000. Rehabilitation assistance, Php 15,000.

Temporary use of land

All DPs

Compensation to be provided for loss of income during the period, standing crops, cost

of soil restoration & damaged structures. Actual area needed by the project and the remaining land is still viable for continued use

Category A

For the portion of the land needed: Cash compensation at replacement cost for land as determined by a licensed

independent appraiser using internationally recognized valuation standards. Subject to the provisions set forth in Section 5 of RA 8974. Cash compensation for perennials of commercial value as determined by the DENR of

the concerned appraisal committee.

2. Residential

land &/or Commercial land

Remaining residential or commercial land becomes not viable for continued use

Category A

Cash compensation at replacement cost for and as determined by a licensed

independent appraiser using internationally recognized valuation standards. Subject to the provisions set forth in Section 5 of RA 8974, or if feasible, ‘land for land’

will be provided in terms of a new parcel of land of equivalent productivity, at a location acceptable to DP, & with long-term security of tenure. The replacement land should be of acceptable size under zoning laws or a plot of equivalent value, whichever is larger, in a nearby resettlement with adequate physical, social infrastructure. When the affected holding is larger in value than the relocation plot, cash compensation will cover the difference in value.

Cash compensation for perennials of commercial value as determined by the DENR of concerned appraisal committee.

If relocating, DP to be provided free transportation

66


Temporary use of land

All DPs

Compensation to be provided for loss of income during the period, standing crops, cost

of soil restoration and damaged structures. Owners of structure with full title or tax declaration to the land or those who are covered by customary law

Compensation in cash for affected portion of the structure including the cost of

restoring the remaining structure as determined by the concerned appraisal committee with no deduction for salvaged building materials.

DPs that have business affected due to partial impact on the structure are entitled to a subsistence allowance for the loss of income during the reconstruction period. (to be computed by LRIC).

Owners of structures, including shanty dwellers in urban areas, have no title or tax declaration to the land or other acceptable proof of ownership.

Compensation in cash for affected portion of the structure including the cost of

restoring the remaining structure as determined by the concerned appraisal committee with no deduction for salvaged building materials.

Shanty dwellers in urban areas opting to go back to their place of origin or to be shifted to government relocation sites will be provided free transportation.

DPs that have business affected due to partial impact on the structure are entitled to a subsistence allowance for the loss of income during the reconstruction period. (to be computed by the LRIC).

Professional squatters will not receive compensation but they can collect their salvaged materials.

Structure with or without a building permit, partially affected and the remaining structure is still viable for continued use.

Renters of structures including renters of shanty dwellings in urban areas

Given 3 months notice on the schedule of demolition. If shifting is required, DP is given transitional allowance equivalent to one month rent of

a similar structure within the area. For house tenants renting outside of, or within the ROW, and who have to transfer

elsewhere, free transportation will be provided. Renting shanty dwellers in urban areas who opt to go back to their place of origin in the

province or be shifted to government relocation sites will also be provided free transportation.

3. Main

structures (e.g. house, shops etc)

Entire structure affected or when remaining structure becomes not viable for continued use with or without a building permit

Owners of structures with full title or tax declaration to the land or those who are covered by customary law.

Compensation in cash for the entire structure at replacement cost as determined by the

concerned appraisal committee without deduction for salvaged building materials. Inconvenience allowance of Php 10,000 per DP.

67


DPs that have business affected due to the severe impact on the structure are entitled to a subsistence allowance for the loss of income during the reconstruction period. To be verified and computed by the LRIC.

Free transportation if relocation is necessary. Rehabilitation assistance in the form of skills training and other development activities

and equivalent to Php 15,000 will be provided in coordination with other government agencies if the present means of livelihood is no longer viable and the DP will have to engage in a new income activity.

Professional squatter will not receive compensation but they can collect their salvageable materials.

Renters of structures including renters of shanty dwellings in urban areas

Given 3 months notice on the schedule of demolition. If shifting is required, DP is given transitional allowance equivalent to one month rent of

a similar structure within the area. For house tenants renting outside of, or within the ROW, and who have to transfer

elsewhere, free transportation will be provided. Renting shanty dwellers in urban areas who opt to go back to their place of origin in the

province or be shifted to government relocation sites will also be provided free transportation.

Rehabilitation assistance in the form of skills training & other development activities & equivalent to Php 15,000 will be provided in coordination with other government agencies if the present means of livelihood is no longer viable and DP will have to engage in a new income activity.

Owners of structure with or without full title of tax declaration to the land or those who are covered by customary law.

Compensation is cash for affected portion of the structure, including the cost of

restoring the remaining structure as determined by the concerned appraisal committee with no deduction to salvaged building materials.

As determined by the LRIC, DPs will be entitled to transitional allowance to cover for their computed income loss during the demolition and reconstruction of their shops, but not to exceed a month period.

4. Independent

shops

Shops with or without building permit, partially affected and the remaining structures are still viable for continued use.

Renters (tenants) of affected shops

As determined by the LRIC, shop renters will be entitled to a transitional allowance to

cover for their computed income loss during the period that their business is interrupted.

68


Owners of structure with or without full title of tax declaration to the land or those who are covered by customary law.

Compensation in cash for the entire structure at replacement cost as determined by the

concerned appraisal committee without deduction for salvaged building materials. Subsistence allowance of Php 15,000 to each DP. Free transportation if relocating Rehabilitation assistance in the form of skills training and other development activities

and equivalent to Php 15,000 will be provided in coordination with other government agencies if the present means of livelihood is no longer viable and DP will have to engage in a new income activity.

Professional squatter will not receive any compensation but they can collect their salvageable materials.

Entire shop affected or when the remaining structure becomes not viable for continued use with or without building permit

Renters (tenants) of affected shops

Given 3 months notice on the schedule of demolition As determined by the LRIC, shop renters will be entitled to a transitional allowance to

cover for their computed income loss during the period that their business is interrupted, but not to exceed a 3-month period.

5. Other fixed

assets or structures

Loss of, or damage to, affected assets, partially or entirely

DPs

Cash compensation for affected portion of structure including cost of restoring

remaining structure, as determined by the concerned appraisal committee, with no depreciation or deduction for salvaged building materials.

6. Electric and/

or water connection

Loss of, or damage to, affected assets, partially or entirely ,

DPs

Compensation to cover cost of restoring the facilities

7. Public

facilities

Loss of, or damage to, public infrastructure

Concerned agencies

Compensation in cash at replacement cost to respective agencies

69

Attachment RCF-2 SAMPLE TERMS OF REFERENCE FOR AN INDEPENDENT APPRAISER

The Independent Appraiser will play a key role during the Land Acquisition Assessment process. It will be hired by the LGU. Criteria for selecting the appropriate agency shall be based on competence, experience and general advocacy of the group. The selection process will undergo the usual procurement procedures. The licensed independent appraiser should use internationally recognized valuation standards to assess replacement cost and cash compensation for affected lands. More specifically the Independent Appraiser may be tasked to perform any of the following: 1. Inspection and identification of the property

• Conduct title plotting to determine the configuration of the property and if there are any discrepancies from the technical description of the title

• Survey of immediate neighborhood for present conditions and improvements • Title Verification • Owner Verification • Background information

2. Right-of-Way verification 3. Zonal classification of land 4. Zonal valuation for the area 5. Preparation of appraisal report to include the following

• Summary of property valuation • Complete description and details of the property • Photographs of subject property • Location and vicinity plan

70

Attachment RCF-3 ELEMENTS OF A FULL RESETTLEMENT PLAN1

The scope and level of detail of a Resettlement Plan (RP) vary with the magnitude and complexity of resettlement. The RP is based on up-to-date and reliable information about the: • proposed resettlement and its impacts on the displaced persons and other adversely

affected groups; and • legal issues involved in resettlement. A full RP covers the elements below, as relevant. When any element is not relevant to project circumstances, it should be noted in the RP. Elements of a Full Resettlement Plan Page 1 of 3

A. Project Description General description of subproject & identification of subproject area B.

Potential Impacts

Subproject component or activities that give rise to resettlement Zone of impact of such component or activities Alternatives considered to avoid or minimize resettlement Mechanisms established to minimize resettlement, to the extent possible, during subproject implementation

C.

Objectives

Main objectives of the resettlement program D.

Socio-Economic Studies

Findings of socio-economic studies to be conducted in the early stages of subproject preparation & with the involvement of potentially displaced people, including the ff: Results of a census survey covering:

- current occupants of affected area to establish basis for design of resettlement program & to exclude subsequent inflows of people from eligibility for compensation & resettlement assistance

- standard characteristics of displaced HHs, including description of production systems, labor, HH organization; & baseline information on livelihoods (including, as relevant, production levels & income derived from both formal & informal economic activities) & standards of living (including health status) of the displaced population

- magnitude of expected loss, total or partial, of assets, & extent of displacement, physical or economic;

- information on vulnerable groups or persons (para. 8, OP 4.12), for whom special provisions may have to be made

- provisions to update information on DP's livelihoods & standards of living at regular intervals so that the latest information is available at the time of their displacement

Other studies describing the ff: - land tenure & transfer systems, including an inventory of common property natural resources from

which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) governed by local recognized land allocation mechanisms, & any issues raised by different tenure systems in subproject area

- patterns of social interaction in affected communities, including social networks & social support systems, & how they will be affected by the subproject

- public infrastructure & social services that will be affected - social & cultural characteristics of displaced communities, including description of formal & informal

institutions, e.g., community organizations, ritual groups, NGOs that may be relevant to the consultation strategy & to designing & implementing the resettlement activities

1 Para. 2-21, Annex A of OP 4.12

71

Elements of a Full Resettlement Plan (continued) Page 2 of 3 E.

Legal Framework

Findings of an analysis of the legal framework, covering: Scope of the power of eminent domain & nature of compensation associated with it, in terms of both valuation methodology & timing of payment

Applicable legal & administrative procedures, including a description of remedies available to DPs in the judicial process & the normal timeframe for such procedures, & any available alternative dispute resolution mechanisms that may be relevant to resettlement under the subproject

Relevant law, including customary & traditional law, governing land tenure, valuation of assets & losses, compensation, & natural resource usage rights; customary personal law related to displacement; & environmental laws & social welfare legislation

Laws & regulations relating to the agencies responsible for implementing resettlement activities Gaps, if any, between local laws covering eminent domain & resettlement & WBs resettlement policy, & the mechanisms to bridge such gaps

Any legal steps necessary to ensure the effective implementation of resettlement activities under the subproject, including, as appropriate, a process for recognizing claims to legal rights to land—including claims that derive from customary law & traditional usage (WB OP 4.12, para.15 b)

F.

Institutional Framework

Findings of an analysis of the institutional framework covering the ff: Identification of agencies responsible for resettlement activities & NGOs that may have a role in subproject implementation

Assessment of the institutional capacity of such agencies & NGOs Any steps that are proposed to enhance the institutional capacity of agencies & NGOs responsible for resettlement implementation.

G

Eligibility

Definition of DPs & criteria for determining their eligibility for compensation & other resettlement assistance, including relevant cut-off dates

H.

Valuation of, and Compensation for, Losses

The methodology to be used in valuing losses to determine their replacement cost; and a description of the proposed types and levels of compensation under local law and such supplementary measures as are necessary to achieve replacement cost for lost assets.

I.

Resettlement Measures

Description of packages of compensation & other resettlement measures that will assist each category of eligible DPs to achieve the objectives of the policy (WB OP 4.12, para. 6). In addition to being technically & economically feasible, resettlement packages should be compatible with the cultural preferences of the DPs, & prepared in consultation with them.

J.

Site Selection, Site Preparation, and Relocation

Alternative relocation sites considered and explanation of those selected, covering: Institutional & technical arrangements for identifying & preparing relocation sites, whether rural or urban, for which a combination of productive potential, locational advantages, & other factors is at least comparable to the advantages of the old sites, with an estimate of the time needed to acquire & transfer land & ancillary resources

Any measures necessary to prevent land speculation or influx of ineligible persons at selected sites Procedures for physical relocation, including timetables for site preparation & transfer Legal arrangements for regularizing tenure & transferring titles to resettlers

K.

Housing, Infrastructure, and Social Services

Plans to provide (or finance resettlers' provision of) housing, infrastructure (e.g., water supply, feeder roads), & social services (e.g., schools, health services); plans to ensure comparable services to host populations; any needed site development, engineering & architectural designs for these facilities

L.

Environmental Protection and Management

Description of boundaries of relocation area; & assessment of environmental impacts of the proposed resettlement & measures to mitigate & manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement)

72

Elements of a Full Resettlement Plan (continued) Page 3 of 3 M.

Community Participation

Involvement of resettlers & host communities, including: Description of strategy for consultation with & participation of resettlers & hosts in design & implementation of resettlement activities

Summary of views expressed & how these were taken into account in preparing the RP Review of resettlement alternatives presented & choices made by DPs regarding options available to them, including choices related to forms of compensation & resettlement assistance, to relocating as individuals, families or as parts of pre-existing communities or kinship groups, to sustaining existing patterns of group organization, & to retaining access to cultural property (e.g. places of worship, pilgrimage centers, cemeteries)

Institutionalized arrangements by which DP can communicate their concerns to subproject authorities throughout planning & implementation, & measures to ensure that such vulnerable groups as indigenous people, ethnic minorities, the landless, & women are adequately represented

N.

Integration With Host Populations

Measures to mitigate the impact of resettlement on any host communities, including: Consultations with host communities & local governments; Arrangements for prompt tendering of payment due the hosts for land or other assets provided to resettlers

Arrangements for addressing any conflict that may arise between resettlers & host communities Any measures necessary to augment services (e.g., education, water, health, & production services) in host communities to make them at least comparable to services available to resettlers

O.

Grievance Procedures

Affordable & accessible procedures for third-party settlement of disputes arising from resettlement; such grievance mechanisms should take into account availability of judicial recourse & community & traditional dispute settlement mechanisms

P.

Organizational Responsibilities

Organizational framework for implementing resettlement, including identification of agencies responsible for delivery of resettlement measures & provision of services; arrangements to ensure appropriate coordination between agencies & jurisdictions involved in implementation; & any measures (including technical assistance) needed to strengthen implementing agencies' capacity to design & carry out resettlement activities; provisions for the transfer, to local authorities or resettlers, of responsibility for managing facilities & services provided under the subproject & for transferring other such responsibilities from the resettlement implementing agencies, when appropriate.

Q.

Implementation Schedule

Implementation schedule of all resettlement activities from preparation through implementation, including target dates for the achievement of expected benefits to resettlers & hosts & terminating the various forms of assistance. Schedule should indicate how resettlement activities are linked to the overall implementation of the subproject.

R.

Costs and Budget

Tables showing itemized cost estimates for all resettlement activities, including allowances for inflation, population growth, & other contingencies; timetables for expenditures; sources of funds; & arrangements for timely flow of funds, & funding for resettlement, if any, in areas outside the jurisdiction of LGUs.

S.

Monitoring and Evaluation

Arrangements for monitoring of resettlement activities by the implementing agency, supplemented by independent monitors as considered appropriate, to ensure complete & objective information; performance monitoring indicators to measure inputs, outputs, & outcomes for resettlement activities; involvement of DPs in the monitoring process; evaluation of the impact of resettlement for a reasonable period after all resettlement & related development activities have been completed; using the results of resettlement monitoring to guide subsequent implementation.

73

Attachment RCF-4 ELEMENTS OF AN ABBREVIATED RESETTLEMENT PLAN2

An abbreviated plan covers the following minimum elements:

A. Census survey of displaced persons and valuation of assets

B. Description of compensation and assistance C. Consultations with displaced people about acceptable alternatives) D. Institutional responsibility for implementation and procedures for grievance redress E. Arrangements for monitoring and implementation F. Timetable and budget

2 Para. 22, Annex A of OP 4.12

74

Attachment RCF-5 SAMPLE TERMS OF REFERENCE FOR AN EXTERNAL MONITORING AGENCY

A. Introduction Monitoring and evaluation of resettlement is an integral part of the project cycle, and one of the requirements of RP that the implementing agency and project proponent will appoint an independent, qualified, and unbiased entity that could be a social science institute, an NGO, a specialist consulting firm or combination of these to conduct the external monitoring and evaluation. The external monitoring agency must ensure that the provisions of the RP are adhered to, examine available data and information systems, and obtain complete and objective information. More specifically, the tasks of external monitors are: 1. Review and verify all existing data, data bases and information systems including census

of families to be relocated; the data files for each relocated family and their entitlements, the census of families completed post relocation, and the Project Management Office data base on affected families.

2. Verify the results of internal monitoring being carried out and any other agencies

involved in implementing the RP and providing entitlements to DPs, and suggest improvement to those systems.

3. Assess whether the resettlement objectives, as set out in the RP, have been met, with

respect to living conditions and livelihood. 4. Ascertain whether the resettlement entitlements were appropriate to meeting the

objectives of the RP, and whether the objectives were suited to affected families’ conditions.

5. Obtain data and assess the social impacts of resettlement (before and after conditions)

and the effectiveness, impact and sustainability of the resettlement process in social terms.

6. Review the viability of housing schemes for DP’s affordability to meet costs. Obtain data

and assess the economic impacts of resettlement, including environmental cost/benefit analysis, and the effectiveness, impact and sustainability of the resettlement process in economic terms.

7. Review systems for management and financial monitoring of the RP, audit internal

management data relating to the RP and recommended improvements. 8. Make recommendations regarding the implementation of the RP and draw lessons as a

guide to future resettlement policy making and planning. 9. Prepare and agree with PMO on a detailed work program that includes meetings, reports

and schedules. 10. Confirms if DPs maintain their standard of living. 11. Review the absorptive capacity of relocation sites. 12. Identify total number of households that are entitled to benefits and determine if they are

receiving entitlements. 13. Disaggregate data by gender to determine gender impacts.

75

B. Methodology

Data Base Establishment The implementing agency is developing a system for recording information about settler families and their entitlements. This database will be used to record basic information, determine whether affected persons are relocated to secure and affordable socialized formal housing sector; the receipt of entitlements under the RP; whether livelihood and living standards have been restored or enhanced or not; and that an orderly and peaceful relocation of informal households has taken place. The data will include benefit monitoring and evaluation indicators. Quantitative data from the annual survey will be analyzed and interpreted in conjunction with data obtained during quarterly monitoring including qualitative data. C. Ex-post Survey and Evaluation The EMA will conduct one ex-post evaluation survey, at least one year after the last survey. This evaluation will assess the achievement of the resettlement objective, the change in living standards and livelihood and progress in the restoration of the economic and social base of relocated families. D. Sampling Size The EMA shall develop a methodology approved by the Project Proponent and Implementing Agency to determine appropriate sample size to ensure coverage of all relocation / resettlement sites. Data will be disaggregated by gender. E. Expertise Required Expertise required will include: • A sociologist / resettlement specialist with expertise in all areas of social research

methodology, including consultation techniques and large-scale survey design and implementation, and a thorough understanding of issues of urban poverty. This person will be likely to act as team leader.

• An economist • A financial monitoring specialist • A database specialist • A community development specialist The team should be able to conduct the monitoring and evaluation in an objective manner, incorporating a wide rage of viewpoints, to work closely with their counterparts and undertake training and capacity building in monitoring and evaluation. The team will also include necessary technical and administrative support staff such as statistical experts, field community / survey staff and office support staff.

76

F. Reporting The EMA will provide copies of comprehensive monitoring reports together with recommendations to improve implementation of the RP to the Project Proponent and Implementing Agency one week after the above stated reports are due. The EMA will set up a gender-disaggregated database for monitoring and evaluation building upon the pre- and post-relocation census data and the project’s internal record-keeping system. This will be done as early as possible. The database will be used to measure the impact of relocation, and change at the resettlement sites post relocation as the intended social and economic development takes place including appropriate benefit indicators. The database will also be used to monitor the receipt of entitlements by affected families and verify that the application of entitlements is appropriate and conforms to the RP. G. Quarterly Monitoring The EMA will conduct quarterly monitoring for as long as relocation activities are in progress. This is to ensure that conditions for resettlement as contained in the RP are being followed and to verify the results of internal monitoring and the receipt of the entitlements. Specifically, quarterly monitoring will examine the resettlement budget and time frame, the entitlements provided, consultation with affected people and stakeholders and the application of grievance redress mechanisms. This ongoing monitoring will also assess broader social and economic impacts and benefits. It will specifically address issues and needs of both relocated families and families yet to relocate, including a commentary on the rate of relocation and implementation of the RP. Information required will be obtained from the internal monitoring database, including information form entitlement files of families receiving assistance, reports from the site management offices, and participatory rapid appraisal to allow wide public participation including focus group discussions and key informant interviews. In addition to DPs, respondents should include POs, NGOs, LGUs and staff of the other implementing agencies. H. Annual Survey The EMA is required to undertake an annual, sample survey of the relocated families, which will be undertaken in conjunction with every fourth quarter monitoring. This survey will be independent from the census to be undertaken by the Project Proponent and Implementing agency. The EMA’s survey will compare “before and after” social and economic conditions and reassess the needs of resettled families.

77

Attachment RCF-6 ELEMENTS OF AN INDIGENOUS PEOPLES PLAN

The Indigenous Peoples Plan (IPP) is prepared in a flexible and pragmatic manner, and its level of detail varies depending on the specific project and the nature of effects to be addressed. The LGU should ensure the integration of the IPP into the subproject design. The IPP includes the following elements, as needed:

A. A summary of the information referred to in Annex A, paragraph 2, (a) and (b) of WB

Policy. B. A summary of the social assessment. C. A summary of results of the free, prior, and informed consultation with the affected IPs’

communities that was carried out during subproject preparation and that led to broad community support for the subproject.

D. A framework for ensuring free, prior, and informed consultation with the affected IPs’

communities during subproject implementation (Section 9 of this Framework) E. An action plan of measures to ensure that the IPs receive social and economic benefits

that are culturally appropriate, including, if necessary, measures to enhance the capacity of the LGU.

78

Sub-Annex 3 RULES ON LAND USE CONVERSION3 Contents 1 FRAMEWORK 2 COVERAGE

2.1 Applicability of the Rules 2.2 Areas Non-Negotiable for Conversion 2.3 Areas Highly Restricted from Conversion 2.4 Priority Development Areas and Projects 2.5 Lands within Strategic Agriculture and Fisheries Development Zone (SAFDZ)

3 PROCEDURES 3.1 Criteria for Conversion 3.2 Who May Apply for Conversion 3.3 Documentary Requirements

Acronyms CARP Comprehensive Agrarian Reform Program DA Department of Agriculture DAR Department of Agrarian Reform DENR Department of Environment and Natural Resources EO Executive Order LGU Local Government Unit NIA National Irrigation Administration NIPA National Integrated Protected Areas System RA Republic Act SAFDZ Strategic Agriculture and Fisheries Development Zone

3 Lifted from DAR-AO 1 Series of 2002. Comprehensive Rules on Land Use Conversion

79

1. FRAMEWORK

Department of Agrarian Reform (DAR) Administrative Order (AO) No.1 Series of 2002, or the Comprehensive Rules on Land Use Conversion, which was promulgated:

• pursuant to:

- Sections 65 and 49 of RA 6657, or the Comprehensive Agrarian Reform Law of 1988,

- Sections 4 (j) and 5 (l) of EO 129-A, or the Reorganization Act of the DAR - pertinent provisions of RA 8435, the Agriculture and Fisheries Modernization

Act, and - EO-45-2001, "Prescribing Time Periods for Issuance of Housing-Related

Certifications, Clearances and Permits, and Imposing Sanctions for Failure to Observe the Same”; and

• in order to provide effective means of evaluating applications for land use

conversion. 2. COVERAGE4 2.1 Applicability of Rules5

These guidelines shall apply to all applications for conversion, from agricultural to non-agricultural uses or to another agricultural use, such as:

• Conversions into residential, commercial, industrial, institutional and other non-

agricultural purposes; • Development into other types of agricultural activities, such as livestock, poultry,

and fishpond, the effect of which is to exempt the land from Comprehensive Agrarian Reform Program (CARP) coverage;

• Conversions into non-agricultural use other than that previously authorized; or • Conversion of agricultural lands or areas that have been reclassified by the LGU, or

by way of a Presidential Proclamation, to residential, commercial, industrial, or other non-agricultural uses on or after the effectivity of RA 6657 on 15 June 1988, pursuant to Section 20 of RA 7160, and other pertinent laws and regulations, and are to be converted to such uses.

However, for those reclassified prior to 15 June 1988, the guidelines in securing an exemption clearance from DAR shall apply.

2.2 Areas Non-Negotiable for Conversion6

An application involving areas non-negotiable for conversion shall not be given due course even when some portions thereof are eligible for conversion. The following areas shall NOT be subject to conversion:

• Lands within protected areas designated under the National Integrated Protected

Areas System (NIPAS), including mossy and virgin forests, riverbanks, and swamp 4 Article II, DAR-AO 1-2002 5 Section 3, DAR-AO 1-2002 6 Section 4, DAR-AO 1-2002

80

forests or marshlands, as determined by the Department of Environment and Natural Resources (DENR);

• All irrigated lands, as delineated by the Department of Agriculture (DA) and/or the

National Irrigation Administration (NIA), where water is: - available to support rice and other crop production, and - not available for rice and other crop production but are within areas

programmed for irrigation facility rehabilitation by the government; • All irrigable lands already covered by irrigation projects with firm funding

commitments, as delineated by the DA an/or NIA; and

• All agricultural lands with irrigation facilities. 2.3 Areas Highly Restricted from Conversion7

The areas / projects classified as highly restricted from conversion include:

• Irrigable lands not covered by irrigation projects with firm funding commitment; • Agro-industrial croplands, or lands presently planted to industrial crops that support

the economic viability of existing agricultural infrastructure and agro-based enterprises;

• Highlands or areas located in elevation of 500 m or above and which have the

potential for growing semi-temperate or high value crops; • Lands issued with notice of land valuation and acquisition or subject of a perfected

agreement between the landowner and the beneficiaries under the Voluntary Land Transfer (VLT) / direct Payment Scheme (DPS) under the CARP; and

• Lands within an Environmentally Critical Area (ECA) or those involving the

establishment of an Environmentally Critical Project (ECP).

Applications for conversion under this sub-section shall require, apart from the standard requirements, an Environmental Compliance Certificate (ECC), which the applicant must secure from the DENR prior to application, or prior to commencement of actual land development (for housing projects).

The Presidential Agrarian Reform Council (PARC) Land Use Technical Committee (PLUTC) shall participate in the deliberations when the application involves land that is highly restricted from conversion and with an area larger than 5 ha, except housing projects covered by EO 45-2001.

2.4 Priority Development Areas and Projects8

• In accordance with RA 7916, EO 124-1993, and EO 258-2000, the following are priority development areas for land conversion:

7 Section 5, DAR-AO 1-2002 8 Section 6, DAR-AO 1-2002

81

- Specific sites in Regional Agri-Industrial Centers / Regional Industrial Centers (RAIC / RIC) identified by the Department of Trade and Industry (DTI) and the DA pursuant to EO-124-1993.

- Tourism Development Areas (TDA) identified by the Department of Tourism

(DOT) pursuant to EO 124-1993.

- Agricultural areas intended for Eco-Zone Projects endorsed by the Philippine Economic Zone Authority (PEZA), pursuant to RA 7916.

- Agricultural land, owned by the government, to be converted for projects of

national interest, as certified by the proper government agency. - Agricultural land proposed to be developed as sites for processing plants of

agricultural products, as certified by DA. - Sites intended for telecommunication facilities endorsed by the National

Telecommunications Commission.

• Housing projects are priority development projects for land conversion that shall follow the fast-tracking scheme prescribed under EO 45-2001. When the application involves a mixed use of housing and non-housing projects, the application shall not enjoy the privileges of housing projects unless at least 80% of the land applied for conversion shall be used directly and exclusively for housing.

2.5 Lands within Strategic Agriculture and Fisheries Development Zone (SAFDZ)9

For lands within SAFDZ, the following rules apply: • All irrigated lands, irrigable lands already covered by irrigation projects with firm

funding commitments, and lands with existing or having the potential for growing high-value crops included within the SAFDZ shall be subject to a conversion moratorium for a period of 5 years from 10 February 1998 to 9 February 2003.

• During the effectivity of the moratorium, conversion may be allowed with respect to

only 5% of said lands within SAFDZ upon compliance with existing laws, rules and regulations.

• The maximum of 5% of lands eligible for conversion to non-agricultural use from

the total SAFDZ area shall be jointly determined by the DA and DAR, upon the recommendation of the Regional and National SAFDZ Committees pursuant to Rule 9.5.2 of DA-AO 6-1998, or the IRR of RA 8435.

• After the expiration of the conversion moratorium, conversion may be allowed on a

case-to-case basis, subject to existing laws, rules and regulations on land use conversion.

9 Section 7, DAR-AO 1-2002

82

3. PROCEDURES10 3.1 Criteria for Conversion11

• Conversion may be allowed if the land subject of application is not among those considered non-negotiable for conversion as provided in Section 2.2 hereof.

• Conversion may be allowed in accordance with Section 65 of RA 6657, when:

- the land has ceased to be economically feasible and sound for agricultural purposes; or

- the locality has become urbanized and the land will have a greater economic value for residential, commercial, industrial, or other non-agricultural purposes.

• Conversion of lands within SAFDZ, as provided in Rule 9.5.2 of DA-AO-6-1998,

shall take into account the following factors: - The conversion of land use is consistent with the natural expansion of the

municipality or locality, as contained in the approved physical framework and CLUP.

- The area to be converted in use is not the only remaining food production area of the community.

- The land use conversion shall not hamper the availability of irrigation to nearby farmlands.

- The areas with low productivity will be accorded priority for land use conversion. - Sufficient disturbance compensation shall be given to farmers whose livelihood

are negatively affected by the land use conversion as provided for by existing laws and regulations.

• When the agricultural land which is the subject of the application for conversion has

been acquired under RA 6657, its conversion shall be allowed only if the applicant is the agrarian reform beneficiary thereof, and after he has fully paid his obligation as required under Section 65 of RA 6657.

3.2 Who May Apply for Conversion12

• Owners of private agricultural lands or other persons duly authorized by the landowner;

• Beneficiaries of the agrarian reform program after the lapse of 5 years from award,

reckoned from the date of the issuance of the Certificate of Landownership Award (CLOA) and who have fully paid their obligations and are qualified under these Rules, or persons duly authorized by them; and

• Government agencies, including government-owned or controlled corporations, and

LGUs which own agricultural lands as their patrimonial property. 3.3 Documentary Requirements13

The applicant shall submit in 6 copies the documentary requirements enumerated below in 6 separate bound folders, as follows:

10 Article III, DAR-AO 1-2002 11 Section 8, DAR-AO 1-2002 12 Section 9, DAR-AO 1-2002 13 Section 10, DAR-AO 1-2002

83

• 1 original set and 5 photocopy sets with Table of Contents and page numbers of all documents including photographs, sequentially numbered, except for maps and development plans which shall likewise be in 6 copies but shall be submitted in 6 separate envelopes with contents properly labeled on each envelope.

• Of the 6 folders,

- 2 will be transmitted to the Municipal Agrarian Reform Officer (MARO), containing therein only the filled-up application form and documents “D”, “E” and “Z” hereunder.

- The remaining 4 folders shall contain all documents enumerated hereunder that are applicable.

The arrangement of documents shall follow the sequence of the enumeration below, with the requirement referred to as “A” being the first document after the Table of Contents:

A. Official receipt showing proof of payment of filling fee and inspection cost B. Official receipt showing proof of posting of bond

C. Duly accomplished application for conversion subscribed and sworn to before a

notary public or any person authorized to administer oaths D. True copy of the Original Certificate of Title (OCT) or Transfer Certificate of Title

(TCT) of the subject land, certified by the Register of Deeds not earlier than thirty (30) days prior to application filing date

In case of untitled land, the following shall be required in lieu of a title:

D.1 Certification from the DENR Community Environment and Natural

Resources (CENRO) that the landholding has been classified as alienable and disposable; and

D.2 Certification from the DENR CENRO (for administrative confirmation of

imperfect title) or the Clerk of Court (for judicial confirmation of imperfect title) that the titling process/proceedings has commenced and there are no adverse claimants.

E. True copy of the Certificate of Title of the subject land as of 15 June 1988 and all

successor Titles until the present Title referred to in “D”, if applicable. F. True copy of the current Tax Declaration covering the subject property G. Project feasibility study H. Joint venture agreement or any other business arrangement on the use of the

land between the landowner and the developer or between the EP/CLOA holders and the developer (if the land was awarded under the agrarian reform program).

I. Narrative description of the development plan describing in detail the activities,

program components, phasing, schedule, work and financial plan, all dully certified by a licensed engineer, architect, or land use planner.

J. Proof of financial and organizational capability of the developer to develop land,

including the following information:

84

J.1 Statement of project cost and availability of potential funding sources for the

development of the proposed project; J.2 Profile of the developer; J.3 Most recent financial statement, not later than the year before application,

duly authenticated by a certified public accountant; and J.4 If the developer is a corporation or partnership, a copy of its Certificate of

Registration and recent General Information Sheet for the immediate preceding year, certified by the Securities and Exchange Commission (SEC). If the land is to be used for socialized housing by the LGU under EO 124-1993, a Sanggunian Resolution appropriating funds for the project and authorizing the LGU to undertake the same shall be required: provided, further, that if the socialized housing shall be undertaken by other government agencies e.g. National Housing Authority and the like, a board resolution approving the project and appropriating funds therefore shall likewise be submitted.

K. Socio-Economic Benefit-Cost Study of the proposed project L. Photographs, of size 5R, using color film and taken on the landholding under

sunlight. The applicant shall attach the pictures to a paper background and the photographer who took said pictures shall sign on the said paper background to certify the authenticity of the pictures. On each background paper shall be written a short description of each picture. The picture shall consist of:

L..1 At least 4 photographs taken from the center of the landholding: 1 facing

north, 1 facing east, 1 facing south and 1 facing west

L.2 At least 1 photograph per corner, taken from each corner of the landholding’s borders

L.3 At least 2 photographs each for all distinct man-made structures existing on

the land taken from opposite angles L.4 At least 2 photographs of each of the front view of the required billboards.

The applicant shall set aside the second copy of said billboard photographs for submission to the MARO; and

L.5 Sufficient number of photographs of the most conspicuous landmarks from

the nearest barangay center and leading to and from the ingress and egress routes at the subject landholding, for the purpose of assisting the ocular inspection team in locating the site.

M. Affidavit / Undertaking in a single document of the applicant stating:

M.1 The number and names of farmers, agricultural lessees, share tenants, farm workers, actual tillers, and/or occupants in the landholding; if there are no such persons, a statement attesting to such fact;

M.2 That the applicant has paid or shall pay disturbance compensation to

persons mentioned in “M.1”.

85

M.3 That the applicant has erected the required number of billboards and undertakes not to remove, deface or destroy said billboards and that he shall repair or replace the same when damaged, until after the approving authority disposes of the application with finality;

M.4 That the applicant has not undertaken and shall not undertake premature

development prior to issuance of a Conversion Order;

M.6 That he authorizes DAR to forfeit his bond when he undertakes any premature development within the area before or after filing of the application for conversion; and

M .7 That he has not commenced any action or filed any claim involving the

same land in any court, tribunal or quasi-judicial agency.

N. MARO Certification O. HLURB Regional Officer Certification on the actual zoning / classification of the

land P. Department of Agriculture (DA) Certification Q. DENR Certification R. ECC, if it is within an Environmentally Critical Area or it will involve Environmental

Critical Project Sub-Annex 1, Environmental Safeguards Framework S. Special Power of Attorney (SPA) if applicant is not the registered owner T. Notarized Secretary’s Certificate of Board Resolution, if applicant is a corporation

or cooperative U. Concurrence letter of mortgagee/individual/entity, if applicable V. Government Agency Endorsement letter if involves Priority Development Area W. Land Ban Certification, if applicable X. PARO Certification, if applicable Y. Vicinity Map / Lot Plan Z. Directional Sketch Map AA. Development Plan Map BB. Topographic Map

86

Sub-Annex 4 WORLD BANK POLICIES on MANAGEMENT of CULTURAL PROPERTY and NATURAL HABITATS A. WB POLICY ON MANAGEMENT OF CULTURAL PROPERTY

(OPN 11.03, September 1986, being revised as OP 4.11)

Originally issued as an Operational Policy Note 11.03, it has undergone extensive revision.

Definition “Cultural property” includes sites having archeological (prehistoric), paleontological, historical, religious, and unique natural values. It encompasses both remains left by previous human inhabitants (for example, middens, shrines, and battlegrounds) and unique natural environmental features, such as canyons and waterfalls.

Policy Guidance

The WB policy is to assist in cultural property preservation and take actions to avoid their elimination. Specifically:

• The WB normally declines to finance projects that will significantly damage non-

replicable cultural property, and will assist only those projects that are sited or designed so as to prevent such damage.

• The WB will assist in the protection and enhancement of cultural properties

encountered in Bank-financed projects, rather than leaving that protection to chance. In some cases, the project is best relocated in order that sites and structures can be preserved, studied, and restored intact in situ. In other cases, structures can be relocated, preserved, studied, and restored on alternate sites. Often, scientific study, selective salvage, and museum preservation before destruction is all that is necessary. Most such projects should include the training and strengthening of institutions entrusted with safeguarding a nation’s cultural patrimony. Such activities should be directly included in the scope of the project, rather than being postponed for some possible future action, and the costs are to be internalized in computing overall project costs.

• Deviations from this policy may be justified only where expected project benefits

are great, and the loss of or damage to cultural property is judged by competent authorities to be unavoidable, minor, or otherwise acceptable. Specific details of the justification should be discussed in project documents.

• This policy pertains to any project in which the Bank is involved, irrespective of

whether the Bank is itself financing the part of the project that may affect cultural property.

87

B. WB POLICY ON NATURAL HABITATS (OP 4.04, June 2001)

Operational Policy 4.04 provides that the Bank does not support projects involving the significant conversion of natural habitats, unless there are no other feasible alternatives for the project and its siting, and unless comprehensive analysis demonstrates that overall benefits from the project substantially outweigh the environmental costs. If the environmental assessment indicates that a project significantly converts or degrades natural habitats, the project must include mitigation measures acceptable to the Bank.

88

Annex 6.1 TERMS of REFERENCE (TOR) for CONSTRUCTION SUPERVISION

89

Annex 7.1A PROJECT FRAMEWORK Page 1 of 2

Design Summary Indicators / Targets Means of Verification Key Assumptions GOAL:

To improve living conditions, public health standards & urban environment by providing upgraded & improved urban infrastructure & services

Contribute to improvement in national human development

Periodic evaluation reports of national government agencies

External evaluation reports

PROJECT DEVELOPMENT OBJECTIVE:

To facilitate LGU access to viable financing for implementing strategic infrastructure investment & improving local public service provision & management

Increase in proportion of infrastructure investment to total expenditure among participating LGUs by end-of-project (EOP)

Increase in no. of HHs with improved access to basic social, economic & environmental infrastructure services in participating LGUs by EOP

External evaluation reports

WB Mission reports

The national government maintains its commitment to the devolution of services to LGUs & continues to strengthen the decentralization process.

OUTPUTS:

Component 1: Strategic Investment Support to Infrastructure, Utilities Improvement and Development of LGU Finance

Participating LGUs undertake priority local investments & revenue enhancement measures

At least 50 subprojects physically complete at EOP

No. of subprojects with revenue enhancing measures at EOP

Monthly MIS reports

Road / bridge subprojects

Km of roads & lm of bridges in participating LGUs completed at EOP based on approved design specifications

Monthly MIS reports

Public market

No. of market stalls in participating LGUs completed at EOP as designed

Amount of revenue collection from market stalls in participating LGUs is as projected at EOP

Monthly MIS reports

Public terminal

No. of vehicles served daily in participating LGUs at EOP as designed

Monthly MIS reports

Sufficient no. of LGUs have the borrowing capacity to support the implementation of their respective development plans.

The credit policy framework of the national government supports LGU development efforts.

90

PROJECT FRAMEWORK (continued) Page 2 of 2 Design Summary Indicators / Targets Means of Verification Key Assumptions Slaughterhouse

No. of slaughterhouses completed in participating LGUs at EOP as designed;

Amount of revenue from slaughterhouse operations in participating LGUs at EOP as projected;

Monthly MIS reports

Drainage system

No. of drainage systems completed in participating LGUs at EOP as designed.

Monthly MIS reports

Component 2: LGU Strengthening and Capacity Building

LGUs have improved capacity in conducting pre- & implementation activities for local investments

100% of targeted participating LGUs receive training & other forms of assistance by EOP

Monthly MIS reports

Component 3: Support to Effective Subproject Implementation

Project Management Office (PMO) is established & supported by technically equipped staff before Project start & are functioning

Quarterly MIS reports

Operations Manual (OM) completed before Project start, disseminated to participating LGUs before subproject start, updated & being followed


Financial system in place & corresponding manual completed before Project start, disseminated to participating LGUs before subproject start, updated & being followed


Planning, coordinating & implementation mechanisms are established & supported by technically equipped staff

M&E system installed at & corresponding M&E manual completed by PMO before Project start, installed in participating LGUs before subproject start, & updated


91

Annex 7.1B RESULTS FRAMEWORK Page 1 of 2

PDO Outcome Indicators Use of Results Information To facilitate LGU access to viable financing for implementing strategic infrastructure investment & improving local public service provision and management

Increase in proportion of infrastructure investment to total expenditure among participating LGUs by end-of-project (EOP)

Increase in no. of HHs with improved access to basic social, economic & environmental infrastructure services in participating LGUs by EOP

Year 5: Flags SSLDIP is having a positive impact on participating LGUs.

Intermediate Results One Per Component

Results Indicators for Each Component Use of Outcome Monitoring

Component 1: Strategic Investment Support to Infrastructure, Utilities Improvement and Development of

LGU Finance Participating LGUs undertake priority local investments and revenue enhancement measures.

At least 50 subprojects physically complete at EOP

No. of subprojects with revenue enhancing measures at EOP

Year 1 to 5: Flags assumption on sufficient no. of LGUs with borrowing capacity is not correct. If correct, flags problems in implementation & triggers review of policies, systems & procedures.

Road / bridge subprojects

Km of roads & lm of bridges in participating LGUs completed at EOP based on approved design specifications

Year 1 to 5: Difference in as-built & as designed flags need for validation.

Public market

No. of market stalls in participating LGUs completed at EOP as designed

Amount of revenue collection from market stalls in participating LGUs is as projected at EOP

Year 1 to 5: Difference in as-built and as designed flags need for validation. Deviation in projected and actual revenue collection flags deficiency in feasibility study & could affect ability of borrower to repay loan.

Public terminal

No. of vehicles served daily in participating LGUs at EOP as designed

Year 1 to 5: No. that is less than design specifications signals deviations that need validation.

Slaughterhouse

No. of slaughterhouses completed in participating LGUs at EOP as designed

Amount of revenue from slaughterhouse operations in participating LGUs at EOP as projected

Year 3 & 5: Deviation from design specifications flags need for validation. Actual revenue that is lower than projection signals subproject may not be viable, which in turn could affect capacity of borrower to repay loan.

Drainage system

No. of drainage systems completed in participating LGUs at EOP as designed

Year 3 & 5: Deviation from design specifications flags need for validation to ensure that facility serves the purpose as planned.

92

RESULTS FRAMEWORK (continued) Page 2 of 2 Intermediate Results One Per Component

Results Indicators for Each Component Use of Outcome Monitoring

Component 2: LGU Strengthening and Capacity Building LGUs have improved capacity in conducting pre- & implementation activities for local investments

100% of targeted participating LGUs receive training & other forms of assistance by EOP

Year 1 to 4: Flags ability of PMO to cope with demand for training activities. Otherwise, may require such measures as beefing up of personnel or engaging services of training providers.

Component 3: Support to Effective Subproject Implementation

Project Management Office (PMO) is established & supported by technically equipped staff before Project start and are functioning

Operations Manual (OM) completed before Project start, disseminated to participating LGUs before subproject start, updated & being followed

Financial system in place & corresponding manual completed before Project start, disseminated to participating LGUs before sub-project start, updated & being followed

Planning, coordinating & implementation mechanisms are established & supported by technically equipped staff

M&E system installed at, & corresponding M&E manual completed by, PMO before Project start, installed in participating LGUs before subproject start, & updated

Year 1 to 5: Flags readiness of key stakeholders to implement SSLDIP. Implementation issues that may arise as a result of unclear policies, systems or procedures flag the need to revisit & to refine the OM.

93

Annex 7.4 TERMS of REFERENCE (TOR) for MID-TERM REVIEW I. Background

The Support for Strategic Local Development and Investment Project (SSLDIP) is a five-year project that is being implemented by the Land Bank of the Philippines (LBP) with funding support from the World Bank (WB). The loan became effective on (month/year), while Project implementation started in (month/year). As of (month/year), Project has released a total of (amount) in sub-loans to LGUs and private sector entities, or a total of xx percent of the total loan facility. The Project has programmed the conduct of a Mid-Term Review within the third year from Project start to assess the progress of implementation. This Terms of Reference describes the context, objectives and scope of work for, and provides other information relevant to the Review.

II. SSLDIP in Brief

The goal of the SSLDIP is to improve the living conditions, public health standards and the urban environment by providing upgraded and improved urban infrastructure and services. The Project’s development objective is to improve local public service provision and management by facilitating local government units’ (LGU) access to viable financing to implement strategic infrastructure investments. Three components comprise the Project. The first component --- Strategic Investment Support to Infrastructure, Utilities Improvement and Development of LGU Finance --- is the biggest among the three, constituting about 90% of the loan facility. It supports the LGUs and private sector groups’ funding requirements in the procurement of goods and services for the new construction of, and in the upgrading and rehabilitation works for, priority subprojects in ten sectors, namely: (a) water supply and distribution; (b) power production and distribution; (c) solid waste management facilities; (d) waste water treatment; (e) housing; (f) new site development for commercial purposes; (g) roads and bridge; (h) drainage and flood control; (i) schools and health clinics; and (j) improvement of municipal enterprise and infrastructure facilities such as public markets, slaughterhouses, bus terminals and other related income-generating subprojects. The component supports the LGUs in the procurement of goods and services relative to the formulation and implementation of strategic plans to increase revenues and income such as improved real property and business tax mapping operations, codification, updating of records and automation in tax assessment, billing and collection, and other related revenue enhancement measures.

The second component --- Strengthening and Capacity Building --- is supported by a combination of a loan and a grant from the World Bank and the LBP. It is available, based on need, to LGUs with SSLDIP sub-loans to cover hands-on training on: (a) preparation of Terms of Reference for the preparation of detailed engineering design; (b) procurement; (c) supervision and management including monitoring of outcomes during construction; and (d) improving management and operation of municipal enterprises and services. The PMO, with support from external consultants, implement this component. The last component --- Support to Effective Subproject Implementation --- aims to support the LBP in screening and evaluating subprojects, and in providing technical guidance and assistance to the LGUs and private sector groups in subproject identification and packaging. The Project is open and available to all eligible applicants comprising LGUs (municipalities, cities and provinces) nationwide, infrastructure utility companies / institutions owned by or

94

associated with LGUs, and private sector entities undertaking infrastructure and public service provisions in partnership with LGUs following the BOT Law and other relevant government regulations.

As of (month/year), a total of x subprojects with a total cost of (Php xxx) had been approved, xx% of the total allocation had been approved and xx% had been released. These accomplishments (table below) provide the empirical basis for the mid-term review.

Amount Allocated

Amount Approved

% of Approved to Allocation

Amount Released Component /

Sub-Component (Php) (Php) (%) (Php) Component 1 1. Water supply and distribution 2. Power production and

distribution

3. Solid waste management 4. Waste water treatment 5. Housing 6. New site development for

commercial purposes

7. Roads and bridges 8. Drainage & flood control 9. Schools & health clinics 10. Improvement of municipal

enterprises & infrastructure

Component 2 Component 3 TOTAL Note: To be accomplished by PMO.

III. Objectives The Mid-Term Review will cover measures of efficiency, effectiveness, relevance, appropriateness and sustainability. It will be guided by the indicators and target values in the logical framework, which is attached to this TOR as Annex 1. Specifically, it aims to: • determine whether the Project’s development objective is achievable; • examine whether the policies, strategies, approaches, systems and procedures adopted

by the Project are still applicable; • determine the emerging contributions of Project’s components towards achieving the

expected results; • establish whether subprojects are within the LGUs’ priorities as defined in their

respective development plans; • verify the workability of implementation arrangements; and • determine the likelihood of sustaining the emerging benefits and operation of the

infrastructure established.

IV. Methodology and Scope of Work Building on the baseline data, other Project-generated data and secondary data, the review will adopt the case study approach. There will be 10 case studies, at the least, each representing a sub-sector under Component 1. The Case Study Team will ensure that in

95

one-half of the subprojects selected, the concerned LGU is also a Component 2 participant. In the event that no LGU is a Component 2 participant among the selected subprojects, three additional LGUs will be selected to represent Component 2. In all cases, the Case Study Team will propose to the PMO a method to select the case study sites/LGUs. The Team will consider the geographical clustering of subprojects (Luzon, Visayas, Mindanao). The final list of case study sites will be subject to approval by the PMO Data will be collected at the Project level and subproject level through focus group discussions and key informant interviews. Participants will include organized and unorganized subproject beneficiaries, LGU PIU, SSLDIP management (PMO and LBP Lending Centers). The Team will develop the guide questions, which will be presented to the PMO for approval prior to finalization. V. Case Study Team

In keeping with the principle of objectivity and transparency, the case studies will be undertaken by an external team of consultants to be hired by the PMO individually or through a firm following government and WB procedures on procurement of services. The Case Study Team with the following expertise will provide a total of 10 person-months of services: Team Leader Evaluation Specialist

Team Members Governance Specialist Infrastructure Specialist Economist

VI. Expected Outputs and Schedule

The case studies ought to be completed in time for Mid-Term Review of the WB. The final outputs will include: (a) an integration report of individual case studies; and (b) individual case study reports, following the format that will be agreed upon between the Case Study Team and the PMO. These outputs will be completed within a period of 3 months following the schedule below:

Activity Output Duration Review of literature, analytical framework, assessment of available data, selection of case study subprojects / LGUs

Detailed case study proposal to be approved / accepted by PMO

2 weeks

Data gathering & field work

Report on field work to be approved / accepted by PMO

4 weeks

Preparation of draft case study reports including integration report

Draft reports to be approved / accepted by PMO

3 weeks

Review of reports by PMO

(1 week)

Presentation of report to PMO & concerned LBP Lending Centers

Presentation materials & handouts

1 day

Preparation & submission of final reports

Final reports in six copies, one electronic copy, completed questionnaires to be approved / accepted by PMO

2 weeks

96

VII. Administrative Arrangements The PMO will coordinate the conduct of the evaluation activity. In case of individually hired consultants, the PMO will provide office space for the Case Study Team. All schedules of meetings, field visits, presentations and other activities will be coordinated with and approved by the PMO. Concerned LBP Lending Centers will provide support to the Case Study Team in terms of contacts with LGUs and beneficiary-groups and individuals. All deliverables will be subject to approval and acceptance by the PMO before any payment is made.

97

Annex 7.5.2A REGULAR PMO REPORT FORMS

SUPPORT FOR STRATEGIC LOCAL DEVELOPMENT AND INVESTMENT PROJECT

LIST OF ON-GOING SUBPROJECTS BY COMPONENT: mm/dd/yy Physical Target Date (mm/yy)

Component / Subcomponent Province / Municipality Location Subproject No. Unit No. of

Units

Project Cost (Php) Started Expected

Completion Implementation Issues / Problems

Component 1

Water supply & distribution

Power production / distribution

Solid waste management

Wastewater treatment

Housing

New site development

Roads and bridges

Drainage & flood control

Schools & health clinics

Municipal enterprises

Revenue enhancement

Component 2

TOR for DED

Procurement

Supervision & management

Component 3

Note: To be generated monthly based on reports from provincial LBP branches. Prepared by: Certified Correct:

98

SUPPORT FOR STRATEGIC LOCAL DEVELOPMENT AND INVESTMENT PROJECT

LIST OF COMPLETED SUBPROJECTS BY COMPONENT: mm/dd/yy Physical Target & Accomplishment Date (mm/yy) Component / Subcomponent Province / Municipality

Location Subproject No. Unit Target Accomplished Project Cost

(Php) Started Completed Component 1

Water supply & distribution

Power production / distribution

Solid waste management

Waste water treatment

Housing

New site development

Roads and bridges

Drainage & flood control

Schools & health clinics

Municipal enterprises

Revenue enhancement

Component 2

TOR for DED

Procurement

Supervision & management

Component 3

Note: To be generated monthly based on reports from provincial LBP branches. Prepared by: Certified Correct:

99

Annex 7.5.2B LBP REPORTING FORMS

SUPPORT FOR STRATEGIC LOCAL DEVELOPMENT AND INVESTMENT PROJECT LOAN SCHEDULE

As of __________________

Principal Interest Commitment Fee Name of Borrower PIN No. Trans Date Due Date Releases Repayments O/S

Balance Rate Accrual Collection Rate Accrual Collection

Total

Total

Total

100

SUPPORT FOR STRATEGIC LOCAL DEVELOPMENT AND INVESTMENT PROJECT STATUS OF SUB-LOAN RELEASES FOR CIVIL WORKS

xx% LGU Counterpart Fund Xx% SSLDIP Fund % Accomplishment Gross Amount

Billed Retention Net Amt Release Retention Net Amt Release Name of LGU

Project Component

Contract Amount

Date of Billing Sub.

Payment Date

Date Reim-bursed This

Period Cum This Period Cum This

Period Cum This Period Cum This

Period Cum This Period Cum

Contract Balance

101

SUPPORT FOR STRATEGIC LOCAL DEVELOPMENT AND INVESTMENT PROJECT ACTUAL DRAWDOWN OF ONGOING SUB-PROJECTS AS OF ____________________

As Approved Drawdown

Name of LGU Amount FOREX Amount % of Approved

Status / Remarks

102

Agrarian and Domestic Banking Sector BORROWINGS

For CY _______ Budget (Php Million)

Borrowings Principal Payments Balance (Year) End of: Interest Expense Particulars O/S As of

_________ Qtr 1 Qtr 2 Qtr 3 Qtr 4 Total Qtr 1 Qtr 2 Qtr 3 Qtr 4 Total Qtr 1 Qtr 2 Qtr 3 Qtr 4 Total Qtr 1 Qtr 2 Qtr 3 Qtr 4 Total Rate

Domestic

Sub-Total

Foreign

Sub-Total

TOTAL

Prepared by: ________________________ Checked by: ________________________ Designation: ________________________ Designation: ________________________ Date: ________________________ Date: ________________________

103

Annex 7.5.2C NEDA REPORTING FORMS SSLDIP MIS RF NEDA RPMES Form 1-1

Initial Project Report

Physical and Financial Targets for Capital Investment Programs/Projects

Implementer: Land Bank of the Philippines CY 2006 PHYSICAL/FINANCIAL TARGETS

ITEM

TOTAL PROJECT TARGET Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Total

Project name:

Support for Strategic Local Development and Investment and Project

Amount (PM):

Project location/s:

Region name Province name Municipality / City name

Physical Outputs:

Sector/Sub-Sector:

Funding Source: Force Account / Pakyaw / Name of Contractor:

Project schedule: Actual start Expected completion

Prepared by: ________________________ ____________________________________ Designation: ________________________ Agency Head Date: ________________________

104

SSLDIP MIS RF NEDA RPMES Form 1-2

Physical and Financial Accomplishment Report for Capital Investment Programs/Projects

As of __________

Name of Project: Support for Strategic Local Development and Investment Project Implementor: Land Bank of the Philippines Date Started: Target Completion Date:

Financial Status (P’000) Expenditure Physical Status

Location a) Program

b) AA Issued CY_____

a) Program b) AA Issued To

Date

Unpaid Obligations

To Date

Disbursement To Date

Output Indicator

Target To

Date

Actual This

Month

Actual To

Date

Employment

Generated To Date

Remarks

1. Implementation problems / issues

2. Recommendations

Prepared by: ________________________ ____________________________________ Designation: ________________________ Agency Head Date: ________________________

105

SSLDIP MIS RF NEDA RPMES Form 1-3

Project Exception Report

Name of Project: Support for Strategic Local Development and Investment Project Location: Sector/Sub-sector: Implementing Agency: Implementation Status: Ahead Behind schedule On schedule

Findings Possible Reasons/Causes Recommendations

Prepared by: ________________________ Designation: ________________________ Agency Head Date: ________________________

106

SSLDIP MIS RF NEDA ODA Review Form 1

ODA PORTFOLIO REVIEW Project Fact Sheet

1st Quarter 3rd Quarter 2nd Quarter 4th Quarter

LOAN / GRANT DATA Project Title: Support for Strategic Local Investment Development Program Donor/Fund Source: World Bank Loan No.: Loan Amount (original currency): Sector-Sub-sector: Implementing Agency/ies: Land Bank of the Philippines Region/s: Province/s: Beneficiaries:

Signing Date: Effectivity Date: Closing Date:

Original Revised (1) Revised (2)

Interest Rate: Commitment Charges: Maturity Date: Amount Cancelled: Date Cancelled:

Description: PROJECT COMPONENTS

Target at End of Project Components/ Output Indicators Original Revised

PROJECT COST

ICC-Approved Cost Per Loan/Grant Agreement Cost Revised Cost Total (Peso M) Total (Peso M) Total (Peso M) FOREX ($M) Loan Proceeds ($M) Loan Proceeds ($M) Local (Peso M) GOP Counterpart (Peso M) GOP Counterpart (Peso M) Conversion Rate Conversion Rate Conversion Rate IMPLEMENTATION SCHEDULE Project Start Date Physical Completion Date

Original Revised

Overall Assessment

107


ODA PORTFOLIO REVIEW Project Performance Sheet

Financial Performance

Agency: Land Bank of the Philippines Year: ____ End 1st Quarter ____ End 3rd Quarter Project Title: Support for Strategic Local Development and Investment Project ____ End 2nd Quarter ____ End 4th Quarter

CUMULATIVE Allotment (PhP M) Obligations Incurred Cash Allocation Total Expenditures Project Title/

Fund Category As of End Previous

Year

For This

Year

Total

As of End Previous

Year

For This

Year

Total

As of End Previous

Year

For This

Year

Total

As of End Previous

Year

For This

Year

Total Project 1:

Total project cost Loan proceeds Local counterpart fund

Project 2: Total project cost Loan proceeds Local counterpart fund

Project 3: Total project cost Loan proceeds Local counterpart fund

Submitted / Certified by:

108



Physical Performance


Cumulative Accomplishment Target Outputs Actual Outputs % Accomplishment

Components

Output Indicators As of End Previous

Year

For This

Year

Total

As of End Previous

Year

For This

Year

Total

As of End Previous

Year

For This

Year

Total Component 1:

Component 2:

Component 3:

Component 4:

Overall

Slippage (%): Reason/s:

Narrative Assessment Positive Results

Submitted/Certified by:

109



Budget Forecast Physical Targets

End 1st Quarter

End 3rd Quarter

End 2nd Quarter

End 4th Quarter

Total Cost (PhP M)

Multi-Year Annual Requirement Forecast (PhP M)

Annual Physical Targets (%)

Fund Category Original Revised

Cumulative Appropriation Cover as of End 2006 (PhP M)

Unobligated Appropriation Cover as of End 2006 (PhP M)

2006

Allotment Releases (PhP M)

2006 2007 2008 2009 2010 Future Years

As of

End 2006

2006 2007 2008 2009 Future Years

Total project cost

Loan proceeds

Grant proceeds

Local counterpart fund


Agency: Land Bank of the Philippines Project Title: Support for Strategic Local Development and Investment Project

110


ODA PORTFOLIO REVIEW

Project Cost Tracking Form

End 1st Quarter

End 3rd Quarter

End 2nd Quarter

End 4th Quarter

Project Cost Per Loan Agreement (PhP M) Revised (PM)

Component Loan Proceeds

Local Counterpart

Fund

Total Project Cost

Loan ProceedsLocal

Counterpart Fund

Total Project Cost

Remarks / Reasons

for Cost Increase /

Decrease Component 1:

Component 2:

Component 3:

TOTAL


Agency: Land Bank of the Philippines Project Title: Support for Strategic Local Development and Investment Project

111



Area Project Performance Sheet


Location (Regions and Provinces) Cost (PM) Scope / Total Physical Output


112



Problem Analysis

Agency: Land Bank of the Philippines Year: ____ End 1st Quarter ____ End 3rd Quarter Project Title: Support for Strategic Local Development and Investment Project ____ End 3rd Quarter ____ End 4th Quarter

Outstanding Problems Remarks / Assessment Action Taken / Being Taken Recommendations


113



Logical Framework Agency: Land Bank of the Philippines Year: _____ End 1st Quarter _____ End 3rd Quarter Project Title: Support for Strategic Local Development and Investment Project End 2nd Quarter _____ End 4th Quarter

Narrative Summary Objectively Verifiable Indicators Means of Verification Assumptions / Risks Development Goal:

Purpose:

Components / Outputs:

Activities / Inputs:

Narrative assessment on the likelihood of achieving project objectives: Submitted/Certified by:

114

Annex 7.5.2D COA REPORTING FORMS

PROJECTS FUNDED BY OFFICIAL DEVELOPMENT ASSISTANCE LOANS

Name of Project: Support for Strategic Multi-funded 1. 1. Local Development and Investment Project Single-funded 2. 2.

3. 3. 4. 4.

Implementing Agency/Address:

5. 5.

PROJECT PROFILE BACKGROUND/DESCRIPTION OF THE PROJECT: OBJECTIVES: EXPECTED OUTPUTS:

IMPLEMENTATION PERIOD - Original (As Planned): Revised:

LOCATION:

115

SCHEDULE 1: PROJECT COST* ORIGINAL REVISED/PROGRAMMED

ITEM Original Currency US$ PESOS*** Original

Currency US$ PESOS*** REMARKS

FOREIGN COST** Sub-Total

LOCAL COST** Sub-Total

LOAN** Sub-Total

GRANT** Sub-Total

GOP Counterpart** Sub-Total

TOTAL * All amounts should be exact figures. ** Specify components/activities and %. *** Indicate conversion rate.

116

SCHEDULE 2: SOURCES OF FINANCING* ORIGINAL REVISED / PROGRAMMED

ITEM Original Currency US$ PESOS** Original

Currency US$ PESOS** JUSTIFICATION/

REMARKS

FOREIGN COST Loan (Specify LAN) Grant (Specify LAN) Sub-Total

GOP Counterpart Loan (Specify LAN) Grant (Specify LAN)

Sub-Total

TOTAL * All amounts should be exact figures. ** Indicate conversion rate.

117

SCHEDULE 3: PROJECT IMPLEMENTATION SCHEDULE FINANCIAL TARGETS

ITEM YEAR 1* YEAR 2* YEAR 3* YEAR 4* YEAR 5* YEAR 6* YEAR 7* TOTAL LOAN

Original Currency US$ Pesos**

GOP COUNTERPART FUND Pesos

GRANT Original Currency US$ Pesos**


TOTAL (In US$) PHYSICAL TARGETS***

COMPONENT YEAR 1* YEAR 2* YEAR 3* YEAR 4* YEAR 5* YEAR 6* YEAR 7*

* Indicate year and conversion rate. ** Indicate conversion rate. *** Attach Project Implementation Schedule.

118

SCHEDULE 4: LOAN AND GRANT PROFILE

PART A. LOAN PROFILE Loan Account No.

Loan Agreement Date:

Amount of Loan: Original Currency: US$ Equivalent:

Purpose of Loan:

NG Debtor: GOCC Creditor:

NG-Direct Multilateral NG-Relent Creditor Type: Bilateral Debtor Type: GOCC-Direct

OCR Loan Effectivity Date: Source of Funds: SF

Closing Date: Retroactive Financing:

Original Period covered Revised Amount

Financing Charges:

Interest rate Service charge

Repayment Period:

Commitment charge

Others: FXRC Guarantee fee

Grace Period:

Loan Components: In Original Currency In US$

Civil works TA/Consulting services Equipment/Goods Unallocated/Contingencies Others:

TOTAL

Cash Non-Cash Type of Loan: Others (Specify)

Direct payment Reimbursement Imprest/Working fund Special commitment Mode of Availment: Statement of expenditure Others (Specify)

119

PART B. GRANT PROFILE

Grant Account No. Grantor:

Grant Agreement: Exchange of Notes Date:

Beneficiary/Recipient:

Amount of Grant

Original Currency: US$ Equivalent:

Purpose of Grant:

Closing Date: Terms and Conditions:

Type of Grant: Cash Commodity Grant Components: In Original Currency In US$

Civil works TA/Consulting Services Equipment/Goods Supplies Training Others TOTAL

120

SCHEDULE 5. STATUS OF IMPLEMENTATION

STATUS OF PROJECT AS OF ________________________ ITEM YEAR 1* YEAR 2* YEAR 3* YEAR 4* YEAR 5* YEAR 6* YEAR 7* TOTAL

5a. Financial LOAN

Original Currency US$ Pesos**


GRANT Original Currency US$ Pesos**

GRANT COUNTERPART FUND Pesos

TOTAL 5a. Physical

* Indicate specific year. ** Indicate conversion rate.

121

SCHEDULE 6A. LOAN BALANCES

STATUS OF LOAN AS OF __________________

ITEM ORIGINAL CURRENCY* US$ PESOS**

Loan commitment

Cancellation

Net loan commitment

Cumulative availments

Undrawn balance

Cumulative repayments

Outstanding balance

* Specify original currency. ** Indicate conversion rate. SCHEDULE 6B. GRANT BALANCES

STATUS OF GRANT AS OF __________________

ITEM ORIGINAL CURRENCY* US$ PESOS**

Grant amount

Cumulative availments

Unavailed balance

* Specify original currency. ** Indicate conversion rate.

122

CURRENT YEAR TRANSACTIONS AS OF ____________

SCHEDULE 7: OUTSTANDING BALANCE ORIGINAL CURRENCY EXCHANGE RATE US$ EXCHANGE RATE US$

Beginning balance per audit Availments

Total Repayments Outstanding balance Foreign exchange differential Outstanding balance after revaluation Outstanding balance per books Difference

SCHEDULE 8: DEBT SERVICE ORIGINAL CURRENCY EXCHANGE RATE US$ EXCHANGE RATE US$

Principal Interest/Commitment fee Service charge Other charges (Specify)

123

SCHEDULE 9: TARGET COMPLETION VS ACTUAL COMPLETION

MAJOR COMPONENTS/ ACTIVITIES

EXPECTED/TARGET COMPLETION DATE

ACTUAL COMPLETION DATE DIFFERENCE TIME

ELAPSED REMARKS

A. SERVICES B. WORKS

No. of months from start (effectivity date per loan agreement) to report date Elapsed time = No. of months from start (effectivity date per loan agreement) to expected completion date X 100

124

SCHEDULE 10: PROJECTED COST VS ACTUAL COST

PROPOSED REVISED PROJECT COST

MAJOR COMPONENTS/ACTIVITIES

ICC-APPROVED COST ACTUAL PROJECT COST DIFFERENCE

REMARKS

SCHEDULE 11: PLANS VS ACTUAL ACCOMPLISHMENTS

PLANS ACCOMPLISHMENT ACTUAL ACCOMPLISHMENT ACCOMPLISHMENT DEVIATION JUSTIFICATION REMARKS

A. Objectives

B. Expected Outputs

125

SCHEDULE 12: AVAILMENTS/DRAWDOWNS: SCHEDULE VS ACTUAL* AVAILMENTS / DRAWDOWNS YEAR SCHEDULED ACTUAL DIFFERENCE

AVAILMENT RATE REMARKS

* For ongoing projects only Actual Availment / Drawdown Availment / Drawdown Rate = Scheduled Availment / Drawdown X 100

SCHEDULE 13: COMPARISON AMONG FOA, GAA, GARO/SARO, STATEMENT OF ALLOTMENT, EXPENDITURES AND BALANCES (SAEB)/FAP FINANCIAL REPORT OF OPERATIONS AND NCA/NCAA*

YEAR FOA APPROPRIA-TION

DIFFERENCE (1-2)

ALLOTMENT (GARO/SARO)

DIFFERENCE (2-4)

OBLIGA-TIONS

DIFFERENCE (4-6)

DISBURSE-MENT

(NCA/NCAA)

DIFFERENCE (6-8) REMARKS

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) LOAN PROCEEDS

GOP COUNTERPART FUNDS

* For GOCCs, prepare equivalent schedule and compute utilization rate, as follows: Obligations Utilization Rate = Allotment X 100

126

SCHEDULE 14: INTEREST AND COMMITMENT FEES AND ACTUAL PAID DATE ORIGINAL CURRENCY US$ PESOS

TOTAL

127

SCHEDULE 15: COMPLIANCE TO PROVISIONS OF LOAN/GRANT AGREEMENT/SUB-LOAN AGREEMENT/EXCHANGE OF NOTES/SAR OR PAD/RRP/MOD AND APPLICABLE RULES AND REGULATIONS

AGREEMENT, ETC PROVISIONS COMPLIED NOT COMPLIED REMARKS Loan Agreement

Sub-loan Agreement

Grant Agreement

Exchange of Notes

PAD

Others (Specify)

128

Annex 7.5.2E WB REPORTING FORM SSLDIP MIS RF World Bank Project Status Report

PROJECT STATUS REPORT

Agency: Land Bank of the Philippines Period Covered: Month/Year Project Title: Support for Strategic Local Development and Investment Project

Measurement Baseline This Quarter Start to This Quarter End-of-Project Target Indicator

Value Date Value Date Value Date Value Date PDO Indicator/s: Intermediate Outcome Indicator/s: Output Indicator/s:

Component 1 Indicator Indicator




Highlights of Accomplishments: Implementation Issues/Problems:

INTEGRATED ENVIRONMENTAL AND SOCIAL SAFEGUARDS …documents.worldbank.org/curated/en/... · of the...

Documents

Transcript of INTEGRATED ENVIRONMENTAL AND SOCIAL SAFEGUARDS …documents.worldbank.org/curated/en/... · of the...