LAND BANK OF THE PHILIPPINES - Maynilad Water ServicesOctober 5, 2010 at the Air Quality Training...
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LAND BANK OF THE PHILIPPINES INTEGRATED ENVIRONMENTAL AND SOCIAL SAFEGUARDS MANAGEMENT FRAMEWORK (IESSMF) METRO MANILA WASTEWATER MANAGEMENT PROJECT (MWMP) FEBURARY 3, 2011
Transcript of LAND BANK OF THE PHILIPPINES - Maynilad Water ServicesOctober 5, 2010 at the Air Quality Training...
LAND BANK OF THE PHILIPPINES
INTEGRATED ENVIRONMENTAL AND SOCIAL SAFEGUARDS
MANAGEMENT FRAMEWORK (IESSMF)
METRO MANILA WASTEWATER MANAGEMENT PROJECT (MWMP)
FEBURARY 3, 2011
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Table of Contents
SECTION 1: PROJECT DESCRIPTION ............................................................................................ 1
1.0 INTRODUCTION .......................................................................................... 1
1.1. Objectives of the Integrated Environmental and Social Safeguards Management
Framework ...................................................................................................... 2
2.0 PROJECT OVERVIEW ................................................................................. 4
2.1. Project Components ........................................................................................ 4
3.0 SUB-PROJECT SELECTION ........................................................................ 5
3.1. Environmental safeguards criteria for sub-project selection .......................... 5
3.2. Timing of Environmental Assessment (EA) in Sub-loan Preparation ............ 6
4.0 POLICY FRAMEWORK ON ENVIRONMENTAL AND SOCIAL
SAFEGUARDS .............................................................................................. 6
4.1. Philippine laws and regulations ...................................................................... 6
4.2. World Bank Safeguards Policies .................................................................... 7
5.0 ALIGNING SUB-PROJECT PROCESSING REQUIREMENTS WITH
ENVIRONMENTAL AND SOCIAL SAFEGUARDS ASPECTS ............... 8
5.1. Step 1: Identification of Sub-projects According to the Selection Criteria .... 8
5.2. Step 2: Screening for Potential Environmental and Social Safeguard
Impacts and Determination of Safeguard Instruments for Each Sub-project . 8
5.2.1. Environmental Safeguards Screening ............................................................. 9
5.2.2. Determination of Environmental Safeguards Documents for sub-projects .. 10
5.2.3. Social Safeguards Screening ......................................................................... 10
5.2.4. Social Safeguards Documents....................................................................... 10
5.3. Step 3: Development of Safeguards Documents Including Consultation
and Disclosure ............................................................................................... 11
5.3.1. Information Disclosure and Consultation ..................................................... 13
5.3.1.1. Borrower and Sub-Borrowers‘ Public Disclosure of Documentation .......... 13
5.3.1.2. WB Policy on Disclosure of the EA Reports ................................................ 13
5.3.2. Grievance redress .......................................................................................... 14
5.3.3. Rapid response to Disasters and other Crises ............................................... 14
5.4. Step 4: Review and clearance of the safeguards documents ......................... 15
5.4.1. Review by the Borrower ............................................................................... 15
5.4.2. World Bank review ....................................................................................... 15
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5.5. Step 5: Implementation of Agreed Actions and Supervision,
Monitoring and Evaluation ........................................................................... 16
5.5.1. Implementation ............................................................................................. 16
5.5.2. Supervision ................................................................................................... 16
5.5.3. Monitoring and Evaluation ........................................................................... 16
5.5.3.1. DENR Procedures ......................................................................................... 17
5.5.3.2. Sub-Project‘s monitoring and audit .............................................................. 17
SECTION 2: ENVIRONMENTAL SAFEGUARDS ......................................................................... 19
The Environmental Safeguard Framework (ESF) ............................................................. 19
6.0 ENVIRONMENTAL MANAGEMENT PLAN (EMP) ............................... 19
6.1. Environmental Mitigation Plan ..................................................................... 19
6.2. Environmental Monitoring Plan ................................................................... 20
7.0 INSTITUTIONAL ARRANGEMENTS ...................................................... 20
7.1. Land Bank of the Philippines ........................................................................ 22
7.2. Manila Water Company, Inc. ........................................................................ 22
7.3. Maynilad Water Systems Inc. ....................................................................... 23
8.0 CAPACITY BUILDING AND TRAINING REQUIREMENTS ................ 24
9.0 INDICATIVE ESMF BUDGET ................................................................... 24
9.1. LBP of the Philippines .................................................................................. 24
9.2. Manila Water Company, Inc. ........................................................................ 24
9.3. Maynilad Water Systems, Inc. ...................................................................... 24
SECTION 3: SOCIAL SAFEGUARDS.............................................................................................. 25
The Resettlement Policy Framework (RPF) ..................................................................... 25
10.0 RATIONALE FOR THE RESETTLEMENT POLICY FRAMEWORK .... 25
11.0 RPF OBJECTIVES ....................................................................................... 25
11.1. Overriding Development Objectives ............................................................ 26
12.0 DEFINITION OF TERMS ........................................................................... 26
13.0 INSTITUTIONAL AND LEGAL FRAMEWORK ..................................... 30
13.1. Institutional Framework ................................................................................ 30
13.1.1. LBP of the Philippines (LBP) ....................................................................... 30
13.1.2. Sub-project Proponent .................................................................................. 30
13.1.3. Local Government Units (LGUs) ................................................................. 31
13.1.4. External Monitoring Agency (EMA) ............................................................ 31
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13.1.5. Affected Communities .................................................................................. 32
13.1.6. Resettlement Implementation Committee (RIC) .......................................... 32
13.1.7. Valuation Committee (VC) ........................................................................... 32
13.1.8. Complaints and Grievance Committee (CGC) ............................................. 32
13.2. Legal Framework .......................................................................................... 33
13.2.1. Government of the Philippines (GOP) Regulations...................................... 33
13.2.2. World Bank Policies ..................................................................................... 33
13.2.3. GOP and WB Policies, and Framework for MWMP .................................... 34
14.0 OPERATIONAL GUIDELINES .................................................................. 34
14.1. Screening....................................................................................................... 34
14.2. Review of Resettlement Plans ...................................................................... 34
14.3. Mitigation and Compensation ....................................................................... 36
14.4. Modes of Acquiring Private Assets .............................................................. 38
15.0 APPLICATION OF THE PARTICIPATORY PROCESS........................... 40
15.1. Prefeasibility ................................................................................................. 41
15.1.1. Preliminary Meeting with LGU .................................................................... 41
15.1.2. General Orientation of the Community ........................................................ 42
15.1.3. Social Assessment ......................................................................................... 42
15.2. Feasibility ...................................................................................................... 42
15.2.1. Preparation of Draft Resettlement Plan ........................................................ 42
15.2.2. Presentation of Draft RP ............................................................................... 43
15.2.3. Community Consultation .............................................................................. 43
15.3. Finalization of the Resettlement Plan ........................................................... 43
15.4. Project Implementation ................................................................................. 43
15.5. Monitoring .................................................................................................... 43
15.6. Post Project Implementation ......................................................................... 44
15.6.1. Evaluation of the RP Implementation ........................................................... 44
16.0 DISCLOSURE AND PUBLIC CONSULTATION ..................................... 44
16.1. Key Principles ............................................................................................... 44
16.2. Target Population .......................................................................................... 45
16.3. Timing ........................................................................................................... 45
16.4. Information Documentation .......................................................................... 45
17.0 GRIEVANCE PROCEDURES .................................................................... 46
18.0 RAPID RESPONSE TO CRISES AND EMERGENCIES .......................... 46
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19.0 CAPACITY BUILDING AND TRAINING REQUIREMENTS ................ 47
20.0 COSTS AND BUDGETS ............................................................................. 47
ANNEXES
ANNEX 1: ENVIRONMENTAL ISSUES ........................................................................................... A1
Annex 1A: WB Operational Policy and Bank Procedures on Environmental
Assessment ................................................................................................................. A1
Annex 1B: Template for an Environmental Management Plan Checklist ....................... A3
ANNEX 2: SOCIAL ISSUES ............................................................................................................... A9
Annex 2A: Cultural Property and Protection Measures .................................................. A9
Annex 2B: Safeguards Procedures for Inclusion in the Technical Specifications of Contracts
.................................................................................................................................. A11
Annex 2C: GOP Laws and Orders on Land Acquisition .................................................. A16
Annex 2D: Elements of a Resettlement Action Plan ..................................................... A19
Annex 2E: Elements of an Abbreviated Resettlement Action Plan ............................... A24
Annex 2F: Required Social Safeguards Document per Category ................................... A25
Annex 2G: Criteria for Review of Social Aspects ........................................................... A26
Annex 2H: Compensation Table .................................................................................... A27
Annex 2I: Terms of Reference – External monitoring Agency ....................................... A34
Annex 2J: Terms of Reference – Independent Appraiser .............................................. A37
Annex 2K: Grievance and Commitment Registry .......................................................... A38
Annex 2L: Where to File/Raise Complaints and Grievances (Contact Persons) ........... A39
ANNEX 3: Summary of Public Consultation Proceedings on the MWMP
IESSMF ................................................................................................................................. A40
LIST OF TABLES
Table 1.0 Financing Plan ..........................................................................................5
Table 2.0 EA Requirements for Sanitation and Sewerage Projects ........................12
Table 3.0 Environmental Mitigation Measures and their Coverage .......................19
Table 4.0 Institutional Responsibilities in Environmental Safeguards ...................21
Table 5: Checklist of Project-Affected Persons and Assets .........................................37
LIST OF FIGURES
Figure 1: Metro Manila Wastewater Management Project IESSMF .............................3
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ACRONYMS
BP (World) Bank Procedures
CNC Certificate of Non-coverage
DAO DENR Administrative Order
DENR Department of Environment & Natural Resources
DPD Detailed Project Description
EA Environmental Assessment
ECC Environmental Compliance Certificate
ECR Environmental Compliance Report
EDD Environmental Due Diligence
EIA Environmental Impact Assessment
EIS Environmental Impact Statement
EMA External Monitoring Agency
EMB Environmental Management Bureau
EMM Environmental Mitigation Measures
EMoP Environmental Monitoring Plan
EMP Environmental Management Plan
EMR Environmental Management Report
EPMAR Environmental Performance Monitoring and Audit Report
EPMD Environmental Program and Management Department
ESMF Environmental Safeguards Management Framework
FI Financial Intermediary
FS Feasibility Study
ICC Indigenous Cultural Communities
IEE Initial Environmental Examination
ISO International Standards Organization
IESSMF Integrated Environmental and Social Safeguards
Management Framework
LBP Land Bank of the Philippines
LGU Local Government Unit
LLDA Laguna Lake Development Authority
LU Lending Units
MWMP Metro Manila Wastewater Management Project
MWCI Manila Water Company, Inc.
MWSI Maynilad Water Services, Inc.
MWSS Metropolitan Waterworks and Sewerage System
NOL No Objection Letter
OP Operational Policy
PCO Pollution Control Officer
PD Presidential Decree
PENRO Provincial Environment & Natural Resource Office
PIU Project Implementation Unit
PMO Project Management Office
RP Resettlement Plan
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RAP Resettlement Action Plan
RIC Resettlement Implementation Committee
ROW Right of Way
SA Social Assessment
SLA Subsidiary Loan Agreement - World Bank
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SECTION 1: PROJECT DESCRIPTION
1.0 INTRODUCTION
1. The Philippines has been maintaining strong economic growth due to activities in
urban areas, especially around Metro Manila. As the urban areas continue to grow, the
challenge of providing sustainable urban services arises, especially relating to sanitation
and water. Since 1997, water supply, sewerage, and sanitation services in Metro Manila
have been assigned by the Manila Waterworks and Sewerage System (MWSS) to be
managed by the two private concessionaires: Manila Water Company Inc. (MWCI) for
the east zone and Maynilad Water Services Inc. (MWSI) for the west zone. The east and
west concession zones serve about 5.7 and 7 million, respectively. However, sewerage
coverage remains very low at 16 percent in the east zone and 8 percent in the west zone.
The need to increase the sewerage coverage in Metro Manila is particularly important in
achieving the timelines set in the Clean Water Act and the Supreme Court mandamus
decision to realize an improved water quality in Manila Bay. MWCI plans to increase
coverage in the east zone to 30 percent in 2010 and 100 percent by 2037. This expansion
is expected to cost almost US$800 million in investments. In the west zone, MWSI also
plans to expand its wastewater collection and treatment services to 14 percent by 2012
and to 100 percent by 2037, which is expected to cost around US$1.7 billion.
2. In order to meet the objectives of increasing the coverage and effectiveness of
wastewater collection and treatment as well as septage management in Metro Manila and
its suburbs, the Government of the Philippines is preparing the Metro Manila Wastewater
Management Project (MWMP) through the Land Bank of the Philippines (LBP), which
will act as the financial intermediary and Borrower for the project, and through the two
concessionaires -- MWCI and MWSI, which will be the Sub-Borrowers.
3. Key stakeholders were invited to attend a public consultation which was publicly
announced two weeks before the consultation date which is October 5, 2010. The full
version of the Integrated Environmental and Social Safeguards Management Framework (IESSMF) was distributed to the invited participants at least a week before the
consultation. Copies were made accessible to the public through the Department of
Environment and Natural Resources (DENR), the Borrower and the Sub-borrowers. The
IESSMF was presented and discussed in detail during the consultation, which was
attended by the project stakeholders with representations from various national and local
government agencies and select non-government institutions. The consultation was held
October 5, 2010 at the Air Quality Training Room, Environmental Management Bureau,
DENR (see Annex 3 for a summary of the proceedings).
4. The Borrower, Land Bank of the Philippines, presented an overview of the
proposed project and its safeguards oversight function during the implementation of this
project. The concessionaires, Maynilad and Manila Water, presented a summary of their
proposed sub-projects and provided a detailed presentation of the environment and social
aspects of the IESSMF and the standard procedures that will be followed during sub-
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project design and implementation. An Open Forum capped the consultation, which
ended with the government pledging its support to ensure the successful implementation
of the project. The IESSMF was updated to incorporate the comments received during the
consultation.
5. Separate public consultations and environmental and social impact assessments will
be conducted in each of the sub-project site locations to ensure that concerns of key
stakeholders, site-specific issues and local conditions are considered in each of the sub-
project designs, the Environmental Management Plan and the Resettlement Action Plan.
1.1. Objectives of the Integrated Environmental and Social Safeguards
Management Framework
6. The IESSMF will establish the objectives, procedures, institutional framework, and
implementation arrangements for identifying and managing potential environmental and
social impacts of the project activities. It will form part of the project‘s Operations
Manual and is referenced in the project‘s Legal Agreements. It will address mechanisms
for public consultation and disclosure of project documents as well as redress of possible
grievances, and includes guidance on rapid response to crises and emergencies in case
this is needed during project implementation.
7. Its objectives are:
To establish clear procedures and methodologies for the environmental screening,
review, approval and implementation of sub-projects to be financed under the
Project;
To specify appropriate roles and responsibilities, and outline the necessary
reporting procedures, for managing and monitoring environmental concerns
related to sub-projects;
To determine the training, capacity building and technical assistance needed to
successfully implement the provisions of the Environmental Safeguards
Management Framework (ESMF); and
To identify funding requirements for the ESMF implementation for inclusion in
the project cost.
8. The IESSMF is composed of two parts:
Part 1- Environmental Safeguard Framework (ESF); and
Part 2- Resettlement Policy Framework (RPF).
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Figure 1 below summarizes the process of both environmental and social safeguards that
will be applied for the Metro Manila Wastewater Management Project.
Figure 1: Metro manila Wastewater Management Project IESSMF
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2.0 PROJECT OVERVIEW
9. The Philippines has been maintaining strong economic growth due to activities in
urban areas, especially around Metro Manila. As the urban areas continue to grow, the
challenge of providing sustainable urban services arises, especially relating to sanitation
and water. Investments on sanitation and wastewater collection and treatment (around
P1.5 billion per year nationwide) have not kept pace with the needs and much remains to
be done.
10. The development objective of the MWMP is to improve wastewater services in
Metro Manila and suburbs, thereby reducing the pollution load of Manila Bay, the
catchment area of all domestic and industrial wastewater for the Metro Manila area. This
will be achieved by supporting the two concessionaires in increasing the coverage and
effectiveness of wastewater collection and treatment as well as septage management.
11. For this investment project, Land Bank of the Philippines (LBP) will act as the
Borrower, while the two concessionaires, MWCI and MWSI, will be the Sub-Borrowers.
2.1. Project Components
12. The project is designed to allow flexibility for the concessionaires in deciding on
the best approach to improve their delivery of sewerage services for Metro Manila. It is
expected to be effective in early 2011 and the implementation period will be for seven
years. This will allow the draw-down of Bank loan funds by the two concessionaires until
2017 to achieve service obligations agreed upon in the extension of the concession
period, which involves acceleration and doubling of sewerage investments to comply
with the Supreme Court decision to improve the quality of Manila Bay.
13. The project has two components, namely:
Component 1: Investment Loans for MWCI and MWSI. These are investments
that are necessary to improve wastewater services. Eligible investments will include
wastewater collection and treatment, and septage management. Consulting
assignments related to project implementation are also eligible. These would
include: preparation of feasibility studies, construction supervision, preparation of
environmental and social safeguard reports, preparation of project summary reports
and audit reports, and public awareness campaigns to inform the citizens about the
project and the benefits of better wastewater services. These sub-projects have not
been identified and will be defined during implementation.
Component 2: Disaster Response and Recovery Contingency Financing. This is a
zero-value component which will allow for rapid reallocation of project funds for
reconstruction activities through streamlined procurement and disbursement
procedures.
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14. A draft cost and financing plan for the project is shown below. This plan is subject
to change and will be updated during appraisal.
Table 1: Financing Plan
[This table needs to be updated after the loan amount is confirmed]
COMPONENT COST
(US$ mln.)
FINANCING*
(US$ mln.)
Bank Concessionaire
1. Investments and
Technical Assistance
100 100 0
2. Disaster Response
and Recovery
Contingency
Financing
0 0 0
Total 100 100 0
* Subject to revision
3.0 SUB-PROJECT SELECTION
15. The selection of the sub-projects follows a framework approach, which is used
when the principles of a project and the criteria for sub-project selection are determined
before appraisal, since not all individual investments can be identified and appraised
before World Bank (WB) Board approval.
16. A sub-project is defined as an activity, or grouping of like activities that are within
a primary sector (in this case sanitation and sewerage) covered by the project. Each sub-
project is bound by the legal requirements of the project, including fiduciary and
safeguards aspects. Three general types of sub-projects are likely to be included: (a) those
eligible for retroactive financing under the project; (b) straightforward
construction/rehabilitation sub-projects; and (c) those that arise in response to crises or
emergencies.
3.1. Environmental safeguards criteria for sub-project selection
17. For sub-projects, five selection criteria, relating to environmental safeguards, have
been agreed by the Bank and the Borrower, and these are listed below. All sub-projects
shall:
i. Be consistent with the Metro Manila Sanitation and Sewerage Master Plan and
other local development plans which reflect Government policies and
procedures;
ii. Have obtained the necessary clearances and permits from national and local
regulatory agencies and in accordance with relevant national, provincial, and
local standards, procedures and codes;
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iii. Be designed to ensure sustainable service delivery, including the financing of
equipment and capacity building;
iv. Be designed based on a rational and efficient option analysis including
technical, financial, social, environmental and safety considerations;
v. Be consistent with World Bank OP/BP 8.00. These will be given first priority if
they address restoration of destroyed or damaged services or facilities financed
under the project.
18. The Bank team will confirm the initial project eligibility screening. After each sub-
project is prepared, the Bank team will conduct prior review and appraisal of the sub-
projects deemed complex. In the case of all other sub-projects the Bank team will
conduct post-review on a sampling basis during supervision of the simpler sub-projects.
3.2. Timing of Environmental Assessment (EA) in Sub-loan Preparation
19. The basic approach in the preparation of an environmental assessment report is to
have it simultaneous, closely coordinated, and integrated with the preparation of the sub-
project feasibility study. In doing this, all environmental aspects and impacts will be
included right from the beginning to facilitate the proper selection of sub-project
alternatives that will bear the minimal amount of environmental risk or negative
environmental impact.
20. For eligible sub-projects a Detailed Project Description (DPD), will be prepared and
an appropriate environmental assessment shall be conducted prior to engineering design.
The assessment of predicted environmental impacts shall be the basis for the Sub-
Borrower and the design consultants to select appropriate sub-project alternatives.
4.0 POLICY FRAMEWORK ON ENVIRONMENTAL AND SOCIAL
SAFEGUARDS
21. The IESSMF is developed in line with the relevant national and local laws and
regulations and the World Bank Safeguards Policies. The safeguards requirements for the
project will build upon these national guidelines and requirements in order to streamline,
to the extent possible, the documents required for each sub-project without compromising
in any manner the Safeguard requirements of either the government or the World Bank.
4.1. Philippine laws and regulations
22. The following national laws and regulations relevant to the environmental
safeguards and the protection of water bodies from pollution provide the basis for the
overall framework of the ESF:
Presidential Decree (PD) No. 1586, 1978 on the Environmental Impact Statement
(EIS) System;
Republic Act No. 9275, 2004 on the Philippine Clean Water Act;
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Presidential Proclamation No. 2146, 1981 on Environmentally Critical Projects /
Areas;
Administrative Order No. 42 by the Office of the President 2002, describing
categories of projects and areas subject to the EIS System;
DENR Administrative Order No. 2003-30, the Implementing Rules and
Regulations (IRR) for the Philippines EIS System (2003), and its Revised
Procedural Manual issued August 2007; and
Memorandum Circular No.: 2010-14 Standardization of Requirements and
Enhancement of Public Participation in the Streamlined Implementation of the
Philippine EIS System.
4.2. World Bank Safeguards Policies
23. The following World Bank policies will or are likely to be triggered by the potential
sub-projects:
OP/BP 4.01 Environmental Assessment: Individual sub-projects will be screened
and assigned the appropriate environmental categorization and environmental due
diligence will be conducted in accordance with OP 4.01. A technical guidance note
on the preparation of an Environmental Management Plan/mitigation measures
(EMP), including use of standard Environmental Codes of Practices for contractors
are included in this framework.
OP/BP 4.04 Natural Habitats: Field visits and the location of potential sub-projects
in urban areas indicate that natural habitats are unlikely to be adversely affected.
Nevertheless, all sub-project proposals will be screened for potential adverse
impacts on critical and non-critical natural habitats and suitable mitigation measures
if any needed will be prepared as part of the sub-project specific EA and EMP.
OP/BP 4.11 Physical Cultural Resources (PCR): Whenever a sub-project includes
reconstruction or preservation of historic or archeological sites, PCR management
plans would be prepared for those sub-projects, either as part of the sub-project
specific EIA or as a stand alone document. All sub-projects will be reviewed for
their potential impacts on PCR in the context of their respective EIA/EMP and
procedures will be included in all relevant standard bidding documents to deal with
chance finds during construction. A technical guidance note on ―Preparation and
implementation of PCR management plans‖ is included in this framework.
OP/BP 4.12 Involuntary Resettlement: Land acquisition and involuntary
resettlement are anticipated under the project, particularly for sub-projects
involving service expansion or reconstruction at new sites. For this reason, OP 4.12
will be triggered. Sub-projects will be screened for land-related impacts and
resettlement action plans will be developed and implemented. A technical guidance
note on ―Preparation and implementation of resettlement documents‖ is included in
this framework.
OP/BP 8.00 Rapid Response to Crises and Emergencies: In the event that an actual
or imminent natural or man-made crises or disaster happens that would cause major
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adverse economic and social impacts, the Bank may provide rapid responses to a
Borrower‘s request for urgent assistance. These include activities that support rapid
response and relief to recovery operations.
5.0 ALIGNING SUB-PROJECT PROCESSING REQUIREMENTS WITH
ENVIRONMENTAL AND SOCIAL SAFEGUARDS ASPECTS
24. As sub-projects will be identified and proposed for financing in a continuous
manner during the project implementation period, screening for potential environmental
and social impacts will be conducted and mitigation and management measures will be
developed in line with the agreed IESSMF.
25. Environmental and social impact screening, mitigation and management measures
development and implementation will follow these steps:
Step 1 - Identification of sub-projects according to the selection criteria;
Step 2 - Screening for potential environmental and social safeguard impacts and
determination of safeguards documents required according to national
regulations and World Bank policies;
Step 3 - Preparation of safeguard documents, consultation and disclosure;
Step 4 - Review and clearance of the safeguard documents; and
Step 5 - Implementation of agreed actions; and supervision, monitoring, and evaluation
5.1. Step 1: Identification of Sub-projects According to the Selection Criteria
26. During Step 1, the environmental and social specialists/consultants employed by the
Sub-Borrower will participate in the identification and selection of sub-projects. They
will evaluate and provide input, as appropriate, on ways to optimize the sub-project
concepts to reduce environmental and social impacts.
5.2. Step 2: Screening for Potential Environmental and Social Safeguard
Impacts and Determination of Safeguard Instruments for Each Sub-project
27. Once sub-projects have been identified, the Sub-Borrower, will ensure that the sub-
projects are aligned with the screening process undertaken by DENR for its potential
environmental and social safeguard impacts to determine the nature and extent of the
environmental and social due diligence needed before Borrower and Bank approval of
each sub-project. The choice of instruments (EA, Environmental Management Plan
[EMP], Resettlement Action Plan [RAP], etc.) for each sub-project depends on the nature
and magnitude of its potential impacts. Because the evaluation of the expected
environmental and social impacts requires specialized technical skills, the Sub-Borrower
may employ qualified environmental and social specialists as well as consultants to assist
them in this task.
28. The success of an environmental safeguards screening is dependent on adequate
baseline environmental data, technical expertise, good planning, management support,
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and coordination with key players and decision makers. The Sub-Borrower must provide
DENR 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.
5.2.1. Environmental Safeguards Screening
29. With respect to environmental screening of sub-projects, the national regulations
and World Bank policies are considered on the whole to be closely-related; both are
impact-based and will require the Sub-Borrower to identify and assess potential impacts
to environmental components such as water, air, land and natural habitats and
biodiversity.
30. For specific screening according to World Bank policies, the Sub-Borrower will use
the screening tool in Annex 1A to propose an environmental classification for each sub-
project as follows:
Category A: A sub-project of this type would have significant adverse
environmental impacts that are sensitive, diverse, or unprecedented. These
impacts may affect an area broader than the physical works.
Category B: A proposed sub-project may have some adverse environmental
impacts, but less adverse than those of Category A projects. These impacts are
typically site-specific; few if any of them are irreversible; and in most cases
mitigation measures can be readily designed. The great majority of sub-projects
for rehabilitation and reconstruction works are likely to fall in this category.
Category C: A proposed sub-project is likely to have minimal or no adverse
environmental impacts.
31. The screening results will be cross-checked with national regulations, in order to
determine the applicable EA documentation requirements. Three possible instruments are
specified in the regulations: (a) Environmental impact assessment (EIA) report; (b) Initial
Environmental Examination (IEE); and (c) Project description. In those cases where the
EA documentation required by the regulations is not equivalent in depth and scope to
those required by the World Bank safeguard policy requirements, the latter will apply.
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5.2.2. Determination of Environmental Safeguards Documents for sub-projects
32. The environmental safeguards documentation requirements for each sub-project
will be determined based on the screening procedures, as follows:
Category A: Sub-projects will require an Environmental Impact Assessment (EIA)
and an Environmental Management Plan (EMP) prepared in accordance with Bank
requirements Moreover, all bidding documents will include a standard contract
clause for chance finds of physical cultural resources (refer to relevant guidance
notes Annex2B). The Sub-borrower will consult with the Borrower and the Bank
team during preparation of all safeguards documents for Category A projects. Both
the EIA and the EMP will be submitted to the World Bank for review and
clearance.
Category B: Sub-projects will require an EIA or simplified EIA (as required under
the laws and regulations) and or an EMP (as per the Bank policy) consisting, at a
minimum, of standard environmental codes of practices supplemented, if necessary,
with additional analysis. The sub-project specific EMP and/or standard
environmental codes of practices, including coverage of how to handle chance-finds
of physical cultural resources, will be included in all construction contracts/ bidding
documents.
Category C: Sub-projects that are rated Category C do not require environmental
safeguards documents, but will comply with the regulatory requirement for
registration.
5.2.3. Social Safeguards Screening
33. Every sub-project will be screened by the Sub-borrower for social impacts,
including: (a) the need, if any, for land acquisition and involuntary resettlement
(permanent or temporary); (b) the impacts on the population to be affected; and, (c)
whether there is an ethnic minority community that would be affected by the sub-project
(as determined through a review the demographic information in the sub-project areas).
34. In addition to any requirements to meet World Bank policies, the Sub-borrower will
also screen the sub-projects for national/provincial laws and regulations regarding land
acquisition and involuntary resettlement.
5.2.4. Social Safeguards Documents
35. The Social Safeguards documents for each sub-project depend on the sub-project‘s
impacts, as follows:
A resettlement action plan (RAP) is required if over 200 people will need to be
involuntarily resettled. If fewer people need to be resettled, then an abbreviated
RAP will be required, including if land acquisition or compensation for land already
acquired under post-earthquake regulations is required.
A social assessment (SA) is required if social impacts of significance are expected.
11
5.3. Step 3: Development of Safeguards Documents Including Consultation and
Disclosure
36. Once the screening and documentation requirements are agreed by the Bank and
confirmed by the DENR, the Sub-Borrowers will develop detailed safeguard documents
and impact mitigation measures.
37. The EA Report, EMP and other documents (i.e., project study) necessary for
application for the Environmental Compliance Certificate (ECC) shall be prepared by the
Sub-Borrower. Subsequently, the Sub-Borrower shall then submit the documents to the
DENR to comply with the ECC requirements.
38. It is the responsibility of the Sub-Borrowers to carry out the necessary EA required
by the IESSMF, and to obtain the environmental clearances for each sub-project before
starting the construction. Sound environmental practices have to be incorporated into the
sub-project design and implementation, and potential negative impacts will have to be
mitigated to acceptable levels / standards. The Sub-Borrowers are responsible for the
quality and accuracy of the information in the EA document, as well as the transmission
of the EA documents to DENR.
39. As the loans for investment financing are channeled to the Sub-Borrowers through
the LBP, LBP shall require sub-projects to comply with existing environmental laws. The
LBP‘s Environmental Program and Management Department (EPMD) has the
environmental expertise to oversee the Sub-Borrower in carrying out the EA and
attaining environmental compliance to the conditions and statement of the ECC / EMP.
40. For all Category A projects, the Bank will provide advice to the Sub-Borrowers
during the preparation of the documents. For Category B projects, Sub-Borrowers are
encouraged to liaise closely with the Borrower and the Bank if any issues arise that may
require clarification from the Bank on the application of Bank policies.
41. Safeguard documents will be subject to consultation and disclosure in an accessible
place, in a timely manner, in a form and language understandable to key stakeholders,
prior to the finalization of the documents. Particular attention will be given to ensure
project-affected persons have adequate time and ready access to draft documents before
consultation takes place.
42. Consultation for Category A projects and projects that require RAPs, or Social
Assessments (SAs) will be undertaken at least twice during the preparation: at the
beginning of the preparation of documents to scope environmental and social issues as
well as prior to finalization of the safeguards based on the preliminary results of the
required safeguard documents in order to take into account public concerns before
submitting final documents to the Bank.
12
Table 2: EA Requirements for Sanitation and Sewerage Projects (Category B)
EA process Philippine EIA
Law (PD 1586)
World Bank
OP 4.01
Environmental
Assessment
Harmonized EA requirements
Screening Category B:
Threshold of
coverage –
domestic
wastewater
treatment facility:
equal to or greater
than 5,000 cubic
meters per day
Category B:
Projects whose
potential adverse
environmental impacts
are moderate,
manageable and site-
specific
Category B:
Potential adverse environmental
impacts shall be moderate,
manageable and site-specific
Public
Consultation
Public Hearing/
Consultation
Public Hearing/
Consultation of project
affected groups and
local NGOs
Public Hearing/ Consultation of
project affected groups and local
NGOs
Conduct of EA
and
documentary
requirements
Category B:
Programmatic
expansion
applications:
Environmental
Performance
Report and
Management Plan
(EPRMP).
Category B:
Potential adverse
environmental impacts
in Project Appraisal
Document (PAD),
Project Identification
Document (PID),
Integrated Safeguards
Data Sheet (ISDS)
Environmental
Management Plan
(EMP)
Public consultations/
hearings
Environmental Management
Plan (EMP)
1) Mitigation measures
2) Monitoring
3) Capacity development and
training
4) Implementation schedule and
cost estimates
Public consultations/ hearings
Review and
Approval
EPRMP and ECC IESSMF;
1st year EMPs
IESSMF
1st year EMPs
Public
Disclosure
DENR website and
public library and
available at the EIA
office
PAD
PID
ISDS
EMP
IESSMF
PID
EMP
PAD (after WB Board
approval)
ISDS (after WB Board
approval)
Monitoring and
reporting Environmental
Compliance Report
Semi-annual self-
monitoring reports
EMP
Annual third party
audit report
Environmental Compliance
Report
Semi-annual self- monitoring
reports of ECC and EMP
13
EA process Philippine EIA
Law (PD 1586)
World Bank
OP 4.01
Environmental
Assessment
Harmonized EA requirements
Annual Third
party audit report
Annual third party audit report
5.3.1. Information Disclosure and Consultation
43. Information disclosure and public consultation are important and necessary in sub-
project preparation and implementation. These enable sub-project affected people and
other stakeholders to participate in and contribute to the sub-project planning and
implementation, and thereby help minimize sub-project adverse impacts and maximize
sub-project benefits. The level of public consultation and the scope of information
dissemination will be commensurate with the environmental category of the sub-project
and the significance of the social impacts.
44. Information to be disclosed will include, at a minimum: sub-project design,
impacts, and proposed mitigation measures. During the design and implementation
phases, this information will be updated and continually made available to stakeholders.
Disclosure means could vary, but may include posters, booklets, newspapers, the internet,
and community meetings. All safeguard documents will be disclosed at a public place
accessible to affected groups and other stakeholders prior to consultation to establish the
basis for meaningful consultation. Disclosure and consultation mechanisms will be
planned and detailed in the relevant safeguard documents.
5.3.1.1. Borrower and Sub-Borrowers’ Public Disclosure of Documentation
45. Public disclosure of documentation shall be in accordance with LBP‘s Executive
Order No. 073 series of 2009 on Guidelines on Classification, Handling, Access and
Disclosure of Information Assets, including any amendments thereof.
46. In view of the World Bank‘s Access to information Policy and Open Data Initiative,
the Borrower and Sub-Borrowers shall allow disclosure of information regarding
environment and social safeguards.
5.3.1.2. WB Policy on Disclosure of the EA Reports
47. Whenever the WB requires an environmental assessment (EA), the Sub-borrower
prepares an EA report as a separate, free-standing document. The EA report is publicly
available:
after the Sub-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
14
after such EA report has been officially received by the WB, but before the WB
begins formal appraisal of the project.
48. For financial intermediary (FI) operations or sector investment operations that are
expected to have sub-projects 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 WB, 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 sub-projects.
49. Any separate reports for Category B sub-projects are made available to project
affected groups and local NGOs. Public availability in the borrowing country and official
receipt by the World Bank for projects proposed for funding, are prerequisites to World
Bank appraisal of these projects.
50. Once the Sub-Borrower officially transmits the Category A and B EA reports to the
Borrower and the Bank, the Bank distributes the summary in English to the Executive
Directors and makes the report available through its InfoShop.
5.3.2. Grievance redress
51. A grievance redress mechanism for the project is necessary for addressing
legitimate concerns of affected individuals and groups who may consider themselves
deprived of appropriate treatment under the project. The Sub-Borrower‘s mechanism
would include: (a) a recording and reporting system, including grievances filed both
verbally and in writing; (b) designated staff with responsibility at various levels; and (c) a
time frame to address the filed grievances. This mechanism will be detailed in the sub-
project safeguards documents. The functioning of the grievance redress mechanism will
be regularly monitored and evaluated by the Borrower during project implementation.
5.3.3. Rapid response to Disasters and other Crises
52. In the event that a natural disaster or a crisis occurs, the significant environmental
issues that may be encountered should be immediately addressed once the disaster or
crisis is under control. A specific environmental mitigating measure would require the
management of wastes so as not to further harm people and the environment. This could
entail the collection and disposal of large quantities of garbage from the treatment
facilities that would include destroyed pumps and other mechanical equipment, debris of
all types -- with possibly hazardous materials.
53. The immediate steps to be taken to address the environmental impacts generated by
the project during natural disasters should be part of the mitigating measures identified in
the Environmental Management Plan. A swift action plan should also be put in place by
the Sub-Borrower to immediately bring back the treatment facilities back to working
condition. The actions taken should be included in the Environmental Compliance report
and the self-monitoring report that will submitted by the Sub-Borrower to the LBP,
DENR-Environmental Management Bureau (EMB) and the WB.
15
5.4. Step 4: Review and clearance of the safeguards documents
5.4.1. Review by the Borrower
54. Review of the environmental and social safeguards documents, according to
national regulations, is the responsibility of the Borrower; these documents are to be
cleared by the WB. In line with its environmental credit policy, the Borrower shall
monitor the Sub-Borrower‘s compliance with the WB safeguard policies.
55. The Borrower will exercise environmental due diligence (EDD) by keeping records
of sub-project EA reports, feedback / technical information, and ECCs / Certificates of
Non-Coverage (CNCs). Environmental safeguards documents may undergo substantive
review by the Borrower, particularly if pressing environmentally critical issues exist. The
Borrower shall conduct EDD for MWMP sub-projects, as follows:
i. Description of both the positive and negative impacts to provide a balanced risk
assessment. It will also recognize the DENR as the sole governmental
organization that is mandated to issue ECCs based on the Philippine
Environmental Impact Statement (EIS) System Law (PD No. 1586). Sub-
Borrowers are required to coordinate with the DENR-EMB to certify that the
proposed sub-project/s underwent environmental assessment prior to finalization
and implementation of plans.
ii. Environmental assessment and monitoring shall be conducted until project
completion. Thereafter, the Borrower will continue monitoring of environmental
compliance of the sub-projects consistent with its environmental policy on credit
delivery, until the loan is fully paid.
iii. LBP-EPMD is unit assigned to conduct assessment/monitoring on the
environmental compliance of approved sub-projects.
5.4.2. World Bank review
56. The requirements for review and clearance of the environmental documents by the
World Bank are as follows:
Category A: The EIA/EMP and other relevant documents (e.g., Dam Safety
Programs (DSPs), PCR management plans) for all Category A sub-projects will be
subject to World Bank standard review and clearance procedures prior to approval
of the sub-project.
Category B: The Simplified EA (or IEE) and EMP for Category B sub-projects will
not be subject to World Bank review and clearance prior to approval of the sub-
project. However, these documents will be post-reviewed on a selective basis
during supervision missions.
Category C: No review required by the World Bank.
57. The requirements for review and clearance of the social documents by the World
Bank are as follows:
16
All RAPs, abbreviated RAPs, and SAs will be subject to review and clearance by
the World Bank prior to approval of the sub-project.
5.5. Step 5: Implementation of Agreed Actions and Supervision, Monitoring
and Evaluation
5.5.1. Implementation
58. Implementation of the safeguards measures during sub-project implementation is
the responsibility of the Sub-Borrowers. Any costs associated with the government EA
process (i.e., filing and processing fee of EA report) and cost of environmental
monitoring shall be shouldered by the Sub-Borrower. The Sub-Borrower 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.
5.5.2. Supervision
59. The Sub-Borrowers will be responsible for the implementation of the EMP and
social safeguard-related actions approved by the government and the Bank. The World
Bank task team will regularly visit the sub-project areas throughout project
implementation in order to:
provide guidance in the preparation of safeguards instruments;
review the screening results, due diligence review report, and safeguard documents
of proposed sub-projects; and
supervise the implementation of the safeguards instruments to ensure they are
implemented in compliance with the Bank policy requirements.
5.5.3. Monitoring and Evaluation
60. Sub-projects that are covered by the Philippine EIS System are required by DENR
Administrative Order (DAO) 2003-30 to conduct regular self-monitoring of parameters
indicated in the sub-project‘s EMP.
61. 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.
17
5.5.3.1. DENR Procedures
62. 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 DENR Provincial Environment & Natural Resource Office (PENRO).
63. As a minimum requirement in compliance monitoring, DENR-EMB shall focus on
the following:
status of Sub-Borrower‘s delivery of commitment made in its EMP (or, in the
case of IEE Report, the Summary Matrix of Impacts);
effectiveness of the committed EMP in mitigating project‘s environmental
impacts; and
meeting the terms and conditions of the ECC.
5.5.3.2. Sub-Project’s monitoring and audit
64. The Sub-Borrower shall monitor compliance with the conditions of the ECC and
the EMP and carry out the requisite data collection during both the pre-construction and
construction phases. The Sub-Borrower must satisfy this requirement by submitting an
Environmental Compliance Report (ECR), which includes an Environmental Monitoring
Plan (EMoP) and a Self- Monitoring Report (SMR) on a semi-annual frequency ( i.e.,
within January and July of each year) to the concerned DENR-EMB regional office.
Copies of the submitted ECR and SMR must be provided in two sets to the Borrower for
reference and review purpose. One set of the EMR received by the Borrower will be
transmitted to the WB for record keeping.
65. Semi-annual ECRs and SMRs shall be submitted to DENR-EMB, the LBP-EPMD
and the WB, including:
presentation of the collected data;
discussion on the compliance or non-compliance to the EMP and ECC;
conclusions and recommendations; and
photos of environmental monitoring and adherence to mitigating measures.
During the sub-project developmental phase, the Sub-Borrower shall furnish the LBP-
EPMD copies of the ECR prepared for the pre-construction and construction stages of the
sub-project. Once construction works are completed, the Sub-Borrower shall submit a
statement of environmental closure for the construction phase to the LBP-EPMD, DENR-
EMB and WB.
66. During the sub-project operational phase, the Sub-Borrower shall continue the
submission of ECRs and start the submission of the SMR to LBP-EPMD, DENR-EMB
and WB on a semi-annual basis. The Sub-Borrower will also commission the conduct of
18
an Annual Third Party Environmental Performance Audit and submit the Audit report to
the LBP-EPMD, DENR and the WB for review and evaluation. If any irregularities are
observed in the third party audit, the LBP-EPMD will report its findings to the Sub-
Borrower and discuss the measures to be taken.
67. During the operational stage of the sub-project, the Borrower shall oversee the
compliance and performance of the Sub-Borrower based on the environmental documents
that the Sub-Borrower will prepare, including an Annual Third party Environmental
Performance Audit of the project (e.g., EMP, Self-Monitoring Reports, wastewater
laboratory results (if applicable), etc.) and will conduct site validation to substantiate the
documents during LBP-EDD schedules and WB Missions.
68. An LBP Environmental Compliance Report (ECR) shall be prepared by the
Borrower to determine the sub-project‘s compliance with the environmental
requirements. The LBP ECR shall be submitted by EPMD to LBP‘s Corporate Banking
Department I CBD-I with recommendations to the Sub-Borrower on noted deficiencies in
the required environmental documents.
69. Monitoring and validation of the sub-project shall be undertaken annually by the
Borrower until project completion to document the environmental performance of the
project and note irregularities/inconsistencies/non-conformities, if there will be any. An
Environmental Performance Monitoring and Audit Report (EPMAR) to include
recommendations to the Sub-Borrower on noted observations/non-compliances on their
operations, shall be prepared annually by EPMD and submitted to CBD-I. Thereafter, the
Borrower will continue monitoring of environmental compliance of the sub-project
consistent with its environmental policy on credit delivery, until the loan is fully paid.
70. Apart from the DENR review of the EA report, the WB will also conduct a review
of projects to make sure the Borrower is implementing the framework adequately. WB
staff will advise and support the Borrower in carrying out its responsibilities. Within the
WB, operational staff will provide information to the Borrower and ascertain whether
policy requirements have been met.
19
SECTION 2: ENVIRONMENTAL SAFEGUARDS
The Environmental Safeguard Framework (ESF)
6.0 ENVIRONMENTAL MANAGEMENT PLAN (EMP)
71. An EMP describes possible adverse effects that the proposed projects may pose to
the environment. It recommends mitigation measures, and how will they be implemented.
It monitors both positive and negative effects of the project, designates the entity
responsible for implementing the EMP, and estimated costs and sources of funds. Annex
1A provides the WB Operational Policy 4.01, Annex C covering what constitutes an
Environmental Management Plan. Annex 1B presents a template for an EMP checklist
that includes four sections: a General Project and Site Information Form, Safeguards
Information, a Environmental Mitigation Measures, and an Environmental Monitoring
Plan.
6.1. Environmental Mitigation Plan
72. Environmental Mitigation Measures (EMMs). Table 3 below shows examples of
environmental mitigation measures (EMMs) in an Environmental Mitigation Plan that
forms part of the EMP. The Environmental Mitigation Plan should include identification
of the institution responsible for implementing the measures and the costs. See Annex
1B.
Table 3: Environmental Mitigation Measures and their Coverage
Activities generating Impacts Key Issues Addressed Project Preparation
(Planning & Design) Incorporation of environmental concerns in project
preparation to avoid impacts in construction and
operation stages
Avoidance of siting in sensitive areas that are
prone to flooding or landslides, etc
Compliance with legal requirements. Site Preparation Relocation of utilities, common property resources
and cultural properties
Avoidance of adverse effect on waterways Construction Camps Avoidance of sensitive areas for location of
construction
Quarry sites Avoidance of agriculture lands as quarry sites
Redevelopment of quarry sites Topsoil Salvage, Storage
& Replacement Topsoil removal from areas
temporarily/permanently used
for construction
Reuse of topsoil at areas to be revegetated Drainage Conduct of hydrological investigations during
20
project
preparation
Provision of longitudinal and cross drainage as per
requirements
Proper location of drainage outfall
Wastewater and waste Management Adequate treatment prior to discharge/ disposal
Proper location of effluent outfall
Regular monitoring of effluents to ensure
compliance to standards
Safe collection, treatment and disposal of wastes Slope Stability and Erosion Control Slope stability
Protection of adjacent areas from debris due to
construction
Construction Plants &
Equipment Management Maintenance of machinery and equipment to avoid
pollution
Public and Worker‘s
Health & Safety Provision of Personal Protective Equipment to
workers
Provision of basic necessities to workers
Public safety within/ adjacent to construction sites
Public safety during operation of the treatment
facilities
Cultural Properties Avoidance of impacts due to project
Protection of boundaries from impacts due to
construction
Relocation in case impacts are unavoidable
6.2. Environmental Monitoring Plan
73. The Environmental Monitoring Plan (EMoP) defines selected indicators for
ensuring that mitigation measures are being implemented and are effective (e.g., if there
is a mitigating measure to control noise during construction, the monitoring plan should
include noise measurements during construction). It ensures the project is complying with
national regulations and WB Safeguard requirements, addresses concerns which may rise
during the public consultation, and identifies authorities responsible for monitoring
including estimated related costs.
7.0 INSTITUTIONAL ARRANGEMENTS
74. The Borrower and the Sub-Borrower will engage qualified and experienced
staff/consultants to carry out the planning, preparation, review, implementation and
monitoring of compliance with the safeguards requirements in order to provide
information on key environmental and social aspects of the sub-projects and the
effectiveness of the planned mitigation measures. This will enable the government and
the World Bank to evaluate the performance of the project‘s environmental and social
program and allow corrective action to be taken when needed. In the cases of sub-
projects with RAPs, the Sub-Borrower will hire an independent third party consultant
21
acceptable to the WB to conduct external monitoring of RAP implementation. The
external monitoring report will be submitted to the WB and the Borrower.
75. In the environmental safeguards planning and implementation process, the various
institutional roles and responsibilities are described below (Table 4):
Table 4: Institutional Roles and Responsibilities
Sub-Project EA
process
Sub-Borrower LBP WB
A. Sub-project
Screening
1. Screens and scopes sub-
projects in coordination
with DENR
2. Scopes Category A
sub-projects with the
WB.
For Category A
sub-projects,
advises on scope
of EA B. Environmental
Safeguards
Preparation
3. Prepares the
corresponding EA Reports
and apply with DENR-
EMB for issuance of ECC.
C. Sub-project Loan
Approval
4. Secures ECC from
DENR-EMB and submits
to LBP-EPMD copies of
such environmental
clearances (submission of
the final EA documents i.e.
EA reports, ECC, shall be
the basis of release for the
sub-projects construction
phase).
5. Reviews EA reports
and ECC to verify if
necessary environmental
safeguards are provided.
6. Transmits safeguards
document to WB for
reference, or for
comments. For Category
A sub-projects, secures
Bank‘s non-objection
letter (NOL).
7. EPMD submits ECR
to CBD-I.
Reviews & issues
NOL on the final
EA report (only
applies to
classified
Category A sub-
projects)
D. Sub-project
implementation and
monitoring
8. Submits reportorial
requirements to LBP and
WB per Agreements.
Semi-annual
Environmental
Compliance report and
Self monitoring report
during implementation
Annual Third Party
Audit Report
9. Reviews reports
submitted by Sub-
Borrower and
transmits the same to
WB per Agreement.
10. EPMD issues
EPMAR to CBD-I
annually or as the
need arises.
Provides feedback,
if necessary
22
76. The Sub-Borrowers shall submit an ECC application for Category B projects. These
are projects that are not environmentally critical, but which may cause negative
environmental impacts because they are located in environmentally critical areas. The
application to be submitted to DENR would be an IEE, and an Environmental
Performance Report and Management Plan (DAO No. 2003-30). In parallel, the Sub-
Borrower will also submit an Environmental Management Plan (EMP) to the World Bank
through the Borrower, as provided for in OP 4.01 Annex C: WB OP/BP on
Environmental Assessment. EMPs will be submitted to the World Bank only for
Category A sub-projects.
77. Approved ECCs issued by the DENR will be transmitted by the Sub-Borrower to
the Borrower. During the monitoring phase of sub-projects, the Borrower will review the
Sub-borrower‘s compliance with the conditions of the ECC. Environmental reports and
related documents shall be officially transmitted to the World Bank by the Borrower.
7.1. Land Bank of the Philippines
78. LBP is the Borrower under the MWMP and will act as the servicing agent of the
Government. LBP will on-lend the loan funds to the two Sub-Borrowers, namely: MWCI
and MWSI. As the Borrower, it shall perform oversight function to ensure that
environmental loan covenants are complied with. MWCI and MWSI will submit
environmental documents (i.e., EA, ECCs, CNCs, EMPs, etc.) to the LBP‘s CBD-I.
79. The environmental documents will be reviewed by the Environmental Program and
Management Department (EPMD). The Borrower, through the Program Management
Department 2, as the Program Manager, submits the environmental documents to World
Bank for concurrence.
7.2. Manila Water Company, Inc.
80. The Program Management Department is the overall in-charge entity for project
conceptualization, development, approval, procurement, execution and close-out. The
Project Manager (formerly referred to as Project Development Officer) is in charge of all
stages of the project until closure and turnover to the Operations Group. The feasibility
studies are undertaken by the Project Manager, who makes sure that the bid documents
are responsive to the objectives of the project. He/she orchestrates all necessary material,
personal and financial resources available to Manila Water to ensure project completion
according to the schedule and at the best quality possible. It is currently headed by (to be
determined). For the MWMP, (to be determined)is the Program Manager.
81. The Project Delivery Group takes charge of project procurement and execution,
until commissioning and turnover to the Operations Group. Its main role is to deliver the
infrastructure and hardware in working condition to the Facility Manager. TBD is the
current Officer-in-Charge for the Project Delivery Group.
82. The Operations Group is the ‗owner‘ of the facilities. Its biggest groups are the
Water Supply Department and the Wastewater Operations Department. Each facility or
facility cluster is headed by a Facility Manager who is in charge of day-to-day operations,
23
including process control, vendor management and environmental compliance. He/she is
already on board from the conceptualization of the project but takes over the facility after
commissioning. The Pollution Control Officer (PCO) for the facility or facility cluster is
a member of the Facility Manager‘s team. The current Operations Group Director is
(TBD) and the head of the Wastewater Operations team is (TBD).
83. The Environmental Planning and Sustainability Department is a support team
for the Program Management, Project Delivery and Operations Groups, as well as other
Manila Water units. It serves as an internal consultant/enabler on any environmental
matter (e.g., government policy development, compliance, training, ISO accreditation)
and acts as internal auditor, making sure all commitments indicated in the Environmental
Management Plans and Environmental Compliance Certificates are complied with at any
stage of the project. It is also the team responsible for reviewing project briefs and
making sure the necessary environmental issues are brought out and addressed. It assists
the Project Manager in preparing and reviewing the Environmental Impact Statements
and/or Environmental Management Plans, and in acquiring the necessary environmental
permits from government regulators. As the Corporate Pollution Control Officer (PCO)
of the company, the department ensures that all facilities and projects comply with
existing environmental regulations, and also implements ‗beyond compliance‘
environmental initiatives in support of the sustainability vision of Manila Water. (TBD)
is the current head of the EPS department.
84. The Environmental Planning and Sustainability Department, headed by (TBD)
(Engineer), will take charge of compliance with all environmental regulations. This
includes securing the ECC and compliance with the EMP. This department is staffed with
4 people: Wastewater Technical Support, Facilities Compliance Manager, Environmental
Systems Manager, and an Administrative Assistant.
7.3. Maynilad Water Systems Inc.
85. The Environment Management and Integrated Management System (ISO), headed
by (TBD), will take charge of Environmental Assessment, monitoring, and compliance
with all the environmental requirements of the project. He is ably assisted by his
Manager, (TBD), and five Environmental Specialists.
86. All Maynilad facilities have accredited Pollution Control Officers (PCOs). These
PCOs are accredited either by Laguna Lake Development Authority (LLDA) or DENR,
depending on the location of the facilities. These PCOs report directly to their operational
units. The Environmental Department of MWSI has oversight control over the PCOs.
87. PCOs prepare Self Monitoring Reports (SMRs) and submit these to the
Environmental Department where the document is reviewed and signed by the Corporate
PCO, the Environment Department Head. The document is sent to DENR or LLDA.
88. The Environmental Department consolidates these quarterly SMRs for submission,
and as an attachment for the renewal of the discharge permit. It also audits the PCOs as
part of the surveillance audit in its ISO 9000, ISO 14000, and OSHAS 1800 Certification.
The head of the Environmental Department is also Maynilad ISO. The department
24
ensures that PCOs are regularly informed on the latest environmental requirements, and
that they undergo CPE.
89. This department conducts EIA and EIS-related studies, scoping studies, and public
consultations, and also applies for the ECC and secures its issuance, conducts regular
inspections for issuance of all ECCs, and secures other permits relative to environmental
requirements.
8.0 CAPACITY BUILDING AND TRAINING REQUIREMENTS
90. The Borrower and the sub-borrowers conduct regular training activities as part of
the continuing professional development program for their staff. To ensure the successful
implementation of this project, LBP, MWSI and MWCI will conduct specific training
activities designed to strengthen the capacity of their project staff. The training topics
they identified include: conduct of environment and social impact assessments, due
diligence reporting on safeguards compliance, wastewater project assessment and
performance monitoring, project management, etc.
9.0 INDICATIVE ESMF BUDGET
9.1. LBP of the Philippines
91. LBP will provide the necessary resources and staff to meet the environmental
requirements of the framework that will include tapping the personnel of the
Environmental Protection and Management Department (EPMD) to handle the
environmental compliance concerns of the project. They will be assisted by a Consultant
to fulfill their monitoring and reporting functions.
9.2. Manila Water Company, Inc.
92. MWCI has set aside an IESSMF budget for the duration of the project. This budget
is allocated to the following activities: training, EMP monitoring, reporting and
consultancy services.
9.3. Maynilad Water Systems, Inc.
93. The IESSMF budget commitment of MWSI for the duration of the project is
allocated to the following activities: preparation of EIA, EMP; conduct of public
consultation; and securing necessary permits; training; EMP implementation and
monitoring, and securing an Environmental Management System; and Environmental
Health and Safety Certification.
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SECTION 3: SOCIAL SAFEGUARDS
The Resettlement Policy Framework (RPF)
10.0 RATIONALE FOR THE RESETTLEMENT POLICY FRAMEWORK
94. The MWMP aims to improve wastewater services in Metro Manila. This will be
achieved by supporting the two concessionaires namely: Manila Water Company, Inc.
(MWCI) and Maynilad Water Services, Inc. (MWSI) in increasing the coverage and
effectiveness of wastewater collection and treatment as well as septage management. This
effort also supports the Supreme Court decision in 2008 ordering government agencies
concerned to clean up, rehabilitate, and preserve Manila Bay and restore and maintain its
waters to SB level (class B) fit for swimming, skin-diving and other forms of contact
recreation. In the course of implementing these investment projects, project locations
sometimes cause loss of land, structures and /or other assets or access to sources of
livelihood to people who may be occupying the same site.
95. Unmitigated involuntary resettlement, as an outcome of development projects, has
been noted to result in the dismantling of production systems and the loss of productive
assets or income sources leading to further impoverishment of affected persons. In some
instances, people are relocated to new environments where their social support systems
may no longer be accessible, their productive skills may be less applicable and the
competition for resources greater; as a result, community institutions and social networks
are weakened.
96. The coverage of this project is the East and West concession areas of MWCI and
MWSI, respectively. The East zone consists of 23 cities and municipalities of eastern
Metro Manila and Rizal Province which include Pasig, Mandaluyong, Marikina, Taguig,
Pateros and parts of Manila and Quezon City. On the other hand, the West zone covers
Caloocan, Las Piñas, Malabon, Manila, Muntinlupa, Navotas, Pasay, Parañaque,
Valenzuela, parts of Quezon City, a part of Makati, Cavite City, and the municipalities of
Rosario, Imus, Noveleta, Bacoor, and Kawit in Cavite.
97. There are no ancestral domains within Metro Manila and any Indigenous Peoples
(IP) groups or communities found in Metro Manila are temporary residents seeking
economic opportunities. However, in some provinces near Metro Manila, such as
Bulacan and Rizal, there are some IPs belonging to the Remontados and Dumagats. For
MWMP, most of the investments are expected to be located in urban areas not generally
occupied by IPs or within ancestral domains that are mostly found in upland, coastal and
other isolated areas. Thus, it is expected that no IP will be affected by the Project.
However, in case there will be affected IPs, the World Bank OP 4.10 will be applied.
11.0 RPF OBJECTIVES
98. The objective of the Resettlement Policy Framework (RPF) is to lay out the
principles and organizational arrangements for the following:
26
resettlement and compensation, consistent with the goal of assisting displaced persons
in their efforts to improve or at least restore their standards of living from the pre-
project level; and
mechanisms for meaningful participation that help ensure that the development
process respects the dignity, human rights, and economies of project-affected people.
11.1. Overriding Development Objectives
99. In the design and implementation of the Sub-projects, efforts must be made 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:
Effects 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 Sub-
project Proponent for the subject property in expropriation cases as explained in
Section 5.4 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-
Sub-project standard of living;
Special attention is given to affected vulnerable groups, such as poverty groups, the
handicapped, women-headed households, people with weak or absent tenure rights,
etc; and
All Sub-project stakeholders, including DPs, are consulted and are encouraged to
participate in varying practicable ways in the design, implementation and operation of
the Sub-project.
12.0 DEFINITION OF TERMS
100. 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).
101. Cut-off Date is the date prior to which the occupation or use of the Sub-project area
makes residents/users of the Sub-project 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.
102. 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
27
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 movable 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:
those who have formal legal rights to land including customary and traditional rights;
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
informal settlers and who satisfy the condition for eligibility for compensation as
provided in the definition of ‗cut-off-date‘ as stated above.
Non-eligible DPs include those making claims based on subsequent occupation after the
cut-off date.
103. External Monitoring Agency (EMA) is the entity designated by the Sub-project
Proponent to monitor the implementation of its Resettlement Plan.
104. Financial Assistance is the cash amount given to tenants/settlers/occupants of
severely affected land on top of cash payment/compensation for their crops and other
fixed assets actually damaged by a Sub-project. 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;
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.);
adisplaced 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/or
an informal settler who has to shift elsewhere for food subsidy.
105. Independent Shops are commercial stalls, such as groceries, vulcanizing shops,
tailoring shops, beauty parlors, market stalls, hotels, movie houses, and similar
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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.
106. Indigenous People (IPs) or Indigenous Cultural Communities (ICC) refer to a
group of people or homogenous societies identified by self ascription and ascription by
others, who have continuously lived as an organized community on communally bounded
and defined territory and who have, under claims of ownership since time immemorial,
occupied, possessed customs, traditions and other distinctive cultural traits, or who have
through resistance to political, social and cultural inroads of colonization, non-indigenous
religions and culture, became historically differentiated from the majority of Filipinos.
ICC/IPs shall likewise include people who are regarded as indigenous on account of their
descent from the populations which inhabited the country, at the time of conquest or
colonization, or at the time of inroads of non-indigenous religions and cultures or the
establishment of the present state of boundaries, who retain some or all their own social,
economic, and political institutions, but who may have been displaced from their
traditional domains or who may have resettled outside their ancestral domains.
107. Informal Settlers (also known as 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 laws (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.
108. Local Government Unit (LGU) could be city, municipality or province.
109. Land Acquisition means the process whereby a person alienates all or part of the
land he/she owns or possesses to ownership and possession of other parties including the
Government for public purpose. When compelled by Government it is called
expropriation.
110. Marginally Affected land or structure means less than 20 percent of the land or
structure is affected and where the remaining unaffected portion is still viable for
continued use.
111. Professional Squatters, the term applied 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 of lands reserved for socialized housing. This
definition excludes individuals or groups that simply rent land and housing from
professional squatters or squatting syndicates.
112. Project refers to the World Bank-funded Metro Manila Wastewater Management
Project (MWMP) implemented by Manila Water Company, Inc. (MWCI) and Maynilad
Water Services, Inc. (MWSI) with LBP of the Philippines (LBP) as the project executing
agency.
113. Rehabilitation Support means additional assistance given to DPs whose source of
income is severely impacted by the loss of productive assets, incomes, employment or
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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.
114. Relocation means the physical shifting of DPs from their pre-project place to a new
place of residence.
115. 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;
tree and other perennials based on the estimates of the DENR 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.
116. Resettlement Action Plan / Resettlement Plan (RP) refers to all measures to be
taken by the Sub-project 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.
117. 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.
118. Severely Affected Land / Structure means 20 percent or more of the land or
structure is affected or when less than 20 percent is affected, the remaining portion is no
longer viable for use.
119. 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.
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120. Sub-project refers to the project that is implemented by MWCI and MWSI and
funded by sub-loan from the MWMP loan facility implemented by the LBP.
121. Sub-project Proponent refers to MWCI and MWSI.
13.0 INSTITUTIONAL AND LEGAL FRAMEWORK
13.1. Institutional Framework
122. The key players and their roles and responsibilities in resettlement planning,
implementation and monitoring are presented below. Section 15.0 in this report, presents
the roles and responsibilities of other participants in the resettlement planning,
implementation, and monitoring process.
13.1.1. LBP of the Philippines (LBP)
123. Through its CBD-I, assisted by the Project Management Office (PMO), LBP will
review all Sub-project RPs, whether full or abbreviated, to check its compliance with the
agreed Resettlement Policy Framework (RPF).
13.1.2. Sub-project Proponent
124. The Sub-project Proponent could either be MWCI or MWSI. Through its Project
Implementation Unit (PIU), the Sub-project Proponent will be responsible for the overall
planning, implementation, coordination and monitoring and evaluation of land
acquisition and resettlement activities under the Sub-project, as follows:
The PIU will ensure that RPs are prepared, implemented and monitored and
evaluated in accordance with the agreed RPF;
The Sub-project Proponent will set up a Resettlement Implementation Committee
(RIC) for the implementation of the RP. The specific responsibilities of the RIC
include:
- assisting 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;
- assisting 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 entitlements to DPs;
- receiving complaints and grievances from DPs and other stakeholders and
acting on them accordingly;
- maintaining a record of all public meetings, complaints, and actions taken to
address complaints and grievances; and
- in coordination with concerned government authorities, assisting in the
enforcement of laws/ordinances regarding encroachment into the Sub-project
site or its right-of-way (ROW).
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The PIU Head will designate a staff to work closely with the RIC. The Sub-
project Proponent may engage the services of a Consultant, a Resettlement
Specialist, to provide technical support to the PIU on resettlement planning.
The Sub-project Proponent will ensure that sufficient budget and resources are
provided to the PIU for resettlement planning and implementation.
The Sub-project Proponent will be responsible for encouraging the active
participation of stakeholders, particularly the displaced and host communities, in
resettlement planning, implementation and monitoring and evaluation.
13.1.3. Local Government Units (LGUs)
125. The LGUs will:
assist the Sub-project Proponents in locating and acquiring land needed for the
construction of wastewater treatment facilities;
assist the Sub-project Proponents in providing and/or negotiating ROW for
wastewater facilities and networks;
be a member of the Resettlement Implementation Committee (RIC);
assist in the conduct of public information campaign and consultation and help to
ensure the participation of the public, especially the DPs;
be a member of the Grievance and Complaints Committee and will assits in
receiving complaints and grievances from DPs and other stakeholders and act on
them accordingly;
in cooperation with the Sub-project Proponents and other concerned government
authorities, assist in the enforcement of laws/ordinances regarding encroachment
into the subproject site or its ROW; and
encourage the active participation of stakeholders, particularly the displaced and
host communities, in resettlement planning, implementation and monitoring and
evaluation.
13.1.4. External Monitoring Agency (EMA)
126. The EMA, engaged by the Sub-project Proponent, will monitor the effectiveness of
resettlement activities in all stages of the sub-project. Special efforts will be made to
ensure good community relationships, for better reception of the Sub-project 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.
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13.1.5. Affected Communities
127. 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 monitoring and evaluation.
13.1.6. Resettlement Implementation Committee (RIC)
128. The RIC will be composed of:
PIU, particularly the Resettlement Specialist of the Sub-project Proponent;
Representative of the Barangay/Municipality/City 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; and
Representative of a non-government organization (NGO) or people‘s organization
(PO) actively operating in the Sub-project area (to be elected by simple majority
by DPs in a meeting to be held for the purpose).
129. The RIC will be chaired by the designated representative of the PIU and will meet
regularly to record milestones and update the members on the progress of the RP.
130. The RIC will have to work closely with the Presidential Commission on the Urban
Poor (PCUP), as the government‘s clearing house of resettlement for the urban poor to
ensure that the RP is properly 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.
13.1.7. Valuation Committee (VC)
131. The Valuation Committee will determine the value/price of the affected
asset/property that need to be replaced or compensated. The VC will draft a valuation
formula and will conduct a consultation meeting to present the valuation formula to
displaced/affected persons, seeking their feedback as to whether this compensation is fair
and acceptable.
132. The VC will work closely with the survey team who will conduct the inventory of
household losses of assets and properties. The result of the inventory of losses will be the
basis for compensation and replacement of household assets, properties and livelihood.
13.1.8. Complaints and Grievance Committee (CGC)
133. The CGC will receive and address complaints and grievances raised or expressed
by affected persons and/or displaced persons arising from the resettlement. A grievance
procedure will be followed as recommended in Section 17 of this RPF.
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134. The CGC will be composed of representatives from the Sub-project Proponent/PIU,
local government executive or council, representative from the affected
community/displaced persons and representative from the RIC.
13.2. Legal Framework
13.2.1. Government of the Philippines (GOP) Regulations
135. This framework is anchored on the principle derived from the Bills of Rights of the
Constitution of the Republic of the Philippines, which states:
In Article III, Section 1, ―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.‖
In Article III, Section 9, ―Private property shall not be taken for public use without
just compensation.‖
136. This RPF, hereinafter referred to as Framework, shares the same concern for due
process and the right to just compensation for everybody. The guiding principles of this
Framework are: that adverse impacts by a Sub-project 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.
137. Other relevant GOP laws and orders pertaining to land acquisition and
compensation shall be adopted and observed by the Sub-project Proponent. (See Annex
2C.)
13.2.2. World Bank Policies
138. Operational Policy (OP) 4.12, December 2001, on Involuntary Resettlement,
provides 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 person. Only direct
economic and social impacts resulting from ―taking of land‖ are covered.
139. World Bank‘s OP 4.10, which instructs Bank-supported projects to give protection
to indigenous peoples with regards to mitigating possible adverse impacts of investments
and requires the development of an Indigenous Peoples Action Plan should these projects
have potential adverse impacts on indigenous populations or positively enhance benefits
the IPs may gain from the project.
140. World Bank‘s OP 8.00 Rapid Response to Crises and Emergencies provides that: in
the event that an actual or imminent natural or man-made crises or disaster happens that
would cause major adverse economic and social impacts, the Bank may provide rapid
responses to a Borrower‘s request for urgent assistance. This assistance may include
activities that support rapid response and relief to recovery operations
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13.2.3. GOP and WB Policies, and Framework for MWMP
141. Where there is a discrepancy between the resettlement and compensation standards
of the existing laws in the Philippines and the standards of the WB, the Sub-project
Proponent will comply with whichever is the higher standard.
142. For lands to be acquired for sub projects, these should undergo due diligence to
determine when and how land was acquired, determine who was living and currently
lives there and further determine if there are any risks or issues associated with the land at
present. Generally, there will be two levels of due diligence which should be assessed:
Examine relevant information going back to two years before the date of the first
identification mission, which took place starting 23 September 2009, to ensure
that the acquisition and resettlement were in compliance with the Philippine
national laws and regulations and that there are no legacy issues or no pending
legal disputes or liabilities; and
From the date of the first identification mission, land acquisition must comply
with WB OP 4.12.
14.0 OPERATIONAL GUIDELINES
14.1. Screening
143. The MWMP is a program type project through a Financial Intermediary. Because of
this, the social impacts would only be identified when specific sub-projects are identified
by MWCI and MWSI. This may involve temporary or permanent displacement of people
and assets and adverse or positive effects on local communities including the IPs. It also
includes displacement of local communities directly contributing to the objectives of the
project, in order to allow the project to be implemented.
14.2. Review of Resettlement Plans
144. The WB will review this MWMP Resettlement Policy Framework (RPF) to ensure
its compliance with OP 4.12 and OP 4.10. It will agree with the LBP on the adoption of
the RPF as the set of guidelines on social safeguards for the Project. The WB will review
all Full RPs (see Annex 2D) and the first three Abbreviated RPs (see Annex 2E) prepared
under the Project.
145. Review will commence with the enumeration by Program Management Department
II, with assistance from the PMO, of the extent of land acquisition, project-affected
population and asset loss/es that may result from a sub-project‘s implementation, using a
checklist.
146. To facilitate review, the Sub-Borrowers will complete the checklist (see Table 5
below). Reviewers will verify the information provided by Sub-Borrowers from the
submitted sub-project documents aside from sub-project site visits.
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Table 5: Checklist of Project-Affected Persons and Assets
Social Impact Yes No Specify Details
Involuntary Resettlement
a) Land acquisition necessary Size and use of land prior to
construction of project
b) HHs/Persons will be displaced Total no. of HHs/persons
c) Presence of informal settlers Total no. of informal HHs/settlers
d) Legal structures acquired/
damaged
No., size & built of structures
e) Informal structures beings
removed
No., size & built of structures
classified according to use:
dwelling, shops/stores, livestock
production, etc
f) People losing means of
livelihood
Total no. of HHs, persons
g) Basic services will be
inaccessible
Type/s of basic services (water,
power connection, schools, multi-
purpose centers, religious center,
etc
h) Crops/trees being
damaged/lost
No. and type of crops/trees
i) Tenants/lessees losing crops/
trees
No. of tenants, HHs losing what
type, how many crops/trees?
j) Informal settlers losing crops/
trees
Informal settlers losing what type,
how many crops/trees?
k) Indigenous peoples to be
displaced
Total no. of indigenous HHs/
persons to be displaced
Indigenous Peoples
l) Ancestral domain affected Size of the domain
m) name affected ethnic groups
Name of affected group(s) and
number of people affected
classified by type of effect
n) Cultural property affected No., size, and type of cultural
property
147. Social safeguards requirements will be triggered when any one of the above social
impacts is positively identified/confirmed. Based on the information derived from the
checklist, the following are validated:
Resettlement category of the sub-project (full or abbreviated);
Prepared/submitted resettlement instrument for the social category of the sub-
project (see Annex 2F); and
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Conformity of the prepared social safeguard documents to the provisions of the
MWMP Resettlement and Compensation Framework as presented in Table 5
(above). Also see Annex 2G.
14.3. Mitigation and Compensation
148. The following guidelines will be applied to mitigate and compensate 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 cut-off date (e.g., date of
start of census surveys) are eligible for compensation for lost assets (i.e., land,
structure 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 Sub-project Proponent shall compensate the DPs for land, structures and other
fixed assets at ―replacement cost‖ as defined in Section 12.
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 Sub-project
Proponent 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 12,
compensation for the affected assets will be paid in cash.
Informal settlers who are affected by the project and who are not ―professional
squatters‖, as defined in Section 12, 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 12 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 Sub-
project, the Sub-project Proponent will provide the following resettlement
assistance to eligible DPs:
- ―Financial assistance‖ to tenants/settlers/occupants as provided in Section 12.
37
- 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 Sub-project Proponent) 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.
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 Sub-project Proponent 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 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 Sub-project Proponent 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 on 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 Sub-project Proponent will ensure effective
coordination with relevant agencies for the RP preparation and implementation.
38
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 the
preparation for construction work under the respective segment/section or phase
thereof.
149. Entitlements and compensation for the types of loss shall be guided by the
Compensation Table in this Framework (see Annex 2H).
Technically, all informal settlers found to be at the sub-project 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 sub-project. All possible means to
alleviate the DPs will be exhausted to restore if not improve their level of living to
the pre-resettlement standard.
For lands to be acquired for sub-projects, these should undergo due diligence to
determine when and how the land was acquired, determine who was living and
currently lives there and further determine if there are any risks and/or issues
associated with the land at present. There will be 2 levels of due diligence:
- Two years before date of the first identification mission, 23 September 2009, to
ensure that the acquisition and resettlement were in compliance with the
Philippine national laws and regulations and that there are no legacy issues or
no pending legal disputes or liabilities; or
- From the date of the first identification mission, land acquisition must comply
with WB OP 4.12
14.4. Modes of Acquiring Private Assets
150. Private assets (e.g., land, structures and other improvements) will be acquired for
the Sub-project through:
Donation and/or grant of ROW
Negotiated purchase, or
Expropriation
Usufruct
Lease Agreement
151. In the case of donations, 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 areas from which portion needed by Sub-project is taken
and must state the legal tenability of the donation (e.g., no lien, occupants in affected
portion). An assessment report on the impact of the donation on the donor‘s economic
viability will also be needed.
152. In the case of negotiated purchase, the Sub-project Proponent 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. See Annex 2J.
39
153. The Sub-project Proponent 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 Sub-project Proponent a
written permit to enter the property. A contract of sale will be subsequently executed
between the property owner and the Sub-project Proponent.
154. If negotiations fail, the Sub-project Proponent shall initiate expropriation
proceedings (through the concerned LGU if Sub-project Proponent is not the LGU).
Upon filing of the complaint, and after due notice to the defendant/property owner, the
concerned 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 Sub-project
Proponent should then apply for a Writ of Possession to enable Sub-project construction.
155. 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 Sub-
project Proponent will pay the owner the difference between the amount already paid and
the just compensation determined by the Court (see Implementing Rules and Regulation,
RA 8974, Section 4). The DP will receive the additional payment within one (1) month
following the decision of the court.
156. The Sub-project Proponent may seek the imposition of an Easement of Right-of-
Way (ROW) provided for under the Philippine Civil Code. In such cases, a ROW
easement agreement will be executed by the property owner and the Sub-project
Proponent, whereby the former will grant the latter the right to use the affected portion of
the lot, as ROW, but the owner retains ownership of the said portion of the lot. In these
cases, the Sub-project Proponent may pay the owner the value of the affected portion of
the lot based on an independent appraiser carried out according to internationally
accepted norms. In addition, the Sub-project Proponent shall compensate the property
owner at replacement cost for any improvements and/or structures on the land affected by
the ROW. The Sub-project Proponent will enter the easement area after the provision of
the full payment for the easement to the property owner. The ROW easement agreement
will be immediately registered with the Registry of Deeds.
157. The Sub-project Proponent may also acquire a property through usufruct. The
property owner retains the naked ownership of the land, while the Sub-project Proponent
enjoys the benefit of the use of land. The Sub-project Proponent and the property owner
will execute a usufruct agreement. The agreement will cover the rights and
responsibilities of the two parties, including the duration of the usufruct which should not
be lower than the project life. Project life for MWMP is seven years.
158. The Sub-project Proponent may also acquire lands through lease agreements with
the rightful property owner. The Sub-project Proponent and the property owner will
execute a Lease Contract. The contract will cover the rights and responsibilities of the
two parties, including the duration of the lease which should not be lower than the project
life, which is seven years
40
159. All land transaction should be registered with the Registry of Deeds for annotation
in the title of subject property.
15.0 APPLICATION OF THE PARTICIPATORY PROCESS
160. The participatory process shall commence as early as during the Sub-project
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 (as
shown in Table 6, below).
Table 6: Roles and Responsibilities
Sub-project
Stage
Participatory
Activities
Participants Responsible
Office/Institution
Sub-project Preparation
Pre-Feasibility
Study
Preliminary meeting
within LGU for the
overview of the
proposed Sub-
project
Local Chief
Executive and
Council, PIU-
attached units,
affected barangay
captains
PIU &/or its
Consultant, a
Resettlement
Specialist
General orientation-
meeting, barangay
level, preparatory to
conduct of
technical, social &
environmental
studies
PIU, concerned
barangay officials,
DPs, affected
communities
PIU &/or its RS
Conduct of Social
Impact Assessment
PIU, DPs, affected
communities
PIU &/or its RS
Feasibility Study 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
captains
PIU &/or its RS
Community
consultation on draft
RP
Community heads,
DPs, affected
communities
Affected barangay
officials, PIU &/or its
RS
Finalization of
RP and Technical
Design
RP finalization Community heads PIU &/or its RS
Final RP orientation
for LGUs, DPs &
affected
communities
LCE, LGU council,
PIU-attached units
including other
support agencies
PIU &/or its RS
41
like NHA, affected
barangay officials,
community heads,
DPs and affected
communities
Implementation
Setting up of RIC LGU council,
affected barangay
officials,
community heads,
DPs, affected
communities,
UPAO head &/or
NCIP
commissioners,
other support
agencies like NHA,
LGU council
Chairman (Vice-
Mayor) or his
representative, PIU
&/or its RS
` Implementation of
RP
PIU &/or its RS &
RIC
Internal monitoring
of RP
implementation
RIC, PIU,
community heads,
DPs
PIU &/or its RS,
LGUs and Community
Heads
External Monitoring EMA EMA
Post-Implementation
Evaluation of RP,
processes and
methodologies
RIC, DP reps,
EMA, PIU, reps of
relevant NGO & PO
PIU &/or its RS &
EMA
15.1. Prefeasibility
15.1.1. Preliminary Meeting with LGU
161. The PIU will conduct a preliminary meeting with the local chief executive and the
council about the sub-project and its components to:
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 MWMP RPF; and
discuss the compositions of the Resettlement Implementation Committee;
Grievance Committee and Valuation Committee.
42
15.1.2. General Orientation of the Community
162. Before undertaking the survey 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 sub-project will
hasten the data-gathering process and ensure quality of data.
163. The RPF will also be discussed for the communities to have an appreciation of the
processes and procedures. The RPF will be publicly posted/disclosed and will be made
available to the community if they want to discuss it further with the community
members.
164. Community orientation will be facilitated by the barangay officials and assisted by
the PIU to ensure correctness of information to be relayed to each member of the
community.
15.1.3. Social Assessment
165. The PIU will conduct as assessment of the positive and negative impacts of the sub-
project especially to the affected community, identifying all types of possible risks
involved. Often, sub-projects though initially conceived as beneficial may in turn have
adverse socio-economic, environmental and cultural impacts which are easily
overlooked. The assessment will be carried out with the participation of various
stakeholders (through consultation, focus group discussions and key informant
interviews) particularly those that will be adversely affected by the sub-project. Where IP
settlements/communities are affected, assessment activities should be coordinated with
the National Commission on Indigenous Peoples (NCIP) prior to field investigations.
Results of such investigation will form part of the assessment.
15.2. Feasibility
15.2.1. Preparation of Draft Resettlement Plan
166. 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. The RP should include the amounts and the
process to be applied in the payment of compensation to the DPs.
167. The RPF 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. (See Annexes 2D and
2E )
43
15.2.2. Presentation of Draft RP
168. Upon completion of the draft RP, the PIU will present it to the local chief executive
and council, heads of the attached units to the PIU and barangay leaders with a view
towards achieving consensus on the following:
resettlement program;
relocation sites;
roles and responsibilities in the RP implementation; and
identifying members of the RIC.
15.2.3. Community Consultation
169. Community consultation should be conducted continuously until an RP acceptable
to the DPs is arrived at. All aspects of the sub-project should be known to the affected
community and if necessary, leaflets and brochures be distributed for greater information
coverage.
170. Affected communities will also be informed on the mechanics and procedures for
consultation, grievance redress mechanism and the overall resettlement program.
171. 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.
15.3. Finalization of the Resettlement Plan
172. 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, barangay captains of affected barangays and selected members of the
community -- particularly People‘s Organization (PO) leaders, purok leaders and/or other
recognized leaders representing the DPs -- to orient them with the results of all the
surveys and assessments conducted to ensure that the sub-project will proceed as agreed
upon.
173. A copy of the final RP will be provided to the affected barangay/s for reference
purposes to ensure all procedures and agreements are included and met.
15.4. Project Implementation
174. Participation. Whenever possible, DPs will be consulted and involved in the
implementation of various activities in the sub-project.
15.5. Monitoring
175. The PIU, assisted by the RIC, will enlist the participation of the DPs in the internal
monitoring of the implementation of the RP. Representation of the DPs in the monitoring
44
of the implementation will provide a more accurate reading of the affected community‘s
feelings and reactions. The internal monitoring will focus on the following:
Ensuring that the RP is implemented as designed and approved; and
verifying if funds for implementation are provided in a timely manner and in
amounts sufficient for their purposes and that the funds are used in accordance with
the provisions of the RP.
176. In addition to the internal monitoring, an independent External Monitoring Agency
(EMA) will be hired by the Sub-project Proponent to carry out a separate monitoring and
evaluation (M&E) program of the RP. The EMA 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.
177. For MWMP, both Sub-project Proponents (MWIC and MWSI) can consider hiring
just one EMA to undertake the external monitoring for all of their sub-projects (see
Annex 2I).
15.6. Post Project Implementation
15.6.1. Evaluation of the RP Implementation
178. Upon completion of the RP implementation, a body composed of representatives
from the PIU, the RIC chairperson, DP representatives and representatives from relevant
NGOs and POs will be formed to evaluate the processes and methodologies of the RP
from preparation to implementation. Areas for improvement and best practices will be
identified for future use.
179. 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.
16.0 DISCLOSURE AND PUBLIC CONSULTATION
16.1. Key Principles
180. LBP, MWCI, MWSI and the LGUs are responsible for engaging with affected
communities through disclosure of information, consultation, and informed participation
in a manner commensurate with the risks to and impacts on the affected communities as
early as possible in the assessment process and on an ongoing basis throughout the life of
the project.
181. Local disclosure must be conducted in a culturally appropriate manner and provide
timely and relevant information to affected communities.
182. The final objective of local disclosure is to ensure that directly affected
communities, if any, are aware of the purpose, nature and scale of the project, the
duration of the proposed activities and of any risks to and potential impacts on such
45
communities, and that they are given the opportunity to provide input into the manner in
which these impacts and risks are managed.
183. The LBP, MWCI, MWSI and the LGUs are responsible for determining and
documenting whether the sub-project client has met its disclosure obligations and if all
required ongoing disclosure mechanisms and updates to the community are maintained
throughout the life of the project.
16.2. Target Population
184. Local disclosure of information should be targeted, at a minimum, to the directly
affected communities (including project-related workforce, where applicable).
185. If the specific location of the project will not be known until a later project stage,
the MWSI/MWCI will disclose (at a minimum) relevant project information to
appropriate authorities and organizations.
16.3. Timing
186. Timing of local disclosure will vary depending on the type of assessment involved,
the level of risks and impacts and the stage of the project‘s development or operation.
187. Below are some key minimum requirements that should be taken into account when
determining timing of local disclosure:
In all cases, if local disclosure has not already taken place as part of
MWSI/MWCI‘s existing community engagement activities at the time of
involvement, MWSI/MWCI should commence local disclosure as early as possible.
It is desirable for the concessionaires to commence implementing the local
disclosure process before LBP‘s institutional disclosure; however, this is not
mandatory as local disclosure requirements vary from project to project. At a
minimum, the concessionaires should commence local disclosure prior to the
commencement of construction or other implementation activities that could
generate direct impacts, where applicable.
In cases where construction or other implementation activities that generated
impacts on local communities have already commenced or if the project is already
under operation, at the time of the concessionaire‘s involvement and if local
disclosure has not already taken place, the concessionaire‘s local disclosure process
should be defined and its implementation commenced as soon as possible.
16.4. Information Documentation
188. LBP should disclose, in a culturally appropriated manner, relevant information on
the purpose, nature and scale of the project, the duration of the proposed project
activities, and any risks to and potential impacts on such communities, and the way these
impacts and risks will be managed. This information includes any final assessment
documents or summary of the assessment process where formal assessment documents
do not exist, and including relevant management plans.
46
189. Where the LBP and concessionaires have already engaged in a consultative process
with affected communities, any relevant document should incorporate feedback on issues
and concerns raised by the community.
17.0 GRIEVANCE PROCEDURES
190. Accessible grievance mechanisms will be established for the DPs and their
communities, and any host communities receiving them. These mechanisms aim to
address disputes that may arise from the resettlement.
191. Grievances will be handled through negotiations with the aim of achieving
consensus. Complaints will pass through two stages before they may be elevated to a
court of law as a last resort. Grievance redress shall have the following levels (see Table
7):
Table 7: Grievance Redress Levels:
Level Redress Steps
Level 1 A party lodges complaint or grievance to the RIC. After
proper investigation of facts presented, the RIC 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 RIC, 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 RIC on the actions taken
and progress of the case.
192. The RIC shall document all grievances, discussions, recommendations and
resolutions in writing (even when received verbally) at all grievance levels. See Annex
2K for an example of the Grievance and Commitment Registry and see Annex 2L for
contact information regarding the raising of grievances and complaints.
193. DPs will be exempted from all administrative and legal fees incurred pursuant to the
grievance redress procedures.
194. Resorting to courts prior to availing themselves 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.
18.0 RAPID RESPONSE TO CRISES AND EMERGENCIES
195. For damaged structures and facilities requiring the relocation of affected persons to
a new site because the original site has been damaged and has become technically
unstable, emergency support actions will be provided, as follows:
47
During the 2-4 months of the response period, the project will support emergency
actions to assist affected persons while the concessionaires prepare the design
strategy to reduce possible social impacts;
During the second stage, possibly up to one (1) year, emergency resettlement (if
needed) measures may be adopted; and
After the emergency needs are fully addressed, regular involuntary resettlement
measures would be implemented. Measures to be formulated should follow
participatory process from planning, implementation and monitoring and evaluation
of RAP.
19.0 CAPACITY BUILDING AND TRAINING REQUIREMENTS
196. The World Bank will conduct the following training courses for staff of LBP,
MWCI, MWSI and the LGUs who are responsible for social safeguards aspects:
refresher course on WB safeguards policies and their application per project stage;
and
preparation of an Abbreviated RAP and a Full RAP
197. Mentoring using the Project‘s first two cases of Abbreviated RAPs and all Full
RAPs will be undertaken.
20.0 COSTS AND BUDGETS
198. The Sub-project Proponent will be responsible for providing needed resources for
all activities related to the RP planning and implementation, including the operation of
the RIC. Each RP will include detailed cost estimates for compensation and relocation of
DPS; this will be done, as applicable, 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.
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ANNEX 1: ENVIRONMENTAL ISSUES
Annex 1A: WB Operational Policy and Bank Procedures on Environmental Assessment
OP 4.01, Annex C - Environmental Management Plan
These policies were prepared for use by World Bank staff and are not
necessarily a complete treatment of the subject.
OP 4.01 - Annex C
January, 1999
1. A project's environmental management plan (EMP) consists of the set of mitigation,
monitoring, and institutional measures to be taken during implementation and operation to
eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable
levels. The plan also includes the actions needed to implement these measures.1 Management
plans are essential elements of EA reports for Category A projects; for many Category B projects,
the EA may result in a management plan only. To prepare a management plan, the Borrower and
its EA design team (a) identify the set of responses to potentially adverse impacts; (b) determine
requirements for ensuring that those responses are made effectively and in a timely manner; and
(c) describe the means for meeting those requirements.2 More specifically, the EMP includes the
following components.
Mitigation
2. The EMP identifies feasible and cost-effective measures that may reduce potentially
significant adverse environmental impacts to acceptable levels. The plan includes compensatory
measures if mitigation measures are not feasible, cost-effective, or sufficient. Specifically, the
EMP.
(a) identifies and summarizes all anticipated significant adverse environmental impacts
(including those involving indigenous people or involuntary resettlement);
(b) describes--with technical details--each mitigation measure, including the type of impact to
which it relates and the conditions under which it is required (e.g., continuously or in the event of
contingencies), together with designs, equipment descriptions, and operating procedures, as
appropriate;
(c) estimates any potential environmental impacts of these measures; and
(d) provides linkage with any other mitigation plans (e.g., for involuntary resettlement,
indigenous peoples, or cultural property) required for the project.
Monitoring
3. Environmental monitoring during project implementation provides information about key
environmental aspects of the project, particularly the environmental impacts of the project and the
effectiveness of mitigation measures. Such information enables the Borrower and the Bank to
evaluate the success of mitigation as part of project supervision, and allows corrective action to
be taken when needed. Therefore, the EMP identifies monitoring objectives and specifies the
type of monitoring, with linkages to the impacts assessed in the EA report and the mitigation
measures described in the EMP. Specifically, the monitoring section of the EMP provides(a) a
specific description, and technical details, of monitoring measures, including the parameters to be
A2
measured, methods to be used, sampling locations, frequency of measurements, detection limits
(where appropriate), and definition of thresholds that will signal the need for corrective actions;
and (b) monitoring and reporting procedures to (i) ensure early detection of conditions that
necessitate particular mitigation measures, and (ii) furnish information on the progress and results
of mitigation.
Capacity Development and Training
4. To support timely and effective implementation of environmental project components and
mitigation measures, the EMP draws on the EA's assessment of the existence, role, and capability
of environmental units on site or at the agency and ministry level.3 If necessary, the EMP
recommends the establishment or expansion of such units, and the training of staff, to allow
implementation of EA recommendations. Specifically, the EMP provides a specific description
of institutional arrangements--who is responsible for carrying out the mitigatory and monitoring
measures (e.g., for operation, supervision, enforcement, monitoring of implementation, remedial
action, financing, reporting, and staff training). To strengthen environmental management
capability in the agencies responsible for implementation, most EMPs cover one or more of the
following additional topics: (a) technical assistance programs, (b) procurement of equipment and
supplies, and (c) organizational changes.
Implementation Schedule and Cost Estimates
5. For all three aspects (mitigation, monitoring, and capacity development), the EMP provides (a)
an implementation schedule for measures that must be carried out as part of the project, showing
phasing and coordination with overall project implementation plans; and (b) the capital and
recurrent cost estimates and sources of funds for implementing the EMP. These figures are also
integrated into the total project cost tables.
Integration of EMP with Project
6. The Borrower's decision to proceed with a project, and the Bank's decision to support it, are
predicated in part on the expectation that the EMP will be executed effectively. Consequently, the
Bank expects the plan to be specific in its description of the individual mitigation and monitoring
measures and its assignment of institutional responsibilities, and it must be integrated into the
project's overall planning, design, budget, and implementation. Such integration is achieved by
establishing the EMP within the project so that the plan will receive funding and supervision
along with the other components.
____________
The management plan is sometimes known as an "action plan." The EMP may be presented as
two or three separate plans covering mitigation, monitoring, and institutional aspects, depending
on borrowing country requirements.
For projects involving rehabilitation, upgrading, expansion, or privatization of existing facilities,
remediation of existing environmental problems may be more important than mitigation and
monitoring of expected impacts. For such projects, the management plan focuses on cost-
effective measures to remediate and manage these problems.
For projects having significant environmental implications, it is particularly important that there
be in the implementing ministry or agency an in-house environmental unit with adequate budget
and professional staffing strong in expertise relevant to the project (for projects involving dams
and reservoirs, see BP 4.01, Annex B).
A3
Annex 1B: Template for an Environmental Management Plan Checklist
Template for EMP Checklist for Category B projects
General Guidelines for use of EMP checklist:
For Category B sub-projects such as the wastewater treatment facilities financed by
MWMP, the following template serves as basis for a more streamlined approach to
preparing EMPs. The checklist-type format has been developed to provide examples of
good practices and is designed to be user friendly and compatible with safeguard
requirements.
The EMP checklist-type format attempts to cover typical core mitigation approaches to
civil works contracts with small, localized impacts. It is accepted that this format
provides the key elements of an Environmental Management Plan (EMP) or
Environmental Management Framework (EMF) to meet World Bank Environmental
Assessment requirements under OP 4.01. The intention of this checklist is that it would
be applicable as guidelines for the small works contractors and constitute an integral part
of bidding documents for contractors carrying out small civil works under Bank-financed
projects.
The checklist has four sections:
Part 1 General Project and Site Information - includes a descriptive part that
characterizes the project and specifies in terms the institutional and
legislative aspects, the technical project content, the potential need for
capacity building program and description of the public consultation
process. This section could be up to two pages long. Attachments for
additional information can be supplemented when needed.
Part 2 Safeguards Information - includes an environmental and social screening
checklist, where activities and potential environmental issues can be
checked in a simple Yes/No format. If any given activity/issue is triggered
by checking ―yes‖, a reference is made to the appropriate section in Part 3.
Part 3 Mitigation Measures – the following table, which clearly formulated
management and mitigation measures.
Part 4 Monitoring Plan - represents the monitoring plan for activities during
project construction and implementation. It retains the same format
required for EMPs proposed under normal Bank requirements for
Category B projects. It is the intent of this checklist that Part 2 and Part 3
be included into the bidding documents for contractors, priced during the
bidding process and diligent implementation supervised during works
execution.
A4
PART 1: GENERAL PROJECT AND SITE INFORMATION
INSTITUTIONAL & ADMINISTRATIVE
Country
Project title
Scope of project and
activity
Institutional
arrangements
(Name and contacts)
WB
(Project Team Leader)
Project Management Local Counterpart and/or Recipient
Implementation
arrangements
(Name and contacts)
Safeguard Supervision Local Counterpart
Supervision
Local Inspectorate
Supervision
Contactor
SITE DESCRIPTION
Name of site
Describe site location Attachment 1: Site Map [ ]Y [ ] N
Who owns the land?
Description of
geographic, physical,
biological, geological,
hydrographic and
socio-economic context
Locations and distance
for material sourcing,
especially aggregates,
water, stones?
LEGISLATION
Identify national &
local legislation &
permits that apply to
project activity
PUBLIC CONSULTATION
Identify when / where
the public consultation
process took place
INSTITUTIONAL CAPACITY BUILDING
Will there be any
capacity building?
[ ] N or [ ]Y if Yes, Attachment 2 includes the capacity building program
A5
PART 2: SAFEGUARDS INFORMATION
DETERMINATION OF POTENTIAL ENVIRONMENTAL /SOCIAL ASPECTS
Will the site
activity
include/involve
any of the
following??
Activity Status Triggered Actions
A. Construction works [] Yes [ ] No See Section A below
B. Rehabilitation activities [ ] Yes [] No See Section A below
C. Individual wastewater treatment system [ ] Yes [] No See Section B below
D. Historic building(s) and districts [ ] Yes [] No ?? See Section C below
E. Acquisition of land1 [ ] Yes [] No See Section D below
F. Hazardous or toxic materials2 [] Yes [ ] No See Section E below
G. Impacts on forests and/or protected areas [ ] Yes [] No See Section F below
H. Handling / management of medical waste [ ] Yes [] No See Section G below
I. Traffic and Pedestrian Safety [] Yes [ ] No See Section G below
1 Land acquisitions includes displacement of people, change of livelihood encroachment on private property this is to land that is purchased/transferred and affects people who are living and/or squatters and/or operate a business (kiosks) on land that is being acquired. 2 Toxic / hazardous material includes but is not limited to asbestos, toxic paints, noxious solvents, removal of lead paint, etc.
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PART 3: MITIGATION MEASURES
ACTIVITY PARAMETER MITIGATION MEASURES CHECKLIST
0. General
Conditions
Notification and
Worker Safety
(a) The local construction and environment inspectorates and communities have been notified of upcoming activities
(b) The public has been notified of the works through appropriate notification in the media and/or at publicly accessible sites (including the
site of the works)
(c) All legally required permits have been acquired for construction and/or rehabilitation
(d) The Contractor formally agrees that all work will be carried out in a safe and disciplined manner designed to minimize impacts on
neighboring residents and environment.
(e) Workers‘ PPE will comply with international good practice (always hardhats, as needed masks and safety glasses, harnesses and safety
boots)
(f) Appropriate signposting of the sites will inform workers of key rules and regulations to follow.
A. General
Construction
Activities
Air Quality (a) During interior demolition debris-chutes shall be used above the first floor
(b) Demolition debris shall be kept in controlled area and sprayed with water mist to reduce debris dust
(c) During pneumatic drilling/wall destruction dust shall be suppressed by ongoing water spraying and/or installing dust screen enclosures at
site
(d) The surrounding environment (side walks, roads) shall be kept free of debris to minimize dust
(e) There will be no open burning of construction / waste material at the site
(f) There will be no excessive idling of construction vehicles at sites
Noise (a) Construction noise will be limited to restricted times agreed to in the permit
(b) During operations the engine covers of generators, air compressors and other powered mechanical equipment shall be closed, and
equipment placed as far away from residential areas as possible
Water Quality (a) The site will establish appropriate erosion and sediment control measures such as e.g. hay bales and / or silt fences to prevent sediment
from moving off site and causing excessive turbidity in nearby streams and rivers.
Waste
management
(a) Waste collection and disposal pathways and sites will be identified for all major waste types expected from demolition and construction
activities.
(b) Mineral construction and demolition wastes will be separated from general refuse, organic, liquid and chemical wastes by on-site sorting
and stored in appropriate containers.
(c) Construction waste will be collected and disposed properly by licensed collectors
(d) The records of waste disposal will be maintained as proof for proper management as designed.
(e) Whenever feasible the contractor will reuse and recycle appropriate and viable materials (except asbestos)
B. Individual
wastewater
treatment
system
Water Quality (a) The approach to handling sanitary wastes and wastewater from building sites (installation or reconstruction) must be approved by the
local authorities
(b) Before being discharged into receiving waters, effluents from individual wastewater systems must be treated in order to meet the minimal
quality criteria set out by national guidelines on effluent quality and wastewater treatment
(c) Monitoring of new wastewater systems (before/after) will be carried out
(d) Construction vehicles and machinery will be washed only in designated areas where runoff will not pollute natural surface water bodies.
C. Historic
building(s)
Cultural Heritage (a) If the building is a designated historic structure, very close to such a structure, or located in a designated historic district, notification shall
be made and approvals/permits be obtained from local authorities and all construction activities planned and carried out in line with local
and national legislation.
(b) It shall be ensured that provisions are put in place so that artifacts or other possible ―chance finds‖ encountered in excavation or
construction are noted and registered, responsible officials contacted, and works activities delayed or modified to account for such finds.
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ACTIVITY PARAMETER MITIGATION MEASURES CHECKLIST
D. Acquisition
of land
Land Acquisition
Plan/Framework
(a) If expropriation of land was not expected but is required, or if loss of access to income of legal or illegal users of land was not expected
but may occur, that the Bank‘s Task Team Leader shall be immediately consulted.
(b) The approved Land Acquisition Plan/Framework (if required by the project) will be implemented
E. Toxic
Materials
Toxic /
hazardous waste
management
(a) Temporarily storage on site of all hazardous or toxic substances will be in safe containers labeled with details of composition, properties
and handling information
(b) The containers of hazardous substances shall be placed in an leak-proof container to prevent spillage and leaching
(c) The wastes shall be transported by specially licensed carriers and disposed in a licensed facility.
(d) Paints with toxic ingredients or solvents or lead-based paints will not be used
F. Affected
forests,
wetlands and/or
protected areas
Protection (a) All recognized natural habitats, wetlands and protected areas in the immediate vicinity of the activity will not be damaged or exploited,
all staff will be strictly prohibited from hunting, foraging, logging or other damaging activities.
(b) A survey and an inventory shall be made of large trees in the vicinity of the construction activity, large trees shall be marked and
cordoned off with fencing, their root system protected, and any damage to the trees avoided
(c) Adjacent wetlands and streams shall be protected from construction site run-off with appropriate erosion and sediment control feature to
include by not limited to hay bales and silt fences
(d) There will be no unlicensed borrow pits, quarries or waste dumps in adjacent areas, especially not in protected areas.
G Traffic and
Pedestrian
Safety
Direct or indirect
hazards to public
traffic and
pedestrians by
construction
activities
(a) In compliance with national regulations the contractor will insure that the construction site is properly secured and construction related
traffic regulated. This includes but is not limited to
Signposting, warning signs, barriers and traffic diversions: site will be clearly visible and the public warned of all potential hazards
Traffic management system and staff training, especially for site access and near-site heavy traffic. Provision of safe passages and
crossings for pedestrians where construction traffic interferes.
Adjustment of working hours to local traffic patterns, e.g. avoiding major transport activities during rush hours or times of livestock
movement
Active traffic management by trained and visible staff at the site, if required for safe and convenient passage for the public.
Ensuring safe and continuous access to office facilities, shops and residences during renovation activities, if the buildings stay open
for the public.
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PART 4: MONITORING PLAN
Phase
What
(Is the parameter
to be monitored?)
Where
(Is the parameter
to be monitored?)
How
(Is the parameter
to be monitored?)
When
(Define the
frequency / or
continuous?)
Why
(Is the parameter
being
monitored?)
Cost
(if not included
in project budget)
Who
(Is responsible
for monitoring?)
During activity
preparation
During activity
implementation
During activity
supervision
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ANNEX 2: SOCIAL ISSUES
Annex 2A: Cultural Property and Protection Measures
A. WB Policy on Management of Cultural Property (OP 4.11, July 2006)
Cultural resources are important as sources of valuable historical and scientific
information, as assets for economic and social development, and as integral parts
of a people's cultural identity and practices. The loss of such resources is
irreversible, but fortunately, it is often avoidable
The objective of OP/BP 4.11 on Physical Cultural Resources is to avoid, or
mitigate, adverse impacts on cultural resources from development projects that
the World Bank finances.
B. Protection of Cultural Property
1. Cultural property include monuments, structures, works of art, or sites of
significance points of view, and are defined as sites and structures having archaeological,
historical, architectural, or religious significance, and natural sites with cultural values.
This includes cemeteries, graveyards and graves.
2. The initial phase of the proposed emergency reconstruction operations pose
limited risks of damaging cultural property since subprojects will largely consist of small
investments in community infrastructure and income generating activities, reconstruction
of existing structures, and minor public works. Further, the list of negative subproject
attributes, which would make a subproject ineligible for support (Attachment 1), includes
any activity that would adversely impact cultural property. Nevertheless, the following
procedures for identification, protection from theft, and treatment of discovered artifacts
should be followed and included in standard bidding documents as provided in
Attachment 6.
Chance Find Procedures
3. Chance find procedures will be used as follows:
(a) Stop the construction activities in the area of the chance find;
(b) Delineate the discovered site or area;
(c) Secure the site to prevent any damage or loss of removable objects. In
cases of removable antiquities or sensitive remains, a night guard shall be
present until the responsible local authorities and the Ministry of Culture
take over;
(d) Notify the supervisory Engineer who in turn will notify the responsible
local authorities and the Ministry of Culture immediately (within 24 hours
or less);
(e) Responsible local authorities and the Ministry of Culture would be in
charge of protecting and preserving the site before deciding on subsequent
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appropriate procedures. This would require a preliminary evaluation of the
findings to be performed by the archeologists of the Ministry of Culture
(within 72 hours). The significance and importance of the findings should
be assessed according to the various criteria relevant to cultural heritage;
those include the aesthetic, historic, scientific or research, social and
economic values;
(f) Decisions on how to handle the finding shall be taken by the responsible
authorities and the Ministry of Culture. This could include changes in the
layout (such as when finding an irremovable remain of cultural or
archeological importance) conservation, preservation, restoration and
salvage;
(g) Implementation for the authority decision concerning the management of
the finding shall be communicated in writing by the Ministry of Culture;
and
(h) Construction work could resume only after permission is given from the
responsible local authorities and the Ministry of Culture concerning
safeguard of the heritage.
4. These procedures must be referred to as standard provisions in construction
contracts, when applicable, and as proposed in section 1.5 of Attachment 6. During
project supervision, the Site Engineer shall monitor the above regulations relating to the
treatment of any chance find encountered are observed.
5. Relevant findings will be recorded in World Bank Implementation Supervision
Reports (ISRs), and Implementation Completion Reports (ICRs) will assess the overall
effectiveness of the project‘s cultural property mitigation, management, and activities, as
appropriate.
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Annex 2B: Safeguards Procedures for Inclusion in the Technical Specifications of
Contracts
I. General
1. The Contractor and his employees shall adhere to the mitigation measures set
down and take all other measures required by the Engineer to prevent harm, and to
minimize the impact of his operations on the environment.
2. The Contractor shall not be permitted to unnecessarily strip clear the right of way.
The Contractor shall only clear the minimum width for construction and diversion roads
should not be constructed alongside the existing road. In case this is unavoidable, such
diversion roads should not create obstructions or disruptions of roadways,
passageways, and drainage channels. Provisions to maintain smooth pedestrian and
vehicle traffic and drainage flow should be in place to allow at all times accessibility
to homes and businesses and avoid water ponding.
3. Remedial actions which cannot be effectively carried out during construction
should be carried out on completion of each Section of the road (earthworks, pavement
and drainage) and before issuance of the Taking Over Certificate:
(a) these sections should be landscaped and any necessary remedial works should
be undertaken without delay, including grassing and reforestation;
(b) water courses should be cleared of debris and drains and culverts checked for
clear flow paths; and
(c) borrow pits should be dressed as fish ponds, or drained and made safe, as
agreed with the land owner.
4. The Contractor shall limit construction works to between 6 am and 7 pm if it is to
be carried out in or near residential areas.
5. The Contractor shall avoid the use of heavy or noisy equipment in specified areas
at night, or in sensitive areas such as near a hospital.
6. To prevent dust pollution during dry periods, the Contractor shall carry
out regular watering of earth and gravel haul roads and shall cover material haulage
trucks with tarpaulins to prevent spillage.
II. Transport
7. The Contractor shall use selected routes to the project site, as agreed with the
Engineer, and appropriately sized vehicles suitable to the class of road, and shall restrict
loads to prevent damage to roads and bridges used for transportation purposes. The
Contractor shall be held responsible for any damage caused to the roads and bridges due
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to the transportation of excessive loads, and shall be required to repair such damage to the
approval of the Engineer.
8. The Contractor shall not use any vehicles, either on or off road with grossly
excessive, exhaust or noise emissions. In any built up areas, noise mufflers shall be
installed and maintained in good condition on all motorized equipment under the control
of the Contractor.
9. Adequate traffic control measures shall be maintained by the Contractor
throughout the duration of the Contract and such measures shall be subject to prior
approval of the Engineer.
III. Workforce
10. The Contractor should whenever possible locally recruit the majority of the
workforce and shall provide appropriate training as necessary.
11. The Contractor shall install and maintain a temporary septic tank system for any
residential labor camp and without causing pollution of nearby watercourses.
12. The Contractor shall establish a method and system for storing and disposing of
all solid wastes generated by the labor camp and/or base camp.
13. The Contractor shall not allow the use of fuelwood for cooking or heating in any
labor camp or base camp and provide alternate facilities using other fuels.
14. The Contractor shall ensure that site offices, depots, asphalt plants and workshops
are located in appropriate areas as approved by the Engineer and not within 500 meters of
existing residential settlements and not within 1,000 meters for asphalt plants.
15. The Contractor shall ensure that site offices, depots and particularly storage areas
for diesel fuel and bitumen and asphalt plants are not located within 500 meters of
watercourses, and are operated so that no pollutants enter watercourses, either overland or
through groundwater seepage, especially during periods of rain. This will require
lubricants to be recycled and a ditch to be constructed around the area with an approved
settling pond/oil trap at the outlet. In case this is unavoidable, the contractor shall
ensure that any facility or equipment shall not discharge any waste such as (such as
domestic, solid or liquid waste, equipment or vehicle washings, construction debris)
or pollute these watercourses with industrial leakages during the preparation or
storage of building materials.
16. The contractor shall not use fuelwood as a means of heating during the processing
or preparation of any materials forming part of the Works.
IV. Quarries and Borrow Pits
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17. Operation of a new borrow area, on land, in a river, or in an existing area, shall be
subject to prior approval of the Engineer, and the operation shall cease if so instructed by
the Engineer. Borrow pits shall be prohibited where they might interfere with the natural
or designed drainage patterns. River locations shall be prohibited if they might
undermine or damage the river banks, or carry too much fine material downstream.
18. The Contractor shall ensure that all borrow pits used are left in a trim and tidy
condition with stable side slopes, and are drained ensuring that no stagnant water bodies
are created which could breed mosquitoes.
19. Rock or gravel taken from a river shall be far enough removed to limit the depth
of material removed to one-tenth of the width of the river at any one location, and not to
disrupt the river flow, or damage or undermine the river banks.
20. The location of crushing plants shall be subject to the approval of the Engineer,
and not be close to environmentally sensitive areas or to existing residential settlements,
and shall be operated with approved fitted dust control devices.
V. Earthworks
21. Earthworks shall be properly controlled, especially during the rainy season.
22. The Contractor shall maintain stable cut and fill slopes at all times and cause the
least possible disturbance to areas outside the prescribed limits of the work.
23. The Contractor shall complete cut and fill operations to final cross-sections at any
one location as soon as possible and preferably in one continuous operation to avoid
partially completed earthworks, especially during the rainy season.
24. In order to protect any cut or fill slopes from erosion, in accordance with the
drawings, cut off drains and toe-drains shall be provided at the top and bottom of slopes
and be planted with grass or other plant cover. Cut off drains should be provided above
high cuts to minimize water runoff and slope erosion.
25. Any excavated cut or unsuitable material shall be disposed of in designated
tipping areas as agreed to by the Engineer.
26. Tips should not be located where they can cause future slides, interfere with
agricultural land or any other properties, or cause soil from the dump to be washed into
any watercourse. Drains may need to be dug within and around the tips, as directed by
the Engineer.
VI. Historical and Archeological Sites
27. If the Contractor discovers archeological sites, historical sites, remains and
objects, including graveyards and/or individual graves during excavation or construction,
the Contractor shall:
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Stop the construction activities in the area of the chance find.
Delineate the discovered site or area.
Secure the site to prevent any damage or loss of removable objects. In
cases of removable antiquities or sensitive remains, a night guard shall be
present until the responsible local authorities and the Ministry of Culture
take over.
Notify the supervisory Engineer who in turn will notify the responsible
local authorities and the Ministry of Culture immediately (less than 24
hours).
Contact the responsible local authorities and the Ministry of Culture who
would be in charge of protecting and preserving the site before deciding
on the proper procedures to be carried out. This would require a
preliminary evaluation of the findings to be performed by the
archeologists of the Ministry of Culture (within 72 hours). The
significance and importance of the findings should be assessed according
to the various criteria relevant to cultural heritage, including the aesthetic,
historic, scientific or research, social and economic values.
Ensure that decisions on how to handle the finding be taken by the
responsible authorities and the Ministry of Culture. This could include
changes in the layout (such as when the finding is an irremovable remain
of cultural or archeological importance) conservation, preservation,
restoration and salvage.
Implementation for the authority decision concerning the management of
the finding shall be communicated in writing by the Ministry of Culture;
and
Construction work will resume only after authorization is given by the
responsible local authorities and the Ministry of Culture concerning the
safeguard of the heritage.
VII. Disposal of Construction and Vehicle Waste
28. Debris generated due to the dismantling of the existing structures shall be suitably
reused, to the extent feasible, in the proposed construction (e.g. as fill materials for
embankments). The disposal of remaining debris shall be carried out only at sites
identified and approved by the project engineer. The contractor should ensure that these
sites (a) are not located within designated forest areas; (b) do not impact natural drainage
courses; and (c) do not impact endangered/rare flora. Under no circumstances shall the
contractor dispose of any material in environmentally sensitive areas.
29. In the event any debris or silt from the sites is deposited on adjacent land, the
Contractor shall immediately remove such, debris or silt and restore the affected area to
its original state to the satisfaction of the Supervisor/Engineer.
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30. Bentonite slurry or similar debris generated from pile driving or other
construction activities shall be disposed of to avoid overflow into the surface water
bodies or form mud puddles in the area.
31. All arrangements for transportation during construction including provision,
maintenance, dismantling and clearing debris, where necessary, will be considered
incidental to the work and should be planned and implemented by the contractor as
approved and directed by the Engineer.
32. Vehicle/machinery and equipment operations, maintenance and refueling shall be
carried out to avoid spillage of fuels and lubricants and ground contamination. An 'oil
interceptor" will be provided for wash down and refueling areas. Fuel storage shall be
located in proper bunded areas.
33. All spills and collected petroleum products shall be disposed of in accordance
with standard environmental procedures/guidelines. Fuel storage and refilling areas shall
be located at least 300m from all cross drainage structures and important water bodies or
as directed by the Engineer.
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Annex 2C: 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 gross
harvest for the last 3 years & not less than P 15,000 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
Sub-Borrowers to replace affected assets at current
market price.
DPWH DP 142 (1995) Aims to avoid unnecessary delays in civil works
Inclusion of parcellary plans and 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
R.A 6389 Provides for disturbance compensation to agricultural
leases equivalent to 4 times the average gross harvest
in the last 5 years.
R.A. 7279, Urban
Development and Housing Provides guidelines for resettlement of persons living
in danger areas, e.g. riverbanks, shorelines, &
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Act of 1992 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 judgment by the court.
Informal settlers who built their house on or before the
effectivity date (March 28, 1992) are entitled to all
benefits and considerations prescribed in the said act.
All those exempted or not covered by the said act will
be dealt with accordingly (see Section 5.a)
RA 8368 or Anti-Squatting
Repeal Act of 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 or The
Indigenous Peoples Rights
Act of 1997
Protects & recognized 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 for the Value
of the Land Subject of Expropriation Proceedings or
Negotiated Sale – In order to facilitate the
determination 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;
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ii. The developmental cost 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 improves 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 land 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 actins related to
IPs and RP.
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Annex 2D: Elements of a Resettlement Action Plan
The scope and level of detail of the resettlement action plan (RAP) vary with the
magnitude and complexity of resettlement. The RAP is based on up-to-date and reliable
information about (a) the proposed resettlement and its impacts on the displaced persons
and other adversely affected groups, and (b) the legal issues involved in resettlement. The
RAP covers the elements below, as relevant. When any element is not relevant to project
circumstances, it should be noted in the resettlement plan.
1. Description of the project.
General description of the project and identification of the project area.
2. Potential impacts.
The following are needed:
(a) The project component or activities that give rise to resettlement;
(b) The zone of impact of such component or activities;
(c) The alternatives considered to avoid or minimize resettlement; and
(d) The mechanisms established to minimize resettlement, to the extent possible, during
project implementation.
3. Objectives.
The main objectives of the resettlement program.
4. Socioeconomic studies.
The findings of socioeconomic studies to be conducted in the early stages of project
preparation and with the involvement of potentially displaced people, including
(a) the results of a census survey covering:
current occupants of the affected area to establish a basis for the design of the
resettlement program and to exclude subsequent inflows of people from eligibility
for compensation and resettlement assistance;
standard characteristics of displaced households, including a description of
production systems, labor, and household organization; and baseline information
on livelihoods (including, as relevant, production levels and income derived from
both formal and informal economic activities) and standards of living (including
health status) of the displaced population;
the magnitude of the expected loss—total or partial—of assets, and the extent of
displacement, physical or economic;
information on vulnerable groups or persons as provided for in WB OP 4.12, para.
8, for whom special provisions may have to be made; and
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provisions to update information on the displaced people's livelihoods and
standards of living at regular intervals so that the latest information is available at
the time of their displacement.
(b) Other studies describing the following:
land tenure and 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, and any issues raised
by different tenure systems in the project area;
the patterns of social interaction in the affected communities, including social
networks and social support systems, and how they will be affected by the project;
public infrastructure and social services that will be affected; and
social and cultural characteristics of displaced communities, including a
description of formal and informal institutions (e.g., community organizations,
ritual groups, nongovernmental organizations (NGOs)) that may be relevant to the
consultation strategy and to designing and implementing the resettlement
activities.
5. Legal framework.
The findings of an analysis of the legal framework, covering:
the scope of the power of eminent domain and the nature of compensation
associated with it, in terms of both the valuation methodology and the timing of
payment;
the applicable legal and administrative procedures, including a description of the
remedies available to displaced persons in the judicial process and the normal
timeframe for such procedures, and any available alternative dispute resolution
mechanisms that may be relevant to resettlement under the project;
relevant law (including customary and traditional law) governing land tenure,
valuation of assets and losses, compensation, and natural resource usage rights;
customary personal law related to displacement; and environmental laws and
social welfare legislation;
laws and regulations relating to the agencies responsible for implementing
resettlement activities;
gaps, if any, between local laws covering eminent domain and resettlement and
the Bank's resettlement policy, and the mechanisms to bridge such gaps; and
any legal steps necessary to ensure the effective implementation of resettlement
activities under the project, including, as appropriate, a process for recognizing
claims to legal rights to land—including claims that derive from customary law
and traditional usage (see WB OP 4.12, para.15 b).
6. Institutional Framework.
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The findings of an analysis of the institutional framework covering:
the identification of agencies responsible for resettlement activities and NGOs
that may have a role in project implementation;
an assessment of the institutional capacity of such agencies and NGOs; and
any steps that are proposed to enhance the institutional capacity of agencies and
NGOs responsible for resettlement implementation.
7. Eligibility.
Definition of displaced persons and criteria for determining their eligibility for
compensation and other resettlement assistance, including relevant cut-off dates.
8. 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.
9. Resettlement measures.
A description of the packages of compensation and other resettlement measures that will
assist each category of eligible displaced persons to achieve the objectives of the policy
(see WB OP 4.12, para. 6). In addition to being technically and economically feasible, the
resettlement packages should be compatible with the cultural preferences of the displaced
persons, and prepared in consultation with them.
10. Site selection, site preparation, and relocation.
Alternative relocation sites considered and explanation of those selected, covering:
institutional and technical arrangements for identifying and preparing relocation
sites, whether rural or urban, for which a combination of productive potential,
locational advantages, and other factors is at least comparable to the advantages
of the old sites, with an estimate of the time needed to acquire and transfer land
and ancillary resources;
any measures necessary to prevent land speculation or influx of ineligible persons
at the selected sites;
procedures for physical relocation under the project, including timetables for site
preparation and transfer; and
legal arrangements for regularizing tenure and transferring titles to resettlers.
11. Housing, infrastructure, and social services.
Plans to provide (or to finance resettlers' provision of) housing, infrastructure (e.g., water
supply, feeder roads), and social services (e.g., schools, health services); 2 plans to ensure
comparable services to host populations; any necessary site development, engineering,
and architectural designs for these facilities.
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12. Environmental protection and management.
A description of the boundaries of the relocation area; and an assessment of the
environmental impacts of the proposed resettlement and measures to mitigate and
manage these impacts (coordinated as appropriate with the environmental assessment of
the main investment requiring the resettlement).
13. Community participation.
Involvement of resettlers and host communities, including:
description of the strategy for consultation with and participation of resettlers and
hosts in the design and implementation of the resettlement activities;
a summary of the views expressed and how these views were taken into account
in preparing the resettlement plan;
a review of the resettlement alternatives presented and the choices made by
displaced persons regarding options available to them, including choices related
to forms of compensation and resettlement assistance, to relocating as individuals
families or as parts of preexisting communities or kinship groups, to sustaining
existing patterns of group organization, and to retaining access to cultural
property (e.g. places of worship, pilgrimage centers, cemeteries); and
institutionalized arrangements by which displaced people can communicate their
concerns to project authorities throughout planning and implementation, and
measures to ensure that such vulnerable groups as indigenous people, ethnic
minorities, the landless, and women are adequately represented.
14. Integration with host populations.
Measures to mitigate the impact of resettlement on any host communities, including:
consultations with host communities and local governments;
arrangements for prompt tendering of any payment due the hosts for land
or other assets provided to resettlers;
arrangements for addressing any conflict that may arise between resettlers
and host communities; and
any measures necessary to augment services (e.g., education, water,
health, and production services) in host communities to make them at least
comparable to services available to resettlers.
15. Grievance procedures.
Affordable and accessible procedures for third-party settlement of disputes arising
from resettlement; such grievance mechanisms should take into account the
availability of judicial recourse and community and traditional dispute settlement
mechanisms.
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16. Organizational responsibilities.
The organizational framework for implementing resettlement, including identification
of agencies responsible for delivery of resettlement measures and provision of
services; arrangements to ensure appropriate coordination between agencies and
jurisdictions involved in implementation; and any measures (including technical
assistance) needed to strengthen the implementing agencies' capacity to design and
carry out resettlement activities; provisions for the transfer to local authorities or
resettlers themselves of responsibility for managing facilities and services provided
under the project and for transferring other such responsibilities from the resettlement
implementing agencies, when appropriate.
17. Implementation schedule.
An implementation schedule covering all resettlement activities from preparation
through implementation, including target dates for the achievement of expected
benefits to resettlers and hosts and terminating the various forms of assistance. The
schedule should indicate how the resettlement activities are linked to the
implementation of the overall project.
18. Costs and budget.
Tables showing itemized cost estimates for all resettlement activities, including
allowances for inflation, population growth, and other contingencies; timetables for
expenditures; sources of funds; and arrangements for timely flow of funds, and
funding for resettlement, if any, in areas outside the jurisdiction of the implementing
agencies.
19. Monitoring and evaluation.
Arrangements for monitoring of resettlement activities by the implementing agency,
supplemented by independent monitors as considered appropriate by the Bank, to
ensure complete and objective information; performance monitoring indicators to
measure inputs, outputs, and outcomes for resettlement activities; involvement of the
displaced persons in the monitoring process; evaluation of the impact of resettlement
for a reasonable period after all resettlement and related development activities have
been completed; using the results of resettlement monitoring to guide subsequent
implementation.
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Annex 2E: Elements of an Abbreviated Resettlement Action Plan
W.B. O.P. 4.12 – ANNEX A
An abbreviated plan covers the following minimum elements:
(a) a census survey of displaced persons and valuation of assets;
(b) description of compensation and other resettlement assistance to be provided;
(c) consultations with displaced people about acceptable alternatives;
(d) institutional responsibility for implementation and procedures for grievance
redress;
(e) arrangements for monitoring and implementation; and
(f) a timetable and budget.
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Annex 2F: Required Social Safeguards Document per Category
Social
Category
No. of Displaced
HHs/Persons
Required Documents
3 > 200 persons / 50 HHs
Adversely affected
ancestral domain and
indigenous cultural
communities
Full Resettlement Plan
(Attachment RCF-3 of Annex 4.1.1B)
Indigenous Peoples‘ Plan
2 1-199 persons / 50 HHs
An ethnic community
which has retained its
indigenous system or way
of life different from that
of the mainstream
community.
Abbreviated Resettlement Plan
(Attachment RCF-4 of Annex 4.1.1B)
Indigenous Peoples‘ Plan
1 0 None
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Annex 2G: Criteria for Review of Social Aspects
Criteria Means of Verification
1 Consultation and participation of
adversely affected persons
- Minutes of Public Consultations
- Expression of Support of Stakeholders,
particularly those adversely affected
- Survey Report on RAP
Acceptability/Willingness
- Free & Prior Informed Consent (FPIC), for DPs
that are IPs
2 Compensation and transition
assistances and rehabilitation
programs to be provided according
to the provisions of the MWMP
Resettlement Policy Framework
- Compensation Table with agreement of DPs
- Rehabilitation Program/s
- Resettlement Implementation Schedule, in
relation to Sub-project Implementation Schedule
3 Resettlement site of adversely
affected persons with conditions
equal to, or better than that, in
existing sites
- Resettlement Site Development Plan & Vicinity
Map
- Description of available / accessible basic
infrastructure and services in resettlement areas
- Visit to resettlement site/s
4 Implementation in relation to
overall Sub-project Implementation
Schedule
Vouchers/proofs of payment for Compensation
and transfer assistance provided.
- Progress reports on the Comprehensive
Resettlement Implementation Schedule within
the overall Sub-project Implementation Schedule
5 If applicable, progress on donations
of affected lands for sub-project
implementation
- Documentation of meeting held regarding land donation/s. Or, if land already donated, documentation of donation/s (note the total land area from which portion needed by Sub-project is taken) and the legal tenability of the donation ( e.g. no occupants in affected portion)
- Assessment report on the impact of the donation on the donor‘s economic viability.
6 Management of cultural properties
within, or in close proximity to the
sub-project area (c/o Environmental
Safeguards)
- Report on presence/absence of a cultural property
- Brief reconnaissance report of competent authority to determine what is known of the cultural aspects of the sub-project property
7 Provision for monitoring and
evaluation by an external
independent monitoring agency
- Resettlement Implementation Plan
- Resettlement Plan Cost Estimates
- Means to validate will be TOR and Contract of
services of the EMA.
8 Due Diligence on the history of the
land to be acquired- how and when
this was undertaken
- Consultation with local (barangay officials) in
the community
- Consultation with project sub-proponents how
and when land was acquired
- Report on land acquisition
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Annex 2H: Compensation Table
Type of Loss Application Entitled Person Compensation / Entitlement
1. Arable Land
Actual area
needed by the
project and the
remaining land is
still economically
viable
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 as provided in
2.b and 2.q of the Policy.
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 the concerned appraisal
committee.
DP will be given sufficient time to harvest crops on the subject
land
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 the land preparation in the
amount of Php 150 per sq.m.
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
Category A Cash compensation at replacement cost for the land as
determined by a licensed independent appraiser using
internationally recognized valuation standards as provided in
2.b and 2.q of this Policy; 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 and with long term
security of tenure.
Subsistence allowance of Php 15,000 per ha.
DP will be given time to harvest crops
Cash compensation for perennial of commercial value as
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Type of Loss Application Entitled Person Compensation / Entitlement
viable anymore) determined by the DENR or the concerned appraisal committee
If relocating, DP to be provided free transportation
Rehabilitation assistance (skills training and 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 the DP will have to
engage in a new income activity.
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
Cash compensation for perennials of commercial value as
determined by the DENR of the concerned appraisal committee
Financial assistance to make up for land preparation in the
amount of Php 150 per sq. m.
If relocating, DP to be provided free transportation
Rehabilitation assistance 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.
Category C -
Agricultural lessees
As per RA 6389 and EO 1035
Disturbance compensation equivalent to five times the average
gross harvest on the land holding during the five preceding
years but not less than Php 15,000
Rehabilitation assistance equivalent to 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 and damaged
structures
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Type of Loss Application Entitled Person Compensation / Entitlement
2. Residential
land and or
Commercial
land
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 the land as
determined by a licensed independent appraiser using
internationally recognized valuation standards as provided in
2.b and 2.q of this Policy.
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
Remaining
residential or
commercial land
becomes not
viable for
continued use
Category A Cash compensation at replacement cost for the land as
determined by a licensed independent appraiser using
internationally recognized valuation standards as provided in
2.b and 2.q of this Policy.
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 the DP, and 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 and 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 the concerned appraisal committee
If relocating, DP to be provided free transportation
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
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Type of Loss Application Entitled Person Compensation / Entitlement
3. Main
structures (e.g.
house, shops
etc)
Structure with or
without a
building permit,
partially affected
and the
remaining
structure is still
viable for
continued use.
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
MRIC)
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 who opt 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 MRIC)
Professional squatters will not receive compensation but they
can collect their salvaged 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
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Type of Loss Application Entitled Person Compensation / Entitlement
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
Entire structure
affected or when
the 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
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 MRIC
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
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Type of Loss Application Entitled Person Compensation / Entitlement
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.
4.Independent
shops
Shops with or
without building
permit, partially
affected and the
remaining
structures are still
viable for
continued use.
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 MRIC, 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
Renters (tenants) of
affected shops
As determined by the MRIC, shop renters will be entitled to a
transitional allowance to cover for their computed income loss
during the period that their business is interrupted.
Entire shop
affected or when
the remaining
structure
becomes not
viable for
continued use
with or without
building permit
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 the DP will
have to engage in a new income activity.
Professional squatter will not receive any compensation but
they can collect their salvageable materials.
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Type of Loss Application Entitled Person Compensation / Entitlement
Renters (tenants) of
affected shops
Given 3 months notice on the schedule of demolition
As determined by the MRIC, 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 the structure
including the cost of restoring the 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
9. Public
facilities
Loss of, or
damage to, public
infrastructure
Concerned agencies Compensation in cash at replacement cost to respective
agencies
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Annex 2I: Terms of Reference – External monitoring Agency
A. Introduction
Monitoring and evaluation of resettlement is an integral part of the project cycle, and one
of the requirements of RAP 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 RAP 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 RAP and providing entitlements to DPs, and
suggest improvement to those systems.
3. Assess whether the resettlement objectives, as set out in the RAP, have been met,
with respect to living conditions and livelihood.
4. Ascertain whether the resettlement entitlements were appropriate to meeting the
objectives of the RAP, 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 RAP, audit
internal management data relating to the RAP and recommended improvements.
8. Make recommendations regarding the implementation of the RAP 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.
A35
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.
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 RAP; 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
i. 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.
ii. An economist
iii. A financial monitoring specialist
iv. A database specialist
v. A community development specialist
A36
The team should be able to conduct the monitoring and evaluation in an objective
manner, incorporating a wide range 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.
F. Reporting
The EMA will provide copies of comprehensive monitoring reports together with
recommendations to improve implementation of the RAP 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 RAP.
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 RAP 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 RAP.
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.
A37
Annex 2J: Terms of Reference – Independent Appraiser
The Independent Appraiser will play a key role during the Land Acquisition Assessment
process. It will be hired by the Project Proponent with the consent of the Implementing
agency. 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
a. Conduct title plotting to determine the configuration of the property and if
there are any discrepancies from the technical description of the title
b. Survey of immediate neighborhood for present conditions and
improvements
c. Title Verification
d. Owner Verification
e. 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
a. Summary of property valuation
b. Complete description and details of the property
c. Photographs of subject property
d. Location and vicinity plan
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Annex 2K: Grievance and Commitment Registry
No Date
Received
Name Area/
Location
Case/
Commitment
Cost Action/
Solution
Date
Closed
Comments
1
2
3
4
A39
Annex 2L: Where to File/Raise Complaints and Grievances (Contact Persons)
Organization Name of
Contact
Person
Position Contact Details
LBP of the
Philippines
(still to be
hired) Social
Safeguards
Manila Water
(MWCI)
Social
Safeguards
(TBD)
(TBD )
Maynilad
Water
(MWSI)
Social
Safeguards
(TBD )
(TBD
(TBD )
A40
ANNEX 3: Summary of Public Consultation Proceedings on the MWMP IESSMF
The minutes will be included in the updated version of the document.
