integrated environmental and social safeguards...

@ Land Bank of the Philippines

INTEGRATED ENVIRONMENTAL AND SOCIAL SAFEGUARDS FRAMEWORK (IESSF)

SUPPORT for STRATEGIC LOCAL DEVELOPMENT & INVESTMENT PROJECT

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TABLE OF CONTENTS

Figure IESSF-1 illustrates the Integrated Environmental and Social Safeguards Framework (IESSF) for the Support for Strategic Local Development and Investment Project (SSLDIP).

• Chapter 1, IESSF

• Chapter 2, Resettlement and Compensation Framework (RCF)

• Chapter 3, Indigenous Peoples Framework (IPF)

• Chapter 4, Institutional Arrangements

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ACRONYMS

DAO DENR EA EIS EMP ESSC IP IESSF IRR LMR LBP LGU NCIP OP PO PIU PMO RAP SSLDIP WB

Department Administrative Order Department of Environment and Natural Resources Environmental Assessment Environmental Impact Statement Environmental Management Plan Environmental and Social Screening Checklist Indigenous Peoples Integrated Environmental and Social Safeguards Framework Implementing Rules and Regulations Land Acquisition and Access to Resources Land Bank of the Philippines Local Government Unit National Commission on Indigenous Peoples Operational Policy Presidential Decree Project Implementing Units Project Management Office Resettlement Action Plan Support for Strategic Local Development and Investment Project World Bank

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INTEGRATED ENVIRONMENTAL AND SOCIAL SAFEGUARDS FRAMEWORK

OBJECTIVES

The Integrated Environmental and Social Safeguards Framework (IESSF) provides general policies, guidelines, codes of practice and procedures to be integrated into the implementation of the Support for Strategic Local Development and Investment Project (SSLDIP) implemented by Land Bank of the Philippines (LBP) and supported by the World Bank (WB). This IESSF has been developed to ensure compliance with WB safeguards policies. The objective of the IESSF is to ensure that activities under the proposed reconstruction operations will:

• Protect human health;

• Prevent or compensate any loss of livelihood;

• Minimize environmental degradation as a result of either individual subprojects or their cumulative effects;

• Minimize impacts on cultural property; and

• Enhance positive environmental and social outcomes.

GENERAL PRINCIPLES

Recognizing the emergency nature of the proposed reconstruction operations and the related need for providing immediate assistance, while at the same time ensuring due diligence in managing potential environmental and social risks, the IESSF is based on the following principles:

• The proposed operations will support multiple subprojects, the detailed designs of which may not be known at appraisal. To ensure effective application of WB safeguards policies, the IESSF provides guidance on the approach to be taken during implementation for the selection and design of subprojects and the planning of mitigation measures.

• Resettlement issues are expected in the planning and implementation of some subprojects. If these occur, Resettlement Action Plans (RAPs), for specific subprojects will be prepared.

• Indigenous Peoples (IP) may be present in some of the subprojects areas. If so, Indigenous Peoples Plans (IPPs) for specific subprojects shall be prepared.

• The proposed emergency reconstruction operations will require feasibility and detailed design studies for the subsequent investments, which will include Environmental Assessment (EA)/ Environmental Management Plan (EMP) and social studies and/or social safeguard instruments when necessary and as required by WB safeguards policies.

• Employment opportunities within the subprojects will be available on an equal basis to all, on the basis of professional competence, irrespective of gender or ethnic or religious group. In all subprojects, which require consultations with local

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communities or beneficiaries, consultations will be conducted to elicit the views of the male and female population.

• Consultation and disclosure requirements will be tailored to meet the special needs of these operations. This IESSF will be disclosed in the public library of Land Bank of the Philippines and in the WB lnfoShop.

PROJECT DESCRIPTION

The SSLDIP is a lending operation that aims to improve local public service provision and management by facilitating local government unit (LGU) access to viable financing to implement strategic infrastructure investments.

The restructured project will finance reconstruction, rehabilitation, expansion and upgrading of basic local infrastructure facilities of LGUs located in areas affected by the three major disasters, namely: (1) Typhoon Haiyan that hit central Philippines including Aklan, Capiz, Iloilo, Palawan, Leyte and Samar, among others; and (2) the 7.2 magnitude earthquake in the Bohol and Cebu islands. As a financial intermediary operation, the location and nature of the investment subprojects will be determined by the demand by disaster-affected LGUs in the aforementioned areas and LBP's appraisal of specific LGUs' financial creditworthiness.

LESSONS LEARNED

Difficulties encountered include:

• Importance of complying with the project's Indigenous Peoples Framework and not dependence on the full cooperation of another agency that is beyond the control of LBP. The IP Plan shall be developed incorporating measures to ensure the cultural sensitivity of project design and mitigation of adverse effects. Said agreements are normally indicated in the National Commission on Indigenous Peoples (NCIP) -facilitated Memorandum of Agreement which is an input to the IP Plan;

• Inconsistencies between the Philippine Environmental Impact Assessment (EIA) thresholds and WB policies on hydropower dams (Cantilan);

• Inconsistencies between documentation and ground realities. Need for PMO to do site validation and confirmation of information with project-affected persons, as in the case of the City of I ligan;

• Inconsistent laws particularly between the Philippine Water Access Law and property rights, so that ownership of land may be better established {lligan);

• Involuntary resettlement triggers and better documentation of social conditions in cases where displacement occurs even prior to the subproject's enrollment under the SSLDIP. Any relocation or resettlement done two years prior to subproject enrollment under SSLDIP triggers the OP 4.12;

• Project supervision was outsourced. The Terms of Reference and committed deliverables should have been clarified and agreed on so that timely remedial actions may be done; and

• Capacity building on social and environmental safeguards for sub-borrowers was deemed inadequate. The Safeguards PMO must invest on their capacity building.

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PURPOSE OF THE FRAMEWORK

The IESSF has been developed specifically for the proposed operations in the restructured project. This is designed to ensure due diligence and avoid causing harm or exacerbating social tensions, and to make consistent the treatment of social and environmental issues by LBP. The purpose of this IESSF is also to assist the PMO in screening all the subprojects for their likely social and environmental impacts, identifying documentation and preparation requirements, and prioritizing investments. This IESSF provides specific instructions and methodologies for use by the Project Implementation Unit (PIU) of LGUs and the program implementing agencies of the SSLDIP.

The provisions of this IESSF are consistent with LBP's Corporate Environmental Policy and WB environmental and social safeguard policies to support environmental protection and promote sustainable development, while mitigating credit risks arising from adverse environmental and social impacts on subprojects.

Each chapter is organized in two (2) parts:

• Part A: Main text, summarizing the overall environmental and social safeguards procedures and arrangements; and

• Part B: Annexes, sample documents and technical guidelines on the preparation of the environmental and social safeguards reports.

Important parts of this document have been extracted from the DENR DAO 2003-30 Procedural Manual. In case any discrepancies exist between WB safeguards policies and current DENR regulations, the higher requirement prevails.

The IESSF proposed methodology is mainly based on and combines the following guidelines and documents:

• LBP's Environmental Policy Relative to Credit Delivery (CPI 2004-002);

• Presidential Decree (PO) No. 1586 (EIS System, 1978);

• Presidential Proclamation No. 2146 (Critical Projects/ Areas);

• Administrative Order No. 42 by the Office of the President, describing categories of projects and areas subject to the EIS system;

• DENR Administrative Order No. 2003-30: Implementing Rules and Regulations (IRR) for the Philippines EIS System (2003), and its Procedural Manual for DAO 2003-30, as prepared by DENR; and

• World Bank environmental and social safeguards guidelines, in particular on Environmental Assessment (OP 4.01 ), Involuntary Resettlement (OP 4.12) and Indigenous Peoples (OP 4.10).

The table below describes each of the WB's environmental and social safeguards policies that are applicable under the SSLDIP. The third column provides guidance on specific measures and actions required by each party to comply with the specific WB policies, and lists the range of safeguards instruments that may be adopted and the manner in which to integrate and verify environmental and social due diligence requirements.

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Detailed Description of WB Environmental and Social Safeguards Policies

Policy

WB Environmental Assessment (OP 4.01)

Objectives

WB requires screening of subprojects proposed for WB financing to help ensure that they are environmentally sound and sustainable, and thus improve decision-making.

Procedures

1. Project Screening using the Negative List. LBP will do the initial screening of proposed activities. Activities are initially screened through the "negative list of activities." Refer to IESSF-1 for the List of Negative Subproject Attributes.

2. Screening for Environment Category of subprojects. Project staff will screen subprojects early in the identification stage, determine project boundaries, and classify projects into appropriate safeguards categories using the Environmental and Social Screening Checklist (ESSC). The ESSC is included as annex (Refer to IESSF-2).

3. Determining Safeguards Instruments to be used. The requirements under the Philippine environmental regulations are then determined. An EA may be required depending on the scale and nature of the subproject.

If a subproject does not require an EA under the local requirement, but is a Category B, an EA will be required. An EMP is included as part of the EA process. The EMP will form part of the bidding documents and be included as contractual obligations of the winning contractor that will carry out works under the subproject.

When necessary, for all subprojects, preparation of safeguards instruments such as EAs, EMPs, etc., may be deferred to implementation, but must be completed before civil works commence.

The WB will review and clear the safeguards instruments prepared by the su ect beneficia for im

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WB Involuntary Resettlement (OP 4.12)

To assist displaced persons in their efforts to improve, or at least restore, their incomes and standards of living after displacement.

identification and appropriateness of proposed mitigation measures. Please refer to page 16 for WB Review n,.,...,,..,.rt

1. Project Screening for Involuntary Resettlements. Screening of impacts on involuntary resettlement on the basis of the project's possible architectural and engineering designs.

2. Preparation of RAPs. RAPs will be prepared taking into consideration the magnitude of impacts. Full RAPs will be prepared if 200 persons or more are expected to be displaced by a subproject, and abbreviated RAPs will be carried out if less than 200 persons are expected to be displaced by a subproject or if impacts are "minor", i.e., if the affected people are not physically displaced and less than 10 percent of their productive assets are lost. The screening checklist for the LAAR is found in the Annexes as IESSF-2.111.10-14 and Table 1 in page 15 of the main text. This will be used to determine the magnitude of impact, types of affected land, and required safeguards instruments. Its formulation should be done in a participatory manner starting with meetings with communities who will help in seeking the participation of landowners.

3. RAP Review. The WB will prior review and clear all full RAPs, defined as more than 200 persons displaced or subprojects with impacts that are not "minor", and the first three abbreviated RAPs.

4. RAP Implementation. Implementation will be carried out by the LGU. All compensation shall be paid a month prior to the commencement of civil works in the particular project component. Payments for uncollected compensation due to lack of clarity of an authorized representative of a landowner shall be in trust the

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Indigenous Peoples

WB Indigenous Peoples ( OP 4.1 0)

Natural Habitats

WB Natural Habitats (OP 4.04)

This policy contributes to the Bank's mission of poverty reduction and sustainable development by ensuring that the development process fully respects the dignity, human rights, economies, and cultures of Indigenous Peoples.

The Bank supports the protection, maintenance, and rehabilitation of natural habitats and their functions. The Bank supports, and

LGU sub-borrower. When there is potential for drawn out disputes, advice from the WB's Regional Safeguards Advisor shall be obtained considering the emergency nature of the SSLDIP.

1. Local Consultations. Local consultations will be conducted in the locations of the subprojects using methods that are consistent with the social and cultural values of the local community. The services of social development officers who can facilitate intergenerational and gender equal participation will be enlisted.

2. Information to Affected Communities. Information will be provided to affected communities at each stage of project implementation with additional measures, including modifications to designs to address adverse effects.

3. Community Consensus. To generate support for a subproject or when sensitive issues need to be addressed, local communities will be allowed to reach consensus.

4. Development of IP Plan. Based on social assessment and in consultation with the affected IPs, the borrower prepares the IPP to document measures to enhance positive effects by ensuring its cultural responsiveness and mitigate adverse effects.

5. Implementation/ Monitoring. Monitoring and supervision of subprojects will be carried out in a culturally sensitive manner paying close attention to complaints and grievances being resolved. The assistance of the NCIP shall be mobilized.

1. Screening for potential impacts on Natural Habitats using the ESSC. The ESSC is included as annex (Refer to IESSF-2).

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expects borrowers to apply a precautionary approach to natural resource management to ensure opportunities for environmentally sustainable d I t •

Physical Cultural Resources

WB Physical Cultural Resources (OP 4.11)

This policy addresses physical cultural resources, which are defined as movable or immovable objects, sites, structures, groups of structures, and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or rural settings, and may be above or below ground, or under water. Physical cultural resources are important as sources of valuable scientific and historical information, as assets for economic and social development, and as integral parts of a people's cultural identity and practices.

2. Cover the potential impacts through the EA.

1. Screening for potential impacts on Physical Cultural Resources using the ESSC. The ESSC is included as annex (Refer to IESSF-2).

2. Cover the potential impacts through the EA.

3. Inclusion of a Chance Find Procedure in civil works contracts to cover accidental finds.

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

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Chapter 1 INTEGRATED ENVIRONMENTAL & SOCIAL SAFEGUARDS FRAMEWORK (IESSF)

Contents

Acronyms 1.0 SUBPROJECT PREPARATION

1.1 Timing of Safeguards in Sub-Loan Preparation 1.1.1 Environmental Safeguards Procedures 1.1.2 Social Safeguards Procedures

1.2 Levels of Subproject Review 1.3 Public Disclosure

2.0 PROJECT SUPERVISION 3.0 MONITORING AND FOLLOW-UP

3.1 Overview of Monitoring 3.2 LBP PMO Monitoring 3.3 DENR Procedures 3.4 Internal implementation and Monitoring of the EMP

4.0 GRIEVANCE REDRESS MECHANISM

Annexes

IESSF-1 IESSF-2 IESSF-3 IESSF-4 IESSF-5

IESSF-6 IESSF-7 IESSF-8 IESSF-9

IESSF-10

List of Negative Subproject Attributes Environmental and Social Screening Checklist Schematic Presentation of EA Preparation for Major Subprojects LBP Credit Policy Issuance No. 2004-002 Environmental Category and Documentary Requirements of Subprojects Commonly Implemented by LGUs Recommended Format for Project Description Recommended Format for an lEE Report Recommended Format for an ESIA Sample Terms of Reference for Preparation of Feasibility Study (By Firm, EA included in the TOR) Sample Terms of Reference for an ESIA Preparer

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BP CFP CNC CPI DAO DENR DOH DPD EA ECA ECC ECP EHIA EIA EIS EIARC EMB EMP EMR ESF Fl FS lEE IPP ISO LBP LC LGUs NCP NOL OP PO PEEQ PENRO PIU PMO RAP WB SLA

Acronyms

Bank Policy Credit Facility Proposal Certificate of Non-coverage Credit Policy Issuance DENR Administrative Order Department of Environment & Natural Resources Department of Health Detailed Project Description Environmental Assessment Environmentally Critical Areas Environmental Compliance Certificate Environmentally Critical Projects Environmental Health Impact Assessment Environmental Impact Assessment Environmental Impact Statement Environmental Impact Assessment Review Committee Environmental Management Bureau Environmental Management Plan Environmental Monitoring Report Environmental Safeguards Framework Financial Intermediary Feasibility Study Initial Environmental Examination Indigenous Peoples Plan International Standards Organization Land Bank of the Philippines Lending Centers Local Government Units Non-Covered Projects No Objection Letter Operational Policy Project Description Project intended to directly Enhance Environmental Quality Provincial Environment & Natural Resource Office Project Implementation Unit Project Management Office Resettlement Action Plan World Bank Subsidiary Loan Agreement

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1.0 SUBPROJECT PREPARATION

1.1 Timing of Safeguards in Sub-Loan Preparation

The basic approach in the preparation of an environmental and social assessment report is to have it simultaneously and closely coordinated, and integrated with the preparation of the subproject feasibility study. In doing this, all environmental and social aspects and impacts will be included right from the beginning to facilitate the proper selection of subproject alternatives that will bear the minimal amount of environmental risk or negative environmental impact.

1.1.1 Environmental Safeguards Procedures

The selection, design, contracting, monitoring and evaluation of subprojects will be consistent with the following guidelines and requirements. The safeguard screening and mitigation process will include:

• List of negative characteristics rendering a proposed subproject ineligible for support, (IESSF-1 );

Subprojects are then screened for coverage under the Philippine EIS System. If the subproject is covered, the type of document/instrument required may vary from lEE, lEE checklist, or EIS depending on the subproject's environmental category. Refer to IESSF-5 for the Environmental Category and Documentary Requirements of Subprojects Commonly Implemented by LGUs. A seeping meeting may be organized with the DENR to determine requirements under Philippine Regulations.

If under Philippine Regulations an EIS or full EA is required, this document will serve also the purposes of WB safeguards requirements. The EMP, which is part of the EIS will also be included as part of the contractual obligations of the winning Civil Works Contractor.

If the proposed subproject involves procurement of equipment intended for environmental infrastructure, an Environmental Management Plan (EMP) for the operations phase shall be prepared ahead of the scheduled delivery to inform the procuring entity of the mitigating measures of potential negative environmental impacts.

In the event a subproject requires an lEE or lEE checklist or is not covered under the Philippine EIS System, the subproject is screened using the Environmental and Social Screening Checklist ESSC (IESSF-2). The safeguards category is determined using the checklist and the appropriate safeguard instrument is prepared.

• Proposed checklist of likely environmental and social impacts to be filled out for each subproject or group of subprojects. Environmental and Social Screening Checklist ESSC. (IESSF-2);

The assessment of predicted environmental impacts shall be the basis for the sub-borrower and the design consultants in the selection of appropriate project alternatives.

• Inclusion of EMPs in technical specifications of contracts to help prevent and mitigate potential environmental impacts.

1.1.2 Social Safeguards Procedures

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Review will commence with the enumeration by the Lending Centers, with assistance from the PMO, when necessary, of the extent of land acquisition, project-affected population and asset loss/es that may result from a subproject's implementation, using a checklist. To facilitate review, sub-borrowers may complete the checklist. Reviewers will verify the information put in by sub-borrowers from the submitted subproject documents, and/or from subproject site visit. See Table 1 below.

T bl 1 Ch kl" t f P . t Aft t d P a e ec IS 0 rojec- ec e ersons an dA t sse s

Social Impact ¥as· No' ~&p~QeiaHs

a) Land acquisition necessary Size & use of land

b) HHs I Persons will be di~laced Total no. of HHs /persons

c) Presence of informal settlers Total no. of informal HHs I settlers

d) Legal structures acquired I damaged No., size & built of structures

el Informal structures being removed No., size & built of structures

f) People losing means of livelihood Total no. of HHs /persons

g) Basic services will be inaccessible l"y[>e/s of basic services

h) Crops I trees being damaged I lost No. & type of crops I trees

i) Tenants I Lessees losing crops I trees No. of tenant HHs losing how many, what type of crops I trees

j) Informal settlers losing crops I trees No. of informal HHs losing how many, what type of crops I trees

k) Indigenous _l)_eoples to be disQiaced Total no. of indigenous HHs /persons

I) Cultural property affected No., size and type of cultural property

Social safeguards requirements will be triggered when any one of the above social impacts is positively identified/confirmed. Based on the information derived from the checklist, the following are validated (See Table 2):

• Appropriateness of the prepared/submitted social safeguard document for the social category of the subproject; and

• Conformity of the prepared social safeguard documents to the provisions of the SSLDIP Resettlement and Compensation Framework.

No. of Displaced Persons

> 200 persons displaced

Presence of IPs or ancestral domain

1-200 persons or "minor impacts",

Required Document/s

Full Resettlement Plan ... {AttC3Cbi!J~r1tR9F~~) ..... .

Indigenous People Dev't Plan Attachment IPF-1

Abbreviated Resettlement Plan

... {AttC3~bl!l~r1tR9F~41

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I Table 2

0 person None . Req '-----------':....c..;:;..;...::__::_:_:_ ______ _._ _______ _;_;_;:-'-'-"-----------' uired Social

Safeguards Document The presence of IPs within the project's area of influence as residents or as food gatherers and/or places considered sacred makes a subproject socially critical (Refer to Table 3).

T bl 3 C 't . f R . a e n ena or ev1ewo fS . lA OCia spec t

Criteria Means of Verification

1 Consultation and participation of - Minutes of Public Consultations adversely affected persons or, in the case - Expression of Support of stakeholders, particularly of IPs, if they are present in the subproject those adversely affected area - Survey Report on Acceptability I Willingness

- Free & Prior Informed Consultation, for DPs that are IPs

2 Compensation & transition assistances & - Compensation Table rehabilitation programs to be provided - Rehabilitation Program/s according to the provisions in SSLDIP - Resettlement Implementation Schedule, in relation Resettlement Policy Framework to overall Subproject Implementation

3 Resettlement site of adversely affected - Resettlement Site Development Plan & Vicinity persons with conditions equal to, or better Map than, that in existing sites - Description of available I accessible basic

infrastructure and services in resettlement sites - Visit to resettlement site/s

4 Implementation in relation to overall - Comprehensive Resettlement Implementation Subproject Implementation Schedule Schedule within the overall Subproject

implementation schedule

5 If applicable, due diligence on donations - Documentation of meetings held regarding land of affected lands for subproject donation/s - need to assess agreement to donate, implementation 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)

6 Management of cultural properties within, - Report on presence/absence of a cultural property or in close proximity to, the subproject - Brief reconnaissance report of competent authority area to determine what is known of the cultural property

a~ects of the subprolect site.

7 Provision for M&E by an External - Resettlement Action Plan {Independent) Monitoring Agency - Resettlement Plan Cost Estimates

1.2 Levels of Subproject Review

DENR Review

The environmental safeguards for subprojects must undergo subproject level and agency review to ensure that the necessary environmental safeguards are considered.

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As a basic requirement for ECC, subprojects have to successfully pass the DENR screening system. Screening of subprojects is typically performed at the regional offices of DENREMB for Category B subprojects and at the EMB central office for Category A subprojects. The regional offices may also review EIS for certain types of subprojects where there exist qualified professionals to constitute an Environmental Impact Assessment Review Committee (EIARC).

LBP Review

As an ISO 14001 certified institution, the LBP-PMO will exercise environmental due diligence by keeping records of subproject EA reports, feedbacks/technical information, and ECCs/CNCs. Environmental safeguards documents may undergo substantive review by the PMO environmental engineer or LBP's Environmental Unit (EU), particularly if pressing environmentally critical issues exist.

The conduct of review by PMO/LBP-EU is part of its oversight function and task enumerated in the LBP CPI 2004-002 to verify that subprojects are in compliance with environmental standards and regulations. This type of review performed by either the PMO or WB is entirely independent and does not conflict with the nature of evaluation the DENR performs.

WB Review

Apart from the DENR review of the EA report, WB will also conduct a review on a number of safeguards documents prior to the issuance of a No-Objection Letter (NOL). Among the safeguards documents that WB will review are:

Environmental Safeguards

• First EIS report for subprojects in each of the areas of housing and site development, sewerage, solid waste management, roads and highways, hospital construction, power generation;

• First lEE report prepared for subprojects in each of the areas of water supply, public market, and slaughterhouse; and

• All Category A subprojects.

Any Category A subproject that has undergone WB appraisal/review shall only be allowed to proceed with the construction phase after the release of the environmental clearances from the DENR-EMB and the NOL from the WB.

Social Safeguards

• All full RAPs;

• AIIIPPs; and

• First three (3) abbreviated RAPs.

1.3 Public disclosure

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This IESSF will be disclosed locally through the public library of LBP. It will be disclosed in English and be made available at the WB lnfoShop. The WB also requires all other safeguards documents including subproject specific documents/mitigation plans prepared subsequently to be disclosed at the LBP public library. The borrower prepares these as separate and freestanding documents. All Category A subprojects' safeguards documents will be disclosed in the WB lnfoshop.

LBP will consult project-affected groups and local non-governmental organizations on the subproject's environmental and social aspects, and will take their views into account. The PMO will initiate these consultations as early as possible, and for meaningful consultations, provide relevant material in a timely manner prior to consultation, in a form and language(s) understandable and accessible to the groups being consulted.

2.0 PROJECT SUPERVISION

There will be on the average two supervision m1ss1ons a year. Safeguards compliance reports are to be submitted to WB by LBP before such missions. Regular monitoring of safeguards compliance will be carried out by LBP. Any deviation from the agreed safeguards arrangements needs to be communicated to WB. If any issues arise in relation to environmental and social impacts of the subproject, it will be immediately reported to WB. Pending issues should be followed up until a resolution is reached.

3.0 MONITORING AND FOLLOW-UP

3.1 Overview of Monitoring

Monitoring of subproject compliance with safeguards requirements will be done by the LBPPMO in parallel with DENR monitoring. LBP-PMO 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 EMP. The sub-borrower 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 LBP will be transmitted to WB for record keeping.

The primary purpose of compliance monitoring is to ensure the implementation of sound and standard environmental and social procedures as defined during project preparation. Specifically, it aims to:

• Monitor project compliance with the conditions set in the ECC;

• Monitor compliance with the EMP and applicable laws, rules and regulations;

• Provide a basis for timely decision-making and effective planning and management of environmental measures through the monitoring of actual project impacts vis-a-vis the predicted impacts in the EIS/IEE;

• Monitor compliance to RAP and/or IPP; and

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• Provide basis for timely decision making and effective planning for measures that will ensure attainment of the objectives of social safeguards as indicated in the RAP and/or IPP.

There are also instances (critical environmental aspects) that the ECC sets the conditions for the activities to be monitored and the monitoring schedule.

3.2 LBP PMO Monitoring

The submission of EA documents shall be monitored to keep track of the pace of processing the ECC/NOL so that subproject physical implementation is not prolonged. This activity shall serve as a barometer that will push the agency responsible to work on the needed deliverables.

Table 4 Checklist of Environmental Documents

Sub-borrower ·. .. < :· .~. ·. En'ldronmtuttii:Ooe!Jment. ·, . . .. Date Remarks

EIS lEE-R lEE..C PO EMP .. SUtlmittect· 1 2 3 4

3.3 DENR Procedures

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

As a minimum requirement in compliance monitoring, the DENR-EMB shall focus on the following:

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

• Effectiveness of the committed EMP in mitigating the project's environmental impacts; and

• Meeting the terms and conditions of the ECC.

The project will not rely on DENR's monitoring reports but rather the PIU will conduct regular monitoring of subprojects based on compliance with the agreed safeguards instruments (i.e. EMP).

3.4 Internal Implementation and Monitoring of the ESMP

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The PIU of the sub-borrower shall monitor compliance with the conditions of the ECC, and carry out the requisite data collection during both the pre-construction and construction phases. Annual EMR shall be submitted to DENRIEMB and the PMO, including:

• Presentation of the collected data;

• Discussion on the compliance or non-compliance with the EMP and ECC;

• Compliance with RAP and/or Annual Monitoring report for IP Plans shall be submitted to NCIP;

• Conclusions and recommendations; and

• Photos of environmental and social monitoring and adherence to mitigating measures.

During the subproject developmental phase, the sub-borrower, through its PIU, shall furnish the LBP-PMO copies of the ESMR prepared for the pre-construction and construction stages of the subproject. Once construction works are completed, the PIU shall submit a statement of environmental and social closure to terminate the reporting commitment to the PMO. However, the sub-borrower should continue the submission of the EMR on the operations phase to DENR-EMB.

If any irregularities are observed, the PMO will report its findings to the PIU and discuss the measures to be taken.


The focal person shall be the Program Officer of SSLDIP as designated by Lending Programs Management Group (LPMG) of LANDBANK whose address and contact numbers are as follows:

The Program Officer Support for Strategic Local Development & Investment Project Programs Management Department- II 2r floor, LANDBANK Plaza, 1598 M.H. del Pilar corner Dr. J. Quintos Sts. Malate, Manila 1004 Tel Nos: 522-00001ocal7198 E-mail address: [email protected]

There are three levels of issue resolution. These are:

a) Barangay Level: All complaints shall be discussed and negotiations must be carried out in the specific communities where the complainant peoples live. The barangay concerned should facilitate this process and the PIU must ensure that complaints are properly represented. Resolution of conflicts should be encouraged at the lowest possible, thru the facilitation of Municipal Councils. Such meetings and interactions with complainant/communities must be documented and copies of the same shall be distributed to relevant stakeholders

b) Municipal Level if not resolved, this will be elevated to the LGU level for resolution

c) PMO Level- Should the complainant still find the decisions rendered at the LGU level unacceptable, they can elevate the issue to the central level office of the LBP through

20

the PMO. The PMO shall be tasked to coordinate with the sub-project's PIU to ensure that the issue is resolved to the best interest of the affected complainant.

Documentation of complaints and its resolution shall be properly done and its summary shall be part of the regular monitoring of the project.

21

Annex IESSF-1 List of Negative Subproject Attributes

This negative list has been compiled to exclude certain activities associated with disaster response and post-disaster reconstruction that fulfill one or more of the following criteria: (i) environmentally risky; (ii) may create impacts that require more sophisticated planning and preparation of mitigation measures; (iii) have technical complexities and requirements that would go beyond the capacity normally available in-country; (vi) implementation and completion of the subproject would go beyond the two year duration of the restructured project; and (vi) are not aligned with public interests or do not benefit common goods or public services.

Applying the above criteria to the anticipated context of the disaster response activities under the SSLDIP, the following list of activities has been compiled:

• Sourcing materials for construction such as gravel and sand, from illegal quarries and sites which do not comply with the guidelines of the Government of the Philippines;

• Activities involving the use of fuel wood, including trees and bush;

• Activities involving the use of hazardous substances compounds which are toxic, explosive, flammable etc.);

• Repair of facilities storing hazardous substances (e.g. fuel depots), except simple clearing of debris or landslide materials on access roads and perimeters;

• Any "salvage logging" operations (which might be undertaken as a result of storm damage to forests);

• Construction of new, or substantial expansion of existing flood protection works, especially when this involves the conversion of floodplains or riverine forests;

• Bulk purchase of fuel, lubricants, pesticides, herbicides or other hazardous substances;

• Any activity in a sensitive or protected natural habitat as defined by OP 4.04, except the removal of debris and the repair of pre-existing infrastructure, e.g. access roads or park ranger buildings; and

• Any activity involving the repair, rehabilitation or construction of dams. The available time and limited funds will not allow for the implementation of subprojects involving dams.

22

Annex IESSF-2 Environmental and Social Screening Checklist (ESSC}

This Form is to be used by the Project Management Office (PMO) of LBP in screening proposed subprojects.

Note: One copy of this form and accompanying documentation is to be kept in the PMO and one sent to the Task Team Leader ofWB.

Name of Subproject:

Location:

I. Subproject Screening:

a. Has the subproject been screened against the list of ineligible activities (negative list)? If yes and proposed activity is eligible, proceed. If no screening has been done, contact LBP-PMO to conduct screening.

II. Site Assessment:

a. When considering the location of a subproject, rate the sensitivity of the proposed site in the following table according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable. They do indicate a real risk of causing undesirable adverse environmental and social effects, and that more substantial environmental and/or social planning may be required to adequately avoid, mitigate or manage potential effects.

Issues Site Sensitivity Rating Low Medium High

Natural No natural habitats No critical natural Critical natural Habitats present of any kind habitats or other habitats present.

(terrestrial or natural habitats Within declared aquatic). Site is occur. protected areas or sparsely vegetated known to have and existing high conservation vegetation is value because of commonly found the presence of throughout the highly endangered area. species.

Water quality Available water is Medium intensity Intensive water and water sufficient for of water use; use; multiple resource existing demand; multiple water water users; availability and low intensity of users; water potential for use water use; potential quality issues are conflicts is high;

water use conflicts important. water quality expected to be low; issues are no potential water important. quality issues.

Natural hazards Flat terrain; no Medium slopes; Mountainous vulnerability, potential some erosion terrain; steep floods, soil stabi I ity /erosion potential; medium slopes; unstable stability/erosion problems; no risks from soils; high erosion 1

23

known volcanic/seismic potential; volcanic volcanic/seismic/ flood/typhoons. seismic or flood flood risks. risks.

Physical No known or Suspected cultural Known heritage Cultural suspected physical heritage sites; sites in subproject Property cultural heritage known heritage area. (churches, sites sites in broader archaeological area of influence sites, historical structures, sacred grounds) Involuntary Low population Medium population High population Resettlement density; dispersed density; mixed density; major

population; legal ownership and towns and tenure is well land tenure. villages; low defined. income families

and/or illegal ownership of land; communal _proQ_erties.

Indigenous No indigenous Dispersed and Indigenous Peoples population. mixed indigenous territories ( CADT),

populations; highly reserves and /or acculturated lands; vulnerable indigenous indigenous populations. populations.

Ill. Areas for Potential Environmental and Social Impact:

2 Cause poor water drainage and increase the risk of water related diseases such as malaria or ue

3 Harvest or exploit a significant amount of natural resources such as trees, gravel, sand, wood for fuel or water? (e.g. use of illegal

4

7 Produce, or increase the production of solid wastes (e.g. water, medical/health domestic or construction wastes

8 Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlan roundwater

9

24

11

12

13

14

If the answer to any of the questions 15-19 is "Yes'; please prepare IP Plan required under the Framework.

IV. Categorization of Subproject:

In general these are the criteria for categorization of the project activities:

Category A The activity is likely to have significant adverse environmental and social impacts that are sensitive, diverse, or unprecedented.

• Site sensitivity rating above are mostly high, e.g. 4 out of 6; • Potential social and environmental impacts are mostly positive, e.g. 16 out

of 19; • Scope of impacts is large in terms of area; and • Impacts are difficult or to mitigate.

Category B The activity has potential adverse environmental impacts on human populations or environmentally important areas - including wetlands, forests, grasslands, and other natural habitats, which are less adverse than those of Category A subprojects. These impacts are site-specific. Few if any of them are irreversible and in most cases, mitigation measures can be designed more readily than for Category A subprojects.

• One or two site sensitivity ratings are medium or high; • Three to four potential social and environmental impacts are identified in

Section Ill of this annex; and • Most bridge and road construction activities will fall under this category.

Category C The activity is likely to have minimal or no adverse environmental impacts. Beyond screening, no further EA action is required for a Category C subproject.

25

The proper categorization is left to the judgment of the PMO considering the guidelines above. The final objective of the categorization is to ensure that all social and environmental impacts are avoided, minimized or properly mitigated.

CERTIFICATION

We certify that we have thoroughly examined all the potential adverse effects of this subproject. To the best of our knowledge, the subproject plan as described in the application and associated planning reports (e.g. EMP, RAP), if any, will be adequate to avoid or minimize all adverse environmental and social impacts.

Person who conducted the screening:

Signature: _________ _ Date: _______ _

PMO team representative:

Signature: _________ _ Date: _______ _

26

Annex IESSF-3 Schematic Presentation of EA Preparation for Major Subprojects

Feasibility Studv Phase I I I Environmental Assessment Phase

SLA with Sub-borrower Specifying the need for the

issuance of an ECC/CNC prior to loan release to finance the

project physical implementation

, ___________ t ___________ _ : Hirinq of Consultants • I

~~--r-~

Inventory and evaluation of the Scoping and Assessment of proposed project and existing Environmental and Social Baseline

infrastructures conditions

Pre-feasibility study Analysis of Environmental and Social Impacts and drafting of EMP, RAP

~nrl/nr IPP

I

___.. Public Consultations and participatory ....._ selection of Alternatives

~-------- I --------~ I

Financial Analysis and Detailed I EIS/IEE finalization and processing of I Engineering Design I ECC/CNC and WB EA clearance if

I applicable I I I I

Project Implementation (Construction I Compliance Monitoring of ECC and I

and Operation) I EMP, RAP and/or IPP I

27

Annex IESSF-4 CREDIT POLICY ISSUANCE (CPI)

CPINo 2004-002 Subject Environmental and Social Policy Relative to Credit Delivery Remarks Adoption of environmental policies relative to LBP's credit delivery

A. Rationale

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

B. Statement of Policy

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

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

1. Lending Units shall ensure that the project being financed and collaterals offered as security shall fully conform to environmental and social protection regulations and requirements.

2. Account Officers (AOs) shall continue to monitor the compliance with environmental and social protection regulations and requirements of the project and collaterals until such time that the account is fully paid or the collaterals are released/substituted.

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

3. Results of the AO's evaluation of project's and collateral's compliance with environmental and social regulations and requirements shall be among the basis for approval by the loan approving group (LAG) of loan accounts with environmental impact.

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

a. Type of project per the Environmental and Social Impact Statement (ESIS) System, as follows (see Annex A):

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

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

environmental impacts (NCP).

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

28

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

The bank's appraisal report should include initial findings associated with environmental and social risks. This would also serve as basis in further evaluating I processing of the project.

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

4. To ensure compliance with this issuance, all Lending Units are enjoined to follow the attached implementing procedures prepared by the Program Lending Group (PLG):

• Type of projects and environmental requirements for each, including the pro-forma documents;

• Documentary requirements for Environmental Compliance Certificate (ECC) application; and

• Guidelines for assessment of environmental impact of projects and collateral.

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

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

6. The EU, together with CPRMD, shall conduct pertinent trainings for all AOs to keep them abreast with environmental laws, impact assessment and other environmental aspects of credit delivery.

C. Effectivity

All previous issuances and orders inconsistent herewith shall be deemed amended or superseded accordingly. These guidelines shall take effect on March 16, 2004.

For strict compliance.

Thank you.

MARGARITO B. TEVES President and CEO

29

Annex IESSF-5 ENVIRONMENTAL CATEGORY AND DOCUMENTARY REQUIREMENTS OF VARIOUS TYPES OF LGU PROJECTS

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

·····'-···~··•·"""'"''''"'"'·'·········•''"''''"'''•"""'"'~·~j!~ ............ ,. ....•....... : .............................. .. stctOrJSu~Sector l T ENVIRONMENT

Agro-forestation I watershed management

URBAN Subdivisions and housing DEVELOPMENT projects, resettlement

projects and other similar : (horizontal) land : (j~\f~l()plll~~t I Motels, Hotels, I Condominium/Apartelles · (residential) OR • Commercial, [business i centers with residential : units (mixed use), malls, · suoermarkets

• Programmatic EIS (180 days)

+ EIS (120 days) + PEPRMP (120 days) + EPRMP 190 davs

Initial Environmental Examination (lEE)

+ EIS (120 days)

>= 25 haa

>= 1,000 haa

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

c lEE Checklist

• Project lEE (60 days) • lEE Checklist (60 days) + PEPRMP (60 days) + EPRMP (30 days)

: < 25 ha b

: < 5 hac

>= 100 ha but< 1,000 hab

>= 10 ha b

< 10 hac

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

c • PO (15 days)

Shall be based on the recommendations and endorsement of FMB and/or PAWB on a

Page 1 of6 CateaorvD

• PO (15 days) • Proof of Project

Implementation Start Prior to 1982 (15 days)

. <= 1 ,QQQ 1112 in land area d

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

OR Kiosk type or mobile fastfood d

30

and Documenta


Water

Irrigation system r (distribution system ; only) ··· Small water impounding

roiect Drainage and Impounding system or Flood Control ~()()g g()~tr()lpr()jE)gt .

Importation/ Acquisition ()f grE)ggi~g E)q~ipi1'1E)~t Rehabilitation I improvement of existing gr~i~~9€l ~y~t€)11'1 ... Riverbanks stabilization or Seawall construction

Sewerage and Acquisition of septic Sanitation tank desludging

equipment

• Programmatic EIS (180 days) • EIS (120 days) • PEPRMP (120 days) + EPRMP 190 davs

a Environmental Impact Statement Initial Environmental Examination (lEE)

• EIS (120 days)

> six production wells and other systems (e.g., infiltration

. gallery, E)t~Ja

c lEE Checklist

• Project lEE (60 days) • lEE Checklist (60 days) + PEPRMP (60 days) + EPRMP 130 davs

d Project Description

c

Any type of works related to slope stabilization d

Page 2 of6 Cateaorvo


Implementation Start Prior to 1982 ( 15 days)

LeveiiiJcommunal faucet) ~E)y€)11 (gE)E)p V{E)II)d < 300 ha service

Variable equipment capacity (submission of an EMP is needed in addition to PO' d

31

and Documenta


,... ·-· . ' "" ~!9.1~~t . ... . .... ' .. SectoriSulHeetcH' I INFRASTRUCTURE i Domestic wastewater

Sewerage and ; treatme~tfac;ility Sanitation i City sewerage system

· ··· septage/sewage · handling

Solid Waste Acquisition of collection Management vehicles

1 Matedals recovery

• Programmatic EIS (180 days) + EIS (120 days) + PEPRMP (120 days) + EPRMP 190 davs

. f(lc;ility ···················· .. .... .. . . . . t ... 1 Composting facility

· sanitary landfiilfor ' domestic wastes only*

1 i..andfi1ffor indusirialarid . other wastes

INFRASTRUCTURE f Bridges and viaducts, new construction

>= 10 kma

+ EIS (120 days)

>= 5,000 m3 daily . cap(lc;itya >= 50 km length of

. pipE)Ii~E) a

>= 1 ,000 MT daily capacity a

Multi-users a

a Environmental Impact Statement 0 Initial Environmental Examination (lEE) c lEE Checklist * Sanitary Landfill projects are required to prepare an EIS based on its scale impact to the environment.

• Project lEE (60 days) • lEE Checklist (60 days) + PEPRMP (60 days) + EPRMP (30 davs

< 5,000 m3 daily capacity ' b

f < 50 km length of

. _ipipE)Ii~E)b·········································· i Collection transport, · treatment and disposal : in anv amount/volume c

5,475 MT annual . , (;(lp(l(;ity ~:c , < 1 ,000 MT daily i capacity b

<::::?§ fy1Jg(lily C:C!PC!C:ity c

Single-user b

>= 80 m but < 10 km b


,orvC • PO (15 days)

Page 3 of6 CateaorvO



< 15 MT daily capacity OR 5,475 MT annual C(lp(l(;ity d

< 80 m d

32

and Documenta


pe Bridges and viaducts,

Roads and rehabilitation I Highways

Transportation

Roads, rehabilitation I improvement

Causeways, ports and harbours, new

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

• Programmatic EIS (180 days) + EIS (120 days) + PEPRMP (120 days) + EPRMP (90 days)

a Environmental Impact Statement Initial Environmental Examination (lEE)

+ EIS (120 days)

>= 50% increase in capacity (or in terms of IE3~gt~f11Jigt~}b < 20 km (no critical slope) b < 10 km (with critical SI()PE3)b >= 50% increase in capacity (or in terms of lenath/width' b

>= 15 ha < 15 ha (reclamation) b (reclamation) a < 25 ha >= 25 ha (w/o reclamation) b

. (IIJ!O reclamation}~ >= 5 ha < ha (reclamation) a (reclamation) b >= 10 ha >= 1 ha but < 1 0 ha

. (\'If() rE3~1(lrJ1ati()n}~ . (\'I/() rE3~1(lrJ1(lti()~} b

c lEE Checklist

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


c Page 4 of6

Cateaorv D • PO (15 days) • Proof of Project


< 50% increase in capacity (or in terms of

. IE3~gth[IIJiqt~}~ ................................. , Farm-to-market roads of < 2 kmd

including garage or terminals that do not include service facilities and occupying an area equal to or less than 5,000 m2 d

33

and Documenta


., ......... " ............................. , ...... ,....... P!~J41~................ . ···········"······· Sector/SUtrseetor I T

INFRASTRUCTURE Hydropower facilities Power Plants

Community, Cemetery, crematorium, Social, and etc.

Personal Services ,............................. ·························

: Housing & land dev't, , i.e. resettlement project, : economic & socialized ! housing project, open · market housing, project I under the community ' mortaaae proaram

• Programmatic EIS (180 days) + EIS (120 days) + PEPRMP (120 days) + EPRMP (90 days)

Impounding >= 20 million m 3 a

a Environmental Impact Statement D Initial Environmental Examination (lEE)

+ EIS (120 days) • Project lEE (60 days) • lEE Checklist (60

days) + PEPRMP (60 days) I+ EPRMP 130 davs

Impounding < 20 million , m3 b

: < 50 MW but less than i 50 MW generating ' capacityb !;;,··16Mwblli<56MW , r~tE?gc~p~~ityb····································

>= 100 MW rated : >= 5 MW but< 100 MW capacity a · rated capacity b

c lEE Checklist d Project Description

c Page 5 of6

Cateaorv D • PO (15 days) • Proof of Project

Implementation Start Prior to 1982 ( 15 days)

Run-of-river system d

< 10 MW rated g~p~e,;ity~ .. < 5 MW rated capacity d

············I

< 5 ha or funeral parlors, crematorium, columbarium d

34

and Documenta


... . ..... er~J~~ Sector/Sub-sector · T

Community, Public market Social, and

Personal Services

AGRICULTURAL SUPPORT

+ Programmatic EIS (180 days)

+ EIS (120 days) + PEPRMP (120 days) + EPRMP 190 davs

+ EIS (120 days)

>= 50,000 m2 (gross floor area including parking and other areas) a

>= 10,000 m2 but<= 20,000 m2 (gross/total floor area)c ············ . .. . +

Access road >= 2 km but <= 5 km (traversing areas with critical slope) OR

i Access road >= 2 km I but <= 1 0 km (if no

. ' c~itical slop~) c ! Submission of IEE-C

c Page 6 of6

orvD + PD(15days) + Proof of Project


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

< 15,000 m2 (gross floor area including parking & other areas) ct

35

I . I I l I I a Environmental Impact Statement 5 Initial Environmental Examination {lEE) c lEE Checklist d Project Description

_____________ , ___ ,uirements of Various Types of LGU Projects ~~ij~Ji:,E' : i ,'> 0~~< .;'';.} .. ···!

~innifir-<>nt environmental and social impact as deemed by EMS or DENR

36

Annex IESSF-6 RECOMMENDED FORMAT for PROJECT DESCRIPTION

I. INTRODUCTION II. PROJECT DESCRIPTION

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

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

and waste materials D. Description of Project Phases

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

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

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

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

37

Annex IESSF-7 RECOMMENDED FORMAT for an lEE REPORT

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

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

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

1. Pre-Construction I Operational Phase 2. Construction Phase 3. Operational Phase 4. AbandonmentPhase

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

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

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

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

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

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

VIII. BIBLIOGRAPHY I REFERENCES

38

Annex IESSF-8 RECOMMENDED FORMAT for an ESIA

I. TABLE OF CONTENTS II. EXECUTIVE SUMMARY

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

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

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

Acceptability Ill. INTRODUCTION

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

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

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

V. BASELINE ENVIRONMENTAL CONDITIONS A. Physical Environment

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

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

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

39

VII. IMPACT ASSESSMENT AND MITIGATION A Physical I Chemical Effects

1. Land 2. Water 3. Air

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

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

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

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

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

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

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

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

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

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

• Health and Sanitation Information of the Affected Community

• Environmental Health Impact Analysis/Assessment

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

40

Annex IESSF-9 SAMPLE TERMS of REFERENCE for PREPARATION OF FEASIBILITY STUDY

(By Firm, EA/SA included in the TOR)

I. BACKGROUND

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

II. OBJECTIVES OF THE STUDY

The objectives of the Consultancy Services will include:

(a) Determine the feasibility of the storm drainage proposal to improve flood control in the urban areas of Name of the Sub-borrower in conformity with Sub-borrower priorities and budgetary constraints;

(b) Evaluate land acquisition needs and applicable legal requirements for the subproject, perform environmental impact assessment to determine subproject alternatives, and collect socio-economic data on persons likely to be displaced by the proposed subproject; and

(c) Act on the recommendations in the feasibility study, to complete preliminary design of the proposed subproject as well as necessary surveys and investigations.

Ill. SCOPE OF WORK

Feasibility Study which shall contain:

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

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

(c) Environmental Impact Assessment, including Environmental Management Plan, of the planned or proposed subproject activities to facilitate the best selection of alternatives that will bear the minimum environmental impact. The EIA shall follow the minimum format recommended by the DENR and shall cover the requirements outlined in the S2LDIP Environmental Safeguards Framework.

41

If the subproject exhibits potential health impact, supplemental and a separate Environmental Health Impact Assessment report shall be prepared.

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

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

(f) Resettlement Examinations, including Resettlement Plan (RP) identifying land to be acquired and affected persons, their economic status and impact of loss of land; compensation and assistance policies; institutional arrangements for processing resettlement, compensation and settling grievances; costs, budgets and implementation schedule of resettlement; monitoring and evaluation of resettlement process. RP shall comply with the Government of the Philippines (GOP) and WB requirements specified in the S2LDIP Resettlement and Compensation Framework.

(g) Implementation Action Plan (lAP), describing the subproject with costs, schedule and financing plan; implementation arrangements with responsible agency and administrative arrangements for implementation; time-bound implementation plan, procurement schedule, financial and economic analysis with assessment of risks; monitoring and evaluation indicators to supervise physical progress and financial status. lAP shall comply with the WB requirements specified in separate guidelines.

Preliminary Designs, which shall contain:

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

(b) Institutional Report, designing in detail the recommended institutional improvements, management procedures, including budgeting, and typical tertiary storm drainage; key job descriptions, training system and procedures outline training curricular and other strengthening measures;

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

(d) Indigenous Peoples Plan - it documents the measures through which the subproject proponent will ensure that IPs affected by the project receive culturally appropriate social and economic benefits and incorporation in the project design of efforts to avoid, mitigate and compensate adverse effects of the subproject to way of life.

(e) Environmental Management Plan, in tabular form showing the set of mitigation, monitoring, and institutional measures/responsibilities to be taken during the implementation and operation phase of project development for the predicted environmental impacts.

(f) Implementation Action Plan, with updated schedule, costs, proposed financing and arrangements for implementation with dates for key actions and responsibility.

(g) Engineering, Institutional and Environmental Aspects, are mutually dependent and the Consultants will be responsible for ensuring that the institutional and environmental impact are appropriately reflected in recommended alternatives.

IV. TASKS

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

(a) Assess the most appropriate investments for storm drainage in consultation with the Chief Executive of the Sub-borrower;

(b) Review the basis of rationale for the flood frequency to be used for design which is ten (1 0) years for canals and twenty five (25) years for closed conduits;

(c) Verify availability and suitability of sites recommended for treatment areas and flood control gates in the city and suitable for such purposes, having regard to occupancy, procurement costs and possible environmental and resettlement implications. Based on the land available, propose the treatment station and flood control gates for the storm drainage system, if applicable;

(d) Check whether it is technically and institutionally feasible to decentralize the urban wide storm drainage networks into two or more separate storm drainage zones, each with its own corresponding flood control gates;

(e) Identifying land to be acquired and affected persons, their economic status and impact of loss of land; compensation and assistance policies; institutional arrangements for processing resettlement, compensation and settling of grievances; costs, budgets and implementation schedule of resettlement; monitoring and evaluation of resettlement process;

(f) Prepare the hydraulic and functional designs of the proposed facilities including flood control gates, drainage main, pumping stations, and primary, secondary, and tertiary (as appropriate) drainage collector lines;

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I • • -

-...

v.

(g) Estimate preliminary capital and 0 & M cost for the storm drainage facilities, and carry out, in consultation with the Financial Consultant, approximate FIRR and tariff calculations in order to establish financial viability and Sub-borrower's budget needed for twenty five (25) years of operation;

(h) Based on the feasibility study and preliminary design, prepare the draft Subproject Implementation Action Plans at the satisfaction of the WB;

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

METHODOLOGY

The methodology to be employed in this consultancy will consist of visits to the subproject, discussions with LGU officials, situational reviews to confirm the efficacy of technical proposals, and desk reviews of the existing relevant feasibility and first stage priority reports .

The Consultant shall provide the topographic survey and will be responsible in deriving the elevations and locating the various utilities and infrastructures.

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

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

VI. SERVICES AND FACILITIES TO BE PROVIDED TO THE CONSULTANT

The following services will be provided by the LGU without any costs to the Consultants.

Data The Sub-borrower will provide the Consultants with access to all available data, information, maps, drawings and internal documents relevant to the consulting services. All reference material will be lent to the Consultants and shall be returned at the completion of the assignment or earlier as may be requested.

Access The Sub-borrower will arrange for access by the Consultants to all water supply, drainage, sewerage and solid waste disposal facilities that the Consultants deem necessary to visit concerning performing their duties and to the key officials in the LGU and LGU departments concerned with subjects related to the assignment.

Services The Sub-borrower will provide the Consultants during their stay in the subproject area with unlimited telephone and fax service within the City/Municipality/Province and the Philippines and Internet and E-mail service as required for the services.

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Annex IESSF-10 SAMPLE TERMS of REFERENCE for an ESIA PREPARER

1. INTRODUCTION I BACKGROUND INFORMATION

A brief introduction about the proposed subproject is given below:

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

2. OBJECTIVES

This Terms of Reference outlines the requirements for consultancy service for the preparation of an Environmental Assessment Report (Initial Environmental Examination - lEE), which will address the environmental and social impacts of the proposed "Drainage System Improvement Works" for the Name of the Sub-borrower.

In general terms, the environmental assessment (lEE) report provides a linkage between the proposed project's overall social and environmental impacts and its physical development. The lEE report identifies spatial areas of a community where physical development is planned with its corresponding environmental impacts.

In more specific terms, the lEE preparer I consultants should come up with an Environmental and Social Assessment report and perform consultancy tasks by means of:

(a) Proper identification, quantification, and qualification of the environmental and social impacts of the proposed drainage system improvement project within the Name of the Sub-borrower;

(b) Formulation of an Environmental Management Plan (EMP) that will explain the cost-effective measures for the abatement of negative environmental impacts of the proposed development;

(c) Formulation of a Resettlement Action Plan (RAP) for displaced persons in the event the need arises; and IP Plan (in case needed) to ensure that project design is culturally sensitive and that benefits are enhanced for the IPs.

(d) Presentation of the environmental assessment (EA) report (lEE) for the concurrence of the Sanguniang Bayan/Panlungsod/Panlalawigan of the LGU, the Board of public utilities I private sector or Project Implementation Unit (PIU);

(e) Representation in behalf of the Name of the Sub-borrower during the technical review of the lEE by the Department of Environment & Natural Resources-

46

Environmental Management Bureau (DENR-EMB) regional office for the issuance of an Environmental Compliance Certificate (ECC); and

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

3. ENVIRONMENTAL AND SOCIAL ASSESSMENT REQUIREMENTS

(a) All environmental and social assessments shall conform to the S2LDIP Integrated Environmental and Social Safeguards Framework furnished to the consultant and the guidelines of the Procedural Manual of DENR Administrative Order 2003-30 and NCIP Administrative Order No. 3 Series of 2012.

(b) Other national laws and/or regulations on environmental and social reviews and impact assessments; regional, provincial, or city environmental assessment regulations.

(c) The Consultants shall undertake field surveys, surface and storm water quality investigations and tests required to ensure the environmental acceptability of storm water discharge.

(d) The Consultants shall apply his own professional stamp or seal and signature to each pertinent document to identify his professional responsibility.

4. STUDY AREA

A brief description of the study area is provided below:

5. SCOPE OF WORK

The preparation of the lEE report requires close coordination with the proponent (PIU), FS consultancy firm, and LBP-PMO of S2LDIP, and a consultation process with the stakeholders. The tasks in carrying out the lEE shall include the following:

Task 1

Task 2

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

Description of the Environment. Assemble, evaluate and present baseline data on the relevant environmental characteristics of the study area. Include information on any changes anticipated before the subproject commences.

(a) Physical environment: geology (secondary data); soils; climate and meteorology; ambient air quality; surface and ground water hydrology; existing water pollution discharges; receiving water quality.

(b) Biological environment: flora (secondary data); fauna (secondary data); rare or endangered species; sensitive habitats, including parks

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Task 3

Task 4

Task 5

or preserves, species with potential to become nuisances, vectors or dangerous (secondary data).

(c) Socio-cultural environment (include both present and projected where appropriate): population; land use; planned development activities; community structure; employment; distribution of income, goods and services; public health; cultural properties (if there applicable). If IPs are present, include their leadership system and mechanisms for consultation and decision making.

Legislative and Regulatory Considerations Relative to the Subproject. Describe the pertinent regulations and standards governing environmental quality, health and safety, protection of sensitive areas, protection of endangered species, silting, land use control, etc., at national, regional and local levels

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

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

(a) Subproject Location: resettlement of people; presence of IPs and or ancestral domains; and impact on flora and fauna.

(b) Subproject Design: disruption of hydrology; drainage problems; design of drainage component structures; crossings for people and animals.

(c) Construction Works: soil erosion; construction spoils (disposal of); sanitary conditions and health risks associated with construction camp and workers coming into area; social and cultural conflicts between imported workers and local people.

(d) Subproject Operation: changes in ground water levels inside and outside command (project) area; changes in surface water quality and risks of eutrophication; incidence of water-borne and waterrelated diseases.

Development of Management Plan to Mitigate Negative Impacts. Recommend feasible and cost-effective measures to prevent or reduce significant negative impacts to acceptable levels. Estimate the impacts and costs of those measures, and of the institutional and trainings requirements to implement them. Consider compensation to affected parties for impacts, which cannot be mitigated. Consider the need to engage in free, prior and informed consultation with the indigenous peoples if present in project site. Prepare a management plan including proposed work programs, budget estimates, schedules, staffing and training requirements, and other necessary support services to implement the mitigating measures.

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Task 6

Task 7

Task 8

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

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

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

Represent the Sub-borrower in the technical and environmental and social review of the proposed development by the DENR-EMB and NCIP for the issuance of an Environmental Compliance Certificate (ECC) and Certificate of Precondition or Certificate on Non-Overlap respectively. Where required, additional data shall be analyzed and incorporated in the lEE I EA report. Prepare all additional information that may be requested by the environmental impact assessment review team for the expeditious release of the ECC.

Task 9 Development of a Resettlement Action Plan (RAP). When necessary, in the case of displaced communities a resettlement action plan should be incorporated in the lEE I EA report.

Task 10 Development of the Indigenous Peoples Plan. When necessary, should also be part of the EA Report.

6. REPORT SUBMISSIONS

The EA report should be concise and limited to significant environmental and social issues. The main text should focus on findings, conclusions and recommended actions, supported by summaries of the data collected and citations for any references used in interpreting those data.

The Consultant shall be responsible in maintaining overall consistency between the Rapid Assessment design outputs of the FS consulting firm. The Consultant and the FS Consulting Firm are expected to work closely together as a team, under the overall coordination of the PIU and guided by LBP-PMO.

The following services and facilities will be provided by the Sub-borrower (through its PIU) without any costs to the Consultant.

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Data The Sub-borrower will provide the Environmental and Social Consultants with access to all available data, information, maps, drawings and internal documents relevant to the consulting services. All reference material will be lent to the Consultants and shall be returned at the completion of the assignment or earlier as may be requested.

Access The Sub-borrower shall arrange the accessibility for the EA and Social Consultant to the subproject area's socio-economic profile, water supply systems, drainage systems, sewerage and solid waste disposal facilities that the Consultant deems necessary to visit concerning the function of their duties. The Sub-borrower shall likewise arrange meetings with key officials in the City/Municipality/Province, public utilities and private sector group and relevant offices concerned with the implementation of the proposed subproject.

Services The Sub-borrower will provide the Consultant during his/her stay in the City with unlimited telecommunication facilities (telephone and fax service) within the City/Municipality/Province, subproject area and the Philippines and Internet and E-mail service as required for the services.

Organize the ESIA according to the outline below:

I. TABLE OF CONTENTS II. EXECUTIVE SUMMARY

A. Brief Introduction B. Brief Description of Methodology and Profile of ESIA Team C. Scope and Limitation of the ESIA Study D. Brief Project Description E. Brief Description of Baseline Environmental and Social Conditions F. Matrix of Issues and Impacts Raised During the Seeping and Consultations G. Matrix of Major Impacts, and Mitigation/Enhancement Measures with Summary Discussion H. Matrix of Environmental and Social Management Plan with Summary Discussion I. Matrix of Environmental and Social Monitoring Plan with Summary Discussion J. Proposal of Environmental Guarantee and Monitoring Fund Scheme (when applicable) K. Summary of Process Documentation Report, and L. Summary of Commitments, Agreements (or both) and Proofs of Social Acceptability which will include Certificates of Non Overlap or Certificate of Precondition in response to IP triggers

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

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

1. Pre-construction/operational phase 2. Construction phase

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3. Operational phase 4.Abandonmentphase

V. BASELINE ENVIRONMENTAL CONDITIONS A. Physical Environment

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

B. Biological Environment 1. Terrestrial flora and fauna

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

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

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

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

1. Population 2. Labor and employment 3. Housing and social services 4. Infrastructure and public utilities 5. Health and education 6. Culture and lifestyle 7. Livelihood and income 8. Archeological/anthropological/historical sites 9. Displacement of People and assets affected 10. IPs affected and cultural characteristics that may affect their benefit sharing from the project 11. Gender data and relations in the community

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

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

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

X. BIBLIOGRAPHY I REFERENCES

ATTACHMENTS • Curriculum Vitae (CV) of the lEE Preparer with specified field of expertise • Original Sworn Accountability Statement of lEE Consultants (Attachment A) • Original Sworn Accountability Statement of Proponent - Sub-borrower (Attachment

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

communities

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• Process Documentation Report • Formal Seeping Report • Summary of Proof of Social Acceptability • Maps/photos/plates/diagrams/sketches

If the project is classified by the Department of Health (DOH) as Health Sensitive Projects or located in Health Sensitive Areas (Implementing Rules and Regulations, Chapter XX of PD 856) the lEE shall include a chapter on Environmental Health Impact Assessment (EHIA). The EHIA Chapter shall contain, among others, the following information:

• Health and Sanitation Information of the Affected Community

• Environmental Health Impact Analysis/Assessment

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

7. PROJECT TEAM

The project team will provide direction throughout the subproject. All correspondence shall be addressed to the PIU and LBP-PMO for the S2LDIP.

Collaborative works should also be made with the environmental specialist of the consulting firm doing the Rapid Assessment and Detailed Engineering Design.

8. REPORTING REQUIREMENT AND SCHEDULE

In performing his/ her duties, the Consultant shall prepare reports in English and submit them to the PIU, PMO and the WB in quantities and within the time periods indicated in Table 1. All major reports should contain an executive summary. Details on the contents of the report are specified in the S2LDIP Operations Manual.

The above stated reports will be produced as draft final reports and finalized upon review by the PIU, PMO and the WB. The draft final report will be reviewed at the Sanggunian I Board meetings, which will have a form of workshops with the Consultant's presentation. The workshops will be organized by the EA Consultant according to PIU instruction. A period of one month shall be allocated in the schedule for such reviews.

T bl 1 R a e epo rf R mg t eqUiremen s .. .. .. ··. > .·· . .

Report •< Number9f· .. Tliipg''" ~from Start

r .. ··copi~' i,, ······ .7 ·,

Seeping Report (IEE/EIS) (7) 1

Draft EA Report (IEE/EIS) and (3) 1 -1/2 RAP and/or IPP

Final EA Report (DENR/WB) (1 0/2) ;!:,

Total Preparation Time 2-1/2

The Consultants will submit to the PIU, PMO and WB copies of all the abovementioned reports in Microsoft Word by e-mail. Later, two hard copies of the reports should be sent to the three institutions.

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9. PAYMENT SCHEDULE

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

T bl 2 S h d I f P t a e c e ueo aymen ' '•' ', ,··: .

~{?~tn$~~' •,

>··J,?:~nt' I

' .. "

Mobilization upon contract signing 15%

Submission of Scopinq Report 15%

Submission of Draft lEE Report, RAP &/or IPP 40%

Submission of lEE, IPP and RAP Report to DENR, 20%

PIU, PMO, WB

Issuance of ECC and WB NOL 10%

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Chapter 2 RESETTLEMENT AND COMPENSATION FRAMEWORK (RCF}

Contents

Acronyms INTRODUCTION 1.0 DEFINITION OF TERMS 2.0 OVERRIDING DEVELOPMENT OBJECTIVE 3.0 INSTITUTIONAL AND LEGAL FRAMEWORK

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

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

4.0 COMPENSATION AND OTHER ENTITLEMENTS 5.0 MODES OF ACQUIRING PRIVATE ASSETS 6.0 APPLICATION OF THE PARTICIPATORY PROCESS

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

6.2 Project Implementation Stage 6.3 Post Project Implementation Stage

7.0 GRIEVANCE PROCEDURES 8.0 COSTS AND BUDGETS

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

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CA BIR DENR DP EMA EO FPIC GOP ICC IP IPP LBP LCE LGU LRIC M&E NCIP NGO OP PCUP PD PhP PIU PMO PO RA RCF ROW RP SSLDIP WB

Acronyms

Commonwealth Act Bureau of Internal Revenue Department of Environment and Natural Resources Displaced Person External Monitoring Agency Executive Order Free and Prior Informed Consent Government of the Philippines Indigenous Cultural Community Indigenous People Indigenous People's Plan Land Bank of the Philippines Local Chief Executive Local Government Unit LGU Resettlement Implementation Committee Monitoring & Evaluation National Commission of Indigenous Peoples Non-Government Organization Operational Policy Presidential Commission for the Urban Poor Presidential Decree Philippine Peso Project Implementation Unit Project Management Office People's Organization Republic Act Resettlement and Compensation Framework Right-of-Way Resettlement Action Plan Support for Strategic Local Development and Investment Project World Bank

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INTRODUCTION

This Resettlement and Compensation Framework (RCF) shall serve as guidelines in the preparation of Resettlement Action Plans (RAPs) and other related documents to be required by the Land Bank of the Philippines and the World Bank from Subproject Proponents, the Local Government Units (LGUs), public utilities and private operators providing local infrastructure services.

1.0 DEFINITION OF TERMS

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

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

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

• Those who have formal legal rights to land including customary and traditional rights;

• Those who do not have formal legal rights to land at the time of the cut-off date but have a claim to rights to such land or assets; and

• Informal settlers who satisfy the condition for eligibility to compensation as provided in the definition of 'cut-off-date' above.

Non-eligible DPs include those making claims based on subsequent occupation after the cut-off date.

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

Financial Assistance is the cash amount given to tenants/settlers/occupants of severely affected land on top of cash payment/compensation of their crops and other fixed assets actually damaged by a subproject. It will also be given to owners of land acquired under Commonwealth Act 141 for the area of the affected portion subject to Section 112 thereof, which grants government easement right over a 60-meter wide corridor. Financial assistance will be determined based on applicable laws, in consultation with stakeholders and relevant government agencies, and thus given to:

• Marginally and severely affected structures used for business, with or without title to the land, to cover for income loss;

• Marginally and severely affected farmlands, fishponds and fish pens that are not covered by any acceptable proof of ownership, including portions of property

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acquired through CA 141, Section 112, to cover for improvements introduced to make the property productive;

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

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

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

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

Indigenous People (IPs) or Indigenous Cultural Communities (ICC) refer to a group of people or homogenous societies identified by self ascription and ascription by others, who continuously live as an organized community on communally bounded and defined territory, and who have, under claims of ownership since time immemorial, occupied, possessed customs, traditions and other distinctive cultural traits, or who have through resistance to political, social and cultural inroads of colonization, non-indigenous religions and culture, became historically differentiated from majority of Filipinos. ICC/ IPs shall likewise include people who are regarded as indigenous on account of their descent from the populations which inhabited the country, at the time of conquest or colonization, or at the time of inroads of non-indigenous religions and cultures or the establishment of the present state of boundaries, who retain some or all their own social, economic, and political institutions, but who may have been displaced from their traditional domains or who may have resettled outside their ancestral domains.

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

Land Acquisition means the process whereby a person alienates all or part of the land he/she owns or possesses to ownership and possession of other parties including the Government for public purpose. When compelled by Government it is called expropriation.

Marginally Affected land or structure means less than 20% of the land or structure is affected and where the remaining unaffected portion is still viable for continued use.

Professional Squatters, the term applies to persons who have previously been awarded home lots or housing units by the Government but who sold, leased or transferred the same to settle illegally in the same place or in another urban area, and non-bona fide occupants and intruders or lands reserved for socialized housing. This definition excludes individuals or groups that simply rent land and housing from professional squatters or squatting syndicates.

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Project refers to the World Bank-funded Support for Strategic Local Development and Investment Project (SSLDIP) implemented by the Land Bank of the Philippines (LBP).

Rehabilitation Support means additional assistance given to DPs whose source of income is severely impacted by the loss of productive assets, incomes, employment or sources of living, thereby requiring them to engage in some other income-earning activities. Rehabilitation support is intended to supplement payment of compensation and financial assistance as provided in 2.b. and 2.e for acquired assets in order to achieve full restoration of living standards and quality of life. The specific rehabilitation support to be given may be in the form of special skills training, project-related employment micro-credit and other selfhelp socio-economic measures.

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

Replacement Cost is the method of valuation of assets that helps determine the amount sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account. The computation of replacement cost is determined by an independent appraiser hired by the Project Proponent or by a court of law as compensation for:

• Agricultural lands, fishponds and fish pens based on productive value or residential land based on replacement value (for properties with similar location attributes plus transaction cost);

• Houses and other related structures based on current market prices of materials and labor without depreciation and deductions for salvaged building materials plus costs of getting permits and other transaction expenses;

• Crops based on current value;

• Trees and other perennials based on the estimates of the Department of Environment and Natural Resources or those of the independent appraiser's;

• Other fixed assets such as mosques, churches, burial grounds, community wells, barangay halls and health centers based on replacement cost or cost of mitigating measures; and

• Businesses based on opportunity loss in income due to disturbance and business replacement prices of materials and labor without depreciation and deductions of salvaged materials.

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

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

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

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Squatting Syndicates as defined by RA 7279 refers to groups of persons who are engaged in the business of squatter housing for profit or gain.

Subproject refers to the project that is implemented by the LGU and funded by sub-loan from the SSLDIP loan facility implemented by the LBP.

Subproject Proponent could be a Local Government Unit (LGU, i.e., a City, Municipality or Province) or a public utility or private sector group providing local infrastructure services.

2.0 OVERRIDING DEVELOPMENT OBJECTIVE

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

• Effect on income and resources will be avoided or minimized in assets acquisition that result in displacement of people;

• No demolition of assets and/or entry to properties will be done until a DP is fully compensated, except when a court of law grants a Writ of Possession to the Subproject Proponent for the subject property in expropriation cases as explained in Section 5 of this Framework;

• DPs are provided with sufficient compensation and assistance for lost assets, income sources, and livelihood that will assist them to improve, or at least maintain, their presubproject standard of living;

• Special attention is paid to affected vulnerable groups, such as poverty groups, the handicapped, women-headed households, people with weak or absent tenure rights, etc.; and

• All subproject stakeholders, including DPs, are consulted and are encouraged to participate in varying practicable ways in the design, implementation and operation of the subproject.

3.0 INSTITUTIONAL AND LEGAL FRAMEWORK

3.1 Institutional Framework

The key players and their roles and responsibilities in resettlement planning, implementation and monitoring are presented below. Table RCF-2 in Section 6 breaks down the roles and responsibilities of other participants in the resettlement planning, implementation and monitoring process.

3.1.1 The World Bank (WB)

The WB will review this SSLDIP Resettlement and Compensation Framework (RCF) to ensure its compliance with OP 4.12. It will agree with LBP on the adoption of the RCF as the set of guidelines on social safeguards for the Project. The WB will review all full RPs and first Abbreviated RAP prepared under the Project.

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3.1.2 Land Bank of the Philippines {LBP}

Through its Lending Centers, assisted by the PMO, LBP will review all subproject RAPs, whether full or abbreviated, to check its compliance with the agreed RCF.

Subproject Proponent

The Subproject Proponent could either be the Local Government Unit (LGU, i.e., a City, Municipality or Province), a public utility group or a private sector group providing local infrastructure services. Through its PIU, the Subproject Proponent will be responsible for the overall planning, implementation, coordination and monitoring and evaluation of land acquisition and resettlement activities under the subproject:

• It will ensure that RAPs are prepared, implemented and monitored and evaluated in accordance with the agreed RCF.

• The Subproject Proponent will set up a Resettlement Implementation Committee (RIC) for the implementation of the RAP. The specific responsibilities of the RIC include:

o Assist the PIU in validating the list of DPs and inventory of affected assets and in finalizing the compensation and other entitlements due to the DPs;

o Assist the PIU in the conduct of land research to determine the type of land affected and conflicts in law that should be resolved (e.g. water easement versus land titles and others);

o Assist in the conduct of public information campaign and consultation and help ensure the participation of the public, especially the DPs;

o Assist the PIU in the payment of compensation and other entitlement to DPs;

o Receive complaints and grievances from DPs and other stakeholders and act on them accordingly;

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

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

• The PIU Head will designate a staff to work closely with the RIC. The Subproject Proponent may engage the services of a Consultant, a Resettlement Specialist, to provide technical support to the PIU on resettlement planning.

• The Subproject Proponent will ensure that sufficient budget and resources are provided to the PIU for resettlement planning and implementation.

• The Subproject Proponent will be responsible for encouraging the active participation of stakeholders, particularly the displaced and host communities, in resettlement planning, implementation and M&E.

External Monitoring Agency CEMA)

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The EMA, engaged by the Subproject Proponent, will monitor the effectiveness of resettlement activities in all stages of the subproject. Special efforts will be made to ensure good community relationships, for better reception of the subproject and for a clear understanding of its objectives. The EMA will submit periodic reports on the implementation process and make recommendations regarding identified issues and concerns.

3.1.5 Affected Communities

It is also the responsibility of affected communities, particularly the DPs and host community/ies, to participate in consultations and in resettlement planning, implementation and M&E.

3.2 Legal Framework

3.2.1 Government of the Philippines {GOP) Regulations

This RCF is anchored on the principle derived from the Bill of Rights of the Constitution of the Republic of the Philippines, which states:

• In Article II, Section 9, "Private property shall not be taken for public use without just compensation."

• In Article Ill, Section I, "No person shall be deprived of life, liberty, or property without due process of law, nor shall any person be denied the equal protection of the laws."

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

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

3.2.2 World Bank Policy

OP/BP 4.12 on Involuntary Resettlement provides the guidelines for the resettlement of project-affected population to assist DPs in their efforts to improve their incomes and living standards, or at least restore them to pre-displacement levels. This policy is triggered when there is involuntary taking of land and other assets, or when involuntary restriction of access to legally designated and protected areas results in adverse impact on the livelihoods of the displaced persons. Only direct economic and social impacts resulting from "taking of land" are covered.

3.2.3 GOP and WB Policy, and Framework for SSLDIP

Where there is a discrepancy in the resettlement and compensation standards of the existing laws in the Philippines and of the standards of the WB, the Subproject Proponent will comply with whichever is the higher standard.

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Table 1 GOP Laws and Orders on Land Ac_guisition LawiOrdflr · .. . ..

Executive Order 1 035 (1985)

Supreme Court Ruling (1987)

DPWH DO 142 (1995)

RA6389

RA 7279, Urban Development and Housing Act of 1992

RA 8368 (1997)

RA 8371 (1997)

RA 8974 (2000)

Requires the conduct of: •Feasibility study •Public Information Campaign •Parcellary survey •Assets inventory

Other features include •Land acquisitioned, based on fair market value to be negotiated between

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

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

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

•Compensation for improvements on land acquired under CA 141.

Government has power to expropriate in case agreement is not reached. •Defines just compensation as fair & full equivalent for the loss sustained,

taking into account improvements, location, capabilities, etc. •The value given by the appraiser can only serve as a guide for negotiation.

The objective is to enable the DP to replace affected assets at current market price.

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

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

and compensation of private properties •Provides for disturbance compensation to agricultural leases equivalent to

5 times the average gross harvest in the last 5 years. •Provides guidelines for resettlement of persons living in danger areas, e.g.,

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

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

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

•Informal settlers who built their house on or before the affectivity date (March 28, 1992) are entitled to all benefits and considerations prescribed in the said act. All those exempted or not covered by the said act will be dealt with accordin9.ly (see Section 5.a).

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

dismissed. •Protects & recognizes rights of indigenous cultural communities on their

ancestral lands. •Aims at ensuring that owners of real property acquired for NG

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

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Table 1 (continued) Law/ Order

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

NCIP Administrative Order No. 3, Series of 2002

Provisions •SECTION 5. Standards for the Assessment of the Value of the Land

Subject of Expropriation Proceedings or Negotiated Sale - In order to facilitate the determination of just compensation, the court may consider, among other well-established factors, the following relevant standards:

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

demolition of certain improvements on the land & for the value of improvements thereon;

vi. The size, shape or location, tax declaration & zonal valuation of the land;

vii. The price of the land as manifested in the ocular findings, oral as well as documentary evidence presented; and

viii. Such facts & events as to enable the affected property owners to have sufficient funds to acquire similarly-situated lands of approximate areas as those required from them by the government, & thereby rehabilitate themselves as early as Qossible.

•Institutes classification & means of administration, expropriation and disposition of alienable lands of the public domain.

•Under Section 112, lands awarded for Free Patent are "subject to a right of right-of-way not exceeding sixty (60) meters in width for public highways, railroads, irrigation ditches, aqueducts, telegraph and telephone lines and similar works as the Government or any public or quasi-public service or enterprise, including mining or forest concessionaires, may reasonably require for carrying on their business, with damages for the improvements only."

•Stipulates the processes necessary for securing FPIC from IP communities and EO 132 designating PCUP as clearing house for the conduct of demolition and eviction since both have bearing on actions related to IPs and RP

4.0 COMPENSATION AND OTHER ENTITLEMENTS

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

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

• The Subproject Proponent shall compensate the DPs for land, structures and other fixed assets at "replacement cost" as defined in Section 1.

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

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replacement cost may be given in cash or in kind. The Subproject Proponent will assume ownership of the said asset upon payment of full compensation thereof.

• In the case of DPs whose assets are "marginally affected" as defined in Section 1, compensation for the affected assets will be paid in cash.

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

• Swap for "severely affected land" as defined in Section 1 will be in the form of land of equivalent productive value and/or characteristics at a location acceptable to the DPs, or if replacement land is not available, cash representing the current replacement value of the land. Replacement of residential and agricultural lands will be as close as possible to the land that was lost. All replacement lands for residence, commerce and agriculture will be provided with secured tenure status.

• In addition to compensation for crops or property acquired or damaged by the subproject, the Subproject Proponent will provide the following resettlement assistance to eligible DPs:

o "Financial assistance" to tenants/settlers/occupants as provided in Section 1;

o Rental allowance for house tenants of affected main structures who will have to find a new place on account of the project, equivalent to the period between project site clearing and transfer to their new home but not to exceed a period of three (3) months; and

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

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

• Rehabilitation support will also be granted to severely affected vulnerable groups such as indigenous groups, single parent households, the handicapped, the elderly, etc., who have the least capacity to cope with the adverse social and economic impacts of development projects.

• For married couples, payment of compensation and other entitlements (i.e., financial assistance and rehabilitation support) will be given in the names of both husband and wife.

• Where relocation is considered necessary, the lot owner of the proposed relocation site will also be entitled to compensation for his/her land, and depending on his/her

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choice, the compensation may be in cash or in the form of replacement land, of the same value, within or outside the relocation site.

• The Subproject Proponent shall provide the relocation site for residential or commercial purposes with such basic services as electricity, water, drainage, sewer system, road system, etc.

• Plans for the acquisition of land and other assets will be carried out in consultation with the DPs who will receive prior information of the compensation, relocation and other assistance available to them.

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

• Resettlement programs will include adequate institutional arrangements to ensure effective and timely design, planning, consultation and implementation of compensation and resettlement. The Subproject Proponent will ensure effective coordination with relevant agencies for the RP preparation and implementation.

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

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

Technically, all informal settlers found to be at the subproject site at the time of the census, will be entitled to a specific compensation depending on the laws and standards being enforced at the beginning of the subproject. All possible means to alleviate the DPs will be exhausted to restore or even improve their level of living to the pre-resettlement level.

5.0 MODES OF ACQUIRING PRIVATE ASSETS

Private assets, e.g., land, structures and other improvements, will be acquired for the subproject through:

• Donation and/or grant of ROW;

• Negotiated purchase;

• Expropriation;

• Usufruct; and

• Lease agreement.

In the case of donation, meetings held regarding land donation/swill be documented. For donated landis, documentation of donation must be signed by all legal owners, must note the total land area from which portion needed by subproject is taken, and must state the

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legal tenability of the donation (e.g. no lien, occupants in affected portion). An assessment report on the donor's economic viability will also be needed.

In the case of negotiated purchase, the Subproject Proponent will offer as the purchase price an amount equal to the replacement cost of the assets, as determined by an independent appraiser using internationally accepted procedures. See Annex RCF-2

The Subproject Proponent will make the offer in writing and give the property owner 15 days within which to accept the amount offered as payment for his/her property. If the property owner agrees, he or she will issue to the Subproject Proponent a written permit to enter the property. A contract of sale will be subsequently executed between the property owner and the Subproject Proponent.

If negotiations fail, the Subproject Proponent shall initiate expropriation proceedings (through the concerned LGU if Subproject Proponent is not the LGU). Upon filing of the complaint, and after due notice to the defendant/property owner, the concerned LGU shall immediately deposit with the court or a court-appointed depository the amount equivalent to the sum of ( 1) one hundred percent ( 100%) of the value of the condemned property based on the current BIR zonal valuation and (2) an amount equal to the replacement cost of the improvements and/or structures. The Subproject Proponent should then apply for a Writ of Possession to enable subproject construction.

If the property owner contests the compensation payment, the Court will determine the just compensation to be paid to the owner within sixty (60) days from the date of the filing of the expropriation case. When the decision of the Court becomes final, the Subproject Proponent will pay the owner the difference between the amount already paid and the just compensation determined by the Court (see Implementing Rules and Regulations, RA 8974, Section 14 ). The DP will receive the additional payment within one ( 1) month following the decision of the court.

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

The Subproject Proponent may also acquire a property through Usufruct. The property owner retains the naked ownership of the land, while the Subproject Proponent enjoys the benefit of the use of land. The Subproject Proponent and the property owner will execute a usufruct agreement. The agreement will cover the rights and responsibilities of the two parties, including the duration of the usufruct.

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

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All land transaction should be registered with the Registry of Deeds for annotation in the title of subject property.

6.0 APPLICATION OF THE PARTICIPATORY PROCESS

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

6.1 Subproject Preparation Stage

6.1.1 Pre-feasibility

The PIU will conduct a preliminary meeting with the Local Chief Executive and the Council about the subproject and its components:

• Explain the general concept of the subproject;

• Discuss and explain the requirements of the subproject and its perceived impacts;

• Present tentative schedule of activities;

• Create awareness and appreciation about the subproject;

• Identify various subproject stakeholders;

• Present the S2LDIP RCF; and

• Discuss the composition of the RIC.

Other target participants to this meeting are:

• Heads of LGU departments relevant or attached to the PIU; and

• Captain/s of the affected Barangay/s.

General Orientation of the Community

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

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

Community orientation will be facilitated by barangay officials and assisted by the PIU to ensure correctness of information to be relayed to each member of the community. The agenda for this community orientation could be:

• Subproject overview including overall objectives and merits;

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• Identification and discussion of the likely impacts of the subproject;

• Activities to be undertaken, including the subproject schedule;

• Roles of the community with regards to the long-term sustainability;

• Resettlement and Compensation Framework; and

• Other matters.

Social Assessment

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

6.1.2 Feasibility

Draft RAP Preparation

Based on the results of the Social Assessment, a full-blown socio-economic survey of the DPs, including an inventory and valuation of affected assets, will be conducted to arrive at an appropriate Resettlement Plan (RAP). The RAP should include the amounts and the process to be used in the payment of compensation to the DPs.

A separate survey should be conducted for cultural minorities especially when they are not closely attached to the mainstream society. In such cases, a separate RP should be prepared for the group. (Refer to Section 9 of this Framework.)

The RCF applies to all resettlement impacts, regardless of the number of people involved or the level of severity experienced. However, the level of details contained in the RAP will vary according to the target group, complexity, scale, and severity of resettlement. A full RP will be required where 200 or more persons are affected. If less than 200 persons are affected or impacts are "minor" (i.e., people are not physically displaced and less than 10 percent of their productive assets are lost), an abbreviated RP may be prepared. Annexes RCF-3 and RCF-4

Presentation of the Draft RAP

Upon completion of the draft RAP, the PIU will present it to the Local Chief Executive and Council, heads of LGU departments relevant or attached to the PIU and captain/s of affected barangay/s with a view that a consensus will be achieved on the following:

• Resettlement program;

• Relocation sites;

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• Roles and responsibilities in the RAP implementation; and

• Identified members of RIC.

Community Consultation

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

Affected communities will also be informed on the mechanics and procedures for consultations, grievance redress mechanism, and the overall resettlement program.

For indigenous groups, the NCIP will be tapped to lead the consultations and to have a more in depth analysis of the socio-cultural implications of the subproject. All proceedings and consultations will be recorded and form part of the RAP.

6.1.3 Finalization of the RAP and the Technical Design

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

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

Setting up of RIC

The RIC will be established to assist in RAP implementation, to be composed of:

• Head of UPAO;

• If applicable, a representative of the National Commission of Indigenous Peoples;

• PIU, particularly its Resettlement Specialist;

• Representative of the Barangay of affected communities (DP and host);

• Representative of the DPs in each affected barangay (to be elected by simple majority by DPs present in a meeting to be held for the purpose);

• If applicable, leader/s or elder/s of each affected IP group;

• Representative of a non-government organization (NGO) or people's organization (PO) actively operating in the subproject area (to be elected by simple majority by DPs present in a meeting to be held for the purpose)

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The RIC will be headed by the head of UPAO. The RIC will meet regularly to record milestones and update the members on the progress of the RAP. The following items may also be included in the agenda:

• Designation of specific assignments;

• RAP timetable;

• Submittals to PCUP; and

• Other matters.

The RIC will have to work closely with the PCUP, as the government's clearinghouse of resettlement for the urban poor to ensure that the RAP is properly implemented. They can also assist the PIU in accomplishing the requirements for the Certificate of Compliance to be issued by the PCUP before any clearing operation takes place.

6.2 Project Implementation Stage

Participation in the Implementation

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

Monitoring of the RAP

The PIU, assisted by the RIC will enlist the participation of the DPs in the internal monitoring of the RAP. Representation of the DPs in the monitoring of the implementation will provide a more accurate reading of the community's feelings and reactions. The internal monitoring will focus specifically on the following:

• Seeing to it that the RAP is implemented as designed and approved; and

• Verifying if funds for implementation are provided by the Subproject Proponent in a timely manner and in amounts sufficient for their purposes and that the funds are used in accordance with the provisions in the RAP.

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

6.3 Post Project Implementation Stage

Evaluation of the RAP Implementation

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

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The EMA will give its independent evaluation of the RP and its implementation, and document this as a Resettlement Completion Report. All recommendations and comments will be documented and archived for future reference.


Accessible grievance mechanisms will be established for the DPs and their communities, and any host communities receiving them. It aims to address disputes that may arise from the resettlement. Information on the availability of a grievance redress mechanism will be made widely known in the subproject area.

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

Grievance Redress shall have the following levels:

Level 1

Level2

A party lodges complaint or grievance to the RIC. After proper investigation of facts presented, the RIC will provide a written response within fifteen (15) days upon receipt of the complaint.

If the complaint I grievance cannot be resolved at the level of the RIC, the case shall be formally referred to the PIU, which will act I decide on the complaint within fifteen (15) days. The PIU shall inform the RIC on the actions taken and progress of the case

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

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

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

8.0 COSTS AND BUDGETS

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

T 2 R able oles and Responsibilities

Participawry~A~s I

Particip~t$ 1. ~Re~flli~I~;:Oft'i• Subproject Stage ·. .InstitUtion

Subproject Preparation Pre-Feasibility Preliminary meeting Local Chief Executive PIU &/or its Consultant, Study within LGU for the (LCE) & Council, PIU- a Resettlement

overview of the proposed attached units, affected Specialist (RS) !>LI~pr()j~c;t .... ~ar(3'!9C!Y C:<:!Pt<:lill/!), ...... ·············

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Feasibility Study

Finalization of RAP and Technical Design

Implementation

Post-Implementation

General orientationmeeting, barangay level, preparatory to conduct of technical, social & environmental studies

PIU, concerned barangay officials, DPs, affected communities

Conduct of Social Impact PIU, DPs, affected Assessment communities

RAP preparation, census Community heads, & socio-economic survey concerned barangay

............. ()ffi<::ials, pps ....... .

PIU &/or its RS

LGU draft RAP LCE, LGU Council, PIU- PIU &/or its RS orientation attached units, affected

.... tJ(lf('lllg(ly <::C1Ptc:lil1/!>

Community consultation Community heads, DPs, Affected barangay on draft RAP affected communities ()ffi<::ic:~ls,pi[J ~()tit!) 13§

RAP finalization

Final RAP orientation for LGUs, DPs & affected communities

Setting up of RIC

LCE, LGU Council, PIUattached units, affected barangay officials, community heads, DPs, affected communities

LGU Council, affected barangay officials, community heads, DPs, affected communities, UPAO head

Affected barangay officials, community

.. tlf:lc:!d!), PF'!>t pi[J, 131c;

Internal monitoring of RIC, PIU, community RAP ii1:1Pif:ll11f:lnt('l~i()l1 ............... t~e<'I<:J!>, QP!>

External Monitorin EMA

PIU &/or its RS

PIU &/or its RS

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

PIU &/or its RS, LGUs .. 911<:1 C()I111111JI1ity tll:la<:Js

EMA

Evaluation of RAP, processes and methodolo ies

RIC, DP reps, EMA, PIU, PIU &/or its RS & EMA reps of relevant NGO & PO

72

Type of Loss Application

1. Arable Land Actual area needed by the project and the remaining land is still economically viable

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

Annex RCF-1 COMPENSATION TABLE

Paae 1 of 5 Entitled Person Compensation I Entitlement

Category A - Owners with full For the portion of land needed: title, tax declaration or who • Cash compensation at replacement cost for the land as determined by a licensed are covered by customary independent appraiser using internationally recognized valuation standards law (e.g. Possessor's rights, • Subject to the provisions set forth in Section 5 of RA 8974. usufruct) or other acceptable • Cash compensation for perennials of commercial value as determined by the DENR or proof of ownership concerned appraisal committee.

. • . [)f=>lflill be gi1,1~11 ~llffi<::i~llt.ti'!l~J9 ~l:I'Y~~t <:;r9p~ 911 t~~ ~ll~i~<::tl.ancj_~ .....

Category B - DPs without For the portion of the land needed: title, tax declaration, or are • DP will be given time to harvest crops. not covered by customary • Cash compensation for perennials of commercial values as determined by DENR or law or other acceptable the concerned appraisal committee. proofs of ownership • Financial assistance to make up for land preparation, Php 150/m2

.

Category A • Cash compensation at replacement cost for the land as determined by a licensed independent appraiser using internationally recognized valuation standards, or, if feasible, 'land for land' will be provided (a new parcel of land with an equivalent productivity, located at an area acceptable to the DP & with long-term security of tenure.

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

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

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

Category B • Financial assistance equivalent to the average annual gross harvest for the past 3 years but not less than Php 15,000.

• DP will be given sufficient time to harvest croQs.

73

-- ---- - - - - - - ->=}-- -- -

Tvpeofloss APPlication Entitled Person Compensation I Entitlement

• Cash compensation for perennials of commercial value as determined by DENR or concerned appraisal committee . Financial assistance to make up for land preparation, Php 150/m2

. . If relocating, DP to be provided free transportation . . Rehabilitation assistance, Php 15,000, will be provided in coordination with other government agencies if present means of livelihood is no longer viable & DP will have

.......... ...... ........ tq E:Jf1gagE:J if1 e~r1e'IVif1c:::()rnE:l e~c:::thtiJY· .

Category C - Agricultural As per RA 6389 and EO 1035 lessees . Disturbance compensation equivalent to 5 times the average gross harvest on land

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

Temporary use of land All DPs • Compensation to be provided for loss of income during the period, standing crops, cost of soil restoration & damaged structures.

2. Residential Actual area needed by the Category A For the portion of the land needed: land &/or project and the remaining • Cash compensation at replacement cost for land as determined by a licensed Commercial land is still viable for independent appraiser using internationally recognized valuation standards. land continued use • Subject to the provisions set forth in Section 5 of RA 8974.

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

Remaining residential or Category A • Cash compensation at replacement cost for and as determined by a licensed commercial land becomes independent appraiser using internationally recognized valuation standards. not viable for continued use • Subject to the provisions set forth in Section 5 of RA 8974, or if feasible, 'land for land'

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

• Cash compensation for perennials of commercial value as determined by the DENR of concerned appraisal committee. . If relocating, DP to be provided free transportation

74

--- - - -~- - -- -Type of loss APPlication Entitled Person Compen$ation I Entitlement

Temporary use of land All DPs • Compensation to be provided for loss of income during the period, standing crops, cost of soil restoration and damaged structures.

3. Main Structure with or without a Owners of structure with full • Compensation in cash for affected portion of the structure including the cost of structures building permit, partially title or tax declaration to the restoring the remaining structure as determined by the concerned appraisal committee (e.g. house, affected and the remaining land or those who are with no deduction for salvaged building materials. shops etc) structure is still viable for covered by customary law • DPs that have business affected due to partial impact on the structure are entitled to a

continued use. subsistence allowance for the loss of income during the reconstruction period. (to be ................... ....... (;()rT1PIJJ€l9J?Y. RIG} .

Owners of structures, • Compensation in cash for affected portion of the structure including the cost of including shanty dwellers in restoring the remaining structure as determined by the concerned appraisal committee urban areas, have no title or with no deduction for salvaged building materials. tax declaration to the land or • Shanty dwellers in urban areas opting to go back to their place of origin or to be shifted other acceptable proof of to government relocation sites will be provided free transportation. ownership. . DPs that have business affected due to partial impact on the structure are entitled to a

subsistence allowance for the loss of income during the reconstruction period. (to be computed by the RIC).

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

Renters of structures • Given 1 month notice on the schedule of demolition. including renters of shanty • If shifting is required, DP is given transitional allowance equivalent to 3 months rent of dwellings in urban areas a similar structure within the area.

• For house tenants renting outside of, or within the ROW, and who have to transfer elsewhere, free transportation will be provided. . Renting shanty dwellers in urban areas who opt to go back to their place of origin in the province or be shifted to government relocation sites will also be provided free transportation.

Entire structure affected or Owners of structures with full • Compensation in cash for the entire structure at replacement cost as determined by the when remaining structure title or tax declaration to the concerned appraisal committee without deduction for salvaged building materials. becomes not viable for land or those who are • Inconvenience allowance of Php 10,000 per DP . continued use with or covered by customary law. without a building permit

------

75

- u- . -· -

Tvpeofloss Application Entitled Person Compensation I Entitlement • DPs that have business affected due to the severe impact on the structure are entitled

to a subsistence allowance for the loss of income during the reconstruction period. To i be verified and computed by the RIC.

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

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

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

..... . . ...... . l:;c:t1Yc:tgl3a~11311Jc:ttl3ric:t1.s ..

Renters of structures • Given 1 month notice on the schedule of demolition. including renters of shanty . If shifting is required, DP is given transitional allowance equivalent to 3 months rent of dwellings in urban areas a similar structure within the area.

• For house tenants renting outside of, or within the ROW, and who have to transfer elsewhere, free transportation will be provided.

• Renting shanty dwellers in urban areas who opt to go back to their place of origin in the province or be shifted to government relocation sites will also be provided free transportation.

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

4. Independent Shops with or without Owners of structure with or • Compensation is cash for affected portion of the structure, including the cost of shops building permit, partially without full title of tax restoring the remaining structure as determined by the concerned appraisal committee

affected and the remaining declaration to the land or with no deduction to salvaged building materials. structures are still viable for those who are covered by • As determined by the RIC, DPs will be entitled to transitional allowance to cover for continued use. customary law. their computed income loss during the demolition and reconstruction of their shops, but

...................... .. . .. ll()t .to 13)((;1313<:1 c:t m()l1~~ perigcj~

Renters (tenants) of affected • As determined by the RIC, shop renters will be entitled to a transitional allowance to shops cover for their computed income loss during the period that their business is

interru[>ted.

76

-- - - - - --~- - - -

Type of Loss Application Entitled Person Compensation I Entitlement

Entire shop affected or when Owners of structure with or • Compensation in cash for the entire structure at replacement cost as determined by the the remaining structure without full title of tax concerned appraisal committee without deduction for salvaged building materials. becomes not viable for declaration to the land or • Subsistence allowance of Php 15,000 to each DP. continued use with or those who are covered by • Free transportation if relocating without building permit customary law. • Rehabilitation assistance in the form of skills training and other development activities

and equivalent to Php 15,000 will be provided in coordination with other government agencies if the present means of livelihood is no longer viable and DP will have to engage in a new income activity. . Professional squatter will not receive any compensation but they can collect their

..... . . !>CIIYCI9~Cit:ll~ '!'CiteriCII!> ..

Renters (tenants) of affected • Given 3 months notice on the schedule of demolition shops • As determined by the RIC, shop renters will be entitled to a transitional allowance to

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

5. Other fixed Loss of, or damage to, DPs • Cash compensation for affected portion of structure including cost of restoring assets or affected assets, partially or remaining structure, as determined by the concerned appraisal committee, with no structures entirely depreciation or deduction for salvaQed buildinQ materials.

6. Electric and/ Loss of, or damage to, DPs • Compensation to cover cost of restoring the facilities or water affected assets, partially or connection entirely,

7. Public Loss of, or damage to, Concerned agencies • Compensation in cash at replacement cost to respective agencies facilities public infrastructure

77

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

The Independent Appraiser will play a key role during the Land Acquisition Assessment process. It will be hired by the Subproject Proponent. Criteria for selecting the appropriate agency shall be based on competence, experience and general advocacy of the group. The selection process will undergo the usual procurement procedures.

The licensed independent appraiser should use internationally recognized valuation standards to assess replacement cost and cash compensation for affected lands. More specifically, the Independent Appraiser may be tasked to perform any of the following:

1. Inspection and identification of the property: • Conduct title plotting to determine the configuration of the property and if there are

any discrepancies from the technical description of the title • Survey of immediate neighborhood for present conditions and improvements • Title Verification • Owner Verification • Background information

2. · Right-of-Way verification

3. Zonal classification of land

4. Zonal valuation for the area

5. Preparation of appraisal report to include the following: • Summary of property valuation • Complete description and details of the property • Photographs of subject property • Location and vicinity plan

78

Annex RCF-3 ELEMENTS OF A FULL RESETTLEMENT PLAN1

The scope and level of detail of a Resettlement Plan (RP) vary with the magnitude and complexity of resettlement. The RP is based on up-to-date and reliable information about the:

• Proposed resettlement and its impacts on the displaced persons and other adversely affected groups; and

• Legal issues involved in resettlement.

A full RP covers the elements below, as relevant. When any element is not relevant to project circumstances, it should be noted in the RP.

Elements of a Full Resettlement Plan Page 1 of 3

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

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

implementation

C. Objectives Main objectives of the resettlement program

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

- current occupants (with gender and age disaggregation) of affected area to establish basis for design of resettlement program & to exclude subsequent inflows of people from eligibility for compensation & resettlement assistance

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

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

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

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

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

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

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

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

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

Para. 2-21, Annex A of OP 4.12

79

Elements of a Full Resettlement Plan (continued) Page 2 of3

E. Legal Framework Findings of an analysis of the legal framework, covering: • Scope of the power of eminent domain & nature of compensation associated with it, in terms of both

valuation methodology & timing of payment • Applicable legal & administrative procedures, including a description of remedies available to DPs in

the judicial process & the normal timeframe for such procedures, & any available alternative dispute resolution mechanisms that may be relevant to resettlement under the subproject

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

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

& the mechanisms to bridge such gaps • Any legal steps necessary to ensure the effective implementation of resettlement activities under the

subproject, including, as appropriate, a process for recognizing claims to legal rights to land--including claims that derive from customary law & traditional usage (WB OP 4.12, para.15 b)

F. Institutional Framework Findings of an analysis of the institutional framework covering the ff: • Identification of agencies responsible for resettlement activities & NGOs that may have a role in

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

resettlement implementation.

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

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

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

J. Site Selection, Site Preparation, and Relocation Alternative relocation sites considered and explanation of those selected, covering: • Institutional & technical arrangements for identifying & preparing relocation sites, whether rural or

urban, for which a combination of productive potential, locational advantages, & other factors is at least comparable to the advantages of the old sites, with an estimate of the time needed to acquire & transfer land & ancillary resources

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

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

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

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Elements of a Full Resettlement Plan (continued) Page 3 of3

M. Community Participation Involvement of resettlers & host communities, including: • Description of strategy for consultation with & participation of resettlers & hosts in design &

implementation of resettlement activities • Summary of views expressed & how these were taken into account in preparing the RP • Review of resettlement alternatives presented & choices made by DPs regarding options available to

them, including choices related to forms of compensation & resettlement assistance, to relocating as individuals, families or as parts of pre-existing communities or kinship groups, to sustaining existing patterns of group organization, & to retaining access to cultural property (e.g. places of worship, pilgrimage centers, cemeteries)

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

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

resettlers • Arrangements for addressing any conflict that may arise between resetlers & host communities • Any measures necessary to augment services (e.g., education, water, health, & production services)

in host communities to make them at least comparable to services available to resettlers

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

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

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

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

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

81

Annex RCF-4 ELEMENTS OF AN ABBREVIATED RESETTLEMENT PLAN2

An abbreviated plan covers the following minimum elements:

A. Census survey of displaced persons and valuation of assets

B. Description of compensation and assistance

C. Consultations with displaced people about acceptable alternatives

D. Institutional responsibility for implementation and procedures for grievance redress

E. Arrangements for monitoring and implementation

F. Timetable and budget

2 Para. 22, Annex A of OP 4.12

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

A. Introduction

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

1. Review and verify all existing data, data bases and information systems including census of families to be relocated; the data files for each relocated family and their entitlements, the census of families completed post relocation, and the Project Management Office data base on affected families.

2. Verify the results of internal monitoring being carried out and any other agencies involved in implementing the RAP and providing entitlements to DPs, and suggest improvement to those systems.

3. Assess whether the resettlement objectives, as set out in the RAP, have been met, with respect to living conditions and livelihood.

4. Ascertain whether the resettlement entitlements were appropriate to meeting the objectives of the RAP, and whether the objectives were suited to affected families' conditions.

5. Obtain data and assess the social impacts of resettlement (before and after conditions) and the effectiveness, impact and sustainability of the resettlement process in social terms.

6. Review the viability of housing schemes for DP's affordability to meet costs. Obtain data and assess the economic impacts of resettlement, including environmental cosUbenefit analysis, and the effectiveness, impact and sustainability of the resettlement process in economic terms.

7. Review systems for management and financial monitoring of the RAP, audit internal management data relating to the RAP and recommended improvements.

8. Make recommendations regarding the implementation of the RAP and draw lessons as a guide to future resettlement policy making and planning.

9. Prepare and agree with PMO on a detailed work program that includes meetings, reports and schedules.

10. Confirms if DPs maintained their standard of living.

11. Review the absorptive capacity of relocation sites.

12. Identify total number of households that are entitled to benefits and determine if they are receiving entitlements.

13. Disaggregate data by gender and age to determine gender intergenerational impacts.

83

B. Methodology

Data Base Establishment

The implementing agency is developing a system for recording information about settler families and their entitlements. This database will be used to record basic information, determine whether affected persons are relocated to secure and affordable socialized formal housing sector; the receipt of entitlements under the RAP; whether livelihood and living standards have been restored or enhanced or not; and that an orderly and peaceful relocation of informal households has taken place. The data will include benefit monitoring and evaluation indicators.

Quantitative data from the annual survey will be analyzed and interpreted in conjunction with data obtained during quarterly monitoring including qualitative data.

C. Ex-post Survey and Evaluation

The EMA will conduct one ex-post evaluation survey, at least one year after relocation. This evaluation will assess the achievement of the resettlement objective, the change in living standards and livelihood and progress in the restoration of the economic and social base of relocated families.

D. Sampling Size

The EMA shall develop a methodology approved by the Project Proponent and Implementing Agency to determine appropriate sample size to ensure coverage of all relocation I resettlement sites. Data will be disaggregated by gender.

E. Expertise Required

Expertise required will include:

• A sociologist I resettlement specialist with expertise in all areas of social research methodology, including consultation techniques and large-scale survey design and implementation, and a thorough understanding of issues of urban poverty. This person will be likely to act as team leader.

• An economist • A financial monitoring specialist • A database specialist • A community development specialist

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

84

F. Reporting

The EMA will provide copies of comprehensive monitoring reports together with recommendations to improve implementation of the RAP to the Project Proponent and Implementing Agency one week after the above stated reports are due.

The EMA will set up a gender-disaggregated database for monitoring and evaluation building upon the pre- and post-relocation census data and the project's internal record-keeping system. This will be done as early as possible.

The database will be used to measure the impact of relocation, and change at the resettlement sites post relocation as the intended social and economic development takes place including appropriate benefit indicators. The database will also be used to monitor the receipt of entitlements by affected families and verify that the application of entitlements is appropriate and conforms to the RAP.

G. Quarterly Monitoring

The EMA will conduct quarterly monitoring for as long as relocation activities are in progress. This is to ensure that conditions for resettlement as contained in the RAP are being followed and to verify the results of internal monitoring and the receipt of the entitlements. Specifically, quarterly monitoring will examine the resettlement budget and time frame, the entitlements provided, consultation with affected people and stakeholders and the application of grievance redress mechanisms. This ongoing monitoring will also assess broader social and economic impacts and benefits. It will specifically address issues and needs of both relocated families and families yet to relocate, including a commentary on the rate of relocation and implementation of the RAP.

Information required will be obtained from the internal monitoring database, including information from entitlement files of families receiving assistance, reports from the site management offices, and participatory rapid appraisal to allow wide public participation including focus group discussions and key informant interviews. In addition to DPs, respondents should include POs, NGOs, PIU, concerned LGUs (host and affected) and staff of the other implementing agencies.

H. Annual Survey

The EMA is required to undertake an annual, sample survey of the relocated families, which will be undertaken in conjunction with every fourth quarter monitoring. This survey will be independent from the census to be undertaken by the Project Proponent and Implementing agency. The EMA's survey will compare "before and after" social and economic conditions and reassess the needs of resettled families.

85

Chapter 3 INDIGENOUS PEOPLES FRAMEWORK

Contents

1.0 BACKGROUND 2.0 OBJECTIVES 3.0 DEFINITION OF INDIGENOUS PEOPLES 4.0 SOCIAL ASSESSMENT AND NEED FOR IP PLANS 5.0 LEGAL AND INSTITUTIONAL GUIDELINES 6.0 GUIDING PRINCIPLES 7.0 PARTNERSHIP-BUILDING WITH LGUS AND IP INSTITUTIONS 8.0 USE OF APPROPRIATE COMMUNICATION MEDIA, STRATEGIES AND TACTICS

FOR IP MOBILIZATION 9.0 PARTICIPATION IN DEVELOPMENT, MONITORING AND EVALUATION OF

MITIGATION MEASURES 10.0 COORDINATION, SUPERVISION AND MONITORING 11.0 GRIEVANCE AND REDRESS MECHANISM

ANNEXES IPF-1 Elements of an Indigenous Peoples Plan IPF -2 Revised Guidelines on Free and Prior Informed Consent (FPIC) and Related

Processes of 2012

86

1. Background

S2LDIP is a World Bank funded re-lending facility being implemented by the Land Bank of the Philippines (LBP) with the objective of improving local public service provision and management by facilitating LGU access to viable financing to implement strategic infrastructure investments. The Project will also finance revenue improvement and enhancement programs for LGUs including fiscal and management improvements to ensure financial sustainability. To be eligible for funding, the investment sub-projects should be included in the LGU's Annual Investment Plan or should be part of a long-term development strategy prepared by the LGUs.

S2LDIP is a demand-driven project and in cases where indigenous peoples (IPs) are affected during project implementation, there is a need to protect their rights. To ensure that indigenous peoples communities are present, the Project should deliberately seek their genuine involvement in subproject decision-making. These Procedural Guidelines seek to ensure that affected Indigenous Peoples communities are informed, meaningfully consulted and mobilized to participate in the planning, implementation and monitoring of subprojects to be supported by S2LDIP. The Guidelines support the priority given to Indigenous Peoples by the Government of the Philippines (Republic Act 8371-lndigenous Peoples Rights Acts Law), the United Nations Concept of Native Title, and the World Bank's Operational Directive 4.10 (Indigenous Peoples)

2. Objectives

The Indigenous Peoples Framework (IPF) seeks to ensure that where indigenous peoples are found as a community within the areas affected by program intervention, they are informed, meaningfully consulted and mobilized to participate in the project decision-making. By doing so, the following specific objectives are expected to be met:

a) Positive effects to their cultural communities shall be enhanced; b) Potentially adverse effects on their communities shall be avoided whenever feasible; c) Unavoidable adverse effects shall be minimized, mitigated or compensated, and d) Benefits for IPs are received with more certainty and that project design is culturally

appropriate and gender and inter generationally inclusive.

3. Definition of Indigenous Peoples

"Indigenous Peoples" will be used to refer to cultural communities, tribal groups that can be identified in particular geographical areas by their presence in varying degrees of the following characteristics:

• Self identification as member of a distinct indigenous cultural group and recognition of this identity by others;

• Collective attachment to geographically distinct habitats or ancestral territories in the project area;

• Customary cultural, economic, social or political institutions that are separate from those of the dominant society; and

• An indigenous language, often different from the official language of the country or region.

4. Social Assessment and Need for IP Plans.

87

As the Project is demand-driven, a Social Impact Assessment (SIA) will be conducted once the subproject is enrolled under S2LDIP to determine if there are project-affected population, land acquisition and asset loss/es that may result from the subproject's implementation.

Since there could be a possibility of IP communities that can get positively or negatively affected during project implementation, this Framework is provided to ensure that potential impacts on the cultural way of life among IP communities are avoided or mitigated if effects are negative, and that positive impacts are maximized by ensuring that they are culturally appropriate.

IP Plans shall be formulated and guided by this Framework to help ensure the meaningful participation of the affected IP community. It shall also document the incorporation of social assessment to help ensure cultural appropriateness of project benefits and how these may be better accessed by IPs. Also, it will incorporate measures to avoid, mitigate and/or compensate for adverse impacts.

5. Legal and Institutional Guidelines

The Philippines is recognized for its progressive policy and legal support for Indigenous Peoples rights. It has supported various international agreements and conventions to protect the rights and culture of IPs, among them: Declaration on the Rights of Persons Belonging to National or Ethnic, Religious and Linguistic Minorities; United Nations Draft Universal Declaration on the Rights of Indigenous Peoples.

The 1987 Constitution, laid the foundation for the recognition of the rights of the IPs to their ancestral domains and their power of dominion over their lands and resources. Among its pertinent provisions are:

a) Section 17, Art. XIV: "customary laws governing property rights or relations shall be applied in determining the ownership and extent of ancestral domains; and

b) Section 22, Art. II, Section 5, Art. XII: " ... the rights of indigenous peoples to natural resources pertaining to their lands shall be specially safeguarded ... " These rights include the right of the IPs to participate in the use, management and conservation of natural resources.

c) The right to stay in their territory and not be removed from there except when relocation is necessary as an exceptional measure, as in the case of an ecological disaster or armed conflict. IPs have a right to return to their territories once the ground for relocation ceases.

Congress passed Republic Act No. 8371, the Indigenous Peoples Rights Act of 1997. The law states certain requirements in activities and programs affecting Indigenous Peoples. Some relevant provisions include:

a) Chapter Ill, Section 7b: " ... IPs have the right to an informed and intelligent participation in the formation and implementation of any project, government or private that will impact on their ancestral domain ... "

b) Chapter IV, Section 16: " ... IPs have the right to participate in decision-making, in all matters which may affect their rights, lives and destinies, through procedures determined by them as well as to maintain and develop their own indigenous political structures ... "

Under this law, IPs are vested with the right to self-governance and empowerment. This is operationalized through the mechanism of Free and Prior Informed Consent (FPIC). The NCIP is mandated to ensure that IP rights and concerns are protected and advanced in projects proposed that affect their ancestral domains.

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Pursuant to Section 80 of the IPRA law, some relevant implementing rules and regulations are used for guidance:

a) Right to Stay in Territories and Not to be Displaced Therefrom (Rule 3, Part II Sec.4 (a,b, c) . The rights of ICCs/IPs to stay in their territories shall remain inviolate. No ICCs/IPs shall be relocated without their free and prior informed consent or through any means other than eminent domain.

b) All persons or entities allowed under the Act to participate in land development, utilization, exploitation, and extraction of natural resources, and government offices or agencies allowed to undertake or implement infrastructure projects within ancestral lands/domains, shall submit to the NCIP, through the concerned Regional Office, a culture-sensitive Environmental Conservation and Protection Program (ECPP) stating in detail the environmental impact of such activities or projects proposed, control and rehabilitation measures and financial resource allocations therefore, implementation schedules, compliance guarantees and evaluation and monitoring schemes (Rule 3,Part II Sec 6 (b).

c) Rule 4, Part 3, Sec 7 (a, b, c), Development and Cultural Activities Subject to Free and Prior Informed Consent (FPIC). Policies, programs, projects, plans and activities in ancestral domains subject to free and prior informed consent shall include but not be limited to the following

• Exploration, development, exploitation and utilization of natural resources within ancestral domains/lands;

• Research in indigenous knowledge, systems and practices related to agriculture, forestry, watershed and resource management systems;

• Displacement and Relocation

e) NCIP AO #3 Series of 2012 Revised Guidelines on Free and Prior Informed Consent and Related Processes. Of particular interest in this issuance are 1) recognition of the possibility of and the need to guarantee protection of displaced and relocated IPs (Section 2, Objective g); 2) a more liberal procedure for getting FPIC for non extractive projects (Section 24); and 3) requiring validation procedure instead of FPIC requirements for foreign funded projects undertaken in cooperation with NCIP (section 41), and 4) dispensing with FPIC requirements for emergency projects.

6. Guiding Principles

a) S2LDIP shall ensure that poor communities of Indigenous Peoples are given dedicated consultation and decision-making processes, especially when subprojects pose potential adverse impacts to them as a community. The Project must assure that IPs do not suffer adverse effects during and after project implementation as well as receive culturally compatible social and economic benefits.

b) LGUs must ensure at all times that development processes implemented by the Project foster full respect for the Indigenous Peoples' dignity, human rights and cultural uniqueness.

c) Consensus of all IP members affected must be determined in accordance with their respective laws and practices, free from any external manipulation, interference and

89

coercion, and obtained after fully disclosing the intent and scope of the sub-project activity, in a language and process understandable to the community. The conduct of field-based investigation and the process of obtaining the Free and Prior Informed Consent (FPIC) shall take into consideration the primary and customary practices of consensus-building, and shall conform to Section 14 (Mandatory Activities for Free and Prior Informed Consent) of NCIP Administrative Order No.3, series of 2002, and A.O. #3 Series of 2012 (Revised Guidelines on FPIC and related processes).

d) S2LDIP must ensure that none of its infrastructure or related projects will damage nonreplicable cultural property. In cases where infrastructure projects (i.e. roads, irrigation, etc.) will pass through sites considered as cultural properties of the IPs, S2LDIP must exert its best effort to relocate or redesign the projects, so that these sites can be preserved and remain intact in situ.

e) The Indigenous Peoples should be consulted to ensure that their rights are not violated and that they be compensated for the use of any part of their domain in a manner that is acceptable to the tribe. The compensation for affected land and assets will follow the Resettlement Compensation Framework prepared by the Project.

f) In the event that a subproject involves land acquisition or use of other resources which may adversely affect Indigenous Peoples, S2LDIP shall:

• Require that the agreed upon policy framework for compensation for land and other asset acquisition be followed;

• Not to allow work to start on the subproject unless the documentation of the consultations and the corresponding agreements are submitted; and

• Not to allow work to start on the subproject until compensation and/or other required rituals have been completed to the satisfaction of the indigenous tribes affected (and the same should likewise be documented).

7. Partnership-Building with LGUs and IP Institutions

S2LDIP will facilitate the productive partnerships between the local government, IP communities (as represented by their tribal councils), and National Commission on Indigenous Peoples (NCIP) whether these are found at the community, barangay, municipal or ancestral domain levels.

8. Use of Appropriate Communication Media, Strategies and Tactics for IP Mobilization

a) Presentation meetings must be conducted in the local or native language. In addition, facilitators must use simple and uncomplicated process flows during these interactions with IPs. Local patterns of social organization, religious beliefs and resource use must be reckoned with in the process of preparing any development response affecting the IPs.

b) Adherence by Project lmplementers and Subproject Proponents to Documentation of Interactions with IP Communities and Compliance to Agreements Made. Project implementers must adhere to the requirements for documentation of meetings conducted with IP communities, especially those which pertain to acquisition by subproject proponents of the Free and Prior Informed Consent of IPs. The Executing Agencies, together with the provincial, municipal and barangay LGUs shall not proceed with subproject implementation unless the corresponding documentation of meetings with the IP communities are submitted to S2LDIP-PMO and have been reviewed and evaluated.

9. Participation in Development, Monitoring and Evaluation of Mitigation Measures

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a) Where sub-projects pose potential adverse impacts on the environment and the socio-economic-cultural-political lives of these IP communities, IPs must be informed of such impacts and their rights to compensation. Compensation for land and other assets to be acquired will follow the Project's Resettlement and Compensation Framework.

b) Should IPs grant their approval for such subprojects with adverse impacts, Executing Agencies must ensure that affected IP communities must be part of the development of action plans to ensure their involvement in the implementation, monitoring and evaluation of mitigation measures agreed upon.

c) Should potential effects be positive or beneficial to the IPs, specific plans shall be made to ensure that benefits are enhanced by ensuring its cultural responsiveness.

d) Project implementers must adhere to the requirements for documentation of meetings conducted with IP communities, especially those which pertain to acquisition by subproject proponents of the Free and Prior Informed Consent of IPs. The Executing Agencies, together with the Provincial, municipal and barangay LGUs shall not proceed with subproject implementation, unless the corresponding documentation of meetings with the IP communities are submitted to S2LDIP-PMO and have been reviewed and evaluated.

10. Coordination, Supervision and Monitoring:

a) The barangay or municipal tribal council will be the liaison between the subproject's Project Implementation Unit (PIU) in all activities relating to the S2LDIP

b) Supervision meetings/visits of project or subproject activities will be done periodically (frequency to be established during project implementation) by the Executing Agencies through their representatives, who will involve the local IP representatives in these meetings/visits. Documentation of such visits/meetings must be furnished to the nearest service center of the NCIP, or its Provincial or Regional Office. The respective Focal Persons will monitor or help facilitate required follow-up actions to ensure that subprojects benefit the IPs according to the agreements made, and that compensation or mitigation measures as documented are completed on time.

c) Supportive Monitoring will be done regularly, involving affected IP communities and NCIP representatives, with emphasis on the following concerns: benefits received by Ips and resolution of issues lodged by them.

11. Grievance and Redress Mechanism

The focal person shall be the Program Officer of SSLDIP as designated by Lending Programs Management Group (LPMG) of LANDBANK whose address and contact numbers are as follows:

The Program Officer Support for Strategic Local Development & Investment Project Programs Management Department - II 2ih floor, LANDBANK Plaza, 1598 M.H. del Pilar corner Dr. J. Quintos Sts. Malate, Manila 1004 Tel Nos: 522-00001ocal7198 E-mail address: [email protected]

There are three levels of issue resolution and these are:

a) Barangay Level: All complaints shall be discussed and negotiations must be carried out in the specific communities where affected indigenous peoples live. The barangay and the tribal council concerned should facilitate this process and the PIU must ensure that affected IPs are properly represented. Resolution of conflicts should be encouraged at the lowest possible level, thru the facilitation of Municipal and Community Tribal Councils.

91

Such meetings and interactions with affected IP households/communities must be documented and distributed to relevant stakeholders

b) Regional Level: if not resolved, this will be elevated to the Regional NCIP for resolution

c) Central NCIP- Should the IP community still find the decisions rendered at the regional level unacceptable, they can elevate the issue to the central level office of the National Commission on Indigenous Peoples. The NCIP shall be tasked to coordinate with the subproject's PIU to ensure that the issue is resolved to the best interest of the affected IP community.

Documentation of complaints and its resolution shall be properly done and its summary shall be part of the regular monitoring of the project.

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Annex IPF-1 ELEMENTS OF AN INDIGENOUS PEOPLES PLAN

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

The IPP includes the following elements, as needed:

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

a. A review, on a scale appropriate to the project, of the legal and institutional framework applicable to Indigenous Peoples; and

b. Gathering of baseline information on the demographic, social, cultural, and political characteristics of the affected Indigenous Peoples' communities, the land and territories that they have traditionally owned or customarily used or occupied, and the natural resources on which they depend.

2. A summary of the social assessment.

3. A summary of results of the free, prior, and informed consultation with the affected IPs' communities that was carried out during subproject preparation and that led to broad community support for the subproject.

4. A framework for ensuring free, prior, and informed consultation with the affected IPs' communities during subproject implementation (Section 9 of this Framework).

5. An action plan of measures to ensure that the IPs receive social and economic benefits that are culturally appropriate, including, if necessary, measures to enhance the capacity of the LGU.

6. When potential adverse effects on Indigenous Peoples are identified, an appropriate action plan of measures to avoid, minimize, mitigate, or compensate for these adverse effects.

7. The cost estimates and financing plan for the IPP.

8. Accessible and culturally appropriate procedures tailored to the project to address grievances by the affected Indigenous Peoples' communities arising from project implementation. When designing the grievance procedures, the borrower takes into account the availability of judicial recourse and customary dispute settlement mechanisms among the Indigenous Peoples.

9. Mechanisms and benchmarks appropriate to the project for monitoring, evaluating, and reporting on the implementation of the IPP. The monitoring and evaluation mechanisms should include arrangements for the free, prior, and informed consultation with the affected Indigenous Peoples' communities.

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IPF - 2: Revised Guidelines on Free and Prior Informed Concent (FPIC) and Related Processes of 2012

~~t'!JU!J(i( o( t~r ~t:ll)l!iWH!H'l\

OFT iCE OF TH.l2 pp.J_:sm':·:N''

r\A riONAL COI'lMlSSION ON I~Dr.c;-~:N()US PEOPL~~~s 2nd Floor N. oe:a Merced Bldg., Corner W0S1 & O•.!t:ZL''I fwer!UeS QueZ'}(l (;i'y

lui. Nos. J/3-%34 • 373<1578 ' 373-9657 relufax. J/3-!1765 IAr'WW.nCip.goV.Ji!l • rfJSOUlCt@:ldp.fJ(tV p!l

-------------------------·--------------

NCil~ fi~dtn.in.istrative Order /\to. 3 Serks of 2012

'::'l'dE R.~V~SB.'O GUX!.'.EU1'lES ON .F~EE A.:V.D 0 ?9:IOR lNFOPJY.~gry CONSENT f!<'PXC) AND J:v:£J .. A?.'l'~D P9.0CESS.8S OF 2012

Pursuan· to Sections L/<,' (111), --Ui(u), 57, Si:!, D'J, and 7 of/-{./\. :·-L<i}. otherwise~ Jcnown us the Jndi9cnnus Peoples other rdated provtswns, the j(,lfo!Vilu 1 prom•J!yuted in. lieu oi NC!P ll.dministmtiuc 200(J, w: fo!lows:

"PART~

r..:iyl!ls Act r~r 1 'Jl!l, r•nr! yuirlclines we: licrciJ!f Order No. 0 I, Scric:.; of

J?RET . ...f.N:'.!N ARY .?.RO•Y.l.S~O~t~~

Section 1.. Title. This Guide:1ncs sh<t!.! be krrown as "The !--:evised C~J;(1 (' 1 in!'s on tl;e l~xercist' of F··ee ac1d Pt·ior I1~furmcd Co•Jscn' WP:C) ;~nd 1-i:c.':J~cd :>1 ('c.·c::;:;•·c;·

SecU.on 2. O!:>jecHves.

a. EnsurC' genume exerc1se by ledige•wus Cu!tnra1 Communitics/liHlit<,t'nm•s People' (ICCs/lPs) of their r'ght to '<'rcc <uhl Prior lnfonTlcd Consent (FPlC). whene\u· app1ica'Jle;

1J. Prolecl lhc rights of H.'Csj:Ps in Lhc intto,_luctiun a!J.(l ;,,np 1 r-ml~nlalioP ~> 1

plans, ·)rogrums, projects, wfvit~e; and o 1J~cr unclerta_k;.ngs L':wt will Diku lhem <'Ild their <UJce~/''Hl c'owoiJ•S ~o el't•tUe thei.r eco•1(H1';.c, S(>Ci<t 1 <Jllu

cultural well-being;

c. Provide, and ensure comp!im.,ce with t 11e CJroceclure anc! l'1c s•"aJH1<1Hh; in the conthtcl of l'ield-Bascd l!•vestit;utJOn IFJ'-':I; ;:mc1 FP!C process, pc>yment o!· fees, ccmpcnsation for dDJ11al-~cs, executio~1 of !\'lemonmc!vm of 1\grecrncnt-;. observr nee of corporate sociu1 respousibi!i•._y; ;md im posit iot 1 ('f SiH1t~t ions r,,.. the commission o~· proll!bitcd 8ds <•rH:! OP1issio•1s as lJcrcinancr provl(1t·d;

d. Ensure just and cqnit::~ble pa1·1.1h.:rs'1ip in CIWironmenla! JD[tDagc."nent. land usc, clt-velo;:H11enl_ £md reso•.u-ce use within ~mcestral clon1ains as well as benefil shuring, between ond a.mong tb•:: concerned lCCsjl!'s ;mel 1lJC prospc( Live investor, government ageu~y. local government ltt1it (LCiU\. nongovernnent c,rg<miza tion (l\JClO\ 8'1d <>LlJC!. en tit ics de::-.iri n g to en g<-·ge or coll.;Jbo· ate \n such lmc!crt<:J,jng:

e. Ensure that when orionty ~·igllt 1 o dcVt·lonm.ent aud 1Wl1zation o: n.-11 u r.1 I resour._:es is validly cxc··cisec! by tl1e ICCs/JPs, tbc snme s11c,!l be va 1;clatcc1 in <~cccorc'ance wit~1 the spirit <cmd princip'r:·s uf FPIC;

f. Ensure that ~my bcnelit derived after the gmn! of FPJC or as Ei!l exercise of priority rights shall be mc~.:naged u_nt~ used Properly by, for and witl1 t!w conccr 1ed comn1uni.ty not forgeUing !nler-t',erv-rntional ol.Jligations: and 1r-., /i'' •

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Sectic.>n 3. Declarai:i.on of ?oHcy.

a) The FFlC actualizes and strcngllW''S tl1t: t·xcrcisc by JCCsjl!'s uf tl,c:it rights ~o /\nccstral. Dumains, Soci<.•! ,Jw;ti,:e and HLw1an l~ig)lt~;. SellGovern mce and Empo,vcrmen!, DJ'I~ Cu'tt.~n)J lntcgrit~';

1:) The ri~'H of lCC:o;j1Ps !o tllc m~uwgeuh:l"l, c\·,·eJ.up'ncnt, '.l::;•c' at,c~ U!:lizn!i0'1 \ · nf tbf:it· lnnd and resources withit1 their cv. P <l!JL:cstr,d (1om<titJS s1wl 1 be·

t~ivc:t u nwst regard;

c) No corL:cssio'1, Ecensc, permit or k<.1se, tJIOcluclion·shdling agru:trJct•.1, or other u ndcrta~{ings affecting ::'ncest' a' clon:w.ins s]·,aJl be !sn' n!cd or rcncwec1

wit\t'Hl( going ~l,routjh 01t: p•oc(·s':3 1<ol(1• c1owt1 l.w 1mv <•.•ll 1 i his

Guiddi tes. (<:~3)

SecUo:n. t<,, OJ:'II!:rating P1.i:nc!.pl.es . .In (1,,~ it:t:>'c!:!Ct:l<:~'ion ol tl1is C•_.:,clc;i~.ws, the following operc.ttin;:·~ pri.nciplcs s;:1n1\ be obsc.•·vcd:

H. S1.n~O"~\·e~m.ct:}~ .. 'f'hc lt':(~~/lPs St\~~;~ rrc~-~~y nursue U1("ir Cl'(!!.~(l!lP~· ', n' 1 ii1

ancl cu:tur;od deve~upm.t~nt Lh,·oujc•.h thci:· :);\r1icipatic·n 'lJ cit''.;'~>tn!J-ma'.:_,!li.'·

(letcrnJinatio.H of priorilics, (}._~ \Vc 1 ! rt0 ~.!H' :);_·ac1 1.cc qf 1.f·Jr·)r ,in~~·i,·c ~·,_\:~ 1 ('P 1

::.;ncl pc< .cc·bl:ilding proces~;es.

b. Conscrls:~.s-guJ.ldtug anCI !Jec£s\on-.'\'~a.'k~!1g Process. Tl1e ICC/]~s sllal1 partici•)<ctk in !l:e clccision-rnnking pPJcT::>ses primarily through tlH:-iJ i.ndigenuus socio-political stn .. tc'.urcs. ·.:'hey shall ii!,twise c-1JTinn tltc deci:c-;icr s or !heir duly authorii:t~d reprt:s·.:n•.atives.

c. Peace-??.uiJd..~ng. The decision-JTinkinf!. or the lCCs/l!'s in the conduct uf tl1c

FPIC is ;t rncasurc to promo't~ l.lt:ace, hm mu.•Jy'. urHlersL<\Itdi.r!g, Ullity c:nc\ securit .. v.

d. Cu!ctu.n•~, X:ojJ~gr.ity. In the iwplcruenlc•tion ur o\)craJion ur pL:ms, progpom:..;, projects or activities in AllCest~,-~Ll Dorn<•iw;, due rcg:n·J must b.: given no" only to the physical eiJvironrnen' b:1l 'he 1..0\;-d. envirunmenl illclu(l.ipg !!It;

spiriluL>! and cultural bonds to Lbc :Jrc:at:;.

f'. ~lltcr-g~~:r\CX'~-~io.nal Responsib!,i.ty. rJ'~lC ir:t'jgenous C 1.d1Cepl c/ 0\\T)\.~rshi;) 0L1Stain~> U·H.: vjc\v thll~ c-Jnccstrn! f·'onH!;!1s c.11e cu!~Sll~t-:rcd ('OtnruuJ~~l\'

properly wl,[ch belong tu <..:~.! g<:ncnt•tolls : nd l.11ercforc L:c.trlllUL 1JI.: sole!. disposed or destroyed. TI1c \CCs/ !i's sh<tl.! "1ave priuritv 1igbts to liiil!l<Jgc and pn ·sue sustainable <.ual resDOJ:sil)),,· c'evt:'op 11Jcn' plans, 11rogmms, projects or activities wi~bin their a•.lccsu u: Llomau1.

f. Primacy of Custo•macy Y,.,aw. In tl.1c com1uct of FB.I, FIJ\C, and other processt·s provided 'Lmc.'e:r this Guic\eJ.ipcs, i1Jc1uding but not limited to dispute rcso1.utions in rclat·ioi'J thcrdo, lhc p1 iP1acy t•C customary lavv anc c!ccision·m<~king proccst>es as c.!cLc-··winet! L•\' the TCC's/]Ps sh~,11 ht· observed and adhcrecJ to.

g. Transl().?.:rcncy an~ Clar.Uy. Thr.:. proccs:>c:; under this Uuidc~11w·s s:J<IIJ !Jc transpa: t~nt l.o ;•ll stakeholders. ':'!1>.• app~icwJL sl.wll ma~.;e a fu]l :we! accurate discloSil'e oF information <'<.l'IU:r•1in~~ tl•e proposed prugram, prujt:cl or activity in n Jn<,ttner U•at i'> ''ol 1J ;•cccssiblc· <•Jl( U!Jck:•·st;,_r,r1ah!l' Lo the cr•nccrncd cumrnu•1ify.

h. Existinz Pro:?e.rty Regr.m:es. Exist:•!t', a:lc! /(, .. - \csr.ed ,·ig!tts ~;ha~! continue to be ret·ognized pursuaJ1t [<)Section ~~h c,t· \.A 8371 and its ImnJementlni', I) f..:ulcs ar d. J..:egu !ations. ., ~lr

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1. Ance1;tra! Dom.aY.n as a Si•lg~e Urd.l:. An i\nccsLntl Pumnui ~;'-w't lx recogni;;ed and tTeEtted as one m· tmcL!v;_~_\~d u nil.

Sccti.l'..>n 5. DeHriti1:>~.\ o:f T<e:rms. ln ozk'·!io!• to the terms <!r~~-n-_ec1 uu(!t·~ ll'i~/\

and its IRR. th,: 1<·;1uwi.ng arc de!incd thu~':

/

u. Ancest"''"J Dom.ar.n Susta3.n.a::.~e !)•.:ve~.ovment &, Prol::ccU.on Ph.1.~ (ADSD<~"P). Rekrs to the consolidahm of L}lc nlans of lCCsj!Ps w_i_tl!in w1 anceslral dorr1ain for the su.s'-~•.i1Hl')k IJJ;:tn<J~cmen t and clL·vdopnH:IIl o 1 t llc1 1 lan<1 a 1d nalurul resources as welt as the clcvelopmeJIL of ln~OlUJ' :tnd cu.Hur<·l resources basecl on their il'_(!if_~cnous lo.1ow'.cd1:'-'-' sys• __ e,]);; ;uJc'

pract ic·_:s.

b. 1\:rea Jl'~fecteo .. It refers to r~rca/s in Ute: ;,Jlc:•-~stral clon'~t~n wh1,:1 v:ii! 1_,,_.

overhlJpcd or affected by t!1c proposed. ~)'a.n, l)rugti:l_!I', pnncc\ L'r <!Clivi I:., ;t1clud;ng areas that will su~la:n e.ffecfs o•.- inqw.ct to be delcr!Pin·-~d h\ tlH-: FBI Team.

c. l3io-pn,spectf.ng. The rescprc]l, co''cc'.!or·. Utl(; ulili.wtion c,• IJ;<>l"t!.te;l 1 ;'''"

ge:.nct1c resources a11d substa!lCCS~ \VH~"" t'.1c \'i.t\V uf upp1_y,nl: tl'~· ~ ... 1 \(i\'\':c~..~L:t·

denvcd then"rr'Orn for medwinal, CCHJ!l"'H'l ,_:i<.tl and ol!Jc..- pw pu~.cs.

d. Certf..~•;2>.toe of Nc-n-!JvedL>.p (CNOI. J~ rdcJ.s ~o the CcrlJI-,cat(' 1ssuc:1l -'Y tht· NCI!-' '':testing to lhe f:<:,ct that L11c <.tXt::d w.hc:·c ti1e pmlicu!w- !)]an, lFcgrLJIJJ

project or activity wdl be done c~ues nul ovc-rlap \\'it!I, or a!!-t·ct, ;my ancestl<:\J domai11.

t· Cer.~JJic~t5.o'11. P:tecona.:iEo)ry. ~CP.'). ]I_ rekrs to t l1e CerLifi,:a'.c issued 1>y tlw NCJP, signed by the Clwi.rperson, utles~;ug to U1c gr;cnl of FI'!C 1

1)/ i.lw concerned iCCsjlPs aflcr appro~_)rime compLianc-e with the reclui.rc~ntcnt_s

provided ~-or in this Guidel.ines.

f. Conser.:,sus-BuiJ.cEng. It refers to thal part of tbe decis;un-rnakin[', proccs~; undertaken by the ICCs/lPs through C1eir indigen{_)us socw P'.lllliC<'' slrucltJ:·es ard practices in arriving at n_ CIJ"_cctivc/crjmmcnw; (lecisiou.

g. Envir.0nme~.t :l:m~:>act St;~~:em~~!r.t 1_:"'~'.8). l' is the docUll!C'1l whic-h ui!ns L1'

idcntif], prcd!ct ieterprc:t, and comn1unicilk ir!l'OrtTJa1jon_ n:ganJing change:; in environrnental quality ~~ssociatcd wilh a f!Hlposed project a11d wl1iL:~1

ex<:unin·::s the range of alternatives for the objectives of the proposnl aDd their intpact on the environmen~.

h. Ext:tacti.ve o:a: 'La:a:ge Sc2J"~ Activ;~tir.:s. 1'\H_::c;c refer to LlJc o.cti,.illcc-;

cnumere~ted ;,1 Sec. :'.9 ufthis Cuidclill·~s-

J. Fie1.d.-R:.\sec, Xnvi!s13gat:\on .~F3.~). 1 t rc 'c• s 1(1 l he ground mvesti[;<rt ion undcrlaken to determine whe1her (JJ" 1 :ot Lhe pbn. orogrum. project or activity overlaps with, or nfkc~s, DD ancestral c~on1ain, the cx•.enl of the Dffcctco area, and the JCCsj LL>,s whose Fl'lC is w be obLained.

J I:nd.igercous eld.e:t/leader. An in(ligcllUU:-; e;dcr/leaclcr c1ncrgcs Ji-nn1 ')w

dvn:tlnlcs of cus1 oJ11ary IHws ;:md n~;,cucc:~,: tbcv ~-vu 1 vc frOt!J '' llf•;:~'vic ,,. ~·()ns(j,.,~~.::-,. •~-~ssert~on a11fJ prc_tcti_ce o~- ~r'"Hl 1 ll('nuJ vcllues a1H~ L1eJ~t~1~ T~lt'\' cue rccognt.~ed tts authurtty 111 co11f1ct n.·:_t(J~U'_JJP t~~·td pc;:tCt.>!)t1J:clrng pruc·<·ssc·:--.. , on spiritual r'ies aud cc,·e•noJJi•:s a!J,_: in t'oH1g so, possess the ctltrihu.tes oi" wisdom and inCcgrity. They Jead an(l assis• t:1c cornmunity in du·!sionmaking p~·occsses towards the prutccti_on <:Wu promotion of ~hen· nghls and /\ the susLrunablc development ofc the1r ancestral domams. :/Jlll(

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k. ln.ct~epet\C:en~ Ex;:>er't. RcfeTS to a _pt'fSI'Y1 :·)r1CC1d!,izutg ir1 r(~ 1 t,_tr_·t~ ,_,(·!d v."H,~,,

educution andjor expcnenc~e u.\'.1 1.Jc a s"uru-: o! l'1valu<t 1~':c Jnt.Jr'·J;ll_l(lll

pe•tai·1i11g Lo a particttltn- iss•-lc ant1 who is cx:.wcted Lu give a11 obwctiv·· inforntation or upiniw~, Uwt will 1)e~p c;,,_. ll~Cs/F's !o rc<lt 1t a sl'!lsd>'•.:. inlc!ligeqt and wd~-infonDe(1 clcci_sio•L

Non-Extractive a!'!.d/0'!: Sxu.a~r' s.c~.:.e .Af!!~:f.'tJ:.tf.t.!S. rflH:~")e ~tTl' l)H _ _. ~~c;Jvitjc:>

cnunv:rated in Section 24 of this nuicklincs.

m. Resoh1.tion of Consent. ft_ refers to the w,·itkn resululi<,n <Jt~opkt: by l11c

oiJect<:<l ICCsjlPs by thew.se~_vcs ur th·-ough Htt:i•- <1u:v <1Ul 1l•)Jiz·:•: elckrs/lcac1crs expressing their acccpLtltt't: of l'u: plan, ur'T.!·.U''· )I' C•_!t.ct ,.

activilv.

n. Resol..1tion of Nr_,n-Consent. it n·fcrs to the wriLlen. n:solulluJ• adnutn\ the a:fected JCCsjlPs by !.hcrusc~vcs or Lh,·ough L~-lCir ('u~v ,•.t•t:lil''Z•'rl elders/leaders expressing their '101.1-ac-ce~l~_u.nce of th(' 1/H•' ut '>f2,1'<~n~. projccL or activity and ihc reason.s J:1\l'n:fo··-

"?AR','r lJ! 1-'?REVMJUYARY ACTWff1'.SS

Secti0.1.1 6. Ap~Hcation for !sstHn1ce o~· (~(.~.r.t;.ficat~.on Precondi't',on. The

application for C? shall be endorsed by the U}>Dl'ODJ iate n:gu!atoty agcnL·y u1· unit of

government to the NCIP Regional Office Utnt iws iu·i~,diction O\ c•· tl1e arc;1 \\'ilt.'J"c tJw phn, project, program or activit): i:-; sOtlg:·lt 1_0 be UEC1tTI aken, prm idni 1 )(1\\' 1~\ t~t • Lh<tl

for plans, prugr<.:rns, projects or activities afl.ec'..i!lg ''un:slr81 t~ouw:·;:-; :''"' ,_;() ll1• 1

requi1e.a permit, license or agrccmef1t from any govcrllUlc!ll: ag•:nc_yjiiJS(r!tll\enlitlitv,

the ap_t)Jicatioll ~;ho.ll be filed direcUy wilh tlu~ t-;HlllC NClP l~egionul O!Iicc havi11g

jurisdiction over the area_

J n case tl: c project ts within two 12) ur Ulf'i e rcgi.ons. th•: cndorscmc11 I 01

application shall lJe transmitted to the Direc1cw of t~w t\!JCcstn.i Domai:1s Uf!'icc 1:\f_)())

who shall decide which Regional OT!ce sl1dl'. wkc t!Jr: lutc1. in rac::itatinr~ th:· appropriate nnd >.pplicablc process ta\iJJg intll co,>:-;ic:erd(ion Uw rx~enl (•' the dlc-1·1

and tl1c size of th.: w.-cas that wiU be c.•Jkctcd (a7)

No two (2) or wore applicatioJJs of similar sub_it:c! shall be simu}taucously entertained at any given time covering the some area while u.n •~pplication is being processed lherein, neither sl:lall :.~nother ue given due course whi1e a previous application is being p1.·occsscd .

. section 7. Docl!.!ne:n.ts Rc~ .. }.~.~:el!. t'::' l\CC0r~:· .. ·;'(}.~1Y i\p~~~~-"C£\tfor 'T'1 1 c ~-'·)D:h_'d..t 1 '

shan subntil f:-. l·ornp<:U~lY c•nd prqject 1Jro!i~e \"/};Ch shn2l iucittde: the •.l~ttur,_~ a!:d purpose of lhe projecl; !ocalion wit:1 <Hl inc1icative •!lap ~;'wwing ihe nan•c~ .,d- s;L;11s

<mdjor bnranga_y'> lhal will be affected; Abstract of' proposed project clcscrilJing the size, pace, reversibility aDd scope; dun.1tion; preliminary assessntCilt of' the likely economic, social, :~ultural and environmental. ei'J.(:c1s, i.ncllll_ling polcnlia!. risks cu1d how these wiH be addressed; Indicative htH}gct; F\:•~;·Jn" to be involved tn i•n~_,lernc:n';'liun; Operational Plan :md ac!ivities; nnd th<' Prof'ilc of LlJl· applJcailL

The ADO. in cunsultal.iOtl with ']e:d 1).-!!Ct'';- sltd'] Clclr'!. :'w c;l;rn,'"''' .IIJ•'

:Jppropnare cilCc\l1sl tor t_he alJovc pi!qJos•:.

At any time, the FBl/!-<'P\C Team llidV !Tquirc mk!iuonal documenljs fro10 the app~ic:,ul.t, e.g SIS front th: u:_.~I\'\., if available~.

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Section 8. Co11.stituti.on and Co:'J.l:?osi.Uon of the FBJ. Te:.>.m. The FBI Te<Hll

sha!l be conslitLLcd, bv tbe Regional !Jireclor. lyy W<\.V ot Mem<Jr:uvlu"l w!llo 1ii c(!< ( 10) clays from ap 1)roval of this Guidelines, to be coHJDosed of the !'nllowii'L~:

J) The Communny Devc!OlJmcn.t Offit:cr (CUO), as Tecu11 Lc-ac!cr;

2) The .FBI Provincial Focal Person; 3) One (1) from the Community Service C'?L•'er (CSC); and 4) Two (2) IP elderslleut~ers i<~cntifH·'d }}'/the CSL~

The compc:;idon of tbc tean1 ni.aV be revised or enhanced Ul)Oli tl•c il[.:,tCenwnL ul

the FBl team ~s the need fArises in o~·der to co,,e wi1l1 existing woJ'l.;: C(.IJlclJt.icH·ls o1· circumslauccs, with the approval of the Regional Uin:c'.or

For CSC::-; in provinces without provi.nc.i;.t1 o'ficcs, the Rcg;on<:L1. Di;·cctoJ· corlcerneJ shaH l 1esignate the leader and me::nbers of the FBI Team \vllil·h. sln1l llt· headed by the C 1)0 and other personnel frol11 the esc and way be iH'gnwnkd bv personnel of the l'egional Office and I or from ! be uc;:;re.st Provincial 0 1Jicc.

Sccti.on9. DQties and Funct;,ons oft}>.e ~HJ Team,. The dlllics ;mel 1i.mctton:-; of the f<'Bl team rue:

J. Consult with the AD rcpre~;entatives .if a~.iplic<i 1J'e; 2. Conduct tLe pre-FBI Conference and a'oPg wi'h Ute proponenL, vreJ.>ctrc the

WFP forth~ Fl:-3!; 3. Und,:rtakc t 1tc 1~81 to dc!cnnine the p<tt~lct•'br· drca '1 ':\' v:>'l '~'' ,,11,·( ,,~,:

ntch.rdlll1j 'l1c prOJeCt ion <lf the inc,urscd te'.·)Hlicul dcscnpr iPlli gc• . .>L,:I ''ph •c

coordinates in t.hc A'-J, the probu1.l'c c"r·cts (/ the p~cl'l, prog1·;;m. pro:en lV activity, and the n:.u11bcr of ICCslil's !l-1;J'. w;ll be· <lll•:ctcd,

4 lclenti(y lhl e!dersjleaders and detcrm;.•H· r)T'csenu-· or dispute~;'u-,nCicL wiLb ac.\iaccnt aHceslral domain/ s;

5. Prepare, unc.1er oath, and submit a report with recouunenc~atior:s to tl1c Regional Di ·ector;

6. Liquidate rJl funds lwndled in accorc1nnce wilh standard nccounliug and auditing ru'es and regulations; and

7. Pcrfor!n sttch ot}Jer fu~nctioPs as !IH\V 'be d~1ected i•y l!:ghcr ;Juihnrlties.

ln consulta.ion with field offices, T11e ADO shall cr<~ft the appwpn~~tc !orm/s. for the guidance or the FBI Team i 11 the perf urn wuce of i Ls functions.

SectJ.on 10. P.r.e-F~! Con!fer.;m.ce; l't.a1.i.:ers to be T;ao.ken. The following matters shall be discussed, taken up and I or <Ki:cd upon clu.ring the Prc-FB 1

Conference:

a. Orientation on the requiren1ents of Lhc R\::3~ process; b. The idcntily and other basic infonn<Jtion abuut !. 11c applicAni; c~ Detailed pn)iecl profile: d. \lv'ork and P nancial Pl<tn; and <:. Other nnport<Lnt matters thac rnay l.Je agreed upo~·1.

Sec!~on 11. Non-appearance a 1: ?re-F:r:.xr~r.e-FPIC Confex-ence and Non-payment of FBI/l.'Pr:c Fee. Shou'.d 1he ap;)1icrmt fail to uppear in tJw Pn·-F'31 or PreFPIC conference, the Provincinl ()!Ticer or the CSC 1-'ee~d, as the case may be. shall schedule another tonference with noti.ce to, and u.l f.he expense o~', the applicant. If on the second schcdt.le, the applicant stil! faj's ~o appcnr, the Pmvincial UfhTr or tlw esc Head shall immediately infonll the Regional Dinxlor of SlJch fni)ure.

Upon reccrp •. u!' the information O!' rcpo1 l, t.he l<egional Director ,;11a 1.J nrdc r the snspcnswn of the process with notice to the app.licnnt. Tbe order shall also di.rccl t!.1c applicant to show cause, wit bin a •wn-cxt>:~nc~ib~e period of ten ( HJ) days from receipt. , why the applicatio:l should not be det'mcd ab9 1 'llonc:d for Jack or lm;s o~' inkn·;;t. ;~ t~

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aftcr the lapse of ten I 10) c1<.1ys f··um re,~eipt of t 11c Ordu, ns n ic'(':lcccJ h :1 :>n•ur ul

receipt, and wi hout justifiable n;Lson forma1.1.y communicn\eci lo the S~e~~!Una\ Director, the lai :;er shall declare thL~ app1icalion cancelled [l.nd shaH return the app!ic.1tion to lh :~ endorsing regulato1y agency c•r t!1c npJ;~icatll, ns the ca~;c mav hl' Thereafter, other F.!pplications, if any, may be given c1uc cnw·se

Fa.ilure 01 t':e part of the appEcant to .\li!.V t!w ~·-!:>!/FPlC fcc 01· cnJJlply \>.!1~1 11w requirements as -tgreed upon during the Pn:.-FBl/Prc-L'!'iC conkrcnccfs :·; 1J;dl likL'W\Sl.'

result iu su:·•pcn~;ion or cancel1.ation as nrovidcd ;,J Uw prcu.:ding pii''<Clgl<.lph.

Section. !:~ .. Work a11d Financ?.a~. }'~au ~ .... N.r??~ f~.::,r '"PF!./FP!.C .. rl'hc \VFlJ s!,~d! 1){_'

L>greed upon by the applicant, the concerned JCCsjlP rep;·cscnlativc:s. <>l•d '\C.Il' during the Pn>·<'BI.jPre-FPlC Confen:ucc. l.t shall include, ctmor,t~ oU1ns. tl~t; estimate(} cost of (a) Food ~md snacks, .lo<'ging B'ld i•·;·ns~>ortation ex:Knscs of 1!10:;.·.· who wilt be ncluctUy invo!vcd in tl'e FB! pmu·s~·<; 1JuctPJ>e!l'ing L2H.' FB! w~·\ •t;c:s u: photo and/or vidt:o, cassette recording anc~ deve''>!J;r;cn', rcuJo(uc,inn ol doc•>:JicP:;;: and (c) C>Lhers < s mny be agreed by al!. t!1c parh:s d ur\11 ~ U 1c !Jrc FH1 / Pn FPI C conference.

'l'hc cornpu~atioP of expensL:s or n.•sls •nu::;'. ~·c ~>asec~ on rates u~Jp)Jca 1.>\· .,, tllc particuhtr area where the FBr /FPlC is to be undcJ wJq:n.

No subscquen~ cash ndvance l)y t\w pcrsc/n Ltt:Uwr'.zccJ Lo do s•> i•J 11e;w:r uf lh<' Temn shal! be <.ll1c.wcd unless the previm1s one i:.; fully :iqui.d.atcd

The FB!fFPfC Fcc rem.ittcd or p~uc! iJy t'.H~ !:'rupoucnt or W!p: .• ~.111( ~;ll<'~' ;,,

dcpusJlcd m n Trust Account to be establis~1ed Jix Ute pu1posc 1.1y tl1e J~eg10nnl .JfJJCe. Cash advances ar.d withdn1wab therefrom, wH! tl.~t· '··'' i.iizntion and 1iquida'ion u~· such adv<omces Dncl "vit!1drawals sh<d.l be in uccordance wit:.l the appropria'.c rucn.lO~'aJlc1 um

circular to be issucu by the Director of Lhc t' inm1cc und Ac'rninisLr<.t!itm Uf!ice.

Section J. 2. Comm.l!!lCcment an0. ('.(.,!H~·-~ct oE' t!.~e ~'B!.. ']'~ tc TcuJJ si1aJl commence lhe FBl within ten (10) cloys !J·om <l:.,lc o!' ''epos.d/paytven.t of tJ;c ''Bl r('<

and must be con;.plctcd within t'..:n () 0) \vor:{ing cl::,\·s from ac:u.JJ u>n,•.l,cnccl,lCn' except when delayed by rcaso•1 of fortuitous even 1 o1· :·orcc m<.l_it:l.! I\'.

The FBI Team sl.1all submit iLs report in accordance wiC1 Sec! ion ') of tlu~-;

Cru1delines. Shou~<lJt be app~1rcnt from the re~)o•:t CJa' tm AD shal.i be affected b_y !)!('

proposed project, ':heRD s1w]l immediately .rno1.:>ili,.;e U>e FPlC tccl1'l, oLllerwise, a C"\JC' shall be issued pu.•.·suant to Section 15 of this Guicelinc;.

Section 14. Conten'-:s of ~;he VI>e!.d-"Ja:;';'.1 Jf!!ves~Jgation ~e;o:>or 1;. 'J'bc Fill report m11st contain a narrative of whe1t transnirccl dur;.n~ the e,rnund u•· field investigation; findings and rL'commendatious; <cu,cl the ~x-rtin,cn 1 at~aclununs, iu u slandw·ct pro form•~ form to be devised by ADO after consultation with fwld ofl~ccs. The 1·eport shall be s.igued, under oath, ·l.Jy the team lc<1cler and members.

Section. I.S. Ce:rti:e.~~~.te o.* ~on._,4.:>.v1.:!r~e>~~~; \"{! .. ~~:~). J.ssuecL. ·v<;hcrt 111(· ,'!(~.-J ''.,

pattontly and publicly known 1.0 fw ou!~;ide uny 1\! \, llr tl•c un•vi' .. Y Is c'c<JvtTDI!li:C'. :I:'t1··· FBI, not to affect ~m A]), lhe l~egioni'd Din:ctor, wi U·1 1..1 Jc co.1 wu n c~wc o' the co! ct-rllc< 1

Commissioner, shall issue <ct CNO, provided llowc;ver, 1:1nt 1.lw <>pplicanL shnl! r:xecutt'

an uockrtok.ing f\•l the con(1L•d of FP1C shm.!'.\.1 it ]),; (Ji<>CO'.'erccl ldtcr tiJ;ll Lhcrc is, in fact, an overlap with an AD, provided further, Lr•al: sp(·c:ial nttenUon s11al! be given tr>

ICCs/lPs who arc shifting cultivators or lraclitionally nor>wdic so as not to prejud~c<· their rights as sud,.

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l) The PrO\ mcial Officer, as Team Leaccr; 2) '.!.'he Provincial Legal Officer; 3) One (l) Lngineer ti·orn the Provincial or Rcgiollal Ofl'ice,; 4) The heal, of the FBJ Team; and S) Tv,ro (2) 1.:> elders/leaders selected by Lhc community in the first asscm!J~y.

In provinces without proviucial office, the Rt:g,iona) Din~c:1or slwl1• cous~itut<.: the FPIC Team t•) he led by the esc Head HllC witll rncmiJcrs hom Hw same· StTViu· center to be uugr1entcd from personnel of t 1.1c l't'giona1 Ofc1cc anc1jor nc<n~JY 1\c•viJ•citl Office, and two (~) comrnu ni.ty elcl•.~rs/leac~ers sc;cctcc!. by t 11c communi:_y.

SuLstiluti<>n, re-arrangement, <-nJgmcnL<.ttion of nwmbersllip tn/of 1.11c l·'l'!C' Team 1nny be d•me for good and va~id reasous, upon the recommcnc:ation uf ll!l' Provincial Officer or CSC Hcact, as the case may bt', wi'b the approvnl of Lhc l~e:c;ior:u:t1

Director.

The l<.egiocal Director, ChieC of tl·,e Tcdtni<:al VdDag,c~mcnt a•hJ ~er\'icc:s l')i\'lsic'll

(TMSD) the Rcgiunal Attorney, and tJ-w Regional He;:tring Officc:r, :-;!J;dl in no ca:;c lw part: of the Team.

Sect~.o:n 1'7. Duties a".d. Fun-c1do~r~ vf the J!tPlC Team. Tlw }:j'IC Team slwll perform the follov1ing fw1clions:

a. Convene, with prior notice, the Fi!-si. gent:r<- 1 iJsseJn 1J!y to V<tlicl;\le the t()llowil)g: (1) FBI 1\eporl; (2) Identity of the IP E'den a.nc1 Leaders; (3; Ucc,sion Yctl.;.im:. Process; 14) Census of 1Ps/Migra!1t IPs; (5~ An.:n affcccd; (!•) ;::xis•_cncc o: boulldary conHict with other ADs;

~ Docun1cnt Conflict Resolution Yc:c''a'·lisn' ;ll•t1 r,,cilit<He !he ro•1c'uct P' tll,same by the chosenjsclccted l:i:lden;,jLeac~ers, shuulcl :bcre he a111'

dispute/ e<Jnf!ict to be resolved;

c. Facilitule aHd document the proceel!ings o! the assembly W.Jll be responsible for the interpretation, translation, clu•:iJicat..ion, or ebboration of matlers discussed or taken up;

d. Orient the participants on the pertinent provisions of IPRA vt all stages <mel aetiv\li.cs;

e. Present the agreed WFP during the Clsscmbly;

f. Invite the appropriate independent cxpcns, if' available, to give their opin[ons 011 any as peel or the projecl;

g. Shoulc1 the: JCCJlP agree to the ac:tivitv, 1 H~ly draft the Resolution of Conscnl and the 'YOA, or Resolution of Non-Cons<:nt s~wulcl the lCCs/lf's reject the proposal;

h. Make an accounling, in accordance with genu a:lv ncet:plecl ;,ccr>' .. !nlinu, nnd auditing rules. of aLl n:wnies ;:me\ properucs ~-ecein·cJ in n·!<J'ic•n to t 1 ·t" n>rJdu;:' ufUw ]>';.:>ic; anc.1

L Prepare dltd sut)lnit FPIC report WJLh recommetHlatio11j s. and w: cxccul ivc sununary of the same, botl1 duly signed under oath bv <:Ill the team leader and me1nbers, to the Reg.ionaJ · Direclu•·, copy furnished t' Jt~ en ncc1 ned CoJnmissioner.

The ADO shaH craft the appropriate pro _(onno form for FPJC l-\cpm's consultation with field offices.

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Section 18. The Regional Rev?.cw Te<m1 (RRT\; ComposiHon; :F'•Jnctl.ons. There shall be a Regiona.l. l~eview Team (RRT) lo be constilutcd by Pw Rcu.iondl Director, compo::>ed of the TMSD Cbiei, Regi01wl f,ttorney <:md t~1c duly de:-;ignateJ l;:_egional FPlC Focal Person. T!H.:: RRT ]ee(;er mny citl1er be the TM SD or the l<egional Atlorney, at lhe option of the T<egional Director.

The RRT :-;hall. have the following dutie:-; ~uHJ tcsponsibitilies:

J. JV1ake ajt:.dicious and complete rev>.ew of the FPlC report and the MO/i; 2. I<ender a report, under oath, of their findings DJ.<d reconnncndations to ihc

Regional ;)ireclor; 3. Summon any rnem~)er of the FP!C T•~<lm, re:Jrcseutativt; of the lCCs/lPs, or

representative of the prop()nent to d8riJy Jl!U!!e•s contained ;., the report aud the MOA;

4. Appear udore Lhe Cummission when so requi.rt:cl; and 5. Perform such other fLlndions as may lx; dircckd by the I\cg;onal J )ired or.

PART UJ ACTlV~':'l:'!ES, PLANS, PROG!:tl!l.~~.s, :r.:~HJ::.'JJ<XTS COVER.ED

AND !Vl"ANDATORY N:;'UVAT!.ES

Section 19. Exb:acti.ve/ lnt:r!tH>ivc/ ~-~<~:rge Scale. The fol!owing vlans, projects, programs, and activities are considered large scale/exlractivej.intrusive:

a. Explora1ion, development, exploitation, u t il.i~alion of land, energ_y, mineral, forest, water, marine, air, and other nat\lraJ resources reauiring penni's, licenses. lease, conLracls, concession, or ngreemcnts e.g p1 oc\uction- sharing agreement, from the ap_oropriate national or local govcnwl'.:nt agencie~; .

. including feasibility studies related theret_o; b: Those that. may lead to the disp.laccmcnt an(1 /or relocation o.f lCCs/lPs; c. Rt:sctllcment programs or projeds by ihe governllJ<.:nl or any of iu-;

instrum•:ntaliti.cs tl1at may introduce rnigra.nls; d. Declaration and n1anagcmcnt o~f proLcctcd unc environr>1entally crit;cal WT<J~:,

and other related undertakings; c. Bio-·prospccting and related ac•.ivities; L Activities that. would affect their spiritual and religious traditions, customs

an.d ceremonies, including ceremonial olJjecls, archeological exploration, diggings and excavations and access 10 religious and cultural si'es:

g. IndtJstrialland usc inchJding the estc:1hlishrnenl of economic zones; h. Large scale agricullural and forcslry munagcrncnt projects; 1. Carbon trading and related activities; j. Large scale tourism projects; k. Establishment of tempon.'l.ry or pennru1cnt m.ilitary facilities; conduct of

rnilitary exercises, or orgcinizing para-mi~itary forces; 1. Issuance of land tenure ins'nJ•n.cpt or resource usc instnuncnt by anv

government agency and related act_ivities; :cJllcl m. OL~<ers analogous to the foregoing, exn~pl snJ.a1l-sc<edc qt•anying.

The foregoing shall be governed by the FPlC pwcess in Section 22 of this Guideline::;.

Section 20. W~o ShaH Ex{~:rcise the R,~gh··~ to F:?IC. A!llCC:s/JP:; who arc owners

of the ancestral doJ11a!n have the right to exercise !."I)JC on/lor any of the~ aclivities !is•ed in the immediately preceding section; Provided, that in case the AD is owned by two (2) or more

lCC/lP sub-groups, o•· under a unified claim, provisions of their du.ly executed and

validly ex;,ting ag<·eement shall be followed. ;r aay. othe,.v;'"· al\V''' sur /(/ "~1'\,'1,1,,

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group:;, tribes ~-hctll ail pwttC!!Mf.e in 1he c1.ccision-n1<tking in accord::mce with thetl

ar)plicabk cust)mary law j s; Provided jiu1.hc:r, th<•t when there are two or more

domains nftected, the ICCsj!Ps owning such domains shilH exerctsc dw right to FPIC separately; Prov;ded Jurth<::nnore, thal affected migrant Jl-'s inside the <lowain/s 111<1\'

participate in the exercise o( Ute right to FP!C if cxp1-essly <~llowcd b_v the c!omain

owners.

Unless spcdfica1ly sta•.ec1 in the MOA, sq_>et:-ate exercise uf llw nght to FPlC

shall be fdr eacL major phase of Lhe proposed ad!\·ity sud1 as Exp1oral inn. Oper.:•tion

or Developn-ient; Contracting of operator; <.mel L'H: Ii\e.

Nothing in this pruvision may be iulcrprc 1cd to prciudicc llle rieh!s of pn~-;on~; under oll1er existing laws.

SccEon 2L !:l'rc-!\i'PIC Con.?:erence. The co'lowi!Jg shall b,; tal.:.cn up, acted upon or accoJLplishcd dur·ing the Pre-FPlC Confercnct~: a) Tbe Ff:3! Reporl; b) Finalization and ap;Jrovat of WFP; c) Deposit/ )~em dance of Fl'JC Fee; c~\ Sd ting of schedules an.d :asking; c) Prepm-ation of Work On~e1·; !) Orienl.ation 011 the FPlC process, protoco·s, and prohil:Jitecl acts; g; Arr;1ngcmc:nLs for the P<VPJcnt of tlw bond; b) Submi~sion l:y t~1e applicant of Lm UtH~cr 1 c•king, \\ritteP in a 1.<mgu~IC!,C ~;\>uku• ~u·c!

u:1clcrstuod by the CO!U111l1nity concen1eci, t:la~ it s'·1a.'l C'•m•nit Jl:;•~!f ;u ru!! ci:sck•sU!c' of rccorc:s £md ;_nfonnation relevant lo the pJn.P, vrugrnm, proJ<.'c: or ac1ivitv, ilwt woulc! allow the comm.unily fuH access to re·~orc1 s, c;oo.llncnts, male!·ial iufonnat!on and facilities pertinent to tllc san~.c; i) Submiss;on by the applil:ant ol· <~:t

Environmental and Socio-cu 1turallmpad Stat.emen1, del ailing all the '!ussiblc impacc of the plan, program, project or activity L: pon tho:~ ceo 'ogica~, economic, social ;mel cultural aspect c,f the community as a whok. Sue;, ducuP1ent s11aJI dearl\ inclicatl: how adverse effects may be avoided, mitigu'.cd and I <J'' ac:drcsscc!; j! Opinions of ill\·i:ed experts, if ::my; and k) Others as may be required by the FPIC LC<JlTJ or 2ts mav have l;een SLti'faced during the COilduct or l11e FBL

Section 22. Co:nduc1; of Commu11.i.ty Assem'='.Hcs .and Ot~er Activities. Twc• (2) community assen1blics, known <ts First <md Second Comrnuni•:v i\ss,_:mbl_v, respectively, slwlJ be held.

The First :::ommU11lty Assembly s:1oJl be ~~c',d as :.;oon as the pmponen L n·mils or pnys the FPlC Fee to t!1e Regional O'Jice and t 1.1e corrcS))Olldin!!, wnount is rc1easec1 to the concerned NC1P Provincial Office or Service Center for the r.mrposc. l t shall 1-w held on a dale and s~rntcg;c place within tl.1e AD a:'_·:r the ro'lowing arc comphcd with by the FPIC team·

l. Forma! notice to the Regional Director wiL1t hi,;jhcr HiJl)H>Vc>.! of the date anc! place sccu reel;

2. Posting of written uolices seven (7) days before the o.divity in conspicuous places in and around the corJCcTnecl JCC /lP CommLlJ1ity, LC. tl>t' Community Tribal and/or Banw·~uy H<cll!/s;

3. Personal service of formal notices to the 1\D reiJrcscntaiives rJs appcoring in tbe Ceftificate of Ancestral Domain 'l.'itle (CADT) Recognition Hook or ADSDPP Book, if availal>le, seven (7) days before the LtctiviLy;

4. Service of formal notice to the representative of the proponent/locator; 5. Service of formal notice to lhe coPeeJ'IIecl. LGU js Chief Execu1ivejs,

concerned NGOs <·u1d invited CXlY.::rts, if Lll!y; ;.u!LI

6. Service of no:;cc to the Provinrin1 Con~;u)!d'_i'.rc '~och· (1-'(J3··, 11 cxJs't·qt.

During !his assen1bly, t11C following m~1Ltcrs sl·l;\1_] be U1\en ~"J, ck,cu~,scd ;mc!/ur acted upon: n) Oriental ion on ll't~i\ and the FPl C prul'css; bl V nh_l:.llio• 1 FPI rcnon end the nreajs nmx:ted; c) The Census of .\PsjMig1aut 1Psjl\u1;·!Ps; c]) hlcutificniion aud validation of IP Elders and Le<:H!crs; e) Deterrn;nal;OJJ of the Decit;ioll w;d<ing or conscnsus-bui~ding process/es; -0 Const.:nsus on l~w involveincnt of :~r_;osjCSOs; g) e(-:l

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Validation of tl1c members of the FPJC Team representing the comnmnny, h; Presentation of the agreed WFP; i) Option, selecl!on and invituliou of i•Hkpenclent expert/s lo cc.nduct ElA or give their expert opinions: _i) Arrangcmc11\s !()1

conf!ictfdispute resolution mechanisms by the c~1o,:c•1ldccted lP E1c\ers/L(·<•.d('rs: 1'1 DHle and place of Second community assembly; u•lJ l) Other l\lalters tJ.1;1\ tuc~:.· 1x necessary and pertinent.

The Second Community Assemb:y shall be },elf\ on a date and p 1;:;ce wiUJill n,,~

AD decided upon during the First community assembly. ln this asscnll.\::v. the fullowing sholl he taken up or undertaken:

I. Prc·sentation by the applicant of the plan, ])!Ogram, projccl or nc·tivi'y tl1<.tt it seeks to undertake. The prcsenlaLion slw:l !n~;;u<.:e: a) The Opcri1l~on l'laJl :uHI

the scope <1ncl extent of the pr01YJ~;al; b) T1w cost onc1 bcnef1ls of the pcoposn1 \(J

the !CCjlP and their anccstrvl domains: c) 'The pcrcei\·cd d~~<~dv<J!l\Dgcs or adverse effects to the community; and. d) The measures adopted by tht; applicant to avoid or mitigate these;

2. Sharing 1.>y an cxpertls, if cngHged or irwilec', to inclLtclc pn:seu(ution of the result or the J:<";lA if availa1Jk, expe!·t opinionls on any aspect, recomme,Jdationl s, and identification of affected c.ren Is;

3. Remarks or inputs of other s 1.akeholders, e.g. concerned !\GAs, L<.~t1 s, Nno. ' · lPO;

4. Open forum to give the lCCsllPs the chance '.u ask questwus <.<.t:d to spcaJ( out their concerns relative to the prcsen.tations and tl1e project; and

5. Other iwportant matters that arc ~-:greed upo:1 dming tlk nsscmbly.

-!f it bccornes o~)vious or apparent that lbere arc other a.nccsLral c\ontattt Is tllat m:c affected, the FPlC process srwll be undert::d,:,cn in such arcals, either in one process or separately, depending on the obtaining J~o.cts and circums~ances 8J1d Lhc decision of tl1e people of sue]) affected w·e2 / s.

Towards the end of Lhe Second connnunity <tssc!nlJ!y, the JCCsjlPs ~>llall be left alon<.: to agree on their decision-ma\ingjconscnsus l.1uilcling sc11edulcs and when to come out wiLh their decision. This activity must not be undcrlal\.en less tha'' Len (lUI days from the date of the Second community asscmlJ]y unc1 must be completed within a reasonable tin·.c but not more than two (2) months t 11ereafter.

Following the Second Commun1ty nssembly shall be the co•.l~:;cnsus-buildiHg period. This is the period when the ICCs/ lPs shaJl proceed to consul! <em1ong then1selves, employing their own traditional con;;<.:ns·.!s-bui'ding processes. •.o further understand mvl discern the merits I advt1n•.agcs EJ.>H! cc.mcrits / d isaclvan tag' ·s of' the proposal m or·der to intelligently nrr.ive at a consensus. Exet'pt for NCJ.P representatives who shaH document the proceedings, •he a;)J.'licant ancl non-mcm1Jns of the IP community w·e st1ictly enjoined from parlic'pmi,·lg in ~l1e consensus .. bui1ding activity or interfering in any ll1Wllic• in the clecisinn mahi.11g proccsc;. t\on·lPs u• <:..:,--· migrant !Ps who are residents of the AD may on 1y participate if allowed by the i\!) owners in accordance with their customs and traditions, prov.ided howevl'r, tllnt the permission be made in writiPg «nd signee! by the aut!!Orized elders/leaders

When the lCCs/ !Ps &rc nlready rew:1y with their decision o!· couo.ensus, ! lw duly aut.lwrized Community EldersiLeadet:s shnll comm;mic;lte to the FPJC ']\~am stwh consensus. If it appeurs to be favorable, the FPlC '!'eu.m slwll immediately !lotify tl1c

proponent and the com1nunity representatives for the negotiation of the .. \cnTJ~ and conditions that shall be embodied. in the MOA. Once the parties agree on •.'1e tcrrlls and conditions, the MOA is forthwith drafted in the vcrnacu:ar and Engli.sl1 or vice versa. Thereafter, a validation <tssemu]y shall be convened \vi.thin the AD, at which p , .. .H: ..---- ~-- ;Jt

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time the MOA provisions shall be explained to tl:Je community by the FPlC Team in n language that they speak and undersia_nd. After having understood the contenlci and implications of Ue MOA, the community may confirm the same. After conFrmalion, the same shall lx forthwith signed by the a•_1thori..-;ecl signatories of both parties. The negotiation of llH~ tern1s aDd conditions and the signing by the duly t1uthori;oed representatives of the proponent and the !CCs/lPs nmsl be done within the AD. Along with the finalizat .on of the MOA, the Resolution of Consent of tbc community shall also be prepared, signed and released.

lf the consensus is not favorable, the PesoJuLion of Non consent shall be prepared, signed <•nd released.

The FPIC Team sllall fncilitalc the conduct of, and document all, proccedingsjactivilies under this secl;on and ::;hall D(" responsible for the translation, inkrprdalion, clarification, o.•· elaboration of maUcrs L<:tken up, <U1d Lhe explanation oY pertinent provisions of IPRA, to Lhe besl of their personal know~cdgc and ;:\!Jilily. Views, pro ond con, shall be summarized and documcnled as accura!e!y as pussib]t~. The FPIC team may a~so direct any pmticipaut in tl>c assembly to SLlbmit written comments or objections which must be received uy the FPlC Team within a nonexlendible period of three (3) working days, to fonn 1xu·t of its final report.

Section 22.. Posting of Bon13 .. After the i~;suance of written resolution of consent and before the start of any activity enumerated under Section 19 o' this Guidelines, tl1c applicant shall secure a bond with a reputable bonding com pcmy with

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the consent of the NCIP, or deposit a cash bond with NC.!P, to answer· fur "dame~ges, 1 ·

violaJ.ion of terms and conditions which tlle J.CCsj!Ps may suffer and claiu1 from on account of the sa:d activity as may be agreed by the ucu i_ies in the MOA and unclcr other a!)plical>Je htws. The kind, arn(JU!1t of bond to b'.: secured or posted, and lhc terms and conditions thereof, shall be specihed ill the ]\,'OA.

S.-rction 24. Non-Extractive/Small Scaie AcEvHjes .. The following plans, projects, programs, and activities are considered non-extractive/ small scale.

1. Activities not covered in Section l9 hereof; 2. Feasibility studies not embraced. in the prctxc~ing Sections; 3. Non--extractive exploitation and utilization of hmd, \cVatcr <.mel natural

resources as delincd under existing laws, rules and regulaLions of governing or regulating agencies, e.g. ISF, CBFM, IFMP, etc.;

4. Programs/ projects/ activities not requirinr.; permits from governmetlt agencies';

5. Other Small scale quarrying; and 6. Such other activities analogous lo the foregoi.ug.

Researches undertaken by govcntm.cnt, private persons, or corpor~1t;ou s or foreign entities for purposes intended directly or ill(~;rectty for nny purpose shull be governt>d by the Guidelines on l<esearch and Documen!atio11 of E<SPs und Cttstomary Laws.

The FPIC process under this Section requires negotiation between the community, repn:sented. by ils Council of li.:lders/Leaders, nncl the applicant, facilitated by the FPJC Tearn. There shaLl be lwo (:2.) separate rneetings with the elders/leaders which are herein referred to as the FY.rrst meeting and the Decision meeting. In the First meeting, the applicant will be given sufficient time to present and clari(y its proposal. The presentation m:u_st include 1 he opera! ion plan, lhe scope and extent of the activity, the cost and benefits lo the JCC/lP ancl their ancestral do:nains, perceived disadvantages or adverse effects to lbc community, <mel measures adopted by the applicant to avoid or mitigat(~ these. In said meeting, the ICCsjiPs shall prepnre a schedule for their decision-m£Lking/ consensus-building whicl1 must ~~tart not less than ten (10) day~ from the first meeting oJld completed nol more tllaJl Thirty (30) 0

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days thereafter. The First rnceti11g shall be fo:Jowcd by the conscnsus--bui1c'ing period by and among f1e council o!" eldersreaders. TlJey will a~so use t!1is period to consu:l with their conslituencv in accordance with their C~ls'.omarv mechanisms. After t1wv arc able to arrive <.--\t a ~onsensus within IJ·!e time frame tlley.clecicled, t1wy shall i.tfonn the FP!C Team nf Sl~ch consensus. If the <!ec;sionjco•Jscnsus is Lworab'e, the Te<llu

shall forthwith convene the Decision meelin6. wit!1 Lotice to Uw c·JncenJcd P"rlic~;. During this weeling, the council of e)del s/kac:ers wi: 1 lo!·m2lly p:-oc~oim t 11c.•r ckci~;io!J and tl{c Jxu·tics ~;hall proceed to negotiate w1ct fincliz,_: ! 111:: terms und c:onc1itions uf tlw MOA <J.nd therea~lcr consummate the s<:•.me.

lf the consensus is against tbe project, C1.:: lcadc.rs/C:c\:rs sh.-,_1! is,;uc '' rcsolu lion of Jton-con::>ent, however, if it is favorable, t 1u.: 1"\.egional f)ircctor shall witlllll three (3) days, from receipt o[ the resolution, prepare and sign the CP f.U1d transmit the s::nne, iuch.tding the FPIC Report, to the concerned commissioner for corv::uncnct·. copy furnished ADO. Once concurrt:cl, the sc.une s:1n!\ ly_: endorsed to i.hc Cllujq>ersu•1 for confirmation.

The process herein urovided sl1u~J be consic!ered as c:v.:<:oLion to the: strtc• provisi.ons of Part V of this Guidelines.

Section. 25. Excluded A.-reas. The following a:-C[ts <tre excluded from anv activit_v except for the exclusive !)l!rposes for which they are idc•1tified:

a. Sacred grounds 311d burial s;tes of indi.ge~1ous cor!!tTlltnit;es;

b. Identifi,,d international and. :oc"' cul 1.ura' a:1d l1e1·itagc ::~d_c~; c. CriticaJ areas icknLified o.r reserved by the 1 CC~)1Ps r·or spcc:al !)Urpuscs;

anc1 d. Otbcr C>J'cas specifically identified hy !CCs,JfiJs .i.tl t!tcir /\'X)D~';_->,

'!?ART N POST lFP!C ACTWXTIES

Section 26. Submission of Report. Where Lhe ICCs/TPs gave their consent in accordance with the foregoing provisions, The FPlC Team shall s11brnit a formal report with recommendation/::-;, systemalically prepared wit \1 pertinent and legible annexes. signetl by the team leader and members Ulll~cr oath to the Regional Director. 1\n executive summary thereof shall also be 1:-n·epared and copy f•.lrnishcd the conccrneci Commissioner/ s.

In cases \vhere E!A, EIS and/ur ECC me reqL';,·cd b:>' the re.;Ltblory Pgency, anc! the smnc arc no! available M the time or lbe F:'IC !-'roccs:o;, the p;·opunen•/applicaJ!! shall execute an vndertaking that s~wu~d lhc sa:nc becon'e available, the proponent/applicant shaJl furnish NCIP a copy c)r \h•~ s~cmc, Dncl unc!crgo the FPJ(.' process in axeas included in said .r·: 1A, EIS anc!/m ECC as nffcctcd cu·cas \>..'hi.ch wu··: nul i ncludcd in the previous;y c~ctei:mincd alfected area/ s.

ln case or non-consent, the FPJC Team s.l1aJ! •.·cport the same tu the: f\'egiona1 Director, and the latter shaH forthwith in!'on.n the proponent, cc;py furnislH:d tile concerned Comrnissionerjs and the ADO.

Section 27. Request fo.c Reconshfccrat:i.oAL '!'he propoltcnl/ apJJliCW1t mav request for 1·econsidcration of the resoluti(Jn of 11011 conse11 t wiLl rill fiftccu ( J :1) c!ays

from receipt of lh~ said resolution of -non-consent. The request for reconsideration sha~l be addressed to the lCCs/IPs through the RegionsJ Director. rt must eml.1odv anv new proposal to address the reason/s for the rcjeclion. Afta receipt of the requc~<>t fc;;. reconsideration, the Regional Director shaJ! diyect the )eadcr of the FF'lC Tc<cun to serve copies upon the autJ1orized representatives c>f tt1c .1CCsf!Ps. Upo!l service to \he ICCjlP elclersjleaders, the FPlC Team Leader s'wl! :1c:visc Ll1cm to cunsc>JI. wi~h t1w ~

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community. Shot1ld the leaucrs believe 01at there is .•H:cd for a community as::;embly to discuss the merit o.f the request, they shall so inform the FPlC Team Leader with a proposal for the provision of funds for the holding of a community assembly. Thit: shaP then be communicated to the Region;.>J DirecLor who sh<.~ll then iuf'onn tlte proponent/applicant. Should the Elders/Lenc'ers. after consult.<tlion with the community on their own, believe t 11at there i::; no du:u:J.cc for rcconsic\cratio•l, they sha!l formally inform the FP1C Team Leader, who s 11aU. i.hen funnaJ]y in1orm tl.1t~ l~cgional Director, copy furnished the proponent/ appLicant.

If the lCCsjlPs manifests their rejection of the plmJ, prognun, nroject or activit.v, in nny written forrn signed by the members o.r the cotnmunily an<l lhei.r c.:den.;jkadc1s bdore or during the FBI, the sumc slmU be received 1)y Lhe FBI lemn and t.he 1 .. <.cgiona 1•

Director shall b(~ nolified of the saree. Upo11 rcceivt of the notice, the Rc:gimw 1

Director shall order tbe con<.luct of a vv.lidation a~·;sem 1Jly Slrnilar to u CO!lscnsus·· building activity 'tS provided for in tl·tis rules lo vHli('ate the rejection. 1-Jowcvcr, if lhc rejection is rece-ived or made after t.l1e FBl, the matter shaH be lacldccl ill L11c

mnndatOl)' activiry on consensus-building.

Jf the rejt:Ltion is aJ11rme(l duri11g the va1ciu<c''-ion <clssemu!y, the appr.Jpriale re:mlution of non-consent shall be made, uc~o;J:t.cd, and signed, and thereafter transmitled lo the Regional Director by l.ht: FP1C Team. The Director slwJJ !lien rctum the application t<.l the endorsing agency or the ap1,:Jlicant, as the case may be, wil~l a transmittal of the resolution of non-coD.sent. As a const:quence of the adoption of suc11 resolution, a!l pwcecdings in the conduct of Li1e FPJC sllL~ll ipso 1aci.o stop. No FPJC process for any si1nilar proposal shaH be unck~rtai.:.t~'l wiU"Jin si.x (6) n!ontl.ls· from the issu a nee of non-consent.

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ScctiOlt.~ 28. RRT Review. Afler receipt of the report, L1K I<.egiomJ! Director ' · shall direct the RRT to review the same witl-tin !"ivc (5) (lnys. Should the review report be f<:tvoJ:ab!e, antl lhe Director fi.ncl::; nothing wTong with the same, he shall endorse the record c)I lhc FPIC Process undertnken, togelhe1· w;U1 his recmumcnclo.tionjs to the ADO for appropriate action, otherwise he may dit·ecL appropriate action by Lbe J.<RT 01

the FPlC Team before l1e makes his cndorscrnent to tlv: ADO.

Section 29. fuacUo:n. The inaclion of ihe applicant within six (6) months from the last fi'PIC activity, without justifiable reason, slla11 be <'-ground for a terminalion of the FPIC process to be declared by the Regional Director with notice to the npplicaut.

Section 30. Dormant CerUHcaHon ll"r~coJ!:A•!.Y.t5.on.. Tf no fl.clivity is u'ldc··tnkcn by the proponent. wiil1in a year from the approva:.;i~>St.:ci11Ce or pcrmil, the CP is considered dormant and thus, "Lipon tl1e report of the l~egional Din~ctor, the Chairperson shnli issue a ;;how cnuse order <lircct;_ng appl.icant/p1·oponcnt why th~·

CP should not be cancelled. FaiJ.un; of <Jpplie<Jn\. to comply within a non-exl t:11dibk period of fifteen ! 15) working day~> fron1 receipt or· the order, or ~o show justifiable reaso11, the CP shall be cancelled by Resolutio•1 of 01c Commission, with notice to tht: concerned regula lory agency, proponent, and the ICCsjlP::;.

PAF!'A' 'V MEMORANDUM OF AGREEMENT

Sed.:!.on 31. Prepcu'ation of the M'em·Yr<flc,v~dum of Agreement (MOA,'. When the consent of the concerned comnn.tnity is obtai.ncd, the terms anc. condi~.;ou~ <•greed upon shall be embodied in a MOA to be execulcd he!.ween and among the ICC j IP::;, the appli.ca.ntjproponent, the NC(P, and any other pilrty ~bat 'nny be ne~cssaxily inv~!-:·~:.(!. 1)

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The MOA shall be prepared by the FP.!C Tcnrn slnctly m accon.1ancc w;th whal bus been agrccc! upon by the parties, wri!.tcP in the 1apguage or dinlcct of the ICCs/!Ps concerned, and •.hereafter translatcc' into Eng'is~1 and/or Pilipino Thf' draf1.in~'. shal! lle the primary .>bligalion uf the Leg;tl Officer ot t! 1e co' lC:crncd Drovinci<tl of~'iv:- l11 hi:;/her nbsencc the Regional_ !)irector stwll c1_esignak t:•e l~cga\ U!lJccr fnlt<l cP:o'hc,pmvince to assist the FPIC Team.

Section 32. Contents of MOl\. Tbc MUi\ :,;1la~! inc!udc, 1J,lt sha'l l'('t l!c>

limited to, tbe follow!ng:

a. Detnilcc: benefit-sharing provisions i.n uccuJ cic1no.:: with rules nnd rcgu\1tions li.c. not less than 1% roy~Llty llll.dcr mining <JC!j;

b. Development projects based on the (1evc1.opl>It:']( Drinritit:~; of the community; c. Moni.tor!~1g of the implemen!e~tion J\/!0/\ 1•) be irnplcP•cntcd by :\C'J' l11

lWrlner-;hip with LGUs Dnd CSOs. Th·s llJH1t:f1D\:<ng shnll be ~,,,_id \ot ·>v t1lc

com p< my; d. MiligatiJn and rcselCemcnt p;::ms ror uu\nltia~ ~·isl.;.s ; e. l~edress mechanisn:s; f. Clause on t~1e non-transFcrabi;iLy of t:.1e 'V!.CJ;\; g. Clause ,·or renegotiation of the econom~c \)!·ovis;,ons; h. Whether the concc,·ned JCCs/lPs shall. H'(;u.irc <mother t<PJC to be curH.luctcd

in case of n1erger, rcorga>JiJi.tf_JUll, h«u;.~c: •>f 1'1;l1ls ac<!U's'''Oll 1l\ iiiiO!lH'J entity, or joint vent•.!re;

1. List of rcsponsibili t_ics of tl:.c coun::.<.wy anr.1 ~-~ ,,_. <.<.l!i. ·ctcd cowm ll'J itv J. Inclusive dates j duration of agrecP1cn '.; 1<. Other Lhan what has already been granted by lLtW, the bcncflts to 1Jc du ivn1

by P1c host ICC/!Ps inC:.icattng tl'lc type of benefits, specific L.ngcl bcneficihries as l<) sec~or and nu'nbl·;·, U1e !KTiod Cl!\'e'·cd, and other pertinent informatio!l;

L Deta!led use of ull funds to be n:ceivect by tlw hosl TCC/\1-' cum,nun<ltcs, ensuring that a portion of such funds s 1wil. be allocated for devdnptlwn'. projects, social services and j or infi·astnlcl.urcs in acco<·cbncc with t lwir deve!opment framework and !!.1e Guic~c)ines on the l'v"::t.Iwgente!J1. of f~ovally Share and Olher Benefits promulgaterl 1Jy tLe Commission l'~n B;_mc;

m. 'l.'ransparcncy mecha.nisrn on transfer a!'.d c.1ist•uxscment of' funds; n. Detailed measures to protcd lP r.i.ghts <-U1d Vi\lue systems; o. Detailed measures to conscrvc/p~·otect_ w.1y oJfcctcd poni(!fl of C.1c ancestral

domain critical for watersheds, mnngrovcs, wl:c!Jifc sanC'.uarics, !orcs'- cover, and the !ike;

p. l<cs!JOnsibiiities of 1he applicant as w~·:J <l:;; the host lP communitv; q. The n10r:itoring and evaluatio'l system or the ~01\, lo inc1udc submission or

reports and creation of J-.cwnitoring teams; r. ];:cmcdiec; and/or penallics for nor1-cnmpJ.i.<.\cll'C \>! violation of the ccr.u'~' ,_,J,d

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con(1.iii.ollS which incluc.'es r•pn:ica1)i1i;_v o~· ct:s'.O'Jiary ];-m·s i:l!ld J•nposit.>nn ('I StdlCLiOiljs;

Deposit of cash or :-.urety bond n~entio'lcd ~,w-scwnt to Sec'.lOil ;>,::;hereof; Provision to render assisLHJcc in U)c cv<:nt of calamiticsjdisas'cr.s in tllc comwurliiy; Provision to underlake a new FPIC Pron:ss iH c~st· of mining activities, after the exploration stage; Provision on the effects of dor.rnanl Cer! ificalion Prcconditi(J)J; Mernber~: 1.1ip of proponent i.n orgar.1izaLons requiring eU11ca! stanclards 111 a particuh-v· line of acLivity; ancl Other rcquircmcn:s provided i1~ Uw-; c;,_,i(ki;,.Jcs.

Corporate Social Responsibility (CSI<) or Socia] Projects (SDMP) required under exisllng laws slm11 benefits enumeratr:d above.

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Section 33. Signatories f:o t~e M.OA. The signatories of t~1c l'v~O/\ shall h.·

a. Elders/leaders or their altcn:ates who !l~J'JC heen ic't'nti!iccl t~uripg lhc vaJ.id<Jticn and authorized by the comn~ur:rty !'l ~;il:'.t';

b. For corporations, pw·tnersl1ips or s;_ng~c p:·opr~ctorship eDt i1 ics, U H: mJ Lhorizcr: otiicers, :eprcscntatives, or partners per Bca•:t~ I'csoh.llioP; and

c. The Chwrperson shaH sign til'.~ MOA in bcb<1'f of lhe NClP as Third Party. Fur projects where the l<cgional Director is authorized by this Guic1c+nes lo issw: the corresponding ce:rtificntion precondit;on, the JVOl\ srwl\ be signed by him J her in behalf of the NC!P as Third. Pmly.

SecH.on 34. MOA Signing. 'l'bc signi.ng c;f 1 he MOA shal! lx: done v:ithin U.1c affected ancestra! domain by those duly 2.utl •o! izt:d. cl •Jrii tg <t gener;d <:•ss~:m 'J'.v c.t 11ec1

for the pnrpose, after its con tents is full.y rcud aloclcl <llJCJ explainec: 1Jy '11':: FJYf (.' Team, and under::;~ood and a.ffinned by the comHmnity Should there be need for <lJ1.\'

changejs, the FPlC tean1 shall make the applT!pl-i;t'e revisiou or amendment to the satisfaction of tJw community assembly.

Signing by t1JOse duly authorized may Iw clor1c through actual wrilingjsigning or the allix:ing of thumb tnar.ks, provided .rowever, that in e<1sc of the la\lcr, a rnem1Jcr of the cornmunit::· who is able to read <mel write sh~1'l sign as an ins!Pnncn•al wd.Pc~·.s. Thosl: authorize;:\ to sign iD bcbalf of the co•n·~nw;.ly, i!ldud.iot~ i;Js1•umcnt;.!l witnesses, shall thereafter lJrescnt tl11.:J.nseJvc~; ~)C~•Ye a uo1.a1·y for 1.\Jo'.· uppro:;ri<~tc

nolariaJ ucknow!t dgment.

Sect1.on 35. Frenal Review of tlo.e ":t.01\ ~y t:he !_,ega! Affah:s Offi.ce. T!1e \!lOA shall be reviewed by the Legal Affvirs OtTice (! .• 110) pJ·ior •.o !he endorsement <.; 1• the FP!C rc;:porl by ADO to the Commission. The I.egal advisory of 1he LAO shall. form part of the FP!C I~cport of ADO.

In cases wl1ere the l.;;egion<-tl Dircc•or is <H.<t.bor!zeJ to issue the CP, the '\IUA sllall be reviewed by the Regional Legal Oflicn or WJY Legal Officer wlw has noL participated in any stage of the FPJC Process.

Section 36. Non-tn.'1.nsfer.-a.ME":y o~ F:r'.'e p,~Hlt. P:ri.or !n.fon.n.ed Conse!'t. The consent of the ICCs/lPs for a parLlcu!ar propusal she•'~- not be transfernble except i.11

cases of 111erger, reorganization, lnmsfcr of righl.s, <1cquisition by another entity, or joint venture, to any other party, and t!1c S<unc is provided in the MOt\: Provided, however, That the transferee shall assume the obligations of the tn:msfcror, olhcrwis<· a.nolll<.:r FPIC will be required. The trtmsferec may im1)rove the terms and conditions of the MOA nffording or providing grcai.cr hene 1'i•_s fo,_· the !CCs/lPs other than thusc stated in the MOl\, or may propose ot1.1er terms ancl conchtions thm would up11olcJ the inter<'st and welfare of the concernec1 IP co•nmu!Jity. ~.;;\lch c'1ange/impruvemctJ': in th<' MOA shall bc<.~r the ~Lpprova) of the Co.!Jnnission pun,,•,n'' '" lhis 1 ~1dc.

ln the circun1stanccs n1cntioncd in the imr-:~'(!;a,_c-'.v preccc!Ing paragra:)b, the transferee is required i.o execute a form<Jl unc'crta]<ing, with notice to ilw representatives of the ICCs/lPs concerned, that upon the effectivity of the new set-up or relation brought about by lhe foregoing circwnstances, tl1c transferee sha:J faithfully comply with the terms vnd co'1diti(l'-lS of the MO/\ 8Jlil that they sha:l observe and assume all the ob;.ig<•tio!JS stipula!t:c1. in the sa;cl VO!\. Jn 11-jis cun'1t:cl.!on.

it shall be the responsibility of the l_ransieror 1 (J ;tJ!i.:>rm 1.t·J.risferee of tl1e c:xistcnc(' cd MOA before the perfection of the new se~-UIJ or n:i<\1ion. l.j!~ewise it shall be Pw dutv ol the transferee to inform, in writing, the ICC~.; lFs concei·Jlecl ;_md ;\ClP of -the: irnpending 111crger, reorganization, transfer, acquisi· io:1, or _ioint vcuturc and ~.hal! bt~

required to subn1it the necessary clocumen:s rcou.ired under Section 7 of this Guidelines to ADO fmd to the representative of tl1e JC.CsjlPs concerned. --'_.// __ /- ,.,;:;,?

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The prccc·Jing paragmphs shall not apply when it is exprt>:,;sly provJ(lccl in the MOA that a new FPlC is required i.n the event of merge•·, reorganizntion, tr;;q:<Jer ol rights, acguisit:io.1 by another entity, or joint vcntt•rc.

Scctiox1 37. CornqJiaints Rd.;.\ted'. to th.e I>li:en:-.orandul\11 of Ag~.-ecrrv~nt. Auy com plaint invoh ing the iulerpretation and impkmcnla t:ion of the MUA shall lJe resolved first in the community using the.!r tradiLimwJ conflict resolution process. l.f the complaint is not resolved using the C\.1 stomary sy~;lem, the complaint_ shall be filed wilh the appropriate NCIP R~.:~gional HeaTing Office (J'-\HO) for disposition. Tlw clecisio~1 of the J<.HO may be appca'cd in 8Ccord.m~cc witi_J ~ 1 ,_e •lrovisior•~.; of Adm:.nistraiive Circul<Lr No. ] , Series o~' 2003.

Section 38. AppHca~Uity of Cv.srtoro.;,>.:•::r :t.<.r.'.>JS R;nd Impc·s::.uo.C\ of S<.tnd:iom;. foJr Vio1ation of the Terms of tht.! MOA. Any pen;u·.tjpuY!y who wiUJully violates u1 fails to comply with his duty or ob1igo.t;.on unc1cr iht~ provisions of lhe MOA may be held liable in accordcmce with the customary l.2ws aud practices of the hosl or concerned ICC j lPs and sanctions may be imposed in accordance t}wrew.\t!l: Provided, That the stmclions are not excessive, cruel and degrL~ding, and without prejudice !.u the exhaus'ion of conciliation and mecliaJ.ion effor!s ))y the NCIP, and the exercise l'f the latter's visitorial and injuncl:ivc powers. 'l'bis is without prcjuclicc trJ u.ny action that any person or the comnnmily may !u!.ce bdore the proper courLs for llw enforcement of civil, crimiHal or adminisLrative liabil_it.y.(41.\)

PAJ'RTVlf

Section 39. CommuxAi.lty-SoF,ci:ted. or. ~sL1.·U.:;:o.+.-:!t~ Actf.viHes. Progrwns, projccLs apd aclivities soL.cited or initiated by Lhe concernvc: lCCs/!Ps t:hcmscJvcs where the activity·m striclly for the deL:very of basic services to be mtdcd.a~<cn within or ai'fccti11g the ancestral domain, do not require compliance wilh the FB!/FPIC requirement as provided in this Guidelines, however, they shaJ.l be subjected to Fl va];d<J.tion proccs~;

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where the following shall be determined: ' ·

a. The ICC, in fact, voluntarily solicded 01· ioi.tial.ui the pl.nn, prog,·am, proJect ur activity to be undertaken;

b. T!1e plan, program, projed or aclivity co•1forn1s with tbe coJrununily's A0SDl'l' or in the absen.ce of U1e J\DSDPP, the concerned comwunity con::;it~ers tl1e same to form part already of the ADSDPP thal Lltcy will formulate in the future;

c. The ICC knows the extent of the plan, pnH!yam, project or activity and ils socio-cuHural/ envirunmenluJ i'npact to Gw co.mm1.1nity;

d. The parties ack1ww!.cdge their oh1.igu~io11s; or

e. The plan, progran1, project or <-• .. ct;_vity •s for U..e delivery of lxwic ::;crvices or livelihood projects involving con 1m lU 1 ily.

Section 40. JP'rojects, prog)('ams aw::l actf.v?,~ies unde:r.b.ken bv NC!P bv itself or ilt cooperation wit:b other. govelino:ncnt agencies and JLGT~~ Project;. Projects, programs and activitic~ under 1_Ltken by NCT.P iLself or in cooperation with other government agencies <md LGU projects shall also be validated io C.ete1 mine if they coincide or cmnplen1cnt with tbe -devc~opment priorities of f1K community and will not in any W8.V adversely affect their we1J-hci•1g.(n)

Section. 4L Foreigl!l'. lf!'unr!.ec P:roi~c11: 1'Jndt~lrt;?,!~Cen r.n Cooueration with the NCIP. NCIP may enter into coopcralion .with foreign funding ag~nci.es for projects involving delivery of bnsic service~; or for the promotion of economic and sus_tainable f

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devclopnlent, in which case, the rcquircmc.nl.s of FP:C may be dispc~l:.>ec! wlth Dm.1 t.hil' only validation under the prccec:ing sections of this Guideli.nes way surl'ce. Proiects undertaken by international funding agencies or i1 \S!iluLi.orJs bv tlJcmschcs ur in cooperation \~ith non-government organizations o1· insttturions shall, l1uwcvc•·, bt: subject to the approp1·iate FPlC process as provided in the appJice~b'c provisions of '.hi.s Guidelines or other pertinent NClP Guidelines.

Sect;.on 42. Exercise ofTtLadiO.or.ai Res(>"l:tc·~-~sc Rights. Gal.hering, !Willing and such other t:aditional tlse bv members of Lllc lCC/IP of nat~Pal rt:SI)ttrce::, found within their ancestral domain in~:luding galhering of r~·-~tan and olher Ji1•rst pr()(!uc~s for family 1 pcrsoual consum.ption, subsi.stcnce and !ivdihood, do not require the conduct of Lhc FPlC Process as provided in t.hi~.; Gt•Jdelines, provided, tlnl the usc shall be limited fc1r the ICC/ lPs' traditional use. To avoid circumvclltiun or abu~;c of Lhis provision, the NCIP sl1.a1l vnlidatc such uliliznlion upon the comp'ai••t of any member of the ccuncil of elclcrsj:eaders.

Section. 43. O~jects rtnd. P.rocess of v~~::~fl.a:Ec·h~ .. Where vulicHt.iOI.l i:; required in the sections 39, 40, 41, and 42 to c:etcrn•iL\e t!•e <.:onscnt of the Cotr:rnunity, the proce~·;s shall be as fol~ows:

(1) Tbe l~cgional l)irecLor, motu proprio or upon receipt o:· Lhe writltn rcques! for validation, shaH constitute~~ tee:'.ln composed of not more !han ihree (3) from the provincial office 0!' esc, as the cast: may be, to conduct i.' field validation;

(2) The team sha1! immediately C()T;c~ucl t 11c va'iC<tLion <:md Jbet-eafler s11bmtl

the appropriate report, '.>rcpared u nc1J' r ('cJ:1, to t11C I..:egionaJ Din:c~or within ten (10• days !i·om comnlenccmcllt_ l 11e,·c· ... r;

(0) The process ofval.iclation shall be c;ouc t1.Lrough intcrvi<'\VS c.~Celdns/lcader:-o

~ and other community members; <cmd

(4) !J the \aliclation yielded positive report, the Rcgional Dil'eclor shall. within three (.S) clays, from receipt, prepare th·~ CP .::mJ valida:ion documents to be transmitLcd to the concerned commissiopcr for concurrence, copy fw nishcd ADO. Once concurred, the s<-LUW sha.l' be endorsed lu iJJC' C!wi.rpcrsnn for confirmation. Otherwise, the Rcgiona1. l)iro:d.or shall n_:!urn rlt: docll 1 l\Cil(S

to the applicant/ petitioner.

Even if an activity is covered under Sections 39, L10, 41, D.ud 42, the i'-JC!l-' may exercise its injunctive powers upon a written complaint or any member of the affected community to enjoin the conduct or continued implementation of the program, project, plan or activity in order to safeguan1 the rit-~hts nnd interests uf the community. (34a)

Section 4tt.. Eme:r.gency Cases. \\ihen: t lH: conduct or p:aJ 1S, P' 01eUs or activities of the governrncnt or anv civic, r-c~igious, or sin1ilar org:u1i.ratio•1s wi1hm <-u1ccstra.l. c1omain'' 1s 111 resl)onse to enwrgcncv Slcl'aUo!lS invul\'ing DubLic urdcr, heallh, security or safety inc~uding military opcnt1ions w;thin Hnn~s!r;-il domain areas when u1ade in connection with hot pursuil opt-ra:ions, securing Yital govennncn! installations, progn)mS anc1 Ilroiects against clem· ;·1~d i.nuni'lent d&•ger FPIC shall nor be required.

Section 45. Regu~,ation of ~n.tr.y of Vigrants and Ot.~.er Er.o.tf.Hes. /\!J mignmts and other entities must. first secure the exm-ess penmssion of tl-w community's Council of Elders/Leaders whn shall, in accorcJance \vith their consensus building process, community practices. customs a11d traditions and U)1on the tree and inf~rmc~l prior consen: of the community membt:rs agree to accept such 1nig•·ant or~ ent.1tv wtl.hm the dommns, sub1ect tc) the foUowm!! conr_lt• wns: / · -1v

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a. Sajd persons and entities can be allowed to perform activilies as <Jre cxpress.;y authorized and which are not inimical to the t

1cvelopment o· t!lC ancestral c!omains and cultural integrily of t':1e ICCs/IF's, nncl

b. The lCCs/IPs shaH mainlajn the Tigllt. to im•Jo~;c l'(~llcdl.ies f·.•r vio:~UIJI]~; ur the umcllLions in w:corc'ance wit'n d.1c·· cu;;[uFwr.v 1aws

Section 46. J'lP~C o:f Reset!t~<.~il/"Ze~oca·':e(l '>Y: "):lspJr.>.cca. !.CCs/!?s WU.h:~n Public Dt..'1nains. A group or a comm.unity of 1 CC~;;:.r'~; oc<.:upyi.ng a p(\nion of public donwin, whether o::ts u resull of a rcsetUcn.J.en.l or rclocDLion project of lbe goverrltl\eut or as a result of d1splacement, has the rigbt under Secl_ion 7, paragn.tp.1ls (c) .:md (d) of 01e !PRA to be provided with lands of qua.Jily and legul ::;tatus at !cast cquul lu that of the land previously occupied by them ~:;uitab~e tu ~)l"OV;( 1 e ror their !.)!'cSClll ncec!s Dn<.!

future cleveloptncnt; hence, '.be said lCCs/ IP::o :;h;l[! not be 'rcat.cd ns mT.ratJts ,,nt1 UJ!\

likev:;ise exe1·cisc H1ciT right to FP!C.

Sect!.on. 47. FP~C Rights of R•~sd.:U.t.::~~., Dr.s:;~.<>.c~d and Rdocv.1:.c0. U?s as we~'; as Mi.gJrant: IPs J .. ivi.ng in Co-existeJP..ce wiC~. ~;he OJ!'?.g~.na~. ~Ps w~tb.ln. Ule D-:.,~ain. ln a particular lCCjJ.P communi'y where there exi~;ts resettled, c!isp!au:cl aud rc 1oc[l' .. cd lPs or migrant IPs rninglecl or in co-existence with lhe owners of t1w AU, the right to

Fl'lC of the resettled, cisptacccl and relocated or ruigro.nt lPs wjll depend on the custom, practice ~;r traditio'.l of the owne1·s o! the AD ;:J:owillg or c: isaUowin~·: the exercise 1hercor. \lv'hether allowed or no~. :t1luwc<! hy 1.'1c mnwrs or the An 10 pc.u :icipak in the FPlC proceedings, they sha1J li!(ewise 1Je c'ltit\:(1. !.o ~~1C' hc,lel''s h'; \'irluc r/ the MCM and lo com;x~nsation for damages, loss or .io:ury Lo tlll::m or tbcir pruperUcs. The oblig<1tion to compensate the rcse!l:]nl, d:(;::'Hct·t1 w•cl n~1 oc:<,Lt•d !.?~or l'tigr.ctnt 'Ps of whut is rightfully due them shall be n'C0f,'1tizcd by lllc ~·;)pl. iumt in \\''it;,., g ciEw:· i" ttw MOt\ or in a SC!Xlrate 1Jndcrta.king made as an \;> 1 cgya~ part of t!lt~ \'<UA.

Section 48. Sma:U ScaJ.e Qt.u~rry l\?p!·oveel by the Loc.cl.l Government Un~i: {I.GU). The CP for smaJ.l-scaie quarries, whose pt:mcits w-e i1-;succ: by Local Government Units (LGUs) shall be issued by the concerned }~egionul Director with the concurrence of the concerned Regional Ethnographic Commissioner am' <~ffirmation by the l'\CID Chairman. A copy of the CP sha'l be !'nrnislwd lo ADO, ll1e concerned Prm·inci<.ll Officer or CSC Heact, as the case may lJc.

Sccti.on 49. Comm\!.nH:y-b.i.t1.2'.~:et1. c'r. So!'.d<:erl. Research. \;.:csedrch ucti\'ilics solicited, commissioned or conducted !Jy the C<)HCtTJwc! !CC/IP then.1sclves lu be uncle1 taken within or affecting the ancestral dornain, shall be governcc1 by the Guidelines on TKSP/Cuslomary Law research c.md docurnen 1.ntion.

Section 50. Steps in the Deda:r.af:i.om. c•f E~~ ':>y t~.e !J.CCs/'!J?s. ln the declaration of tl1c EPR by a P'-'rticul;w ICCjtP CO'I!.l'!llt•i~y. 1 .. 1.1e following rnus1. }JC

observed:

1. Com.:m.unity Assen1bly. A con1utC<JL;'Y osscrn1J 1y of all men1bers uf !he concerned lCCjiP ·::ommunity shall be he:cl, nt i~1c c:o 1 nrPunity's own initiati\e and expense, with notice to NC!P.

For purposes of this Guidelines, the comn!unitv asscml)\' of a.'.l rucml.JtTs be ctcemed sufficient and shall proceed a~'ter co~np;yiEg w;t~l the i;J~~owing rules:

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(a) Every houscho;d i~ t:nlitled to o:1c r·epre~.cnlatlve nncl, at ~c;;~,;'_, nwjont\ of th.em must be physica]Jy pn:~sent <.

1t.tl ing t~w colllll\11niLy assembl\;

{b) Majority of the representa~ives of Ll1e commw.•ii:y iclePtiricd as !Cc{Ju~1sib'c to make decis1ons for the community <.tic a..ts'l prcsen';

(c) Tf it involves a CADT arc<J, the rcorcscntati\·cjs iclt:ntificd Jn tl•c cbirnbook or lll<cljor'ty of t~lCPl must a~c;o ~;e nn::senl;

(cl) l'u.lJJi.c officials, officers o,- etnp'c,yc:es v;hu att· members uf tile cc•!'Ut:.l'.llli~y nwy be allowed to pa.rticip<:.te iu lh<: comn1Lll1llV a~~~ernbly but ;•s orciinary rncn1bcrs, elc:ersfleac.1ers or UJH1J1'JL!nity retvcsc•d;J1ives, as Uw case may be.

<.J. 1-.:cvicw of the popu~ation of U1c conn:n•t·d !CCfiP comwt·n~ly. '~cJereJJu~

m.ay be made to the CADT applice<.tiolJ, tbe /\DSDPF forrnulatecl, and/or ' ~ an~' other credible source of clata/inf•.'fiT'ci':ion;

b~ Tnfonnati.on, T•:ducution, Consultation (JEC) on lPRi\ «•J<! pcrtineut orovisions of its IRP Hnd currt:ut t\ClP gJt.~c~c:incs;

c. lc\entification o', <mel discussion CP.l, the lJdT~ icular na.h.Jral resource lWl'J

which the community desires to cxcrc;_sc pt·iority rig)lt, incJuc.i'lf~ _Pes

specific location; am.l d. CustomEu·y processes of <.uTiving <tt a c<,mlnitnity consen:-;us.

2. Community Resoll:ltion. Should ihe co•·nmunity dccice to exercise their priority right, afl_cr complying v\~th tl1e foregu;Pg, c> community n·s(11ution sbc.tll h.: drafted, discussed, finalized ~mel <11JJHOved 1:-y a rnajori 1y of a'l Lhe mel!l 1x:rs of the conccrpcd. lCC/ 1.P con1lnunily during the sr•Jne nsse•r_,;J~Y or in <•.llolher i\SscndJ!y, <'S the case may be. The resolu1ion. :o:!1all, o.rnong o1 !1crs:

a~ Identify the specific natura~ res0u 1-ce; b. Delineate in detai: the speci!ic lc·cat.ion <"Jll~ u.n.·n where the sulJ_icct J~<:!luraJ

resource is or rnay be fouud; c.

d.

Describe the capability and/or capacity of t.hc community to undertake the activity they seek lo engage in nc.; consequence of the EPP; <:Uld List the names of community eldersjleadeJs who arc 3uthorized to make the cJeclaralion of EPI<..

The approv·a1 of the corDruttnity rcso:u.tion hy a~I P1tmb•.~rs or t!1c c'Jnc:ernec1

1CC/ IP cmmnunity shall be deemed s1.! rncient <1nd ap!Jrovcd if signed or thumbmarked by a rnajority of all the members nnd repr-csc:n':.ativcs physically pres~·nt dunn~,~ the commn nity assembly as mentioned i1.1 Ar1_icJc !! r, S~:ction ( l).

3~ Declara.tion of E.PR and EPR Plc:.n. The cidcrs,fica.ders 11amed and aLllhorized i11 t!l·~ cornrnun.ity rcso11.1tion to rn.ake the (!eclaration_ ~b_aJl nlLt~·.<:c tbc declarn•im1 of EPT<.. The declarDtiOP s~1a'l ir:-.c)U(~c a" l~P'.~ !'lan w 11icl1 sh<.iJI contain, nm<mg others, the following:

a. Uer1eraJ infonnation abuul +..;.~c f\nccs'.raJ. Uom<•..in anc! the !CCsj !Ps of 1.' I(' ciTca, includirlg indigenous land use ~J 1 a1', if ex.is•.ing <.Hlc1 <.wail:1blc:

b. Furpose of the declaralion; c. d.

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Natural resource for devdopn1cPI, harvcstin!:';, exlractioD or cxlJloi•.<ttion; Specific Location and area of the proposed sile/s accompanied by maps, 3D rnaps, sketches and/or other n:w.t.erial reference monurnents as annexes; Projects, programs, ac~ivities or Ull(1tTtf!_ki!lgs to 1Je pursued t(, rc<;lize tlJ_c purpose of the EPR; ~)

--- .. ,·t;:\1. '\\ Sco~c and duration of ouerHtion;>.1 ph.'.t'/s for c\'C'"Y act'.\'ity· c.

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g. Capability of the community to unc1crtake 1he same or !o engage a qua~if1ecl partner;

h. Confonnitv with the existing ADSDPP and/ or the l'>JVironmental Conservation. and Protection Program of tbe concerned !CCs/H's as provided fo1· under the IRf-( of IPI~A;

1. Existence of a duly org<:mizec.1 IPO registered w1d recogni.zed by NClP; J. Recogt~ition and Observance ofiP Governauce/Dccision.-ma),;ing proces~'es; k. Existence and feasibility of EPR Plw1 (ix. ECPP; L In the absence of a orovision in <Ul cxislinfr. ADSDPP, or non·exi:>tcnce of an

ADSDPP, a stateme~·it that it shall. be so in~Juded in the existing AD::..;DPP or in the one that shal.l be subsec;uently fonuulated.

111. How income and/or benefits wiU be n1ana[?}X~, sbarcd, used anJ acccun~ed for; a11d

n. Name and personal circumstances or lbt:~ authorize(\ elders/ :eade,·~. who made the declaration and their signatures or thumb--maTks.

The community may request the assistc:mce of .r\ClP in the preparatim1 o'· thc.ir EPl;;> Plan, or an NGO duly accredited by NCIP.

4-. Where to File. The dec1,aration of EPl\., alor>.i,; with its annexes, including the cornmu.ni1y resolution, shall be filed, in five(S) legible copies, will1 the NCl P i<cgional Oftice ibat has administrative jurisdiction met· the <trea declared for LSPl-\. !r the same is filed v,;ith any other office of the NClP, it s 1!a!J be receivl~d aDd ;rnrnec!iate1y transmitted or endorsed Lo the concerned regionnJ. o'.Ecc.

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Section 51. Validation of the El'R L'lecl!:~nxtic.m and Validating Team. The validation of the decimation of EPR s~m1J be do1:.e by a Va!idati.ng Tecun to be constituted by the Regiona_l Director front among personnd or tl1c appropriate Community Service Center, Provincial Office and/ or Regional Office, which rnust not be more.,than five (5) persons. The Vali.ciating Team s':1a1l use as ils reference aJJcl/or do the following, among others:

a. CADT Claim book and/ or ADSDPP record, if existing. ln tl1e absence ttwreof, the b~wangay census or IP census collductcd by the NCJP, and other official documents produced in the performance of NCIP's mandate;

b. AD Profile, if existing,. otherwise the team shall nssist community in mnking one;

c. Verify and validate the community r.::solution, t 1.·1e dec~aration, al\c\ other pertinent data/ information;

<~. Get a cc,py and validate lhe Communi ly EPR plan. c. Veri~y and validate the capability of th.e community t.o Lll'.derlalze E1e activity

which is the object of their ~<:PR m· their capacity t.o en.gage a qualifiecl partner

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Section 52. Engaging ·a paf"tJ~.~r. Should the community, during the process of valid<1tion, inform the Validating Team that it d.oes not have the financial or technical capability or capacity to undertake the activity relative to which tlH:y dcclmccl EPl~ and clesires to engage a specific 1.,_iud of partner, the Validating Tecu~ sh<Jll advise and assist the community make a dcc1ara.tion to that effect, through the elders duly authorized in the community resolution a..tH:l. who filed the previous ~declaration. After such declaration is made, following the principles of FPIC, a community assembly must be held, at '.10 expen:,;e to NClP except for personnel services, at which time the following m<tttcrs shoJ! be taken up and acted upon:

1. Personality of the proposed partner who shalJ lx· a llOll-rnem:Jer of the con1m unity or a juridical person whose i n.curpon,tors <:tre non·· men1 bcrs or a mixture of members and non-members, val.icUy org<mized and existing under Philippine laws; _/.- "r;?

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2. Finnnciill and technical capability, as well <u; t1·ack recocd of the p1opcscd pm·tncr;

3. Proposed terms anc1 conditions of the Droposed purlncrsl1i!) which must incluue, among others: (<.1) tl.Je c!ut;c~; and ot)1igations of the pm·lics: (b) !he determination, sharing, and release of bencfi 1.s; tile periCJd of pw·tqcrship: prohibited acts; and Conflict/Dispute resolution;

4. Sharing or expert cwinions by persons inviled ~y tl1e communiJy;

5. Open Forum;

6. Con sen~ us-building period wl1ich w.u sl inclLtt1e a rea::;una l)le tin1e fra.mc of activitie:; for such, the ma11ne!· by w!1ic11 il wi!lbe clone ,anJ L!te da•.c "}1cn

the clecision of the community wi1l be !l'u.<.le \.nown (n !he Va 1.idal ing Tcan<, by the authorized elders; anc1

7. Other matters that the corrnnu ni1y n1ay c;eeJJ1. necessary.

The com rnu nity may deci(!e to accept or n·_iect tl1c proposed part •.1cr. If rejecter.!, other persons may 1Je consicle~·ed, ir any. lf ucceptec3, t11e appropr;;de 1\·:0A shall. be drafted.

Section 53. Memorandum t.if Ayr·ec1w:nt (!liC.A} an Par·tnership. The lv'01\ bdween the commumty and the chosen p<1rtner shall be drafted <tnd c·c:·lic!iltcd with the community in n validation assembly .!~J.cil.ilated by t~Je Vu'idating Tcclln, at the expense of the proposed par!ner, to deten>Jine Cl)n:1~):i<.tnce with this Cuidelines and other pe1tinent laws, rules and regulations, and tl··e terms and conditions agreed upon during the commt:nity assemb!y.

SegHon 54. Report of the Va.Udatiti.[J 1'ea.rro.. The repurl of the Va1.id<ltion Team, which shaH be under oath, must induc!e a11 executive summary with recommendations. It shall then be su bini.t 1 ed to the ;~cgional Director within iJ ftc:cll I 15) days from the J:crmi natio11 of tl1e vaJ.\c!at ion period, who s~111Jl im.mediat.eJy refer the same to the R!<T for review within three (3) wor:cing duys. After receiut of the EI~T review report, the Regional Director sba1! 1 u.ke such appropri;lte .. \ction r11.: deems necessary, olherwise, he shall forthwith make a '.ransmi~tal of the cntit·e record, \\·.it.h his/her own recommendations, to the ;\')0 Din"C'J'r wf1n, a'tcr receipt, shall immediately request the LAO to issue legal opi.n.ion a!!d fP 1'llisll the concernccl Commissioner a cooy of the executive sunlHlary. After receiving the legal opinion, the ADO Director shaH request for inclusion of the some in the rtgendn of t 11c CSB for 1ts

next en bane session, through the Executive Din"clor.

Section 55. Action !Jy the CEB. After appmpriate c'c);bcratinn, the CF~B may decide to issue t 11e forn1al acknow!cdgment t•f EPR and/or direct ot;1envi.sr~. <.l~> J'.

deems fi.t. Should 1L decide to grunt the fonnal acknowledgmeut. tl•c same sh;_;!J be embodied in an En Bm1c: Resolution and thr.: con-csponC.ing Ccrtifi.catiou Prccondi~ion shall !Jc issued ;.,ccordingly. Should the CE:J dccit 1e not in cont1nn the EPf-< declar<cl.tion, its denial and the grounds tl1creof shalf be cm1.Jodied ill a11 En Bane I<esolution. All su~:h actions sha11 be trw.lsinitled 1Jy ADO to o!hcr appropriak government agencies, the community, the partner if apu}icable, und the field oiTicc/s.

Section 56. Limitation on Forma} ,Acknowledgment of EPR.. ln 110 cnsc shall the formal acknowledgm.ent of a declaration of!.':?!~ by the CF:Fl ~Jc p1-esunH:cJ or considered as a grant of CADT to Uv: cori.lmUr>'<Y over their <'nce:::;tn·•.l domCJ..in nor shuJI it exempt an AU clmn1 fron1 the process tt~Ylirul Ui!C'er !.lie !,.nv <.\!ld •.llt' r;zlJk~, otl

dcl.menlwn and titling. It sh<Jll not a'so <:xr~m:Jl 1.hc cnmmuni•.y from cor.'1p'ying with the requirements imposed by concerned regula1.ing agencies, l11.>r

MOA without undergoing the proces::; provided above.

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Section 57. App!icahility. The foregoing 9~·ovisions on EPJ< slw.ll be obr;erved m the processing of all EPR declarations, including those pending !)efore Rq;ional. Provincial and Service Centers. All EPR (:ecl<!raliou:,; officiallv endorscdjtr;:,msmilted lo the Ancestral Dorna.ins Office before or 011 t!1r: Jay of ~fii~c•i,·ity of ;his Guidelines shall continue to be processed in accon.lance wi[l1 1\dminil,tWU\'t; Orclc!· 0 1 , sc,_·ics of 20(H, until approved or denied by the Comncission.

PART V'!.!-J. MANAGEMENT OF ROYA'"c/nJ<;s & S!NHLAR BENEF!TS.

Scctio:o. 58. Natu:o:c of ~oyeJ:Hes. RoyaJt_ies s~J.dll not on 1y be l:Tdkd as economic benefits due ICCs/I.Ps but socia~ justice mca:_;ure. and in 11ll' .•nwwgcnll:n\ of the same, the inLr-gcncrai.ional r~ghts of TCC~-;j!P~; 1\1!'.sl be rc·cogruzc,l, ~r·.>molcd a~1c proU,ctcd. These ::1.rc entit!em.ents of fCC::;j!PG a;,; pari: of their 6'Lidl'ankcd rigl1<s undcJ dOJllCStic laws and international agreements, CODVCflli(\llS or cec)a_riJI iuelS.

Scctio:o. 59. Person Author.f.zcd to Y..<',nage. On~y the duly C!rgnnizcd, !\'C!P n.:gistered, IPO uf the concerned ICC::;jlPs shall'JC' e~utho1·izcd to r-eceive <uH! t!l<l!l<'!-'/"

the royalties. Protection of the royalties that arc recc\vecl. by i 1. shaH be provic.!cd in its by-laws and manual of operation, provided !.ha1, the s;_;me shall Le compliant, [Uld not he controry, to pr.wisimls of this (3 uicle~ines.

Section 60. Rele~.se of .Roya.l':y ~·ees. Tbe roynlties llLYV he released <~)

directly t,> the acc01mt of the JPO of the 1CCs/lPs duly establishccl for the pr•rposc, or b) to a Trustee Bank agreed upoD which s11a1l., iLl. turu, be respon:>Iblc for n"denscs to the !PO account. In botl1 cases, no releal>C sl1.all be m;•L'-c by the cumpanv to ilw !\'0, or the trustee hank to the IPO, without the co"cunence of the Cmmnissioner from the Region and the Chairperson of J\:ClP du:y scc'xrt:d by the IPO. The concurrence :s intended to ben check on the nse C>f the fu'Hls 'mscL1 U!' Lhc C!~Dl-'

~ction 6~,. Co:mnnm.i.ty Roy~Jty Dcv~i.<:-pn.H."'nt Pl!u1. (C.RD:?). 'I'ht~ JCC/IP receiving royalties and similar fees nmsi forn•.ulate a development !'lnn for the management fmd use of the same to be known as the CP.DP. In the fonnu 1ation of the said plan, the ADSDPP must be considercc1, and the ~CCs/IPs can cugage the services of a reputable public or private <•gency to provide COlJSUltancy <:we:; or tcchn;crd servi~~es. The CRDP shall be subject to confl.rmation 1_ly !.he 0Jmm's:;io'l Ell Halle aflcr verification and validation bv U.1c concen>.cc! fic!d uff\cc.

Section 62. Use of Roya~.ty. T\1•: roya.\tie~, rnust be '.!sed for programs and pr~jects that will rectound to 1hc v,:ell-bei.ng and benefit of the lCCs/'Ps entitled to it. lt should have allou.1lions for: Emergency concerns; Investments which mi.:ly be short, medium or long term; Livelihood and social c!evc.to1)men l projects which must be allocated n.ot less than 30'% of each <Jnd every release; Eclt'-cation and lraining or rne1nbers, basic cr professiolli..ll; Capitalizat;_o•J for e<.>OtJerative ckv~lomneut; Crec1it facility; Sa.! aries or wages of persons engaged to perforrn profcssion<•.1 s,-rvices: \-1 u t '.w.l assistance, and the like. It lliUSt never be llscd as ;•ay•ncnt ~""or danl<l[!;e!.; caused \Jv the proponcnl/cmnpany's activitit's to lh.e person und p!upcrtit~s of Cl.)] ind.ivic.hu;; Jflemht:r,

<•.s this is a distincL obligation of the company and !"Iu!. part of royaltH'S

Section 68. Transparency Mechanism. Tilt: l PO shall prcpa.rc periodic

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--c::.~--financial reports, and at1.nuct: financial stateme!.:.ts duty audited, anc! fur·nis)1 copie:; of ~ the same to the NCJP. The same must also he reported to the genc,·;,.J. tnembership <luring the annual assembly that mu:;l be convencc1 to tack:e un~.u1cial and other community or JPO concerns.

Section 64. M.onftorf.ng anc. V~sitorf.aX P'owc:rs. In the CXCH:ise of its lllilndale to protect the well-being and promote the righ 1.s of ICCs/IPs, the "\CIP may direct financial and management audits of IPOs managing roya~ties and ot)ler exercise its visitori<:u powers as provided for by l.aw.

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Tr-''AI"."f T.X :P'ROJ:llJJ:tXT~~!) AC'r'3 J\1\!'0 l'~EM.!~Dt"~S

SecHo:n 65. Prohif.Jited Acts. After H1': fi.ling of the appEcat.ion and during \ . the period that the application is pendin1~, <my of the following acts or omissions are hereby declared ciU1cr as acts prejudicial to tbc interest of the !P community in the allainme.nl of tlJeir conse.DJ or acts .in circwnvention of llle intenl of the 1,w.r in requiring the free, prior and informed consent of lCC/lP community <•nt1 me t11ncfnre prohibited:

cl. By the appli.ccmt:

1) Em.ploymcnt or usc of force, threat, coeu:ion, in.tirniclation, at any degree or in any manner, including those d.o.ne by individua~s or group or pcn,;ons acting for U:.tc appliomt;

21 BringiLg of firearm/s .itt the cornrnunity during visils by the ar)p~icr·ln! or group of persons acting for the applicaJJ!. When needed, mmcc! s(·cLmly shnll b~ obtained from locC!1 po1icc <Luthoritics or the AFP as requested by !'lCIP;

3) Bribery or promise of money, pr!.vil.egc, uem:rit or rcw[~rd ol.lwr than w:u1t is presented uy the applicant duri!lg tbc consuHa!ive community assemtly /first meeting (Sec. 22 and 24] wilh the elders/leaders;

4) Ch:mdesline or surreptitious negotiations with lP individu.aJs, some memben.; of the community concerned or leaders r!.onc, without the knowlc(lgc of the council of elders, leaders or majority of members of the cornrnunity;

~-)) Donations to t.he community or to any of its members for tiJc purpose o.! il!flucncing the decisior. of the JCC::; j ,1 Ps.

6) Holding of unauthorized meetings such as but no~ limited Llt wining <'mdjor dining sessions, and the like or such olllcr activities willl Uw NClF' Ofticial

·~ and personnel a_nt!.jor rncinbcrs of Lbe affected community, with the intention of undu.ly influencing the result of t 1.1e F'P!C process.

7) Deliberately delaying the progress of the FP~C process which cause division among the concerned ICCs/IPs.

1. Acceptance or receipt of monev, gii'Ls or other valuable thi.ng from llle appli.cant intended to unduly inr.!uence the outc:o•uc of the FP!C process;

2. Consorting w.itb the apphcau! or wilb <'ny pt:rSOil con11ccted 1o or medinttng for the latter intended to undu1y ln11ncncc Lh•: outcome of the FPJC pwccss;

3. Dcliberule fa.ilurc t.o act appropriately on compla.ints coming ti·om the community concerning proh.i 1Jited acts C\l'1mtitted by t!Jr~ apphcanl or the latter's representalives;

4. CTross negligence or delibcral_c o•niss;.on to nerform his duty required of him by this Guidelines;

5. Acting on or performing his dul.y in c:oJJsicit.Tation of any offer, orumisc of future reward, privilege or benei"it from the applicant;

6. Undue interference in the work of the t:;"UlT/ FPlCT/ P..RT or dumg the

latter's work without being a .member thereof; 7. Use of falsified narration of facts in reports, attEichmen ts or any supponing

documents in the reports submilteJ with respect to pr;r, <emu all other necessary documenls covered by !. 11c PPIC;

8. Holding of unauthorized mcctir<gs suc11 us but not limited to w;JJing and dining drinking sessions, and the Eke or such other activities with the applicant anujor members of the affected community, with '.he intention of unduly influencing the result of the FPIC P"-occss in favor of the applicant!: .. and ~--/

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C). Deruanding or rccclViJlg .from the appLica!lt, TP communn.v. or supoon institu t(on~ like NGOs, government 8gencies and instill.! t ions monev, or cll1~ gift, dc1nation or other valuable thing outside the nppruvcd \\'ork dnd financiw and/ or supplemental plan for L11e conduct o!' Fl31 and FPJC processes.

Any other acts or omission by NCIP officer or em.ployee punishable or prohibited under <.ur}' existing laws, ru.les and regulations govern ir•g public officers/ em plovecs

c. By the IP Communi.ty or Member and/or Elders/Leaders

J) Solicitmion and acceptance or receipt of gifts, money nr ot\wr \·alu.tblc things from tbe npplicanl intended to 1mcluly influence I he oHkomc of the FPIC pDcess in favor of the applie<.mt;

2) C.;nsorting with the applicm1t or with any person councc1cd. to or medicltirtg for the latter intended to unduly iniluence tflC ol!tcomc of t 1JC f-']'lC pruccs:; in favor of the applicant;

3) Ncgolia,ing or mcdialing or transacting bus[ness ·v.rit!'1 Llle applicant \VJthont proper authority fi·orn the affected lCC/lP; and

4) Giving or promis[ng to give his coJJscnt in consideration of nny o 1Tcr, promise, future reward. privilege or bend1t from the applican~ other than what h;o,s been pru\'Jcled for or explained bv the opplican i to fl1c COlmci! of I::ldcrs or LeLtdcrs and commun.ity mc'Tlbers during tht> cunsultation meetings.

d. Other Pmhibited Acts by NGOsjCSOs/GAs/LGUs & Other Groups

Undue influence or interference with the FPIC process or l.o tllC CUI!ll:lunitv,

either to the 1ncmbers, elders/leaders or their rcpresentalive~,, exerlt'd by representatives ot' NGOs or CSOs or GAs or local government illslnunen~;;_lit:cs,

ind udin.g barangay officials and their functionaries, und those JW.Jcle by other en ti tics or groups with religious afliJi;.jtions.

Section 66. Sanctions. Sanc'tions ~>ball be i1Hposcd only afler due notice and after tbe partie~' are given tll<· opportunity to l)e heard, liS follov-:s:

a) Grave Violations. Commission of any of the probi\.JtLcd acts by the applicant/ s considered grave violations shall constitute a ground for the non-issuance of lhc certificate applied for.

The violation is considered grave when the cornmission of the prohibited net is intentional and h:ts resulted to loss of lt!(; or serious damage to pruperty of an IP member of the cor;ununity, commiucd by means of, hut not limited to, cmployme 1l or usc of force, threat, coercion, inlimidat[on, violence, including those donr: by individuals or group of persons acting for the applic:mll., including rcp('Htf'cl commission of prohibir.ed acts considered no~ grave.

Grave violations shall be a ground for disqua!i!'icatj.on on fu~urc applications for certificate precondition within ancestral domain an'<\S, without prejudice to !iling of appropriate criminal action against the otlender under IPRA or the .F~eviscd Penal 1~:oclc '>,··

and other ~;pecial laws. Tl1c impusition of disquut!fication can be lifted only tl pon petition by the individual or enlity upon whom the disqualif]cahm ww' imposed. slating the grounds why tllc t!isquaid!cation s~1ould be lifted. No su<h petit10n shdl be entertained by the Comrnission without the favorable recommendation of t_hc JJ' community colJcerned whose rights v_.-ere seriously vio1aLed.

b) Less Grave ViolaHons. Commission of a11y of the prohibited acts by or attributable to the applicant, may constitute grounds for the suspension of the F'PJC process by the Regional Director until such time that the violation is sufftcicntly~)

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addressed as certified •_o by t\1e co:1cerncd el.dersOeackrs, itl w~ich event, t11C Regional

Director sball orcL:r the continuatlon of tbe Fl:-)TC process.

Less grave violations refer to the commission of prohibited acts intentionally commitled, but w.l1ich do nol result to loss of life or scrio1:s c1amage to propnty oJ an

IP nH:m.ber of th.e coJnmunily.

For deliberate delay in the conduct ot U>e FPIC process, al !rihu1a1 -'~c to the appliu.mt, the application s1HLH, upon orc:er of the 1.<c:.;i'Ylal Dired.or, be n:turncd tc! the endorsing ugency.

lf lbe extent of the commission of the prohibi1ed acl would adversc1y a 1Tccl the outcome of the comn1unity consent proce~C·rlings, the said proceedings shall, upon written request, l)c suspended by the Rcg<onal Director vntil it is :;hov:n thal the prohibited act doJ".e has a1rcady been addressed.

c) Commission of any of the prol:.1ib!Led acts by or allribulaiJle Lo "-!ClP ofriu:rs or employees will be proceeded against, and proper sanction sh<e1!l be imposed. in accordance with existing laws, nlles a.nd regulalions. ln addition, he shalJ be, upon finding or pr-ima facie evidence, immediately divested of his cllJthority lo be !)i1.rl ol tl1e proceedings upon order of ! !1c l~egional Director aud the former will be p1 oce.:-:ued against criminally and/ or adn:tinistrat.ivdy in acu·~-<~:YlCC with the Civil Service Ru!.cs <-md Regulations on discipline.

Cotnrnissicm of any of the pro11ilJilcd acts by or attributable to the 1\!ClP Regional Director or the ADO Director sl<aH, upon finding of prirnafo.cic ._;vidence, Dfl.cr bearing, immediatr.::Jy divest himjller of hisjller aufboriLy lobe part of the proceedings upon order of the Commission. In addition, the Commission shnll llle the necessary Criminal and Administrative Charges against the erring officer.

d)-~Prohibiicd acls committed by any officer or employee of <'IHY Government Agencies (GAs) /Local Government Units (LGUt:) wiJJ be proceeded against, aud proper sanction shall be imposed, in accorc1ancc with exis'jng laws, rules and regulations.

e) Prohibited acts committed by any rnember of I\GOs <md other groups or individuals shall. be a ground for a warnlng, cont.cwJJt or exclusion from the FPIC proceedings applying the Comrnission's subpoena ;:md contempt powers.

f) Commission of any of the prohibi~cd acts by or aLLributabil: to the IPsjiCCsjEid.ers/L•;adcrs shall be first subjected lo customary laws of tlH~ aff,:clecl community. When there is nc> rchcl, a cornplainl may be filed by t~1c aggr.tevcd party with the RHO for the enforcement of the decision m~tde under customury laws or for the aw~u-d of damages. In no case shall the RHO issue an OJ·der or j1.Iclpncnt for the suspension of the FPIC proceedings or for the non-ismu:mcc of lh<.:: ccrlificate applied for, or if already issued, an on1cr orjudgmcnt for its revocation.

Section 67. ..;. ... urislliction of RegionoJ Hearing Officer on FPIC Controversies. Violations of the requirement of FPIC under Lhis Administrative Order shall be dealt with accordingly. For lhis purpose, cuses involving violat.ior1s of l he requirement of FPlC which arc within the original cmd. exclusive jurisdiction d the Regional Hearing Officer as provided undet· i\d.n1inis1rative Circtl!ar No. J, Series of 2003 slu.Lll refer only to cases where the plan, program, project or activity was implemented without the required FPiC.

Section 68. Hearing t:.'f Compr.a.ints !x:J"->re .Application is Endvrscd to ADO. Prior lo the endorsemellt of th.e FPIC app.!.ication lo the ADO, o•· isswmce by lhe Regional Director of the CNO, a1l corn plaints involving irregularities in the implementation of this Ouidelines, including commission of any of the prohibited acls shall be filed with C>e concerned Regional Di1 ector. co:>y furn:sllcd the FF\I /FPLC-'I'eam & - /ry----~ ?§

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leader. Within ten (10) days frow receipt of the complaint, the FfHjFPlC Tt:<•lll ~;'wn submit !l s an:;wcr thereto. The corrmlai!1 L ::;l:wil be resolved by tbe l<egio'.l<l~ [Jircctor within ten (10\ days from rcceipL o(thc answer or cx~)ir;Jtion. of the period ~'or fjJin}~ 1 hereof. The resdu tion shall address t}'1'-.: irn:gtLIBJ"i 'y or in cDsc u!· cornm.is::;ion of prohibited acts, ri:u•n1mcnd to the Commiss;.on to im'.:•r,:;c Lippropria'.c sandioJI~;.

No motion for reconsideration shull be aiiowL~c1 . The remedy of the ''f'.gricvec1 pmly Is to file a petition p~1rsuant to Section 71 hereof' within ten ( lC..l) davs from receipt of the Jecision of the l::.eg[onal Dircc'or. Tb.e aggrieved party nm:;t b<: £urnislled by 1lte Regional Director a copy of the decision o•1 t~•c vc:·y date that tbl' deci~:;,on is renckrcc\.

The filing of the admio~strative coru plaint sh a:l no', as far as prac:LicalJl<:, slop the FPTC process or of the processing, or the 2l)ph·:a'ion n11lcss the sanction culls for i 1.

S.;ction. 69. Hearing of Complcdnts aft_e!~ /.{;;'J~ku.t;ion is ;r.,:nrJor·scd l;t' /'.DO /Certification Issu.ed. After •.he r,'PIC a;,:>plication is '.·m!un;ed tu tltc /\DU, or c•!'tcr 11 lc

conccmcd Regional Director issues the Cl\'0, a\l pclitio•.Js invo~ving irrcguJarilics in the implcn1cntatiun o~ this Gu!ck.\ines or those involving Lhe CO'Dmissicm of proh\bi~ed acts shalJ be fiied with the Commission through the Clc,~<. of tl1c Cornmission, in nine (9) copier;, w!th the original copy inclica~ed as :such, copy furnished the concerned Pegional Director The petition m'.tst be ver!r;ed ;mc1 a•.:cowoanic:d by sworn <~-'lic1 avits

of witnesses, oUt<~r evidence CJJ1C a cerli.flcat ion of 1\(•n-forwn sho!)p;ng uct-cu tee! in accordance w1th tf1c requirement.s of the J<ulcs of Cm~r'.

Sccb.on 70. 1'ra:nsw.iUa} '>f Recm·ds (!l>.d r;,y.mm.enL L'~)un the fdi• ':', ,,, •.h<" petitiou, the Clerk of the Co!m11.ission s~•oJ!, ·wi•.11:n three (3' days, t'.ircc 1. 1_\w /\UO to forward the records of the FP'C application to t!te ()[[icc of :!·Je C!c1 k of the Commission or the 'C\cgiona1 Director to forward the CNO together with all accompanying documents within ten (l 0) days from recei~JL of Lhe dJrcc 1i.ve. Within ten ( l{)) clars from receipt of a copy of the petition, t1.,c concerned Regional 1Jin·ctor 1nay file a colnment to the petition, Hltaching therewith such cviclcncc other th<•!! those

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includccl in the reco•·t!s or the FPIC app~icatiO.!) indor::;,_:(1 LO the Cmnu,issiorl. I .

Section 71. Summar"!/ lt>roceedings to F:esodve Petition. ln ~be course of its proceedings, the Cotnmission may rcqui~·t: the s~lb.tniss;on of addiliunal ev;t!cncc or the conduct of clarif1catory hearings, after whic~1, the Cornmission s'JaU resolve the petition within thirty (30) days fron1 the Order su~.J'llilting t11e c,tsc for resolutwu. Only one motion for reconsideration slw.11 be a 1lowed whic 11 must be filed within 1en I 10\ calendar days from receipt of the decision, resc•1 \! t.iCJ•l <Jr order, with proof of service that a copy of the motion was furnished the other parties to the petition.

"R'AR"F X J't<':I:NA' ... l?ROVl':S?'O'.\fS

Sectio~1 72. .t.pplica.bilhy to PenrJ:np AppU.ca!;h•.•?.S. ·~T!;S c;~J;cle!\1\es sllcll'

apply to aJl appJications for issuance of Cerlificati.o•1 Pn.'condiliou <~nd lssu;Jncc of Certificate of Free <md Prior Inlor~rcd Consent by C1e !P/lCC rc-ccivccl DJtcr the efl(Ttivily of this Guidelines: Provided, lwu.Jcuer, Th<if. in cnses wl1cre tile> aun!.ication was already received but no FDI \'I!<JS commGncct1 due •_o faiJure of a:)ptican~ !<;pay ~be required fee, such applicatim1 shall still be covered by U1is Guideline~.>. "=~ --~

Section 73. Se,vr;.ra't1iUty Cla•.1.se. L•1 e<1sc ''·"Y clause, seclwn, scnLet·.cc, or provision of this Administrative Order or any ptH 'ion lwreof 1s held or declared unconstitutional or invaiid by a curnpetcn1_ CoUJ:L, thr~ other sections or porLions bcreofr which are not alfected lhereb\r stwll continue to 1x· ~u ""·11 fo,-ce and c!JecL __ _ _ /\?,

t-\/- ,lr\ /-~ \1.. ·J

( ,. ·I . ·i:/,, I, r, .. , " ~ I

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Section "(C.. Repealing Clo.u.se. Thi:.> 1\dJ.!'in:~o.l rative O•·de1· repeals ~ClP J\0· 01, Series of200t. The provisions of other C!rcttlm:;, V"emomncl2, ;:•Jd /\drninis!r;:Jtive Onlcrs, issued by tl.1is Commission, incon:c;~s1c•1'. hercvv·itll or contrary ((> tlH· provisions hereof <'-rC hereby rcpea(;d or Jnoc1 il'i,.~c1 accorc!ingly.

SecUon 75. Effectivity. This J\c1miJ'i"'!'ilh't.' Orclc;r s.1lt,J.1 L<t'<c effect fi'!cen ( J 5) days after ts 1ast publica! ion i!1 ''· l'CWSj)i\Ucr c!' gn1e• a! ci•·culatiun ancl rcgislration in the Office of the ':'JationoJ /\d.w;.:1istrution l~egis!cT, U .P. Law Cc'ller, Diliman, Quezun c.:ity, Philippines.

Jjj~)\~[(;;Yt(;\.t"'DXONESXA 0. BANUA

Commission e t·

~~--SA.WTj.3 M. UNSA:"J

Commissioner

['Jzr1,f'JJ ,7_:0I\'O~UTA C. GA .. '..Zi\.'.)0

(:o!llD!i ss:oJ~C.'.

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Chapter 4 INSTITUTIONAL ARRANGEMENTS

Contents

1.0 DELINEATION OF ROLES AND RESPONSIBILITIES 1.1 General Overview 1.2 SSLDIP LBP Processing

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1.0 Delineation of Roles and Responsibilities

1.1 General Overview

It is the responsibility of the Sub-borrower to carry out the necessary safeguards requirements under the IESSF to obtain the environmental and social clearances for each individual subproject before starting with the construction. Sound environmental and social practices have to be incorporated into the subproject design and implementation, and potential negative impacts will have to be mitigated to acceptable levels I standards.

The LGU is responsible for the quality and accuracy of the information in the EA and social documents, as well as the transmission of the EA and social safeguards process i.e. interagency coordination, seeping, public hearings, document review at the Sanggunian level, and general oversight.

As the loans for investment financing are channelled to the Sub-borrowers through the LBP, LBP shall require subprojects to comply with existing environmental and social laws. Therefore, a PMO is established within the LBP, which will include the environmental and social expertise to guide and provide Sub-borrowers' PIUs and their consultants with the necessary assistance in carrying out the EA and attaining environmental and social compliance to the conditions and statement of the ECC/EMP, RAP and IPP.

WB staff will advise and support the PMO in carrying out its responsibilities. Within the WB, operational staff will provide information to the PMO and ascertain whether policy requirements have been met.

1.2 SSLDIP LBP Processing

The roles and responsibilities of the Sub-borrower, LBP and WB are determined to define the extent of tasks each institution must do so that the progress of a subproject is kept in the right track.

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Table 1 lnstit, · · IR, "bil" - ~----- ----------------------- ----------------------------------- --· . ·- - . -Activity Sub-borrower LBP WB

I A Subproject Screening 1 Submits subproject proposal to LBP LCs 2 LCs (if needed, PMO assists) determine !

Stage for financial assistance if subproject is eligible and its I

environmental category, guided by the I

ESF. I

B Subproject Loan Approval 5 Reviews & approves SLA (with 3 LC prepares CFP, indicating subproject Stage environmental safeguards requirements) environmental category & submits CFP I

for CIPPr<:>lfCII t>Y 111CII1CI9E:l111E:lllt ..... ........ ... .... ...... . .... 4 Once approved, PMO drafts SLA (with

environmental safeguards requirements)

C Hiring of EA Consultant 6 Hires Consultant for preparation of EA 8 Provides technical & procedural advice 9 WB reviews the transmitted documents, Stage, when needed report. Sub-borrower may opt to include during the process of hiring & review the & within 7 days from receipt of the

in TOR of firm doing FS the needed EA results of Sub-borrower's final documentation, issues a comment or a report preparation. Or, Sub-borrower evaluation for consistency with WB NOL to PMO for the subproject. hires an individual based on WB criteria procurement guidelines. Transmits to on selection of individual consultants. WB (for issuance of NOL) the result of Attachments IESSF-10 & IESSF-11 LGU evaluation together with a copy of

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

D Environmental Safeguards 10 Hired EA consultant shall coordinate 11 PMO provides technical & procedural Preparation Stage with the PMO for briefing on advice to ensure that potential

methodology of EA safeguards. environmental impacts & procedures for environmental compliance are met.

E ECC I NOL Application 12 EA Consultant prepares I submits the ff 13 PMO, or with assistance from LBP-EU, 15 Reviews & issues NOL on the final EA Stage to DENR-EMB & PMO: does substantive review on submitted report (only applies to classified

a. Scoping report * EA documents to verify if necessary Category A subprojects). b. Draft EA report & if applicable RP . E:ll11fir()I1111E:lll!CII!>CifegllCir<J!) CITE:! Pr<:>lfi!:IE:l<J. .

&lor IPP (see Sub-Annex 2) 14 Transmits safeguards document to WB c. Final EA report for reference, or if applicable, comment Documents submitted to DENR-EMB (applies to selected Category A are for the issuance of ECC I CNC. subr:>_rojects for NOL issuance).

Technical requirements for EIS subprojects

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