PRIORITIZED ROAD INVESTMENT AND
MANAGEMENT ENHANCEMENTS (PRIME)PROJECT
Federated States of Micronesia

RESETTLEMENT FRAMEWORK

FINAL

Prepared forWith Funding from

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Resettlement Framework

CONTENTS
1.

2.

3.

4.

5.

Introduction ........................................................................................................................ 1
1.1

ESA Overview ........................................................................................................................... 1

1.2

Resettlement Framework .......................................................................................................... 1

Project Background and Rationale .................................................................................. 6
2.1

Overview of the ‘PRIME’ Project ............................................................................................... 6

2.2

Climate Adaptation and Resilience Objectives .......................................................................... 6

2.3‘PRIME’ Investments and Activities ........................................................................................... 7

2.4

Project Location ...................................................................................................................... 10

Legislative and Regulatory Framework ......................................................................... 16
3.1

FSM National Government Legislation and Regulations ......................................................... 16

3.2

State Government Legislation, Regulation and Land Rights ................................................... 22

3.3International Standards and Guidelines .................................................................................. 31

3.4

Comparison of WB ESF and FSM Legislative Requirements on Land Acquisition .................. 33

Project Principles, Entitlements and Procedures ......................................................... 36
4.1

Project Policy Principles .......................................................................................................... 36

4.2

Eligibility for Entitlements and Compensation ......................................................................... 39

4.3

Entitlements ............................................................................................................................ 40

Processes for Securing Land Access ............................................................................ 43
5.1

Environmental and Social Risk Screening ............................................................................... 43

5.2

Preparation of Land Access Reports and Plans ...................................................................... 44

5.3

Arrangement for Securing Land .............................................................................................. 47

6.

Stakeholder Engagement, Consultation and Participation .......................................... 50

7.

Grievance Mechanism ..................................................................................................... 52

8.

7.1

Introduction ............................................................................................................................. 52

7.2

Grievance Redress Process .................................................................................................... 54

7.3

Disclosure of Grievance Mechanism ....................................................................................... 56

7.4

Record Keeping and Reporting of Grievances ........................................................................ 56

Institutional Arrangements, Responsibilities and Implementation ............................. 59
8.1

Institutional Responsibilities and Structures ............................................................................ 59

8.2

Implementation Roles and Responsibilities ............................................................................. 61

8.3

Implementation Process .......................................................................................................... 66

9.

Budget and Financial Arrangements ............................................................................. 69

10.

Monitoring and Evaluation .............................................................................................. 71

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10.1

Internal Monitoring and Reporting ....................................................................................... 71

10.2

Submission and Distribution of Monitoring Reports ............................................................. 72

LIST OF TABLES
Table 3-1: WB Environmental and Social Standards relevant to the RF ....................................................... 32
Table 3-2: Gaps between WB ESF and FSM legislative requirements, and gap filling measures................... 33
Table 4-1: Entitlement Matrix for the PRIME Project ...................................................................................... 41
Table 6-1: PRIME Project Grievance Mechanism Process............................................................................. 54
Table 8-1: RF Implementation Responsibilities .............................................................................................. 67
Table 9-1: Indicative budget for implementing the RF. Responsibilities ......................................................... 69

LIST OF FIGURES
Figure 2-1: Location of FSM States: Kosrae, Pohnpei, Chuuk and Yap ......................................................... 11
Figure 2-2: Extent of PRIME Road on Kosrae. ............................................................................................... 12
Figure 2-3: Extent of PRIME Road on Pohnpei. ............................................................................................. 13
Figure 2-4: Extent of PRIME Road on Chuuk. ................................................................................................ 14
Figure 2-5: Extent of PRIME Road on Yap..................................................................................................... 15
Figure 5-1: E&S screening process in relation to the RF. ............................................................................... 44
Figure 8-1: Implementation arrangements for the PRIME Project . ................................................................ 59

APPENDICES
Appendix A

State Land Registration Procedures

Appendix B

Project Voluntary Land Donation (VLD) Protocol

Appendix C

Environmental and Social Screening Forms

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ABBREVIATIONS
ARAP

Abbreviated Resettlement Action Plan

AOI

Area of Interest

CBO

Community Based Organization

CIU

DoFA Central Implementation Unit

CRRSClimate Resilient Road Strategy

DoFA

Department of Finance and Administration

DoTC&I

Department of Transportation, Communications and Infrastructure

E&S

Environmental and Social

ESA

Environmental and Social Assessment

ESCP

Environmental and Social Commitment Plan

ESF

World Bank Environmental and Social Framework

ESMF

Environmental and Social Management Framework

ESMP

Environmental and Social Management Plan

ESSWorld Bank Environmental and Social Standards

FSM

Federated States of Micronesia

GIS

Geographic Information Systems

GoFSM

Government of FSM

GMGrievance Mechanism

IOL

Inventory of Loss

LADD

Land Access Due Diligence Report

MOU

Memorandum of UnderstandingNGO

Non-Governmental Organization

OHS

Occupational Health and Safety

PAP

Project Affected Person

PIU

PRIME Project Implementation Unit

PMU

DoTC&I Project Management Unit

PRIME

Prioritized Road Investment and Management Enhancements Project

PSC

Project Steering Committee

RF

Resettlement Framework

SEP

Stakeholder Engagement Plan

SIDS

Small Island Developing States

TOR

Terms of Reference

UNESCO

United Nations Educational, Scientific and Cultural Organization

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VA

Vulnerability Assessment

WB

World BankWHOWorld Health Organization

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GLOSSARY
Compensation

Payment in cash or in kind at the replacement cost of the acquired
assets for the Project.

Cut-off date

The eligibility cut-off date is the date of completion of the inventory ofloss (IOL) for Project works under Component 2. Assets located within
the Component 2 works footprint after this date will not be eligible for
entitlements or associated assistance.

Disadvantaged
Vulnerable People/

Those who may be more likely to be adversely affected by the project
impacts and/or more limited than others in their ability to takeadvantage of a project’s benefits. Such an individual/group is also more
likely to be excluded from/unable to participate fully in the mainstream
consultation process and as such may require specific measures
and/or assistance to do so. This will take into account considerations
relating to age, including the elderly and minors, and including
circumstances where they may be separated from their family, thecommunity or other individuals on which they depend.
Specifically, vulnerable groups for PRIME, disadvantaged andvulnerable people consist of the following categories of persons: i)those without legal title to the land or other asset/s, ii) households
headed by females (where appropriate), iii) the elderly or disabled, iv)
vulnerable road users due to road construction (refer definition to
below), and v) other vulnerable groups, such as people living in
extreme poverty or hardship.

Displaced Persons

Refers to all of the people who as a direct result of land acquisition or
restricted land use for the project would have their (1) standard of living
adversely affected; or (2) right, title, interest in any house, land(including premises, agricultural and grazing land) or any other fixed or
movable asset acquired or possessed temporarily or permanently; (3)access to productive assets adversely affected, temporarily or
permanently; or (4) business, occupation, work or place of residenceor habitat adversely affected; and “displaced person” means any of thedisplaced persons.

Economic
Displacement

Loss of income sources, or means of livelihoods as a result of (i)involuntary acquisition of land, or (ii) involuntary restrictions on land
use or on access to legally designated parks and protected areas.

Eligible Land Holders

Refers to affected persons who (a) hold title to land; or (b) do not holdtitle but whose possession of land can be legalized with a title pursuant
to the Land Law of FSM including those with recognizable rights.

Entitlement

Range of measures comprising compensation, income restoration
support, transfer assistance, income substitution, and relocation
support which are due to affected people, depending on the nature of
their losses, to restore their economic and social base. The
entitlements adopted for the PRIME Project were guided by theapplicable national laws and regulations and WB ESF. The
entitlements may be further revised based on actual impacts, if
applicable, in resettlement plans.

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Gender Mainstreaming

The process of ensuring that gender concerns and women’s needs andperspectives are explicitly considered in projects and programs, andthat women participate in the decision-making processes associatedwith development-based activities.

Indigenous Persons

WB ESS7: Referring exclusively is a generic term used to refer to a
distinct, vulnerable, social and cultural group possessing the following
characteristics in varying degrees: (i) self- identification as members ofa distinct indigenous social and cultural group and recognition of thisidentity by others; and (ii) collective attachment to geographicallydistinct habitats, ancestral territories or areas of seasonal use or
occupation, as well as to the natural resources in these areas; and (iii)
customary cultural, economic, social, or political institutions that are
distinct or separate from those of the mainstream society or culture;and (iv) a distinct language or dialect, often different from the official
language or languages of the country or region in which they reside.

Income Restoration

Means re-establishing income sources and livelihoods of projectaffected households to a minimum of the pre-project level.

Involuntary
Resettlement

Project-related land acquisition or restrictions on land use may cause
physical displacement (relocation, loss of residential land or loss ofshelter), economic displacement (loss of land, assets or access toassets, including those that lead to loss of income sources or othermeans of livelihood), or both. The term “involuntary resettlement” refers
to these impacts. Resettlement is considered involuntary whenaffected persons or communities do not have the right to refuse landacquisition or restrictions on land use that result in displacement.

Land Acquisition

All methods of obtaining land for project purposes, which may include
outright purchase, expropriation of property and acquisition of accessrights, such as easements or rights of way. Land acquisition may also
include: (a) acquisition of unoccupied or unutilized land whether or not
the landholder relies upon such land for income or livelihood purposes;(b) repossession of public land that is used or occupied by individuals
or households; and (c) project impacts that result in land being
submerged or otherwise rendered unusable or inaccessible. “Land”
includes anything growing on or permanently affixed to land, such as
crops, buildings and other improvements, and appurtenant water
bodies.

Livelihood

The full range of means that individuals, families, and communities
utilize to make a living, such as wage-based income, agriculture,
fishing, foraging, other natural resource-based livelihoods, petty trade,and bartering.

Meaningful
Consultation

WB ESF / ESS10: a two-way process that (a) begins early in the aproject planning process to gather initial views on the project proposal
an inform project design; (b) encourages stakeholder feedback,particularly as a way of informing project design and engagement by
stakeholders ion the identification and mitigation of environmental andsocial risks and impacts; (c) continues on an ongoing basis, as risks
and impacts arise; (d) is based on the prior disclosure andDecember 2020

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dissemination of relevant, transparent, objective, meaningful andeasily accessible information in a timeframe that enables meaningful
consultations with stakeholders, in a culturally appropriate format, in
relevant local language(s) and in understandable to stakeholders; €considers and responds to feedback; (f) supports active and inclusive
engagement with project-affected parties; (g) is free of externalmanipulation, interference, coercion, discrimination, and intimidation;and (h) is documented and disclosed by the Borrower.
Physical Displacement

This means relocation, loss of residential land, or loss of shelter as aresult of (i) involuntary acquisition of land, or (ii) involuntary restrictions
on land use or on access to legally designated parks and protectedareas.

PRIME Roads

Roads that will be assessed as part of Technical Assistance (TA)
aspects of the PRIME Project, including the Vulnerability Assessment(VA), Climate Resilient Road Strategy (CRRS) and Environmental andSocial Assessment (ESA) studies, which include the majority of theexisting ‘primary roads’ on the main islands of each FSM State, andsome additional secondary roads that are considered to be of strategic
and/or economic importance by DoTC&I. Only the primary roads
identified will be funded under Component 2 of the PRIME Project. Any
recommended improvements identified by the VA/CRRS on thesecondary roads will not be considered for funding under Component
2 of PRIME, however they may form part of recommended future
investment needs for FSM’s road network.

Project
Persons

Affected

Replacement Cost

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Includes any person, households, entity, organizations, firms or private
institutions who, on account of changes that result from the Project will
have their (i) standard of living adversely affected, (ii) right, title, orinterest in any house, land (including residential, commercial,
agricultural, forest, plantations, grazing, and/organizing land), water
resources, communal fishing grounds, annual or perennial crops andtrees, or any other moveable or fixed assets acquired, possessed,
restricted, or otherwise adversely affected, in full or in part,
permanently or temporarily; and/or (iii) business, occupation, place ofwork or residence, or habitat adversely affected, permanently or
temporarily, with or without displacement.
A method of valuation yielding compensation sufficient to replace
assets, plus necessary transaction costs associated with asset
replacement. Where functioning markets exist, replacement cost is themarket value as established through independent and competent realestate valuation, plus transaction costs. Where functioning markets do
not exist, replacement cost may be determined through alternativemeans, such as calculation of output value for land or productive
assets, or the undepreciated value of replacement material and laborfor construction of structures or other fixed assets, plus transaction
costs. In all instances where physical displacement results in loss ofshelter, replacement cost must at least be sufficient to enable purchaseor construction of housing that meets acceptable minimum community
standards of quality and safety. The valuation method for determining

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replacement cost should be documented and included in relevant
resettlement planning documents. Transaction costs include
administrative charges, registration or title fees, reasonable moving
expenses, and any similar costs imposed on affected persons. To
ensure compensation at replacement cost, planned compensation
rates may require updating in project areas where inflation is high or
the period of time between calculation of compensation rates anddelivery of compensation is extensive.
Restrictions
Use

on

land

Limitations or prohibitions on the use of agricultural, residential,commercial or other land that are directly introduced and put into effectas part of the project. These may include restrictions on access tolegally designated parks and protected areas, restrictions on access toother common property resources, restrictions on land use within utility
easements or safety zones.

Security of Tenure

Resettled individuals or communities are resettled to a site that they
can legally occupy, where they are protected from the risk of eviction
and where the tenure rights provided to them are socially and culturally
appropriate. In no event will resettled persons be provided tenure rightsthat are in effect weaker than the rights they had to the land or assets
from which they have been displaced.

Vulnerable Road Users

Road users who are more vulnerable to harm because they are not ina vehicle, including pedestrians, motorcyclists, cyclists, and those on
animals or animal drawn carts.

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1.

Introduction

1.1

Environmental and Social Assessment Overview
The Government of Federated States of Micronesia (GoFSM) has applied for financing
from the World Bank (WB) for the Prioritized Road Investment and Management
Enhancements (PRIME) Project to improve the climate resilience of FSM’s road network.
Part of the PRIME Project includes the assessment of environmental and social risks
including:(i)

Environmental and Social Assessment (ESA);(ii) Preparation of environmental and social instruments in accordance with the WB
Environmental and Social Framework (ESF);(iii) Support stakeholder consultation activities; and(iv) Provision of technical environmental and social advice as required to the GoFSM
as part of project preparation.
The ESA Consultant has been engaged by the GoFSM through the Department ofTransportation, Communications and Infrastructure (DoTC&I) to undertake the ESA andprepare instruments required for WB appraisal including development of a Resettlement
Framework (RF) for the PRIME Project.

1.2

Resettlement Framework

1.2.1

Purpose and Scope of the Resettlement Framework
As outlined in the World Bank Environmental and Social Framework 2017 (ESF), thepurpose of the Resettlement Framework (RF) is to clarify resettlement principles,organizational arrangements and design criteria to be applied to works or projectcomponents to be prepared during project implementation.
The RF is appropriate given the PRIME Project consists of a program and/or series ofclimate resilience road works in each State and the risks associated with land or asset loss
or livelihood impacts cannot be determined until the program or works details have been
identified and designed.
While some initial road works have been identified (refer Component 2, Section 2.3.3) as
requiring urgent works, the design of the required works has not yet been undertaken andthe full extent of impacts are not yet known. The additional road works that will form the
PRIME Project will be identified as part of the Vulnerability Assessment (VA) and Climate
Resilient Road Strategy (CRRS) studies. As part of these studies a multi-criteria
assessment will be undertaken to prioritize the urgency of works and works that will befunded by the PRIME Project. Environmental and social risk screening will be part of themulti-criteria analysis.
Once the works are defined for the PRIME Project and the necessary information becomes
available the RF will be expanded into specific plans proportionate to potential risks andimpacts for each specific road work.
As set out in Environmental and Social Standard (ESS) 5: Land Acquisition, Restriction on
Land Use and Involuntary Resettlement (ESS 5) of the ESF, the RF is to cover the following
elements:

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Resettlement Framework(a) a brief description of the project and components for which land acquisition andresettlement are required and an explanation of why a resettlement policy
framework rather than a resettlement plan is being prepared;(b) principles and objectives governing resettlement preparation and implementation;(c) a description of the process for preparing and approving resettlement plans;(d) estimated displacement impacts and estimated numbers and categories ofdisplaced persons, to the extent feasible;(e) eligibility criteria for defining various categories of displaced persons;(f)a legal framework reviewing the fit between borrower laws and regulations and WB
policy requirements and measures proposed to bridge any gaps between them;(g) methods of valuing affected assets;(h) organizational procedures for delivery of compensation and other resettlement
assistance, including, for projects involving private sector intermediaries, theresponsibilities of the financial intermediary, the government, and the private
developer;(i)a description of the implementation process, linking resettlement implementation
to civil works;(j)a description of grievance mechanisms (GM);(k) a description of the arrangements for funding resettlement, including the
preparation and review of cost estimates, the flow of funds, and contingency
arrangements;(l)a description of mechanisms for consultations with, and participation of, displaced
persons in planning, implementation, and monitoring; and(m) arrangements for monitoring by the implementing agency and, if required, by thirdparty monitors.
The RF includes measures to ensure that:•

Project Affected Person/s (PAPs) are informed about their options and rights
pertaining to livelihood restoration and compensation; adequate consultation isundertaken and PAPs are offered choices among compensation alternatives; andPAPs are provided prompt and effective replacement or compensation at full
replacement cost for lost assets; and•Transitional support is provided as necessary to all economically displaced persons
based on a reasonable estimate of the time required to restore their income earning
capacity, production levels, and standards of living.

To attain these measures, particular attention must be paid to the needs of vulnerable
groups among the PAPs, especially those with low income, the landless, the elderly andinfirm or other people experiencing displacement impacts but who may not be protected
through national land compensation legislation.

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1.2.1.1

Covid-19 Pandemic
On March 11, 2020, the World Health Organization (WHO) declared a global pandemic inresponse to the global spread of the severely infectious 2019 Novel Coronavirus (SARSCoV-2, or ‘Covid-19’).
FSM is particularly vulnerable to the risk of Covid-19 due to its economic reliance oninternational travel of residents, tourists, and trade. Although no cases have been reported
in the FSM to date (as at 1 December 2020), both international and domestic (i.e. interState) travel restrictions have been in place in FSM since March 2020 with strict quarantine
requirements for travelers.
As a result, the core internationally-based ESA consultant team was not able to travel to
FSM as part of the preparation of PRIME Project ESA instead engaged locally based subconsultants in each State to undertake the baseline data collection, field survey andstakeholder consultation activities under the direction of the internationally based
environmental and social experts.
In the absence of physically being present on-the-ground in FSM, the internationally-based
ESA consultant team implemented innovative solutions to baseline data collection,
including the use of ESRI ArcGIS Collector, a device (e.g. smart phone) based application
which was used by the FSM-based team to capture data. The data was automaticallyuploaded to the consultants’ GIS database. This method of data collection ensured
consistent and comprehensive data and information collection and communication, andallowed the GIS team to review in ‘real-time’ the data and ‘geo-tagged’ photographs
captured in the field.
Consultation meetings were facilitated by the State-based ESA consultant team members.
While initial efforts were made to allow relevant members of the international ESA
consultant team to call into larger meetings via online video conferencing, internet
connection was not reliable enough for this approach to be successful in most cases.
The FSM-based team was provided with training and consultation material (including
presentation, Project Summary, agenda, meeting minutes template and attendee lists) by
the international ESA consultant team members prior to consultation meetings. This wasundertaken to ensure consistency in the messages being communicated to stakeholders
across all four States, to ensure valuable feedback was provided and to manage
stakeholder expectations. An internal debrief meeting was then held after the meeting todiscuss any issues raised by the stakeholders and learnings from the process.

1.2.2

Resettlement Framework Objectives
The over-riding objective of the RF is to ensure that all Project Affected Persons (PAPs)
are fairly compensated for their losses and provided with rehabilitation measures to assist
them to improve, or at least maintain, their pre-Project living standards, livelihoods, andincome earning capacity. The key objectives of this RF are to:•Assess and develop livelihood restoration and compensation measures to ensurethat every affected household maintains an equivalent or better standard of living as
they had prior to economic displacement;•

Establish the entitlements of PAPs and/ or communities;

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Outline a strategy for preparing detailed cost estimates of all measures required toachieve the successful implementation of the livelihood restoration andcompensation program;•

Identify strategies to improve local living conditions and generate economic
opportunities, with particular focus on providing opportunities for people whose land
is directly impacted by the Project;•

Identify the institutional arrangements and responsibilities of Department ofTransport, Communications and Infrastructure (DoTC&I), other FSM Government
authorities, communities and other stakeholders required to implement the RF; and•Provide recommendations to ensure affected households and other stakeholders will
be consulted on the RF process and provide meaningful input into the design of theoverall compensation strategies.

Guiding principles applied in the preparation of this RF include:•

Land to be secured for the Project via Voluntary Land Donation (VLD) where suitable
and agreeable to affected land owners and occupants. The VLD process is to beproperly managed and documented in accordance with ESS5 (Footnote 10).

•To avoid involuntary resettlement or, when unavoidable, minimize involuntary
resettlement by exploring project design alternatives.

•

To avoid forced eviction.

•

To mitigate unavoidable adverse social and economic impacts from land acquisition
or restrictions on land use by:(a) Providing timely compensation for loss of assets at replacement cost, and(b) Assisting displaced persons in their efforts to improve, or at least restore, theirlivelihoods and living standards, in real terms, to pre-displacement levels or tolevels prevailing prior to the beginning of project implementation, whichever ishigher.

1.2.3•

To improve living conditions of poor or vulnerable persons who are physicallydisplaced, through provision of adequate housing, access to services and facilities,
and security of tenure.

•

To conceive and execute resettlement activities as sustainable development
programs, providing sufficient investment resources to enable displaced persons tobenefit directly from the project, as the nature of the project may warrant.

•

To ensure that resettlement activities are planned and implemented with appropriate
disclosure of information, meaningful consultation, and the informed participation of
those affected.

Links with Other Documents
This RF is one of several reports and environmental and social instruments developed tosupport management of the environmental and social aspects of the PRIME Project. Other
key E&S documents prepared by the ESA consultants for project appraisal include:•

Environmental and Social Management Framework (ESMF).

•

Stakeholder Engagement Plan (SEP).

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Environmental and Social Commitment Plan (ESCP).

Documents to be prepared during project implementation include:•

Labor Management and Health & Safety Procedures (LMP).

•

Generic Environmental and Social Management Plan (ESMP).

In particular, the RF draws on the ESMF which includes a baseline assessment of theenvironmental and social conditions along the road network being considered as part of
the PRIME Project.

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2.

Project Background and Rationale

2.1

Overview of the ‘PRIME’ Project
The Prioritized Road Investment and Management Enhancements (PRIME) Project will
provide funds for technical assistance and institutional strengthening to improve themanagement of the road network in relation to potential climate change impacts for the
FSM. In addition, the Project will fund the feasibility, design and construction of physicalworks on priority road assets to improve resilience to climate-related hazards or events.
FSM faces significant challenges related to its small size, remoteness, geographicaldispersion, environmental fragility and sensitivity to external shocks. Climate projections
predict elevations in air temperature, frequency of days of extreme, increased rainfall andrising sea levels. Sea level rise combined with natural year-to-year changes will accentuate
the impact of storm surges and coastal flooding.
FSM’s transport network is of critical importance to the country’s economy and economic
development through supporting trade and promoting commercial activity by facilitating the
movement of goods and services, and providing safe and efficient access to social services
including schools and health facilities. Critical climate resilient road, bridge or drainage
improvement works to be implemented urgently to maintain a basic level of land transport
connectivity in each state will be identified as part of the PRIME Project. The extent ofthese works is described and shown in Section 2.4.
While some initial road works have been identified as requiring urgent works (refer
Component 2, Section 2.3.2), the design of the required works has not yet been undertaken
and the full extent of impacts are not yet known. The additional works that will form the
PRIME Project will be identified as part of the VA and CRRS studies. As part of thesestudies a multi-criteria assessment will be undertaken to prioritize the urgency of works
and works that will be funded by PRIME. Environmental and social risk screening will bepart of the multi-criteria analysis.

2.2

Climate Adaptation and Resilience Objectives
Frequent natural disasters and climate change impacts impose high costs and may eventhreaten the physical viability of some areas of both the main islands of FSM and more
remote outer islands. Droughts, typhoons, storm waves, flooding and landslides all affect
FSM.
FSM is particularly vulnerable to the impacts of climate change and is likely to suffer
serious adverse environmental, social and economic losses as a result of climate change
induced hazards. Many people live within the coastal zone and are therefore vulnerable
to climate related changes in precipitation, sea level, storms and coastal erosion.
The negative impacts of climate change are already evident in FSM, for instance, saltwater
intrusion from rising sea levels that damage crops and contaminate freshwater supplies
and increasing extreme weather events such as typhoons. In addition, as drought and sea
level rise are amplified by regional El Niño Southern Oscillation (ENSO) processes,
formerly sustainable atoll communities now rely on imported food and water during timesof stress. Exacerbated by sea level rise, extreme spring tides, known in FSM as ‘King
Tides’, are causing site-specific intense marine inundation that damages taro beds, soil,
agro-forestry resources, and critical infrastructure along the coast, especially on low atoll
islets.

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Similar to other Small Island Developing States (SIDS), FSM is vitally dependent on accessto well-functioning and reliable transportation systems. FSM’s road network is of criticalimportance to the country’s economic development. It provides for the day-to-day wellbeing of its people by increasing their access to economic activities and social services. It
is estimated that around 75% of the population lives within 1 km of the coast, and criticalinfrastructure - such as hospitals, schools, government offices, places of employment,
tourist infrastructure, port facilities, airports, and roads–is located primarily in the coastal
zone. The country’s road network and users already suffer regular temporary – sometimes
only for hours, but occasionally longer - breaks of serviceability as vulnerable links or
locations can be frequently rendered impassable and journeys disrupted by flooding, debris
deposit, culvert, bridge and/or pavement damage.
Expected climate change effects - the combination of rising sea level and more intense
typhoons – will place these coastal assets and communities at a higher level of risk. The
FSM road network faces a range of vulnerability issues, in particular:(i)Coastal exposure to sea-level rise, storm surge, wave action during spring tides
and typhoons;(ii) Inland flooding and landslips during extreme rainfall events; and(iii) Accelerated pavement deterioration due to extreme weather and rising watertables in some locations.
The GoFSM plans to prepare a detailed assessment of vulnerabilities in road transport anddevelop a strategy for enhancing the climate resilience of the overall network for the sametime-frame, with WB’s assistance through the PRIME Project.
As outlined in Section 2.1, a key component of the PRIME Project is the preparation of theRoad Network VA and CRRS studies, the objective of which is to mainstream analysis ofsevere weather events and climate change into road network planning and will enable aprioritized list of proposed investments in the network.

2.3‘PRIME’ Investments and Activities
The PRIME Project will be included within the WB’s Pacific Climate Resilient Transport
Program (PCRTP) series of projects, and will make significant investments in a range ofclimate resilient infrastructure.
Project activities will primarily take place within existing primary road corridors, orimmediately adjacent to the road to improve erosion protection, drainage or safety features.
Some additional secondary roads that are considered to be of strategic and/or economic
importance will also form part of the ‘PRIME Roads’, and be assessed under Component
1 below, but recommended improvements on these secondary roads will not be considered
for funding under Component 2. The extent of these roads including a definition of ‘PRIME
Roads’ in each State are presented in Section 2.4.2.
The three key components of the PRIME Project are outlined below.

2.3.1

PRIME Component 1: Spatial and Sector Planning Tools
This Component involves technical assistance that will improve the way that climatechange is addressed in FSM’s road sector to enable policymakers to make informed
decisions based on the most accurate and up-to-date information available. The following
activities are proposed under Component 1:

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Resettlement Frameworka) Vulnerability Assessment (VA) and Climate Resilient Road Strategy (CRRS).
Preparation and implementation of a VA and CRRS to assess levels of vulnerability
to climate change and severe weather events (e.g. sea-level rise, extreme rainfall,landslide, storm surge, etc.) across FSM’s existing primary road corridors and
GoFSM-selected existing strategic secondary road corridors. The VA and CRRS
will also identify measures to enhance resilience and prioritize investments tobalance vulnerability reduction against cost implication. Training will be provided
to relevant national and state officials in the use of VA and CRRS tools.
b) Climate-informed road asset management systems. Provision of hardware,
software and ancillary tools to establish climate-informed road asset management
systems to be used by DoTC&I and State Road Authorities. Training will be
provided to relevant National and State officials in the use of these systems.

2.3.2

PRIME Component 2: Climate Resilient Infrastructure Solutions
This Component involves feasibility studies, design and construction of identified priority
road assets to improve their resilience to climate-related hazards. The integration ofclimate change considerations into infrastructure activities will help strengthen theresilience of assets and improve functionality of the road network. Component 2 is split
into two parts:a) Urgent Priority Works (including design and supervision). Critical climate resilientroad, bridge, causeway or drainage improvement works that should be
implemented urgently to maintain a basic level of road connectivity in each state.
Urgent works proposed for financing under the PRIME Project include:(i) Improving the narrow, low-level Lelu causeway in Kosrae;(ii) Replacing the 12 m Awak bridge in Pohnpei;(iii) Improving the 2.5 km airport to Pou Bay bridge road in Chuuk; and(iv) Replacing two short-span (6 m long) steel and concrete composite bridges
in Yap.
b) Works informed by the VA and CRRS (including design and supervision). In
addition to the urgent priorities under Sub-component 2a, a selection of near,medium and long-term road works would be financed to enhance the resilience ofthe network in each state to climate change impacts and natural hazards, inaccordance with the recommendations from the VA and CRRS undertaken as partof Component 1. Works will be restricted to road networks within the existing
primary road corridors. It is expected that physical works will not commence until
year 2 of the Project.
Interventions are expected to include measures to strengthen network resilience,
including but not necessarily limited to:(i)Pavement and surface strengthening – periodic maintenance, repairs,
rehabilitation or reconstruction of existing road pavement layers and/or
surfacing, including provision of sealed shoulders and raising road levels;(ii) Drainage improvements – provision, reinstatement and/or lining of
longitudinal drainage, replacement and/or increasing capacity of crossdrainage culverts, improving open or covered outfalls, provision of subsoil
drainage and cut-off drains;
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Federated States of Micronesia PRIME Project
Resettlement Framework(iii) Spot slope stabilization – widening and/or reducing slope of cuttings andfill embankments to reduce landslip risk, soil bioengineering andbiotechnical stabilization techniques, and anchoring of unstable rockslopes;(iv) Rock wall revetment strengthening – for protection of coastal roadsections;(v) Improvements to causeways and bridges – repairs or reconstruction ofexisting crossings and/or provision of new crossings to provide safe, allweather access for vehicles and pedestrians; and(vi) Road safety improvements – traffic calming measures, provision ofguardrails, line marking and minor realignments to improve sight distance.
Design of civil works will conform to international design codes of practice such as
Austroads 1 for road and bridge design. Specifications for all works and materials will also
be in accordance with international standards, making use of innovative materials andapproaches if they will enhance climate resilience.
Once the proposed Component 2 works have been identified as part of the VA/CRSS
prioritization process, early environmental and social risk screening will identify significant
impacts that require avoidance and mitigation and will contribute to project selection for
funding under the PRIME Project prior to commencement of preliminary design for theworks.
Further environmental and social risk screening will be undertaken once concept
preliminary designs have been developed to determine whether:(i) There are high risk (significant) environmental and/or social aspects of these works
that could prevent the works from being included under the PRIME Project;(ii) Works could be designed in a way to minimize environmental and social impacts;or(iii) Specific environmental assessments (such as ESIAs) and ESMPs, and Land
Access Reports/Plans are to be prepared. If works are subsequently redesigned,
further screening may be appropriate.

2.3.3

PRIME Component 3: Strengthening the Enabling Environment
This Component will provide funding to support institutional and regulatory reforms for road
sector asset management and maintenance, including measures to strengthen local
capacity and to increase the sustainability of climate resilient road sector investments. In
addition, this Component will help to strengthen coordination among relevant institutions,will look at ways in which road sector management can be improved, and will address any
emerging priority issues that can help support GoFSM in addressing climate change risks.
Proposed sub-components include:a) Institutional and Governance Review. A review of institutional arrangements,
key policies, regulations, legislation and roles and responsibilities of principle
stakeholders involved in the road sector with recommendations to strengthen sucharrangements.

1 https://austroads.com.au/

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Federated States of Micronesia PRIME Project
Resettlement Frameworkb) Project Management. Establishment and maintenance of a Project
Implementation Unit (PIU) to support the implementation of the PRIME Project. In
addition, this includes operating costs for PRIME-related travel andcommunications costs.
c) Road Safety Program. Provision of technical assistance activities to improve roadsafety.
d) Capacity Building Initiatives. Assess current preventive maintenance techniques
and industry capacity. Provide technical trainings to sector agencies and local
consultants and contractors to better operate and regulate a more climate resilient
road network.
e) Gender-informed Driver Licensing Pilot. A pilot program to study and implement
activities that address gaps in the possession of a driver’s license.
f)

Emerging Priority Issues. Providing technical assistance to strengthen the
Recipient’s capacity to address emerging priority issues that could have an impact
on the Recipient’s ability to manage a climate resilient road network.

Environmental and social instruments outlined in Section 1.2.3 (e.g. RF, ESMF, LMP, SEP
and ESCP), provide the methods to manage the environmental and social risks relating to
the technical advisory services that will be funded under this component. These
instruments are relevant for all activities under each Component. Environmental and social
instruments specifically relevant to Component 3 include the ESCP, SEP and LMP.

2.4

Project Location

2.4.1

National Context
FSM is located near the equator about 4,000 km southwest of the Hawaiian Islands in theWestern Pacific Ocean and within the Caroline Islands group. The largest nation in theMicronesian sub-region, FSM is made up of four semi-autonomous states (Kosrae,
Pohnpei, Chuuk and Yap) located between Marshall Islands to the east and Palau and thePhilippines to the west (refer Figure 2-1).
FSM is made up of 607 islands scattered over an area of about 2.6 million km2, including
its Exclusive Economic Zone (EEZ), in the western Pacific Ocean. The total land area of
FSM is 704.6 km2, with 7,192 km2 of lagoon area. The islands vary from small islets, which
are inundated at high tide, to atolls and large volcanic islands with land area of more than
80 km2. Approximately 65 (approx. 10%) of the islands are inhabited.
In general, there is only one primary, circumferential route on each of the four main FSM
Island states. In addition, most of the population in FSM lives close to the coast, and criticalinfrastructure including roads, schools, places of employment, port facilities, tourist
facilities, power plants and airports, are located primarily in the coastal zone.

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Figure 2-1: Location of FSM States: Kosrae, Pohnpei, Chuuk and Yap

2.4.2

Extent of ‘PRIME Roads’
For the purpose of the PRIME Project, the PRIME Roads have been defined as the roads
that will be assessed as part of Technical Assistance aspects of the PRIME Project,including the VA/CRRS and ESA studies, which include the majority of the existing ‘primaryroads’ on the main islands of each FSM State, and some additional secondary roads thatare considered to be of strategic and/or economic importance by DoTC&I. The extent of
the PRIME Roads in each State is shown in the sections below.
Only works that have been prioritized for primary roads will be eligible for funding underComponent 2 of the PRIME Project. Any recommended improvements identified by the
VA/CRRS on the secondary roads will not be considered for funding under Component 2of PRIME, however they may form part of recommended future investment needs for FSM’sroad network.
Component 2 works are only likely to include a small proportion (<10%) of the primaryroads within the PRIME Road network. The exact location of works, and the proportion of
the PRIME Road that will have climate resilient road works funded by PRIME will vary
between States depending on the nature of the works proposed.

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2.4.2.1

Kosrae State
The primary road network in Kosrae consists of the coastal road which circles two-thirdsof the island, built largely on the coastal strand bordered by mangrove forest and coastal
shoreline, from Utwe in the south through to the Airport at Okat in the northwest.
The PRIME Road extent on Kosrae includes much of the primary road network, plus anadditional secondary road to the north east of the island (refer Figure 2-2) considered to
be of strategic and economic importance to Kosrae at last partly due to commercial activity
on that road (i.e. a water bottling plant).

Figure 2-2: Extent of PRIME Road on Kosrae.

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2.4.2.2

Pohnpei StateThe Primary Road Network in Pohnpei consists of the 77 km coastal circumferential roadof which 54 km is paved and the remainder typically formed using a coral rock base course.
The PRIME Road extent on Pohnpei includes much of the primary road network plus
additional secondary roads considered to be of strategic an economic importance toPohnpei, including a road to Nan Madol (refer Figure 2-3), a significant archaeological siteon the eastern shore of Pohnpei that has been declared a United Nations Educational,
Scientific and Cultural Organization (UNESCO) World Heritage Site.

Nan Madol

Figure 2-3: Extent of PRIME Road on Pohnpei.

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2.4.2.3

Chuuk StateThe Chuuk State capital is located on Weno Island has a circumferential road that is
approximately 18.5 km in length. The Weno primary road network is currently in poor
condition in places, and inadequate drainage leads to difficultly with ongoing maintenance.
The PRIME Road extent on Weno Island, includes much of the primary road network on
the island plus additional secondary roads (West Pou Road, and other linking roads)
considered to be of strategic an economic importance (refer Figure 2-4).

Figure 2-4: Extent of PRIME Road on Chuuk.

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2.4.2.4

Yap State
The primary road network on Yap includes three primary roads: the main trunk road thatruns from the southern end of Yap Island in Magachil to the northern end of Maap Island;
the Yap Central Loop; and a road that branches off the main trunk road serving the districtsof Gagil.
The PRIME Road extent on Yap consists of the primary road network, plus additional
branches of the road to Ruu and Bugol as shown in refer Figure 2-5.

Figure 2-5: Extent of PRIME Road on Yap.

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3.

Legislative and Regulatory Framework

3.1

FSM National Government Legislation and Regulations

3.1.1

Overview
The GoFSM is modeled after the federal system similar to that of the United States with anational president and four state governors with respective legislatures and judiciaries. The
states of Pohnpei, Chuuk and Yap have four levels of governance – National, State,municipal, and traditional. Kosrae does not have the fourth level of government, as it nolonger has traditional leadership.
The four States of FSM (Kosrae, Pohnpei, Chuuk and Yap) have considerable degrees ofautonomy. Each State also has its own set of environmental and social laws andregulations geared to protect the States from a wide range of environmental impacts
including, the effects of climate change. Under the Compact II, Article VI and section 161
of Title II, FSM is committed to applying the National Environmental Policy Act 1969 (sincerepealed) and “to develop and implement standards and procedures to protect its
environment.”
The following articles of legislation are relevant to the PRIME Project.

3.1.2

FSM Constitution (1979)
The Constitution of the FSM (the ‘Constitution’) is the supreme law in FSM, and includes
a bill of rights (Art IV).
The Constitution acknowledges and protects the role and functions of traditional leaders
as recognized by custom and tradition, as well as the traditions of the Micronesian people(Art V).
The Constitution establishes National, State and Municipal levels governance (Art VII).
Each State is required to have its own democratic Constitution. The Constitution refers to
traditional practice and custom as a guiding influence in all aspects of decision-making in
FSM and seeks to preserve the role of tradition and custom in FSM life. To support this, aCouncil of Chiefs consisting of traditional leaders and elected representatives is provided
for in the Constitution.
Article IX of the Constitution establishes FSM’s legislature, which selects the President,
and with members elected for districts in each state according to population. Each State
elects their own legislature and governor. The National legislature has the power to makelegislation on a wide range of topics. For example, they may make laws “to regulate theownership, exploration, and exploitation of natural resources within the marine space of
the Federated States of Micronesia beyond 12 miles from island baselines” [Title 3].
Article X of the Constitution vests FSM’s executive power in an elected President as the
Head of State, who is elected by Congress for a four-year term and limited to no more than
two consecutive terms. The President appoints judges, ambassadors and principal officersof government departments in the National Government.
Article XI of the Constitution establishes the judiciary of FSM as comprised of the Supreme
Court, and subsidiary courts, established by statute. The Judiciary Act of 1979 provides
further guidance about the judiciary of FSM. Court decisions are constitutionally required
to be consistent with Micronesian customs and traditions.

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The legislative power of the National Government is vested in Congress. The Congressincludes one member elected from each of the four States, an additional member electedfrom congressional districts in each State apportioned by population. Chuuk, Pohnpei andYap may decide that one of its seats be reserved for a traditional leader in place of one of
the elected representatives.
Regulation development, as prescribed under the FSM Administrative Procedures Act,requires the widespread publication and dissemination of proposed regulations before
adoption, including radio announcements in English and indigenous languages.
Opportunities for public comment and public hearings are incorporated in the Act.
In most instances, national legislation is supplemented, or even duplicated, by Statelegislation.
The Constitution contains several references to the environment, land use and customs,
including the following:

3.1.3

PreambleStates, in part, “[t]o make one nation of many islands, we respect the diversityof our cultures. Our differences enrich us. The seas bring us together, they
do not separate us. Our islands sustain us, our island nation enlarges us andmakes us stronger.”

Article XIII

Contains additional provisions, including some that relate to the environment.

Section 2

Provides that “radioactive, toxic chemical, or other harmful substances may
not be tested, stored, used, or disposed of within the jurisdiction of theFederated States of Micronesia without the express approval of the national
government of the Federated States of Micronesia.”

Section 4

In terms of land use, “[a] noncitizen, or a corporation not wholly owned bycitizens, may not acquire title to land or waters in Micronesia.”

Section 5

Prohibits a lease agreement for the use of land for an indefinite term by a
noncitizen, a corporation not wholly owned by citizens, or any government isprohibited.

Section 113 (General
Provisions)

Empowers the High Commissioner to restrict or forbid non-citizens fromacquiring interests in real property and in business enterprises.

Section 114 (General
Provisions)

Requires due recognition to be given to local customs in the system of law.

Section 202 (General
Provisions)

Provides that customs not in conflict with other laws in Micronesia arepreserved.

FSM Environment Protection Act (2014)
The Environment Protection Act (revised Code 2014) provides for the protection of theenvironment, culture, historic and natural aspects of Micronesian heritage.
The Act is a national government declaration of on-going commitment in cooperation with
State and municipal governments and other concerned public and private organizations.
The Act declares to use all practicable means and measures, including financial andtechnical assistance, in a manner calculated to foster and promote the general welfare tocreate and maintain conditions under which the people of FSM man and nature can exist

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in productive harmony and fulfill the social, economic, and other requirements of present
and future generations of FSM.
The Act declares that it is the continuing responsibility of the FSM to use all practicablemeans, consistent with other essential considerations of national policy, to improve andcoordinate governmental plans, functions, programs, and resources to the end that the
inhabitants of the FSM may:a. Fulfill the responsibilities for each generation as trustee of the environment forsucceeding generations;b. Assure for all Micronesians safe, healthful, productive, and aesthetical and culturally
pleasing surroundings;c.

Attain the widest range of beneficial uses of the environment without degradation,risk to health or safety, or other undesirable or unintended consequences; andd. Preserve important historic, cultural, and natural aspects of our Micronesian
heritage, and maintain, wherever possible, an environment, which supports diversityand variety of individual choice.
The effort to protect and preserve the environment needs to be carried forward in close
cooperation with the States in the formulation of policy, enforcement, and other activities.
The FSM recognizes that each person has a responsibility to contribute to the preservationand enhancement of the environment. Section 302 of the Environmental Impact
Assessment Act states that - 1) any person, prior to taking any action that may significantly
affect the quality of the environment within the Exclusive Economic Zone (EEZ) of the FSM,
or within the boundaries of the National Capital Complex at Palikir, must submit anenvironmental impact statement to the Director, in accordance with regulations establishedby the Director. (2) The environmental impact statements required by subsection (1) of thissection are public documents.
Building on the Trust Territory Environmental Quality Protection Act (Title 25 of the FSM
Constitution), the FSM Environmental Protection Act 1984 (FSM EPA), and its subordinate
instruments, seeks to provide the legislative basis for the protection of the environment,
including cultural, historic and natural aspects of Micronesian heritage, throughout FSM.
The Act acknowledges that close co-operation between the National and State
Governments is required to support this objective.
The 1969 Act established the Environmental Protection Board within the Office of the
President. The Board is composed of five members: “one member from each State andone member appointed by the President”. In 1987, an Act to Reorganize the Governmentof the FSM redefined the Board to mean the Secretary for Human Resources.
The Act requires the Secretary to enter into written cooperative arrangements with theStates or State agencies for the purposes of providing funds to the States, collecting dataon local needs and transferring authority to the States to act as agents of the National
Government in implementing environmental programs at the State level. Such delegationof functions may be withdrawn on written advice from the Secretary if the delegation resultsin termination of any financial grant.
The Secretary, as a result, has broad authority to protect health, welfare and safety and to
implement policy and strategies, through the promulgation of regulations, to remedy
pollution and contamination of air, land and water.
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3.1.4

FSM EPA Environmental Impact Assessment Regulations (1989)
The purpose of the EIA Regulations is to implement Section 13 of the FSM Environmental
Protection Act by establishing standard procedures for preparation of an environmental
impact assessment statement prior to taking or funding any major action that may
significantly affect the quality of the human environment.
These Regulations require the National Government and its agencies to submit an
Environmental Impact Statement (EIS) to the Secretary of Human Resources prior to taking
any “major” 2 action significantly effecting the quality of the human environment. “Effect” isdefined to include indirect, direct and cumulative effects in areas such as land use,
population density, air, water and natural systems including ecosystems. “Effects” may beecological, aesthetic, cultural, historical, economic, social or health-related. “Significant
Impacts”, determined as a result of a preliminary assessment, require a Comprehensive
EIA. Draft EIA statements are to be made available for public comment and review,
including provision for a public hearing.
Part I (l) defines Project Proponents as the FSM National Government or its agencies or
the recipient of funding from the FSM National Government or its agencies, that propose
to undertake any major action significantly affecting the quality of the human environment.
Part III sets out the EIA process. Part IV elaborates on this process which is a two-step
assessment process with the first step being the submission of an Initial Assessment using
a checklist template. If following evaluation there are potentially severe environmental
impacts, then a Comprehensive EIA is required. The contents of the Comprehensive EIA
are set out in Part V.
The EIA process is intended to help the general public and government officials makedecisions with the understanding of the environmental consequences of their decisions,and take actions consistent with the goal of protecting, restoring, and enhancing theenvironment. These regulations provide the directions to achieve this purpose. In addition,these regulations are designed to:a. Integrate the EIA process into early planning of projects to ensure timely
consideration of environmental factors and to avoid delays; andb. Identify at an early stage the significant environmental issues requiring further study
and de-emphasize insignificant issues, thereby defining the scope of the EIA.
Other relevant environmental regulations relevant to the PRIME Project, are discussed
further in the ESMF 3.

3.1.5

Land Tenure in FSM
The individual States have separate and distinct land tenure arrangements, with somebroad commonalities that persist throughout State land tenure systems. The following
outline of land tenure structure in FSM, including each of the four States is based on Doran(2004) 4.

2 No definition is provided for a ‘Major” action in the Regulations.

For the purposes of this assessment it is assumed that the urgent
works PRIME Project constitutes a ‘Major’ action given the nature and scale of associated potential impacts.

3 DoTC&I, 2020, ‘Prioritized Road Investment and Management Enhancements (PRIME) Project, FSM: Environmental and Social
Management Framework’, Report prepared for Department of Transportation, Communication and Infrastructure.
4 Doran, 2004, ‘Private Lands Conservation in the Federated States of Micronesia’, Sponsored by the Nature Conservancy,

University of Colorado Boulder

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The FSM Constitution forbids land ownership to foreigners as well as to domestic
corporations that have non-FSM citizens among their shareholders. Group and communal
ownership of land is prevalent throughout the FSM. There are differences, however,concerning rights of land transfer within the FSM. In Chuuk, Kosrae and Yap, land can betransferred by law to all FSM citizens. In Pohnpei, however, it can only be transferred topersons from that island.
Traditional and cultural institutions have a strong presence in Micronesian life. The
keystone of Micronesian society is the extended family, which is collectively responsible
for maintaining the welfare of the family including in relation to customary family land.
Traditionally, land ownership in FSM was limited to inheritance within a family or clan. As
a result, many land parcels in FSM are subject to the communal use and alienation rights
of extended families, clans and communities. Private landholders influenced to varying
degrees by customary land tenure systems nevertheless occupy most lands.
Patterns of public and private ownership over land and aquatic areas vary among thestates. In Pohnpei and Kosrae, land is both privately and state owned, while aquatic areas
are managed by the state as public trusts. In Chuuk, most land and aquatic areas are
privately owned and acquired through inheritance, gift or by purchase. In Yap, almost allland and aquatic areas are owned or managed by individual estates and usage is subject
to traditional control.
Traditionally, the use of terrestrial resources and all accessible marine resources was
distributed among the people under the control of chiefs. Rights could be given, earned
and inherited either matrilineally or patrilineally. Complex usage rights overlaid actual site
ownerships; for example, owners of a tree and users of its fruit might not be the owners of
the land on which it grew.
Land tenure patterns generally involve communal ownership of a single plot, single
ownership of several and separate plots or usage right to land owned by traditional leaders.
In the traditional economy, land is not a commodity to be sold or traded. However, theattitude in some areas towards land is changing with sales and trades taking place as wellas leases especially near centers of development.
Cadastral and registration programs have been undertaken in each of the states withvarying effects. In the main island of Yap, less than 10% of land has been registered andtitled since a cadastral program commenced some 30 years ago. Chuuk and Kosrae havemade more progress in the initial determination of land parcels although there is a
substantial backlog in the land parcels to be surveyed and mapped and numerous
outstanding disputes.
Pohnpei appears to have made the greatest progress in the cadastral survey of private
lands. However, as of 2004 most privately held land had not been surveyed, mapped,
registered or titled. As memories fade and differing claims for ownership arise, theabsence of permanent survey and ownership records will make it increasingly difficult toattain the goal of secure and efficient land transactions.

3.1.6

Land Acquisition in FSM
Section 205 of the General Provisions of the Land Use Act for FSM provides that “[t]he law
concerning ownership, use, inheritance, and transfer of land in effect in any part of theTrust Territory on December 1, 1941, shall remain in full force and effect to the extent thatit has been or may hereafter be changed by express written enactment made underauthority of the Trust Territory.”

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The Government Property Acquisition [Title 56] deals with eminent domain (Chapter 1),
real property acquisition (Chapter 2), relocation assistance (Chapter 3) and alien property(Chapter 4).
Chapter 1 of the Act provides that no private corporations will have the right of eminent
domain in Micronesia. “Eminent domain” means “the right of the central Government or a
district legal entity….to condemn property for public use or purposes and to appropriate
the ownership and possession of such property for such public use upon paying the ownera just compensation to be ascertained according to the law.” Road easements are allowed
under the Constitution.
Road easement agreements were entered in to between GoFSM and relevant individual
landowners prior to the creation of primary roads in each State. However, the roadeasement boundaries are typically not demarcated and the easement corridor not closely
managed. In some road sections there has been encroachment in to the road easementarea, generally with secondary structures, such as fences, and crops. 5
Chapter 2 sets out the procedures for Government when acquiring property, including thepayment of a purchase price and compensation. As set out in Section 202 relating toproperty acquisition procedures and negotiations, when acquiring property GoFSM is to:1) Make every reasonable effort to acquire real property expeditiously throughnegotiation;2) Before the initiation of negotiations, have the property appraised and give theowner or his representative an opportunity to accompany the appraiser during theinspection of the property; and
3) Before the initiation of negotiations, establish an amount which is believed to bejust compensation for the real property, and make a prompt written offer to acquire
the property for that amount. In no event will the just compensation offered be lessthan the Government's approved appraisal of the fair market value of suchproperty. At the time the Government makes an offer to purchase real property, theowner of that property will be provided with a written statement of the basis for theamount estimated to be just compensation.
Section 203 specifies that in determining just compensation for the property any increaseor decrease of the fair market value caused by the public improvement for which theproperty is acquired prior to the date of valuation will be disregarded (other than thatcaused by physical deterioration).
Chapter 3 addresses the relocation assistance with the purpose “to establish a uniform
policy for the fair and equitable treatment of persons displaced by the acquisition of real
property by Trust Territory Government and district land acquisition programs, or byprograms of rehabilitation of buildings or other improvements conducted pursuant togovernmental supervision.”
The provisions in Chapter 4 set out how land formerly owned by the Japanese Government
or Japanese citizens is to be dealt with. The Attorney General shall act as alien property
custodian.
5 In order to ensure local community and landowner support for the project works, the Project has adopted

the ‘participatory design approach’ wherein local communities and land owners will be consulted through thedesign phase to ensure that any modifications to the road footprint and associated mitigation and restorative
measures are agreed. See Section 4.1.1.
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3.2

State Government Legislation, Regulation and Land Rights
The four States of FSM each have their respective state level regulations and legal
frameworks elaborating on the National Constitution and Regulations and stipulating their
specific requirements.
The State level legal frameworks relevant to the RF are outlined below. Note that it is theState legislation that are the most important for the PRIME Project, as the works will bemonitored at a State level.
These State EIA regulations relevant to the broader PRIME Project are discussed in the
ESMF4.

3.2.1

Kosrae3.2.1.1

The Legal Framework
The following laws and policies that exist in Kosrae for land ownership and use that may
apply to the RF include:

3.2.1.2•

Constitution of the State of Kosrae 1984 (Primary rule of law in the State of Kosrae).

•

Kosrae State Code, Title 17, Chapter 4 (Establishes the Kosrae EPA).

•

Kosrae State Code, Section 11.103 (State Acquisition of Land).

•

Kosrae Code, Section 11.1401 and 11.1402 (Protection of antiquities andtraditional culture).

•

Kosrae Code Section 11.201 (Land use and subsidiary regulations).

Kosrae Constitution
Article XI of the Kosrae Constitution addresses land and environment matters. It grants
the people the right to “a healthful, clean and stable environment”. The State governmentis required to “by law protect the State’s environment, ecology, and natural resources from
impairment in the public interest.” The Constitution prohibits nuclear, chemical, gas or
biological weapons and hazardous radioactive material being in the State. The
Constitution provides “[t]he waters, land, and other natural resources within the marine
space of the State are public property, the use of which the State Government shallregulate by law in the public interest…” Rivers and streams may be designated by law as
public property for use in the public interest. The State Government may acquire land for
public purposes without the interested parties’ consent, subject to the payment of faircompensation and good faith attempt at negotiation. Title to State land may only be
acquired by Micronesian citizens who are Kosraean by descent.
Kosrae Article VIII of the Kosrae Constitution provides that the two levels of governmentfor Kosrae are State and municipal. Municipalities are granted powers and functions inrelation to local affairs, property and government so far as they are not limited by law. The
Kosrae Constitution requires the State Government to “protect the State’s traditions as
may be required by the public interest” (Art II).

3.2.1.3

Land Tenure Administration
The responsibility for the administration of land tenure in Kosrae is vested in two agencies:i) The Land Court, and ii) the Department of Resource & Economic Affairs (DREA). All
land registration on Kosrae is occurs through the Land Court.

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Within the DREA, two divisions have responsibilities for land management: i) Division ofSurvey and Mapping and the ii) Division of Land Management. Responsibilities of theDivision of Survey and Mapping include:•

Surveying, mapping, and monitoring the use of public lands;•

Maintaining a roster of all parcels of public lands;•

Assisting in the acquisition of lands for public projects; and•Conducting the survey of private lands in coordination with the State Land Court.

The procedure for land registration in Kosrae is outlined in Appendix A.1.
3.2.1.4

Land Ownership, Lease and Use Rights
The Kosrae State Government controls much of the land in Kosrae including Government
owned lands, mangrove areas, nearshore areas, and lagoon areas. Primarily, Government
lands are the interior of the Island, above the ‘Japanese line’ 6 and foreshore areas.
Only Kosraeans can own land (i.e. not foreigners). The land is owned by way of acertificate of title issued when the registration process is complete for individual
landowners. However, if the land is inherited by multiple heirs or if customary family landis held in common, then a ‘tenancy in common’ title is issued.
As a protectorate measure, foreigners can only lease land, not own it. Kosrae state law
allows locals and foreigners alike to lease for up to a 55-year term renewable for an
additional 55 years. Although this provides secure access and use for the lease period,
issues such as land ownership disputes, lack of certainty, poor surveying, absence ofrecords, and uncertain parameters for customary usage often hinder foreign investment.
As in other Pacific island land tenure systems, land transactions are often made undercustomary practice, which is frequently undocumented.
This makes accurate
determination of ownership rights and pricing of land difficult to determine.
Accessing land through access rights (customary practice) was common for hunting orgathering purposes. Nowadays, this is more common in the upland and government
owned areas. Accessing land and use rights for productive lands particularly in settled
areas is done through lease agreements.
In managing land and land use, the Kosrae State Code provides for land use planning,surveying practice, homesteading and establishment of the Land Court. The Land Court
determines and registers land titles. Further, the deed of trust allows for the transfer of an
estate in real property or freehold or leasehold interest in real property to secure an
obligation. This practice allows land transactions for monetary or customary obligations.
While use rights to lands in Kosrae were fairly flexible in the past, they are becoming
considerably less so. Population growth and an attendant increase in the density ofsettlement areas have led to more tension over land boundaries. Such use rights ashunting, agro-forestry, gathering of medicinal plants and herbs primarily takes place on
upland, government owned areas. With respect to more productive lands, as well as lands
in settled areas, use rights are now determined “within the framework of documented
leasing.”

6 A line which sets aside the upper elevation of Kosrae Island; land above the line is designated as Government and land below theline is where privately owned designations begin.
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Use rights to mangrove areas are generally controlled by the Municipal Governments.
Also, the Kosrae Land Use Plan and its regulatory body, the Development Review
Commission (DRC), condition use rights to “government land, the mangrove areas andnear-shore areas or the lagoon”.
3.2.1.5

Land Acquisition
The Kosrae State Code Title 11, Land and Environment, sets out the requirements
regarding the acquisition and use of land. Under Title 11, the Governor can transfer title
or interest in public land on behalf of the State but only with the Legislature’s resolution.
The Governor also has the authority to designate suitable areas of the public land forhomesteading to eligible persons.
Most of the land in Kosrae is privately owned. However, the State can acquire an interestin private land for public purpose without consent of the landowners. As outlined in Section
11.103 of the State Code, to acquire an interest in private land the State uses its best
efforts to identify and contact all interested parties which are all persons holding or claiming
legal interest in the land or interest sought by the State. If the State is unable to acquire
an interest in land the State may initiate a court action to acquire the land.
The Constitution and the Article XI Land and Environment provide for fair compensation
should there be a need for land acquisition for the purpose of resettlement, showing thatthe lands and the interest are ‘highly suited’ to the intended use. The process must be
done in good faith and made reasonable effort to avoid substantial hardship to theinterested parties.

3.2.1.6

Settling Land Disputes
Should land conflicts arise, land claim disputes are settled by the Land Registration Teamduring their preliminary hearing on the parcels designated for registration. If theRegistration Team or the Land Commission administration finds that an excessive lengthof time is being spent by the team in settling a dispute, the case may be deferred to theCommission itself. Principles of the Commission then hear the claimants and witnesses
and make a determination on evidence received by the original team and the Commission.
If the Land Court cannot adjudicate a claim, the case may be referred to the State Court
without determination. Appeals for previous Land Court determinations may also bereferred to the State Court. The Court’s decision of the claim is final. Upon certification of
the judicial result of the case to the Land Court, the Court issues a certificate of title in thesame manner as following a Court determination.

3.2.2

Pohnpei

3.2.2.1

The Legal Framework
The following laws and policies that exist in Pohnpei for land ownership and use that may
apply to the RF include:

December 2020•

Constitution of the State of Pohnpei 1984 (Primary rule of law in the State ofPohnpei).

•Public Trust Lands Distribution Act 1980.

•

Public Lands Act 1987.

•

Deed of Trust Act 1987.

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3.2.2.2•

Transportation Zone Act 1987.

•

Pohnpei Environmental Protection Act 1992 (which land ownership documentation
requirements, and Department of Lands Approval).

•

Pohnpei Cultural Preservation Act.

Pohnpei Constitution
Under the Pohnpei Constitution, the State Governor must establish and administer“comprehensive plans for the conservation of natural resources and the protection of theenvironment”. Article 12 states that only Ponapean citizens, who are also pwilidak ofPohnpei, may acquire a permanent interest in real property. The Constitution also prohibits
leases of more than 25 years and indefinite land-use agreements. The Government ofPohnpei may acquire land for public purposes following consultation with local government,
owners and an offer for payment of a purchase price or compensation. Article 13 of the
Pohnpei Constitution prohibits the introduction, storage, use, test and disposal of nuclear,chemical, gas and biological weapons, nuclear power plants and related waste materials
from Pohnpei.
Article 5 of the Pohnpei Constitution states “[t]his Constitution upholds, respects, andprotects the customs and traditions of the traditional kingdoms of Pohnpei” and that the
Pohnpei Government shall respect and protect customs and traditions.

3.2.2.3

Land Tenure Administration
In Pohnpei, the identification, determination, survey and mapping of land, and issuance of
titles are all functions of the State Government. There are two government institutions
charged with the administration of land in Pohnpei i) The Court of Land Tenure, and ii) the
Division of Lands.
The Land Commission was re-designated The Court of Land Tenure, under Title 67 of theTrust Territory Code.
The Division of Lands, which is part of the Department of Resource Management andDevelopment has three offices:
1) Office of Historic Preservation and Cultural Affairs;
2) Office of Surveying and Mapping; and3) Office of Management and Administration of Public Lands.
The Office of Survey and Mapping is responsible for the survey and mapping of all public
and private lands on Pohnpei.
The procedure for land registration in Pohnpei is outlined in Appendix A.2.

3.2.2.4

Land Ownership, Lease and Use Rights
In Pohnpei, ownership of land by title is widely recognized, and becoming more and more
popular as families want to secure their land holdings with clear title and to use these lands
as real property collateral for business loans or home improvement.
The lease of private land is considered a “fortuitous” method for securing family income in
Pohnpei. Provided the landowner holds clear title, private lands can be leased in Pohnpei.
Under certain conditions, public lands can be subleased by a landholder; and in somecases, lands held by Naval Lease agreements can also be subleased Lease agreementsfor private lands that exceed a term of one year must be registered on either the certificate

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Federated States of Micronesia PRIME Project
Resettlement Frameworkof title or on the certificate of lease holding. Neither public nor private lands can be leased
for a term greater than 25 years without legislative waiver of the State Constitutional
Constraint, and approval of the terms of the lease. The Office of Management andAdministration of Public Lands issues and oversees the administration lease and use
agreements for public lands
3.2.2.5

Land Acquisition
Article XII of the Pohnpei Constitution deals with eminent domain and compensation forland appropriated by the government. This section authorizes the State Government toacquire interests in land for public purposes.
The Section goes on to state, “No taking shall occur until after consultation with the local
government concerned, good-faith negotiation with the owners of such interests, whichshall include the offer to exchange the land for land of comparable value, or a payment ofjust compensation.”

3.2.2.6

Settling Land Disputes
The resolution of land disputes rests with the Court of Land Tenure. Each judge of the
Court of Land Tenure first endeavors to settle all disputes on lands within his assigned
registration area during the initial hearings. If such disputes continue over an undue lengthof time (interfering with pace of adjudication of claims within the registration area), thedispute may be referred to the Principal Judge of the Court of Land Tenure. The Principle
Judge may either designate another Judge of the Court of Land Tenure to hear the caseor refer the claim to the Pohnpei Supreme Court. The decision of the Pohnpei Supreme
Court is final.
With public lands, initial arbitration in land disputes on leased lands or homesteaded lands
awaiting title transfer is taken up with the Office of Management and Administration of
Public Lands. If settlement cannot be achieved at this level, the case is referred to the
Court of Land Tenure.

3.2.3

Chuuk

3.2.3.1

The Legal Framework
The following laws and policies that exist in Chuuk for land ownership and use that may
apply to the RF include:

3.2.3.2•

Constitution of the State of Chuuk 1989 (Primary rule of law in the State of Chuuk.

•

Chuuk State Historic Preservations Act 1991.

•

Chuuk State Environmental Protection Act 1994.

Chuuk Constitution
Article XI of the Chuuk Constitution requires the legislature to “provide by law for thedevelopment and enforcement of standards of environmental quality, and for theestablishment of an independent state agency vested with responsibility for environmental
matters.” Article XI of the Chuuk Constitution also gives the State Government the power
to take an interest in land for public interest purposes subject to negotiations and thepayment of compensation.
Article IV of the Chuuk Constitution recognizes and protects customary law and the role oftradition leaders in Chuuk.

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3.2.3.3

Land Tenure Administration
The administration of land tenure in Chuuk is located in two agencies, i) the Chuuk Land
Commission and ii) the Division of Land Management, which is part of the Department ofCommerce and Industry.
Actions concerning the determination of land title rest initially with the Chuuk State Land
Commission which is statutorily charged with the registration and determination of landownership. The primary purpose of the Commission is to determine and register theownership of land in the state utilizing a title registration system to determine the current
status of each property. The Commission also has responsibility to certify the survey andmapping of each individual ownership.
The Division of Land Management administers the uses and disposal of public lands, aswell as the development, utilization and conservation of natural resources found on suchlands.
The procedure for land registration in Chuuk is outlined in Appendix A.3.

3.2.3.4

Land Ownership, Lease and Use Rights
Ownership of land in Chuuk is a mix of modern and traditional land tenure practices.
Essentially, modern ownership via land title can be held by any citizen of the FSM, lineage
groups, a family or extended family, or by a business or joint tenancy.
The bulk of private land in Chuuk has determined or registered by the Chuuk State Land
Commission. Thus, lineage authorities retain a strong influence over much of the land.
While lands held by customary authorities can be sold, leased, or traded by the lineage
heads there is considerable confusion regarding the role that chiefs, head-of-households,
or matrilineal authority can play in such transactions
With respect to the highly populated lagoon islands of Chuuk, contemporary lease and use
rights are fairly straightforward. All leases for a term greater than one year are noted on
the certificate of title along with other encumbrances on the property. Leases arenegotiated for money and once formalized they are supported by the State court system.

3.2.3.5

Land Acquisition
Article XI of the Chuuk Constitution deals with the issue of eminent domain andcompensation for land appropriated by the government and states that the “power to takean interest in land may only be exercised by the State Government for a specified purposeof general public interest, as prescribed by statute. Negotiations with the owner forvoluntary lease, sale, or exchange shall be fully exhausted and just compensation shall befully tendered before a taking may occur.”
Article XI also provides that “[u]pon the termination of the public use for which an interestin land is involuntarily acquired, the State Government shall return and quit claim the land
to the owner or the owner’s successor”. The Legislature shall also provide for access tothe courts to ensure “the good faith of the negotiations, the reasonable necessity of theacquisition, and the adequacy of the compensation tendered.”

3.2.3.6

Settling Land Disputes
Because the modern registration system has not been extended to a major portion of themunicipalities providing title documentation and boundary survey, many of the land
disputes in Chuuk are first handled by traditional authorities. Most arbitrators, whether

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they are village elders or chiefs or whether they operate with quasi-judicial or judicial
authority, have not felt if fair to all concerned to rush to settlement.
Hearings are often stopped when heated arguments occur between claimants and newhearings may not convene for months. The pattern of long, drawn-out land dispute
arbitration is at least partly a holdover from very early traditional times. Should parties
remain unhappy with the settlement by lineage heads, village chiefs or other traditional
leader, an appeal can be made directly to the Trial Division of the State Supreme Court.
For lands that have been titled, registered or lands that have some ownership or leasehold
documentation and for those lands in a designated registration area, the Land registration
Team is the first level of authority that can be approached for dispute settlement. Initially,
the Land Registration Teams will work with the customary and traditional authorities tocome to some resolution.
Should the Land Registration team fail to reach settlement with the disputed parties, theclaim is referred to the Land Commissioners. Originally, one purpose of the Land
Commission was to help resolve land disputes out of court and with sensitivity to thecustomary law. The problem now is that the Land Commission, once acting as an informal
arbitrator between parties, has become increasingly more formal in its procedures.
Hearings are held with witnesses and records to tie its procedures directly to the judicial
system. Hence, the Land Commission is less effective today as an alternative means to
dispute settlement.

3.2.4

Yap

3.2.4.1

The Legal Framework
The following laws and policies that exist in Yap for land ownership and use that may apply
to the RF include:

3.2.4.2•

Constitution of the State of Yap 1982 (Primary rule of law in the State of Yap).

•

Environmental Quality Protection Act 1987.

•

Yap State Code, Title 20, Chapter 3 (Building permits).

Yap Constitution
The Yap Constitution states that the “state Government may provide for the protection,conservation and sustainable development of agricultural, marine, mineral, forest, water,
land and other natural resources.” It also prohibits testing, storing, using or disposing ofradioactive and nuclear substances within the State. Land ownership and uses are
restricted under the Yap Constitution. The State recognizes traditional rights andownership of natural resources and areas within the marine space of the State up to 12
miles from island baselines.
The Yap Constitution grants due recognition to the Dalip pi Nguchol and their traditionaland customary roles, and to traditions and customs in providing a system of law (Art III).
In Yap, Traditional leaders who serve in the Council of Pilung and the Council of Tamolcarry out traditional and customary functions. Land in Yap may only be acquired in amanner consistent with traditions and customs (Art XIII).

3.2.4.3

Land Tenure Administration
While the authority of the Yap Land Commission was established in 1966 when theCongress of Micronesia passed The Land Commission Act, currently there is no Land

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Commission in Yap. The functions of the Land Commission have instead been vested in
the Division of Lands, part of the Department of Resources and Development.
Land disputes and boundary problems are resolved through traditional and customary
methods as well as at the Municipal Government level with assistance from the Cadastral
Survey Projects Branch of the Division of Lands.
The Division of Land Resources consists of the following three sections:1) Survey & Mapping Section: composed of three Branches:(i) Economic Development Projects Branch;(ii) Drafting & Computing Branch; and(iii) the Cadastral Survey Projects Branch.
2) Land Registration Section: responsible for documenting, filing, storing and retrievalof all land titles and associated documents.
3) Public Lands and Property Section: responsible for the acquisition andmanagement of Government lands.
The procedure for land registration in Yap is outlined in Appendix A.4.
3.2.4.4

Land Ownership, Lease and Use Rights
The majority of privately held land in Yap has not been surveyed, mapped or registered,thus many of the customary use rights remain in effect with respect to these lands.
Landholders, or other land authorities, can grant “permission or transfer use rights of estatelands in the traditional manner.”
The Yap State Constitution permits the leasing of lands. However, if a foreign interest is
involved, the lease must be limited to a term no greater than 50 years. Additionally, thesame constitutional provision empowers the State Legislature to prescribe a shorter leaseterm by statute. The State Legislature must approve by resolution any lease on public landthat extends beyond five years.
Yap has a particularly distinctive social system, dominated by the overlords of the mainisland of Yap. The inhabitants of the main island are divided among three social orders,which are further divided into the three levels of chiefs, nobles and commoners. A castelike relationship prevails in which the lowest ranking groups act as the servants of higherranking groups that provide the land. Chiefs can require the delivery of food and otheritems, and thus can easily contribute to the burden of material poverty. Under existing
reciprocity arrangements, a key issue is the degree of responsibility accepted by traditional
leaders to provide for all community members according to need.
Traditional and contemporary ownership systems are outlined below.
Traditional Ownership of Land.
As summarized by Doran (2004) 7, there are several traditional terms and concepts that
influence customary land use in Yap:a) Tabinaew: refers to certain parcels of land in a location. The people who haveinherited the land or reside on the land are called “people of the estate.” The term
tabinaew is also used to designate parcels of land associated with a house

7 Doran, 2004, ‘Private Lands Conservation in the Federated States of Micronesia’, Sponsored by the Nature Conservancy,

University of Colorado Boulder
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foundation or to a specific house foundation itself. Traditionally, the person incontrol of the highest-ranking Tabinaew in the village became the Village Chief.
b) Mafen: a group of people who have certain rights to an estate. People with Mafen
authority are expected to safeguard the Tabinaew heritage against the whims of
its current inhabitants and against breach of custom on the land. Mafen rights, areassociated with a woman and her children, her sisters and their children, and areusually conferred as matrilineal rights. The Mafen rights usually go to eldest
female sibling or to one that is capable; other female siblings are “people of the
Mafen.” While Mafen rights do not refer to ownership rights, historically Mafen
rights gave the woman the right to confiscate the estate lands of an offender.
People with Mafen rights needed to be consulted when major land use changes oralienation of land occurred.
c) Suwon (overseer of the land). Refers to a mantle of authority and responsibility,
rather than to a person. Every estate also had a suwon. Suwon rights were more
limited than Mafen. However, no alienation of land could occur without permissionof a Suwon.
d) Caste and Land: All villages (and people of the estates of each village) weretraditionally ranked somewhere in the hierarchy of castes. Low caste villages wereclose to what westerners would call landless estates, with low caste villagers as
tenants. The low castes villagers were guardians of lands which fell under theauthority of higher caste estates. The Lower Class Village Chief was a spokesman
for high class chief. Historically, in order to maintain land holdings the low caste
had to perform certain services of high class. The High Class Chiefs of various
estates were not just rulers, but such titled persons had many responsibilities tothe people of the lower ranked estates under the title’s authority. Responsibilitiesof the inhabitant of high title house foundations have become burdensome intoday’s world. As a result of some of the highest titled foundations on Yap are
uninhabited.
If ownership rights also denote the right to possession, use, enjoyment, or the ability to sellor dispose of property according to the will of the owner, then historically there has beenno such ownership in Yap. In the past multiple individuals had varied interests andauthorities over the land in Yap.
Contemporary Ownership of Land
While tradition remains a strong influence over land tenure in Yap, people are increasingly“by-passing the older, traditional systems of land tenure in order to secure land ownership,
land transfer or lease rights” (Doran 2004). Thus, the current system of land tenure is a:“complex mix of the old and the new. Older customary land tenure conditions arestrong or weak depending on the people involved, the location and history of theland, the historical title and rank of the land, and the cash opportunity associatedwith ownership, lease or use rights.”
There is however, a major exception to this general trend toward a more western conceptof ownership; the State Government’s “deference to the customary and traditional systemsof land tenure.” Legislation pertaining to land often cedes considerable authority to
traditional and customary authorities over land. For instance, the Yap State Mortgage Law
and the Yap State Deed of Trust Law require Mafen approval with respect to applications
for the use of real property for security.
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3.2.4.5

Land Acquisition
Article II of the Yap Constitution deals with eminent domain and compensation for land
appropriated by the government. The Section authorizes the legislature to “provide bygeneral law for the taking of private property for a public purpose.” The Section requiresthat such a general law “provide for just compensation, good faith negotiations for lease orpurchase and consultation with appropriate local government prior to the taking, and themanner of taking.”
Article XIII states that title to land be “acquired only in a manner consistent with traditions
and customs.”

3.2.4.6

Settling Land Disputes
The Yap Constitution strengthens the traditional and customary land tenure authorities byspecifically stating “Title to land may be acquired only in a manner consistent with traditions
and customs.” If there is dispute regarding ownership the ability of an individual to acquireownership or a boundary delineation, a hierarchy of traditional authorities exists to resolve
the issues.
Resolutions can be obtained through consultation with the Mafen, Suwon, Village Chiefand other elders of the immediate community. Petitioning to these traditional authorities
may differ in each case depending on personality, land in question, ranking of land or
individuals associated with the land, etc. Land “ownership” or authority over estates, or
disputes on use rights, and so on are determined in a traditional manner.
Should no decision be made at this level of authority the dispute is taken to the municipal
court. Most of the decisions concerning land disputes are settled in the traditional systemwith few cases going on to the municipal court. In addition, the three high ranked
municipalities (Rull, Tamil, Gagil) may serve as appeal authority for land disputes amongor within municipalities. If municipal authorities cannot settle the dispute, the case may bereferred to the two high traditional councils: the Council of Pilung and the Council of Tamol.
However, very few land cases are brought before these two high authorities. The lastappeal can be made to the State Supreme Court

3.3

International Standards and Guidelines

3.3.1

International Environmental Agreements
FSM is a signatory to a number of international conventions and treaties. Those potentiallyrelevant to the Project are listed below:

December 2020•

International Plant Protection Convention 1951.

•

World Heritage Convention 1972•

United Nations Convention on the Law of the Sea 1982.

•

Agreement relating to the Conduct of a Joint Program of Marine Geoscientific
Research and Mineral Resource Studies of the South Pacific Region, with
Annexes, 1982; with Related Agreement, 1984.

•

Vienna Convention for the Protection of the Ozone Layer 1985.

•

Convention for the Protection of the Natural Resources of the South Pacific Region
1986; and companion protocols 1986.

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3.3.2

•

Convention on Biological Diversity (CBD) 1993•

United Nations Framework Convention on Climate Change (UNFCC) Paris
Agreement 2016.

World Bank Environmental and Social Framework
As a condition of World Bank (WB) financing the PRIME Project, DoTC&I has committed
to implementing the Project in a manner consistent with the WB Environmental and Social
Framework 2017 (ESF).
Matters to be addressed include environmental, health and safety, gender, labor, social,land and cultural heritage laws and policies as a minimum. As set out in the WB ESF, theEnvironmental and Social Standards (ESS) of immediate relevance to resettlement andlivelihood restoration and this RF are outlined in Table 3-1 below.
Table 3-1: WB Environmental and Social Standards relevant to the RF

WB Environmental
and Social Standards
ESS 5: Land
Acquisition, Restriction
on Land Use andInvoluntary
Resettlement

ESS7 Indigenous
Peoples/Sub-SaharanAfrican Historically
Underserved Traditional
Local Communities

December 2020

Objectives•

To avoid involuntary resettlement or, when unavoidable, minimize
involuntary resettlement by exploring project design alternatives.

•

To avoid forced eviction.

•

To mitigate unavoidable adverse social and economic impacts from landacquisition or restrictions on land use by: (a) providing timely compensation
for loss of assets at replacement their efforts to improve, or at least restore,
their livelihoods and living standards, in real terms, to pre-displacementlevels or to levels prevailing prior to the beginning of project implementation,
whichever is higher.

•

To improve living conditions of poor or vulnerable persons who arephysically displaced, through provision of adequate housing, access toservices and facilities, and security of tenure.

•

To conceive and execute resettlement activities as sustainable development
programs, providing sufficient investment resources to enable displaced
persons to benefit directly from the project, as the nature of the project may
warrant.

•

To ensure that resettlement activities are planned and implemented withappropriate disclosure of information, meaningful consultation, and theinformed participation of those affected.

•

To ensure that the development process fosters full respect for the humanrights, dignity, aspirations, identity, culture, and natural resource-based
livelihoods of Indigenous Peoples.

•

To avoid adverse impacts of projects on Indigenous Peoples, or when
avoidance is not possible, to minimize, mitigate and/or compensate for suchimpacts.

•

To promote sustainable development benefits and opportunities for
Indigenous Peoples in a manner that is accessible, culturally appropriate
and inclusive.

•

To improve project design and promote local support by establishing andmaintaining an ongoing relationship based on meaningful consultation with
the Indigenous Peoples affected by a project throughout the project’s life
cycle.

•To recognize, respect and preserve the culture, knowledge, and practices ofIndigenous Peoples, and to provide them with an opportunity to adapt tochanging conditions in a manner and in a timeframe acceptable to them.

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WB Environmental
and Social Standards
ESS 8: Cultural
Heritage

ESS 10: Stakeholder
Engagement

Objectives•

To protect cultural heritage from the adverse impacts of project activities andsupport its preservation.

•

To address cultural heritage as an integral aspect of sustainable
development.

•

To promote meaningful consultation with stakeholders regarding cultural
heritage.

•

To promote the equitable sharing of benefits from the use of cultural
heritage.

•

To establish a systematic approach to stakeholder engagement that will help
Borrowers identify stakeholders and build and maintain a constructive
relationship with them, in particular project-affected parties.

•

To assess the level of stakeholder interest and support for the project and toenable stakeholders’ views to be taken into account in project design andenvironmental and social performance.

•

To promote and provide means for effective and inclusive engagement withproject-affected parties throughout the project life cycle on issues•

that could potentially affect them.

•

To ensure that appropriate project information on environmental and social
risks and impacts is disclosed to stakeholders in a timely, understandable,
accessible and appropriate manner and format.

ESS 5 is of particular relevance for this RF, and applies to all Project works andcomponents of operations financed by the WB including associated facilities which resultin involuntary resettlement. ESS 5 outlines a number of key principles for addressing
adverse effects of involuntary settlement associated with its investment projects. These
are outlined in Section 1.2.2 above.
ESS 7 is relevant as the overwhelming beneficiaries of the Project in each State (Kosraean,
Mehn Pohnpei, Chuukese and Yapese) meet several characteristics of indigenous persons
as described in the ESF of the WB. Given this, it is considered that the ‘indigenous’
population of FSM is comprehensively represented in all state mechanisms, will not bedisproportionately disadvantaged by the Project and, as such, an ‘Indigenous Peoples
Plan' is not required under ESS7.
The requirements for public disclosure are contained in ESS10. These public disclosure
standards require early and ongoing consultation with communities affected by projects.

3.4

Comparison of WB ESF and FSM Legislative Requirements
on Land Acquisition
Table 3-2 provides an analysis of gaps between WB safeguard requirements as set out inthe ESF, and FSM Legislative requirements on land acquisition and resettlement.
Table 3-2: Gaps between WB ESF and FSM legislative requirements, and gap filling measures

WB Environmental and SocialStandards

FSM Legislative Requirements

Involuntary resettlement should
be avoided where feasible, orminimized, exploring all viable
alternative designs.

FSM’s EIA encourages the
avoidance of adverse
environmental and social impacts
and their effective mitigation
where avoidance is not possible.

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WB Environmental and SocialStandards

FSM Legislative Requirements

Gap Filling Measures

Land to be secured for the Project
via Voluntary Land Donation(VLD) where suitable andagreeable to affected land owners
and occupants.

No specific reference to VLD in
FSM legislation.

The VLD process is to be properly
managed and documented inaccordance with ESS5, and the
Project VLD protocol.

Where it is not feasible to avoid
resettlement, resettlement
activities should be conceived
and executed as sustainable
development programs, providing
sufficient investment resources toenable the persons displaced by
the end of the project to share in
the project benefits.

Not explicitly addressed in theexisting legislation.

WB policy and requirements will be
adopted.

Use or acquisition of customaryland by the Project.

Customary land tenure iscommon in FSM.
The Government Property
Acquisition [Title 56] deals withland acquisition, including
eminent domain.
No separate laws exist for
acquisition of customary land
compared to freehold land.

The VLD process will apply for theacquisition or use of customaryland, the Project will adhere to
ESS5, and the Project VLD
protocol.
Grievances may be referred tocustomary conflict mediation
arrangements where they are notdirectly affiliated with traditional
leaders who are a party to the
donation process.
In the case of transfer of freehold
or customary land throughinvoluntary acquisition, the Lands
Commission is to prepare a Saleand Purchase Agreement basedon the assessed replacement
value, and forwarded to theCouncil of Chiefs for its Board’s
consent.

Displaced persons should bemeaningfully consulted andshould have opportunities toparticipate in planning andimplementing resettlement
programs.

FSM legislation requires
negotiations with affected landowners, on values of land, andresettlement assistance.

Partial equivalence. Consultations
as per approved SEP will be
implemented.

To address the impacts resulting
from Bank-assisted investment
projects, the borrower prepares a
resettlement plan or resettlement
policy framework.

No specific requirement for the
preparation of resettlement plans.

Where Abbreviated Resettlement
Action Plans (ARAPs) arenecessary, they will be prepared inaccordance with the requirements
and procedures set out in this RF.

It is necessary to improve or atleast restore livelihoods of
Displaced Persons (DP) by arange of strategies targeted at
Affected People (AP). Nobody is
to be made worse off as a resultof the development project.

Avoiding hardship on displaced
land owners is explicitly provided
for, but more for legal
landowners, and legal occupiers,
not for illegal occupiers and theirassets / livelihoods.

Partial equivalence. WB policy will
apply to ensure all PAP’s and theirlosses are restored and/or
compensated. Where losses aretemporary and minor, related to theconstruction method for which thecontractor is responsible fordetermining, these will be
addressed as part of the ESMP.

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WB Environmental and SocialStandards

FSM Legislative Requirements

Gap Filling Measures

Requires that Displaced Persons
are compensated for all losses,
including non-land assets, at full
replacement cost.

FSM legislation requires
negotiations with affected landowners, on values of land, andresettlement assistance.
There’s a limit imposed on how
much compensation is paid forlost income from business or farmoperation. Compensation istherefore not at full replacement
cost using current market values.

Partial equivalence vis-àvis
valuation of land for compensation.
But not for lost non-land assets
and income.
Where compensation is required,
WB’s principle of ‘replacement
cost’ using current market values
for compensation of affectedassets will apply.

Bank expects the borrower totake into account the views, roles,
and rights of groups includingNGOs and local communities
affected by the Bank financed
project…in the planning,
designing, implementing,monitoring and evaluating of suchprojects.

The FSM EPA regulations
provides for public consultation aspart of the environmental
assessment process, and full
disclosure of EIA reports to the
public.

Equivalent

Bank requires that Displaced
People (DP) should bemeaningfully consulted andshould have opportunities toparticipate in planning andimplementing resettlement
programs. Bank also requires that
displaced persons should be
assisted in their efforts to improvetheir livelihoods and standards ofliving or at least to restore them,in real terms, to pre-displacementlevels or to levels prevailing prior
to the beginning of project
implementation, whichever ishigher.

FSM legislation is explicit on
dealing with displaced people, i.e.
those people dispossessed of
their land. FSM legislation is notclear on dealing with impacts onother affected people such as
illegal occupier of acquired land
etc.

WB Policy will apply.

Bank requires: i) Screening to
identify whether Indigenous
Peoples are present, ii) Social
assessment to assess potential
adverse impacts, iii) Consultationand participation, iv) preparationof an Indigenous Peoples Plan (ifrequired), and v) Public
Disclosure.

FSM law recognizes the heritage,
traditional boundaries and cultural
ties to the islands.

As the overwhelming majority of
beneficiaries are indigenous, theelements of the policy are‘integrated into design’ and no
separate Indigenous People Planis required.
Planning and implementation of
Project activities set out in the
E&S instruments (including RF,
ESMF and SEP) will aim to ensurethat traditional institutions andleadership are respected as well
as recognition of cultural norms,
land tenure arrangements,
meaningful consultation andparticipation.

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4.

Project Principles, Entitlements and Procedures

4.1

Project Policy Principles
The following policy principles for livelihood restoration, compensation and mitigation ofphysical and economic displacement impacts for the PRIME Project will apply to all works
under Component 2, as well as any physical works activities under Component’s 1 and 3,
as relevant:•Minimization of impacts:oWorks kept to existing primary road corridors identified as part of the ‘PRIME
Roads’ 8. However, some minor realignment of existing roads or road assets(e.g. bridges, causeways) may be included if technically required. There will
be no new alignments nor improvements to roads not identified as ‘PRIME
Roads’;oSevere environmental and/or social impacts will be screened out of works
for consideration under Component 2 (refer Section 2.3.2). Any works thatwould involve relocation of housing, permanent severe impact on livelihoods,
land acquisition involving severe loss of land holdings of an affected person
will not be included for implementation under the PRIME Project; andoDesign of Project works will prioritize features that have impacts that can be
mitigated relatively simply and be temporary in nature.

•

Land to be secured for the Project via Voluntary Land Donation (VLD) where
suitable and agreeable to affected land owners and occupants. The VLD process
is to be properly managed and documented in accordance with ESS5 (Footnote
10).

•

The Project will design and implement measures to mitigate involuntary
resettlement impacts aimed at restoring, if not improving, standards of living of
those affected.

•

Works on existing roads will adopt a ‘participatory design approach’ with therespective landowners and communities where works are proposed (discussed
further in Section 4.1.1).

•

Involuntary resettlement impacts will be assessed for all works as part of the ‘E&S
Screening Report’, and either a ‘Land Access Due Diligence Report’, ‘Voluntary
Land Donation Report’ or ‘Abbreviated Resettlement Action Plan’ is to be prepareddepending on the nature and extent of physical or economic displacement, meansof land access as well as mitigation approach.

•Consultations and public participation will be carried out as an ongoing process
throughout project planning, design, implementation and post-project stages.
Affected people and communities in the vicinity of project works will be given
advance notice of planned works schedules.

8 For the purposes of this Project, ‘PRIME Roads’ are defined as the roads that will be assessed as part of Technical Assistanceaspects of the PRIME Project, including the VA/CRRS and ESA studies, which include the majority of the existing ‘primary roads’ on
the main islands of each FSM State, and some additional secondary roads that are considered to be of strategic and/or economic
importance by DoTC&I.

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4.1.1

•

Eligible PAPs will receive entitlements and livelihood rehabilitation measuressufficient to assist them to improve or at least maintain their pre-Project living
standards, income earning capacity and production levels.

•

Particular attention will be given to the needs of vulnerable PAPs including sociallyand economically vulnerable groups. This may include those without legal title tothe land or other asset/s, households headed by females (where appropriate 9) the
elderly or disabled, vulnerable road users due to road construction 10, and othervulnerable groups such as people living in extreme poverty or hardship 11.

•

Land requirements for Project works will be arranged through either voluntary land
donation or involuntary land acquisition. Compensation for land, where required,
will be at replacement cost.

•

For displaced non-land assets, assistance will be provided to relocate and reinstall
the property. Where these cannot be viably relocated, the PIU will arrange for likefor-like replacement or compensation at replacement cost. Compensation will be
provided for loss of income due to temporary business closure as a result ofconstruction activities, where disruption cannot be avoided.

•

The customs, traditions, religious practices and institutions of all PAPs will be
respected and protected.

•

A complaints and grievance mechanism is to be established for the PRIME Project(refer Section 7) to solve disputes and complaints from PAPs.

•

The impacts of the works, including unforeseen losses and damages that may
occur during either construction or operation, will be carefully monitored andremedial steps taken as required (refer Section 10).

Participatory Design Approach
Planning of improvement works on existing roads will adopt a ‘participatory design
approach’ with respective landowners, land users and communities. This will involve
detailed consultations with communities and landowners during the design phase,commencing at the preliminary design phase. Design for road improvements will be an
iterative process of consultation and design development. Design consultants are topresent communities and landowners with objectives of the road improvements based on
issues that need to be addressed (e.g. water drainage issues) and general design options
and implications for road footprint/impacts. Feedback from communities and landowners
on what is preferred and acceptable informs parameters for basic design. The Terms ofReference (TOR) for works design is to include explicit requirements for participatory
design approach.
Community participation will include clear consultation, documentation of agreements andmonitoring procedures, and any impacts are minimal and mitigation/restorative measures
are acceptable to affected people. See Section 2.3.2 for description of expected
improvements to existing roads.

9 Note: On some islands in FSM all houses are headed by a female as they own the land.

household would not be considered a vulnerable person.

In these cases, the female head of the

10 Vulnerable road users include road users who are more vulnerable to harm because they are not in a vehicle, including pedestrians,

motorcyclists, cyclists, and those on animals or animal drawn carts.

11 As determined and identified by the relevant community leader.

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4.1.2

Voluntary Land Donation
If sections of the land adjacent to the road corridor are expected to be required for minor
adjustment of the road alignment or for ancillary works such as installation of new culverts
or creation of drainage outflow easement, access to land for the works will need to be
secured.
In some limited circumstances, Voluntary Land Donations (VLD) may be an appropriate
form of securing land access for the Project. Such circumstances may include installationof drainage, creation of easements for drainage outflows, minor realignment of existingroads that would not result in significant land loss.
In such instances VLD may be acceptable providing that it is demonstrated that:a) The amount of land being donated is minor (less than 5% of PAP’s land holdings)
and will not reduce the donor’s remaining land area below that required to maintainthe donor’s livelihood at current levels;b) No household relocation is involved;c) The donor is expected to benefit directly from the Project;d) The potential donor or donors have been appropriately informed and consulted
about the Project and the choices available to them;e) Potential donors are aware that refusal is an option, and have confirmed in writing
their willingness to proceed with the donation; andf)

For community, customary or collective land, donation can only occur with theconsent of individuals using or occupying the land as well as the person(s)authorized to make decisions over the land.

The PIU and local authorities will maintain a transparent record of all consultations andagreements reached especially those in relation to VLD.
VLD would cede land to the GoFSM at no cost but the Project protocol on VLD (provided
in Appendix B) requires compensation for lost crops and other non-land assets that cannot
be viably moved.
Where small (i.e. marginal) areas of land are required, VLD is preferred by the GoFSM as
the prioritized mode of acquisition for the PRIME Project wherever possible particularly incases where the landowner directly benefits from the works going ahead. Additionally,
PAPs have the right to make a contribution of land or other assets of their own volition
without seeking or being given any form of compensation. Potential works associated withdrainage outflows and minor realignments is described in Section 2.3.2.
The Project VLD Protocol also applies for the donation of community, customary orcollective land. As stated in the protocol, VLD cannot be applied when (i) customary rights
holders do not support, or will not directly benefit from, the Project, and (ii) conflicts overland exist where conflicts over land exist, including customary collective ownership.
Therefore care must be taken to ensure that:a) The rights and claims of customary and informal users affected by the land
donation are systematically and impartially identified;

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Resettlement Frameworkb) Potentially affected individuals, groups or communities (i.e. those that use or
occupy the land) are meaningfully consulted, informed of their rights, and provided
with reliable information concerning environmental, economic, social and foodsecurity impacts of the land donation;c) Community stakeholders are enabled to negotiate appropriate conditions for thetransfer;d)Appropriate benefit sharing and grievance mechanisms are put in place andimplemented;e) The terms and conditions for the transfer are transparent; andf)Mechanisms are put in place for monitoring compliance with those terms andconditions.

Grievances may be referred to customary conflict mediation arrangements where they are
not directly affiliated with traditional leaders who are a party to the donation process.

4.1.3

Involuntary Land Acquisition
Involuntary acquisition of land may be applied where land is required for (i) significant
realignments such as replacing bridges on a new alignment, or (ii) minor land requirements
cannot be secured through voluntary arrangements for discrete works (either the landowner does not agree or other VLD Protocol requirements are not met) and the works are
deemed essential and a suitable alternative site cannot be identified. Land that is
involuntarily acquired along with other associated losses will be compensated at
replacement cost.

4.2

Eligibility for Entitlements and Compensation

4.2.1

Project Affected Persons
Project Affected Persons (PAPs) are those persons and families who have land, assets or
livelihood which are impacted by the Project either temporarily or indefinitely, irrespectiveof whether they have formal proof (certificate) of their right to utilize the land or asset, or
whether the assets impacted are located within an existing road easement vested in thestate.
For the purpose of this assessment, PAPs are considered those who will potentially loseland and/or assets or access to assets located within the works footprint or experienceland access restrictions leading to loss of income sources or means of livelihood.
None of the Project works are expected to result in physical displacement of households(i.e., involuntary resettlement/relocation) and would be screened out. Subsequently,
entitlements for individuals subject to physical relocation, as well as their potential hostcommunities, have not been outlined in the entitlement matrix provided in Section 4.3.1.

4.2.2

Eligibility Cut-Off Date
The eligibility cut-off date for PAPs should be the date of completion of the IOL for
Component 2 works. Persons occupying the works footprint (whether they are within or
adjacent to the road easement) or fixed assets (such as built structures, crops and fruit
trees) established after the cut-off date are not eligible for compensation and/or livelihood
restoration assistance.

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As neither the location nor timing of Component 2 works have yet been determined, an
IOL and eligibility cut-off date for the works has not yet been established.
Once the VA and CRRS studies have been completed, the PIU is to work with state andmunicipal agencies as well as land owners and local community leaders to reach aconsensus on the date of IOL and eligibility cut-off for Component 2 works, as well asemphasize the significance and meaning of the cut-off date.
The eligibility cut-off date will therefore be based on the PRIME specific IOL, rather thanany previous assessment undertaken in the works location.
Eligibility for access to compensation entitlements should apply to all persons with land
use rights utilizing land for agricultural, residential, business, government or cultural
purposes or physical assets located within the road easement within the works footprint at
the time of the IOL and cut-off date.

4.3

Entitlements
The Project entitlements presented in the Entitlement Matrix (Section 4.3.1) andsummarized below will address the various types of losses as expected for the PRIME
Project.
As set out above, the absence of legal or formal title to land is not a barrier tocompensation, nor is the presence of assets currently located within the road easement.
Both male and female PAPs should continue to be equally consulted and their rights
recognized. Negotiations, entitlements and livelihood restoration should be with/to bothmale and female head/s of each household.
The actual compensation entitlements should be finalized and agreed upon in consultation
with the State and Municipal Government authorities as appropriate but will not be lessthan the entitlement standards set out in this Resettlement Framework. The PIU is torecord and formalize outcomes of this consultation.

4.3.1

Entitlement Matrix
The entitlement matrix in Table 4-1 below provides a summary of the specific entitlementsof the PAPs for each type of impact from the Project.

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Table 4-1: Entitlement Matrix for the PRIME Project

Impact/Loss
Permanent loss of land.

Mitigation / Entitlement

Implementation Considerations
Refer to Project Voluntary Land Donation Protocol for descriptionof conditions for VLD.
In the case of realignment of roads, offsetting the land lost throughreplacement of land from the old alignment will be explored as apriority option.

•

Arranged through VLD, where appropriate.

•Land-for-land compensation where possible.

•

Otherwise compensation at replacement cost.

Partial loss of house structure(residual portion viable for continued use after repair)•Compensation at replacement cost for damages, including
cost of repairs (but without deduction for salvageable
materials).

Works involving severe impacts on houses (i.e. structure nolonger usable) will be screened out.

Partial loss of commercial main structureOR
Severe loss of commercial main structure that is
temporary in nature (shop can be rebuilt on residual
land)OR
Severe temporary disruption to business.

•Compensation at replacement cost for damages to commercial
structure, including cost of repairs (without deduction forsalvageable materials).

•Compensation for lost income for reasonable period of
disruption.

•

Compensation for lost income of employees.

Works involving severe impacts on commercial structures (i.e.
structure no longer usable and cannot be rebuilt on residual land
within a short period of time) will be screened out.
Replacement is to include full cost of repairs, or like-for-likestructure.
The reasonable period of lost income is based on time required to
repair/rebuild affected business structure or otherwise actual timeof blocked access to business. Compensation is to be based on
net monthly income, and/or monthly wages.

Loss of secondary structures(e.g. fences, walls, driveways, pavement, store,
shed, or similar).

•

For moveable structures: assistance to remove and reinstall
structure.

•

For non-moveable structures: removal and replacement; OR
compensation at like-for-like replacement cost, if removal andreplacement is not possible (without deduction for salvageable
materials).

Loss of crops and productive trees/perennials.

•

Advance notice to harvest annual crops (no compensation).

•

Assistance to move non-mature productive trees/perennials.

•

Compensation shall be provided for mature productive trees,
where disturbance is unavoidable.

•

Assistance to move cultural sites (e.g. grave site).

Loss of cultural sites (e.g. graves sites).

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Assistance to remove and reinstall structures to be provided byContractor.
Replacement of non-moveable structures by Contractor for simple
structures such as pavement.

Disturbance of mature productive trees are to be avoided where
possible.
Compensation for productive trees shall be based on type, age
and productive capacity and the cost of production and rearing oftrees; OR market value for timber or fuel wood (as appropriate).
Assistance is to include both logistical (e.g. excavation, relocation
and reburial) and ritual/religious aspects (e.g. ceremonies).

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Impact/Loss
Impacts due to construction(Impacts that fall under construction method forwhich the contractor is responsible for determining)

Unforeseen or unintended impacts.

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Mitigation / Entitlement

Implementation Considerations•

In the event of non-land asset losses, compensation for
affected non-land assets at full replacement costcommensurate with rates set out in the AbbreviatedResettlement Action Plan.

•

Temporary use of land will be arranged through VLD where
possible. If VLD not possible, ‘rental allowance’ to be provided
as agreed between the landowner and Contractor. At the endof the ‘rental period’ the land is to be returned to the landownerin the same condition as prior to use, as acceptable to thelandowner.

•

In the event of restricted land use or disruption to access, (lossof access to property, or transport network), the Contractor isto provide alternative access.

Temporary impacts due to construction will be monitored andreported as part of monitoring of the Environment and Social
Management Plan.
For diversion roads that are planned in advance of works by the
PIU, the impacts and mitigation measures are to be covered underthe Abbreviated Resettlement Action Plan or Voluntary Land
Donation Plan as appropriate.
Access to property is to be maintained at all times (i.e. nocommunities or individuals isolated).
If the land has been adversely impacted (as determined by the
PIU and landowner), then the Contractor is either to restore, or
provide the landowner assistance to restore the land to an agreed
condition and productivity.

•

In the event that construction works completely block access(without alternative access) to a business then compensation
for lost income for the period of disrupted access will be
provided by the contractor.

•

Entitlements for unforeseen or unintended impacts will be
developed in accordance with the principles set out in the RF,
FSM legal framework and WB ESF. New mitigation measures
will need to be approved by the DoTC&I and agreed by WB.

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5.

Processes for Securing Land Access

5.1

Environmental and Social Risk Screening
Once the climate resilient road works have been identified and prioritized for FSM as partof the VA and CRRS studies, two rounds of environmental and social screening are to beundertaken by the CIU Safeguards Team (supported by environmental and social
consultants engaged by the PIU, as required) as part of the feasibility and design process
for Component 2 works. This screening process is to outlined below:
1) Initial E&S Risk Screening (activity selection / prioritization under PRIME) an ‘Initial E&S Screening Form’ (Appendix C, Form 1) is to be completed which
identifies potential high-level environmental and social risks and impacts of the
proposed works and any critical risks that could prevent the identified works frombeing implemented under the PRIME Project.
2) Detailed E&S Screening (during preliminary design) – preparation of an ‘E&S
Screening Report’ after the works are further defined as part of the preliminary
design process and to feed into the design and impact mitigation process. This
report is to include:a. An outline of the Project environmental and social risk screening process;b. Completed ‘Environmental and Social Screening Forms’ (Appendix C,
Forms 2 to 4);c.

A summary of the works E&S Screening, including social and resettlement(as directed by the Appendix C, Form 2);

d. A summary of the findings of the screening process, (as directed by the
Appendix C, Form 3 – E&S Assessment and Management Plan
Requirements; and Form 4 – Agreed E&S Documents); ande. Recommendations for the environmental and social assessment andpreparation of environmental and social risk management instruments.
On the basis of the environmental and social screening, the Project will adopt one of thefollowing approaches:3) Further redesign of the works to avoid/minimize land and/or asset loss wherepractical (in which case the E&S Screening Report will need to be updated, after
completion of the redesign). The design team, PIU, environmental and social
consultants and CIU Safeguards Team are to work together to identify risks andmitigation measures in design in compliance with the WB ESS and RF.
4) Preparation of a Land Access Due Diligence Report in the event of no
anticipated involuntary resettlement impacts confirming no further requirement forland access plans (i.e. Voluntary Land Donation Report or AbbreviatedResettlement Action Plan).
5) Preparation of either a Voluntary Land Donation Report, or AbbreviatedResettlement Action Plan if impacts to land and/or assets are identified. This is
to be undertaken in parallel with detailed design.

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The E&S screening process in relation to the RF is illustrated in the flow chart Figure 5-1.
The scope of these documents is outlined in Section 5.2 below.

Figure 5-1: E&S screening process in relation to the RF.

The E&S Screening Report and all other relevant information relating to access restrictions
or land and asset acquisition will be prepared by the CIU Safeguards Team (supported byenvironmental and social consultants engaged by the PIU, as required) and submitted
together with the feasibility study report to the WB for review and clearance.

5.2

Preparation of Land Access Reports and Plans

5.2.1

Land Access Due Diligence Report
In the event of no anticipated involuntary resettlement impacts, a Land Access Due
Diligence Report is to be prepared for the works 12.
This Land Access Due Diligence Report is to be prepared after the completion of the E&S
Screening Report and preliminary design phase and concurrently with the detailed design
process to provide information about the due diligence conducted to confirm absence of
involuntary resettlement impacts.
The Land Access Due Diligence Report will include the following:(i) A brief description of the works site including a location map and pictures;(ii) A description of proposed works and type of activities;(iii) Findings of the field visit and observations on the works site. The report will also
note potential requirements for temporary use of land that are to be subsequently

12 For example, all works are to be undertaken on an existing road corridor or on Government or public land and no disturbance ofadjacent land and/or assets is identified.

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determined during construction as part of the contractor’s construction
methodology that will be mitigated through measures included in the ESMP 13;(iv) Process and outcome of consultations with stakeholders, including records ofmeetings (attendance, minutes etc);(v) Plans for monitoring and ongoing consultations with local community; and(vi) Confirmation that there are no involuntary resettlement impacts and that neither a
Voluntary Land Donation Report, or Abbreviated Resettlement Action Plan isrequired.
This report is to be included with the feasibility report to be submitted to the WB.
The Land Access Due Diligence Report will be prepared by the CIU Safeguards Team(with support from environment and social consultant engaged by the PIU, as required)and submitted together with the feasibility study report to the WB for review and clearance.
5.2.2

Voluntary Land Donation Report
The principle of Voluntary Land Donation (VLD) is outlined in Section 4.1.2. Should VLD
be negotiated for road works a Voluntary Land Donation Report is to be prepared which
complies with the VLD protocol for the Project (Appendix B). The VLD Report will be
prepared by the PIU with support by the E&S Consultants (as required). As a minimum
the report is to include:(i)

A brief description of the works site including a location map and pictures;(ii) A description of proposed works and type of activities;(iii) Confirmation of current land status, ownership, and usage (supported by land
records, road easement documents etc);(iv) Findings of the field visit and observations on the works site;(v) Land survey (including land survey map, and list of participants in survey withgender equality);(vi) List of voluntary donations of land and any other assets (including area, type andvalue of voluntarily ‘gifted’ land) accompanied by signed VLD forms;(vii) Confirmation that no severe losses will occur as a result of the donation (such as
land loss being less than 5%, no severe or permanent impacts on livelihoods orincome sources, no physical displacement) and articulate the direct benefits to thedonors by the project improvements;(viii) Schedule of land acquisition/donation, if applicable; and(ix) Process and outcome of consultations with stakeholders. Records of at least two
meetings, including 1) Minutes of disclosure meeting about the right of land users,and 2) Minutes of the meeting to discuss and make agreement.
Where voluntary donation of land is accompanied by compensation or restorative
measures for non-land losses, the VLD report details will be incorporated into an
Abbreviated Resettlement Action Plan.
13 An example would be expectation for temporary diversion road or laydown area to be determined by the Contractor.

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5.2.3

Abbreviated Resettlement Action Plan
In the event of anticipated involuntary resettlement impacts including involuntaryacquisition of land, loss of non-land assets, and/or permanent restricted access/land use(such as easements) are identified where VLD could not be negotiated with the landowner,
an Abbreviated Resettlement Action Plan (ARAP) is to be prepared by PIU with support by
E&S Consultants (as required).
The ARAP is to be consistent with the scope of a ‘Resettlement Plan’ outlined in ESS5
(Annex 1.A), including the following key elements:(i)

Description of the road works and objectives;(ii) Scope of impacts associated with land access requirements for the works;(iii) Social assessment, including baseline socio-economic survey of PAPs;(iv) Eligibility;(v) Consultation, disclosure and community participation;(vi) Entitlements, means of mitigation and restoration of losses;(vii) Implementation schedule;(viii) Costs and budget, including means of valuation for any required compensation;(ix) Grievance redress mechanism;(x) Monitoring an evaluation; and(xi) Arrangements for adaptive management.
The ‘Additional planning requirements where resettlement involves economic
displacement’ as set out in ESS5 will also be incorporated if permanent impacts on
livelihoods occur.
The details to be included in this document are to be appropriate for the scale of land
and/or asset acquisition and associated livelihood impact. The ARAP is to also identify
gender concerns and special measures for vulnerable PAPs (if any) through consultations
with affected communities.
No physical displacement (i.e., relocation) of PAPs or ‘involuntary acquisition’ of land that
results in severe loss will take place under the PRIME Project and will be screening out
during the preliminary design phase.
A social assessment including relevant socio-economic data of PAPs is to be undertaken
as part of the IOL to determine potential social issues and likely adverse impacts of theworks. This social assessment is required in order to understand the following:•

Existing socio-economic conditions of the PAPs and baseline information on
livelihoods (including livelihood and income, type of land and other resource use,
formal and informal economic activities, and standard of living such as health status);•

The magnitude of the expected loss including permanent and temporary loss anddisturbance of land and/or of assets and the extent of economic displacement; and•Information on gender concerns and vulnerable groups or persons for whom special
provisions may have to be made.

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5.3

Arrangement for Securing Land

5.3.1

Permanent Land Requirements
If land loss is identified, the PIU will forward outline plans to the State Land Commission(or delegated authority), identifying areas both within and directly adjacent to (ifappropriate) the land required for the works.
The Land Commission carries out a search of land ownership and registered user rights inthe vicinity of the works and identifies potentially affected landowners and those withformalized user rights.
Where VLD has been assessed to be a potential mode of acquiring land access, the Land
Commission supported by PIU will undertake negotiations with the potentially affected landowner.
In the case of transfer of freehold or customary land through involuntary acquisition, theLands Commission will prepare a Sale and Purchase Agreement based on the assessed
replacement value. The Sale and Purchase Agreement is to then be forwarded to theCouncil of Chiefs for its Board’s consent.
Once the VLD, or Sale and Purchase Agreement, has been formalized, the details will be
included in a ARAP or Voluntary Land Donation Report, as appropriate. and compensation
has been paid (if appropriate), a Certificate of Transfer is prepared and sent for execution.
The process for transfer of title (if required) is to follow the appropriate Land Registration
Procedures for each State, outlined in Appendix A.

5.3.2

Temporary Land Requirements
Temporary loss may occur when land adjacent to the road easement is temporarily used
for works activities during construction (such as for temporary access roads, construction
laydown areas, temporary bridge crossing, etc).
Arrangements for use of the land will be negotiated with the land owner. This agreement
could either be offered by the landowners as goodwill particularly if the landowner is likely
to benefit from the works in the future or could include a rental allowance for the period of
use and temporary loss of access to this land as agreed with the landowner. Any loss of
non-land assets such as loss of productive trees or minor structures will be compensatedat replacement cost.
If the land requirements are planned and arranged by PIU in advance of works, thearrangements will be set out in an ARAP. If the arrangements for the temporary land use
are to be determined by the contractor as part of its construction methodology, then thearrangements will be managed through the Environment and Social Management Plan.
At the end of the temporary use (or rental) period the land is to be returned to the landownerin the same or condition as prior to use including productivity, and in a condition acceptable
to the landowner. Should it be determined by the PIU and landowner that the land has
been adversely impacted then the landowner is to be offered assistance by the Contractor
to restore the land to an agreed condition and productivity.

5.3.3

Means of Determining Compensation
Where compensation is required for either land or non-land assets, compensation will beat replacement cost as determined through the following process:December 2020

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1) The Land Commission (or delegated authority) in collaboration with the PIU is toprepare initial valuations using local market prices and establish standard
compensation rate table for land (cost per m2) and assets impacts by the Project
specific for each State. If suitable valuation expertise does not exist within the Land
Commission (or delegated authority) then an independent valuer is to be engaged
by the PIU in each State to develop this compensation rate table for the Projectbased on likely land and/or assets identified in the IOL. This valuation is to beundertaken within six weeks of the IOL. FSM State compensation rates will beapplied where these are assessed as meeting replacement cost values. Otherwise
top up values will be added to ensure the compensation provided is at the assessed
replacement cost.
2) This valuation process is to be transparent, and shared with affected landowners.
3) If the landowner does not agree with the Land Commission (or independent valuer)
valuation, the landowner has the right to engage a private valuer to review thedetermination (at their own cost).
The compensation rate valuation undertaken by the Land Commission (or independent
valuer) is to include full replacement cost at ‘like-for-like’ replacement and include thefollowing elements:
a. Fair Market Value: Where markets function, fair market value can be assessed byexamining land sales or rental records in the last 3 or 4 years for similar properties.
Land and rent values can differ widely both between and within FSM States due tofactors such as proximity to the coast (for tourist developments) or fertility andflatness of agricultural land. In such cases, the market value is the going price of anasset in the open market, but where markets do not exist (as in much of FSM), field
investigations are needed to collect baseline data to value assets and to ensure thatthe valuation is realistic.
b. Transaction Costs: These may include the legal and documentation expenses
associated with updating land records to reflect sales, transfers, inheritances andleases, as well as the legal expenses associated with registering property titles for
replacement lands and houses. These costs will be paid by the Project and arecounted as part of the replacement cost.
c.

Interest Accrued: When there is a gap of time between the agreed schedule andthe actual payment of compensation, the interest that accrues over that period must
be included in the replacement costs.

d. Restoration Costs: Restoration cost refers to necessary improvements on land or
to housing to achieve the objectives of enhancing or at least restoring, livelihoods,
compared with pre-project levels.
e. Deduction for Salvage Materials: Salvage materials are not to be deducted fromfull replacement cost calculations.
f.

Depreciation: Depreciation will not be considered when valuing compensation for
affected structures.

For income losses from disruptions to employment or businesses (either permanent or
temporary disruption) the following are to be provided:

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1) Cash compensation for a reasonable period of lost income (i.e. the period of time
the business is disrupted by the works such as restricted access).
2) The value of lost income or salary to be provides is to be based on net monthly
income and/or wages pro-rated over the past 12 months (where possible).
3) The business compensation assessment is to be based on formal declared income,or where this does not exist based on financial records and verified by an appropriate
local community leader.
4)

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At least the legal minimum wage will be provided to impacted employees.

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6.

Stakeholder
Participation

Engagement,

Consultation

andStakeholder engagement will be undertaken throughout the PRIME Project including
planning and design, construction and post construction phases (i.e. operation) for all
specific Component 2 works to be implemented under the PRIME Project and for alltechnical advisory activities under Component’s 1 and 3 where relevant as per the SEP.
The stakeholder engagement process for the broader PRIME Project is described in detailin the SEP 14 including stakeholder engagement undertaken to date a part of Project
preparation and those required throughout the PRIME Project.
Set out below is a summary of key considerations regarding stakeholder engagement
relevant to the RF.
A wide range of stakeholders have been identified for consideration throughout the Project(outlined in the SEP).
Each Component 2 works (particularly relevant for implementation of the RF) will have a
discrete list of stakeholders identified and engaged with as part of the land accessprocedure process which will specifically focus on:•

Land Owners and Occupiers – called Project Affects Persons (PAPs) under ESS5.

•

Local Communities (including nearby or indirectly affected villages, community
interest groups, road users etc).

•

Relevant Municipal and State Government departments and agencies.

•

Traditional / community leaders.

•

Others (including NGOs, CBOs, businesses, utility providers etc).

A variety of mechanisms will be utilized to consult with the identified stakeholders during
implementation of the RF including:(i)Village meetings involving women, men and youth from communities;(ii) Specific facilitated meetings with PAPs (e.g. land owners, disrupted businessesetc) and community leaders (e.g. village chiefs), regarding:a. ‘Participatory design approach’ during design phase, commencing withpreliminary design development.
b. Confirming land / asset ownership.
c.

Securing land access.

d. Negotiating VLD.
e. Confirming and providing entitlements.
(iii) Separate meetings with specific interest groups and their representatives, as
required (including women, youth, senior, religious, vulnerable households etc);
14 DoTC&I, 2020, ‘Prioritized Road Investment and Management Enhancements (PRIME) Project, FSM: Stakeholder Engagement
Plan’, Report prepared for Department of Transportation, Communication and Infrastructure.

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Resettlement Framework(iv) Key informant interviews with relevant government staff (e.g. Land Commission,
Court of Land Tenure, Division of Lands, Planning Office) and community/
traditional leaders;(v) One-to-one socio-economic household survey of PAPs and affected communities(in the event a ARAP is required);(vi) Participatory Inventory of Losses (IOL survey); and(vii) Informal conversations with passers-by, transport users and other interested
parties near the works site.
To ensure broader participation consultations are to be undertaken at venues, times andin language that do not disadvantage any particular groups (e.g. women, or vulnerable
households).
Vulnerable groups are to be targeted through representative organizations including
women, disability and youth associations. Remote communities which are often low
income will be included through their traditional (e.g. chiefs) and formal representatives(e.g. senators).
Other considerations to be taken into account through the stakeholder engagement
process for the Project are outlined in detail in the SEP.
Consultations with stakeholders were undertaken during the preparation of the Project andrelevant E&S instruments, including the RF. A total of 108 separate stakeholder groups
across the four States were engaged during Project preparation, including:•National – 4 Government;•

Kosrae – 17 Government; 15 Communities groups; 7 ‘Other’ stakeholders;•

Pohnpei – 10 Government; 2 Communities groups; 2 ‘Other’ stakeholders;•

Chuuk – 22 Government; 3 Communities groups; 6 ‘Other’ stakeholders; and•Yap – 4 Government; 12 Communities groups; 4 ‘Other’ stakeholders.

A total of 42 consultation meetings were conducted from 30-Jul-2020 to 12-Nov-2020
across all four States. Information presented, and feedback provided by the stakeholders
along with how the issues are addressed by the Project are set out in the SEP. A summaryof stakeholder engagement activities undertaken is outlined in the SEP Appendix C, while
consultation meeting minutes are provided in the SEP Appendix D.
The final draft of the RF, along with the other E&S Instruments, was made available by
DoTC&I to key stakeholders in each State to review and provide comment prior to the
documents being finalized. The final RF and other E&S Instruments are to be publicly
disclosed on the WB website (www.worldbank.org) as well as relevant FSM government
websites (www.dofa.gov.fsm).
In addition, Stakeholders are to be regularly informed and updated on the PRIME Projectthroughout by way of consultation meetings and public notices (e.g. radio, newspaper etc,
as appropriate), and signs and/or notice boards are to also be erected at the works site.
Details of disclosure activities and requirements are set out in the SEP.

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7.

Grievance Mechanism

7.1

Introduction

7.1.1

Purpose and Objectives
There is a possibility of grievances arising from technical advisory, design, institutional
strengthening, construction or operation impacts from activities associated with the PRIME
Project.
The primary objective of grievance management is to allow those who believe they are
impacted by the PRIME Project including those affected by land clearing or land acquisition
for the Project to express concern/issues and seek satisfactory resolution to grievances
they may have relating to Project activities, impacts as well as compensation andassistance measures. Other objectives include:•

Receive, evaluate and facilitate the resolution of affected people’s concerns,
complaints and grievances about the environmental and social performance andgender issues including gender-based violence.

•

Provide an accessible, time-bound and transparent mechanism for Aggrieved
Party’s (APs) to voice and resolve environmental and social concerns linked to the
PRIME Project.

•

Address concerns promptly and effectively in a transparent manner that is culturally
appropriate and readily accessible to all APs at no cost and without retribution(confidentially).

•

Ensure transparency in all dealings with communities and that redress mechanisms
for grievances are clearly spelt out.

•

A feedback system is in place to ensure that all commitments by DoTC&I, Stateagencies and the construction Contractors are kept.

Grievances are likely to be include:•

Environmental issues – such as excessive dust or noise generation, accidental
spills, Contractor malpractice, excessive vegetation clearance, etc.

•

Social Issues – such as dissatisfaction regarding land and/or asset disturbanceentitlements or valuation, temporary or permanent loss of livelihoods, changes toland access and associated issues, damages to infrastructure due to construction
related vibrations or transportation of raw material, noise, traffic congestions,disruption of services, insensitive social interactions by Contractor with local
populations, child labor, human trafficking (HT), gender based violence (GBV) andother social and cultural issues.

Should such situation(s) and/or issues arise, there must be a mechanism through which
affected parties can resolve such issues in an efficient, unbiased, transparent, confidential
timely and cost-effective manner. To achieve this objective, a Grievance Mechanism (GM)has been developed for the PRIME Project.
A separate GM will be developed for the specific labor related issues. This process will be
set out in the Labor Management Procedure (LMP) which will be prepared for the Projectprior to engagement of the Construction contractor.

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A specific Grievance Mechanism (GM) pathway over and above the GM processes detailed
below will be established for Sexual Exploitation and Abuse (SEA) and Sexual Harassment(SH) complaints for the Project to ensure survivor-centered approaches are applied,
including the involvement of local GBV service providers. This SEA and SH specific GM
requirements are currently being developed by a consultant on another WB FSM projectwith the results and recommendations integrated by the CIU Safeguards Team into theprojects GM and will be finalized prior to the implementation of the PRIME Project.

7.1.2

Grievance Redress Principles
Those that have a complaint or that feel aggrieved by the PRIME Project will be allowed tocommunicate their concerns and/or grievances through an appropriate process. The GM,
set out below, is to be used in the PRIME Project and will provide an accessible, rapid, fairand effective response to concerned stakeholders especially any vulnerable group who
often lack access to formal legal regimes.
While recognizing that many complaints may be resolved immediately, the Complaints
Register and GRM set out below encourages mutually acceptable resolution of issues as
they arise. The GM is based on the following guiding principles:•

Simplicity: procedures in filing complaints are understandable to users and easy torecall.

•Accessibility: filing complaints is easy through means that are commonly used bystakeholders, especially by the Project-affected people.

•

Transparency: information about the system is made widely available to all
stakeholders and the general public.

•

Timeliness: grievances are attended to and resolved in a timely manner.

•

Fairness: feedback or complaints are validated thoroughly and subjects ofcomplaints are given due process and opportunities for appeal.

•

Confidentiality: the identity of complainants remains confidential.

In addition, the GM has been designed to be a legitimate process that allows for trust to
be built between stakeholder groups and assures stakeholders that their concerns will beassessed in a confidential, fair and transparent manner.
The GM is to also enable continuous learning and improvements to the GM, throughcontinued assessment to reduce potential complaints and grievances arising.

7.1.3

Eligibility
Eligibility criteria for the GM is to include:(i)

Perceived negative economic, social or environmental impact on an individual
and/or group, or concern about the potential to cause an impact;(ii) Clearly specified kind of impact that has occurred or has the potential to occur andexplanation of how the Project caused or may cause such impact; and(iii) Individual and/or group filing of a complaint and/or grievance is impacted, or at riskof being impacted; or the individual and/or group filing a complaint and/or grievancedemonstrates that it has authority from an individual and or group that have beenor may potentially be impacted on to represent their interest.

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Local communities and other interested stakeholders may raise a grievance/complaint at
any time to the traditional and government elected officials. Affected local communities
should be informed about the GM and how to make a complaint.

7.2

Grievance Redress Process
The GM for the PRIME Project is scaled to the risks and adverse impacts anticipated for
the Project. If promptly addressed and using an understandable and transparent processthat is gender responsive, culturally appropriate and at no costs and without retribution,
the concerns and complaints of potentially affected people will usually be resolved.
The GM process is not a substitute for, or meant to impede access to, regular legal process
but provides a simpler mechanism for complaint resolution. The GM will as far aspracticable, try to resolve complaints and/or grievances on terms that are mutuallyacceptable to all parties. When making a complaint and/or grievance, all parties must act
at all times in good faith and should not attempt to delay and/or hinder any mutuallyacceptable resolution.
If an Aggrieved Person (AP) is not satisfied with, or has a complaint about, an aspect of
the Project (e.g. such as the mitigation or assistance provided) they have the right to lodge
a grievance. While every effort should be made to resolve conflicts by mutual agreementof the parties involved, in some cases, arbitration and adjudication on disagreements andconflicts by an external mediator will be required.
For consistency, the GM for the PRIME Project is in-line with other GM instruments
implemented in FSM under WB funded projects. This GM process is set out in Table 6-1
for grievance redress of social and environmental matters relating to the PRIME Project.
Table 6-1: PRIME Project Grievance Mechanism Process

Step

Process

1

The Aggrieved Party (AP) takes their grievance to the PRIME Project
Implementation Unit (PIU) State Focal Point, Contractor, or contact through the
FSM DoFA website or email.
Relevant case information is recorded (e.g. Grievance Form, maps, notes ofmeetings, photos, etc).
All grievances (both construction and non-construction related, and thoserelated to SEA/SH/GBV) are to be either directly received by the PIU State
Focal Point, or forwarded to the PIU State Focal Point (i.e. should grievances
be received by the Contractor for construction related complaints).

Any time

2

Upon receipt of the grievance the PIU State Focal Point is to screen thegrievance to assess whether it is related to the PRIME Project, or
environmental and social issues.
Non-eligible grievances (i.e. those not Project related) are then to be referredto the relevant agency to follow up, if appropriate.

Within 1 day ofgrievancelodged3

The PIU State Focal Point will endeavor to resolve any complaint/issue
immediately, both construction and non-construction related grievances.
If satisfactorily resolved the incident and resultant resolution/corrective action
will be logged and reported to the PIU Project Manager, and copied to theCentral Implementation Unit (CIU) (Program Manager and Safeguards Team).

Within 2 weeks
of grievancelodged4

If unsuccessful (i.e. AP is not satisfied), the PIU State Focal Point will refer the
AP to the PIU Project Manager and the Central Implementation Unit (CIU)
Program Manager and Safeguards team to address and resolve the complaint.
The proposed corrective action is to be reported back to the AP for agreement.

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Step

Process

Duration

5

Where the complaint has not been resolved, the PIU Project Manager will refer
the grievance to the DoTC&I Project Management Unit (PMU) for his/heraction/resolution.
The PIU Project Manager will log the details of issue and resultant resolution
status (copy CIU Project Manager and Safeguards Team).

6

If the matter remains unresolved, or the AP is not satisfied with the outcome,the DoTC&I PMU refers the matter to the Project Steering Committee (PSC) fora resolution. The PIU Project Manager will log details of issue and resultant
resolution status (copy CIU Project Manager and Safeguards Team).

Within 1 monthof grievancelodged7

Once the agreed corrective actions are implemented, and the PIU ProjectManager notifies the claimant of the result in writing.

Within 1 weekof resolution

8

If it remains unresolved or the complainant is dissatisfied with the outcome
proposed by the PSC, the AP may refer the matter to the appropriate legal or
judicial authority. A decision of the Court will be final.

Within 3
months ofgrievancelodged (where
possible)

Steps 1 to 5 should be undertaken immediately (i.e., as soon practicable). Where thematter is referred to the PIU Project Manager, a resolution should be sought within two
weeks. If unsuccessful and the matter is referred to the Project Steering Committee (PSC),
this should occur within a month. The PIU Project Manager shall report back the outcomeof the resolution to the AP within one week total of the corrective action occurring.
The PIU State Focal Point will be the grievance focal point and receive, record and reporton Project related concerns. If the complaint/grievance relates to a Contractor activity, theProject will ensure the Contractor remedies any damage, pays compensation for damage
or loss, etc. Use of community leaders and customary methods of conflict resolution is
encouraged and utilized if and when appropriate – on a case-by-case basis.
A complaints register will be maintained and will show the details and nature of thecomplaint, the complainant’s name, the date and actions taken as a result of theinvestigation (outlined further below).
Any grievance related to corruption, any unethical practice including human trafficking,
GBV, prostitution etc needs to be managed confidentially through the following process:(i)

The AP take their grievance to the relevant PIU State Focal Point whom will
immediately notify and refer the grievance to the Municipal, State and/or National
Police.

(ii) The PIU State Focal Point notifies the PIU Project Manager whom notifies the
DoTC&I Project Management Unit (PMU) and CIU (Program Manager andSafeguards Team).
(iii) If the grievance includes human trafficking, prostitution and other similar illegal
activities of this nature the PIU Project Manager will notify the State and National
legal offices (e.g. Department or Justice) and report the incidence.
(iv) Resolution of these grievances will be the responsibility of the legal systems withineach state and or national agencies as dictated by state and national law. In thesecases the Projects grievance mechanism will ensure the above due diligence isenacted and due process is documented with the grievance given a complaint

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number and recorded. Confidentiality associated with all criminal cases must becompliant and follow State and National laws.
The PIU Project Manager will review and amend the GM process, where appropriate andmake adjustments to consultations, the GM, community engagement, Project
implementation and other aspects as necessary to avoid future complaints and grievances
if and when required.

7.3

Disclosure of Grievance Mechanism
It is important to ensure that all stakeholders including local authorities and community
members in the vicinity of the identified works are informed of the Project’s GM process
throughout the full duration of the PRIME Project including construction and nonconstruction components such as during preparation of any works specificmanagement/land access plans, and prior commencement of any civil works.
This information should include their rights regarding potential land/asset impacts andenvironmental degradation, the grievance process, and guidance on relevant steps tolodge a complaint.
The Grievance Process is to be introduced during all stakeholder engagement activities
and on websites including stakeholder consultation meetings to ensure that all relevant
stakeholders are aware of this procedure and the specific steps to be taken for lodging acomplaint.
The GM, along with key E&S documents (such as frameworks, land access plans,management plans, ESIAs) prepared for the Project, will be publicly disclosed on relevant
websites (www.worldbank.org and www.dofa.gov.fsm) as draft and final documents.
Prior to the start of construction activities, signs will be erected at the work sites (in theappropriate local language) providing the public with updated Project information andsummarizing the GM process including contact person details.

7.4

Record Keeping and Reporting of Grievances

7.4.1

Grievance Record Keeping
All complaints or grievances submitted will require the completion of a Grievance Claim
Form which will include the following information:(i)Name of the complainant;(ii) Address (including village name);(iii) Name of the person filling in the Grievance Claim Form (if not the complainant);(iv) Full description of complaint issue, including background, sketches and maps
where appropriate;(v) Description of the requested corrective action;(vi) Date of grievance submission; and(vii) Signature of complainant, the person filling in the form and the person who received
the form.

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If assistance is required, the claimant can request help with a verbal grievance to complete
the form from the Contractor or PIU State Focal Point (where appropriate). Grievances
claim forms can also be submitted electronically through the FSM DoFA website or email.
Each grievance record is to be allocated a unique number, reflecting year and sequenceof received complaint (e.g. 2021-01, 2021-02 etc). Complaint records (letter, email, recordof conversation) should be stored together electronically or in hard copy. Eachcomplaint/grievance is assigned a specific person responsible for its management andclose out.
All grievances (both construction and non-construction related, and those related to
SEA/SH/GBV) are to be either directly received by the PIU State Focal Point or forwarded
to the PIU State Focal Point (i.e. should grievances be received by the Contractor forconstruction related complaints).
Upon receipt of the grievance the PIU State Focal Point is to screen the grievance toassess whether it is related to the PRIME Project or environmental and social issues. Noneligible grievances (i.e., those not Project related) are then to be referred to the relevant
agency to follow up, if appropriate. If the complaint is related to SEA/SH/GBV, the relevant
GM (once developed) is to be followed including the involvement of local GBV service
providers.
Language barriers and insufficient literacy levels shall also not prevent any persons fromlodging a complaint. The Grievance Claim Form shall be written in English and theappropriate language for that FSM State, and disclosed during consultation.
Complaints or grievances are to be recorded in a Complaints Register held locally by the
PIU State Focal Point with a copy also kept centrally by the CIU Safeguards Team. The
register is to clearly indicate whether an issue has been resolved or is still outstanding.
The following records generated by this procedure will be stored in hard copy at the site
office and in electronic format:•

Grievance Claim Forms;•

Letters of request;•

Memorandums of field investigations, consultations and meetings; and•Photographs, maps, drawings.

If an issue has been resolved, the register will include the following information:

7.4.2

•

Completed Grievance Resolution Form;•

Action taken (including evidence of action taken, i.e. photographs, receipts, etc.);•

Date of resolution; and•Signature of complainant and person responsible for issue resolution.

Reporting and Evaluation
A report on the status of all reported grievances will need to be provided by the PIU ProjectManager to the DoTC&I, PMU and CIU Safeguards Team on a monthly basis. This
information is also to be included in the Project’s regular reporting requirements to the WB.
The scope of this regular grievance reporting shall include:

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Total number of complaints/grievances received.

•

Total number resolved.

•

Total number under investigation/not yet resolved.

•

Total number not yet resolved and also exceeds the recommended close out time of
1 month or 3 months.

•

Short paragraph on any significant grievances currently not yet resolved and any
risks to Project implementation.

If there are more than 30 complaints/grievances recorded, the PIU Project Manager may
decide to investigate any patterns or repetition of issues that need addressing. The PIU
Project Manager may decide to get an independent consultant to review and provide
advice.

7.4.3

Contact Details
Anyone can ask for information on the Project, express a concern, make a complaint(grievance) or get in touch with the Project for any reason. Complaints/concerns can beanonymous and are to be treated confidentially.
Specific persons and contact details both nationally and at the State level will be identified
as the Project develops, communicated where ever the GM is presented and at suitablelocations in the vicinity of physical works and updated accordingly throughout the Project.

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8.

Institutional Arrangements, Responsibilities and
Implementation

8.1

Institutional Responsibilities and Structures
The realization of a successful livelihood restoration and compensation program will
require the full participation of Project relevant implementing agencies in collaboration with
National, State and Municipal Government Officials. The responsibility to implement allcommitments in the RF along with any works specific land access procedure plans/reports
prepared will be distributed between these stakeholders.
The relevant institutional structures to be either utilized (for existing institutions) or
established for the PRIME Project including roles and responsibilities are shown in Figure
8-1 and described below.

Figure 8-1: Implementation arrangements for the PRIME Project .

8.1.1

Coordination among the National and State Governments andDepartments
The PRIME Project is designed to work with the National GoFSM and with each of the four
State Governments and will be implemented over a five-year period following project
effectiveness. DoFA will be the Executing Agency (EA) while National DoTC&I will be the
Implementing Agency (IA) working closely with each of the four States.
As the PRIME Roads fall under the jurisdiction of the relevant State Governments, Project
Implementation Agreements (PIAs) with each of the States will also be required to help
govern the PRIME activities in each State, with one PIA for each of the following groups:

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Federated States of Micronesia PRIME Project
Resettlement Framework(a) National DoTC&I, Kosrae State Government and Kosrae Department of Transportand Infrastructure;(b) National DoTC&I, Pohnpei State Government and Pohnpei State Office ofTransport and Infrastructure;(c) National DoTC&I, Chuuk State Government, and Chuuk State Department ofTransport and Public Works; and(d) National DoTC&I, Yap State Government, and Yap State Department of Public
Works and Transportation.
PIAs will be executed prior to the commencement of Project activities under Component 2
to ensure clarity and agreement between all relevant parties on implementation roles andresponsibilities.
As each road authority is under its respective State’s control and to ensure good technicalcoordination, focal points will be appointed in each State to work on and manage day-today PRIME activities associated with its land transport sector and to liaise with the National
DoTC&I.
Within the National GoFSM, DoTC&I has a project management unit (PMU) that has
responsibility for the delivery of Overseas Development Assistance funded infrastructure
projects (including the World Bank, Asian Development Bank, United States Federal
Aviation Administration, People’s Republic of China and the United Nations) with the
exception of energy (managed by the Department of Resources and Development) andtelecommunications (managed by the DoTC&I Communications Division). The primary
focus of the PMU is on program management with day-to-day project management tasksdeferred to project implementation units.
A PRIME PIU will be established within DoTC&I. All contracts with consultants, contractors
and suppliers will be signed by the DoTC&I Secretary with the administration and contract
management tasks of the contract being implemented by the PIU as their day to day
responsibility. The DoTC&I Secretary will sign off on all consultant and contractor invoices
and authorize CIU to make payments.
During project implementation, the DoFA Centralized Implementation Unit (CIU)
Safeguards Team will assist DoTC&I with the environmental and social aspects.
Both the CIU and DoTC&I are existing units, and are familiar with WB ESF and projectspecific environmental and social risk management instruments from their experienceswith other WB-funded projects.

8.1.2

PIU Implementation Support
The PIU will coordinate the implementation of the PRIME Project with DoTC&I
management, DoTC&I PMU, DoFA CIU, PIU State Focal Points, and the State transport
agencies in a manner that is to be set forth in the PIAs that outlines the roles of eachorganization. The PIU will also be responsible for preparing and implementing the Projectin accordance with annual work plans and budgets which will detail the Project’s activities
and eligible expenditures. The PIAs will clarify, among other things, the necessary stateand intra-government cooperation and support necessary for the Project.
The PIU will have overall supervision of RF implementation. Environmental and social risk
management will also be the responsibility of the PIU, supported by the CIU Safeguards

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Team. The PIU will ensure the availability of an appropriate budget for RF implementation
including the payment of compensation if required.

8.1.3

CIU Implementation Support
The already established CIU within the DoFA, the PRIME Project Executing Agency (EA),
is a functional unit that supports the implementation of the WB portfolio and includes anenvironmental and social Safeguards Team.
In order to provide strong and efficient support throughout FSM, the CIU provides support
to core implementation functions needed for all WB portfolio projects in FSM including, but
not limited to, procurement, financial management, social and environmental risk
management, monitoring and evaluation, as well as outreach and communications. The
CIU team members responsible for these functions report to the CIU Program Manager
and provide services and hands on support to the PRIME Project Implementing Agency(i.e., DoTC&I) for preparation, implementation and capacity building activities. The CIU
will be supported during project implementation by environmental and social consultantsfor due diligence, community engagement and instrument preparation as needed. Project
implementation responsibilities however remains with the IA (DoTC&I).

8.1.4

Role and Composition of the PSC
To ensure the four States are adequately represented in decision making process, a
Project Steering Committee (PSC) will be established and chaired by DoTC&I. Recent
experience from the existing FSM Maritime Investment Project (FSMIP) suggests that
ensuring the appropriate representation of all parties in the Project Steering Committee(PSC) will be critical for success. The FSMIP project PSC structure could be considered.
The Secretary of DoFA will be a member, along with a member appointed by the Governorof each of the four States. The PSC will provide general oversight and policy direction to
PRIME Project stakeholders during Project implementation, convene key stakeholders in
the event of disagreement and periodically review Project progress. The PSC will have arole in determining priorities for allocating Project funds after the completion of the VA andCRRS studies.

8.2

Implementation Roles and Responsibilities
The management, coordination and implementation of the RF and its integral tasks will be
the responsibility of the PRIME PIU with support from the CIU Safeguards Team.
It will be important for the PIU and other implementing agencies to ensure that theinstitutional capacity is in place before implementation of the RF commences. Some of
the main shortcomings of livelihood restoration projects include:(i) Lack of funds for planning, compensation, development and follow-up monitoring;and(ii) Lack of experience in framework implementation due to the absence of qualified
staff and experience in dealing with livelihood restoration and compensation.
The proposed organizational structure and management functions for implementing the RF
is described below. While the DoTC&I and DoFA may decide to adapt this structure
according its needs and funding, it is emphasized that the various components listed anddescribed below should be represented in the organizational structure in order tosuccessfully implement the RF.

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8.2.1

PIU Project Manager and Project Officer
The PIU will be initially staffed with a PIU Project Manager, and a Project Officer, based in
Pohnpei (National Government DoTC&I) with additional PIU support to be recruited (suchas State level or administrative support) as required.
The PIU Project Manager will be responsible for working collaboratively with all national
level stakeholders and overseeing all State level livelihood restoration and assistance andstakeholder consultation activities with support from PIU State Focal Points.
The PIU Project Manager will also be responsible for the following tasks in relation to
implementation of the RF with support from the CIU Safeguards Team as required:•

Approve the content of any future revisions to the RF based on technical review andrecommendations by CIU;•

Initiate the commencement of, and review the content of, the E&S screening forms
and report to be undertaken by the CIU Safeguards Team (or a E&S consultant);•

Approve content of any Land Access Plans (or ARAP) prepared for specific works;•

Implement and monitor all stakeholder engagement strategies/plans for the Project;•

Coordinate, facilitate, and where appropriate participate, in face-to-face stakeholder
meetings including with PAPs and Land Commission with on-the-ground support
from the PIU State Representative, and CIU Safeguards Team;•

Facilitate (with support from the CIU Safeguards Team) and approve the outcomes
for the IOL survey, and oversee maintenance of IOL database;•

Facilitate land access negotiations including Voluntary Land Donation (VLD) or landacquisition (if required), and asset relocation/assistance;•

Support the Land Commission to facilitate the valuation of land and/or assets if
compensation is required;•

Oversee relocation, reinstatement or any impacted assets and transfer of land
certificate of title; and•Prepare monthly and quarterly monitoring reports.

Efforts are to be made to keep stakeholders, including PAPs, informed on Project progressincluding establishing a direct line of communication between to the PIU Project Manager
as the key stakeholder contact points. The PIU Project Manager can then direct
stakeholder contact to any other appropriate Project implementation groups (e.g. PIU State
Focal Points, CIU Safeguards Team, design consultants, E&S consultant and contractor)
as appropriate. This direct line of contact to the PIU Project Manager will allow for ongoing updates and discussions outside of formal consultation activities and allow for
stakeholder concerns and suggestions to be taken into account as they arise.
The Project Officer is to provide assistance and support to the Project Manager on theabove.

8.2.2

PIU State Focal Points
A focal point in each State will be appointed by the PIU to work on and manage day-to-day
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Component 2 works. The PIU State Focal Point is likely to be appointed from within theState Department of Transport and Infrastructure (or Department of Transport and Public
Works’ in Chuuk and Yap).
The PIU State Focal Point will report directly to the PIU Project Manager, and act as the
key contact person for stakeholder enquires in each State with oversight from the PIU
Project Manager and CIU Safeguards Team, as appropriate.
Any PIU State Focal Points appointed should be suitably qualified with goodcommunication skills to undertake a range of stakeholder engagement activities and be
appropriately trained in the needs of the Project.
The PIU State Focal Point will also be responsible for the following tasks:

8.2.3

•

Oversee all State level stakeholder engagement related activities for the Project;•

Manage the grievance mechanism at the State level, including receiving, screening,
resolving for forwarding grievances (e.g. to PIU Project Manager, CIU Safeguards
Team or others), as appropriate;•

Interact with related and complementary support activities that require ad hoc or
intensive stakeholder engagement (community development and landacquisition/resettlement planning and implementation);•

Act as mediator between the Contractor and stakeholders;•

Support CIU Safeguards Team (or E& S consultant/s) to undertake E&S screening
for Component 2 works;•

Participate in IOL for land and/or assets impacted by works; and•Proactively identify stakeholders, Project risks and opportunities (with support fromthe CIU Safeguards Team) and inform the PIU Project Manager to ensure that thenecessary planning can be done to either mitigate risk or exploit opportunities.

PIU Project Assistant
The PIU will require a Project Assistant to be recruited to provide support to the Project byensuring all administrative requirements are managed effectively. Main responsibilities are
to include:•

Document management, including capture and filing (physical and electronic) of
stakeholder and PAP documents and records.

•

Database management, including:oContinuously update stakeholder and PAP information (contact details,organizational details, designation, engagement activities); andoContinuously update grievance information (grievance records, grievance
database, agreements, meeting registers).

•

Logistics management;•

Support with arranging accommodation and traveling where required; andDecember 2020

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•

8.2.4

Assist with printing of materials to be used during stakeholder meetings (posters,
pamphlets, Project Summary Documents, letters, attendance registers, maps,
newsletters etc).

CIU Safeguards TeamThe existing DoFA Centralized Implementation Unit (CIU) provides support for all WB
portfolio projects in FSM including, but not limited to, procurement, financial management,
environmental and social risk management, monitoring and evaluation, as well as outreachand communications.
The CIU Safeguards Team currently undertakes a range of stakeholder engagement
activities as part of its portfolio of WB funded Projects and has existing relationships witha many of stakeholders in each State which will be important to utilize for the PRIME
Project. The CIU will be supported by environmental and social consultants throughout
project implementation as needed.
In relation to implementation of the RF, the PIU will require support from the CIU
Safeguards Team in particular for capacity building and E&S technical support throughout
the Project and to ensure the RF is implemented appropriately and is consistent with therequirements of ESS5.
In relation to implementation of the RF, the CIU Safeguards Team will be responsible for:•Ensuring the E&S risk screening is undertaken for each Component 2 works (withlocal support from PIU State Focal Points);•

Applying the ESMF and other instruments to all Components, including review ofTechnical Advisory Terms of Reference (TOR) and draft and final outputs;•

Prepare, or oversee the preparation of, Land Access Due Diligence Reports or
Voluntary Land Donation Reports, for the works, including the preparation of TOR,
selection of consultants, and review of draft and final outputs;•

Support external consultants to prepare any ARAPs required, and review andprovide recommendation to PIU Project Manager for approval;•

Supervise physical works, carry out audits, IOLs etc;•

Manage grievances and EHS incidents as required, providing technical support toresolving issues and incidents;•

Storing data (including grievance records), collating and interpreting stakeholder
feedback and providing details to PIU, DoTC&I, design team and others asnecessary;•

Provide E&S reporting on a quarterly basis as part of WB reporting;•Assist to obtain all relevant permits from EPA, KIRMA and federal agencies; and•Providing technical and capacity building support to the PIU and other project
implementing agencies on the implementation of instruments, as the PIU does notcontain E&S expertise.

The CIU Safeguards Team may need additional social and environmental risk
management support to implement the growing WB portfolio in FSM including the PRIME
Project. Specialist consultants may be required on an ad hoc basis by the CIU to prepare
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Federated States of Micronesia PRIME Project
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supervision or monitoring services.

8.2.5

Civil Works Contractors
The Contractor engaged to undertake road works construction will be responsible forundertaking stakeholder engagement related to construction of the specific physical works,
as well as implementing any environmental and social protection and mitigation measures
as outlined in their Terms of Reference and accompanied instruments (e.g CESMP).
Specifically the Contractor is required to:

8.2.6

•

Support the PIU State Focal Points in engaging with stakeholders relating tocommunicating the scope and timing of works (either by attendance at meetings,
installation of notice boards, door knocks/letter drops, etc.);•

Negotiation with landowners/users in relation to temporary use of land required forconstruction relation activities (e.g. laydown and storage/stockpile areas, worker
camps, amenities, etc.) and assessment of temporarily used land after
reinstatement/restoration to a condition acceptable to the land owner;•

Negotiation with landowners regarding relating/reinstalling physical assets (such as
fences, walls etc) located directly within the Project footprint; and•Receiving complaints and grievances by stakeholders and forwarding to the PIU
State Focal Point during works construction, and resolution of grievances if they are
related to the Contractor (in coordination with the PIU).

Land Commission (or State delegated authority)
The responsibility for administration of land tenure in each State rest with the Land
Commission or State relevant delegated authority (such as Court of land Tenure in
Pohnpei, of Division of Lands in Yap) as described in Section 3.2.
The role of the Lands Commission during implementation of the RF is as follows:•

Review outlined plan of works, provided by PIU, to identify owners of land whereland loss could potentially occur, by undertaking a search of land ownership andregistered users rights in the vicinity of the works;•

Undertake land and asset valuation, and development of standard compensation
rates for the PRIME project, with support from the PIU or an independent valuer (ifrequired);•

Support the PIU and CIU Safeguards Team to undertake stakeholder consultationin relation to proposed entitlements, compensation and valuation processes andmethodology;•

Support the PIU to negotiate VLD with potentially affected land and/or asset owners
identified;•

Support the PIU and CIU Safeguards Team to complete any compensation
payments required prior to the commencement of any construction activities,
including land preparation (e.g. vegetation clearance);•

Prepare a Sale and Purchase Agreement, in the case of transfer of freehold or
customary land through involuntary acquisition based on the assessed replacement
value; andDecember 2020

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•

8.2.7

Ensure any transfer of land titles required for the Project (either via VLD or landacquisition) follow the appropriate State process and are completed prior toconstruction commencing.

Council of Chiefs
The FSM Constitution has provision for the involvement of traditional leadership to be
involved in decision making processes. To support this, a Council of Chiefs consisting oftraditional leaders and elected representatives is provided for in both the national and State
Constitutions.
The role of the Council of Chiefs in implementing the RF is as follows:

8.3•

Involvement in stakeholder engagement activities led by the PIU (and other relevant
Project related groups) relevant to their respective communities, and disseminating
key messages from this engagement to their communities;•

Facilitating specific stakeholder engagement and consultation activities between the
PIU (and other relevant Project related groups) and the community, including PAPs,
related to specific works activities including land access negotiations (e.g. VLD andtemporary land use by construction Contractor);•

Review and provide consent for any negotiated Sale and Purchase Agreements
prepared by the Land Commission;•Communicating community grievances to the PIU, where appropriate; and•Support the PIU in resolving grievances where they relate to complaints raised bymembers of their community, including facilitating one-on-one where required.

Implementation Process
All activities for implementing the RF including any land access plans (i.e. LADDR, VLDR
and ARAPs) required will be completed prior to any construction activities for the works.
The PIU, assisted by CIU Safeguards Team and the Land Commission, is to alsosatisfactorily complete any required compensation payments prior to construction andlands are to be free of all obstructions before WB is requested to provide its “No Objection”
for the award of the civil works contract. In support of a claim for satisfactory compliance,
PIU will submit the following duly authenticated documents to the WB for the works:•

List of Project Affected Persons
entitlement/compensation (if any);(PAPs)

andtheir

corresponding•

Copy of Project Summary Documents distributed to PAPs;•

Evidence of holding account existing with disputed compensation payments
deposited;•

Minutes of consultations with PAPs including details of gender or vulnerable groups;•

Individual agreement on entitlements/compensation reached with the PAPs, if
applicable; and•Journal voucher(s) or equivalent document(s) showing the completion ofentitlements/compensation provided to PAPs.

Where Voluntary Land Donations (VLD) are the method of securing land, the PIU will
ensure that the agreed VLD Protocol is followed and VLD forms, translated into the local

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language, are duly signed and witnessed supported by the VLD Report and the following
documentation:•

Reports of consultations (including minutes of meetings) carried out during close outof the VLD process;•

List of participants; and•Photographic evidence of meeting and signing ceremony.

The WB will issue its “No Objection” for the award of civil works contract should it besatisfied that PIU has satisfactorily completed the implementation of the RF.
The roles of relevant agencies in implementing the RF is outlined in Table 8-1.
Table 8-1: RF Implementation Responsibilities

Activities

Agency Responsible

Disclosure and public consultation for PRIME Project preparation.

PIU, with support from CIU
Safeguards Team

Coordinate and/or undertake Stakeholder engagement andconsultation throughout PRIME Project.

PIU, with support from CIU
Safeguards Team

Implement and monitor all stakeholder engagement
strategies/plans and activities required for the Project.

PIU, with support from CIU
Safeguards TeamE&S risk screening for works, including initial screening after
VA/CRRS, and detailed screening during preliminary design.

CIU Safeguards team (or E&S
consultant)

Technical advisory into design process based on E&S screening.

CIU Safeguards teamIdentify landowners and registered users with rights in the vicinityof the works.

Land Commission, with support by
PIU and CIU Safeguards Team

Land access negotiations, including VLD or land acquisition (ifrequired), and asset relocation/assistance with PAPs.

PIU, with support from CIU
Safeguards Team, Land
Commission and Council of Chiefs

Preparation of Land Access Procedure documents (LADD, VLDR
or ARAPs) for specific works.

CIU Safeguards Team (or E&S
consultant)Prepare Terms of Reference (TOR) for external consultants(should they be required to prepare any Land Access Procedure
documents (e.g. ARAP)CIU Safeguards Team

Obtain all relevant permits from EPA, KIRMA and federal
agencies.

PIU, with support from CIU
Safeguards Team

Facilitate and approve the outcomes for the inventory of losses(IOL) survey.

PIU, with support from CIU
Safeguards Team, Land
Commission, Council of Chiefs

Oversee maintenance of IOL database.

PIU, with support from CIU
Safeguards Team

Land and asset valuation, and development of standard
compensation rates.

Land Commission (or independent
valuer), with support by PIU

Consultation on proposed entitlements, including financial
compensation and methods of valuation.

PIU, with support from CIU
Safeguards Team and Land
Commission

Complete any compensation payments required, prior to thecommencement of any construction activities.

DoTC&I, with support from DoFAand Land Commission

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Activities

Agency Responsible

Transfer of land certificate of title, and preparation of Sale andPurchase Agreement (if required).

Land Commission, with support
from PIU, and CIU SafeguardsTeam

RF monitoring and reporting including monthly and quarterly
reports, including internal audits.

PIU, with support from CIU
Safeguards Team

Preparation of tender bid documents and TORs, including
requirement for Contractor ESMP (CESMP).

PIU, with support from CIU
Safeguards Team

Tendering and award of civil works.

PIU, with support from CIU
Safeguards Team

Confirm ‘No Objection’ for the award of civil works.

WB

Preparation of Contractor CESMP (including ESCP, WMMP, SMP,
TMP, SIP, CHSP, OHSP etc.) as required.

Contractor (to be reviewed andapproved by PIU and CIU
Safeguards Team)

Clearance of Contractor CESMP prior to works starting.

PIU, with support from CIU
Safeguards Team

Negotiation with landowners/users in relation to temporary use ofland required for construction relation activities (e.g. laydown andstorage/stockpile areas, worker camps, amenities, etc.).

Contractor with support/oversightfrom PIU and CIU Safeguard
Team

Assessment of temporarily used land after reinstatement/
restoration to a condition acceptable to the land owner.

Contractor with support from PIU
and CIU safeguard team

Relocation, reinstatement of any impacted assets (such as fences,
walls etc) located directly within the Project footprint.

Contractor with PIU, with support
from CIU Safeguards TeamSupervision, including monitoring / auditing of Contractors
implementation of the ESMP.

PIU, with support from CIU
Safeguards Team

Grievance mechanism, including receiving, screening, resolving
and/or forwarding grievances, as appropriate.

PIU, with support from CIU
Safeguards Team, Contractor,
Council of Chiefs

Technical advisory throughout Project, including ad hoc capacity
building of PIU, Contractor etc, as required.

CIU Safeguards Team

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9.

Budget and Financial Arrangements
Funding requirements for compensation and assistance to affected persons will be set out
in the respective Abbreviated Resettlement Action Plans (ARAPs) along with resource
requirements for implementation. Compensation rates will be based on replacement costvalues (as outlined in Section 5.3.3). All compensation and assistance will be provided infull prior to commencement of works in any affected areas.
The costs of implementing the RF requirements including payment of any financial
entitlements is the responsibility of the GoFSM as its counterpart contribution to the PRIME
Project to be provided by DoFA.
PIU and DoFA shall ensure that the total cost of RF implementation, including entitlements
and compensation (both time input, material and cash payments), are budgeted for andshall cover the following:(i)Project disclosure;(ii) Stakeholder engagement, including public consultations and focus group
discussions; and(iii) Internal monitoring and implementation of the RF and land access plans.
In addition, the DoFA and PIU will cover contingencies for the total entitlement,compensation and administrative cost and will ensure timely availability of adequate
budget to implement the respective ARAPs.
While the types of activities and investments to be carried out under the PRIME Project
are known (refer Section 2.3), the extent of the works that can be completed will dependon the results of the VA and CRRS to be carried out under Component 1.
An indicative budget of US$220,000 has been estimated for the GoFSM to implement therisk management requirements of the RF over five years as outlined in Table 9-1.
Table 9-1: Indicative budget for implementing the RF. Responsibilities

Item

Description

Amount (US$)

Miscellaneous stakeholder
consultation meetings andworkshops, including travel.

Includes venue, refreshments, printing etc fornumerous meetings across all four States throughProject. Includes travel for key PIU and CIU staff
from Pohnpei to other States, and travel for the PIU
Focal Point within each State (including flights, carhire, fuel etc). 15$70,000

Land acquisition and asset
relocation costs.

Indicative lump sum amount to cover likely andacquisition and asset relocation costs. The exact
amount required will be based on entitlements as per
the entitlement matrix and replacement costs valid attime of ARAP implementation, to be determined once
scope of works, area of land required, and process
for securing are known. 16$100,000

Development of standard
compensation rates for ProjectEngaging a local land valuation consultant, to updateor develop (where they do not exist) standard
compensation rates in each State.

$10,000

15 Assumed travel for international CIU Safeguards Team member/s to be covered under DoFA CIU budget.
16 Assumed surveying of land required for IOL included under design and supervision consultant budget.

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Item
Resolution of grievances
through GM

Description

Amount (US$)

Indicative lump sum amount to cover the resolutionof any grievances raised during the Project.

$20,000

Contingency (10%)$20,000

PROVISIONAL SUM$220,000

Budget of PIU staffing requirements (including Project Manager, Project Officer, Project
Assistant and State Focal Points) is outlined in the ESMF and has not been duplicatedhere. Additionally, budget for the CIU Safeguards Team is provided by DoFA to support
the full portfolio of donor-funded projects in FSM (including the PRIME Project).
The PIU, with support from the DoFA, is responsible for paying compensation for landacquisition and asset relocation (should it be required).
Preparation of the Land Access Procedure documents is the responsibility of the CIU
Safeguards Team, however should international E&S consultants need to be engaged toprepare specific plans (i.e. ARAPs) the CIU Safeguards Team is to prepare a TOR forthese external consultants, and the engagement of these consultants will be funded by WB(estimated to be approximately US$250,000).
Budget allocation for resettlement activities (such as replacement of assets and landacquisition) is to be assessed separately for each works based on surveys andconsultations after the preliminary design stage, and cannot be fully know at this time.
After completion of the detail design land and asset impacts can measured as part of the
IOL. The exact budget required will be based on entitlements as per the entitlement matrix
and replacement costs valid at time of ARAP implementation.
Where there are land disputes between two or more potentially affected landowners andthe rightful beneficiaries cannot be confirmed except by the Court, DoFA will establish aholding account in a commercial bank into which payment for compensation will be lodged
until the dispute is resolved satisfactorily. In this way, the WB can issue it’s “No Objection”
and works construction can begin without unnecessary delays.

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10. Monitoring and Evaluation
Monitoring and evaluation is essential to ensure successful implementation of thelivelihood restoration and compensation program as outlined in this RF. The success of
the RF will be measured by how well it can achieve the overall objective of restored
livelihoods at or above pre-Project levels.
The RF monitoring and evaluation program seeks to:1) Provide information in a robust and clear analytical format which enables ongoing
optimization of core livelihood interventions.
2) Document the progression of the program to successfully reach livelihood
restoration result indicators.

10.1

Internal Monitoring and Reporting
The PIU, with support from the CIU Safeguards Team, will be responsible for establishinga monitoring program that will monitor, measure and assess the implementation and overall
success of the RF and works specific land procedure reports/plans including identify issues
and facilitate timely responses.
The PIU will be required to monitor and report on the effectiveness of the following:(i)Undertaking entitlement activities (e.g. relocation of secondary assets);(ii) Disbursement of compensation payments (include temporary land lease);(iii) Effectiveness of stakeholder consultation and participation activities; and(iv) Sustainability of livelihood restoration and development efforts among PAPs.
Monitoring will be based on frequent observations of works activities, preparation ofnecessary plans and reports, engagement and consultation with stakeholders (as directedby the SEP) and reviewing and reporting on any Project-related complaints and/or
grievances.
Internal monitoring is to be reported quarterly by PIU (with support from CIU Safeguards
Team) for the overarching PRIME Project, and monthly for the separate Component 2
works.

10.1.1 Construction Monitoring and Reporting
10.1.1.1 Monthly Reporting
During the active phase of livelihood restoration and compensation for each Component 2
works, the following key progress indicators are to be measured internally by the PIU on amonthly basis:(i)

Percentage of the Project Footprint secured and entitlements issued (ifappropriate);(ii) Numbers of households and individuals affected by works activities;(iii) Numbers of households and individuals likely to experience livelihood impacts(either by land and/or asset loss, or business income disruption) as a result ofworks activities; andDecember 2020

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A brief monthly internal monitoring report will be prepared on this basis. The monitoring
requirements set out in the ESMF should also be detailed in this monitoring report.
The results and findings from the monthly reports should be consolidated and summarizedannually until the assistance and compensation process is deemed complete.
10.1.1.2 Works Completion Report
At the completion of physical works activities, a completion audit is to be undertaken to
establish whether the commitments set out in the RF and subsequent procedure plans
have been fully complied with during implementation, and whether livelihood restorationand compensation activities for that specific Component 2 works can be deemed complete.
This report should detail any issues and resolution encountered during Component 2 works
implementation and any residual issues or management measures required. The report
should also include photographs of site reinstatement.
The completion report will be carried out by the PIU, with support from the CIU Safeguards
Team, and summarize whether the objectives set forth in the RF been achieved including:•Identification of all affected people and identification of impacts;•

Fair and adequate entitlements to PAPs in order to works impacts;•

Timely delivery of entitlements, and in compliance with FSM legislation and WB
safeguards;•

Have livelihoods been restored/improved; and•Resolution of all identified grievances.

The monitoring requirements set out in the ESMF and CESMP should also be detailed inthis Works Completion Report.

10.1.2 Quarterly PRIME Project Monitoring and Reporting
Quarterly monitoring reports are to be prepared for the PRIME Project by the PIU
throughout the full Project duration including the following information:(i)

Status of each activity and the related environmental and social risks, including asummary of the findings from monthly reports on physical works;(ii) Achievement of targeted indicators, including objectives attained and not attained
during the period;(iii) Issues or problems encountered, complaints/grievances received and progresswith resolving the grievances;(iv) EHS incidents, and progress with resolution and close out; and(v) Schedule for the next period.

10.2

Submission and Distribution of Monitoring Reports
The Quarterly Monitoring Reports, and Works Completion Report, are to be circulated to
Project Stakeholders including DoTC&I, DoFA etc, and the WB for review and feedback,so they are aware of:December 2020

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The RF implementation progress; and(ii) Any issues that may arise so as to take timely and appropriate action.
WB will provide implementation support for the PRIME Project on an on-going basis andvisit FSM to monitor and evaluate progress. In country mission support or virtual support
will be provided every three to six months to be timed for after submission of a quarterly
monitoring report.
The PRIME Project will undergo a mid-term review by the WB no later than three years
after the effective date of the Finance Agreement.

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Appendix A State Land Registration Procedures

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A.1

Land Registration Procedure - Kosrae

The procedure for land registration in Kosrae includes the following:a) Designation of Registration Areas: The Land Commission designates all registration areas
for treatment within one year. All of the private land parcels on Kosrae are within designatedareas.
b) Survey Exterior Boundaries of Individual Parcels in the Designated Areas: The Division ofSurvey and Mapping surveys and maps all parcels within a designation area. Existingboundaries (monuments) are cleared and identified. New boundary markers are set if none
exist.
c) Preliminary Hearing: The Land Registration Team institutes a preliminary inquiry on theownership and boundaries of the parcels. All immediate, local claims to the property areheard and recorded. Where common consensus can be reached, the parcel is recorded:(i) by name of parcel and its description;(ii) by name of person found to have lawful interest therein; and(iii) the nature of the interest.
d) Adjudication of Claims by the Registration Teams: If dispute over ownership or boundaries
occurs, the registration team will adjudicate the problem. If the conflict in claim is difficult,the case if referred to the Commission and may be referred or appealed to the State Court
for final settlement. Upon receipt of a registration team adjudication and the accompanying
record the Commission may:(i) affirm the adjudication making a determination of ownership;(ii) return the records to the Registration Team with instructions for further hearings orother action;(iii) may hold hearings itself and make a determination of ownership based on therecords and the evidence received during its hearings.
e) Notice of Determination and Period of Appeal: After a determination of ownership is given
public notice is made, as prescribed in KSC Section 11.609(1), and an appeal period of 120
days is observed. The appeal for the Commission’s determination of ownership is to theState Court.
f)Issuance of Title: After the appeal period has elapsed without the filing of an appeal, or after
the appeal(s) have been concluded, the Commission issues a certificate of title setting forth
the names of each person holding an interest in the parcel pursuant to the determination,either as originally made or modified by judicial action. A certificate of title is conclusive upona person who had notice of the proceedings and a person claiming under him and is prima
facie evidence of ownership—except that a determined interest is subject to a public rightof-way over the property, and a lease or use interest not exceeding one year 2 KSC § 11.616.

g) Registry of Titles: The Commission retains the original certificate of title in a permanentregister. A duplicate certificate of title is issued to the landholder.

A.2

Land Registration Procedure - Pohnpei

The procedure for the registration of land in Pohnpei are as outlined below:a) Designation of Registration Area: The Court of Land Tenure first designates a land
registration area or areas within which it believes it will be desirable and practicable toregister lands. Because of the multiple requests for land registration from all municipalities
of Pohnpei, all the lands of Pohnpei have been designated as Registration Areas. The
process of claim determination, survey and mapping of parcels is ongoing throughout themunicipalities of Pohnpei Proper.
b) Delineation of Land Registration Areas and Surveys of Plots and Boundaries: Once the
Court of Land Tenure has designated an area for registration the Chief of the Division ofLand (previously the Department of Land) will cause delineation of the exterior bounds ofthe area to be registered, and will survey and map the plots (parcels) claimed within thearea. During this process minor land and boundary disputes may be resolved by the fieldteamsc) Venue Hearings: Initial or preliminary hearings are then held on all land claims within theregistration area. Notice of such hearings must be posted in the respective municipality, as
well as broadcasted on the radio, at least 30 days in advance of the Venue Hearing and in
English and Pohnpeian (or the principal language of that municipality). Notice must also be
served on the Soumas en Kousapw (a traditional authority within the Kousapw) and all
adjacent landowners. Upon reaching a decision on a claim, the judge shall place on record
the place name and the parcel number of the land with the Clerk of the Court of Land Tenure,along with all actions taken and decisions made with reference to settlement of the claim.
d) Disputed Claims Procedure: If disputes arise during the course of settlement of the landclaims with the judge assigned to the registration area, the disputed land claim may be
assigned to a different judge in the Court of Land Tenure, or appealed to the Pohnpei
Supreme Court.
e) Notice of Determination of Ownership: Upon finalization of a decision of a land claim by the
Court of Land Tenure, a ruling is issued in writing and notice of this ruling is given the same
distribution as required for the preliminary venue hearing. The final decision on a land claim
made by the Court of Land Tenure can be appealed to the Appellate Division of the Pohnpei
Supreme Court by any aggrieved party within 90 days from the date of notice ofdetermination.
f)Issuance of Certificate of Title: After the time for appeal from a determination of ownershipby the Court of Land Tenure has expired without notice of appeal, or after an appeal duly
taken has been determined, the final survey and mapping of the parcel can be completed.
Following final survey and mapping that reflects the boundary settlement, the Court of Land
Tenure issues a Certificate of Title. The Certificate of title may be Fee Simple assigned as“Individual” or as “Tenants in Common.”A.3

Land Registration Procedure - Chuuk

The procedure for land registration in Chuuk are as follows:a) Designation of Registration Areas: Each year areas of the Chuuk municipalities aredesignated Registration Areas.
b) Dispatch of Registration Team: The team speaks with all landholders in the registration areaand encourages them to register their lands; notices are posted that publicize registration
efforts and encourage property claimants to file claims or discuss claims with the registration
team.
c) Preliminary Inquiry: After notice of a claim to land is issued, a preliminary inquiry is held in
the registration area. Land claims are then classified as either:(i) disputed or(ii) undisputed or uncontested claim.
d) Formal Hearing: Following a preliminary inquiry, a formal hearing is held in the registration
area to review and adjudicate claims. Evidence of ownership must be presented by claimantlandholders. Disputes on ownership or boundaries are recorded with evidence andsupporting testimony. After reviewing the claim, the Land Registration team makes a written
recommendation to the Land Commissioners. If approval is not recommended the reasonsfor disapproval must also be in writing.
e) Determination of Ownership: The Land Commissioners make a determination of ownershipbased on the evidence and testimony presented by the Registration Teams. There is arequired waiting period of 120 days following ownership determinations to allow any appealsof the determination to be filed in the Trial Division of the State Supreme Court.
f)Survey and Mapping of Boundaries: When the 120 days has expired, if there are no
remaining disputes or claims to the land, the land is then surveyed and mapped. A certified
map of the parcel is sent to the Senior Commissioner for approval and attached to the title
documentation.

g) Registration and Issuance of Title: After completion of the survey, marking of the boundaries
and mapping the land, the parcel is registered or titled Fee Simple to the certified land holder.
The title can be issued to an individual, an extended family, lineage group, a partnership, or
to a joint tenancy.

A.4

Land Registration Procedure - Yap

The procedure for land registration in Yap is as follows:a) An application for registration of land is filed with the Division of Land Resources.
b) Members of the Cadastral Survey Program visit the land in question. This team is
responsible for clarifying the ownership of the property, informing the various traditional
authorities of the property, and speaking with all adjacent property owners about boundary
identification. The team is charged with ensuring community, municipal and traditional
consensus with respect to the registration of property.
c) When a consensus or agreement is reached concerning the rightful landowner and theboundaries, a survey and official mapping of the lot and/or registration area is completed.
d) The determination and registration package is then sent to the governor for approval.
e) Following the approval by the Governor, the documents are returned to the Division of Land
Resources, Registration Section, for final document preparation, registration and issuanceof title.

Federated States of Micronesia PRIME Project
Resettlement Framework

Appendix B Project Voluntary Land Donation (VLD)
ProtocolDecember 2020

Final

75

Federated States of Micronesia PRIME Project
Voluntary Land Donation (VLD) Protocol

Voluntary Land Donation (VLD) Protocol
1. Background
This Voluntary Land Donation (VLD) Protocol has been prepared by the World Bank for the purpose ofdue diligence. For cases where communities and/or individual landholders have offered to donate theirland for the project because it is of benefit to the broader community, the VLD Protocol should be
followed. The project team is to exercise their best judgment where voluntary land is offered and conduct
due diligence to avoid adverse impacts and reputational risks. Donations are based on the premise thatthe project benefit will offset or outweigh the loss of the land donated.
VLD is only suitable for projects where the landowner and/or community wish to ‘gift’ land parcels or
small areas for small-scale community infrastructure that will be of direct benefit to the donor’scommunity.
2. When VLD is Applicable
Voluntary donation of land by beneficiary households is acceptable where:•

It has been verified the donation did not result from any form of coercion or manipulation and isoffered in good faith;•

The donation does not severely affect the living standards of the community and/or individual
landholder responsible for the donation (i.e. impacts are marginal, less than 5% of the affected
persons’ land holdings, and will not reduce the donor’s remaining land area below that required
to maintain the donor’s livelihood at current levels);•

Alternatives and the viability of other locations or sites have been considered;•

The donation does not result in the displacement of households or cause loss of income or
livelihood;•

The landholder/s making the donation will directly benefit from the project;•

Consultation has been conducted in an open and transparent manner and to a degree that thelandholder/s can make an informed choice;•

The land is free from disputes regarding ownership or tenure;•Land transactions are supported through the transfer of titles;•

Full and proper documentation of all consultations, meetings, grievances and actions taken toaddress grievances has been reviewed and made available;•

Where impacts are minor and other alternative sites are not viable.

Page 1Federated States of Micronesia PRIME Project
Voluntary Land Donation (VLD) Protocol

3. When VLD is NOT Applicable
VLD is not applicable under the following scenarios:•

Medium/large-scale infrastructure particularly in cases where a government agency or entitythat has a statutory obligation to provide the infrastructure and/or services for which the land isrequired•

Where inadequate consultation with donors results in lack of understanding about the terms andconditions of the donation;•

In lieu of formal procedures for land acquisition where these do not exist;•

Where donor property owners, landowners or customary rights holders do not support, or will
not directly benefit from, the Project;•

Where conflicts over land exist, including customary collective ownership;•

Conflicting land titling that make it difficult to establish with certainty who has a right to own,
donate and use a specific parcel of land;•

Where donors did not provide their informed consent and were subject to political or socialpressure and coerced into making the donation.

4. Process for Voluntary Land Donation
This section provides guidance on the process for VLD, namely on how to:•

Determine and document the appropriateness of VLD in the project context;•

Verify the requirements of the donation and the formalization of the donation;•

Carry out due diligence on the owners and users of land donated;•

Ensure appropriate consultation and disclosure;•

Establish informed consent of the person donating the land; and•Establish grievance redress mechanism.

This section outlines the process that should be followed once the threshold considerations set out in
Section 1 have been considered, and it has been determined that it is appropriate for the land to beprovided to the project by voluntary donation.
It is necessary to follow a clear process for the donation, and to prepare and maintain documents that
demonstrate such process. Each step set out below should be addressed in the context of the specificproject, and fully documented.
(i) Determine and document that VLD is appropriate in the circumstances of the project.
The team should record the reasons why it thinks that the donation of land is appropriate for the project.
In certain cases, only some of the land the project requires will be donated or alternatives to land
donation exist. The project team should identify (in as much detail as possible):•

What the land will be used for;Page 2Federated States of Micronesia PRIME Project
Voluntary Land Donation (VLD) Protocol•

How much land the project will require on both a permanent and temporary basis;•

How much of the land will be donated;•

What alternatives to donation exist (e.g., right of use, right of way);•

The terms of the donation;•

The identities of the parties who intend to donate;•

The beneficiary of the donation; and•Any details that are relevant to why donation may be appropriate.

(ii) Verify the requirements to transfer, and formalize the transfer of, the land
It is important to understand the process that should be followed to transfer the land, and appropriate
ways to formalize the transfer so as to achieve certainty for both the transferee of the land and the
project. In many countries this will require consideration of the legal and administrative requirements
but also, particularly in the case of customary land, local and community processes. In some cases
these will constitute two different but parallel (and overlapping) systems and a process will have to beestablished to ensure that the requirements of each system are satisfied. An important consideration
will be how transparent the process and the decision making process actually is, and what can be done
to enhance the process.
(iii) Conduct due diligence on who owns and uses the land
Given the specific issues surrounding land ownership and use in the PICs, it is important that the project
team carries out careful due diligence to understand the type of land rights that exist in the project area,
and to identify any particular issues relating to land ownership and use. Thereafter, a more specific due
diligence must be conducted on each parcel of land proposed for donation to identify:•

The owner or owners of the land;•

The type of land tenure;•

The users of the land, or any parties that occupy the land (either physically or through ownershipof an asset or conduct of livelihood or business activities on the land);•Any competing claims of ownership or use;•

Structures and assets on the land;•

Any encumbrances on the land.

It is important to: (a) identify the right that is being transferred (an ownership right, a use right, a right ofway, etc.); and (ii) check whether the transferee actually has the right s/he claims to have. In many
circumstances where careful due diligence has not been carried out, significant conflict has arisen at alater stage when another party claims that they have the same or a competing right. In somecircumstances – but not all – the transferee will have documentary evidence of such right. Where nosuch evidence exists, the due diligence can establish rights by speaking with local community officials
and neighbours.

Page 3

Federated States of Micronesia PRIME Project
Voluntary Land Donation (VLD) Protocol(iv) Disclosure and Consultation
The decision to donate must be taken on the basis of a full understanding of the project and theconsequences of agreeing to donate the land. Accordingly, the parties that will be affected by the
donation (the owners and users of the land) must be provided with accurate and accessible information
regarding what the land will be used for, for how long, and the impact the donation will have on themand their families. It is important that prior written notification indicating the location and amount of landthat is sought be provided and that its intended use for the project is disclosed.
Where the intention is to deprive the parties affected by the donation of the land permanently, or for asignificant length of time, this must be made clear. It should be noted that in many communities theconcept of alienation of land is uncommon and difficult to understand, and care needs to be taken to
ensure that the implications of this are fully understood. It is also important to decide who else should
be consulted about the proposed donation; for example, spouses and older children.
There should be a clear agreement as to which party will pay the costs associated with the donatedland. This could include measurement costs, documentation and notarial fees, transfer taxes,
registration fees. It should also include the costs of re-measuring/re-titling the transferee’s remaining
land and any new documentation relating to it.
(v) Establishing Informed Consent
It is crucial that the project team is confident that the decision to donate was taken in circumstances of
informed consent or power of choice. As discussed earlier, this means being confident that the owner(s)or user(s) of the land understand:•

What the land is going to be used for, by whom and for how long;•That they will be deprived of the ownership or right to use the land, and what this really means;•That they have a right to refuse to donate the land;•

Whether there are alternatives to using this land;•

What they will need to do to donate the land (e.g., execute documents, get spousal consents,
pay taxes);•

The effect of the donation on their family, and what they can do if they (or their family or heirs)
want the land back.

•The exact demarcation of land boundary for the project’s use;•

Whether there are proposals which would allow other land to be used;•

What they will need to do to donate the land;•

The intergenerational effect of the donation on their family, what they can do if they (or theirfamily or heirs) want the land back.

The terms and conditions of the land donation must be mutually agreed upon and detailing in a writtenagreement.

Page 4Federated States of Micronesia PRIME Project
Voluntary Land Donation (VLD) Protocol(vi) Documentation
It is necessary to distinguish between: (a) the agreement to donate the land; and (b) the document thatcarries out and evidences the legal transfer of the land. While it is important to have evidence of an
intention and agreement to donate the land, it is equally important to ensure, where required andappropriate, that the land is legally transferred. While the process relating to the legal transfer of theland is frequently complicated and time consuming, it must be addressed. [In specific circumstances,for example where the land is being transferred to the community, it may not be necessary to legallytransfer the land. However, experience indicates that lack of formal transfer can create significant
uncertainty in the future, which impacts on the sustainability of the infrastructure and services, and canhave a negative effect on community relations.]
To ensure that any land provided for the siting of subprojects is contributed voluntarily, in accordancewith the requirements of the ESMF, two representatives of the landowners (family or clan) are asked tosign a Land Commitment Letter (see below). This certifies that the land is voluntarily donated for the
purposes of the subproject and for the benefit of the community. The signature of the Letter is witnessed(as attested by their signature) by a suitable project representative.
The project team should:•

Identify the appropriate documentation, including the agreement to make the transfer and any
legal documentation that may be required;•

Ensure that the agreement:oRefers to the consultation has taken place;o

Sets out the terms of the transfer;oConfirms that the decision to transfer was freely made, and was not subject to coercion,manipulation, or any form of pressure;o

Attaches an accurate map of the land being transferred (boundaries, coordinates);oSets out who will bear the costs of the transfer (e.g., notarial fees, taxes, title issues)and documenting the residual land rights.

•

Ensure that all necessary parties sign the documents, including obtaining consent from spouses
and children over a certain age;•

Ensure that the transfer and title is registered or recorded; and•Ensure that the land remaining after the donated land is excised is properly titled, registered orrecorded.

It is also important to maintain a record of the process that has been followed. Such documents could
include the following:•

The notification indicating the location and amount of land that is sought and its intended use
for the project, with a record of when and where this was made public;•

Records of the consultations that were held and what was discussed;

Page 5Federated States of Micronesia PRIME Project
Voluntary Land Donation (VLD) Protocol•

A copy of the due diligence that was conducted;•

Copies of each of the formal statements of donation, establishing informed consent as describedabove, and signed by each owner or user involved;•

Copies of all documents, registrations or records evidencing the legal transfer of the land; and•A map, showing each parcel of land.

The Project implementing agency should maintain a record with documentation for each parcel of land
donated. Such documentation must be available for World Bank review, and for review in relation to any
grievances that may arise.
(vii) Grievance Arrangements
Grievances may be referred to customary conflict mediation arrangements where they are not directly
affiliated with traditional leaders who are a party to the donation process.

Page 6

Federated States of Micronesia PRIME Project
Resettlement Framework

Appendix C Environmental and Social Screening
Forms

December 2020

Final

76

Federated States of Micronesia PRIME Project
Environmental and Social Screening

FORM 1 – Initial E&S Risk Screening(To be completed by CIU Safeguards Team, with on-ground support from PIU State Focal Point where appropriate)
Note: Refer ESMF Risk Assessment & Impact Identification table (Section 5.6.1) for overview of potential impacts, risks andmitigation summary.
Timing: To be completed after Component 1 Assessments (e.g. VA/CRRS), and prior to preliminary design
Purpose: 1) To identify high risk environmental and social aspects of the proposed works;
2) Inform confirmation of eligibility of works for funding
Name of Works:
Location of Works:
Description of Works:

Date of Form Completion:
Name of Person Completing
Form:
Date of Site Visit:
People consulted to date (toinform completion of form):
Attached concept
description (circle one)

Yes / No

1.0

Environmental

1.1

Any vegetation clearance (incl. riparianvegetation) or works within a stream
upstream of or within areas of biologicalsignificance).

1.2

Any disturbance of (either works locatedwithin, or potential impact upon) protected
coastal marine areas (CMAs).

Potentially High orExtreme Impact

Low or Moderate
Impact (can be
managed)Activity

NO Impact

Impact Screening(without mitigation) 1(Put only 1  in eachrow)

Justification(Nature,scale,
duration of
impacts or
sensitivityofreceptors)

Recommended
Action1 Use Risk Rating tables in ESMF to determine level of potential impact.

FORM 1 – Initial E&S Risk Screening

Page 1Federated States of Micronesia PRIME Project
Environmental and Social Screening

1.3

Is the site in an area identified as aprotected or conservation area.

1.4

Works within an identified hazard zone
(e.g. erosion, flooding, coastal
inundation).

2.0

Socio-cultural

2.1

Any likely physical displacement /relocation of people.

2.2

Any likely economic displacement (e.g.
temporary or permanent land acquisition,
disturbance of physical assets, crops/fruit
trees etc).

2.3

Any identified cultural sites (e.g. graves,historic buildings etc) directly adjacent toroad easement in vicinity of the works (i.e.
within 50m of site) or otherwise could be
affected by physical works.

2.4

Any potential access restriction tosensitive receptors / essential services(e.g. hospital, school, church etc).

2.5

Risk to community health & safety fromthe proposed works (i.e. communities inclose proximity to work site) or
construction workforce (e.g.
imported/migrant labour related risks)?

2.6

Is there a risk of UXOs being present in
the works footprint?

FORM 1 – Initial E&S Risk Screening

Potentially High orExtreme Impact

Low or Moderate
Impact (can be
managed)Activity

NO Impact

Impact Screening(without mitigation) 1(Put only 1  in eachrow)

Justification(Nature,scale,
duration of
impacts or
sensitivityofreceptors)

Recommended
ActionPage 2Federated States of Micronesia PRIME Project
Environmental and Social Screening

FORM 2 – Environmental and Social Screening(To be completed by CIU Safeguards Team, with on-ground support from PIU State Focal Point where appropriate)
Timing: To be completed after concept or preliminary design)
Purpose: 1) To scope potential environmental risks from proposed works that could be minimized through participatory design;
2) Inform E&S Assessment and Management Plan Requirements (Form 3);3) To inform scope of Terms of Reference for and E&S Consultants to be engaged.
Name of Works:
Location of Works:
Date of Form Completion:
Name of Person Completing
Form:
Date of Site Visit:
People consulted to date (toinform completion of form):
Attached concept
description (circle one)

Yes / No

Form 2a – Environmental Risk Screening

1.0

Physical

1.1

Dust / noise / vibration
impacts on sensitive
receptors (e.g. residential
communities, businesses,
essential services etc).

1.2

Generation and dischargeof solid and liquid waste(e.g. spoil, roading material,refuse, domestic waste/
wastewater, hazardous
substances etc).

Moderate to Extreme
ImpactLow Impact

Potential Impact

NO Impact

Potential Impact(without
mitigation) 2 ()Describe

2 Use Risk Rating tables in ESMF to determine level of potential impact.

FORM 2 – Environmental and Social Screening

Page 1Federated States of Micronesia PRIME Project
Environmental and Social Screening

1.3

Erosion and sedimentation
risk as a result of works(e.g. stream bank, slope,
coastal margin, channel
modification and hydrology
etc).

1.4

Works within an identified
hazard zone (e.g. erosion,flooding, coastal inundation
zones).

1.5

Is construction material
required for the design (e.g.
rock/ aggregate/ asphalt/
cement) able to be sourced
locally from a licensed
facility (e.g. quarry) 3.

1.6

Could an alternative design
be explored to decrease /avoid physicalenvironmental impacts3.

Moderate to Extreme
ImpactLow Impact

Potential Impact

NO Impact

Potential Impact(without
mitigation) 2 ()Describe

Yes
No
Describe:

Yes
No
Describe:

2.0

Ecological

2.1

Removal of terrestrial
vegetation and/or habitat(incl. riparian vegetation).
(a) Native / naturalvegetation.
(b) Invasive / exotic
vegetation (e.g.
weeds).
(c) Privately owned trees /crops / gardens (refer
Form 2b).

3 Discuss with design engineer, if required

FORM 2 – Environmental and Social Screening

Page 2Federated States of Micronesia PRIME Project
Environmental and Social Screening

2.2

Moderate to Extreme
ImpactLow Impact

Potential Impact

NO Impact

Potential Impact(without
mitigation) 2 ()Describe

Potential impacts on
freshwater ecosystem,
including:(a) Direct disturbance offreshwater habitat(e.g. works footprint
within watercourse).
(b) Indirect disturbance offreshwater habitat(e.g. fromsedimentation, water
quality pollution).
(c) Risk of barriers to fishpassage.

2.3

Works within or potential
disturbance of coastal
marine area (CMA)

2.4

Could an alternative design
be explored to decrease /avoid ecological impacts or
improve ecologicaloutcomes3.

FORM 2 – Environmental and Social Screening

Yes
No
Describe:

Page 3

Federated States of Micronesia PRIME Project
Environmental and Social Screening

Form 2b – Social & Resettlement Risk Screening

1.0

Land

1.1

Impacts on land outside of
the road easement?

Moderate to Extreme
ImpactLow Impact

Potential Impact

NO Impact

Potential Impact(without mitigation) 4 ()DescribeNo
Yes (Temporary Use)
Yes (Permanent Loss)

1.2

Estimated extent of land
loss outside of roadeasement.

Estimated area:

1.3

Estimated number ofprivate landowners areaffected?

Estimated No. of landowners:

1.4

Is the ownership status
and current usage of land
to be acquired known?

Yes
No
Describe:

1.5

Easement paperwork
available and obtained?

Yes
Available, not yet obtained
No easement paperwork available
Not yet sure if easement paperwork
available (to be confirmed)

1.6

How is this land to beprovided:

Voluntary Land Donation (VLD)
Lease / Rental
Willing-seller-willing-buyer
Available Government land
Involuntary acquisition
To be confirmed
Describe:

4 Use Risk Rating tables in ESMF to determine level of potential impact.

FORM 2 – Environmental and Social Screening

Page 4Federated States of Micronesia PRIME Project
Environmental and Social Screening

1.7

Could an alternative design
be explored to decrease /avoid land loss 5?

Moderate to Extreme
ImpactLow Impact

Potential Impact

NO Impact

Potential Impact(without mitigation) 4 ()Describe

Yes
No
Describe:

2.0

Assets2.1

Are there likely to be lossof physical assets and/or
crops/productive trees due
to works footprint or
associated facilities?

2.2

Estimated number of asset
owners affected?

2.3

What type of assets areaffected:

Yes
No
Estimated No. of landowners:

Residential house
Business/commercial structure
Secondary structure (e.g. fence,
wall, driveway, pavement, shed orsimilar)Crops (including type)
Productive Trees
Perennial Trees
Cultural sites (e.g. grave sites,
historic buildings etc)
Describe:

2.4

Yes

5 Discuss with design engineer, if required

FORM 2 – Environmental and Social Screening

Page 5Federated States of Micronesia PRIME Project
Environmental and Social Screening

Could the assets berelocated or repaired?

Moderate to Extreme
ImpactLow Impact

Potential Impact

NO Impact

Potential Impact(without mitigation) 4 ()Describe

No
Describe:

2.5

Could an alternative design
be explored todecrease/avoid asset loss?

Yes
No
Describe:

3.0

Livelihoods

3.1

Will the works have any
impact on people’s
livelihood (e.g. economic
displacement)?

Yes
No
Describe:

3.2

Estimated number ofpeople/households withlivelihoods affected?

3.3

What kind of livelihoods
are likely to be impacted?

Estimated No. of people/households:

Business/commercial – Owner
Business/commercial – Employee
Agricultural / Farming
Fishing
Other:___________________________
Describe:

FORM 2 – Environmental and Social Screening

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Federated States of Micronesia PRIME Project
Environmental and Social Screening

3.4

Could an alternative design
be explored todecrease/avoid livelihood
impacts?5Moderate to Extreme
ImpactLow Impact

Potential Impact

NO Impact

Potential Impact(without mitigation) 4 ()Describe

Yes
No
Describe:

4.0

Access Restrictions

4.1

Are there likely to beaccess restrictions?

Yes
No
Describe:

4.2

What kind of access
restriction are expected?

Pedestrians (including closure ofroad verges)
Driveways – Residential Agricultural/ Farming
Driveways – Business/commercial
Transport Network
Access to essential services
Coastal margin
Other (e.g. natural resources,
communal land/facilities, services
etc)

4.3

Is an alternative means ofaccess required (e.g.
temporary diversion orwater crossing etc)?

Yes
No
Describe:

4.4

Could an alternative design
be explored to

Yes
No

FORM 2 – Environmental and Social Screening

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Federated States of Micronesia PRIME Project
Environmental and Social Screening

decrease/avoid access
restriction impacts?

5.0

Other Social Impacts

5.1

Impacts on Sensitive
receptors in close proximity
to the works (e.g.
residential communities,businesses, essential
services etc).

5.2

Disproportionate Impacts
on vulnerable groups orroad users

5.3

Risk to community health &safety from the proposed
works (i.e. communities inclose proximity to worksite).

5.4

Risk posed to thecommunity from theconstruction workforce(e.g. imported/migrantlabour related risks).

5.5

Risk of UXOs in works
footprint, and resultant risk
to worker health andsafety.

FORM 2 – Environmental and Social Screening

Moderate to Extreme
ImpactLow Impact

Potential Impact

NO Impact

Potential Impact(without mitigation) 4 ()Describe

Describe:

Page 8Federated States of Micronesia PRIME Project
Environmental and Social Screening

FORM 3 – E&S Assessment and Management Plan Requirements(To be completed by CIU Safeguards Team, with on-ground support from PIU State Focal Point where appropriate)
Timing: To be completed after concept or preliminary design together with Form 2 and 4
Purpose: 1) To confirm which whether work specific ESIA/ESMPs are required;
2) To determine which Land Access Procedure Plans are required
Name of Works:
Location of Works:
Date of Form Completion:
Name of Person Completing
Form:

Potential Impact

Assessment
()
Yes

1.1

1.2

Does the Generic ESMP adequately address thepotential environmental and social risks identified inForm 1 and 2?

Documents RequiredNo(Note: If ‘No’, then works specific ESIA &ESMP required)Is the site in an area, or could potentially impact an
area, identified as a protected or conservation area.
(Note: If ‘Yes’, then works specific ESIA &ESMP required)

1.3

1.4

Do the works involve land loss outside of the roadeasement, asset loss, or loss of income sources or
impacts livelihoods?

(Note: If ‘No’, then Land Access Due
Diligence Report required).

Will the land and/or assets be acquired via
Voluntary Land Donation (VLD)?
(Note: If ‘Yes’, then Voluntary Land Donation
Report (VLDR) required)

1.5

Will the land and/or asset loss, or livelihood
impacts require financial compensation, as per
entitlement matrix in RF?

FORM 3 – E&S Assessment and Management Plan Requirements(Note: If ‘Yes’, then Resettlement Plan (RP)required)Page 1Federated States of Micronesia PRIME Project
Environmental and Social Screening

FORM 4 – Agreed Environmental and Social Documents Required(To be completed by CIU Safeguards Team, with the support of PIU State Focal Point where appropriate)
Timing: To be completed after concept or preliminary design together with Form 2 and 3
Purpose: 1) To confirm which ESMPs or land access plans are to be prepared and/or implemented for the works;
2) To confirm which additional management plans are to be prepared by the Contractor (as informed by the ESMF).
Name of Works:
Location of Works:
Date of Form Completion:
Name of Person Completing
Form:
Name of Person Approving:
As per the PRIME E&S Management Framework (ESMF) the following safeguard documents are to beprepared/implemented for the above works:
Generic ESMPWorks specific ESMPWorks specific ESIAAs per the PRIME Resettlement Framework (RF) the following safeguard documents will be prepared forthe above works:
Land Access Due Diligence Report
Voluntary Land Donation Report
Resettlement Plan

Signature:

Signature:

Signed by:(Completed Form)

Signed by:(Approver)

Date:

Date:

FORM 4 – Agreed E&S Documents Required

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