1-200 persons or “minor impacts”i.e., no shifting of dwelling structures Abbreviated Resettlement Plan (Attachment RCF-4) In reviewing the conformity of the submitted documents to social safeguards requirements NEA ORED shall use the following criteria and means of verification as follow: Table 7. Criteria for Review of Social Safeguards Instruments Criteria Means of Verification 1 Consultation and participation of adversely affected persons or, in the case of IPs, if they are present in the subproject area - Minutes of Public Consultations - Expression of Support of stakeholders, particularly adversely affected - Survey Report on Acceptability / Willingness - Free & Prior Informed Consultation, for DPs that are IPs 2 Compensation & assistance to be provided according to the provisions in ASEP Resettlement Policy Framework - Compensation Table - Rehabilitation Program/s - Resettlement Implementation Schedule, in relation to overall Subproject Implementation 3 Resettlement site of adversely affected persons (if any) with conditions equal to, or better than, those in existing sites - Resettlement Site Development Plan & Vicinity Map - Description of available / accessible basic infrastructure and services in resettlement sites - to resettlement site/s 4 Implementation of RAP in relation to overall Subproject Implementation Schedule - Comprehensive Resettlement Implementation Schedule within the overall Subproject implementation schedule 5 If applicable, due diligence on donations of affected lands for subproject implementation - Documentation of meetings held regarding land donation/s – need to assess agreement to donate, i.e., was there informed consent and power of choice; Also, need to ensure that there is a legal transfer of the asset (signing, registration, taxes/fees paid, etc). Or, if land already donated, documentation of donation/s (note the total land area from which portion needed by subproject is taken) and assess whether donation is legally valid (e.g. identify right being transferred, no lien on asset, occupants in affected portion, wife consent to transfer, agreement to transfer, legal transfer of title and registration, costs of transfer). - Assessment report on the donor’s economic viability and economic sustainability of transferred asset (resources to maintain and support asset). Please see protocol for land donation in Annex 7.
Social Safeguards All full RAPs All IPPs; and First three (3) abbreviated RAPs. The institutional roles and responsibilities of the Proponent, NEA ORED and WB are defined in Table 8 to describe the extent of tasks each institution must do so that the progress of a subproject’s compliance to the safeguards policies is kept in the right track. Table 8 Safeguards process flow during subproject proposal preparation (in numerical order) Activity Proponent NEA ORED and LGUGC WB A B Project Preparation Subproject Screening Stage 1 Submits subproject proposal to NEA ORED for review 2 ORED (if needed, provides technical assistance) determines if subproject is eligible and its environmental category, guided by the ESSF. B Subproject Pipeline Inclusion Stage 4 Updates proposal based on comments/ feedback and complete proposal package to NEA ORED (with environmental safeguards requirements, if available) 3 ORED comments to proponent (including subproject environmental category) for appropriate action. 5 When ready, ORED endorses proposal package to LGUGC for C Environmental Safeguards Preparation Stage 6 If safeguards requirements are lacking, hire Consultant for preparation of safeguards instruments. 8 Provides technical & procedural advice on safeguards requirements 9 WB provides guidance, if necessary. 7 Hired EA consultant shall coordinate with ORED for briefing on safeguards requirements. D Finalize Proposal package 10 Ensures safeguard results are integrated in the Feasibility Study. 11 ORED provides technical & procedural advice to ensure that proposal complies with this ESSF and that safeguards requirements are met. E ECC / NOL Application Stage 12 EA Consultant prepares / submits the ff to DENR-EMB & PMO: Scoping report * Draft EA report & if applicable RP &/or IPP Final EA report Documents submitted to DENR-EMB are for the issuance of ECC / CNC. 13 ORED does substantive review on submitted EA documents to verify if necessary environmental safeguards are provided. 15 Reviews & issues NOL on the final EA report (only applies to classified Category A subprojects). 14 Transmits safeguards document to WB for reference, or if applicable, comment (applies to selected Category A subprojects for NOL issuance). * Technical requirements for EIS subprojects Project Implementation
Figure 2. Structure of ASEP LGUGC Role and Responsibilities LGU Guarantee Corporation The will manage the ASEP project. The Electric Cooperatives, Independent Power Providers (IPP) and RE developers are the subproject proponents and implementers. The DOE, NEA, DENR, NCIP have regulatory oversight to ensure that the project is compliant with relevant national laws and regulations. A brief description of these institutions together with their roles and responsibilities in planning and implementation of subprojects are presented below. Specifically for Social Safeguards, a review will be undertaken by the LGUGC to determine compliance to this framework. The World Bank will review all subprojects requiring a full Resettlement Plan and IP Plan. For projects requiring ARAP, only the first three (3) subprojects will be reviewed after verifying that the LGUGC PMO has demonstrated the skills to perform the required due diligence in ensuring thorough review of RAPs submitted by proponents. The Bank shall include review of these RAPS selectively during scheduled project missions. LGUGC has been providing guarantee funds to LGUs for water supply projects and small infrastructure projects such as market, bus terminal, and slaughter house and to Electric Cooperatives for improvements of the transmission and distribution lines. Its portfolio covers around Php 12.8 billion, wherein Php 3 billion are for energy projects. LGUGC’s organizational structure is presented below. Figure 3. LGUGC ORGANIZATIONAL STRUCTURE Directly under its president, the LGUGC has created the Risk Management Office and one of its functions is to undertake the review of all projects of LGUGC to determine their compliance to prescribed environment and social safeguards requirements. This will be done in coordination with NEA which will conduct the initial screening of the proposed project and advice the proponent/s of applicable safeguard processes and requirements. The LGUGC will be staffed with dedicated technical experts who will act as safeguards specialists and be responsible for the conduct of the environmental and social safeguards due diligence for the project. During the safeguards consultation meeting with project proponents and attended by the WB Safeguards task team members, the LGUGC expressed its commitment to provide technical assistance to its clients and support them during project packaging to ensure adequate compliance to safeguards requirements. LGUGC also committed to the conduct of regular capacity building activities involving their staff and other concerned agencies during the life of this project. Table 10 Institutional Responsibilities of government agencies involved Agency Responsibilities
Monitor compliance of project proponents to MOA with IPs which are also documented as IPPs. Action Plan for Capacity building will take the lead in organizing the capacity building efforts to ensure overall project compliance to the safeguard requirements for all participating agencies/entities. Table 11. Capacity Building activities Workshops/ Trainings Participating agencies Schedule 1. WB and DENR Safeguard policies, ESSF requirements and procedures LGUGC, NEA, DOE, Financial Institutions, ECs, IPPs, RE developers 1st month of project start 2. Safeguards monitoring, evaluation and audit LGUGC, NEA, DOE, PMB, Financial Institutions 2nd month of project start 3. Conduct of EIA, SIA and other safeguard instruments LGUGC, NEA, DOE, Financial Institutions, ECs, IPPs, RE developers 1st month of project start 4. Institutional strengthening of focal points in participating agencies LGUGC, NEA, DOE, Financial Institutions 1st month of project start 5. Round table discussions on safeguards issues and concerns LGUGC, NEA, DOE, Financial Institutions, ECs, IPPs, RE developers Quarterly or 7. Consultations with DENR, WB safeguard specialists NEA, DOE, Financial Institutions, ECs, IPPs, RE developers During missions, or on-call, as the need arises Monitoring and Follow-up Overview of Monitoring Monitoring of subproject compliance with safeguards requirements will be done by the LGUGC in parallel with DENR monitoring. LGUGC will submit a safeguards compliance report to the WB team during the bi-annual supervision support missions. The Bank safeguards specialist will conduct site visits to selected sites, to validate compliance with agreed safeguards procedures during these missions. Subprojects that are covered by the Philippine EIS System are required by DAO 2003-30 to conduct regular self-monitoring of parameters as indicated in the subproject’s ESMP. The proponent must satisfy this requirement by submitting an Environmental and Social Monitoring Report (ESMR) on a semi-annual frequency, i.e., within January and July of each year, to the concerned DENR-EMB regional office. Copies of the submitted ESMR must be provided in two sets to the PMO for reference and review purposes. One set of the ESMR received by will be transmitted to WB for record keeping.