resettlement action plan€¦ · msvs membership status verification slip ... ncr national capital...

Resettlement Action Plan

June 2020

PHI: Malolos Clark Railway Project (Mabalacat section) Volume 1 Main Report Prepared by Department of Transportation for the Asian Development Bank. {This is an updated version of the draft originally posted in October 2018} available on {https://www.adb.org/projects/documents/phi-52083-001-rp-0}.}

https://www.adb.org/projects/documents/phi-52083-001-rp-0

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CURRENCY EQUIVALENTS (as of 17 June 2020)

Currency unit – Philippine Peso (₱) P1.00 = $ 0.0199 $1.00 = ₱ 50.1500

ABBREVIATIONS AHs Project Affected Households APs Project Affected Persons ADB Asian Development Bank ADRI Agreement to Demolish and Remove Improvements BIR Bureau of Internal Revenue BOQ Bill of Quantities CADT Certificate of Ancestral Domain Title CAO City Agriculture Office CBIA Community Based Initiative Approach CDC Clark Development Corporation CDO City Development Office CHR Commission on Human Rights CIA Clark International Airport CIAC Clark International Airport Corporation CSO Civil Society Organizations CSWDO City Social Welfare and Development Office DA Department of Agriculture DAR Department of Agrarian Reform DD Detailed Design DENR Department of Environment and Natural Resources DepEd Department of Education DHSUD Department of Human Settlements and Urban Development DILG Department of the Interior and Local Government DMS Detail Measurement Survey DOAS Deed of Absolute Sale DOF Department of Finance DOH Department of Health DOLE Department of Labor and Employment DOTr Department of Transportation DPWH Department of Public Works and Highways DRAM DPWH’s ROW Acquisition Manual DSWD Department of Social Welfare and Development DTI Department of Trade and Industry EMA External Monitoring Agent EO Executive Order FBI Field Based Investigation FGD Focus Group Discussion FS Feasibility Study GC General Consultant GFI Government Financing Institution GOCC Government Owned and Controlled Corporation GoP Government of the Philippines GRM Grievance Redress Mechanism HDMF Home Development Mutual Fund HGC Home Guaranty Corporation

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HLURB Housing and Land Use Regulatory Board HOA Home Owner Association IA Implementing Agency ICCs IPs/Indigenous Cultural Communities IEC Information, Education and Communication IP Indigenous Peoples IPA Independent Property Appraiser IPP Indigenous Peoples Plan IPRA Indigenous Peoples Rights Act ISF Informal Settler Family IROW Infrastructure Right-of-Way IRR Implementing Rules and Regulations ISF Informal Settler Family JDT JICA Design Team JICA Japan International Cooperation Agency KII Key Informant Interview KSA Key Shelter Agency LHB Local Housing Board LGU Local Government Unit LHO Local Housing Offices LIAC Local Inter-Agency Committee LMA Labor Market Assessment LRIP Livelihood Restoration and Improvement Program MAT Manpower Assistance Team MCRP Malolos –Clark Railway Project MFIs Microfinance Institutions MOA Memorandum of Agreement MRT Mass Railway Transit MSVS Membership Status Verification Slip NHA National Housing Authority NCC New Clark City NCIP National Commission for Indigenous Peoples NCR National Capital Region NGA National Government Agency NGOs Non-Government Organization NLEX North Luzon Expressway NOA Noticed of Award NOC Notice of Compensation NoT Notice of Taking NSRP North South Railway Project NTP Notice to Proceed OCC Operations Control Center OCT Original Certificate of Title ODA Official Development Assistance OTB Offer to Buy PESO Public Employment Service Office PhP Philippines Peso PIAC Project Inter-Agency Committee PIB Project Information Brochure PCUP Presidential Commission for the Urban Poor PNR Philippine National Railways POEA Philippine Overseas Employment Administration PLCQ Preliminary Loan Counselling Questionnaire PMO Project Management Office PO People’s Organization

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PROW Project Right-of-Way PSA Philippine Statistics Authority PTE Permit to Enter PWD Person with Disability RA Republic Act RAP Resettlement Action Plan RCS Replacement Cost Survey RD Registry of Deeds RFR Ready-For-Occupancy RIMC RAP Implementation Management Committee RIPPF Resettlement and Indigenous Peoples Planning Framework ROW Right-of-Way RROW Road Right-of-Way ROWSA Right-of-Way and Site Acquisition ROWSAM Right-of-Way and Site Acquisition Manual RPT Real Property Tax SCM Stakeholders Consultation Meeting SCTEx Subic-Clark-Tarlac Expressway SEC Securities and Exchange Commission SES Socio-Economic Survey SPA Special Power of Attorney SPS Safeguards Policy Statement SSS Social Security System TA Temporary Accommodation TCT Transfer Certificate of Title TIN Tax Identification Number TNA Training Needs Assessment TESDA Technical Education and Skills Development Authority VAT Value Added Tax WB Word Bank

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GLOSSARY

Affected Households Refers to all households whose residence will be affected by the

project. Affected Persons Project affected persons are those who are physically displaced

(relocation, loss of residential land, or loss of shelter) and/or economically displaced (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas.

Census Claims Assertion or declaration formally filed or made known by a

named/identified complainant regarding the conduct or result of census that may affect the eligibility for compensation and entitlement of the complainant or of another person. Common types of census claims are skipped during tagging, out- during-census, misstatement of census data, etc.

Cut-Off-Date The concept of the cut-off date for eligibility is typically used for

the non-titleholders, which is generally the date of commencement of the project census of affected persons within the project boundaries. Persons not covered at the time of census taking will not be eligible for claims of compensation entitlements.

Economic Displacement Refers to loss of land, assets, access to assets, income sources,

or means of livelihoods as a result of this project. Enterprise-based Non-land based economic undertaking that is not

salaried/waged. Entitlement Range of measures comprising compensation, income

restoration support, transfer assistance, income substitution and relocation support which are due to affected people, depending on the nature and severity of their losses, to restore their economic and social base.

Formal Structure Refers to structures or improvements owned by APs who have

legal right on the land where the structure is located and/or APs who have valid arrangement with the registered landowner. Used interchangeably with “legal structures” throughout this RAP.

Legal APs APs that have legal right to occupy the affected property. This

may include landowner, structure owners, rent-free occupants, caretakers, sharers, heirs/relatives with valid claim of ownership or legalizable arrangement with the registered property owner.

Household A social unit consisting of a person living alone or a group of

persons who sleep in the same housing unit and have a common arrangement in the preparation and consumption of food.

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Income Restoration Re-establishing income sources and livelihoods of APs to

approximate or exceed the level it was before the development project.

Informal Settler Family (ISF) Households that do not have legal or legalizable right to own the

land they occupy, homeless or do not own property anywhere else, and have a low-income4 as defined by this RAP. This may include structure owners and renters, rent-free occupants, caretakers, and sharers.

Informal Structure Refers to any structure or improvement owned by APs who do

not have legal or legalizable right to own or use the land where the structure is located.

Involuntary Resettlement Occurs when affected people do not have the right to refuse land

acquisition and are displaced, which may result in long-term hardship and impoverishment as well as social stress.

Land Acquisition The process whereby a person is compelled to relinquish

ownership, possession, control or use of all or part of their land, structures, or other assets to the project in exchange for cash or in-kind compensation. This includes land or assets for which the possessor or user enjoys customary or uncontested access but lacks legal title. For this project, compensation is based on replacement cost.

Low Income Family Refers to family whose combined monthly income is below

PhP40,000. Non-Landowner Person/ Family Refers to affected persons who responded that they do not own

the land during the socio-economic survey (SES). This includes structure owners (with or without permission from the landowner), renters, sharers, rent-free occupants and caretakers (in both formal and informal structures), regardless of income. They are also referred to as Informal Settler Families but for this document, non-landowner person/family is used.

Permanent Relocation Refers to the relocation site to be developed by NHA and other

DOTr partners where APs are to be resettled permanently. Physical Displacement Relocation, loss of residential land, or loss of shelter as a result

of this project. PNR ROW Refers to the existing right-of-way owned by the Philippine

National Railway (PNR). Project ROW (PROW) Refers to the right-of-way of this project. Project Affected Business Refers to all types of businesses regardless of scale whose

normal operation will be severely or marginally affected by the project. For this RAP there are only micro-businesses.

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Project Affected Farms Refers to land-based economic activity whose normal operation will be affected severely or marginally by the project.

Relocation Physical displacement of an AP from his/her pre-project place

of residence and his/her transfer to another place. Rental Subsidy Refers to a fixed amount of monetary assistance for temporary

accommodation of APs while awaiting completion of permanent relocation site.

Replacement Cost Amount of cash or kind needed to replace an asset (i.e., land,

private structure, crops and trees, public structure and common resource). Replacement cost calculation comprises these elements: (i) fair market value; (ii) transaction costs; (iii) interest accrued (if any), (iv) transitional and restoration costs (if any); and (v) other applicable payments (if any).

Severely Affected Impacts caused by the project resulting in 10% or more of loss

of productive resources and/or physical displacement. Vulnerable groups Distinct groups of people who might suffer disproportionately or

face the risk of being marginalized by the effects of resettlement and specifically include: The project defines vulnerable persons as (i) underprivileged below national poverty line, (ii) households headed by senior citizens, (iii) solo parent-headed households, and (iv) households with members who are persons with disabilities.

This resettlement action plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section of this website. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

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TABLE OF CONTENTS

ABBREVIATIONS ................................................................................................................................... ii

GLOSSARY ............................................................................................................................................ v

TABLE OF CONTENTS ........................................................................................................................ viii

LIST OF TABLES ...................................................................................................................................xii

LIST OF FIGURES ................................................................................................................................ xv

EXECUTIVE SUMMARY ......................................................................................................................xvi

1. CHAPTER 1: PROJECT DESCRIPTION ....................................................................................... 1

A. Background ............................................................................................................................. 1

B. Objectives of Malolos Clark Railway Project ........................................................................... 1

C. Scope of the Project ................................................................................................................ 2

D. Proximity to Ancestral Domain and Certificate of No-Overlap ................................................ 2

E. Project Components ................................................................................................................ 2

F. Maintenance Base ................................................................................................................ 10

G. Substations ............................................................................................................................ 10

H. Utilities ................................................................................................................................... 10

I. Construction Yards, Borrow Pit and Spoil Disposal Area ..................................................... 10

J. Comparison on Alternatives Without Project Option ............................................................. 10

K. ROW Alternative Option ........................................................................................................ 11

L. Depot Site Alternative Option ................................................................................................ 13

2. CHAPTER 2: SCOPE OF LAND ACQUISITION AND RESETTLEMENT.................................... 15

A. Methodology to Assess Impacts ........................................................................................... 15

B. Cut-off Date ........................................................................................................................... 16

C. Overview of Land Acquisition and Resettlement Impacts ..................................................... 16

D. Affected Barangays ............................................................................................................... 17

E. Affected Land ........................................................................................................................ 17

F. Affected Structures ................................................................................................................ 18

G. Affected Plants and Trees ..................................................................................................... 19

H. Impacts on Livelihoods .......................................................................................................... 19

I. Vulnerability ........................................................................................................................... 21

3. CHAPTER 3: SOCIO-ECONOMIC PROFILE OF PROJECT AFFECTED PERSONS ................ 22

A. Purpose of the Survey ........................................................................................................... 22

B. Survey Methodology ............................................................................................................. 22

C. Schedule ............................................................................................................................... 23

D. Overview of the Survey Respondents ................................................................................... 23

E. Profile of the Affected Households ........................................................................................ 23

F. Profile of Household Heads .................................................................................................. 24

G. Livelihood and Living Standard Profile .................................................................................. 25

H. Affected Businesses/Livelihood Activities within the ROW ................................................... 31

4. CHAPTER 4: LEGAL AND POLICY FRAMEWORK..................................................................... 34

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A. Policies and Guidelines Applied to the Project ..................................................................... 34

B. Philippine Legal Framework .................................................................................................. 34

C. Executive/Administrative/Department Orders ....................................................................... 44

D. Relevant Manuals, Policies and Memorandum Circulars ..................................................... 45

E. JICA Policies on Involuntary Resettlement ........................................................................... 47

F. ADB Policy on Involuntary Resettlement and Indigenous Peoples ...................................... 48

G. Resettlement Policy Comparison .......................................................................................... 51

H. Fundamental Project Policy .................................................................................................. 61

I. Cut-Off Date .......................................................................................................................... 63

J. Principle of Replacement Cost .............................................................................................. 63

K. Vulnerable Groups ................................................................................................................ 65

5. CHAPTER 5: COMPENSATION AND ENTITLEMENT ................................................................ 67

C. Persons Who Have Moved Into the ROW After the Cut-off Date ......................................... 69

D. Modes of Acquisition ............................................................................................................. 69

E. Processes for Provisions of Compensation and Entitlements .............................................. 69

F. Process for Negotiated Sale for Structures ........................................................................... 69

G. Required Documents for Payment of Compensation ........................................................... 70

H. Income Loss .......................................................................................................................... 70

I. Assistance to Obtain Necessary Documents ........................................................................ 71

J. Payment Schedule ................................................................................................................ 71

K. Entitlement Matrix ................................................................................................................. 71

6. CHAPTER 6: RELOCATION AND RESETTLEMENT PLANS ..................................................... 78

A. Beneficiaries of the Relocation Assistance ........................................................................... 78

B. Resettlement Assistance Options ......................................................................................... 78

C. NHA Relocation Site at Northville 16 .................................................................................... 79

D. Mode of Payment .................................................................................................................. 80

E. Establishing Mechanism and Institutional Arrangement for Assisted Relocation ................. 81

F. Development of Socialized Housing (NHA Relocation) ........................................................ 81

G. Rental Subsidy for Temporary Accommodation ................................................................... 85

7. CHAPTER 7: PUBLIC CONSULTATION ...................................................................................... 86

A. Principles for Consultation and Participation ........................................................................ 86

B. Project Stakeholders ............................................................................................................. 87

C. Consultation and Participation Mechanisms ......................................................................... 87

D. Consultation/Participation Mechanism Undertaken During Feasibility Study Phase ............ 89

E. Consultation and Participation Mechanism Undertaken During Detailed Design (DD) Phase 90

F. Focus Group Discussions (FGDs) with Vulnerable Groups. ................................................. 97

G. Focus Group Discussion (FGD) with the Business Sector ................................................... 98

H. Summary of Finding ............................................................................................................ 100

I. Consultation and Participation Mechanism Undertaken During Project Implementation Phase 100

J. Community Validation ......................................................................................................... 100

K. Consultations Under the CBIA Process .............................................................................. 101

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L. Site Visit to the Relocation Site ........................................................................................... 101

M. Issuance of Notice of Compensation .................................................................................. 101

N. Consultation at Help Desk ................................................................................................... 101

O. Final Orientation Prior to Relocation ................................................................................... 101

P. Consultation for Livelihood Restoration and Improvement Program .................................. 102

Q. Consultation for Civil Works ................................................................................................ 102

R. Stakeholder Consultation Meetings for Monitoring and Evaluation .................................... 102

S. Consultation and Participation Mechanism for Post-Project Implementation Stage........... 102

T. Online Disclosure of Project Information ............................................................................. 103

U. Media Release/Press Briefing ............................................................................................. 103

V. Disclosure of RAP Documents ............................................................................................ 103

8. CHAPTER 8: LIVELIHOOD RESTORATION AND IMPROVEMENT PLAN .............................. 105

A. Objectives of the LRIP ........................................................................................................ 105

B. Categories of APs with Affected Livelihoods and Types of Livelihood Assistance ............. 105

C. Methodology for Developing the Program .......................................................................... 106

D. Livelihood Surveys .............................................................................................................. 106

E. Focus Group Discussions ................................................................................................... 106

F. Training Needs Assessment (TNA)..................................................................................... 106

G. Rapid Labor Market Assessment ........................................................................................ 107

H. Key Informant Interviews ..................................................................................................... 107

I. LGU-led Consultation Meetings with APs ........................................................................... 107

J. Soft Loan Assistance .......................................................................................................... 107

K. Proposed Livelihood Rehabilitation Measures .................................................................... 108

L. Type of Livelihood Assistance............................................................................................. 112

M. Livelihood Assistance for Vulnerable APs .......................................................................... 116

N. Implementation Arrangements ............................................................................................ 117

O. LRIP Budget Estimate ......................................................................................................... 118

9. CHAPTER 9: GRIEVANCE REDRESS MECHANISM ............................................................... 120

A. Scope and Objectives of the Grievance Redress Mechanism ............................................ 120

B. Principles Guiding the Grievance Redress Mechanism ...................................................... 120

C. DOTr’s GRM Team ............................................................................................................. 120

D. Levels of GRM..................................................................................................................... 122

E. Court of Law ........................................................................................................................ 125

F. ADB’s Accountability Mechanism........................................................................................ 125

G. JICA’s Objection Procedures .............................................................................................. 125

H. Grievance Redress Mechanism Procedures ...................................................................... 125

I. Grievance Communication between GR Officer and APs .................................................. 129

J. Information Dissemination ................................................................................................... 129

K. Capacity Building of GR Officers......................................................................................... 130

L. Monitoring and Reporting on Grievance Redress ............................................................... 132

M. Continuous Update of the GRM .......................................................................................... 134

10. CHAPTER 10: RAP IMPLEMENTATION ARRANGEMENTS .................................................... 135

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A. Department of Transportation ............................................................................................. 137

B. Partner Institutions .............................................................................................................. 141

11. CHAPTER 11: RAP IMPLEMENTATION SCHEDULE ............................................................... 156

A. Implementation Schedule of Construction .......................................................................... 156

B. Schedule of RAP ................................................................................................................. 156

C. Process of RAP Updating ................................................................................................... 156

D. RAP Implementing Institutions ............................................................................................ 157

E. Relocation of Non-Landowner APs ..................................................................................... 157

F. Provision of Livelihood Restoration and Improvement Program ......................................... 159

G. Monitoring of RAP Implementation ..................................................................................... 159

H. Arrangements for Implementation of RAP .......................................................................... 159

I. Information Dissemination and Consultation ...................................................................... 160

12. CHAPTER 12: COST AND BUDGET FOR RESETTLEMENT AND ACQUISITION OF LAND ASSETS .............................................................................................................................................. 163

A. Cost of Required Land ........................................................................................................ 165

B. Replacement Cost of Affected Structures ........................................................................... 165

C. Relocation Site Development .............................................................................................. 165

D. Resettlement Assistance ..................................................................................................... 165

E. Allowance for Hardship Due to Vulnerability ....................................................................... 166

F. Income Loss Compensation ................................................................................................ 167

G. LRIP Training ...................................................................................................................... 168

H. Commuting Allowance ........................................................................................................ 168

I. Non-Land Assets and Improvements .................................................................................. 168

J. RAP Implementation and Monitoring .................................................................................. 169

K. Funds for RAP Implementation ........................................................................................... 171

13. CHAPTER 13: MONITORING AND EVALUATION .................................................................... 171

A. Purpose of RAP Monitoring and Evaluation ........................................................................ 171

B. Institutional Arrangement .................................................................................................... 172

C. Internal Monitoring .............................................................................................................. 172

D. External Monitoring ............................................................................................................. 172

E. Reporting ............................................................................................................................. 173

F. Monitoring Indicators ........................................................................................................... 174

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LIST OF TABLES Table 1-1 Sections of the Main Railway Line in Between Stations ......................................................... 3 Table 1-2: List of Span Layout of Viaducts and Bridges at Major Crossings .......................................... 5 Table 1-3: Station Location ..................................................................................................................... 6 Table 1-4: Station Type ........................................................................................................................... 7 Table 1-5 Comparison of ROW Alternative for Clark-CIA Connecting Routes ..................................... 11 Table 1-6: Comparison of MCRP Structural Type ................................................................................ 12 Table 1-7 Alternative Comparison for the Depot Site ........................................................................... 14 Table 2-1 Cut-Off Dates ........................................................................................................................ 16 Table 2-2 Summary of Impact of MCRP in Mabalacat ......................................................................... 17 Table 2-3 Affected Land Area (m2) for Requisition ............................................................................... 17 Table 2-4 Types of Affected Structures ................................................................................................ 18 Table 2-5 Use of Affected House Structures ........................................................................................ 18 Table 2-6 Ownership Status of Affected Primary Residences .............................................................. 18 Table 2-7 Afffected Trees and Crops .................................................................................................... 19 Table 2-8 Affected Households Losing Trees and Crops ..................................................................... 19 Table 2-9 Households with Affected Land-Based Livelihoods by Tenure Status ................................. 20 Table 2-10 Major Products .................................................................................................................... 20 Table 2-11 Affected Farming Employment ........................................................................................... 20 Table 2-12 Vulnerable Households ....................................................................................................... 21 Table 3-1 Number of Surveyed Affected Persons and Affected Households ....................................... 23 Table 3-2 Gender of Household Members ............................................................................................ 23 Table 3-3 Educational Attainment of Household Members .................................................................. 24 Table 3-4 Age Distribution of Household Heads ................................................................................... 24 Table 3-5 Civil Status of Household Heads .......................................................................................... 25 Table 3-6 Monthly Household Income (All Sources) ............................................................................ 25 Table 3-7 Monthly Household Expenditures ......................................................................................... 26 Table 3-8 Primary Source of Household Income .................................................................................. 27 Table 3-9 Primary Enterprise-Based Livelihood ................................................................................... 27 Table 3-10 Types of Primary Wage-Based Livelihood ......................................................................... 27 Table 3-11 Status of Employment ......................................................................................................... 27 Table 3-12 Location of Primary Source of Income ............................................................................... 28 Table 3-13 Location of Secondary Sources of Income ......................................................................... 28 Table 3-14 Membership in Financial Institutions................................................................................... 28 Table 3-15 Access to Water .................................................................................................................. 29 Table 3-16 Access to Sanitation Facilities ............................................................................................ 29 Table 3-17 Access to Electricity ............................................................................................................ 29 Table 3-18 Cooking Facilities among Project Affected Households ..................................................... 30 Table 3-19 Number of Years in Current Location ................................................................................. 30 Table 3-20 Type of Residence as Claimed ........................................................................................... 30 Table 3-21 Place of Previous Residence .............................................................................................. 31 Table 3-22 Reasons for Establishing Residence in the Current Location ............................................ 31 Table 3-23 Type of Business Operation ............................................................................................... 31 Table 3-24 Type of Business Ownership .............................................................................................. 32 Table 3-25 Number of Years of Business Operation ............................................................................ 32 Table 3-26 Business License/Permit .................................................................................................... 32 Table 3-27 Gross Monthly Income of Affected Businesses .................................................................. 33 Table 4-1 List of Applicable Legal Framework ...................................................................................... 34 Table 4-2 Price Ceiling for Socialized Subdivision Projects ................................................................. 45 Table 4-3 Price Ceiling for Socialized Condominium Projects .............................................................. 45 Table 4-4 Gap Analysis and Harmonized Involuntary Resettlement Policy ......................................... 52 Table 5-1 APs Entitled to Livelihood Restoration Assistance ............................................................... 68 Table 5-2 Entitlement Matrix ................................................................................................................. 72 Table 6-1 Summary of Public facility in the vicinity of Northville 16 ...................................................... 80 Table 6-2 Schedule of Amortization Payments ..................................................................................... 81 Table 6-3 Relocation Process and Timeline of NHA ............................................................................ 83 Table 7-1 Information Disclosure and Stakeholders’ Consultation Communication Plan .................... 88 Table 7-2 SCMs, Stakeholders and Information Disclosed during FS RAP ......................................... 90 Table 7-3 Summary of Information, Education, and Communication Meetings ................................... 91

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Table 7-4 Issues and Concerns Raised in the IEC Meetings during DD RAP Phase .......................... 91 Table 7-5 Summary of the First Round of Stakeholder Consultation Meetings in Mabalacat .............. 92 Table 7-6 Issues and Concerns Raised During the First Round of Stakeholder Consultation Meetings in Mabalacat .......................................................................................................................................... 93 Table 7-7 Attendance at the Second Pre-Stakeholder Consultation Meeting in Mabalacat City ......... 95 Table 7-8 Attendance at the Second Stakeholder Consultation Meetings in Mabalacat City .............. 95 Table 7-9 Issues and Concerns Raised During the Second Stakeholder Consultation Meeting (SCM) in Mabalacat .............................................................................................................................................. 96 Table 7-10 Summary of Focus Group Discussion with Vulnerable Groups in Mabalacat .................... 97 Table 7-11 Result of Focus Group Discussion with Vulnerable Groups in Mabalacat ......................... 98 Table 7-12 Summary of Focus Group Discussion with the Business Sector in Mabalacat .................. 99 Table 7-13 Result of Focus Group Discussion with the Business Sector in Mabalacat ....................... 99 Table 7-14 Materials Distributed to APs ............................................................................................. 102 Table 7-15 Social Media Accounts for the Project .............................................................................. 103 Table 7-16 List of Disclosed Documents Upon Completion of FS ...................................................... 104 Table 7-17 Documents to be Disclosed .............................................................................................. 104 Table 8-1 Number of affected livelihoods ........................................................................................... 105 Table 8-2 Impacts on Livelihoods of Relocating Households ............................................................. 106 Table 8-3 Loan Assistance Available for APs ..................................................................................... 108 Table 8-4 Summary of Categories of APs, Proposed Livelihood Rehabilitation Measures and Recommended Livelihood Assistance ................................................................................................ 108 Table 8-5 List of Enterprise Training Courses Offered by CESO ....................................................... 113 Table 8-6 Anticipated Project Related Employment Opportunities ..................................................... 114 Table 8-7 List of Vocational Training Courses Offered by CESO ....................................................... 114 Table 8-8 Profile of Affected Agricultural Lessee ................................................................................ 115 Table 8-9 Summary of Roles and Responsibilities of Concerned Agencies ...................................... 117 Table 8-10 Estimated LRIP Budget .................................................................................................... 119 Table 9-1 Levels of Grievance Redress Mechanism .......................................................................... 122 Table 9-2 Grievance Redress Mechanism Procedure ........................................................................ 126 Table 9-3 Methods for Communications with APs .............................................................................. 129 Table 9-4 Dissemination Methodology of GRM Materials and Timeline ............................................. 130 Table 9-5 Summary Information of GRM Training .............................................................................. 131 Table 9-6 Summary Information for Help Desk Training .................................................................... 132 Table 10-1 Implementing Units and Coordinating Bodies .................................................................. 135 Table 10-2 Composition of the DOTr's Technical Working Committee .............................................. 138 Table 10-3 Composition of the Project Management Office (as of 15 May 2019) .............................. 141 Table 10-4 Composition of the Project Inter-Agency Committee........................................................ 142 Table 10-5 Roles and Responsibilities of Project Inter-Agency Committee Members ....................... 142 Table 10-6 Composition of the Technical Working Group .................................................................. 143 Table 10-7 Composition of the RIMC .................................................................................................. 149 Table 10-8 Roles and Responsibilities of RIMC Members ................................................................. 150 Table 10-9 Roles and Responsibilities of Sub-Committees of the RIMC ........................................... 151 Table 11-1 RAP Implementation Schedule ......................................................................................... 161 Table 12-1 Estimated RAP Implementation Cost ............................................................................... 163 Table 12-2 Cost of Relocation Site/Rental Facility Development ....................................................... 165 Table 12-3 Cost of Rental Subsidy ..................................................................................................... 166 Table 12-4 Cost of Connection of Basic Utilities ................................................................................. 166 Table 12-5 Cost of Transportation Assistance .................................................................................... 166 Table 12-6 Cost of Food Assistance ................................................................................................... 166 Table 12-7 Cost for Inconvenience Allowance.................................................................................... 167 Table 12-8 Cost for Special Assistance .............................................................................................. 167 Table 12-9 Income Loss Compensation for Micro-business (non-agriculture) ................................... 167 Table 12-10 Income Loss Compensation for Wage Workers ............................................................. 167 Table 12-11 Disturbance Compensation for Lessee Directly Engaged in Farming ............................ 168 Table 12-12 Cost of Commuting Allowance ........................................................................................ 168 Table 12-13 Fruit-Bearing, Timber Trees and other Plants ................................................................ 169 Table 12-14 Budget for RAP Implementing Institutions ...................................................................... 170 Table 12-15 Budget for GRM Implementation .................................................................................... 170 Table 12-16 Cost for Information Disclosure ...................................................................................... 170 Table 12-17 Budget for Internal Monitoring ........................................................................................ 171

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Table 12-18 Budget for External Monitoring ....................................................................................... 171 Table 13-1 Monitoring Reports ........................................................................................................... 173 Table 13-2 Indicative Monitoring Indicators for Internal Monitoring .................................................... 175 Table 13-3 Guide Questions for Internal Monitoring ........................................................................... 177 Table 13-4 Indicative Monitoring Indicators for the EMA .................................................................... 180 Table 13-5 Guide Questions for External Monitoring .......................................................................... 183

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LIST OF FIGURES Figure 1-1 Project Alignment in Mabalacat Viaduct ................................................................................ 3 Figure 1-2: Viaduct Structure for Typical Section ................................................................................... 4 Figure 1-3: Perspective of Typical Viaduct Structure .............................................................................. 4 Figure 1-4: Cross Section of Embankments from Clark Station to CIA Station Underground ................ 5 Figure 1-5: Location of Clark Station ...................................................................................................... 6 Figure 1-6: Location of CIA Station ......................................................................................................... 7 Figure 1-7 Cross-section of the Clark Station ......................................................................................... 7 Figure 1-8 Cross-sections of the CIA Station .......................................................................................... 8 Figure 1-9: Depot Location...................................................................................................................... 8 Figure 1-10 Depot Layout ....................................................................................................................... 9 Figure 6-1 Steps on Relocation Site Development through NHA’s CBIA ............................................. 82 Figure 8-1 Phases of LRIP Implementation ........................................................................................ 117 Figure 10-1 RAP Implementation Structure (as of February 2020) .................................................... 136 Figure 10-2 Structure of the Project Management Office (as of 15 May 2019) .................................. 141 Figure 10-3 Composition and Structure of the RIMC (as of February 2020) ...................................... 153

LIST OF APPENDICES (available upon request)

Appendix 1 BCDA Confirmation for PNR N2 Project Appendix 2 Certificate of Non-Overlap (CNO) Issued by the National Commission on Indigenous

Peoples (NCIP) Appendix 3 Free and Clear Land of Mabalacat CP N-04 and CP N-05 Appendix 4 Replacement Cost Study Methodology Appendix 5 Sample Offer to Compensate (OTC) Appendix 6 Sample Agreement to Demolish and Remove Improvements (ADRI) Appendix 7 Memorandum of Agreement (MOA) with the National Housing Authority (NHA) Appendix 8 Draft Memorandum of Agreement (MOA) for the creation of a Project Inter-Agency

Committee (PIAC) Appendix 9 Affected Vegetable Farm in Mabalacat Depot Appendix 10 Draft Terms of Reference (TOR) for External Monitoring Agent (EMA) Appendix 11 Draft Quarterly Monitoring REPORT Form Appendix 12 Communication Material Appendix 13 Summary of Consultations with Relocating Households Appendix 14 Resettlement Framework Entitlement Matrix (EM)

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EXECUTIVE SUMMARY

1. The Government of the Philippines (GoP) requested the Japan International Cooperation Agency (JICA) and the Asian Development Bank (ADB) in the provision of financial assistance to the Malolos Clark Railway Project (MCRP) also known as North-South Commuter Railway Extension Project (NSCR-Ex). The MCRP consists of the Cities and Municipalities of Manila, Bulacan and Pampanga Provinces. This Resettlement Action Plan (RAP) has been prepared specifically for the project affected city of Mabalacat in the Province of Pampanga. 1 The purpose of the RAP is to identify all impacts associated with land acquisition and clearance of Right-of-Way (ROW) for the project in Mabalacat, assess the socio-economic context of affected people in the area and present agreed measures to fully mitigate impacts within a time-bound plan. 2. Malolos Clark Railway Project Tranche 1 comprises Malolos to Clark and the Solis- Blumentritt Extension Section. The 51.4 km Malolos to Clark commences at the City of Malolos, passing through the Municipality of Calumpit in the Province of Bulacan, and the Municipalities of Apalit, Minalin and Sto. Tomas in the Province of Pampanga, and cities of San Fernando, Angeles and Mabalacat until the alignment reaches inside the Clark International Airport (CIA) complex, all in the Province of Pampanga. The length of the MCRP will be comprising a 51.4-km long main line with 47.84 km of viaducts, 0.64 km of embankment and at-grade and 2.94 km of underground, and a 1.2 km at grade spur line to the depot. There will be six stations, one depot with an Operations Control Center, 13 bridge crossings and substations. Location of the construction yards and disposal areas will be determined by the contractor. 4. The required land for this project section will come from the existing railways’ right of way and the Bases Conversion and Development Authority (BCDA), which is a state agency, through the government’s inter-departmental land transfer procedure, which is not subject to expropriation. Therefore, there is no land acquisition requirement. Where non-title holders have taken lease of some parts of the BCDA land, such leases will be cancelled against compensation at replacement cost and the land will be retrieved. Where non-title holders have occupied some parts of the BCDA land without formal agreement, compensation at replacement cost for non-land assets will be provided in addition to transitional and other required assistances. 3. The entire project is categorized as A for ADB’s involuntary resettlement safeguards. Four separate RAPs will be prepared for the remaining project affected cities and municipalities along the Malolos Clark and Solis-Blumentritt sections, separating the Project Affected Households (AHs) into landowner claimants and non-landowner claimants. 4. This RAP covers specifically the impacts within the City of Mabalacat whereby the 7.5 km of the main railway line from Clark station to the end point past CIA station will be a mixture of viaduct, embankment and at grade and underground structures. There will be two stations (Clark Station and CIA Station) and one Depot. This section of the railway project in Mabalacat is the subject area of this RAP. 5. Project land requirement and resettlement impacts. As stated above, there is no land acquisition in this project section; instead, it is land requisition and retrieval. Overall, MCRP will utilize existing Philippine National Railways (PNR) ROW, as well as acquire additional parcels of land in areas where the width of the PNR ROW is less than 30 m, and at station locations, which requires 60-m width or more. Involuntary resettlement impacts will be a result of the acquisition of land for stations, the depot and widening of the ROW. Land within the BCDA property will also be required for a new ROW for the section from Clark to CIA. The

1 Covering works packages N0-4 and N0-5.

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BCDA as the landowner of this segment confirmed an agreement with DOTr to use portion of their property as project ROW. Thirty-three (33) hectares out of 63 hectares of necessary project land that are free and clear of affected persons, trees, crops and utilities within the ROW and are now ready for construction at day one of commencement of civil works.2 6. This RAP will cover the City of Mabalacat in the Province of Pampanga. Impacts will include full or partial displacement of 27 AHs (147 persons) on land owned by Bases Conversion Development Authority (BCDA) and another 13 employees working on a displaced farm. The identified affected households and farmers are occupants on public land, including 21 who previously held a usufruct agreement with Bases Conversion and Development Authority (BCDA) that expired in 2009 and one farmer who holds an existing lease agreement with Clark International Airport Corporation (CIAC) on BCDA land. The 27 AHs include 17 AHs (84 persons) losing residential structures, 25 AHs (125 persons) losing productive resources (22 farmers and 3 vendors), all of whom are severely affected, and another 23 persons losing employment. Out of the 17 AHs (84 persons) losing houses, 8 AHs (40 persons) are residing in their structures as their only residence and 9 AHs (45 persons) are using these structures as their secondary residence. Eight of these 17 AHs will need resettlement assistance. Out of the 27 AH, there are 15 vulnerable persons eligible for special assistance. Of the 15 vulnerable APS there are 5 AHs from the 8 AHs to be relocated that are vulnerable (2 elderly, 2 solo-parents, and one household below national poverty line) and are eligible for special assistance. 7. All APs who will experience loss of assets and income are entitled to compensation

and assistance described in the Entitlement Matrix aimed at restoring, if not improving, their living standards.

8. There are no Indigenous Peoples (IPs) in the project area nor is it anticipated that land in ancestral domain areas will be acquired. Notwithstanding, as per the requirement of the Philippines Indigenous Peoples Rights Act (IPRA), the Project obtained certificate of non-overlap from the National Commission on Indigenous Peoples (NCIP) for the proposed depot area in September 2018 since it is located close to an ancestral domain land. 9. Social Safeguards Policy Principles for the Project. The RAP follows ADB Safeguards Policy Statement (SPS) of 2009, JICA Guidelines (2010) and relevant Philippine laws and procedures. The Project shall under the aegis of the executing agency, DOTr, uphold the IR policy principles for the Project as set out in this RAP. 10. Affected Persons and Eligibility. The cut-off-date of eligibility for the project was set at the Project’s DD Phase (January 2019). APs are those who stand to lose, as a consequence of the project, all or part of their physical and non-physical assets, including homes, communities, productive resources such as trees and crops income-earning opportunities, social and cultural networks and activities. 11. Compensation and Entitlements. Compensation at replacement cost will be provided to all APs/AHs losing assets and income due to Project ROW clearing for the project. Other forms of transitional and restorative assistance will also be provided to achieve the RAP objectives of restoring, if not improving, living standards. Details of eligibility and entitlements are set out in the Entitlement Matrix in the RAP. The DOTr will work closely with the LGUs, the National Housing Authority (NHA), the Department of Human Settlements and Urban Development (DHSUD) and other stakeholder/partner agencies in the implementation of the

2 Free and clear land is defined as land without project affected persons, compensable structures, improvements, trees, crops and utilities and other impacts to which persons are eligible for compensation and assistance.

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ROW clearing work, resettlement and the allocation of compensation and entitlements in accordance with the EM. 12. Relocation Assistance. The EM includes assisted relocation and an option for self-relocation. Eight AHs out of 17 AHs losing residential structures are eligible for relocation to the NHA housing programs, as well as other resettlement assistances as described in the EM. None of the eight AHs eligible for assisted resettlement assistance opted for self-relocation. There are nine AHs losing residential structures who do not use the affected houses as their primary residences. They are eligible for compensation for the physical losses. 13. Livelihood Restoration and Improvement Program. The DOTr will implement the Livelihood Improvement and Restoration Program (LRIP) in partnership with the City of Mabalacat, national and regional (Region 3) government agencies. The approach involves short and immediate intervention appropriate to the needs of the AHs/ APs and is gender responsive. The APs/ AHs engaged in farming and other micro-business activities will be assisted to re-establish their businesses. APs desiring to set up other business not similar to what they do, will be provided with technical assistance and access to soft loans. The affected 23 wage employees will be assisted through job placement under the construction activities of the Project. Assistance is being extended by local government through skills enhancement training and in assisting APs in securing documentary requirement for employment. In the long term, the APs/ AHs who are transferring to the relocation site will be provided with cash compensation and other special assistance to re-establish livelihood upon final transfer to the relocation site. The RAP Implementation and Management Committees (RIMC) Sub-Committee on Livelihood Restoration at the LGU will oversee and monitor the LRIP implementation. 14. Grievance Redress Mechanism. The project level Grievance Redress Mechanism (GRM) outlines the procedures in which grievances are accepted, assessed and resolved, and includes three levels of grievance redress for complaints made concerning the project and the RAP implementation. Notwithstanding, APs may seek redress through the country’s judicial system at any time, which is not a part of the GRM. The GRM has been developed in accordance with JICA Guidelines (2010) and ADB SPS (2009) and aims to reduce impacts and risks of the project and promote mutually constructive and trust-based relationships with affected people. The GRM was established during RAP preparation and the Mabalacat Help Desk is located at the office of the City Planning Office of Mabalacat City Hall. The Help Desk is managed by DOTr Grievance Redress (GR) Officer together with LGU designated GRM Focal Person.

15. Institutional Arrangements. The institutional arrangements for this project involve the DOTr being the Executing Agency (EA) and Implementing Agency (IA). Other key institutional stakeholders include Philippines National Railways (PNR),) Department of Human Settlement and Urban Development (DHSUD), National Housing Authority (NHA), and the LGUs. A Project Inter Agency Committee (PIAC) composed of related National Government Agencies (NGAs) will provide policy support and resources to speed up the implementation of the RAP. The MCRP Project Management Office (PMO) under the Office of the Undersecretary for Railways is the epicentre in carrying out the RAP implementation particularly in the Right-of-Way (ROW) acquisition and relocation of non-landowner AHs/APs encompassing compliance of the social safeguards policy of this Project. The MCRP PMO is organized to oversee and monitor all technical and administrative authorities to implement this RAP. NHA is lead implementing agency for resettlement including the construction of socialized housing units for the AHs. NHA is also tasked to assist the LGU in ensuring that relocated AHs are provided with social infrastructure in the relocation site 16. Implementation Schedule. The construction for Mabalacat section is expected to start in May 2020. Upon approval of this updated RAP, contracts can be awarded, and civil

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works may commence on areas that are free and clear of impacts. Free and clear land is defined as land without project affected persons, compensable structures, improvements, trees, crops and utilities and other impacts to which persons are eligible for compensation and assistance. During the DD Phase, the RAP schedule was updated. It provides details on the steps and process to update the RAP, relocation procedures, creation of implementing institutions, Livelihood Restoration and Improvement Program (LRIP), and monitoring of the RAP implementation. 17. Budget and Financing. The RAP budget for Mabalacat is estimated at PhP 193,400,463. The budget covers costs to pay main and associated structure and improvements acquisition, resettlement site development, relocation assistance, livelihood assistance, compensation for crops and trees, grievance redress mechanism implementation, and overall RAP implementation and monitoring (including administrative costs and a 10% contingency). 18. Monitoring. There will be two types of monitoring: internal and external monitoring. DOTr is conducting monthly, quarterly and semi-annual monitoring of the resettlement activities and submits quarterly and semi-annual monitoring and evaluation reports to JICA and ADB. To ensure compliance, the services of an External Monitoring Agent (EMA) is being procured by the DOTr to provide an independent periodic review and assessment of the implementation of the RAP. Disclosure of monitoring reports will be made upon submission to JICA and ADB through the JICA, ADB and DOTr websites. Preparation of monthly and quarterly monitoring reports starts from the commencement of RAP validation until completion of payment of compensation, whereas semi-annual monitoring and evaluation reports will be carried out for the duration of the project until the end of the loan closing. Post-completion and evaluation reports as well as a final report will also be prepared. 19. Consultation, Participation, and Disclosure. Meaningful consultation has been conducted to ensure issues, concerns and voices of AHs have been incorporated in the project preparation. Information, Education and Communication (IEC) Meetings with concerned Local Government Units (LGUs) were conducted to disclose initial information about the project, prior to any RAP-related activities. Suggestions and inputs were noted, and issues and concerns were considered particularly in the house construction design recommendation that will be given to developers. Stakeholder Consultation Meetings (SCMs) were held with APs during the Feasibility Study (FS) Phase and Detailed Design (DD) Phase. Three rounds of SCMs were conducted during the FS RAP Phase and two rounds during the DD RAP Phase. In the 1st SCM DD RAP Phase, the DOTr disclosed updates on the Project and information of the RAP activities which was followed by an open forum. In the 2nd SCM, the DOTr disclosed the final compensation package, the relocation site and LRIP, followed by an open forum. Focus Group Discussions (FGDs) were also held to substantiate the data gathered from the SES with affected business sectors and vulnerable groups as described in Chapter 7. This RAP will also be accessible to the public through the JICA, ADB and DOTr websites.

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1. CHAPTER 1: PROJECT DESCRIPTION 1. This Resettlement Action Plan (RAP) covers the Local Government Unit (LGU) of the City of Mabalacat for the Malolos Clark Railway Project (MCRP), also known as the North-South Commuter Railway Extension Project (NSCR-Ex) (Clark Extension). This RAP is prepared to cover the Malolos to Clark Section and includes the Mabalacat depot area, Mabalacat main line and Clark station. For the Malolos to Clark railway section under the MCRP, there will be two separate RAPs, one covering landowners and the other covering non-landowners of the affected LGUs. As the MCRP also covers the Solis to Blumentritt section in the South, there will be two RAPs for this section also covering landowners and non-landowners. This RAP focuses on the Mabalacat depot area and Mabalacat main line and Clark station only. A. Background 2. The project will contribute to the sustainable development of Metro Manila and the fast-growing urban areas in and near Clark, while also improving connectivity to the CIA. The population of Metro Manila3 increased by 1.5 times from 8.0 million in 1990 to 12.8 million in 2015.4 With a population density of 20,000 per km2, Metro Manila is home to about 13% of the population of the Philippines and the main economic center accounting for 38% of the country’s GDP. 3. Severe traffic congestion and environmental degradation characterize Metro Manila, particularly at city centers where high density development continues. Urban sprawl has spilled over to surrounding northern and southern provinces located within daily commuting distance. With increasing vehicle ownership, congestion is expected to worsen, further increasing travel times of commuters. 4. The planning and implementation of the MCRP is assisted with Japan International Cooperation Agency (JICA) and Asian Development Bank (ADB) financing through a Multi-tranche Finance Facility (MFF) covering 51.4 km of railway line from Malolos to Clark International Airport (CIA), with a 1.2 km spur line to the depot site, which starts about 4 km past Clark Station and one depot. There will be six stations, one station in the Province of Bulacan and five stations in the Province of Pampanga. 5. The Feasibility Study (FS) Phase of this Project was conducted from December 2017 to August 2018, and the Detailed Design (DD) Phase started in September 2018 and completed February 2020. The Loan Agreement between JICA and the GoP was signed in January 2019. The Loan Agreement between ADB and GoP was signed in July 2019. B. Objectives of Malolos Clark Railway Project

6. The MCRP is one of the government’s efforts to promote inclusive growth and improve the transport and logistics services to currently underserved areas in the country. Starting from the center of Metro Manila to the nearby areas in North Luzon, the MCRP is expected to ease the traffic congestion on existing national and local roads along the railway’s route while accelerating economic growth and expansion along the project’s influence areas.

3 Officially the National Capital Region (NCR), a metropolitan area comprised of 16 independent cities which include the City of Manila, Quezon City, Caloocan City, Las Pinas City, Makati City, Malabon City, Mandaluyong City, Marikina City, Muntinlupa City, Navotas City, Paranaque City, Pasay City, Pasig City, San Juan, Taguig City, Valenzuela City and one (1) municipality that is Pateros. 4 Philippines Statistic Authority (PSA), 2015 Census of Population.

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7. The MCRP will provide a high standard suburban commuter rail from Malolos to Clark with the line commencing at the city of Malolos, passing through the municipality of Calumpit, both in the province of Bulacan, the municipalities of Apalit, Minalin, and Sto. Tomas, and cities of San Fernando, Angeles and Mabalacat, until the alignment reaches inside the CIA complex, all in the Province of Pampanga. MCRP also has a section for Solis to Blumentritt. 8. There will be two types of train operations from Metro Manila to Clark International Airport, the commuter train and the airport express train services. The maximum speed of the commuter service is 120 km/h, while that of the airport express service is 160 km/h. C. Scope of the Project

9. The entire MCRP will require land acquisition for the ROW in the cities/municipalities of Malolos and Calumpit in the Province of Bulacan and in the cities/municipalities of Apalit, Minalin, Sto. Tomas, San Fernando, Angeles, and Mabalacat in the Province of Pampanga. For this RAP which focuses on the section of Mabalacat, there will no land acquisition. All land to be used for this section belongs to Base Conversion Development Authority (BCDA), a government agency who has permitted DOTr to use the land for MCRP (Appendix 1). Any project related activities within the Mabalacat area that produce involuntary resettlement impacts such as land clearance that affect people using the land will be considered under the scope of this RAP. D. Proximity to Ancestral Domain and Certificate of No-Overlap 10. Since the proposed depot is located near the ancestral domain, a Field Based Investigation (FBI) was undertaken by the National Commission for Indigenous Peoples (NCIP) on August 29, 2018. The FBI report confirmed the no-overlap with the nearby Certificate of Ancestral Domain Title (CADT 025-A). A Certificate of No-Overlap (CNO) was issued on September 19, 2018 and NCIP confirmed through a conform letter that the CNO covers the entire proposed Project area indicated in the Project Profile (Appendix 2). E. Project Components 11. The MCRP will have the following components: Main railway line; Viaduct / bridge crossings (rivers/highways); Embankment at-grade; Underground; Depot, workshops and Operations Control Center (OCC); Six Stations and related facilities; Substations; Drainage; Maintenance base; Construction yards (Offices, laboratory, worker’s quarter, warehouse, fabrication yard, batching plant and segment casting yard); Borrow pit/spoil disposal areas. In the section covered by this RAP, the following components are included: Part of the main railway line; Viaduct / bridge crossings (rivers/highways); Embankment at-grade; Underground railway station; Depot, workshops and Operations Control Center (OCC); Two stations and related facilities; Substations; and Drainages. The remainder of the chapter below provides details on the key works covered under the section of this RAP.

1. Main Railway Line (Mabalacat section) 12. The MCRP alignment is 51.4 km long from Malolos to CIA station, with an additional 1.2 km spur line to the Gil Puyat Avenue depot. The required ROW width of the railway track is 30 m all along the alignment. The track will consist of elastic sleepers that are directly fastened onto the track for the viaduct or bridge sections. There will also be sections with ballast. The at-grade sections that are located at ground level (otherwise termed ‘at-grade’) such as the depot access line will be asphalted to ensure good drainage and track durability. Table 1-1 provides further details on the 7.5 km section in Mabalacat covered by this RAP. The MCRP alignment in Mabalacat is shown in Figure 1-1

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Table 1-1 Sections of the Main Railway Line in Between Stations

Section Description

Clark to Clark International Airport

Alignment: From Clark Station to the crossing with Clark Spur Road, which is the connection road for North Luzon Expressway (NLEx) and Subic–Clark–Tarlac Expressway (SCTEx), the alignment follows the periphery of the BCDA owned development area converted from the former U.S. military base, to not obstruct the perimeter road along with the development area. Structure Type: In order comply with the height limitation in consideration of the civil aviation code, the vertical alignment from Clark Station needs to be lowered from viaduct structure to at-grade before the edge of the runway and will go underground towards the CIA station. Station: Clark station is an elevated station, and CIA Station is an underground station with two basement floors, the concourse and the machinery room are provided on the first basement level while the platform on the second basement level.

Source: JICA Design Team

Figure 1-1 Project Alignment in Mabalacat Viaduct


13. Most of the MCRP will be constructed on viaducts, and PC girder will be used. The viaduct has a typical 40 m span layout and approximately 10.30 m wide super structure. The typical viaduct structure is shown in Figure 1-2 and Figure 1-3.

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Figure 1-2: Viaduct Structure for Typical Section


Figure 1-3: Perspective of Typical Viaduct Structure


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2. Bridges 14. Where crossings exceed the length of typical viaducts (40 m), bridges will be built within the 30 m ROW, to cross rivers and infrastructures. The location of bridges at major crossings and locations in Mabalacat are described below in Table 1-2.

Table 1-2: List of Span Layout of Viaducts and Bridges at Major Crossings

Kilometrage5 Crossing Span Layout Structure Type

79+230 GGDC Gateway III 55m Single span PC-Box Girder Bridge

81+300 SCTEx-NLEX Ramp 60m+90m+60m 3 span continuous PC-Box Girder

81+800 SCTEx, SCRP 8 times 30m Steel Through Girder Bridge (8 span)


15. There will be 0.64 km of embankment and at-grade in the section between Clark to CIA, where the height of the alignment must be lowered due to height restriction around the airport. The 1.2 km spur line to the depot will also be at-grade. The structure of the embankment’s retaining wall is shown in Figure 1-4.

Figure 1-4: Cross Section of Embankments from Clark Station to CIA Station

Underground


16. After the at-grade section, the height of the alignment will be furthered lowered, and will go underground for 2.94 km, before reaching CIA station which is an underground station. The underground section will be constructed using the cut and cover method.

3. Stations

17. There are two stations in Mabalacat; Clark station, which is located on the border of Angeles City and Mabalacat City, and CIA station. The stations will adopt a universal design which will incorporate the barrier-free guidelines of both Philippines and Japan for elderly, children, and persons with disabilities. The proposed measure is to provide elevator and

5 The kilometrage indicates the distance from Solis Station.

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escalators, in addition to stairs for vertical movement of passengers from streets to station platforms. 18. Each station is also designed to be resilient to fire and any emergency that may occur in the future. Stations are equipped with an evacuation plan and emergency facilities for safe and orderly evacuation to avoid fatalities and injuries among passengers during emergency. 19. Station locations. The station locations and the distance between the stations of MCRP are indicated in Table 1-3. The two stations covered by this RAP are Clark and CIA.

Table 1-3: Station Location

Stations Location Kilometrage of the Center of Station

Inter-station Distance (km)

Malolos (NSCR) Malolos, Bulacan 34km 142m (34+142) - 1 Calumpit Calumpit, Bulacan 41km 134m (41+134) 6.39 2 Apalit Apalit, Pampanga 46km 440m (46+440) 5.30

3 San Fernando San Fernando, Pampanga

58km 595m (58+595) 12.16

4 Angeles Angeles, Pampanga 73km 655m (73+655) 15.04 5 Clark Mabalacat, Pampanga 78km 586m (78+586) 4.95 6 CIA Mabalacat, Pampanga 86km 034m (86+034) 7.45 End Point Mabalacat, Pampanga 86km 074 (86+074) 0.14

Total Length 51.42 Source: JICA Design Team

20. Clark Station. The station will be an elevated island platform type with two platforms and four tracks. The location of the station is along the periphery of the CIA re-development zone in the Bases Conversion and Development Authority (BCDA) area (Figure 1-5). Since BCDA is a government authority, this area will not require any land acquisition, as DOTr and BCDA are having ongoing negotiation for a government to government land agreement through a Memorandum of Agreement (MOA) as of June 2019 (Appendix 1).

Figure 1-5: Location of Clark Station


21. CIA Station. The CIA Station will be an underground station with two platforms and four tracks. The location of the station was decided in consideration of the master plan of the airport, and is located between two future airport terminals (Figure 1-6). The track line to

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access the depot is provided at CIA Station and the train will enter the depot after making a turn back (reversing the train direction) at this station.

Figure 1-6: Location of CIA Station


22. Station Type. Both Clark station and CIA station will be Island Type stations, consisting of one platform that services trains on both sides. The cross-section for Clark Station is shown in Figure 1-7, and the cross-section for CIA station is shown in Figure 1-8.

Table 1-4: Station Type

Station Clark CIA

Platform Type Island 3 storeys (Elevated)

Island (Under Ground)


Figure 1-7 Cross-section of the Clark Station


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Figure 1-8 Cross-sections of the CIA Station


4. Depot

23. Depot location. The depot is planned to be constructed in an approximately 33 hectares lot area located in Barangay San Joaquin currently owned by BCDA and managed by Clark International Airport Corporation (CIAC). The depot is designed to connect both Prince Balagtas Avenue in the north and Gil Puyat Avenue in the south, which will ensure good accessibility to the depot during its construction and operation, both roads connecting to Subic – Clark Tarlac Expressway (SCTEx) and MacArthur Road, respectively. Figure 1-9 shows the location of the depot and its current and future surrounding features.

Figure 1-9: Depot Location


24. The depot will serve as an area for stabling, maintenance, inspection, and train repair. Aside from these, the depot will function mainly as a central command office which conducts the operation control of the main line and the integrated management of electricity, facilities for the crew, and the maintenance base for track, power supply system, signalling, communication systems, and civil and architectural facilities Figure 1-10 shows the planned layout of the depot site.

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Figure 1-10 Depot Layout


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F. Maintenance Base 25. For the MCRP, three maintenance bases located in the cities/municipalities of Calumpit, San Fernando and Angeles will be used as ramp access to the viaducts, allowing machines to go up and down for track maintenance. They will be used in order to reduce the travel time from the depots for maintenance.

G. Substations 26. The substations which will provide electricity for the train operation are designed to be located under the viaducts, and within the 30m PROW. H. Utilities 27. Utility relocation associated with land clearance for the project is expected to utilize existing government owned easements where feasible. In Mabalacat most of the utilities to be relocated are overhead power lines and telephone lines. There are also underground and at grade utilities such as waterline and drainage canals. A relocation plan for these utilities has been prepared and the schedule of utilities relocation will commence after the all AHs/APs are relocated. 28. In the event that public utilities relocation produces involuntary resettlement impacts, such as land acquisition or land clearance that displaces people using the land, then such impacts will be considered as impacts under the scope of this RAP. In such cases the same entitlements as in the RAP will be applied to those affected. For the area covered under this RAP, public utility relocation will not affect any persons. Should there be any unanticipated utility relocation related to involuntary resettlement impacts, DOTr will prepare an addendum to the RAP covering the impacts consistent with the principles and requirements set out in this RAP and the Project Resettlement Framework. A due diligence report confirming application of RAP principles and noting any implementation issues will be prepared by DOTr as part of their internal monitoring. That report can be included as an attachment to its regular monitoring reports to be submitted to JICA and ADB. I. Construction Yards, Borrow Pit and Spoil Disposal Area 29. The decision on the selection of construction yards, borrow pit and spoil disposal area will be made by the contractor. The General Consultant (GC) 6 will oversee the potential impacts and report on these in monitoring reports, as specified in Chapter 13. If there will be any potential resettlement implications, the provisions included in the Entitlement Matrix in Chapter 5 will be applied, and safeguard documents and plans prepared. J. Comparison on Alternatives Without Project Option

30. Access from the suburbs to Metro Manila using public transportation is not sufficient to meet the demand of all commuters. The northern part of Metro Manila up to CIA has no operating railway, and residential areas are expanding without sufficient public transportation. Urgent measures are needed to ensure public transportation linking the northern part to Metro Manila. Without a railway, sustainable growth of local industry will be hampered, traffic congestion will continue to waste the time of commuters, and the environment of the area will deteriorate further by the traffic congestion and air pollution. The without project option has little merit and viability.

6 General Consultant is the term used for the Consultant providing consulting services during the Project Implementation Phase.

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K. ROW Alternative Option

31. For the 7.5 km section in Mabalacat and Depot, there will be two stations (Clark Station and CIA station), viaducts, embankments, at-grade and underground components. Three ROW alternatives were compared for the segment between Clark and CIA, including the adopted Option A (Viaduct + underground Option) turning left to CIA station after passing the airport, Option B (Underground Option 1) which locates Clark Station to the south of the airport and connects to CIA, and Option C (Underground Option 2) which follows Option A, but run through the runway to reach to CIA station. After a series of discussion, Option A was selected as a preferred option, as shown in Table 1-5.

Table 1-5 Comparison of ROW Alternative for Clark-CIA Connecting Routes

Option A

(Viaduct + Underground Option)

Option B (Underground Option 1)

Option C (Underground Option 2)

Alternative options

Social Environment

Land Acquisition

B: Land requirement of (10.6 ha) is needed more than Option C but less than Option B

C: Land requirement of (11.2 ha) needed the Most

A: Land requirement of (8.0 ha) needed the least

Historical/ cultural Heritage

A: No historical/cultural heritage along the alignment



Natural Environment

Biodiversity (Wetland)

A: No vegetation or wetland along the route

A: There is a partial vegetation within CIA, but this area will be passed by shield, so there will be no impact

A: No vegetation or wetland along the route

Others

Construction Difficulty

A: Viaduct construction is not difficult. Underground Structure of short length is the “Cut and Cover” construction method is not difficult.

C: High technology is needed as it is necessary to protect the highway at the south of the airport while making the railway pass.

C: Very complicated technology is needed as it is a shield construction under the currently used runway.

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Option A

(Viaduct + Underground Option)

Option B (Underground Option 1)

Option C (Underground Option 2)

Construction Period

A: The segment is the longest with 10.9 km, with 8.0 km viaducts and 2.9 km cut and cover underground structure. The construction period is the shortest.

B: The total length is 9.6 km, but as it passes through the south of the airport, it cannot be constructed by viaduct. The construction period will be long

C: The total length is the shortest with 7.5 km, but the tunnel length is the longest with 2.8 km. The construction period will be long.

Construction Cost

A: Most economical C: Expensive because of tunnel construction

C: Expensive because of tunnel construction

Evaluation

A: Passengers going to CIA from NCC will need to transfer at Clark Station. After discussion with DOTr, although it is not the most convenient, this Option was chosen because of technical and financial consideration.

C: The construction cost is expensive as a part of the route must go underground in order to avoid visual interference for the takeoff/landing of airplanes, and there are fewer merits compared to Option A.

C: This option is not chosen as the route inside the airport is to be underground, and there are fewer merits compared to Option A for construction period and construction cost

Note: A: Excellent, B: Good, C: Poor Source: JICA Design Team

32. For railway structures, alternative options for the below three types were considered for this section:

a. Elevated structure (Viaduct) b. Embankment structure c. Underground structure

33. Result of Alternative Comparison. The result of the comparison of the above-mentioned alternatives are shown below. For sections where the railway crosses with arterial roads or flood prone areas, viaduct was recommended. While the underground structure option has less environmental and social impacts and few obstacles that cannot be avoided if using the existing PNR ROW, it was not preferred due to the lengthy construction period and high cost involved.

Table 1-6: Comparison of MCRP Structural Type

Elevated Structure Option Embankment Structure

Option Underground Option

Appearance

Social Environment

Land Acquisition

A: None (owned by BCDA) A: None (owned by BCDA) A: None (owned by BCDA)

地盤改良

MCR

20.1m

30m

6.7m 6.7m 6.7m

MCR MCR

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Elevated Structure Option Embankment Structure

Option Underground Option

Affected Households

B: Resettlement of APs within the ROW is necessary

B: Resettlement of APs within the ROW is necessary

A: No need to resettle the APs above the tunnel

ROW A: The necessary ROW between stations is 30m, and 60m at station

A: The necessary ROW between stations is 30m, and 60m at station

A: The necessary ROW between stations is 30m, and 60m at station

Dividing of local community

NA NA NA


L. Depot Site Alternative Option

34. There were two options that were considered for the depot location in Mabalacat. Both options are within the BCDA property. The first option considered is located in the northern part of Barangay Dolores (Northrail Depot Site). However, due to resettlement impact in said area, the second option which is located southward of the first option was chosen as the final depot site (Gil Puyat Depot Site). The alternative comparison of the depot sites is shown in Table 1-7.

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Table 1-7 Alternative Comparison for the Depot Site

Option 1

Northrail Depot Site

Option 2

Gil Puyat Avenue Depot Site

Location

Land use A: Approximately 48 ha area proposed by DOTr

A: Approximately 33 ha area proposed by DOTr

Land Acquisition A: No Land Acquisition required B: No Land Acquisition is required,

however there is one leaseholder contracted with CIAC

Resettlement C: Resettlement of approximately 120 AHs

B: Potential loss of Leaseholder’s Income and resettlement of 11 AHs

Ancestral Domain A: No encroachment A: No encroachment

Land Alteration B: Loss of field and vegetation (approx. 48 ha)

B: Loss of field and fruit bearing trees and agricultural land (approx. 33 ha)

Noise and Vibrations C: Potential risk of noise and vibration impact on residential area

B: Little impact of noise and vibration as there is no residential area nearby

Water

B: Risk of water pollution of nearby Sacobia river due to mud water discharged during construction

B: Risk of water pollution of Dolores river which passes through the depot site due to mud water discharged during construction

Construction Difficulty

A: Not difficult A: Not difficult

Construction Period B: Long B: Long

Construction Cost A: Short railroad siding, favorable cost wise

A: Short railroad siding, favorable cost wise

Operation A: Near CIA, convenient for commuting B: Only trains operated to CIA Station can easily be forwarded to the depot

A: Near CIA, convenient for commuting B: Only trains operated to CIA Station can easily be forwarded to the depot

Access B: Limited in land condition and difficult to provide access for northbound line

B: Limited in land condition and difficult to provide access for northbound line

Evaluation

B: There is no need for land acquisition and the site is outside the Ancestral Domain, however significant resettlement is required.

A: There is no residential area affected by noise and vibrations, and the site is outside the Ancestral Domain. Resettlement will be minimum compared to Option 1. In addition, the site is not flood prone.


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2. CHAPTER 2: SCOPE OF LAND ACQUISITION AND RESETTLEMENT 35. Implementation of the MCRP in Mabalacat will maximize utilization of existing PNR ROW, and will also as necessitate requisition of additional land in areas where the width of PNR ROW is less than the width required for the Project ROW (PROW) or when the PROW alignment deviates from the PNR ROW. Land will also be required for construction of a depot. For this project section, there is no land acquisition requirement. The required land for this project section will come from the existing PNR ROW and the Bases Conversion Development Authority (BCDA) under an agreement, which is a state agency, through the government’s inter-departmental land transfer procedure. As described in this RAP, affected households are either leasing or occupying the land without formal agreement. 36. The Project will utilize a portion of properties owned by the BCDA for the depot and diversion track going to the depot all the way to Clark International Airport (CIA). Thus, there is no land acquisition in this section covered under this RAP. Award of contract for works may only be issued following approval of this updated RAP. Upon contracts award, works may be prioritized on free and clear areas. Free and clear land is defined as land without project affected persons, compensable structures, improvements, trees, crops and utilities and other impacts to which persons are eligible for compensation and assistance (Appendix 3). Works on impacted areas may only commence once compensation and assistance required under the RAP has been implemented and confirmed. 37. Upon approval of this DD RAP, civil works can start in sections with free and clear land available that will not have involuntary resettlement impacts as described in the resettlement principles of the Malolos Clark Railway Project’s Resettlement and Indigenous Peoples Planning Framework (RIPPF)7. The free and clear land in the Mabalacat area, which consists of about 33 hectares of land, was identified and verified based on ground validation conducted by the detailed design survey team, site inspections of tress and utilities, and field visits including interviews with farmers working near the site. This free and clear land in the proposed mainline and depot area is available to be handed over to the contractor for civil works following approval and disclosure of this RAP (Appendix 3). 38. Upon works commencement on free and clear land, APs will continue to have access to their residence and farm through the existing access road to their farming areas while waiting for full payment of compensation under this RAP. APs will not be displaced until full compensation for losses has been provided. Fences will be erected around the area of free and clear available land to ensure the safety of APs. Installation of the signages, directional signs will be required from the contractor to guide the APs safely to their existing farms. 39. Alternative alignments and design options have been studied by the engineering team to come up with the option that is most economical but has the least impacts on people. The DD Study shows that there are minimal resettlement impacts along the BCDA owned property. Succeeding subsections discuss the different alternatives that were considered, as well as the projected impact on land acquisition and resettlement in the given study area. A. Methodology to Assess Impacts 40. Detailed Measurement Survey, Parcellary and As-Built Surveys were conducted to identify the affected parcels of BCDA property to be utilized for the project and the structures therein. Each structure was tagged and measured, and materials used were determined to accurately establish replacement cost. Research on current market value of, crops and trees;

7 https://www.adb.org/projects/documents/phi-52083-001-remdf.

https://www.adb.org/projects/documents/phi-52083-001-remdf

16

and current market prices of construction materials, labor cost, etc., was carried out in to prepare the Bill of Quantities (BOQ). 41. The first survey was conducted between May and June of 2018 for the FS Phase, while another survey was conducted in January 2019 for the DD Phase in areas where there was change in the ROW. Another validation survey was conducted in January and February 2020 to confirm tree ownerships and occupants of structures. 42. The field surveys were accompanied by surveys of affected households and businesses using several types of forms. A household survey form was used to captured household level data of all affected families living within the project affected land, which was delineated by the parcellary survey. Business/Institution forms were used to capture information on the affected businesses within the PROW including, but not limited to type and size of business, gross and net monthly income, tenure of occupancy, and employee information. An agriculture form was used to identify APs who are utilizing the affected land for agriculture purposes. Also, a project APs/AHs validation form was used to gather updated data and circumstances of the AHs/APs after the SES. This include among others actual occupancy of structures, status of micro-business activities and recording their current circumstances. A subset of this form is the tree ownership validation form. One of its uses is the final list of all AH/APs entitled to compensation and assistance stated in the entitlement matrix. B. Cut-off Date

43. Prior to the start of the census and survey activities, the proposed Affected Persons (APs) were informed during the 1st Stakeholder Consultation Meeting (SCM) about the policy on cut-off date to prevent the influx of non-residents who might take advantage of project entitlements. This means that those who move into the project area or build structures on government or private land without permission after the cut-off date are no longer eligible for compensation. The cut-off-dates for eligibility for receiving compensation due to the project was determined to coincide with the timing of the DD stage DMS. Cut-off dates were set for non-landowners during the DD Phase while revised cut-off dates were set in areas where there was a change in alignment in the DD Phase.

Table 2-1 Cut-Off Dates

Location Barangay DD

Mabalacat (Main Line) Lakandula 28 January 2019

Mabalacat (Depot) San Joaquin 30 January 2019

Dolores 12 January 2019


C. Overview of Land Acquisition and Resettlement Impacts

44. This RAP will cover the City of Mabalacat in the Province of Pampanga. In the section covered by this RAP, the project will use BCDA property in the area of Mabalacat. As explained, there will be no land acquisition. Instead, there will be requisition and retrieval of state land. 45. Impacts will include full or partial displacement of 27 AHs (147 persons) on land owned by Bases Conversion Development Authority (BCDA) and the displacement of 13 employees that are not part of the 27 affected households. There are 15 vulnerable households. The identified affected households and farmers are occupants on public land, including 21 who previously held a usufruct agreement with Bases Conversion and Development Authority (BCDA) that expired in 2009 and one farmer holds a lease agreement

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with Clark International Airport Corporation (CIAC) on BCDA land. The 21 above mentioned farmers have been utilizing the affected BCDA land without formal agreement since 2009. Sixteen persons are employees associated with the affected farming enterprises who are expected to be displaced from their current work. There are also ten household members losing employment from the household farm. The 27 AHs include 17 AHs (84 persons) losing residential structures, 25 AHs (125 persons) losing productive resources (22 farmers and 3 vendors). Eight of the 17 AHs losing residential structures reside solely in the affected houses, while for the other nine households, the affected houses are occasional residences while they attend to the land that they farm. None of the other affected persons reside in the project affected area.

Table 2-2 Summary of Impact of MCRP in Mabalacat

Project Impacts Affected land, AHs and APs

Land requirement (all Government-owned) 603,156 m2

Residential structures 17 AHs

- of whom, losing primary residence and required to relocate 8 AHs

Secondary structures 80 items

- of which, privately owned 73 items

- of which, Government-owned 7 items

Losing productive trees/crops 22 AHs

- of whom, losing productive trees 22 AHs

- of whom, losing crops 11 AHs

Impact on Livelihood 27 AHs

loss of micro-business 25 AHs

- of whom, farming micro-business 22 AHs

- of whom, vender 3 AHs

Loss of Employment 23 APs

- of whom, loss of waged employment 13 APs

- of whom, loss of employment on affected household farm 10 APs

Vulnerable households 15 AHs

D. Affected Barangays

46. The Main Line will traverse Barangay Lakandula while the Depot will affect Barangays San Joaquin and Dolores.

E. Affected Land

47. The proposed Mabalacat Main Line and Depot is within the industrial, logistics, and reserve airport zone of the Clark Freeport Zone (CFZ) with a total project land requirement of 603,156 m2. This is government land which will be transferred to DOTr through the government’s inter-departmental land transfer procedure, which is not subject to expropriation.

Table 2-3 Affected Land Area (m2) for Requisition

Location Government Owned Land (m2) Total PROW Area

BCDA Sub Total m2 %

Mabalacat (Main Line) 183,175 183,175 183,175 30 Mabalacat (Depot) 419,981 419,981 419,981 70

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Location Government Owned Land (m2) Total PROW Area

BCDA Sub Total m2 %

Total 603,156 603,156 603,156 100 Source: JICA Design Team

F. Affected Structures

48. Based on the project design, a total of 97 structures will be affected in the Main Line and Depot areas. Of this number, 17 of the structures are classified as residential while the other 80 are secondary structures, including water pump station/room/reservoir, power sub-station, guard house/shed, construction temporary facility, toilet, vegetable greenhouses, garage, nipa hut, deep well, lavatory, and piggery. Seven of the secondary structures are Government-owned. All affected structures will be compensated at replacement cost, for which a replacement cost survey (RCS) has been carried out.

Table 2-4 Types of Affected Structures

Structure Type Number

Residential 17

Secondary Structure (Privately-owned) 73

Secondary Structure (Government-owned) 7

Total 97


49. There are 17 affected house structures. Eight of these are used as primary residences of eight affected households. The other nine are not used as residences. Instead, they are used as rest houses while the owners undertake farming work nearby. The primary residences of these latter nine households are nearby in Mabalacat. Accordingly, out of the 17 AHs using these houses, only eight households will require relocation. The nine households not using the houses as residences will be entitled to compensation for non-land assets, transportation assistance to move their belongings as well as livelihood restoration assistance related to impacts on their livelihoods. 50. Three of the five affected houses are also used for small-scale commercial activities as well as primary residences (house-cum-shop).

Table 2-5 Use of Affected House Structures

Barangay Primary Residence only

Primary Residence and

Commercial

Non-Residential Use

Total

Lakandula 1 3 0 4 Dolores 4 0 8 12 San Joaquin 0 0 1 1 Total 5 3 9 17

51. Of the eight houses that are used as primary residences, seven are owned by the occupants, while one affected household occupies the house on a rent-free basis.

Table 2-6 Ownership Status of Affected Primary Residences

Barangay Owner-Occupied Rent-Free Occupied Total

Lakandula 4 0 4 Dolores 3 1 4

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San Joaquin 0 0 0 Total 7 1 8

G. Affected Plants and Trees 52. A total of 3,974 compensable trees and plants are found in the affected land. Majority of these are in the depot area accounting for 99% of the total. Of these, 3,114 are fruit-trees, 714 are timber trees, while the rest are mostly herbal plants. The loss of productive trees and crops affects 22 households, comprising 22 households losing productive trees and 11 among the 22 households losing crops. Based on the Replacement Cost Survey (RCS) data, a joint tree ownership validation was conducted jointly with the farmers’ association and APs, with DOTr, and the Department of Agriculture-City Agriculture Office (DA-CAO) to ascertain the ownership and location of compensable trees that the APs owned. Record of results is in the table below.

Table 2-7 Affected Trees and Crops

Location Fruit-Bearing Trees

Timber Other Plants Total

Mabalacat (Main Line) 18 39 2 59

Mabalacat (Depot)

3,096 675 144 3,915

Total 3,114 714 146 3,974 % 78% 18% 4% 100%

Source: DOTr

Table 2-8 Affected Households Losing Trees and Crops

Barangay AHs Productive Trees Crops

Lakandula 0 0 0 Dolores 20 20 10 San Joaquin 2 2 1 Total 22 22 11

H. Impacts on Livelihoods

a. Loss of Land-Based Livelihoods 53. There are 22 AHs engaged in farming. All are utilizing public land. One of these (a horticulture micro- business) has a formal lease agreement with Clark International Airport Corporation (CIAC) on BCDA land. The remaining 21 farmers do not hold existing agreements to use the BCDA land. The farmers are cultivating productive trees and annual crops mixed with animal husbandry (livestock and poultry). Most of the affected productive trees and crops are within the project boundaries of the depot, wherein there are 20 farmer AHs who have planted fruit bearing trees under the SAMANAKA farmers’ cooperative, and one farmer who is not a member of SAMANAKA Cooperative, but is recognized by CIAC as rent free occupant of the land. Mabalacat RAP considers the 21 farmers without lease agreements as micro-business owners for entitlement eligibility purposes as they are not formally registered farmers. 54. All will be severely affected. The horticulture micro-business will be partially affected and will retain 2ha of the original leased area and will reorganize the vegetable cultivation on that area. The other farming households will be totally affected.

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Table 2-9 Households with Affected Land-Based Livelihoods by Tenure Status

Barangay Farming Formal Lease No Land Use

Agreement

Lakandula 0 0 0 Dolores 20 0 21 San Joaquin 2 1 Total 22 1 21

55. Fruits are the main produce (81%) of those into farming, particularly mangoes and bananas interspersed with other crops like coconut, and bamboo, among others. There is one AP who is into vegetable growing (i.e. cucumber, chili, and lettuce), one AP is raising livestock while the other is raising game fowls in the affected land.

Table 2-10 Major Products

Farming/Livestock

Fruit trees/livestock / gamefowl breeder 21

High value vegetables / herbs 1

Total 22


b. Loss of Commercial Livelihoods

56. Three households will lose micro-enterprises operated from their affected houses (house-cum-shops). All three are located in Barangay Lakandula. These consist of a sari-sari stall, a yakult vendor and a small vegetable shop. All three will be physically displaced.

c. Loss of Employment 57. There are 23 persons losing employment due to the displacement of the farms. Thirteen are employees of a horticulture micro-business (Barangay San Joaquin) with another three employed by other affected farms. There are ten persons who are household members of affected farms who derive income from working on the household farm.

Table 2-11 Affected Farming Employment

Barangay Losing Employment

Employee of Affected Farm

HH Member of Affected Farming

Household

Lakandula 0 0 0 Dolores 10 0 10 San Joaquin 13 13 0 Total 23 13 10

58. There are another three households relying on wage income (2 in Barangay Lakandula and 1 in Barangay Dolores). These households are relocating but the place of employment is outside the project affected area. These households expect to continue their existing employment after relocating.

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I. Vulnerability 59. Vulnerable households, under this RAP include 1) underprivileged households whose income fall below the national poverty threshold8; 2) solo parents with dependents (children and elderly family members above 60 years old); 3) households headed by the elderly; and households with member who is a person with disability. 60. Of the 27 AHs, 15 households are vulnerable as shown the table below. Three are below the poverty threshold, two are solo parent households and 10 households are headed by elderly persons. There are no households having a person with disability. Among the eight AHs to be relocated, five are vulnerable AHs comprising two households headed by an elderly person, two households headed by solo parents with dependents and one household with income below the poverty threshold. All vulnerable households will receive inconvenience allowance and special assistance during relocation.

Table 2-12 Vulnerable Households

Barangay Below Poverty Threshold

Solo Parents with Dependents

Household Headed by Elderly

Total

Lakandula 2 2 Dolores 3 8 11 San Joaquin 2 2 Total 3 2 10 15


8 The national poverty threshold is the minimum income/expenditure required for a family/individual to meet the basic food and non-food requirements. According to the Philippine Statistics Authority (PSA), the latest poverty threshold at PhP 9,063.75 a month for a family of five, or PhP 60.43 per day per person as of Jun 8th 2018. (http://ibon.org/2018/06/time-for-govt-to-come-up-with-realistic-poverty-threshold-ibon/).

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3. CHAPTER 3: SOCIO-ECONOMIC PROFILE OF PROJECT AFFECTED PERSONS 61. This chapter describes the Socio-Economic Profile and losses of Affected Persons (APs) based on the survey outcomes carried out for the MCRP. This chapter is divided into two: 1) socio-economic profile of AHs losing main structures; and 2) socio-economic profile of the affected farmers/micro-business owners and affected employees. A. Purpose of the Survey

62. The following were the main purpose of conducting the SES survey:

a) Determine the impacts, losses and socio-economic profile of APs including their socio-demographic characteristics, tenure status, livelihood sources, economic status and/or living standards, and their access to basic services and facilities to inform the preparation of the resettlement action plan;

b) Identify and assess the vulnerability of AHs, to further impoverishment; and c) Establish baseline data of the APs for measuring the social impact of the

project.

B. Survey Methodology

63. Prior to the survey, Stakeholder Consultation Meetings (SCMs) were conducted to explain the project details and the RAP activities, including the survey process among others. This was followed by census and tagging which is a process whereby stickers are attached to structures within the delineated PROW. For the structures where the APs refused the tagging or were absent, tag numbers were assigned. Interviews were administered by trained enumerators. Written and verbal consent was gained from the owners/occupiers to conduct the interviews, as manifested by their signatures at the bottom of the survey forms. 64. The survey covered 100% of the APs in Mabalacat.9 Responses were captured in three separate forms that corresponded to the main categories of respondents, namely: (i) households; (ii) business owners; and (iii) those engaged in agriculture. The forms included:

a. Household survey form: This captured household level data of all affected families living within the PROW, which was delineated by the parcellary survey. This form recorded data on the households’ socio-demographic characteristics, tenure status, monthly income and expenditure, living condition, residency, and preference for relocation. The design of the survey instrument allowed disaggregation of data by gender, and age, among others.

b. Business/Institution form: This captured information on the affected businesses within the PROW including, but not limited to type and size of business, gross and net monthly income, tenure of occupancy, and employee information.

c. Agriculture form: This form was used to identify APs who are utilizing the affected land for agriculture purposes.

d. Project APs/AHs validation form: This form was used to gather updated data and circumstances of the AHs/APs after the SES. This include among others actual occupancy of structures, status of micro-business activities and recording their current circumstances. A subset of this form is the tree ownership validation form. One of its uses is the final list of all AH/APs entitled to compensation and assistance stated in the entitlement matrix.

e. Supplementary household survey form: to capture socio-economic information for non-resident APs (to supplement information gathered previously through the business and agriculture forms) All the 27 AH were covered in the supplementary survey.

9 All households, businesses, and those engaged in agriculture were interviewed.

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C. Schedule

65. The first survey was conducted between May and June of 2018 for the FS Phase, while another survey was conducted in January 2019 for the DD Phase in areas where there was change in the ROW. Another validation survey was conducted in January and February 2020 to confirm tree ownerships and occupants of structures. A supplementary socio-economic survey was conducted on 8-13 May 2020 to obtain supplementary socio-economic information of non-resident AHs. D. Overview of the Survey Respondents

66. The household-level socio-economic survey in Mabalacat covered all 27 households losing property (houses, micro business owners and 22 farmer/micro-business) covering 147 persons.

Table 3-1 Number of Surveyed Affected Persons and Affected Households

Barangay Households Household Members

Lakandula 4 23 Dolores 21 115 San Joaquin 2 9 Total 27 147

67. Information on employment status and incomes of affected employees was obtained separately and also presented in this chapter. E. Profile of the Affected Households

68. This section outlines the results of the household survey with data disaggregated by gender, vulnerability, and other social groupings for those who were surveyed using the household questionnaire form. Household, for the purpose of this RAP, is defined as one or more people who live in the same dwelling, who also share meals or living accommodation and may consist of a single family or some other grouping of people. A single dwelling will be considered to contain multiple households if meal preparation is not shared. 69. Gender of Household Members. In terms of gender, 69 or 47% accounted for male family members, while female members were counted at 78 or 53%. Mabalacat household information showed that there are slightly more female household members than male.

Table 3-2 Gender of Household Members

Male Female Total

Person 69 78 147 % 47 53 100

Source : DOTr

70. Educational Attainment of Household Members. Table 3-3 reflects the educational attainment of household members, which ranges from pre-school to college. Out of the 147 APs, 136 obtained formal education or are currently in school. There are two school children who will need to transfer schools.

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Table 3-3 Educational Attainment of Household Members

Preschool Elementary High

School Vocational/ Technical

College College

Graduate Sub-Total

No Response

Total

Male 2 16 27 6 6 6 63 6 69 Female 2 14 32 5 12 8 73 5 78

Total 4 30 59 11 18 14 136 11 147

% 3 20 40 7 12 10 93 7 100

71. Ethnolinguistic Affiliation. The largest ethnolinguistic affiliation of the APs in Mabalacat are Kapampangans (68%). The Kapampangan people are the seventh-largest ethnolinguistic group in the Philippines. They dominate in the south-western portion of Central Luzon including the entire Pampanga. They are mostly Christian and use the Kapampangan dialect. 72. This is followed by those who have mixed ethnicities (8%) and Tagalogs (16%). The Tagalogs are the second most widespread ethnic group in the Philippines. They predominate the entirety of Manila, south eastern part of Central Luzon, Southern Luzon and the coastal parts of Mindoro Island. The Tagalog language is the official language of the Philippines and is taught throughout the archipelago. The rest of the APs are comprised of Cebuanos, Bicolanos, and Ilonggos at (8%)

F. Profile of Household Heads

73. A household head is defined as the person who is the sole or main income provider and/or decision maker in the household. 74. Gender Distribution of Household Heads. Out of the 27 households surveyed using the household questionnaire form, 22 are male-headed households while 5 are female-headed households (of whom 2 are considered solo parent households with dependents). 75. Age Distribution of Household Heads. Seven of the household heads are in the age bracket of 41-50 and Eight are within 51-60 years old. There are 11 household heads who are above 60 years of age and another one who is around 21-30 years of age. On the average, female household heads are older (63 years) as compared to the average age of male household heads (55 years old). The average age for all household heads is 56 years old.

Table 3-4 Age Distribution of Household Heads

20 YO and below

21-30 YO

31-40 YO

41-50 YO

51-60 YO

Above 60 YO

Total Ave. Age (YO)

Male 0 1 0 7 7 7 22 55 Female 0 0 0 0 1 4 5 63

Total 0 1 0 7 8 11 27 56 % 0% 4% 0% 26% 29% 41% 100% Note: YO- years old Source: JICA Design Team

76. Civil Status of Household Heads. Sixteen of the household heads are married. There is one household head who is single and four are widow/er (Table 3-5).

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Table 3-5 Civil Status of Household Heads

Single Married Widow/er Not known Total

Male 0 15 2 5 22 Female 1 1 2 1 5

Total 1 16 4 6 27

% 4 59 15 22 100


G. Livelihood and Living Standard Profile

77. Monthly Household Income. Based on the national poverty threshold (2015), a household of five members is calculated to have an income of at least PhP 9,700 per month in order to meet the basic food and other non-food requirements. APs that fall below the required per capita income are classified as vulnerable households and will be entitled to additional assistance. 78. Among the 27 AHs surveyed using the household questionnaire, 22 AHs (81%) have combined monthly household incomes that are below PhP 40,000/month and are classified as low income groups. Eight AHs (30%) have incomes that are below the poverty threshold. Five AHs (18%) are considered as high-income earner, earning above PhP 40,000/month. Under this project, the income threshold for socialized housing assistance eligibility is average monthly household income of less than PhP 40,000. 10 Among the 8 AHs losing primary residence, one AH is below the poverty threshold. 79. Based on the survey results, households with multiple livelihood activities or with more household members involved in productive endeavours tend to have a higher monthly household income compared to those with one livelihood activity or lesser number of household members contributing. The Table 3-6 below shows the income brackets of the AHs surveyed using the household questionnaire.

Table 3-6 Monthly Household Income (All Sources)

Income Bracket Household %

PhP 8,000-PhP 9,999 8 30

PhP 10,000-PhP 11,999 0 0

PhP 12,000-PhP 15,999 2 7

PhP 16,000-PhP 19,999 3 11

PhP 20,000-PhP 24,999 4 15

PhP 25,000-PhP 29,999 2 7

PhP 30,000 – PhP 34,999 1 4

PhP 35,000 – PhP 39,999 2 7

PhP 40,000 & Above 5 19

Total 27 100


80. Monthly Household Expenditures. Common household expense items were determined based on the number of responses provided for each item (Table 3-7). The most

10 Low income group is defined as those whose monthly household incomes fall below PhP 40,000. This was adopted from the 2015 publication of the Philippine Statistics Authority (PSA) released in December 2015, which included statistical tables derived from the Family Income and Expenditures Survey (FIES). Based on said tables, income class was divided into five categories, and the lowest monthly per capita income of the low-income bracket was PhP 40,000.

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common expense items for the 27 AHs are food, water, power11 or electricity, cooking fuel, non-food (grocery items), communication expenses, transportation, education, and health. Out of these common expense items, the bulk of household budgets are spent on food (45%), followed by education (21%), non-food items (9%), transportation (9%), power (7%), water (3%), communications (3%), cooking (2%), and health (1%). Other household expenses reported include recreation, loan payment and financial support to families.

Table 3-7 Monthly Household Expenditures

Item No. of AHs Reporting

the Expense

Monthly Average Expense

(PhP)

%

Food 22 8,800 42 Non-Food 5 2.800 13 Power (source of light) 21 1,400 7 Water 22 600 3 Education 13 4,100 20 Communications (Telephone, CP, etc.)

13 4,100 20

Transportation 19 1,812 9 Health 16 215 1 Cooking (LPG, Charcoal, Gas) 12 388 2

Total Expense (for Common Items) 20,775 100

Rent (Land) 0 0 0 Rent (House/Room) 1 1,000 3 Tax 0 0 0 Recreation 4 800 3 Loan Payment 1 23,000 693 Financial Support 1 3,400 10 Salary 0 0 0

Total Expense (for Other Items) 33,200 100


81. Primary Source of Household Income. The household survey sought information on the households’ primary sources of income categorized either as land-based, wage-based, enterprise-based, and remittance-based. Information related to secondary sources of income within affected households is outlined further below. For both primary and secondary sources of income, the categories are defined as: (i) Land-based sources: those income generating activities largely dependent on the productive potential of land, such as crop production, livestock raising/production, etc.; (ii) Wage-based incomes: cash payments paid to individuals in return for services rendered; (iii) Enterprise-based sources: those income-earning activities such as business/commercial enterprises that the household or household members engage in; and (iv) Remittance-based sources: those incomes sent to the household or household member/s from another location as a means to support household needs or expenses. 82. A total of 62 household members belonging to 27 AHs are contributing to their respective household’s primary source of income. (Table 3-8) Of the main reported income sources, 35 of the income earners are wage-based while 15 are enterprise-based. There are 10 land-based and one remittance-based income source. One income earner did not specify their income source. (Please note that the above describes reported main income sources which may vary to the description of impacted income sources described in the previous chapter.)

11 Refers to any source of light (electricity, gasoline, solar energy, battery, candle, etc.).

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Table 3-8 Primary Source of Household Income

Land Based

Wage Based

Enterprise Based

Remittance Based

No Response

Total

Person 10 35 15 1 1 62 % 16 56 24 2 2 100


83. Primary Enterprise-Based Livelihoods. Table 3-9 below presents the different types of enterprise-based livelihoods of the 27 AHs that the household members are engaged in. Fifteen AHs are engaged in enterprise-based livelihood. These include vending (3), livestock raising (2), and tailoring (1). These include vending (4), livestock raising (1), and tailoring (2). There are eight households who responded as others.

Table 3-9 Primary Enterprise-Based Livelihood

Tailoring/ Dressmaking

Vending Livestock Raising

Others Total

Male 2 2 4 9 Female 0 2 0 4 6

Total 2 4 1 8 15

% 13 27 7 53 100 Source: JICA Design Team

84. Primary Wage-Based Livelihoods. Table 3-10 shows the occupation or industry/sectors primary wage-based livelihoods of household members of the 27 AHs. There are 35 waged–based income earners. These include sales (2) service industry (18), office work (3), public official (5), house help (2), construction worker (4) and (1) remittance.

Table 3-10 Types of Primary Wage-Based Livelihood

Office Work

Public Official

Sales House help

Construction Worker

Service Industry

Remi- Tance

Total

Male 0 4 0 1 4 11 0 20 Female 3 1 2 1 0 7 1 15

Total 3 5 2 2 4 18 1 35

% 9 14 6 6 11 51 3 100 Source: JICA Design Team

85. Status of Employment of AHs. Of the 27 AHs that were surveyed using the household questionnaire, 35 APs are wage-based earners, twelve are employed on a permanent/regular basis while twenty three are employed on a temporary employment basis (Table 3-11). Permanent or regular employees are tenured and have regular income while temporary employees are those whose employment are under short-term contracts or as needed, hence there is no security of tenure and no regular income.

Table 3-11 Status of Employment

Permanent/ Regular

Contractual/Casual/ Seasonal/Intermittent

Total

Male 4 16 20 Female 8 7 15

Total 12 23 35

% 34 65 100 Source: JICA Design Team

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86. Location of Primary Source of Income. Of the 27 AHs, three whose primary sources of household incomes are located in other cities/municipalities while nine are within their own residences and 10 are within the barangay (Table 3-13). There were five households who did not provide any information. Among these, three of the eight AHs who will be relocated will need transportation support to aid them in adjusting from new location of residence to work. They will receive a commuting allowance as specified in the EM.

Table 3-12 Location of Primary Source of Income

Own Residence/ House

Within Brgy

Other Brgy

Other City/ Municipality

No Response

Total

Household 9 10 0 3 5 27 % 33 37 0 11 19 100


87. Secondary Source of Income. Among the 27 AHs, there are 15 households with secondary sources of income. Eight of these secondary sources are land-based, two are enterprise-based, four are waged based, and the other one is remittance based. Thirteen of those who are engaged in secondary enterprises are males while only two are females. 88. Of the 15 households with secondary sources of income, six of them have income sources within their own residence/house, five is within the neighbourhood/barangay, one in is in other cities/municipalities.

Table 3-13 Location of Secondary Sources of Income

Own Residence/ House

Within Barangay Other Brgy, City/ Municipality

Total

Household 6 8 1 15 % 40 53 7 100


89. Membership in Financial Institutions. Financial institutions play a role in providing a lifeline to people in times of need. These may come in the form of housing, financial loans, or borrowings from informal sources (e.g. loan sharks, pawnshops, etc.). 90. Table 3-14 shows the list of financial institutions where the 27 AHs have memberships. Multiple responses were generated as there are respondents who have memberships in more than one institution as these are basic requirements, especially to those who are employed. Among the responses that came out were mostly government financial institutions such as the Home Development Mortgage Fund (Pag-IBIG Fund), Social Security System (SSS), and PhilHealth. Twenty of the 27 AHs are members of the SAMANAKA Cooperative that is registered with the Cooperative Development Authority (CDA).

Table 3-14 Membership in Financial Institutions

HDMF/ Pag-IBIG Fund

Government Service Insurance System

Social Security System

Cooperative Philhealth Total

Male 12 2 10 17 12 53 Female 10 2 8 3 10 33

Total 22 4 18 20 22 86

% 25 5 21 23 26 100 Source: JICA Design Team

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91. Basic Household Amenities. Some basic social amenities contribute to the health and well-being of residents and communities, in general. Access to safe drinking water and sanitation including electricity is essential for human health, quality of life and dignity. It has multiplier effects on socio-economic indicators such as poverty, health, and productivity. 92. Access to Water. Various sources of water are utilized by the 27 AHs There are households who sourced water from a shared connection for household uses (e.g. cleaning, washing clothes, etc.) while buying water from commercial sources for drinking and cooking for those who have no piped connections or no source of potable water. Sixteen of the 27AHs (60%) have their own piped connections at home while two have either a shared connection with a neighbour or sourced from a community faucet. Four households source water from deep and shallow wells while the rest get from other sources. Two households did not provide any information.

Table 3-15 Access to Water

Piped Connection

Shared with

Neighbor/ Community

Faucet

Deep Well

Shallow Well

Commercial Sources

Others No

Response Total

Household 16 2 4 0 2 1 2 27 % 60 7 15 0 7 4 7 100


93. Access to Sanitation. Twenty four of the 27 AHs have their own water-sealed toilets at home while one household does not have any toilet at home. The rest resort to other means but did not specify.

Table 3-16 Access to Sanitation Facilities

Own Water Sealed Toilets

Open Pit Commercial/

Barangay Toilet

No Toilet Others No

Response

Total

Household 24 0 0 1 0 2 27 % 89 0 0 4 0 7 100


94. Access to Electricity. Among the 27 AHs, 18 households have their own electric meter connection while two households share connection with their neighbors. There are three households who do not have any connection at all and one other which use gas/kerosene, rechargeable battery, solar power, or oil for their lighting needs. Two households did not provide any information.

Table 3-17 Access to Electricity

Own Electric Meter for

Power Connection

Shared Connection

No Connection

Others No

Response Total

Household 18 3 3 1 2 27 % 67 11 11 4 7 100

Source: JICA Design Team1

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95. Cooking Facilities. Gas is the most common fuel source used by 13 of the households for cooking. The rest are using either wood (4) or charcoal (7). There are other AHs who use more than one type of cooking fuel source (e.g. gas for regular cooking and charcoal for grilling). There are also four AHs who did not provide any information.

Table 3-18 Cooking Facilities among Project Affected Households

Gas Kerosene Charcoal Wood Electricity No Response

Total

Household 13 1 7 4 0 2 27 % 48 4 26 15 0 7 100


96. Residency in the Area and Preference for Relocation. Survey results indicate that four of the 27 AHs have lived in their houses for more than 20 years. Two AHs had been in the area for less than a year. Five AHs each have stayed for 1-5 years, Six for 6-10 years, five for 11-15 years, and five AHs stayed for 16-20 years.

Table 3-19 Number of Years in Current Location

Unit < 1 1 - 5 6 - 10 11 - 15 16 – 20 20 + Total

Household 2 5 6 5 5 4 27 % 8 15 15 15 23 23 100


97. A residential structure is considered a primary residence if the occupant considers it as a permanent living accommodation and secondary residence if the occupant has a primary residence elsewhere. 98. Eight AHs consider the houses they occupy inside the project alignment as their primary residence while nine AHs use the affected houses as daytime rest houses while they undertake farm work nearby with their residences being elsewhere in Mabalacat. This information indicates that eight AHs will require support in terms of finding alternative primary accommodations once land taking commences. Those with primary residence elsewhere will not require relocation assistance but will need compensation for their lost asset, assistance to move their belongings as well as livelihood restoration support for their affected farming livelihoods (see Chapter 8). There is one AH whose primary residences will be affected who not covered in the household survey as they had moved out of the project area early on their own volition but as still considered eligible for entitlements12.

Table 3-20 Type of Residence as Claimed

Primary Residence

Secondary Residence

Total

Household 8 9 17 Source: JICA Design Team Note: above table based on SES and supplementary data sources

99. Prior to residing in their current locations, 12 of the 27 AHs have lived in the same city while 14 lived in the same barangay. One AH did not provide answer.

12 Tracing efforts are being undertaken by DOTr to make contact with one AHs. See below in this chapter for further discussion on this.

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Table 3-21 Place of Previous Residence

Same Barangay

In City No answer Total

Household 14 12 1 27

% 52 44 4 100


100. Choice of residence is mostly influenced by a number of reasons. For APs in Mabalacat, majority of the 27AHs’ choice was based on proximity to workplace (42%) as well as proximity to church (7%), family ties (11%), and both family ties and proximity to livelihood (33%). Others cited getting married as the primary reason (15%). Furthermore, social and economic reasons were relevant to choosing current residence location.

Table 3-22 Reasons for Establishing Residence in the Current Location

Proximity to workplace

Family ties

Proximity to livelihood and family ties

Near Church

Marriage No Response

Total

Household 11 3 9 2 2 0 27 % 42 11 33 7 7 0 100


H. Affected Businesses/Livelihood Activities within the ROW 101. This section focuses on the 25 affected micro businesses (22 tree, crops and livestock farmers, one lessee farmer growing high valued vegetables and herbs, one sari-sari store owner and one Yakult vendor and one fruit and vegetable vendor) and farm employees who will lose income. 102. Type of Business Operation. Table 3-23 below provides information on the type of business operation of the affected micro-business owners. There are two main types of business operated by 25 business owners in Mabalacat – farming and vending and sari-sari shop. Farming include trees, crops, high value vegetables and herbs and livestock/poultry operations. All but one of these businesses will be fully affected.

Table 3-23 Type of Business Operation

Type of Business Operation Number of Owner

Farming (trees and crops) poultry, livestock 22

Vending and sari-sari store shops 3

Total 25


103. Types of Business Ownership. Majority of the affected businesses are under single proprietorship while only one (4%) is under partnership. Out of 25 businesses, 19 are owned by males and five are owned by females.

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Table 3-24 Type of Business Ownership

Single Proprietorship

Partnership Total

Male 19 1 20 Female 5 0 5 NA 0

Total 24 1 25 Source: JICA Design Team

104. Length of Business Operation. In terms of length, 52% of the businesses have been in operation for more than 20 years while the rest have been operating for 1-5 years (8%), 6-10 years (24%), 11-15 years (4%), and 16-20 years (8%). There is no business operating for less than a year.

Table 3-25 Number of Years of Business Operation

< 1 year 1-5 yrs. 6-10 yrs. 11-15 yrs. 16-20 yrs. 20+ yrs. NA Total

Business Owner

0 2 6 1 2 13 1

25

% 0 8 24 4 8 52 4 100 Source: JICA Design Team

105. Employee Salary. There is a total of 23 APs with affected wage-based income. There are 13 affected workers that are employed by one horticulture micro-businesses and another ten APs who are working in affected household farms. Eleven of the 13 employees working at the horticulture micro-business are directly involved in various, vegetable and herb growing in the farm, and also work as maintenance and utility services in the farm. One employee is a driver and one employed as secretary/office assistant. All 13 employees at the horticulture micro-business are paid above minimum wage according to the wage rates set by the Department of Labor and Employment (DOLE) in Region 313 with salaries ranging from PhP 395/day to PhP 600/day. The remaining APs losing farm employment are reported to have minimum wage incomes. 106. Business Permits/License. A majority (52%) of the business establishments surveyed have no business registrations while only 36% claimed that they have license to operate and are registered with either the Securities and Exchange Commission (SEC), Department of Trade and Industry (DTI), and/or their respective LGUs. Information from another three businesses regarding their registration status was not provided.

Table 3-26 Business License/Permit

With license/registered (license/business

registration DTI/SEC)

Without License

No Response

Total

Business Owner

9 13 3 25


107. Gross Monthly Income as declared by business owners. Gross monthly income refers to the amount of income earned by businesses in a month before taxes and deductions

13 Minimum wage rate set for businesses engage in Agricultural Plantation in Region 3 is at PhP 370/day according to DOLE National Wages and Productivity Commission (Wage Order No. RBIII-22).

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are taken out. The declared gross monthly income reported by affected business ranges from less than PhP 10,000 to PhP 500,000. 108. Most of the businesses (40%) of the 25 micro-businesses for which information was provided on income reported a gross monthly income ranging from PhP 20,001 to 40,000, while one earns between 100,000 to PhP 500,000 monthly. Four businesses earn below PhP10,000 monthly, while four earns PhP 10,000 to PhP 20,000 (16%), two earns PhP 40,001 to PhP 50,000 (8%), and one PhP 60,000 to PhP 100,000 (4%). Three businesses opted not to disclose their earnings.

Table 3-27 Gross Monthly Income of Affected Businesses

Below 10,000 (PhP)

10,001 to 20,000 (PhP)

20,001 to 40,000 (PhP)

40,001 to

50,000 (PhP)

50,001 to 60,000 (PhP)

60,001 to

100,000 (PhP)

100,001 to

500,000 (PhP)

Above 500,000 (PhP)

No Response

Total

Business Owner

4 4 10 2 0 1 1 0 3 25

% 16 16 40 8 0 4 4 0 12 100 Source: JICA Design Team

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4. CHAPTER 4: LEGAL AND POLICY FRAMEWORK

A. Policies and Guidelines Applied to the Project 109. In this project, the land acquisition and resettlement policies, especially the compensation and entitlements, need to comply with Philippine laws, rules and regulations, as well as internationally accepted standards as set forth in JICA Guidelines (2010) and ADB's Safeguard Policy Statement (SPS, 2009). JICA conforms with and adopts the World Bank’s Safeguards Policies, OP 4.12 as the benchmark of internationally accepted standards of international finance organizations.14 110. The following paragraphs initially summarize the pertinent Philippine laws, rules and regulations, as well as JICA and ADB requirements on involuntary resettlement and Indigenous Peoples (IPs). The Section of this chapter describes the applicable Philippines legal framework and JICA/ADB policy requirements along with agreed gap filling measures where policy differences and/or gaps have been identified, recommended measures to harmonize these gaps are outlined. In case of discrepancies between the Philippines laws, regulations, and procedures, and ADB’s and JICA's policies and requirements, the gap filling measures identified in this chapter will prevail. The principles and objectives of the policies of ADB and JICA are very similar with respect to social safeguards. The outcomes of the analysis of policies in this chapter informs the discussion in Chapter 5, which outlines the project-specific policies to be followed in the preparation and implementation of the Resettlement Action Plan (RAP), as approved by the DOTr, JICA, and ADB.

B. Philippine Legal Framework

111. The policy framework within which the RAP will be implemented is derived from the Philippine Constitution, pertinent laws and applicable executive, administrative and department orders. The applicable legal framework is listed in Table 4-1 and the summary of these laws and policies, in order to provide background information for the gap analysis and policy comparison is detailed in below sections.

Table 4-1 List of Applicable Legal Framework Philippine Constitution and Pertinent Laws

1 Philippine Constitution 1987 2 Republic Act No. 10752 (The Right-of-Way Act) 3 Republic Act No. 7279 (Urban Development and Housing Act of 1992) 4 Republic Act No. 11201 (Department of Human Settlements and Urban Development Act of

2019) 5 Republic Act No. 7160 (Local Government Code of 1991) 6 Republic Act No. AP 7 Republic Act No. 9679 (Home Development Mutual Fund Law of 2009) 8 Republic Act No. 6685 (December 1988) 9 Republic Act No. 9994 (February 2010) 10 Republic Act No. 7277 (March 1992) as Amended by R.A. 9442 11 Batas Pambansa 220 (June 1982) 12 Presidential Decree No. 1096 (National Building Code of the Philippines, February 1977) Executive, Administrative and Department Orders

1 Executive Order No. 48, Series of 2001 2 Executive Order No. 708, Series of 2008 3 Executive Order No. 69, Series of 2012 4 HUDCC Resolution No. 1, Series of 2018

14 The World Bank applies a new set of environment and social policies called the Environmental and Social Framework from 2018. As of June 2019, JICA adopts the December, 2001 (revised April 2013) guidelines.

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5 HUDCC Resolution No. 2, Series of 2018 Relevant Manuals, Policies and Memorandum Circulars

1 DOTr Right-of-Way and Site Acquisition Manual (ROWSAM) 2 DPWH Right-of-Way Acquisition Manual (DRAM) 3 Land Acquisition, Resettlement, Rehabilitation and Indigenous Peoples’ Policy, 2007 4 NHA Memorandum Circular No. 2427 Series of 2012 5 NHA Memorandum Circular No. 015, Series of 2015 6 NHA Memorandum Circular No. 014, Series of 2018

1. Philippine Constitution of 1987.

112. The pertinent constitutional provisions on involuntary resettlement are as follows:

a. Article III, Bill of Rights, Section 1: “No person shall be deprived of life, liberty, or property without due process of law, nor shall any person be denied the equal protection of the laws.”

b. Article III, Bill of Rights Section 9: “Private property shall not be taken for public use without just compensation”.

c. Article XIII, Urban Land Reform and Housing, Section 10: “Urban or rural poor dwellers shall not be evicted nor their dwelling demolished, except in accordance with law and in a just and humane manner. No resettlement of urban or rural dwellers shall be undertaken without adequate consultation with them and the communities where they are to be relocated.”

2. Republic Act No. 10752 (The Right of Way Act).

113. This law, enacted on March 7, 2016, repeals Republic Act (R.A.) No. 8974 (An Act to Facilitate the Acquisition of Right-of-Way (ROW), Site or Location for National Government Infrastructure Projects and other purposes). Both laws (R.A. 8974 and R.A. 10752) are based on the premise that private property shall not be taken for public use without just compensation (Article III, Section 9 of the 1987 Constitution). R.A. 10752 was enacted to further strengthen the said constitutional provision and ensure that property owners and project-affected properties impacted by national government infrastructure projects would be given just compensation. The Implementing Rules and Regulations (IRR) of R.A. 10752 were promulgated in May 25, 2016 to carry out the provisions of the said Act. 114. Main provisions in R.A. 10752 sought to expedite the implementation of infrastructure projects while ensuring that just and equitable compensation be provided to the project-affected persons. The pertinent revisions in R.A. 10752 include: (1) expansion in scope of national government projects, (2) refining the modes of acquisition, (3) compensation based on replacement cost for land, structures and improvements, (4) changes in guidelines for expropriation proceedings, (5) payment terms, and (6) appropriation. 115. Expansion in Scope of National Government Projects. Under Section 3 of R.A. 10752, National Government Projects pertain to: “… all national government infrastructure, engineering works and service contracts, including projects undertaken by government-owned and controlled corporations, all projects covered by Republic Act No. 6957, as amended by Republic Act No. 7718, otherwise known as the Build-Operate-and-Transfer Law, and other related and necessary activities, such as site acquisition, supply and/or installation of equipment and materials, implementation, construction, completion, operation, maintenance, improvement, repair, and rehabilitation, regardless of the source of funding.” 116. R.A. 10752 also states that subject to the provisions of Republic Act No. 7160, otherwise known as the Local Government Code (LGC) of 1991, LGUs may also adopt the provisions of this Act for use in the acquisition of ROW for local government infrastructure projects.

36

117. The implementing agency (IA) may utilize donation or similar mode of acquisition if the landowner is a government owned or government-controlled corporation. 118. Section 4 of RA 10752 states that “When it is necessary to build, construct, or install on the subsurface or subterranean portion of private and government lands owned, occupied, or leased by other persons, such infrastructure as subways, tunnels, underpasses, waterways, flood ways, or utility facilities as part of the government’s infrastructure and development project, the government or any of its authorized representatives shall not be prevented from entry into and use of the subsurface or subterranean portions of such private and government lands by surface owners or occupants, if such entry and use are made more than fifty (50) meters from the surface.” 119. Section 11 of IRR of RA 10752 further states that the IA shall duly consult with and notify the affected property owners of any acquisition of subsurface right of way needed for the infrastructure projects. If the national government project involves underground works within a depth of fifty (50) meters from the surface, the IA may undertake the mode of acquisition in the following order:

a. Negotiate with the property owner a perpetual easement of ROW for the subterranean portions of his property required by the project.

b. Offer to acquire from the property owner the affected portion of the land, including the affected structures, improvements, crops and trees therein in accordance with the provisions of the Act.

120. Furthermore, the IRR states that the easement price under Section 11a of this IRR shall be twenty percent (20%) of the market price of the land. Compensation for Structures and Improvements, Crops and Trees

a. Compensation for Structures and Improvements, Crops and Trees

121. Replacement Cost for Structures and Improvements. Section 5(a)(2) states that the IA may offer to acquire, through negotiated sale, the compensation price equivalent to the replacement cost of structures and improvements. Under Section 6.6 of the IRR of R.A. 10752, the replacement cost of structures or improvements affected by the ROW shall be based on the current market prices of materials, equipment, labor, contractors profit and overhead, and all other attendant costs associated with the acquisition and installation of a similar asset in place of the affected asset. In addition:

(i) If the affected structure has been damaged, then the replacement cost should be the pre-damaged condition of that structure;

(ii) The replacement cost of the structure may vary from the market value of the existing structure, since the structure that would actually replace it may have a different cost at current market prices; and

(iii) The replacement structure has to perform the same functions and meet the performance specifications as the original structure.

122. Current Market Value of Crops and Trees. Section 5(a)(3) states that the IA may offer to acquire, through negotiated sale the compensation price equivalent to the current market value of crops and trees.

b. Compensation for Structures and Improvement of Owners Who Have No Legally Recognized Right to the Land

123. Section 5(b) of R.A. 10752, states that for owners of structures and improvements with no legally recognized rights to the land, payment of the replacement cost of structures and improvements shall apply as long as they meet all of the following conditions:

37

(i) Are Filipino citizens; (ii) Do not own any real property or other housing facility in any urban or rural

area; and (iii) Are not professional squatters or members of a squatting syndicate as

defined in the Urban Development and Housing Act of 1992.

124. Although the IRR of R.A. 10752 provides a fourth condition, “Must not occupy an existing government ROW”, this is not included in the Act.

c. Government Appropriation 125. Section 10 of R.A. 10752, stipulates that the government shall provide adequate appropriations that will allow implementing agencies to acquire required ROW for the national government infrastructure projects in advance of the project implementation. This includes the following:

(i) Cost for parcellary surveys and appraisal of project-affected properties; (ii) Compensation for project-affected land, structures and improvements,

crops and trees; (iii) Cost of development and implementation of resettlement projects including

planning, social preparation, and other activities under the resettlement action plan; and

126. Section 15c of the IRR of R.A. 10752 provides a more detailed description of the third bullet. It states that where necessary, cost of implementation of resettlement projects may include land development and housing construction, provision of basic services and community facilities, livelihood restoration and improvement15, and other activities under RAP in coordination with concerned government agencies.

d. Acquisition of Subsurface Right of Way

127. Section 4 of the RA 10752, provides guidelines that when it is necessary to build, construct, or install on the subsurface or subterranean portion of private and government owned lands owned, occupied or leased by other persons, such infrastructure as subways, tunnels, underpasses, waterways, floodways, or utility facilities as part of the government's infrastructure and development project, the government or any of its authorized representatives shall not be prevented from entry into and use of such private and government lands by surface owners or occupants, if such entry and use are made more than fifty (50) meters from the surface.

128. The IA shall duly consult with and notify the affected property owners of any acquisition of subsurface right of way needed for the infrastructure projects. The easement price provided by the IRR for RA 1052 is 20% of the market price of the land. 129. If the national government project involves underground works within a depth of fifty (50) meters from the surface, the IA may undertake the mode of acquisition in the following order:

(i) Negotiate with the property owner a perpetual easement of ROW for the subterranean portions of his property required by the project; and

(ii) Offer to acquire from the property owner the affected portion of the land, including the affected structures, improvements, crops and trees therein in accordance with the provisions of the Act.

15 As of now, there is no standard or guidelines for livelihood restoration and improvement as they relate to losses that come from land acquisition.

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3. Republic Act No. 7279 (Urban Development and Housing Act of 1992)

130. The law stipulates that it is the policy of the state, in coordination with the private sector, to uplift the conditions of the underprivileged and homeless citizens in urban areas and in resettlement areas by making available decent housing at affordable cost, basic services, and employment opportunities. Socialized housing encompasses housing programs and projects covering houses or home lots for the homeless and underprivileged and provision of basic services and facilities. This shall be provided by LGUs or the National Housing Agency (NHA) in cooperation with the private developers and concerned agencies. 131. Section 5 of R.A. 7279, and Sections 3.1, and 6.6 of its Annex (Guidelines for the Inventory and Identification of Lands and Sites for Socialized Housing) states that lands or portions thereof, set aside for government offices, facilities, and other installations, whether owned by the National Government, its agencies and instrumentalities, including government-owned or controlled corporations, or by the LGUs, but which have not been used for the purpose for which they have been reserved or set aside for the past 10 years from the effectivity of the Act (i.e., as of 2002) shall be covered by the Act. As such, these areas, when identified as suitable for socialized housing, shall immediately be transferred to the NHA, subject to the approval of the President of the Philippines, or by the LGU concerned, as the case may be, for proper disposition with the Act. Section 6.3 of the Act’s Annex sets the following criteria to be used for evaluating the suitability of sites for socialized housing:

a. To the extent feasible, socialized housing and resettlement projects shall be located in new areas where employment opportunities are available;

b. Priority shall be given to areas where basic services and facilities are already existing or where they can be introduced within a very short time;

c. Transportation costs to workplaces and other services should be affordable considering that the target beneficiaries are the homeless and underprivileged;

d. The site shall not require excessive levelling, cutting, and filling. Sites requiring excessive engineering works shall be avoided. Likewise, sites on steep slopes and/or weak soil foundation shall not be considered;

e. Environmentally critical areas like those that are flood prone or earthquake zones or areas near rivers and canals shall be avoided;

f. Compatibility with existing zoning; g. Financial feasibility and viability where land valuation offer is low; and h. Tenurial status must be ascertained.

132. Section 8 of the RA 7279 and its Annex A mandated all LGUs in coordination with the NHA, Housing and Land Use Regulatory Board (HLURB), National Mapping and Resource Information Authority (NAMRIA), and the Land Management Bureau (LMB) of the Department of Environment and Natural Resources (DENR) to identify lands for socialized housing and resettlement areas for the immediate and future needs of the underprivileged and homeless in the urban areas. 133. Section 10 of the RA 7279, states that the land acquisition may be acquired through the following modes: community mortgage, land swapping, land assembly or consolidation, donation, joint-venture agreements, negotiation, or expropriation – which should be resorted to only when other options have been exhausted.

a. Must be a Filipino citizen, b. Must be underprivileged and homeless (i.e. those whose total household

income is below the poverty threshold as defined by the National Economic and Development Authority (NEDA)

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c. Must not own any real property whether in urban or rural areas, and d. Must not be a professional squatter or member of any squatting syndicate.

134. In the same Act, Professional Squatter and Squatting Syndicate are defined as follows:

a. Professional Squatter – refers to individuals or groups who occupy lands without the express consent of the landowner and who have sufficient income for legitimate housing. The term shall also apply 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. The term shall not apply to individuals or groups who simply rent land and housing from professional squatters or squatting syndicate.

b. Squatting Syndicate - refers to groups of persons engaged in the business of squatter housing for profit or gain.

135. Section 28 of the RA 7279 stipulates that eviction or demolition as a practice shall be discouraged; however, it may be allowed under the following conditions:

a. When persons or entities occupy danger areas such as esteros, railroad tracks, garbage dumps, riverbanks, shorelines, waterways, and other public places such as sidewalks, roads, parks, and playgrounds;

b. When government infrastructure projects with available funding are about to be implemented; or

c. When there is a court order for eviction and demolition.

136. In the execution of the above Section 28, the following shall be mandatory: a. Notice upon the affected persons or entities at least 30 days prior to date of

eviction and demolition; b. Adequate consultations on the matter of resettlement with the duly

designated representatives of the families to be resettled and the affected communities in the areas where they are to be relocated;

c. Presence of Local Government Officials or their representatives during eviction or demolitions;

d. Proper identification of all persons taking part in the demolition; e. Execution of eviction or demolition only during regular office hours from

Mondays to Fridays and during good weather, unless the affected families consent otherwise;

f. No use of heavy equipment for demolition except for structures that are made of concrete/hard materials;

g. Proper uniforms for members of the Philippine National Police who shall occupy the first line of law enforcement and observe proper disturbance control procedures; and

h. Adequate relocation, whether temporary or permanent; provided however, that in cases of eviction and demolition pursuant to a court order involving underprivileged and homeless citizens, relocation shall be undertaken by the LGU concerned and the NHA with assistance of other government agencies within 45 days from service of notice of final judgement by the court, after which period the said order shall be executed; provided further that should relocation not be possible within the said period, financial assistance in the amount equivalent to the prevailing minimum daily wage multiplied by 60 days shall be extended to the affected families by the LGU concerned.

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4. Republic Act No. 11201 (Department of Human Settlements and Urban Development Act of 2019)

137. The Act and its IRR was signed by the President in February and July 2019 respectively, and the full implementation is slated for January 2020. The Act stipulates the creation of the Department of Human Settlements and Urban Development (DHSUD) with the intention of consolidating the Housing and Urban Development Coordinating Council (HUDCC) and the HLURB. 138. According to the Act, the DHSUD shall act as the primary national government entity responsible for the management of housing, human settlement and urban development. It shall be the sole and main planning and policy-making, regulatory, program coordination, and performance monitoring entity for all housing, human settlement, and urban development concerns, primarily focusing on the access to and the affordability of basic human needs. It shall also develop and adopt a national strategy to immediately address the provision of adequate and affordable housing to all Filipinos and ensure the alignment of the policies, programs, and projects of all its attached agencies to facilitate the achievement of this objective. 139. When it comes to its attached agencies, the DHSUD will exercise administrative supervision over the following housing agencies, which shall remain to be attached for purposes of policy and program coordination, monitoring, and evaluation:

a. National Housing Authority (NHA); b. Home Guaranty Corporation (HGC); c. National Home Mortgage and Finance Corporation (NHMFC); d. Home Development Mutual Fund (HDMF); and e. Social Housing Finance Corporation (SHFC).

The attached agencies will continue to function according to existing laws and their respective charters.

5. Republic Act No. 7160 (Local Government Code of 1991)

140. This Code establishes the system and defines powers of provincial, city, municipal and barangay governments in the Philippines. Relevant sections include: 141. Section 2(c) of RA 7160 stipulates the policy of the State to require all national agencies and offices to conduct periodic consultations with appropriate LGUs, non-governmental and people's organizations, and other concerned sectors of the community before any project or program is implemented in their respective jurisdictions. 142. Section 17(b) of RA 7160 states that LGUs shall exercise such other powers and discharge such other functions and responsibilities as are necessary, appropriate, or incidental to the efficient and effective provision of basic services and facilities. Provincial LGUs are mandated to provide such basic services and facilities except for housing projects funded by the Social Security System (SSS), Government Service Insurance System (GSIS), and the HDMF. 143. Section 17(c) of RA 7160 provides that public works and infrastructure projects and other facilities funded by the national government under the annual General Appropriations Act, other special laws, pertinent executive orders, and those wholly or partially funded from foreign sources, are not covered under Section (b), as described above, except in those cases where the LGU concerned is duly designated as the IA for such projects, facilities, programs, and services.

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144. Section 19 of RA 7160, an LGU, through its chief executive and acting pursuant to an ordinance, may exercise the power of eminent domain for public use, or purpose, or welfare for the benefit of the poor and the landless upon payment of just compensation, pursuant to the provisions of the Constitution and pertinent laws. Provided, however, that the power of eminent domain may not be exercised unless a valid and definite offer has been previously made to the owner, and such offer was not accepted. 145. Further, the LGU may immediately take possession of the property upon the filing of the expropriation proceedings and upon making a deposit with the proper court of at least fifteen percent (15%) of the fair market value of the property based on the current tax declaration of the property to be expropriated: Provided, finally, that, the amount to be paid for the expropriated property shall be determined by the proper court, based on the fair market value at the time of the taking of the property. 146. Section 20(a) of RA 7160 states that of the city or municipality may, through an ordinance passed by the Sanggunian after conducting public hearings for the purpose, authorize the reclassification of agricultural lands and provide for the manner of their utilization or disposition in the following cases:

a. When the land ceases to be economically feasible and sound for agricultural purposes as determined by the Department of Agriculture; or

b. Where the land shall have substantially greater economic value for residential, commercial, or industrial purposes, as determined by the Sanggunian concerned.

147. Provided, that such reclassification shall be limited to the following percentage of the total agricultural land area at the time of the passage of the ordinance:

a. For highly urbanized and independent component cities, fifteen percent (15%);

b. For component cities and first to third class municipalities, ten percent (10%); and

c. For fourth to sixth class municipalities, five percent (5%): Provided, further, that agricultural lands distributed to agrarian reform beneficiaries pursuant to Republic Act Numbered Sixty-six hundred fifty-seven (R.A. No. 6657)16, otherwise known as "The Comprehensive Agrarian Reform Law", shall not be affected by the said reclassification and the conversion of such lands into other purposes and shall be governed by Section 65 of said Act.

148. Section 20(c) of RA 7160 the LGUs shall, in conformity with existing laws, continue to prepare their respective comprehensive land use plans enacted through zoning ordinances which shall be the primary and dominant bases for the future use of land resources. The requirements for food production, human settlements, and industrial expansion shall be taken into consideration in the preparation of such plans. 149. Section 27 of RA 7160 provides that no project or program shall be implemented by government authorities unless the consultations mentioned in Sections 2(c) above are complied with, and prior approval of the Sanggunian concerned is obtained; Provided, that occupants in areas where such projects are to be implemented shall not be evicted unless

16 R.A. No. 6657 enacted in 1988 is an Act instituting a comprehensive agrarian reform program to promote social justice and the establishment of owner cultivatorship of economic-size farms as the basis of Philippine agriculture. To this end the State encourage and undertake the just distribution of all agricultural lands, subject to the priorities and retention limits set forth in the Act.

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appropriate relocation sites have been provided, in accordance with the provisions of the Constitution.

6. Republic Act No. 8371 (Indigenous Peoples Rights Act of 1997)

150. The Act defines the identity and entitlements of IPs, as also their rights and remedies available under national law to protect their interests. The Indigenous Peoples Rights Act (IPRA) was a landmark law, not only for recognition of the rights of IPs in the Philippines but also as a milestone in recognition of the rights of IPs globally. Involuntary resettlement triggers may occur within ancestral domains. The IPRA sets conditions, requirements, and safeguards for plans, programs, and projects affecting IP communities. The important provisions of the IPRA are:

a. Right to the indigenous communities’ ancestral domains (Chapter III, Section 11);

b. Right to informed and intelligent participation in the formulation and implementation of any project, government or private, that will impact upon their ancestral domains (Chapter III, Section 7b).

151. Section 59 of the IPRA, entitled, “Certification Precondition” states that all departments and other governmental agencies are strictly enjoined from issuing, renewing, or granting any concession, license or lease, or entering into any production-sharing agreement, without prior certification from the National Commission on Indigenous People (NCIP) proving that the area affected does not overlap with any ancestral domain. Such certification shall only be issued after a Field-Based Investigation (FBI) is conducted by the Ancestral Domains Office (ADO) of the area concerned. If the area does overlap with an ancestral domain, the NCIP Administrative Order (AO) No. 3, Series of 2012, the Revised Guidelines on Free and Prior Informed Consent (FPIC) and Related Processes are required to be followed.

7. Republic Act No. 9679 (Home Development Mutual Fund Law of 2009)

152. The HDMF is also known as Pag-IBIG (Pagtutulungan sa Kinabukasan: Ikaw, Bangko, Gobyerno) Fund. The Pag-IBIG Fund is a mutual provident savings system, which is primarily intended for shelter financing among its members. Section 10 states that the Fund shall be private in character, owned wholly by the members, administered in trust and applied exclusively for their benefit. Section 6 of the Act provides that membership in the Fund shall be mandatory upon all employees covered by the SSS and the GSIS, and their respective employers. However, the coverage of employees whose monthly compensation is less than four thousand pesos (PhP 4,000.00) is on a voluntary basis. 153. Section 13 (d) and (e) mandates Pag-IBIG Fund to invest not less than 70% of its investible funds to housing, and to acquire, utilize, or dispose of, in any manner recognized by law, real or personal properties to carry out the purpose of the Act, respectively.

8. Republic Act No. 6685 (December 1988)

154. The Act requires private contractors to whom national, provincial, city, and municipal public works projects have been awarded under contract to hire at least 50% of the unskilled and at least 30% of the skilled labor requirements to be taken from available bona fide residents in the province, city or municipality concerned in which the projects are to be undertaken, penalizing those who fail to do so. Under Section 1 of R.A. 6685, national and local public works projects funded by either the national government or local government including foreign-assisted projects must hire at least 50% of the unskilled and 30% of the skilled labor requirements from bona fide and actual residents in the province, city and municipality concerned who are ready, willing, and able, as determined by the governor, city

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mayor, or municipal mayor concerned. In areas where the number of available resources is less than the required percentages provided in this Act, the said requirements shall be based on the maximum number of locally available labor resources, which shall be certified by municipal, city, provincial, or district engineers in sufficient compliance with labor requirements under this Act.

9. Republic Act No. 9994 (February 2010)

155. The Act grants additional benefits and privileges to senior citizens to maximize the contribution of senior citizens for nation-building and other purposes. Section 3 of R.A. 9994 defines senior citizens or the elderly as any resident citizen of the Philippines at least sixty (60) years old. Section 5 of the same Act provides the establishment of special housing units for the elderly under its national shelter program.

10. Republic Act No. 7277 (March 1992) as Amended by RA 9442

156. The Act as also known as the Magna Carta for Disabled Persons, grants the rights and privileges for Persons with Disability (PWDs) to ensure their rehabilitation, self-development, and self-reliance. Section 4 of the Act provides the following definitions:

a. PWDs are those suffering from the restriction of different abilities, as a result of a mental, physical, or sensory impairment, to perform an activity in the manner of within the range considered normal for a human being; and

b. Marginalized persons with disability refer to PWDs who lack access to rehabilitative services and opportunities to be able to participate fully in socio-economic activities and who have no means of livelihood or whose incomes fall below the poverty threshold.

11. Batas Pambansa 220 (June 1982)

157. The Act authorizes the Ministry of Human Settlements to establish and promulgate different levels of standards and technical requirements for economic and socialized housing projects in urban and rural areas.17 Section 1 of Batas Pambansa (BP) 220 declares a policy of the government to promote and encourage the development of economic and socialized housing projects for the average and low-income earners in urban and rural areas. 158. Section 2 of the Act defines economic and socialized housing units as those which are within the affordable level of the average and low-income earners which is 30% of the gross family income as determined by the NEDA from time to time.

12. Presidential Decree No. 1096 (National Building Code of the Philippines, February 1977)

159. The Decree revises R.A. 6541 to conform to development goals and infrastructure programs of the government and adequately provide for all technological requirements of buildings and structures in terms of the up-to-date design and construction standards and criteria. 160. It states the policy of the state to safeguard life, health, property, and public welfare, consistent with the principles of sound environmental management and control. To this end, in addition, the Decree aims to provide for all buildings and structures, a framework of

17 Functions of the Ministry of Human Settlements were transferred by virtue of E.O. 90 Series of 1986, creating the Housing and Urban Development Coordinating Council (HUDCC) and abolishing the Ministry of Human Settlements.

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minimum standards and requirements to regulate and control their location, site, design, quality of materials, construction, use, occupancy, and maintenance.

C. Executive/Administrative/Department Orders 1. Executive Order No. 48, Series of 2001

161. This E.O. declares non-core properties of the Philippine National Railways (PNR) (i.e., those outside the boundaries of railroad tracks and not utilized for railroad purposes) as socialized housing sites and provides for the disposition of the same to bona fide occupants through the HUDCC.

2. Executive Order No. 708, Series of 2008

162. The E.O. 708, Series of 2008 amended E.O. 152, Series of 2002 and devolved the function of the PCUP as the clearing house for the conduct of demolition and eviction activities involving the homeless and underprivileged citizens to respective LGUs with territorial jurisdiction over the proposed demolition and eviction activities of government agencies. 163. In relation to this, the LGUs were also ordered to create the Local Housing Board (LHB) or any similar body through an appropriate ordinance before conducting the clearing house functions granted to them in the E.O. The PCUP shall continue its monitoring and reporting functions including Sub-section 4-11 of Section 1 and Section 9 of E.O. 152 as follows:

a. Investigate motu proprio or upon complaint by any party and any violation of the provisions of Section 28 of R.A. 7279 or its IRR;

b. File motu proprio or by way of assistance to any aggrieved party and the appropriate criminal, civil or administrative case against any person or persons found to have violated the provisions of Section 28 of R.A. 7279 or its IRR;

c. Recommend to the President appropriate measures for the implementation and enforcement of Section 28 of R.A. 7279 and its IRR including possible administrative sanctions against national or local government officials who have violated the said law, rules, and regulations;

d. Request any government agency for assistance and necessary information in the discharge of their respective functions under this Order;

e. Publicize matters covered by its investigation of violations of the provisions of Section 28 of R.A. 7279 or its IRR, when circumstances so warrant and with due prudence: Provided, however, that the PCUP shall, under the rules and regulations it shall hereafter promulgate and determine what cases may not be made public: Provided, further, that any publicity issued by the PCUP shall be balanced, fair, and true;

f. Administer oaths, issue subpoena and subpoena duces tecum, and take the testimonies of witnesses in the course of its investigation;

g. Adopt its own operational guidelines and rules of procedures as well as rules and regulations not otherwise inconsistent with existing laws, rules, and regulations, to effectively carry out its mandate; and

h. Perform such other function as may hereafter be provided by law or executive issuance.

3. Executive Order No. 69, Series of 2012

164. The E.O. provides for the transfer of the PCUP to the Office of the President (OP) to effectively coordinate, formulate, and evaluate policies and programs concerning the urban poor. The E.O. also provides the following functions and power to the PCUP:

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a. Conduct of social preparation activities related to asset reforms, human development, and basic social services, employment and livelihood, and other programs of the government for the urban poor; and

b. Representation in the HUDCC, Key Shelter Agencies (KSAs), and the LHB.

4. HUDCC Resolution No. 1, Series of 2018

165. The resolution by the HUDCC sets up a new price ceiling for socialized subdivision projects as indicated in Table 4-2.

Table 4-2 Price Ceiling for Socialized Subdivision Projects

Price Ceiling Floor Area

Php 480,000 22 square meters (m2) with loft of at least 50% of the base structure; or 24 m2 Php 530,000 24 m2 with loft of at least 50% of the base structure; or 28 m2 Php 580,000 28 m2 with loft of at least 50% of the base structure; or 32 m2

5. HUDCC Resolution No. 2, Series of 2018

166. The resolution by the HUDCC sets up a new price ceiling for socialized condominium project as indicated in Table 4-3.

Table 4-3 Price Ceiling for Socialized Condominium Projects

Area Price ceiling Floor Area

For the National Capital Region; San Jose Del Monte City in Bulacan Province; Cainta and Antipolo in Rizal Province; San Pedro City in Laguna Province; and Carmona and Cities of Imus and Bacoor in Cavite Province.

Php 700,000 22 m2

Php 750,000 24 m2

For other areas Php 600,000 22 m2 Php 650,000 24 m2

D. Relevant Manuals, Policies and Memorandum Circulars 1. DOTR Right-of-Way and Site Acquisition Manual (ROWSAM)

167. The DOTr as the IA is mandated by R.A. 10752 through Section 18 of its IRR to produce an agency manual of procedures for ROW acquisition. As of March 2018, accordingly, the DOTr proclaimed D.O. 2018-005 stipulating that all implementing offices concerned shall be directed to adopt and use the DOTr's Right-of-Way and Site Acquisition Manual (ROWSAM). 168. The ROWSAM was developed to provide clear and specific operational guidelines on ROW acquisition. It aims to guide the DOTr staff on legal processes and procedures necessary to acquire and clear private and public lands required for the construction and operation of public transport infrastructure regardless of funding sources. Further, it outlines the land acquisition requirements necessary for planning, developing, and implementing land acquisition necessary for the development, construction, and operation of transportation projects. 169. The ROWSAM also mentions about the importance of due diligence and the DOTr’s Core Values of the Department (as presented below) that must be applied in every step of the ROW acquisition process.

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a. We value integrity and honesty. We practice what we say, formulate policies, programs and projects and properly use resources attuned with the DOTr Mission and Vision.

b. We are competent. We constantly search for and apply new ideas, technologies and practice to improve the delivery of services to our stakeholders.

c. We do right things at the right time with the right attitude and behavior. We provide our stakeholders and the general public access to relevant information.

d. We value and treat our stakeholders with utmost respect and care. e. We, the members of the DOTr family, work as a team to attain common

goals and objectives. f. We commit everything to God for the continuous advancement of this

Department and the nation as a whole.

2. DPWH Right-of-Way Acquisition Manual (DRAM) 170. For this project, the DOTr is adopting DPWH’s ROW Acquisition Manual (DRAM) as a general guide in the implementation of the improved ROW process. Differences between the DRAM procedures and requirements specific for this project are set out in the gap matrix in this chapter, in the entitlement matrix and implementation arrangements described elsewhere in the RAP. The DRAM was developed in compliance with Section 18 of the IRR, of R.A. 10752, which prescribes that, to provide clear, specific, and operational guidelines for the efficient acquisition of ROW for its infrastructure projects, each IA (i.e., Implementing Agency) shall prepare and implement its own “Manual of Procedures for ROW Acquisition.” The DRAM covers the entire ROW acquisition process including the following:

a. Project Feasibility Study with Environmental Impact Assessment; b. Preparation of Preliminary ROW Action Plan (RAP) with property appraisal; c. Provision of appropriations in the General Appropriations Act (GAA); d. Detailed Engineering Design (DED) including Parcellary Surveys and

preparation of Final RAP; e. RAP Validation; f. Actual ROW Acquisition through Donation, Negotiation, Expropriation, and

Other Modes; g. Payments to property owners; h. Transfer of Title to the Republic of the Philippines; i. Clearance of ROW, and j. Management of ROW.

171. The DRAM is also intended to be a reference for property owners and other APs on the requirements and procedures to be followed to facilitate ROW acquisition, while ensuring that they obtain due process and fair compensation. It will also guide other concerned government entities – including the Office of the Solicitor General (OSG), the BIR, the housing agencies, the DENR, LGUs, and the courts, among others – as well as Official Development Assistance (ODA) Agencies, on the ROW aspects that entail their active participation. Finally, it shall also serve as guide for the GFIs and IPAs in determining the appropriate price offers to property owners affected by ROW acquisition. 172. The DRAM consists of the Main Volume and the Appendices Volume. In the Main Volume, the Manual presents and discusses the Workflow Chart, Objective, Lead Persons, Support Entities, Overview, and Procedures. The Appendices Volume provide the pertinent laws, rules and regulations, Department Orders, and template forms, agreements and reports.

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3. Land Acquisition, Resettlement, Rehabilitation and Indigenous Peoples’ Policy, 2007

173. Prior to the DRAM, the policy and guidelines of the DPWH on resettlement were expressed in the Infrastructure ROW (IROW) Procedural Manual (April, 2003) and the Land Acquisition, Resettlement, Rehabilitation, and Indigenous People’s Policy (LARRIPP) (3rd edition in April, 2007). 174. The LARRIPP indicates that social impacts of infrastructure projects should be avoided, minimized and/or mitigated. APs should be provided with sufficient compensation in order to ensure that their standard of living prior to the project should be maintained or improved. Project stakeholders should also be consulted regarding the project’s design, implementation, and operation.

4. NHA Memorandum Circular No. 2427 Series of 2012 175. NHA M.C. 2427 s. 2012 serves as an enabler and facilitator in the housing delivery process under R.A. 7279, the NHA issued the Revised Guidelines for the Implementation of the Resettlement Assistance Program for Local Government Units. The guidelines were designed to enhance the capabilities of LGUs outside Metro Manila to provide housings for informal settlers requiring relocation and resettlement. Target beneficiaries include families displaced or to be displaced from sites earmarked for government infrastructure projects. As partners of the program, the NHA will (i) provide technical assistance to LGUs in preparing project plans and formulating policies and guidelines in implementing resettlement projects and (ii) contribute funds (in the form of grants) for the development of resettlement sites. The LGUs, on the other hand, shall (i) contribute land for the project and (ii) be the lead project implementer with overall responsibilities for the operation and management of the resettlement projects to include the preparation of overall project plans, site development and housing plans, beneficiary selection, and the relocation of families and estate management.

5. NHA Memorandum Circular No. 015, Series of 2015 176. NHA M.C. 015, s. 2015 provides the guidelines for site selection, site suitability, and site planning in the implementation of various housing development programs and projects of the NHA. It also entails the selection and planning of sites for housing with the objective of rationalizing the land use of NHA housing projects considering the many environmental and social issues on housing development vis-à-vis the existing government rules and regulations.

6. NHA Memorandum Circular No. 014, Series of 2018 177. NHA M.C. 014, s. 2018 entitled “Revised Guidelines for the Financing of the Acquisition of Developed Lots and Completed Housing Units in Permanent Housing Sites through the Community Based Initiative Approach (CBIA)” seeks to provide improvements on the community initiative approach per NHA Board Resolution Nos. 6081 and 6155 dated May 13, 2016 and March 1, 2017, respectively. The latest issuance includes enhanced participation of Community Associations (CA) in identified aspects of the relocation and resettlement program and project implementation process as well as strengthening of controls in the site evaluation, evaluation of landowners/developers/contractors, review and approval of project proposals, and project implementation.

E. JICA Policies on Involuntary Resettlement

178. According to Section 2.6 of JICA Guidelines (2010), “projects must comply with the laws, ordinances, and standards related to environmental and social considerations established by the governments that have jurisdiction over project sites (including both

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national and local governments). They must also conform to the environmental and social consideration policies and plans of the governments that have such jurisdiction”. The key principles of JICA policy on involuntary resettlement described in the guidelines is summarized below:

a. Involuntary resettlement and loss of means of livelihood are to be avoided when feasible by exploring all viable alternatives.

b. When population displacement is unavoidable, effective measures to minimize the impact and to compensate for losses should be taken.

c. People who must be resettled involuntarily and people whose means of livelihood will be hindered or lost must be sufficiently compensated and supported, so that they can improve or at least restore their standard of living, income opportunities and production levels to pre-project levels.

d. Compensation must be based on the full replacement cost. e. Compensation and other kinds of assistance must be provided prior to

displacement. f. For projects that entail large-scale involuntary resettlement, resettlement

action plans must be prepared and made available to the public. g. In preparing a resettlement action plan, consultations must be held with the

affected people and their communities based on sufficient information made available to them in advance. When consultations are held, explanations must be given in a form, manner, and language that are understandable to the affected people.

h. Appropriate participation of affected people must be promoted in planning, implementation, and monitoring of resettlement action plans.

i. Appropriate and accessible grievance mechanisms must be established for the affected people and their communities.

j. Affected people are to be identified and recorded as early as possible in order to establish their eligibility through an initial baseline survey (including population census that serves as an eligibility cut-off date, asset inventory, and socio-economic survey), preferably at the project identification stage, to prevent a subsequent influx of encroachers and others who wish to take advance of such benefits. Eligibility of benefits include:

a. APs who have formal legal rights to land (including customary and traditional land rights recognized under law);

b. APs who do not have formal legal rights to land at the time of census but have a claim to such land or assets; and

c. APs who have no recognizable legal right to the land they are occupying. d. Preference should be given to land-based resettlement strategies for

displaced persons whose livelihoods are land-based. e. Provide support for the transition period (between displacement and

livelihood restoration). f. Particular attention must be paid to the needs of the vulnerable groups

among those displaced, especially those below the poverty line, landless, elderly, women and children, ethnic minorities, etc.

g. For projects that entail land acquisition or involuntary resettlement of fewer than 200 people, abbreviated resettlement plan is to be prepared.

F. ADB Policy on Involuntary Resettlement and Indigenous Peoples

179. The objectives of ADB's SPS (2009) are to (i) avoid involuntary resettlement whenever possible to minimize involuntary resettlement by exploring project and design alternatives; (ii) enhance, or at least restore, the livelihoods of all displaced and vulnerable persons in real terms relative to pre-project levels; (iii) and improve the standards of living of the displaced poor and other vulnerable groups. The involuntary resettlement safeguard covers physical displacement (relocation, loss of residential land, or loss of shelter) and economic

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displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary land acquisition or (ii) involuntary restrictions on land use or access to legally designated parks and protected areas. The SPS (2009) covers physical and economic displacement regardless of whether such losses and involuntary restrictions are full or partial and permanent or temporary. ADB-supported projects are considered significant if 200 or more persons will experience major impacts, which are defined as (i) being physically displaced from housings, or (ii) losing 10% or more of their productive assets (income generating). The level of details and comprehensiveness of a resettlement plan is commensurate with the significance of potential impacts and risks. 180. Involuntary Resettlement. ADB’s policy on involuntary resettlement in the SPS (2009) is briefly described below:

a. Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks.

b. Carry out meaningful consultations with affected persons, host communities, and concerned nongovernment organizations. Inform all displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and IPs, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons’ concerns. Support the social and cultural institutions of displaced persons and their host population. Where involuntary resettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase.

c. Improve, or at least restore, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible.

d. Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required.

e. Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing.

f. Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people

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who enter into negotiated settlements will maintain the same or better income and livelihood status.

g. Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets.

h. Prepare a resettlement action plan elaborating on displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule.

i. Disclose a draft resettlement action plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders.

j. Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of project’s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation.

k. Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision throughout project implementation.

l. Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports.

m. An important aspect of ADB’s involuntary resettlement safeguard requirement is compensation at replacement cost comprising the following elements: (i) fair current market value at the time of compensation, (ii) transaction costs, (iii) interest accrued, (iv) transitional and restoration costs, and (v) other applicable payments, if any. In the calculation, structures are required to be compensated at replacement costs without depreciation of structures. Qualified and experienced experts shall undertake the valuation of acquired assets.

n. Persons or households without formal legal rights nor recognized or recognizable claims to the acquired land are still entitled to be compensated for their loss of assets other than land, such as dwellings or other improvements on the land at full replacement cost, provided that they have occupied/used the land or structures in the affected land prior to a declared cut-off date.

o. ADB’s indigenous peoples safeguards are triggered if a project directly or indirectly affects the dignity, human rights, livelihood systems, or culture of IPs or affects the territories or natural or cultural resources that IPs own, use, occupy, or claim as their ancestral domain. If ancestral domain land were to be required for the rail ROW for the project, appropriate IP safeguard instrument will be prepared.

181. Indigenous Peoples. The proposed site for the depot is located on land adjacent to IP ancestral domain, however, it has been assessed that no ancestral domain land is to be affected, nor are there any indigenous people affected by the project. Under ADB's SPS (2009), the main objective with respect to IPs is to design and implement projects in a way that fosters full respect for IP identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the IPs/Indigenous Cultural Communities (ICCs) themselves so that they (i) receive culturally appropriate social and economic benefits; (ii) do not suffer adverse impacts as a result of projects; and (iii) can participate actively in projects that affect them.

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182. During the FS Phase, the National Commission of Indigenous Peoples (NCIP) confirmed that the project did not overlap with ancestral domain areas of indigenous peoples. As a result, the NCIP issued the Certificate of Non-Overlap (CNO) on September 19, 2018 with Control Number RIII-CNO-18-09-0019 (Appendix 2).

G. Resettlement Policy Comparison

183. Below is a table comparing Philippine’s legal framework with JICA Guidelines (2010) and ADB SPS (2009) on involuntary resettlement. Some policy gaps have been identified. Gap filling measures have been identified and are presented in Table 4-4.

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Table 4-4 Gap Analysis and Harmonized Involuntary Resettlement Policy

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure

1 Compensation for non-land assets for those without recognized legal rights to affected land

APs who have neither formal legal rights nor recognizable claims to affected land they occupy are to be compensated for the loss of assets other than land and other improvements to the land at full replacement cost, provided that they occupied the project area prior to the project cut-off date.

APs without legal entitlements to affected land will be eligible for compensation for structures and improvements with the following criteria:

a. Must be a Filipino citizen; b. Must not own any real property or

any other housing facility, whether in an urban or rural area; and

c. Must not be a professional squatter or a member of a squatting syndicate, as defined in R.A. 7279, otherwise known as the "Urban Development and Housing Act of 1992"

(Section 5(b) of R.A. 10752)18 “Squatting syndicates” as defined in Section 3 of R.A. 727919 will not be eligible for compensation or assistance. Under Section 15 of the IRR of R.A. 10752, the government shall provide adequate appropriations including the cost of development and implementation of resettlement projects, including planning, social preparation, provision of basic services, community facilities, livelihood restoration and improvement, and other activities in the resettlement action plan. Section 5(b) of R.A. 10752 states that for owners of structures and improvements with no legally recognized rights to the

APs without legal rights to affected land are potentially ineligible for compensation for non-land losses if they are classified as ineligible (not meeting the criteria).

• All people affected by the project who do not have legally recognized right to the affected land but who occupy the project-affected area prior to the cut-off date are eligible for compensation (including those occupying an existing government ROW) for affected structures and improvements at full replacement cost, and for crops and trees at current market value

• This includes those that do not meet the criteria within the laws of the Philippines, with the exception of “squatting syndicates/ professional squatters” as defined in Section 3 of R.A. 7279 and who are certified by the HUDCC and or other government agencies (e.g., PNR and LGUs) as such will not be eligible for compensation.

• Presence in the project affected area at cut-off date to be identified through census surveys and validated by the RAP Implementation Management Committee (RIMC) or a respective Local Housing Office (LHO) in the absence of the formers.

18 Section 6.6 of the IRR of R.A. 10752 includes an additional criterion that APs must not occupy an existing government ROW. However, this criterion is not supported in R.A. 10752 itself. 19 "Squatting syndicates" refers to groups of persons engaged in the business of squatter housings for profits or gains.

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land, payment of the replacement cost of structures and improvements shall be applied as long as they meet all of the following conditions: • Are Filipino citizens; • Do not own any real property or other housing facility in any urban or rural area; and • Are not professional squatters or members of a squatting syndicate as defined in the Urban Development and Housing Act of 1992. Although the IRR of R.A. 10752 provides the fourth condition, “must not occupy an existing government ROW”, this is not included in the Act.

• All aspects of the RAP will be covered by adequate government appropriations.

2 Eligibility for resettlement assistance

Physically displaced persons will be provided with relocation assistance, transitional support, and development assistance. The standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards will be improved, and appropriate income sources and legal and affordable access to adequate

a. [Socialized Housing] b. Under Section 16 of R.A. 7279,

informal settlers shall fulfill the following criteria to qualify for a socialized housing program, a beneficiary:

c. Must be a Filipino citizen; d. Must be an underprivileged and

homeless citizen; e. Must not own any real property whether

in the urban or rural areas; and f. Must not be a professional squatter or

a member of squatting syndicates.

There are restrictions on the eligibility for resettlement assistance for those who do not meet the criteria for a socialized housing or have real property elsewhere.

• All relocating APs will be eligible for self-relocation assistance or assisted resettlement. “Squatting syndicates” as defined in Section 3 of R.A. 7279 and those who are certified by the HUDCC as such will not be eligible for resettlement assistance.

• Members of squatting syndicates who do not actually occupy project-affected structures and are residing elsewhere will not be physically displaced as such will not be eligible for relocation assistance and transitional support.

• The Entitlement Matrix outlines the specifics of the support provided for self-relocation assistance and resettlement assistance options.

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housing will be provided for them.

4 Scope of application of the RAP

The scope covers direct impacts of land acquisition and restricted land use for the project, including any land acquired for development of resettlement sites and ROW adjustments specifically for the project.

Unless the RAP specifies otherwise, government policies and standards only would be applied. For involuntary resettlement impacts from land acquired for resettlement sites, R.A. 7279 states that the land for socialized housings can be expropriated but should be resorted only when other options have been exhausted.

Potential gaps with respect to the application of policies and entitlements under the RAP to those who are affected by land acquisition to develop resettlement sites for the project.

• Any land acquired for project requirements including ROW and resettlement site development specifically for the needs of the project will be included in the scope of the RAP.

• The DOTr will oblige any agency responsible for land acquisition for project needs, including ROW adjustments, resettlement sites, utilities relocation, and access roads, to apply the same standards and entitlements as set out in the RAP policy.

5 Timing of payment of compensation and assistance prior to displacement

All compensation and assistance should be provided prior to displacement.

There are gaps on the timing for payment and for expropriation cases the need to provide proof of ownership to the court prior to payment.

• APs will not be displaced until they are paid in full compensation and applicable allowances.

• For negotiated sale, the following arrangements will be applied:

• For structures: The DOTr will pay 100% prior to being displaced. Payment of compensation for structures and improvements may be held in abeyance for participants of socialized housing programs or used as an advance payment on their amortizations at APs' request until relocation sites and socialized housing accommodations become available.

• In negotiated cases where APs are willing to sell their property but will take more than 30 days to submit required documents, the DOTr will provide necessary assistance to the

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extent possible to help APs secure the documents needed.

6 Severity of impacts on productive resources for which rehabilitation assistance is required.

The loss of 10% or more of productive or income sources (e.g., farmland and business/ shop) is entitled to livelihood restoration assistance.

There is no specific reference to the severity of impacts. The related reference includes: For agricultural tenants and sharecroppers: Financial assistance equivalent to the average gross harvest for the last three (3) years and no less than Php 15,000 per ha (E.O. 1035). For agricultural lessees: They are entitled to disturbance compensation equivalent to five times the average gross harvests on their landholding during the last five preceding calendar years (R.A. 6389).

Gaps with respect to the threshold and requirements for livelihood restoration assistance for all cases experiencing the loss of productive resources.

• Participation in the Livelihood Restoration and Improvement Program (LRIP) will be provided for those whose productive resources are permanently affected by 10% or more.

7 Severity of the loss of a property for which the entire property will be acquired

If the residual portion of a property after acquisition is 20% or less or if the residual portion is no longer viable for use according to the original purpose, the entire property will be acquired. 20

No specific law prescribes acquisition of the remaining unviable portion of the acquired property. 21

No current Government policy on this issue.

• If the residual portion of a property after acquisition is 20% or less or if the residual portion is no longer viable for use according to original purpose, the entire property will be acquired taking also the wishes of the AP into consideration.

8 Income restoration and

The borrower/client will include detailed measures for income

There are requirements for supplementary assistance or training to certain categories of APs. However, the requirements do not

ADB/JICA guidelines are more specific regarding objectives

• Income restoration and livelihood improvement measures need to be designed in consultation with APs

20 Based on the World Bank Involuntary Resettlement Sourcebook, which JICA applies in its policy, provides that if more than 80% of holdings is acquired or if residual holdings are no longer economically viable, the owner shall have an option to sell the residual land. 21 The LARRIPP by the DPWH (3rd Ed. Series of 2007) provides that if the portion of the property to be affected is more than 20% of the total land area or even less than 20% if the remaining portion is no longer economically viable or if it no longer functions as intended, the owner of this property (e.g. The DPWH policy is dated, being based on R.A. 8974, which has been superseded by R.A. 10752.

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livelihood improvement

restoration and livelihood improvement of displaced persons in the resettlement plan. Income sources and livelihoods affected by project activities will be restored to pre-project levels, and the borrower/client will make every attempt to improve the income of displaced persons, so that they can benefit from the project. For vulnerable persons and households affected, the resettlement plan will include measures to provide extra assistance, so that they can improve their incomes in comparison with the pre-project levels. The resettlement plan will specify the income and livelihoods restoration strategy, institutional arrangements, monitoring and reporting framework,

have specific objectives to restore income-earning capacity and are limited in scope and application. Nonetheless, the IRR of R.A. 10752 states that government appropriations should be available to cover the cost of the development and implementation of resettlement projects and may include livelihood restoration and improvement activities.

of restoring income-earning capacity and include those whose income generation resources are severely affected.

and be adequately resourced to restore income-earning capacity of all APs whose livelihoods are affected and improve income-earning capacity of vulnerable APs.

• The effectiveness of income restoration and livelihood improvement activities will be monitored and reviewed.

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budget, and time-bound implementation schedule.

9 Transitional assistance and compensation for lost income

In the case of physically displaced persons, (i) transitional support and development assistance such as land development, credit facilities, training, or employment opportunities and (ii) opportunities to derive appropriate development benefits from the project will be provided. In cases where land acquisition affects commercial structures, affected business owners are entitled to (i) the costs of re-establishing commercial activities elsewhere; (ii) the net income lost during the transition period; and (iii) the costs of transferring and reinstalling plant, machinery, or other equipment.

Section 10(c) of R.A. 10752 provides that the cost of the development and implementation of resettlement projects covered by the Act, including planning, social preparation, and other activities under a resettlement action plan shall be provided with adequate appropriations to cover the funds needed for such. Section 15 of the IRR of R.A. 10752 further states that when necessary the development cost described above may include land development and housing construction, the provision of basic services and community facilities, livelihood restoration and improvement, and other activities under the resettlement action plan in coordination with concerned government agencies. E.O. 1035 provides for financial assistance to displaced tenants and cultural minorities and settlers equivalent to the average annual gross harvest for the last three (3) years and no less than PhP 15,000 per hectare. Section 7 of R.A. 6389 provides for disturbance compensation for agricultural lessee’s equivalent to five (5) times the average gross harvest in the last five (5) years. For APs whose structures are severely affected and whose business/income are

Although there is no specific law and guideline which mentions assistance during the transition period, the relevant entitlements may be lumped under the clauses pertaining to “livelihood restoration and improvement and other activities under the resettlement action plan” as stipulated by R.A. 10752 law and its IRR. In the relevant Philippine laws, there is no provision for compensation for income loss for medium- to large-sized businesses.

• Transitional support during the period when APs resettle and re-establish their livelihoods will be provided aimed at stabilizing their living standards.

• The Entitlement Matrix outlines the specifics of the support provided for transitional assistance entitlements covering compensation for lost income and assistance to re-establish livelihoods and businesses.

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affected, the DPWH's LARRIPP (2007) provides for rehabilitation assistance with an amount of no more than PhP 15,000 (based on the tax record for the business activities).

10 Disclosure of the RAP

ADB/JICA policy is to make the RAP accessible to the public through their websites before reaching a loan agreement.

The NEDA's ICC does not require the RAP to be made available to the public.

There is a gap on accessibility of the RAP to stakeholders.

• The RAP will be prepared and accessible to the public through the JICA, ADB, and DOTr websites.

• Salient information from the RAP will be disclosed to APs prior to and following finalization during SCMs.

11 GRM Appropriate and accessible grievance redress mechanisms must be established at the project level for the affected people and their communities.

There is no specific law that stipulates GRM within land acquisition laws in the Philippines.

There is no specific law that stipulates GRM for land acquisition in the Philippines.22

• An effective and accessible GRM will be established for the project to resolve disputes outside the judicial system.

• Prior to the start of ROW acquisition, the DOTr will establish the Help Desk at each city/municipality to address the concerns of APs pertaining to the RAP and ROW acquisition.23 Each Help Desk must be established before the delivery of the NoT to APs by the DOTr. A database of APs’ concerns, actions taken, referrals made, and the resolution status of the said concerns will be developed and maintained by the DOTr.

• Once the ROW acquisition commences, the GRM is triggered and the Help Desk, in coordination

22 In terms of guidelines, Section 3.4 Tracking and Monitoring Implementation of Grievance procedures of the DPWH's Land Acquisition Plan and Resettlement Action Plan (LAPRAP) Tracking Manual of 2003 was previously used as a reference. 23 The onset is marked by the delivery of the NoT by the DOTr.

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with the RIMC will serve as a recipient and database manager of grievances filed.

12 Census, inventory of losses, and the establishment of cut-off dates for eligibility to entitlements

Affected people are to be identified and recorded as early as possible in order to establish their eligibility through an initial baseline survey (including population census, asset inventory, and socio-economic survey). The borrower/client will establish a cut-off date for eligibility. Information regarding the cut-off date will be documented and disseminated throughout the project area.

There is a requirement under R.A. 7279 and its IRR for LGUs to conduct inventory of their informal settler families (ISFs). The conduct of surveys and tagging is established practices by the Urban Poor Affairs Office (UPAO). Section 4 of the IRR for the registration of socialized housing beneficiaries states that the city/municipal government shall be primarily responsible for carrying out the registration of underprivileged and homeless families within their respective jurisdictions.

No specific requirement for the cut-off date.

• A census and socio-economic survey are conducted for the affected areas to prepare the RAP.

• For informal settlers, the cut-off date is set on the beginning date of the census and tagging.

• The cut-off date is publicly disclosed during the 1st stakeholder consultation meeting in the project affected areas.

• Date of the NoT issuance will be the cut-off date for legal property owners.

13 External monitoring For projects with significant involuntary resettlement impacts, the borrower/client will retain qualified and experienced experts to conduct external monitoring.

Not required There is a gap on the requirement for external monitoring of projects with significant impacts.

• The IA will engage qualified experts to conduct external monitoring of the implementation of the RAP.

14 Voluntary land donation

Voluntary donation will be an act of informed consent, and APs/IPs will not be forced to donate land or other assets

Voluntary land donations are permitted. There are differences in the implementation and conditions for voluntary donations.

• Voluntary land donation is not an option for this project, except for government-to-government negotiated donation.

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with coercion or under duress.

• Voluntary donation will be an act of informed consent, and APs/IPs will not be forced to donate land or other assets with coercion or under duress. Any voluntary donation as requested by APs will follow international best practices and be confirmed through written records and verified by an independent third party.

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H. Fundamental Project Policy

184. The Government of the Philippines has adopted a Project Resettlement Policy (the Project Policy) for the project as described in this Resettlement Action Plan that is consistent with The Resettlement and Indigenous Peoples Planning Framework for this project, national laws and regulations and international standards of JICA and ADB on involuntary resettlement and fill in policy gaps identified in Table 4-4. This is to ensure that APs are able to rehabilitate themselves to at least their pre-project condition, at the earliest possible time. The Project Policy will follow the provisions and entitlements laid out in this RAP. The following principles will govern project implementation:

a. Land acquisition and involuntary resettlement will be avoided where feasible or minimized, by identifying possible alternative project designs that have the least adverse impact on the communities in the project area.

b. Where displacement of households is unavoidable, all eligible APs losing assets, livelihood, or resources will be fully compensated and assisted so that they can improve, or at least restore, their pre-project standards of living.

c. Where displacement of business enterprises is unavoidable, all APs losing livelihoods will be fully assisted so that they can improve, or at least restore, their former economic conditions.

d. Rehabilitation assistance will be provided to any APs, that is, any person or household or business which on account of land acquisition for the project would have their: (i). Standard of living adversely affected; (ii). Right, title or interest in any structure, interest in, right to use, any land

(including premises, agricultural and grazing land, commercial properties, tenancy, or right in annual or perennial crops and trees or any other fixed or moveable assets, acquired or possessed, temporarily or permanently);

(iii). Income earning opportunities, business, occupation, work or place of residence or habitat adversely affected temporarily or permanently; and

(iv). Social and cultural activities and relationships affected or any other losses that may be identified during the process of resettlement planning.

e. All affected people will be eligible for compensation and rehabilitation assistance, irrespective of tenure status, social or economic standing and any such factors that may discriminate against achievement of the objectives outlined above. Lack of legal rights to the assets lost or adversely affected, nor tenure status and social or economic status, will not bar the APs from entitlements to such compensation and rehabilitation measures or resettlement objectives, unless proven disqualified under Philippine law, JICA Guidelines (2010) and ADB SPS (2009).

f. All APs residing, working, doing business and/or cultivating land within the project impacted areas as of the cut-off date will be entitled to compensation for their lost assets at replacement cost as well as restoration of incomes and businesses, and will be provided with rehabilitation measures sufficient to assist them to improve or at least restore/maintain their pre-project living standards, income-earning capacity and production levels.

g. APs partially affected by land acquisition will not be left with residual portions that would not be viable for continued use for the original purpose. APs whose land is partially acquired will have the option for the entire lot to be acquired if the residual portion is not viable. For partially affected structures, if the remaining portion is not viable for continued use, the entire structure will be compensated. Assessment of technical viability is undertaken by civil engineers and duly checked by licensed Independent Property Appraiser (IPA) as part of the replacement cost survey. The technical assessment is done at two levels. One is through actual field inspection

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and measurements. The other is through the preparation of Basic Plans which confirms if major structures such as columns would be affected. APs are informed by DOTr during RAP implementation/ROW acquisition (after issuance of Notice of Taking/Offer to Buy and during discussion and execution of the Agreement to Demolish and Remove Improvement).

h. People temporarily affected will be considered APs. Prior to construction commencement, Contractors will secure the necessary ECCs for temporary facilities such as workers camps, construction yards, and warehouses for materials, stockpiling areas etc. from the appropriate DENR-EMB offices where they are located. Where these facilities are located in public or private lands, the Contractor will enter into Lease Agreements and should there be a need for temporary displacement or compensation for affected structures and improvements, the Contractor will comply with the provisions of R.A. 10752, the Environment Management Plan and this RAP.

i. Where a host community is affected by the development of a resettlement site in that community, the host community will be consulted on resettlement planning and decision-making. All attempts will be made to minimize the adverse impacts of resettlement upon host communities.

j. The plans for resettlement and relocations will be designed in accordance with the Project Policy.

k. Any project related activities that triggers involuntary resettlement such as land acquisition or land clearance or that displaces people using the land then such impacts will be considered as impacts under the scope of this RAP. In such cases the same entitlements as in this RAP will be applied to those affected. Application of this requirement will be monitored under this RAP monitoring arrangements.

l. The RAP as approved by JICA and ADB will be disclosed by DOTr to the public through the following means: posting of approved RAP on JICA, ADB and DOTr websites and distribution to concerned LGUs. Implementation of the RAP will be guided by the DPWH Right of Way Acquisition Manual (DRAM), however only where the manual applies to the policies stated in this document. The DOTr’s Right of Way and Site Acquisition Manual (ROWSAM) will not be used in this project.

m. Payment for land and/or non-land assets will be based on the principle of full replacement cost.24

n. Compensation for APs dependent on agricultural activities will be land-based wherever possible. Land-based strategies may include provision of replacement land, ensuring greater security of tenure, and upgrading livelihoods of people without legal titles. If replacement land is not available, other strategies may be built around opportunities for re-training, skills development, wage employment, or self-employment, including access to credit. Cash compensation alone will be avoided as an option if possible, as this may not address losses that are not easily quantified, such as access to services and traditional rights, and may eventually lead to those populations being worse off than without the project.

o. Transitional assistance will be provided, in addition to compensation to assist APs to restore livelihood and standards of living. Such support could take the form of short-term jobs, subsistence support, and transitional allowance.

p. The resettlement plan must consider the needs of those most vulnerable to the adverse impacts of resettlement (including the poor, those without legal title to land, ethnic minorities, women, children, elderly, and disabled) and ensure they are considered in resettlement planning and mitigation measures identified. Assistance should be provided to help them improve their socio-economic status.

q. APs will be involved in the process of developing and implementing resettlement plans.

24 The cost of replacing lost assets and incomes, including cost of transactions.

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r. APs and their communities will be consulted about the project, the rights and options available to them, and proposed mitigation measures for adverse effects, and to the extent possible be involved in the decision-making concerning their resettlement.

s. Adequate budgetary support will be fully committed and made available to cover the costs of land acquisition (including compensation, other entitlements and income restoration measures) within the agreed implementation period. The funds for all resettlement activities will come from the Philippine government.

t. Displacement must not take place before provision of compensation and other assistance required for relocation. Sufficient social infrastructure and basic services must be provided in the resettlement site prior to relocation. Livelihood restoration measures must also be in place but not necessarily completed prior to construction activities, as these may be on-going activities.

u. Arrangements required for the implementation of the RAP will be in place prior to the commencement of implementation of RAP; this will include the provision of adequate human resources for supervision, consultation, and monitoring of land acquisition and rehabilitation activities.

v. Appropriate reporting (including auditing and redress functions) monitoring and evaluation mechanism, will be in place as part of the resettlement management system. An external monitoring agent or group will be hired by the project and will evaluate the resettlement process and final outcome. Such groups may include qualified resettlement experts, NGOs, research institutions or universities.

I. Cut-Off Date

185. The cut-off date pertains to the date from which APs are considered eligible for compensation and other forms of assistance. The cut-off date was declared for non-landowners at the time of the census survey. Based on these statutes, any new structure or improvement to an existing one on the land covered by the Project Right-of-Way (PROW) acquisition will not be compensated after the respective cut-off dates. Non-landowners have been included in all consultations from the beginning to ensure that they are aware of the project. The cut-off date was set during the DD Phase. The cut-off dates for each affected barangay are indicated in Chapter 2.

J. Principle of Replacement Cost

186. All eligible structures/improvements owned by project affected households/businesses will be compensated based on the principle of replacement cost. Replacement cost is the amount calculated before displacement which is needed to reconstruct the affected asset without depreciation and without deduction for taxes and/or costs of transaction. 187. The Replacement Cost Study (RCS) was conducted by a licensed Independent Property Appraiser (IPA) or a Government Financial Institution (GFI) with adequate experience in property appraisal selected by the IA through a competitive process. The IA will use the RCS of the IPA and/or GFI as basis of the IA’s price offer during negotiated sales. The basis of RCS is to be consistent with the following standards of assessment.

a. The classification and use for which the property is suited based on, among other things, the latest approved land use plan and/or zoning ordinance, if any, of the city or municipality concerned as well as the price of the land as manifested in ocular findings, oral as well as documentary evidence presented taking the following into consideration:

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(i). Location of the property with reference to quality of neighborhood and surrounding improvements, access to community centers, shopping and transportation, and presence of detrimental influences to value;

(ii). Size, the lot area in relation to the highest and best use, present use and utilization of the property;

(iii). Physical characteristics such as shape, topography, utilities, easements, road frontage, etc.; and

(iv). The current selling price of similar lands in the vicinity based on, among other things, the latest records on Deeds of Sale for similar lands in the office of the Register of Deeds concerned as well as review of existing listing of properties and comparison against actual sales prices of properties with similar characteristics;

b. The development cost for improving the land based on, among other things, the

records and estimates of the City or Municipal Assessor concerned, GFI or IPA for similar or comparable lands;

c. Replacement cost value for structures and improvements on the land; d. Such facts and events so 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, and thereby rehabilitate themselves as early as possible.

e. Replacement cost value for structures and improvements on the land;

188. The valuation methodology for the project used for structures is the Cost Approach of the International Valuation Standards 2017 (IVS 2017), “the cost approach provides an indication of value using the economic principle that a buyer will pay no more for an asset than the cost to obtain an asset of equal utility.” The international standard requires that all cost that will be incurred should be considered. The project included the following cost in the valuation of structures.

a. Direct Cost – refers to cost of materials and labor; b. Indirect Cost - refers to professional fees (i.e. design, permit, architectural, legal, etc.),

overheads, taxes, finance costs, profit margin or entrepreneurial profit to the creator of the asset.

189. In determining the replacement cost of structures, depreciation was not factored in the computation. The RCS is part of the TOR of the IPA and it includes the project Entitlement Matrix as basis for valuation. The work requirements of the IPA to prepare an RCS as to be reflected in their TOR include the following elements: 190. Scope of the RCS. The scope is to verify and determine the current market values for structures, improvements, and other physical properties or non-land-based incomes. For other crops and trees, value assessment shall be determined using Department of Environment and Natural Resources (DENR) applicable guidelines. Such market values shall serve as basis for calculating compensation and entitlements for APs, families, structures and properties to ensure that APs are compensated at replacement cost at the time of compensation. 191. Methodology. The RCS was carried out by based on information collected from both desk research, interviews in the field including with affected people, realtors, developers, banks, building contractors, real estate agents and government agencies to get a good estimate of the current market values of properties and other improvements. 192. The independent appraiser consults on the above principles with the affected people to guide the appraisal. The principles of replacement cost and market value was explained to the affected people during the feasibility and detailed engineering design stage.

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193. For affected structures and improvements, compensation will be in terms of replacement cost, as provided in Section 5(a)(2) of R.A. 10752, computed based on Section 6.6 of its IRR. That is, based on the current market prices of materials, equipment, labor, the contractors’ profits and overhead costs, permitting costs, reinstallation of utility connections, and all other attendant costs associated with the acquisition and installation of a similar asset in place of the affected asset. Further, if the affected structure has been damaged, the replacement cost will be based on the pre-damaged condition of the structure. The replacement structure must perform the same functions and meet performance specifications as the original structure. 194. Determination of market value of trees takes into account age and productivity of the tree. Compensation rates will be determined by the replacement cost study and informed by values prescribed by the Department of Agriculture (fruit trees) or the Department of Environment and Natural Resources (for timber trees). A valuation matrix provided by the Department of Agriculture was the basis for the cost of each fruit trees based on its age size and tree productivity lifespan. The tree ownership validation has been conducted to ascertain number of trees they owned and their estimated cost as per valuation matrix provided by the Department of Agriculture is included with the RAP as Appendix 4.

K. Vulnerable Groups

195. Vulnerable groups in this RAP refer to a poor household, a household headed by the elderly or a solo-parent, or a household with a Person with Disability (PWD) or a person who needs special assistance. For the purpose of the RAP implementation, these categories of vulnerable households are further defined as follows:

a. Poor household - The Philippine Statistics Authority (PSA, 2015) defines the poor according to the poverty threshold, or a total family income needed to meet a family’s basic food and non-food needs. As of 2015, the annual per-capita poverty threshold is set at PhP 25,007 for the National Capital Region (NCR), PhP 22,474 for Pampanga Province, PhP 21,989 for Bulacan Province, and PhP 21,770 for Laguna Province. Based on this definition, households with five family members whose combined annual household income is lower than PhP 125,035 for NCR, PhP 112,370 for Pampanga, PhP 109,945 for Bulacan, and PhP 108,850 for Laguna Province are considered poor.

b. Household headed by the elderly - Under the expanded Senior Citizens Act of 2010 (R.A. 9994), any resident of the Philippines who is at least 60 years old is considered as elderly or a senior citizen.

c. Household headed by a solo parent with dependent/s under 18 years of age - A solo parent is someone who falls under any of the following categories, as indicated in R.A. 8972:

d. Household with a family member who is a PWD, according to the Magna Carta for Disabled Persons (R.A. 7277), pertains to a AP who suffers from constraints of different abilities, as a result of a mental, physical, or sensory impairment, in performing an activity in the manner or within the range considered normal for a human being.

196. APs who belong to any of the following vulnerable groups: (i) households that are below the poverty threshold; (ii) households headed by the elderly; (iii) households with PWDs; and (iv) households headed by a solo parent are expected to face greater challenges in re-establishing their living standards. The vulnerable groups will be provided with additional transitional support and rehabilitation assistance. For AH with persons needing special assistance and/or medical care, the LGUs concerned will provide nurses or social workers to help them before and during resettlement activities. The beneficiaries of such assistance

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include households with pregnant women, the elderly, ill family members, young children, and people with physical and mental disabilities.

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5. CHAPTER 5: COMPENSATION AND ENTITLEMENT 197. The provision of compensation and assistance is designed to enhance or at least restore the quality of life of all displaced persons by this project in real terms, relative to pre-project levels and, where possible, to improve the standards of living of the displaced poor and other vulnerable groups. The project entitlements have been developed and is presented in the Entitlement Matrix (EM) (Table 5-2). As appropriate, compensation will be accompanied with assistances, as outlined in the EM. 198. Identification of APs’ eligibility was carried out in accordance with the census tagging of structures, SES and validation activities. For the relocation of low-income AHs, DOTr in cooperation with NHA (for assisted resettlement), will work closely with the Mabalacat LGU and other relevant government office or unit. 199. The EM outlines the specifics of the compensations and entitlements, as per the impact and eligibility criteria. The EM is tailored for the specific impacts covered under the scope of this RAP. Specifically, it provides details of compensation and entitlements for:

• Loss of trees and crops • Loss of structures • Loss of income/livelihood • Loss of non-land assets and improvements • Additional hardship due to vulnerability • Unanticipated involuntary resettlement impacts

A. Units of Entitlements

200. The unit of entitlement is the entity (individual, family or household, or community) eligible to receive compensation or entitlements. The units of entitlement include the following categories:

a. Individuals or juridical persons having legal ownership of structures and/or community facilities will be considered as the unit of entitlement of the subject property;

b. Owners of residential or non-residential structures, with or without legal ownership on the land where the structure is located, will be considered as the unit of entitlement, upon presentation of sufficient proof of ownership of said structure;

c. Owners of crops, trees and other agricultural produce, with or without legal ownership on the land where the crops, trees and/or agricultural produce is located, will be considered as the unit of entitlement, upon presentation of sufficient proof of ownership of crops, trees and/or agricultural produce being claimed;

d. A household will be the unit of entitlement, in instances where the household will be impacted by physical displacement and requiring relocation assistance, including: (i) Households that own the dwelling structure but do not have legal ownership

on the land where the structure is located; (ii) Households that are renting, leasing or sharing the structure; (iii) Households that have previously availed of government socialized housing

program (returnees) and are deemed ineligible by the KSA to participate in the socialized housing program; and

(iv) Households/APs who occupy temporary dwellings.

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e. Adults whose waged-based income will be impacted will be the unit of entitlement for livelihood rehabilitation and improvement assistance and compensation for income losses, as detailed in Table 5-1.

Table 5-1 APs Entitled to Livelihood Restoration Assistance Major Group of APs Entitled APs Based on Entitlement Matrix

APs engaged in micro-business activity

a. APs who own affected fixed micro businesses within the PROW (e.g. small shops, sari-sari store, carinderia, food stand, repair shop, etc.) with or without permits from the LGU concerned.

b. APs who have agricultural business with or without lease/rental agreement with the land owner.

c. APs who own affected small business establishments within the PROW.

d. APs who own affected medium and large business establishments within the PROW.

APs engaged in wage-based occupation

a. APs who are employed in a displaced commercial, industrial establishment or agricultural businesses and lose their job due to closure of business or laying off as a result of minimized operation.

b. APs who permanently relocate to a place that makes former wage-based livelihood opportunities inaccessible and as a result need to find new employment or source of livelihood.

c. APs who permanently relocate to a place that makes it more expensive to commute to their place of work and they retain their employment.

APs engaged in land-based activity

a. APs who are agricultural tenants and sharecroppers. b. APs who are landowners or lessee who are directly engaged in

farming. Source: JICA Design Team

f. The unit of entitlement for Vulnerable Groups are household, and includes:

(v) Households below poverty threshold; (vi) Low income household head by the elderly; (vii) Low income households headed by solo parents with dependents; and (viii) Low income households with any member of the family residing in the

household at the time of the cut-off date who is categorized as person with disability (PWD)

g. Government Agency/LGU who are owners of affected public structures, community facility and areas on public land are considered the unit of entitlement for compensation relating to project impacts on these structures and public land.

B. Conditions

201. In applying these units of entitlement, the following conditions apply.

a. A household with only one (1) family member will have the same entitlement as those having more than one household member (with the exception of food allowances during relocation as this is calculated on a per person basis).

b. Female-headed households are to be equally recognized as a unit of entitlement, similar to male-headed households.

c. The unit of entitlement for loss of income from business activities will be the legally registered owner of the business activities who at the time of the census is operating the business on the land or structure to be acquired by the project. For small shops, micro business and vendors with no registration or permit, or supporting documents as proof of income compensation will be based on the indicated income in the survey questionnaire utilized and validated by the MCRP Project Management Office (PMO) or RAP Implementation Management Committee (RIMC)

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d. The unit of entitlement for loss of income from agricultural land will be the AP who is directly engaged in farming in the affected land which could be lessee, tenant and sharecroppers who till the land. Wage-based workers in these farms are entitled to compensation for loss of income as employees.

a) Legal co-owners of structures and/or business will be included within the one unit of entitlement under the same arrangement as the co-share documents or as per existing form of income-expenses-profit share arrangements.

b) Households, regardless of income and category, will have the option to choose between self-relocation assistance and assisted resettlement. The housing modality will depend on several factors such as income, previous inclusion to relocation projects, and AP’s preferences.

C. Persons Who Have Moved Into the ROW After the Cut-off Date

202. Persons or households who moved into the affected structure after the cut-off date25

will be ineligible for resettlement assistance. Similarly, all illegal structures built and trees planted in the affected land after the cut-off date are not compensable and persons living in these illegal structures will also be ineligible for resettlement assistance. Evicted renters/non-landowners who are in the household master list will be eligible for assistance. Eligibility has been confirmed through validation conducted jointly by DOTr, Mabalacat LGU and NHA. D. Modes of Acquisition

203. The entitlement matrix outlines the entitlements for loss of structures and other assets, income and means of livelihood, as well as other forms of assistance for vulnerable groups. The EM on this chapter set out the details of compensation for all affected persons and households. E. Processes for Provisions of Compensation and Entitlements

204. The process for the provision of compensation and entitlements, as they relate to assets and structures is detailed below. Refer to Chapter 6 for processes relating to relocation assistance, and Chapter 8 for processes relating to livelihood restoration and improvement. There will be no land acquisition under the section covered for this RAP. F. Process for Negotiated Sale for Structures

205. DOTr will issue an offer to compensate (Appendix 5) to owners of affected structures, improvements, trees, and crops as early as possible to (1) give them sufficient time to prepare and complete necessary paperwork requirements for compensation; and (2) enable early validation and authentication of proof of ownership by DOTr. 206. The notice to compensate will indicate: (i) amount that DOTr offers to the APs for their affected structures, trees and crops; and (ii) gives the APs 30 days to submit the Reply Letter from the offer to compensate along with the supporting documents to prove their ownership of the property signifying their acceptance of the offer.26 The property owner has the option to assign an attorney-in-fact as representative for the process. Upon receipt of the documents, DOTr will validate its authenticity and completeness. Should the AP refuse or fail to submit the Reply Letter and supporting documents within 30 days, DOTr may initiate other legal means to acquire the structures. There will be no land expropriation under this RAP given that all land is owned by BCDA.

25 Cut-off date for non-landowners (i.e. rent-free farmers, informal settler families) refer to Chapter 2. 26 Refer to Table 6-2 for cases when APs expressed willingness to accept the offer but lacks the necessary documents to qualify for compensation.

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207. For affected structures, improvements and crops/trees, DOTr and the AP will, upon acceptance of offer and verification of ownership,27 execute either a Deed of Absolute Sale (DOAS), or DOAS with Permit to Enter (PTE) and Agreement to Demolish and Remove Improvement (ADRI). A sample ADRI form is in (Appendix 6). Once the DOAS, PTE and ADRI have been executed, DOTr may proceed to payment of compensation. The final price after the issuance of the offer to compensate will be indicated in the DOAS based on the final price as certified by an independent GFI appraiser engaged by the DOTr. 208. For both cases APs with complete documents will be compensated current market price of structures and improvements, current valuation matrix of the department of agriculture on crops and trees. 209. Similarly, APs who own the structures but do not own the land will sign a memorandum of Agreement (MOA) and execute an ADRI with DOTr. (The detailed process for households to relocate is presented in Chapter 6 of this RAP along with the Guidelines for Dismantling Structures). If the documents are complete and verified28 at that time, the AP will receive full compensation for all the affected properties including crops and trees. G. Required Documents for Payment of Compensation

210. Structure owners including informal settlers are required to present the following documents:

a. Two (2) valid Government-issued identification cards; b. Clearance for Structures and Improvements if applicable to micro business owners; c. Special Power of Attorney (SPA), if applicable; and d. Tax Declaration of Improvements (if any).

211. ISFs (non-landowners) are required to submit the following:

a. Certification from the barangay concerned stating that he/she is the rightful owner of the structure;

b. Affidavit of the claimant, and two other persons not related to the claimant, preferably neighbor and/or landowner of the adjacent properties;

c. Upon submission of these two, validation of claims and issuance of certification from concerned LHB; and

d. Other documentary evidence available as proof of ownership of structure. 212. Owners of crops and trees need to present the following:

a. Two valid government ID’s b. Special Power of Attorney (SPA), if applicable; and c. If applicable, two (2) valid Government-issued identification cards of the

Designated Signatory to the Deed of Sale in the SPA.

213. For owners of crops and trees on land that they do not own: a. Certification from the barangay concerned stating that he/she is the rightful owner

of the crops and trees; b. Affidavit of the claimant, and two other persons not related to the claimant,

preferably neighbor and/or landowner of the adjacent properties; and c. Upon submission of these, validation of claims and issuance of certification from

concerned RIMC.

H. Income Loss

27 Upon completion of ownership documents. 28 Please refer to Chapter 6 for details.

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214. The owners of one micro business including 13 employees will present the following: 215. For displaced employees of affected businesses:

a. Two valid government IDs; b. Joint affidavit of the employee and of affected business owner that the former will

be or was displaced from their current job due to the project; and c. SSS, PhilHealth, Pag-IBIG or GSIS records of employing entity to establish that

the person is indeed employed in their company prior to the implementation of the project; or

d. Validation of claims and issuance of certification from concerned RIMC.

216. For affected micro business with annual income of PhP 250,00029 and below: a. Two valid government IDs; and b. Validation of claims and issuance of certification from concerned RIMC.

217. For affected micro business with annual income above PhP 250,000, and affected small, medium and large businesses:

a. Two valid government IDs of business owner or authorized representative; b. DTI or Securities and Exchange Commission (SEC) registration, whichever is

applicable; and c. Income Tax Return of the previous year.

I. Assistance to Obtain Necessary Documents

218. DOTr will provide assistance to APs who need to obtain the above-mentioned documents. This will be done through the Help Desk that will be established at Mabalacat LGU. Template waiver forms and barangay certification/letters will also be available from the Help Desk to support APs in obtaining the required Paperwork. J. Payment Schedule

219. Compensation payments to Non-landowners/ISFs will be paid in full before occurrence of loss and will not require a phased payment schedule. K. Entitlement Matrix

220. Table 5-2 shows the Entitlement Matrix providing details for compensation and entitlements for affected persons and households.

29 Annual income exempted from tax based on the Graduated Income Tax under Section 24(A)(2) of the Tax Code of 1997, as amended by Republic Act 10963. Retrieved from: bir.govg.ph.

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Table 5-2 Entitlement Matrix

221. Below entitlement matrix is based on the entitlement matrix of the RIPPF and has been tailored to the situation and APs covered under this RAP. Type of Impact Loss of Structure

Entitled Person (Severe/Full) (Marginal/Partial)

2d APs who own structures but do not own the land where the structure is located on and are a low-income household and do not use the residence as their permanent residence.30 (9 AHs)

Entitlements: Cash compensation for entire structure equivalent to full replacement cost without deduction for depreciation or salvaged materials. Assistance to transport belongings to new location.

No marginally-affected structures for Mabalacat.

2d AHs who own structures but do not own the land where the structure is located on, and use structure as their permanent residence, and are a low income household (Structure owners, renters or rent free occupants) (8 AHs)

Entitlements:

a. Cash compensation for entire structure equivalent to full replacement cost without deduction for depreciation or salvaged materials for the structure owners.

b. For this RAP AHs losing their permanent residence surveyed on relocation preferences have chosen assisted resettlement. Entitlements are as follows:

i. Avail of government socialized housing program through NHA at Northville 16 relocation site in Barangay Atlu Bola, Mabalacat City, Pampanga

ii. Cash compensation to cover the cost of reconnecting utilities such as water and power (if not provided by NHA/LGU);

iii. Transportation during relocation including hauling of household belongings to interim rental facilities, until the relocatees are transferred to the final resettlement site; and

No marginally-affected structures for Mabalacat.

30 Includes APs who previously participated in a government socialized housing program but who no longer have it, but did not sell it or rent it out (e.g. those who abandoned the housing unit).

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Type of Impact Loss of Structure

Entitled Person (Severe/Full) (Marginal/Partial)

iv. Food allowance of PhP150 per person relocated per day for 3 days or a food parcel of equal or greater amount (as determined by DOTr) during relocation to the temporary accommodation and during relocation to the permanent relocation site.

c. Rental subsidy for 8 AHs temporary accommodation equivalent up to eight (8) months until after the housing units are ready for occupancy.

Implementation Considerations: APs will not be responsible for demolition of structures. However, APs may be allowed to self-demolish their structures where safe to do so to enable them to preserve materials that still have salvage value. In such cases APs will be entitled to keep salvageable materials without deduction from compensation. Procedures and requirements regarding self-demolition will be set out in the DED RAP. Payment of compensation for structures and improvements may, upon the request of APs, be either:

a. Fully paid in cash; b. Used as an advance payment for their housing loan amortizations; or c. Held in abeyance until they are transferred to the relocation site.

AP’s preference based on the above shall be stipulated in the respective Agreement to Demolish and Remove Improvement (ADRI). To ensure that funds are available until APs are relocated, DOTr shall make the necessary arrangements with the Land Bank or equivalent, so that a trust fund can be set up for this purpose. APs who preferred to defer payment would be able to withdraw such upon presentation of the Certificate of Award as socialized housing beneficiary issued by the KSA. Any fees required to be paid to community organizers to set up communities to borrow for socialized housing will be paid by DOTr. The amount of food allowance will be reviewed during preparation of the updated RAP and during implementation and may be adjusted as needed to maintain the value in real terms. For cases where APs are required to avail of rental subsidy assistance while awaiting completion of socialized housing, assistance to transport belongings will be provided both at time of initial displacement to temporary accommodation as well as to socialized housing when it is completed.

Entitled Person Loss of income/Livelihood

3a APs who own fixed micro businesses31 (25 farm micro-businesses who are not registered as farmers, 1 sari-sari operator and 1 yogurt vendor 1 fruits and

Entitlements:

a. Cash compensation for income losses during transition period corresponding to stoppage of business activities, not to exceed six months.32

31 Categories of businesses are based on capitalization and number of employees, with up to Php 3,000,000 capitalization and 1-9 employees for micro businesses as defined under Small and Medium Enterprise Development Council Resolution No. 01 Series of 2003 dated 16 January 2003. 32 Preferred mode of business transition is to help set up affected persons with an alternative but similar business with minimal transition period.

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Entitled Person Loss of income/Livelihood

vegetable vendors) with or without permits from the LGU concerned. (25 APs)

b. Cash compensation to cover transactional (e.g., permitting) cost of re-establishing the business elsewhere.

c. Cash assistance to transport belongings to new location d. Cash assistance in securing soft loan to enable self-rehabilitation for those restarting

business elsewhere. e. Participation in the Livelihood Restoration and Improvement Program (LRIP). f. For those leasing space from property owners, who will continue with their micro-small

business activities elsewhere, rental subsidy for three months based on prevailing average monthly rental for a similar structure of equal type and dimension to the property being leased. Not applicable to lease contracts that will expire at the time of taking.

3e APs who are employed in a displaced commercial, agricultural or industrial establishment and lose their job due to closure of business or laying off as a result of minimized operation. (23 APs)

Entitlements:

a) Cash compensation for net salary of two months based on actual salary. For APs whose income is below or within the minimum wage, cash compensation for four months based on prevailing minimum wage.33

b) Participation in the LRIP. c) Provision of skills training in anticipation of available job positions during construction and

operation of the project. d) Training allowance.34 e) Priority in employment during construction and operation stage of the project.

3g APs who relocate to a place that makes it more expensive to commute to their place of work and they retain their employment. (3 APs)

Entitlements: Commuting allowance of an amount based on additional costs, but not exceeding PhP 5,000 per household per month for three months (not entitled to 3e).35

33 Inclusive of payment of daily wage equivalent to the number of days the trainees need to be absent from work in order to attend training (during training) equivalent to the prevailing minimum wage in the area shall be provided to APs who are attending the training. 34 Transportation allowance only if necessary. 35 Commuting allowance will be provided only upon transfer to off-city permanent relocation site. No commuting allowance will be provided at the temporary accommodation.

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Entitled Person Loss of income/Livelihood 3h APs who are agricultural tenants and

sharecroppers. (1 AP)

Entitlements:

a) Financial assistance equivalent to the average gross harvest for the last three years and not less than P 15,000 per hectare

b) Crop compensation will be made between the owner and sharecropper as per terms of the sharecropper in case of privately-owned land / publicly-owned land.

c) In case of dispute over verbal agreement with sharecropper, certification from elected representatives will be considered as legal document.

d) Participation in the LRIP. 3i APs who are landowners or lessee

who are directly engaged in farming. (1 AP)

Entitlements: A disturbance compensation equivalent to five times the average gross harvest for the last five years on the principal and secondary crops of the area acquired (as adopted from RA. 6389). Participation in the LRIP.

Implementation Considerations: Income losses as based on evidence such as tax receipts or otherwise as per estimated values of monthly income losses for various categories of micro-businesses to be determined during validation. Entitled Person Loss of Public Land and Structure (Severe/Full)

4a Government Agency/ Local Government Unit (LGU) owners of affected public structures on public land. (1 government agency)

Entitlements:

a. Compensation between agencies based on mutual agreement. b. Transportation to be provided inclusive of transportation of belongings.

Entitled Person Loss of Non-Land Assets and Improvements

5a Owners of fruit and timber trees (regardless of ownership status of affected land). (21 APs)

Entitlements: Cash compensation at replacement cost for affected fruit and timber trees

5b Owners of crops (regardless of ownership status of affected land). (11 AP)

Entitlements: Compensation for the affected perennial and annual crops at market value of the crop at full-term harvest time36.

36 Compensation for crops is for one harvest only. Should the AP or someone else plant on the project ROW after validation in the barangay, it is no longer eligible for compensation.

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5d Owners of other affected non-land assets and improvements (not mentioned in 5a, 5b or 5c).

Entitlements: Compensation at replacement cost for affected non-land assets and improvements (not mentioned in 5a, 5b). Alternatively, APs may opt for transportation of secondary structures (non-land assets) in whole or in part in lieu of compensation where property can be viably transported.

Implementation Considerations: a. Determination of replacement cost of trees will take in to account age and productivity of the tree. b. Compensation rates determined by the replacement cost study and informed by values prescribed by the Department of Agriculture (DA)

(for fruit trees) or DENR for timber trees. c. Coordination with land owners, agricultural farmers to advise them regarding the schedule of clearing.

Entitled Person Additional Hardship Due to Vulnerability

6a APs who are classified as any of the following vulnerable groups: poor (based on the poverty income threshold), elderly and solo parent-headed households, and persons with disabilities. (15 AHs) 5 of the 15 AHs will be relocated

Entitlements: In addition to applicable compensation:

a. Inconvenience allowance in the amount equivalent to PhP 10,000 per household. b. For the families with persons who need special assistance and/or medical care, respective LGUs to

provide nurses or social workers to help them before and during the resettlement activity. c. Rehabilitation assistance in the form of vocational training and other development activities with the

value of up to PhP 15,000 will be provided in coordination with other government agencies. d. Support and/or maintain access to government welfare programs. e. Inclusion in the LRIP.

Entitled Person Temporary Impacts due to Construction

7b APs without legal rights to affected land but owners of affected non-land assets. (to be assessed during construction)

Entitlements:

a. Compensation for affected non-land assets at full replacement cost commensurate with rates set out in the resettlement plan.

b. Cash payment for rent of the affected land at prevailing rental rates in the location of the property until the property is restored.

7c Severance impacts and/or barrier effect during construction disrupting lateral movement (access) or access to property. (to be assessed during construction)

Entitlements: The project will provide for crossings and continued access In the event that construction works block access to a business then compensation for lost income for the period of disrupted access will be provided.

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Implementation Considerations: Contractors will be responsible for the arrangement and payment of land rent, restoration of land and compensation for non-land assets and lost income. Temporary impacts due to construction will be monitored and reported as part of monitoring of the Environment Management Plan.

Entitled Person Unanticipated Involuntary Resettlement Impacts

9a Eligible affected persons. (to be assessed during construction)

Entitlements will be prepared in accordance with the JICA Guidelines (2010), ADB SPS (2009) and applicable national laws and regulations (including requirements for preparation of corrective action plan and other related documents for JICA and ADB to review and approve), and the Environmental Management Plan (EMP) of the approved Environmental Impact Statement (EIS). In the event that the residual community will lose access due to the project, DOTr shall either maintain access or acquire the remaining land. Any additional land acquisition (including all affected structures, improvements and crops therein) as a result of land lock, provision of access, and/or required setback shall be compensated similarly as provided for in this entitlement matrix. Likewise, families and businesses that will be displaced as a result of land lock or provision of access road or required setback shall be eligible to all applicable entitlements and resettlement and/or LRIP provided for in this RAP.

Implementation Considerations: Entitlements to be prepared in such circumstances are subject to approval of the DOTr and concurrence by JICA and ADB.

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6. CHAPTER 6: RELOCATION AND RESETTLEMENT PLANS 222. There are 17 households with affected house structures out of which 8 AHs use the houses as their primary residences and have to relocate. The remaining 9 AHs are not using the structure as their primary residence and need no relocation. 223. The DOTr, in coordination with NHA will ensure that no AH will be forcibly evicted or a structure demolished without prior notice and consultation. Any land acquired for development of resettlement sites for the MCRP will also have the same policies and entitlements identified within this RAP. All qualified APs have been assessed and validated by DOTr/NHA with assistance from the LGU. Eligibility and entitlement of housing and project assistance is based on this project policy and is compliant with the ADB SPS 2009 and JICA guidelines of 2010 discussed in the Entitlement Matrix (Chapter 5).

A. Beneficiaries of the Relocation Assistance 224. There are 8 households in Mabalacat that will be displaced from their current residence inside government land owned by the BCDA. Out of these 8 AHs, 5 are considered vulnerable and will receive inconvenience allowance of PhP 10,000 per household in addition to applicable compensation due them. 225. In terms of vulnerability, there are 5 vulnerable households, 2 in Barangay Dolores and 3 in Barangay Lakandula. The elderly AP in Barangay Lakandula is head of household, female and also solo parent. Aside from these households, there are 4APs who would need special assistance during the actual transfer to the temporary accommodation and relocation site. Details on this is discussed in the succeeding section of this chapter. 226. A joint validation (i.e. DOTr, LGU, PNR, BCDA, CIAC, CDC, and NHA) of the affected households and structures was conducted in Barangay Dolores, Barangay Lakandula and Barangay San Joaquin on July 18 and 19, 2019. A supplementary consultation interview via telephone calls was on May 8 - 3, 2020, in compliance with movement restictions in the province of Pampanga. 227. The 8 AHs upon approval of this RAP will be assisted to transfer to a temporary accommodation facility with provisions of rental allowance while waiting for the completion of their housing units in the relocation area to be construction by NHA. The rental subsidy is at PhP 5,000.00 per AHs for an estimated eight months or until completion of the resettlement site. The length of rental allowance is determined on the number of months that the house is ready for move in by the AHs. Estimated time of completion of the 8 housing units is between 6 to 8 months including connections to utilities such as water and electricity.

B. Resettlement Assistance Options 228. There are 8 AHs to be relocated and all are eligible for resettlement assistance. Under this RAP, there are two options for relocation, namely Self-Relocation Assistance and Assisted Relocation. All 8 AH will be assisted in relocating to Northville 16, Barangay Atlu-Bola, Mabalacat City. Seven out the 8 AHs were consulted through individual interviews that started on May 8 until May 13, 2020. The purpose of the consultation interview was to explain again to the seven AHs the resettlement assistance options which have been discussed in the second stakeholders meeting held on January 22, 2019. The intent of this consultation interview is to get confirmation of their choice of resettlement assistance option. 229. The seven AHs still present in the project area were asked about their preferred relocation sites. All were supportive of relocating to the Northville 16 resettlement site. The one AH eligible for relocation assistance that had already moved out of the project site was

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not interviewed. For planning purposes DOTr assumes that they will relocate to the project resettlement site. They will otherwise be provided with self-relocation assistance as per entitlements set out in the RAP if they do not wish to relocate to the resettlement site. DOTr will post public notices in the LGU offices and the local newspaper on a weekly basis for a period of one month for the remaining one AH. The first notice was posted in the LGU in their public information and local housing offices on May 8, 2020. 230. In the conversation with the AHs, it was explained that there are two options they can choose from these are the self relocation and assisted relocation. It was explained that in option one which is self relocation, AH will be provided assistance such as: (i) in-kind transportation including their belongings, (ii) food allowance of Php 150 per person per day for 3 days or food parcels of equal or greater amount’ as determined by DOTr and cash compensation to cover cost of reconnecting utilities, water, and power. 231. In option two which is assisted relocation, it was explained that in this option, AHs (i) can avail of NHA socialized housing in Northville 16 in Barangay Atlu Bola Mabalacat City; (i) transportation during relocation including hauling of household belongings to interim rental facility, the relocates are transferred to the resettlement site; (iii) food allowance of Php 150 per person per day or food parcel of equal amount or greater as determined by DOTr, during relocation to the interim rental unit and during relocation to the final resettlement site; (iv) cash compensation to cover cost of reconnecting utilities such as water and power if not provided by NHA/LGU. The relocation site has been described in the discussion below was again discussed with them. (Refer to Appendix 13 for a record of these consultations.)

C. NHA Relocation Site at Northville 16 232. In Mabalacat, 8 AHs will be relocated to Northville 16. The site is owned by NHA and has sufficient area to accommodate the 8 AHs. The lots to be provided for the 8 AHs are confirmed to be vacant. The resettlement site has the following development features: (a) concrete roads and alleys; (b) underground drainage system; (c) individual metered water service connection currently operated by Mabalacat Water District; (d) individual metered electric service connection by Pampanga II Electric Corp. (PELCO II) and (e) individual septic tanks. The house will be built in a 40 sqm lot. Housing features is a one-story structure with provisions for loft. Finishing include tiled flooring, 1 toilet and bath, kitchen sink and complete electrical wiring ready to be connected upon move-in to the completed units for the AHs 233. Northville 16 is a developed community as this is an existing project of the NHA and the City of Mabalacat. There is an existing population that settled in the relocation site from the previous Northrail project of the government. This relocation site has community social infrastructure facilities that include: (a) 2 elementary school buildings; (b) a multi-purpose/ livelihood center; (c) a health/day care center, (d) a police “Kabayan” station and (e) a material recovery facility. Interview results indicated that the AH are familiar with the location of the resettlement site because they are aware that there has been previous relocation activities that were undertaken by the NHA and the LGU for another government project. Two AHs interviewed disclosed that they have visited the relocation site last December 2019 with some NHA personnel and previous developer. When asked about proximity of the resettlement site to main public services, they confirmed that the resettlement site is not more than 15 kilometers away from public and social services available in the City of Mabalacat.

234. After conversation and presentation to AHs the relocation options, they were requested to confirm if the explanation about the two options were clear to them. AHs interviewed expressed that explanation was clear and they understood the two options presented. They also made comments and suggestions about the housing units in the relocation sites particularly on the housing designs and community facilities that need to be considered.

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235. The interview recorded some comments and suggestions expressed by the AHs particularly those that visited the relocation site. They are concerned about the lack of privacy of the current units in the site as the houses are constructed as row with common walls between the housing unit. They suggested for house design revision to address the privacy concern such as considering a single detached units. On the community amenities, they suggested to have a common/shared parking areas for vehicle owners. They have observed in their visit to the site that vehicles are double parked on the streets restricting pedestrian access to the main streets. It was explained that their suggestions and comments will be discussed with NHA and their participation in addressing these issues is enjoined.

236. One AH with micro business expressed that she wants to be allocated corner lot so that her micro-business will have a vantage point. This matter will likewise be in the agenda with NHA/LGU and the developer. 237. Northville 16 is located within the city boundaries of Mabalacat. Its proximity to the main public and private services, hospital, market, place of worship, educational facilities, transportation terminal and workplace such as factories and business establishment is between 3 to 12 kilometres. Table 6-1 below summarizes the distance of the resettlement site to these community facilities and services.

Table 6-1 Summary of Public facility in the vicinity of Northville 16

No. Public Facility Distance from Northville 16

Travel Time by Public Transportation

Description

1 Hospital 7 Km 9 Minute Mabalacat District Hospital

2 Worship Place 3 Km 8 Minute Our Lady of Grace Parish, along, MacArthur Highway

3 Educational Facilities 3 Km - 12 Km 8 - 22 Minute Mabalacat Elementary School, Philippine Science High School and etc.

4 Market 3.2 Km 9 Minute Mabalacat Public Market

5 Terminal/Shuttle Bus 12 Km 22 Minute Marquee Transport Terminal

6 Factory / Industry 12 – 13 Km 21 – 31 Minute The Gift Factory, Fuji Plastic Industry, etc

Source: NHA

D. Mode of Payment

238. In the discussion, with the AHs it was also explained that the socialized housing available to the 8 AHs is payable for 30 years. It was further explained that the typical NHA house and lot costs is approximately PhP 540,653. The housing unit is non-interest bearing while lot is at 3% interest rate per annum. It was further explained that NHA estimated Php 600 per month monthly amortization for the first 5 years will be collected from the AHs, the increase will begin on the 6th year thereafter until on the 26th year with fixed monthly amortization at Php 2,582 per month. 239. One AH head who is elderly expressed concern on the length of payment of the housing structures due age qualification. Due to this, the AH suggested that one of their unmarried daughters who is a member of the household be included in the HH list as registered as co-owner so that she can assume the housing unit and its monthly payments. It was explained that based on the project policy, those that are in the same household will be

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counted as one and shall be entitled with project benefit and responsibilities pertinent to the awarded housing unit. 240. One AH inquired if the housing units can be given for free to them. It was explained that proceeds of their payments will be reused to construct housing units for Mabalacat constituents in Mabalacat city’s housing program. One AH also inquired how NHA will collect payment from them. It was explained that the local housing office will work with NHA and the beneficiaries to identify most convenient way of collecting payment from the awardees of housing. 241. The sample of fixed monthly amortization schedule in the table below was discussed with the AHs. This is NHA’s sample computation of monthly payments over 30-year payment period.

Table 6-2 Schedule of Amortization Payments

Payment Period Developed Lot (PhP) Housing Unit (PhP) Total Monthly Amortization (PhP)

Year 1 to 5 300.00 300.00 600.00 Year 6 to 10 400.00 600.00 1,000.00 Year 11 to 15 500.00 900.00 1,400.00 Year 16 to 20 600.00 1,200.00 1,800.00 Year 21 to 25 700.00 1,500.00 2,200.00 Year 26 to 30 715.25 1,866.75 2,582.00

Source: NHA

E. Establishing Mechanism and Institutional Arrangement for Assisted Relocation

242. Program mechanisms and institutional arrangements with NHA has been established to ensure that relocation assistances will be provided in a timely manner. A memorandum of Agreement (MOA) was signed by DOTr and NHA (Appendix 7). For agencies that are not part of Project Inter-Agency Committee (PIAC), DOTr drafted an omnibus MOA being reviewed by concerned parties to institute their commitments in the project (Appendix 8). At the LGU level RIMC has been agreed and MOA is between DOTr and LGU is awaiting signature of both parties. The MOAs will need to be signed by all parties before the implementation of the approved RAP.

F. Development of Socialized Housing (NHA Relocation) 243. The development of socialized housing for qualified AHs will be undertaken by NHA and its accredited developers. NHA has initiated a Community Based Initiative Approach (CBIA) to organize the 8 AHs to be relocated to Northville 16 in Mabalacat into a community association that will work with NHA and the contractor to ensure quality and timely delivery of their housing units. Figure 6-1 showed the steps37 that NHA has started until site development, housing construction and turnover of housing units.

37 Source: NHA PowerPoint Presentation for Orientation on Memorandum Circular (MC) 2018-014.

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Figure 6-1 Steps on Relocation Site Development through NHA’s CBIA

Source: NHA Memorandum Circular (MC) 2018-014

244. In the consultation discussion, steps and processing of housing construction. NHA will implement the following steps and processing and corresponding timelines for the relocation of8 AHs. It was clarified that since the housing construction will be through CBIA process, AHs will be participating in the entire process. As a group of organized housing benefciaries according to the construction schedule agreed between the NHA and the developer. AHs inqured on the actual date of housing construction start so that they can plan and prepare their household for their transfer. They recalled that DOTr aanounced that the housing construction will begin in June 2020 as announced in the second stakeholder’s consultation meeting. It was explained that there has been delays in the original schedules due to movement restrictions in Pampanga province. AHs were infomred that project field activities will start soonest restrictions is lifted. The new target schedule of housing construction will start in August 2020. Meantime transfer to temporary housing facilities can begin earlier or at the same timeline. Again the rental subsidy provision was explained. The schedule of activities in the table below was shared with the AHs.

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Table 6-3 Relocation Process and Timeline of NHA

No. Steps Description Responsible Agency

Timeline

1 Publication NHA will invite developers to submit proposals (Design and Build Scheme) through Public Notice. Interested developers will have to submit two sets of documents such as:

a) Letter of Intent/Offer b) Pre-feasibility Study c) NHA Form d) Topographic map (signed by GE) e) Certificate of water & power supply (from

utility company) f) Certificate of RROW and drainage ROW g) Zoning clearance h) BIR Zone validation i) Certificate of non-tenancy j) ECC, if applicable k) Philippine Institute of Volcanology and

Seismology (PHIVOLCS) l) Mines and Geosciences Bureau (MGB)

Clearance m) Plans & estimates n) PERT/CPM38 o) Sworn statement/Affidavit p) Endorsement from Homeowners

Association (HOA) or Community Association (CA)

q) Endorsement from RIMC

NHA Complied with

2 Evaluation of Eligibility and Preliminary Approval

Evaluation of proposal will be undertaken by Regional Community Initiative Approach Technical Working Group (RCTWG) within NHA. Proposals and developers will be evaluated on the following:

a) Eligibility – if the company is eligible and capable to undertake the project

b) Technical – if the proposal conforms with MC 2015-015 & BP 220

c) Financial Estimates with PERT CPM39 – if it conforms with the Approved Budget for the Contract (ABC) and prescribed number of days.

NHA Short list of developers selected and available

3 Presentation of Evaluated Proposals to LHB/CA

Result of evaluation will be presented to RIMC and CA by Community Support Services Department – Project Implementation Team (CSSD/PIT) head within NHA. The presentation will include information on:

a) Proposed project site;

NHA Completed

38 Project Evaluation and Review Technique (PERT) and Critical Path Method (CPM) are tools for project planning and management used to schedule, organize and coordinate tasks.

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No. Steps Description Responsible Agency

Timeline

b) Housing design; and c) Cost of house and lot package

Based on the result, the CA will select the winning proposal and issue certificate of Home Owner Association (HOA) while RIMC will endorse the selected proposal.

4 Final Evaluation by NHA

Once the CA has selected the developer/proposal, the head of NHA operations will conduct a final evaluation

NHA End of June

5 GM’s Approval The result of final evaluation will be approved by the General Manager of NHA

NHA 3 2nd July

6 Issuance of Notice of Award (NOA)

NHA will issue the NOA within 30 days upon approval of final evaluation

NHA week of July 2020

7 Contract Agreement

Execution of Contract Agreement between CA and landowner/developer

NHA 4th week of July 2020

8 MOA Signing of tripartite agreement (MOA) among CA, NHA and landowner/developer.

NHA 1st week of August 2020

9 Issuance of Letter of Guarantee (LOG)

NHA will issue the LOG to landowner/developer NHA 1st week of August 2020

10 Issuance of Notice to Proceed (NTP)

NHA will issue Notice to Proceed to landowner/developer

NHA 2nd of August 2020

11 Start of Construction

Once the NTP has been issued, the developer will start construction

Developer 3rd week of August 2020

12 CA Inspection During and after construction, CA will conduct site inspection to monitor progress and to ensure that the site is livable upon turn-over. The CA will issue certificate of inspection and acceptance once the developer has satisfied the requirements specified in the contract.

CA January 2021 for the first inspection and March 2021 prior turn over of completed units.

13 NHA Inspection NHA will monitor and inspect the project to ensure that the developer has met the technical specifications required for safe and liveable community and housing units. Upon satisfaction of the technical requirements specified in the contract, NHA will issue a certification from its Operating Unit that the completed house and lots were undertaken in accordance with approved plans and specifications.

NHA January 2021

14 Turn-over of Units

Upon issuance of CA certification and NHA certification, the units will be turned over to NHA for relocation of AHs

Developer March 2021

Source: NHA

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G. Rental Subsidy for Temporary Accommodation

245. All 8 AHs to be relocated will require rental subsidy while the housing units are being constructed. The prevailing monthly average rental rate in Mabalacat City is PhP 5,000. AHs will be provided rental allowance until the socialized housing unit has been turned over to them. The target move-in schedule of AHs is March 2021 or earlier once the housing units at Northville 16 are ready for occupancy. It was also discussed to the AHs that they may to move out from the project boundaries before the completion of their housing units in the resettlement site. In this case, they will be assisted to have temporary accommodation and will be provided rental subsidy until housing units are ready for occupancy. 246. After the consultation interviews, all AHs decided to have assisted relocation. When asked about their willingness to visit the relocation site as soon as the movement restrictions are lifted, all the 7 signified interest to visit the relocation site and work with NHA on the subsequent site visit to see the progress of their house construction.

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7. CHAPTER 7: PUBLIC CONSULTATION 247. The Public Consultation highlights (i) the principles for consultation and participation, (ii) the project stakeholders, (iii) the consultation and participation mechanisms adopted at various stages of the project cycle, (iv) the activities undertaken to disclose project information, and (v) the results of consultation with the APs. 248. At an early stage, information disclosure and meaningful consultation on the Project unfold the opportunity for APs to express their opinions, apprehension, and even objection. In so doing, the Department of Transportation (DOTr) can promptly address matters raised. The DOTr pays particular attention to the need of the disadvantaged or vulnerable groups, especially those below the poverty line, the landless, the elderly, households headed by a solo parent, women and children, indigenous peoples, and those without a legal title to land. 249. Consistent with the policies of the Japan International Cooperation Agency (JICA) and the Asian Development Bank (ADB) on stakeholder engagement that requires APs to be involved in the resettlement process, the APs ought to be fully informed, consulted, and encouraged to participate in the decision-making process with regard to the project affecting their lives. A. Principles for Consultation and Participation 250. The DOTr carries out meaningful consultation with APs throughout the project cycle. Meaningful consultation refers to the process with the following elements:

a. Begins early in the project preparation stage and is carried out on an ongoing basis throughout the project cycle;

b. Entails timely disclosure of relevant and adequate information that is understandable and readily accessible to affected people;

c. Undertaken in an atmosphere free of intimidation or coercion; d. Gender-inclusive and gender-responsive and tailored to the need of disadvantaged

and vulnerable groups; and e. Enables the incorporation of all relevant views of APs and other stakeholders into the

decision-making process concerning project design, mitigation measures, sharing of development benefits and opportunities, and implementation issues.

251. In Mabalacat, the DOTr ensures that the APs are participating throughout various stages of the preparation and updating of the Resettlement Action Plan (RAP). Consistently, the APs are kept informed on the following:

a. Information about the Project; b. Project design; c. Schedule of project implementation; d. Probable benefits and adverse impacts of the Project and mitigating measures to be

taken; e. Compensation and entitlement packages and the schedule of information disclosure

meetings on valuation; f. Process of determining replacement cost values for compensation; g. Process of and timing for compensation payment and entitlement provision; h. Resettlement process; and i. Grievance Redress Mechanism (GRM).

252. Implementing all resettlement and livelihood activities in cooperation with and assisted by the APs and the Mabalacat City Local Government Unit (LGU). Specifically, the relevant local government officials both at the city and barangay levels are informed about the Project

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through Information, Education, and Communication (IEC) meetings. The DOTr has been and will be coordinating with them for assistance in the supervision and validation activities for APs; inventory and in the near future, the payment of affected assets and other entitlements and livelihood restoration activities.

B. Project Stakeholders 253. The primary stakeholders of the Project are the following:

a. Mabalacat LGU since the APs and the project ROW alignment are within its jurisdiction;

b. Bases Conversion and Development Authority (BCDA) being the owner of the land of the Depot site;

c. Structure owners within or adjacent to the Philippine National Railways Right-of-Way (PNR ROW) and the Depot site location; and

d. Affected farmers, wage earners, and other operating businesses within the Project ROW.

254. Landowners and structure owners include the government-owned and government-controlled corporations represented by BCDA and Clark International Airport Corporation (CIAC) and private individuals. The APs refer to those who actually reside and operates businesses at the time of census and tagging. These include those who resides in the affected property (structure owners, renters, rent-free occupants, sharers, and structure caretakers). Employees of affected businesses, farmers, tenants, sharecroppers and lessees of land/farmland/agricultural land are also among the project stakeholders. 255. The other interested parties (such as those people who or organizations which do not have a direct stake at the Project but may be affected by the Project to some extent) are covered in the Resettlement Action Plan (RAP). These may include, but not limited to, Civil Society Organizations (CSOs) and Non-Government Organizations (NGOs) operating in the project area. 256. The Project defines vulnerable groups as those who are underprivileged below the national poverty line, households headed by senior citizens, female-headed households, households headed by a single parent, and households whose member is a person with disabilities (PWD). Such persons or households may be at risk of being marginalized from a regular consultation process. The Project, therefore, ensures that the consultation and participation process is inclusive of all the APs. C. Consultation and Participation Mechanisms 257. The MCRP project cycle is divided into three stages: (i) Planning and Pre-Project Implementation Stage, (ii) Project Implementation Stage, and (iii) Post-Project Implementation or Project Operation Stage. The Planning and Pre-Project Implementation Stage refers to the Preparation of the RAP, which is divided into two sub-phases, namely: Feasibility Study (FS) Phase; and Detailed Design (DD) Phase. The Project Implementation Phase involves the following: Resettlement and Land Acquisition; Livelihood Restoration Improvement Plan; Civil Works; Monitoring and Evaluation; and Information Dissemination and Disclosure. And the Post-Project Implementation entails Information Dissemination and Disclosure; and Impact Evaluation. Described in Table 7-1 below is the Information Disclosure and Stakeholders’ Consultation Communication Plan at various stages of the Project.

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Table 7-1 Information Disclosure and Stakeholders’ Consultation Communication Plan

Stage of Project Cycle

Proposed Mechanism

Timing and Frequency

Responsible Agency

For Legal APs

For ISFs

A. Planning and Pre-Project Implementation

Feasibility Study

IEC Once per LGU, prior to all field activities DOTr DOTr 1st SCM Once per LGU, prior to Census & Tagging DOTr DOTr 2nd SCM Once per LGU, after Census & Tagging DOTr DOTr

3rd SCM Once per LGU, after an approval on the Entitlement Matrix

DOTr DOTr

FGD Once per LGU, after Census and Tagging DOTr DOTr

Detailed Design

IEC Once per LGU, prior to all field activities DOTr DOTr

1st SCM Once per LGU, prior to Parcellary Survey DOTr DOTr/ NHA

2nd SCM Once per LGU, after updated Census & Tagging

DOTr DOTr/ NHA

FGD Once per LGU, between 1st and 2nd SCM DOTr DOTr

Production and distribution of print and other materials

Printed materials are prepared to inform APs of (i) where to address their grievances, (ii) schedule of public consultations, and (iii) inventory of land, etc.

a. Project Information Brochure (PIB) (Tagalog and English versions)

b. Project poster c. Flyers promoting GRM (two types) d. Help Desk tarps (4 types) e. Standard DOTr presentation material

(audio-visual production)

DOTr DOTr

Online disclosure of project information

As needed. Information disclosed through project Facebook page, Twitter and website.

DOTr DOTr/ NHA

Media release/press briefing

As needed. Press briefings are meant to disclose key project information and project highlights and act as a risk mitigation measure.

DOTr DOTr

B. Project Implementation

Resettlement and land acquisition

Community validation

Once per barangay after master list validation

DOTr/ RIMC

RIMC/ BLGU/ NHA

Consultation under CBIA process

Two consultations/tripping to present the relocation site

N/A DOTr/ NHA

Site visit Thrice per LGU between people’s planning workshop

DOTr/

LHB/ NHA

Issuance of NoT

Once for each project-affected formal property owner after the finalization of project design and an approval on Parcellary Survey

DOTr N/A

Grievance/Help Desk

The Help Desk is operated once per week on Wednesdays

DOTr DOTr

Final orientation prior to relocation

Once per LGU/Community Assembly prior to ROW clearing and compensation payment

DOTr NHA

LRIP Consultation on LRIP

Once per barangay LGU, prior to actual relocation

DOTr DOTr/ NHA

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Stage of Project Cycle

Proposed Mechanism

Timing and Frequency

Responsible Agency

For Legal APs

For ISFs

Help Desk The Help Desk is operated once per week on Wednesdays

DOTr DOTr

Civil works Consultation on civil works

Once per city DOTr DOTr

Monitoring and evaluation

SCM Once per LGU, every year from the commencement of civil works until loan closing

DOTr DOTr

Information dissemination and disclosure


As needed. Printed materials to inform APs of where to go or who to contact for their grievances and complaints

DOTr DOTr


As needed. Information disclosed through the Project`s Facebook and Twitter accounts and its website

DOTr DOTr


As needed. Press briefings are meant to disclose key project information and highlights and act as a risk mitigation measure.

DOTr DOTr

C. Post-Project Implementation

Information dissemination and disclosure


As needed. Printed materials to inform APs of where to go or who to contact for their grievances, available livelihood and employment opportunities for MCRP operation, skills required, and jobs fairs

DOTr DOTr


As needed. Information disclosed through the Project`s Facebook and Twitter accounts and its website.

DOTr DOTr/ NHA


As needed. Press briefings are meant to disclose key project information and highlights and act as a risk mitigation measure.

DOTr DOTr

Impact Evaluation

SCM Once per receiving LGU, three years after relocation

EMA DHSUD/ EMA

FGD Once per relocation site, three years after actual relocation

N/A DHSUD/ EMA

Source: JICA Design Team and ADB

D. Consultation/Participation Mechanism Undertaken During Feasibility Study Phase 258. The DOTr conducted Information, Education, and Communication (IEC) Meeting and series of Stakeholder Consultation Meetings (SCMs). The IEC meetings and SCMs serve as venue and platform for consultation and participation of key stakeholders and APs in Mabalacat for both phases of the FS RAP and DD RAP. 259. Information, Education and Communication Meetings. The IEC Meeting of the DOTr with the Mabalacat LGU, the following information were disclosed: (i) Project’s initial alignment and engineering design; (ii) affected barangays; (iii) initial schedule of activities for the conduct of FS RAP; and; (iv) the economic and social benefits of the Project in relation to the local communities and the general public; (v) seeking the of support of Mabalacat LGU and their comments and suggestions to the Project and its FS RAP activities.

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260. Stakeholder Consultation Meetings. The First SCM served as a venue to gather inputs from APs in preparation for the RAP and to explain about RAP activities to the community thereby minimizing resistance during survey activities. The Second SCM informed the APs that their rights are protected under the Philippine laws and the international social safeguards policies. It served as a venue for learning about the possible project impacts on the APs as well as identifying the policy gaps and unusual cases relevant to the Project that may have an impact on them. The SES results and inputs during the first and second SCMs were considered in preparing the Entitlement Matrix (EM). In the Third SCM, the APs were informed about the Entitlement Matrix. The participants to the SCMs and key information disclosed are described in Table 7-2 below:

Table 7-2 SCMs, Stakeholders and Information Disclosed during FS RAP

Consultation and Participation Mechanism

Descriptions

First SCM Stakeholders invited: LGU representatives; those identified as potentially affected business owners, families, and persons

Information disclosed: Project and the FS RAP activities to be conducted such as Census and Tagging, Socio-Economic Survey (SES), SCM, and Focus Group Discussion (FGD)

Second SCM Stakeholders invited: LGU representatives; potentially affected APs were accurately identified and the Mabalacat depot site has been finalized

Information disclosed: APs rights are protected under the Philippine laws and the international social safeguards policies.

Third SCM Stakeholders invited: LGU representatives; potentially affected APs were accurately identified and the Mabalacat depot site has been finalized

Information disclosed: Details of the EM provisions were explained to the APs during the third SCM

Source: DOTr and ADB

261. In all meetings held by DOTr, the Project was able to draw out a total number of 1,120 participants with gender disaggregation of 452 males and 668 females who have attended at the IEC, and SCMs on various dates. The dates and number of participants are described in Table 7-3 below. E. Consultation and Participation Mechanism Undertaken During Detailed Design (DD)

Phase 262. The DOTr employed similar information disclosure measures and consultation mechanisms: Information, Education, and Communication (IEC) Meeting and two rounds of Stakeholder Consultation Meetings (SCMs) in DD Phase. The Training Needs Assessment (TNA) was administered in selected areas of the Project to obtain information for the Livelihood Restoration and Improvement Program (LRIP). Also, a Focus Group Discussion (FGD) was conducted with wage-based APs and vulnerable groups. 263. To officially inform that the Project has started with the DD Phase, the DOTr conducted two IEC Meetings with Mabalacat LGU prior to the conduct of the SCMs and the RAP survey activities. Topics discussed during the IEC meetings were the DOTr Project Updates and the DD RAP Activities to be undertaken by the Project. On both occasions, the DOTr was able to engage a total number of 60 participants with gender disaggregation of 40 males and 20 females. The schedules and participants of these IEC meetings in Mabalacat are summarized in Table 7-3 below.

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Table 7-3 Summary of Information, Education, and Communication Meetings

in Mabalacat during the DD RAP Phase

Date Location Participating Stakeholders Number of Participants

Male Female Total

21 September 2018 Mabalacat City Hall

DOTr, JDT, ADB, PNR, Ecosys, Mabalacat LGU

22 10 32

13 June 2019 Mabalacat City Hall

DOTr, JDT, ADB, PNR, Ecosys, Mabalacat LGU

18 10 28

Total No. of Participants 40 20 60


264. The summary of the issues and concerns raised during the IEC meetings are found in Table 7-4 below.

Table 7-4 Issues and Concerns Raised in the IEC Meetings during DD RAP Phase

Issues and Concerns Raised by Mabalacat LGU Responses by the DOTr

• Suggested that the Project should use viaducts to minimize adverse impacts of the Project.

• Explained that the alignment in Mabalacat would consist of elevated and underground structures.

• Asked if Barangay Tabun is affected by the Project; and requested that information related to the Project shall be relayed to Barangay Tabun in advance.

• Stated that Barangay Tabun would be affected by the Phase 2 of the Project.

• Asked which site would be used for the Project’s depot;

• Asked when the depot location would be finalized;

• Expressed concerns on partially-affected properties/structures; and

• Expressed concerns on the loss of access to and from the areas surrounding the depot

• Explained that the focus would be on Depot Option 2 located at the “Drop Zone” in Barangay Dolores;

• Explained that partially-affected structures would be compensated;

• Explained that the whole property/structure might be acquired if it the structural integrity of the structure will be compromised;

• Reiterated that the RAP Entitlement Matrix developed for the Project would provide for continued access.

• Suggested that there should be coordination with other agencies, so that other projects in the area can be integrated with the MCRP; and reiterated that all activities should be coordinated with the Office of the Mayor.

• Comments and suggestions noted.

• Suggested that a census should be conducted immediately once the final alignment is available.

• Suggestion noted.


a. Stakeholder Consultation Meetings (SCMs) during DD RAP. For the first round,

the DOTr conducted four SCMs drawing out a total of 120 participants with gender disaggregation of 77 males and 43 females. The first round of SCMs summary of the schedules is shown in Table 7-5 below.

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Table 7-5 Summary of the First Round of Stakeholder Consultation Meetings in Mabalacat

Date and Time

Location Participating Stakeholders

Number of Participants

Male Female Total

27 December 2018, 8:00 AM

Barangay San Joaquin DOTr, JDT, ADB, LGU, Ecosys, Clark International Airport Corporation (CIAC) APs (business)

9 4 13

28 December 2018, 2:00 PM

Dolores Covered Court, Barangay Dolores

DOTr, JDT, ADB, LGU, Ecosys, APs

53 30 83

28 February 2019, 9:00 AM

Barangay Lakandula Hall, Barangay Lakandula

DOTr, JDT, ADB, LGU, Ecosys, APs 9 5 14

09 July 2019 11:30 AM

Barangay San Joaquin DOTr, JDT, ADB, LGU, Ecosys, CIAC APs (business)

6 4 10



265. Information disclosed to the APs in the first round SCM were as follows:

b. Updates on the Project: announcement of the new Project name, the North – South Commuter Railway Extension Project; final areas to be traversed by the Project ROW alignment; final station location; final width of the Project ROW; and latest project timeline.

c. DD RAP Activities to be conducted on the ground and in the properties of APs: Conduct of Parcellary and As-Built Surveys; Census and Tagging; Socio-Economic Survey (SES); Replacement Cost Study; Training needs assessment for preparing the LRIP, including the relocation plans, and the cut-off date for non-legal owners/ISFs

d. Application of the social safeguards policy and guidelines of ADB and JICA e. Standards for property valuation based on RA 10752; f. Establishment of the DOTr Project Help Desk in Mabalacat City. g. Open Forum facilitated after the presentation for the APs to express their views,

sentiments and opinions in which the DOTr with the RAP consultant responded to them.

266. The APs were interested to know about the different project components, possible impacts on the farmers related to loss of access; on compensation and timing; issues on survey related activities such as census and tagging; and other related issues with BCDA and CIAC, among others. The DOTr explained the applicable laws and safeguards policies being followed by the RAP; the need for proper communication and coordination between and among stakeholders and agencies involved. The summary of the main concerns and issues raised during the first round SCMs is provided in Table 7-6 below.

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Table 7-6 Issues and Concerns Raised During the First Round of Stakeholder Consultation Meetings in Mabalacat

Queries/Concerns/Suggestions/ Comments

Responses to Queries

Project Components and Impacts

• Expressed concerns about a project being handled by the Estate Preservation and Recovery Department (EPRD) of the Clark Development Corporation (CDC) which will affect the land within the boundaries of the proposed depot.

• The concerns were noted, and the DOTr will coordinate with the CDC.

• The depot will be fenced.

• Expressed concerns about the possible dissolution of an existing cooperative

• The Project is aiming to improve the livelihood of affected members of the cooperative.

• Expressed concerns about the possibility that unaffected farmers will be prevented from conducting farming-related activities (such as the spraying of mangoes) in the future because of their effects on the depot.

• The Department of Environment and Natural Resources (DENR), not the DOTr, has the jurisdiction to stop farming-related activities that involve hazardous wastes and fumes.

• Inquired about the approved “Code of Policy” of the Project.

• The “Code of Policy” is embedded in the Project`s RAP

• Inquired about the role of Mabalacat LGU for the Project.

• The LGU will play a role during the implementation stage of the Project. There has been coordination and meetings with the City LGU and Barangay LGUs.

• Suggested that the LIAC shall be established already through an executive order by the LGU.

• The LIAC will be established during the next stages of the Project.

• Explained that a national-level Project Inter-Agency Committee (PIAC) would be also established for the Project.

• Expressed concerns about the possible loss of access to and from the surrounding unaffected areas.

• The provision of access will be ensured, as required by international guidelines. However, access might be affected by other projects in the area.

• Inquired about the total area of the depot; and

• Inquired about the components of the depot.

• More details on the depot will be available in the next meetings.

• The depot is where trains are parked, where maintenance works are conducted, and where offices of the railway line are housed.

• Inquired about the timeline of the Project. • The target start of construction is on August 2019, and the target start of railway operation is in 2022.

• Suggested that the government shall use the whole Drop Zone area for the depot instead, so that the remaining unaffected farmers would not have to worry about the possible loss of access to and from their area.

• Suggestion noted.

• Inquired about farmers who are unaffected by the Project’s alignment but will be unable to undertake their farming activities once the Project is implemented.

• Assured APs that the no worse-off policy of JICA and ADB would safeguard the APs.

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Entitlements, Compensation, Valuation, and Documentation

• Some of the materials used for affected greenhouses were purchased directly from Korea. There are no local suppliers/importers of such materials in the Philippines. Staff will provide appraisers with the specification of the imported materials, so that APs can research the prices of the materials on Internet. At least, three months is needed for preparation before construction activities commence.

• Concerns noted.

• Inquired about compensation for affected land occupied by non-landowners.

• Affected non-landowners will not be compensated for the land they are occupying but may be eligible for relocation.

• Noted that the previous settlements on the land owned by the CDC or the Bases Conversion and Development Authority (BCDA) were PhP 5.00 per hectare.

• Will the values of affected crops and trees strictly follow the schedule of values specified by the Department of Agriculture (DA)? The DA’s schedule of values of crops and trees has not been updated since 2008.

• The DA’s schedule of values of crops and trees will be the reference of the Independent Property Appraiser (IPA) when the appraisal of affected crops and trees is conducted

• An updated valuation of crops and trees can be requested to the DA.

• Suggested that the LGU to be involved in the assessment/valuation of affected properties and the crafting of the guidelines on the relocation of affected families.

• The Project is governed by Republic Act (R.A.) No. 10752, which states that the valuation of properties affected by national government projects will be undertaken by an Independent Property Appraiser (IPA) or Government Financial Institution (GFI).

• Will the affected farmers be compensated before the Project is implemented?

• There will be no clearing unless APs receive their compensation/entitlements.

Survey and Tagging

• There are untagged affected structures in the northwest portion of the depot site.

• Some affected structures were not affected during the FS stage of the Project, and the newly-affected structures will be tagged during this stage (DD) of the Project.

Other Issues and Concerns

• Previous commitments of the BCDA and CIAC did not happen such as provision of access roads.

• The Project needs to comply with safeguards policies of JICA and ADB who are closely monitoring the Project.

• Which office can be contacted by APs for project-related queries/concerns?

• The DOTr is the lead agency implementing the Project, and funds for the compensation and entitlements will come from the DOTr.

• Will the BCDA or CDC play a role in the negotiation regarding the Project?

• There will be coordination with the BCDA and CDC since they are the owners of the affected land.

Source: JICA Design Team 267. Second Round of Stakeholder’s Consultation Meeting. DOTr held a pre-Stakeholder Consultation Meeting (SCM) on 22 January 2020 in Mabalacat City Hall. A total of 44 participants with gender disaggregation of 24 males and 20 females. In attendance were the representatives of the Mabalacat LGU, SAMANAKA farmers’ cooperative, and one horticulture micro-business, a high value vegetable and herb grower/farmer leasing with CIAC and other APs validated by DOTr. The SAMANAKA farmers were encouraged to mobilize their

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members to attend the second round SCM scheduled on 24 January 2020. This was to ensure the participation and attendance of all AP farmers. Also disclosed was schedule of the tree ownership validation activity to be conducted after the meeting. Alongside the validation, the DOTr Civil Works Team would simultaneously conduct a walk through in the area and would do ground investigations of the free and clear land. The attendance summary s found in Table 7-7 below.

Table 7-7 Attendance at the Second Pre-Stakeholder Consultation Meeting in Mabalacat City

Date and Time Location Participating Stakeholders Male Female Total

22 Jan. 2020 Sapphire Hall, Mabalacat City Hall

SAMANAKA, LGU, DOTr, UPAO, Clark Development Corporation, Clark International Airport Corporation

24 20 44

Source: DOTr, GCR

268. The SAMANAKA prepared in anticipation the documents attesting their legitimacy to farm in the affected land that the DOTr and BCDA might require from them. The farmers have been cultivating fruit bearing trees such as mangoes as their main source of income. They expressed to DOTr their willingness to participate in future project activities. 269. The Second SCM for the non-landowners in Mabalacat City was held on 24 January 2020. A total of 58 participants with 34 males and 24 females in attendance. The agenda of the Second SCM were as follows: Presentation on the project updates; Construction schedule; Ongoing RAP activities; Update on relocation site; Discussion of project RAP policies, entitlements and other assistance for the information of the APs. In view of the relocation process, highlights on the development features of Northville 16 in Mabalacat, including options for the relocation of APs were included in the discussion. Below is a summary of the attendance to the Second SCM as shown in Table 7-8. Table 7-8 Attendance at the Second Stakeholder Consultation Meetings in Mabalacat

City

Date and Time Location Participating Stakeholders


Male Female Total

24 January 2020, 8:30 AM

Jade Hall, Mabalacat City Hall, Mabalacat City

DOTr, NHA, PNR, Mabalacat LGU, JDT, ADB, SAMANAKA Farmers, Cooperative, horticulture micro-business, other APs

34 24 58

Source: DOTr

270. On Project updates, DOTr disclosed that the NSCR-Ex Project is part of the Build, Build, Build Projects of the National Government. And described project as a 146km railway system spanning municipalities and cities in Regions 3, NCR and 4-A and following the alignment of PNR-ROW. DOTr informed about the status of resettlement and livelihood restoration activities in Mabalacat. 271. Updates on RAP Activities disclosed to the APs were as follows –

• Accomplished activities: DOTr has already done the following: (i) Set-up Help Desk at Mabalacat City Hall as of 3 July 2019; (ii) Validation of affected non-land-owner (NLO) APs who are entitled for socialized housing; (iii) LGU endorsement of the qualified families/ beneficiaries as of 29 October 2019; and (iv) Endorsement of the masterlist to NHA for “pre-qualification” process as of 4 November 2019;

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• Current undertakings are as follows: (i) Continuous operation of Help Desk; (ii) Creation of the RAP Implementation and Management Committee (RIMC) and ongoing finalization of MOA; and (iii) Consultations with PAPs on livelihood restoration activities, relocation, and resettlement planning.

• Planned activities: (i) Tripping/site visit at Northville 16 Resettlement Site by the APs; (ii) Construction of relocation houses by NHA; (iii) Processing and disbursements of payment/ compensation for crops and trees; (iv) Relocation; and, (v) Implementation of livelihood restoration activities.

272. Likewise, the following were discussed: (i) housing options such as self-relocation and assisted resettlement; (ii) requirements and process of compensation for affected structures, crops, and trees; (iii) livelihood restoration and improvement program; (iv) upcoming schedule for tree validation and valuation; (v) schedule and location of the Mabalacat Help Desk; and, (vi) contact information of DOTr Hotlines. 273. NHA presented the drawing of the model housing units for the relocation and resettlement of eligible APs to be constructed in Northville 16 Resettlement Site as proposed. In line with this, NHA confirmed that they will pre-qualify the APs based on the masterlist submitted to them by the LGU and will organize site visits with the APs to Northville 16 Resettlement Site located in Atlu Bola, Mabalacat City. 274. DOTR assured that APs will not be displaced until the RAP has been approved and that the APs are paid full compensation. In terms of compensation, affected structures will be paid at replacement cost. Trees and crops will be compensated based on the Department of Agriculture Region 3, Valuation Matrix of the Philippine National Standards for Mangoes and Fruit Trees. 275. In line with the Livelihood Restoration Improvement Program (LRIP), the APs were informed that the target groups are the wage earners, micro-business owner and their employees, agriculture and land-based income sources who will be affected by the Project. Initial interventions or activities to assist the APs were identified such as the provision of vocational and enterprise training; and, cooperatives formation. A Training Needs Assessment (TNA) has been conducted to design appropriate skills and livelihood interventions by the Project. 276. The recurring issues and concerns raised by the APs pertained to the project components and impacts, entitlements, compensation, valuation, and documentation. The collated issues and concerns during the Second SCM are presented in Table 7-9 below.

Table 7-9 Issues and Concerns Raised During the Second Stakeholder Consultation Meeting (SCM) in Mabalacat



Project Components and Impacts

In the original alignment, the road leads to the expressway. Now with the new realignment, a residential structure will be affected.

It was explained that at the DD stage, the final alignment has changed that constituted to changes in the land area requirement of the project.

Requested for an access road provision for the farmers.

Access roads will be provided but the final plan to fence of the depot is still a work in progress. The existing road/trail will remain open. Should there be changes in the design, a meeting will be called upon in order to explain the changes, and corresponding measures to mitigate loss of access will be provided.

Entitlements, Compensation, Valuation, and Documentation

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Requested to compensate for the remaining trees outside the ROW.

All privately owned trees to be cleared due to the project are subject to compensation to the confirmed owners. A survey was undertaken to identify and tag all affected trees. Ownership of the affected trees is confirmed through a validation exercise together with affected owners and local authorities.

There is a gap in tree compensation between BCDA and MCRP Project.

The BCDA is a national government agency which follows national regulations provided under R.A. 10752. The MCRP Project funded by ADB and JICA follows the project policies based on relevant national laws, including R.A. 10752, as well as ADB and JICA safeguard policies. Where there are differences between the policies, agreed gap filling measures that provide the more beneficial outcome for affected persons is applied. The MCRP policy ensures compensation at replacement cost as well as other forms of additional entitlements not set out in national laws.

SAMANAKA farmers proposed hollow block making to become their alternative source of livelihood since the project area has a lot of sand and cement resources as raw materials. Hollow blocks can be used for the Project’s construction works.

DOTr will give a priority to businesses and livelihood programs and arrange a meeting with Mabalacat LGU to plan an alternative livelihood for the project.

SAMANAKA farmers requested for a discussion to understand more about the LRIP framework and how the APs can avail of the benefits.

Skills training in carpentry, masonry, and canteen operations will be provided as part of the LRIP.

DOTR civil works team ask the farmers’ permission to allow surveys such as Topographic Survey, vegetation clearance and Magnetometer Survey to study UXO in the area.

Farmers committed to give permission in their mango farm premises

DOTr requested for farmers to become field guides in the conduct of the ground surveys.

The City Agriculture Office (CAO) has provided the names of the 10 farmers who will be present in the tree validation scheduled on 29 January 2020

Source: DOTr-GCR

F. Focus Group Discussions (FGDs) with Vulnerable Groups.

277. The FGD sessions were conducted to determine the major concerns of the vulnerable sector on the resettlement program of the MCRP. The participants indicated high level of awareness about the Project. They articulated their insights and points of view on how the government could make the resettlement program be more responsive to their needs. Eight participants were gathered in two separate FGD sessions with two males and 6 females as shown in Table 7-10 below. Table 7-10 Summary of Focus Group Discussion with Vulnerable Groups in Mabalacat

Date Location Number of Participants

Male Female Total

22 February 2019 Dolores Barangay Hall, Mabalacat City

2 4 6

28 February 2019 Lakandula Barangay Hall, Mabalacat City

0 2 2


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278. Key findings from the FGDs revealed that the vulnerable groups’ primary focus is on project’s assistance to restore immediately their sources of income. In particular, the Yakult vendor and sari-sari store owner expressed the need for government assistance in finding rentable spaces for immediate re-establishment of existing income generation and livelihood activities.40 The summary of the FGD results is described in Table 7-11 below for details.

Table 7-11 Result of Focus Group Discussion with Vulnerable Groups in Mabalacat

FGD Guide Questions Responses from APs

• What do you know about the MCRP Project?

• A railway that will reach their present location will be constructed. • Their farming area will be affected. • Their house and sari-sari store will be affected.

• What do you know about the resettlement program of the government?

• APs know that affected families will be relocated and compensated as well.

• In a scale of 1 to 5, APs answered “5” as they fully know what will happen by the Project.

• What are the things you like and do not like about the resettlement program? Why?

• In Lakandula, APs shared that they were previously given houses from the relocation site but did not accept them because there was no means of livelihood available in the area and the relocation was situated far from the city.

• APs shared that their livelihood would be greatly affected because at present they have loyal customers and are not commuting going to the market, so if they are relocated, they need to find new customers and allocate budgets for their transportation.

• Considering your responses about the resettlement program, how do you think the government can make the resettlement program be more responsive to your needs?

• During the meeting, APs said that they were not against the Project of the government, all they asked was proper relocation and rightful compensation.

• APs suggested being relocated to a farm within Mabalacat, so that they can plant their vegetables and raise their livestock. The participant reiterated that they were not asking for a huge space but were just requesting for a space enough for themselves and their livestock.

• If the relocation site is near, APs can manage the transfer, but if not they will need transfer assistance.

• APs can recommend their children or grandchildren to work for the construction of the Project.

• In Lakandula, an affected vendor/micro-business owner (who is also vulnerable AP) asked if she can just receive compensation and put the money in the bank and then rent a house in Lakandula until she is able to save enough money to buy a new house.41

• APs asked if they can still stay in and utilize the remaining property that is not affected by the Project.

• The affected vendor requested the government assistance in the negotiation of renting prices or a potential house and lot in the area.


G. Focus Group Discussion (FGD) with the Business Sector 279. The FGD session for the business owners was conducted to determine their concerns regarding the Project; their expectation of employment and livelihood upon relocation; be

40 The businesses of the yakult vendor and sari-sari store operator are based in their residential houses. Both will be physically displaced and eligible for resettlement assistance to the resettlement site. 41 Based on validated information, DOTr confirms the yakult vendor household has confirmed their intention to relocate to the project resettlement site.

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informed about roles of the government and the private establishments in view of the employment and livelihood support; and their awareness and responses in forming a cooperative. A total of 21 APs with gender disaggregation of 10 males and 11 females attended in the three FGD sessions. The dates of FGD activities and number of participants are shown in Table 7-12 below.

Table 7-12 Summary of Focus Group Discussion with the Business Sector in Mabalacat

Date Location


Male Femal

e Total

18 January 2019 Clark International Airport, Barangay Dolores, Mabalacat City

5 6 11

28 February 2019 Lakandula Barangay Hall, Mabalacat City 0 2 2

04 February 2020 Clark International Airport, Mabalacat City 5 1 6

05 February 2020 Clark International Airport, Mabalacat City 0 2 2



280. This FGD was intended for the affected farmers and other types of micro-businesses that operate in the project area to articulate their views and insights. FGD participants expressed their concerns on alternative livelihood and employment for their household members and farm workers. Several business owners proposed alternative livelihood projects and requested the assistance from the government for them to be able to continue farming activities in the remaining farm lot not affected by the Project. Findings from the FGD sessions showed the APs understood the importance of the Project. They are expecting to receive timely compensation and assistance to help them immediately recover from loses due to business closure. The summary of the FGD results are summarized in Table 7-13 below. Table 7-13 Result of Focus Group Discussion with the Business Sector in Mabalacat


• Major concerns regarding the Project

• Participants will support the Project if affected people are not left behind.

• Participants requested for the affected farmers in the proposed depot site to change their means of livelihood into others.

• Participants inquired about the continuity of the farming cooperative in the area since large parcel of land will be acquired by the Project.

• Some participants were previously offered housing units at a relocation site but rejected it because of the lack of livelihood opportunities in the area.

• Participants inquired about the provision of affordable housing units if APs are not eligible for socialized housing programs.

• Participants inquired about possible retention of the parcel not covered by the ROW.

• Participants inquired about the procedure for the existing service contracts once the implementation takes place.

• Participants inquired timely payment of compensation.

• Expectation of employment and livelihood upon relocation

• Participants requested for assistance in strengthening the farming industry/farming activities.

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• Children of farmers shall be absorbed as regular employees in the vicinity (i.e. ICT institutions inside Clark area).

• Livelihood will be greatly affected because relocation poses the need to find new customers, and APs need to commute to the market place.

• Government’s roles during the preparation and implementation of employment and livelihood support

• The government shall assist in setting up micro-businesses like stores, eateries, and electronic repair shops.

• It shall ensure the proximity of resettlement areas to arterial roads.

• It shall provide viable means of income generation.

• Private establishments’ roles during the preparation and implementation of the employment and livelihood support

• They shall serve as foundations to donate seedlings feasible for farming.

• Private companies shall provide employment or small businesses to children of APs.

• Awareness and responses in forming a cooperative

• Some respondents are members of the SAMANAKA cooperative. The respondents wish to empower their cooperative to venture into other viable means of livelihood.

• Some respondents have no knowledge and experience on being members of cooperatives. However, they are willing to join one for livelihood and employment opportunities.


H. Summary of Finding 281. Consultations with farmers-micro business owners and the vulnerable groups revealed that APs-participants have high level of awareness and understanding of the importance of the Project. They registered very important insights, comments and suggestions primarily on the restoration of their livelihood and business that are at par to their current undertaking, particularly in farming and vending activities in their current locations. Specific request was noted from a micro-business owner for assistance to continue farming in the remaining land not affected by the Project. Furthermore, they are aware of the difficulty in recovering income loss; thus, they expressed to be compensated in a timely manner and be provided with assistance that will help them immediately recover from project impact. 282. Specific to the vulnerable groups, the most important request was primarily focused on project assistance for the immediate reestablishment of existing vending and sari-sari store operations. And for them to avail of financial assistance for a rentable space for them to set-up and operate near their current location. I. Consultation and Participation Mechanism Undertaken During Project

Implementation Phase 283. The following activities are being carried out for Resettlement, LRIP, Civil Works, and Monitoring and Evaluation as part of the project implementation and as measures to guarantee that information disclosure would be sufficient. J. Community Validation 284. This is a process wherein the list of affected non-land owners/ISFs is posted in each barangay for transparency. This allows APs to dispute the names of affected ISFs on the list

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or make corrections in the information such as misspelling; and, to enable the DOTr clarify why a family was qualified or disqualified for relocation. This welcomes those who will dispute the names on the list, to present evidence, and act as a witness to support the claim. The said evidence and witness will be presented before the Local Housing Board (LHB)/RAP Implementation Management Committee (RIMC), Barangay LGU (BLGU), and the DOTr representative who will then decide on the dispute. The decision by the LHB/RIMC is final and executory, unless a complainant expresses in writing to elevate a dispute to the Project Inter-Agency Committee (PIAC). 285. Community validation will be conducted in each barangay, as part of the final phase of master list validation. Representatives from the DOTr, LHB/RIMC, NHA, and BLGU are encouraged to attend. The list of those qualified for relocation will be disclosed. Other compensation and entitlements of each family will not be disclosed publicly to avoid comparison among neighbors and protect the privacy of each AH. K. Consultations Under the CBIA Process 286. Families who are qualified to avail of social housing programs under the NHA will undergo one round of consultation because in-city relocation in Northville 16 Resettlement Site located in Atlu Bola, Mabalacat City has been decided as the relocation site, based on a proposal submitted by NHA and developers and the CBIA approach. The affected household (AH) will decide to have new units to be constructed instead of refurbishing units previously owned by for awardees.

L. Site Visit to the Relocation Site 287. Families who are qualified for relocation or their elected representative will be invited to participate in a site visit to Northville 16, the NHA proposed relocation site. Subsequent site visits to the chosen site will be conducted once the construction commences and until the relocation site is ready.

M. Issuance of Notice of Compensation 288. Since there are no private land owners in Mabalacat, DOTr will issue a Notice of Compensation (NoC) to structure and tree/ crop owners to inform them officially that their property is affected.

N. Consultation at Help Desk 289. Aside from providing a venue to raise and discuss grievances, the Help Desk will also serve as a permanent venue for APs to get information and be updated on the status of resettlement and project implementation in general. The DOTr also has a central hotline to receive concerns of APs, as explained in detail in Chapter 9.

O. Final Orientation Prior to Relocation 290. The DOTr, NHA, and the LHB/RIMC will conduct the final orientation to 8 AHs prior to relocation to discuss the following:

• Timeline/schedule of relocation; • Documents to be prepared/secured, (e.g., IDs, school records, health records) • Policies in the relocation site; • Payment of monthly amortization for socialized housings or monthly rents for public

rental facilities; and

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• Procedure for compensation and other eligibilities.

P. Consultation for Livelihood Restoration and Improvement Program 291. LRIP During Transition Period. The DOTr will continuously conduct consultations on the LRIP to be implemented while APs are relocated to temporary accommodations and await the completion of construction for the final relocation site or final relocation.

292. LRIP at the Final Relocation Site. The DOTr will conduct consultations on the LRIP per relocation to monitor the status of its implementation and determine if there are APs who need assistance in finding jobs or re-starting/starting a business that could be helped by the Project. The consultations will also serve as a venue to know the issues and concerns encountered by APs when rehabilitating themselves in the relocation site. Q. Consultation for Civil Works 293. The DOTr will conduct consultations with regard to concerns of APs about civil works in Mabalacat. R. Stakeholder Consultation Meetings for Monitoring and Evaluation 294. Stakeholder consultations in Mabalacat will be conducted every year from the commencement of civil works to monitor any RAP issues that can arise during the implementation stage. S. Consultation and Participation Mechanism for Post-Project Implementation Stage 295. Stakeholder Consultation. Stakeholder consultations in Mabalacat will be conducted three years after relocation to assess the impact of the relocation site to the host community. 296. Focus Group Discussion. Focus group discussions with APs will be conducted at the relocation site three years after relocation to assess the impact of displacement on APs.

297. Information Disclosure. At each stage of the Project, the DOTr will disclose information concerning the Project through the distribution of materials, online disclosure of project information, and media release/press briefing. 298. Production and Distribution of Printed Material and Other Materials. The DOTr prepared a Public Information Brochures (PIB) in English and Tagalog, leaflets, GRM flyers, and handout materials to inform APs about the LRIP and resettlement activities as well as any other materials when necessary. The samples of project posters, PIB, and GRM flyers are attached in Appendix 12. The materials prepared by the DOTr both in English and Tagalog and distributed to APs are summarized in Table 7-14.

Table 7-14 Materials Distributed to APs Phase Materials being Distributed

Detailed Design • Project Information Brochure (PIB) • Project poster • Flyers promoting GRM (two types) • Help Desk tarps (4 types) • Standard DOTr presentation material (audio-visual production) • Available livelihood and employment opportunities (i.e. train operation),

skills required, and schedule of skills training/hiring in Mabalacat • Information on the process of resettlement.

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Phase Materials being Distributed

Project Implementation

• Available livelihood and employment opportunities (i.e. train operation), skills required, and schedule of skills training/hiring in Mabalacat.

• GRM flyers designed to inform APs of where to go or who to contact for their grievances and complaints.

Post-Project Implementation

• Available livelihood and employment opportunities (i.e. train operation), skills required, and schedule of skills training/hiring in Mabalacat.

• GRM flyers designed to inform APs of where to go or who to contact for their grievances and complaints.


T. Online Disclosure of Project Information 299. The DOTr is using the Project’s public relations platforms to post RAP-related information and target a wide range of audience by utilizing social media. Photographs, videos, and stories regarding the Project are posted on the Project’s Facebook and Twitter accounts set up in February 2019. The social media platforms serve as a venue that allows information dissemination and interactive engagement with the audience. The details of the Project’s social media accounts are shown in Table 7-16.

Table 7-15 Social Media Accounts for the Project

Media Name Account Name Logo

Facebook North-South Commuter Railway Project

Twitter Overheard sa Biyahe


U. Media Release/Press Briefing 300. From time to time, the DOTr produces and distributes media releases and press briefings every project milestone such as the project launch. DOTr plans to make another one during the commencement of civil works to inform a wide range of audience of the news. V. Disclosure of RAP Documents

301. The following documents have been disclosed on JICA and ADB websites upon completion of the FS. As described in Table 7-17 below, the following documents are available at JICA and ADB websites through the links provided.

https://www.facebook.com/northsouthcommuterrailway/

https://twitter.com/osbiyahe

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Table 7-16 List of Disclosed Documents Upon Completion of FS

Agency Disclosed Document Disclosed

Date URL

JICA • Draft RAP (Main

Volume) 11 October 2018

https://www.jica.go.jp/english/our_work/social_environmental/id/asia/southeast/philippines/c8h0vm0000bk9u1j-att/c8h0vm0000dhvs13.pdf

ADB

• Draft RAP (Main Volume)

October 2018 https://www.adb.org/projects/documents/phi-52083-001-rp-0

• Combined Resettlement and Indigenous Peoples Planning Frameworks

October 2018 https://www.adb.org/projects/documents/phi-52083-001-remdf

302. The Final DED RAP and other required documents on resettlement planning, assessment and monitoring will be also disclosed starting April 2020. Future documents for disclosure are listed in Table 7-18 below.

Table 7-17 Documents to be Disclosed Agency Responsible

for Disclosure Documents to be Disclosed

DOTr

• Final DED RAP endorsed by the DOTr and concurred by JICA and ADB; • Corrective action plans prepared during project implementation (if any); • Any resettlement-related due diligence reports; and • RAP implementation Monitoring Reports.

JICA • Final DED RAP endorsed by the DOTr and concurred by JICA and ADB

and Monitoring Reports.

ADB • Final DED RAP endorsed by the DOTr and concurred by JICA and ADB

and Monitoring Reports.








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8. CHAPTER 8: LIVELIHOOD RESTORATION AND IMPROVEMENT PLAN 303. This chapter outlines the various measures that the DOTr will carry out in order to mitigate the impacts on income and livelihood of the 8 AHs to be relocated, 25 affected micro business owners (21 micro-business farmers, 1 lessee farmer (horticulture micro-business), 1 sari-sari store owner and 2 vendors – Yakult, and fruits and vegetables) and 23 farm employees/wage earners. This chapter also discusses measures that the DOTr in cooperation with Mabalacat LGU and appropriate national government agencies’ collaboration efforts to ensure that a comprehensive livelihood restoration and support measures are suitable to the requirements of AHs and APs. A. Objectives of the LRIP

304. The objective of this LRIP is to assist APs/AHs whose livelihoods are adversely affected directly by the project to restore, or improve, their income generating capacity to at least pre-project levels. Households experiencing loss of productive resources or loss of employment as a result of the project-related displacement may face challenges in restoring their livelihood, income generating capacity and living standards. Furthermore, for vulnerable households, there is an opportunity to contribute to improving living standards through the provision of targeted support within the project. It is important to note that this LRIP will only be applicable to people of the working age 18 years and over. 305. The livelihoods of the APs are expected to be affected in various ways. Some APs are expected to be able to restore their livelihoods after a temporary period of disruption or alternatively be able to re-establish their livelihoods utilizing compensation and assistance provided in the entitlement matrix with minimal assistance under the LRIP. The wage-based APs who are expected to retain their employment or business operators, who are expected to be able to restore their business with the compensation given. 306. For vulnerable APs including the poor, household headed elderly, solo parent and female-headed households and Persons with Disabilities (PWD), can be assisted through the LRIP to provide livelihood opportunities for them. B. Categories of APs with Affected Livelihoods and Types of Livelihood Assistance

307. In Mabalacat, APs whose livelihoods will be affected are those in the farming and other types of micro-businesses, and employees who are wage earners. Specifically, these are the (a) 21 farmers/micro-business owners (fruit tree/timber farmers, livestock, game fowls etc); (b) 1 lessee micro-business owner growing of high value crops- vegetable and herbs; (c) 3 micro-business (sari-sari store and Yakult vending and fruits and vegetables); and 23 workers on affected farms.

Table 8-1 Number of affected livelihoods

Types of Livelihood Affected Number of AHs

Farmers (as micro-business) 22

Wage-based employment (farming) 23

Vendors (as micro-business) 3

308. Specifically of the eight relocating households, impacts on livelihoods include two households engaged in farming as micro-business, three households earning waged employment locally in farming, and three households earning income from vending using their homes as bases (Yakult vendor and sari-sari store and fruit and vegetable vendor ).

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Table 8-2 Impacts on Livelihoods of Relocating Households

Types of Livelihood Affected Number of AHs

Farmers (as micro-business) 2

Wage-based employment (farming) 3

Vendors (as micro-business) 3

309. During the SCM conducted in the last week of January 2020, the affected farmers suggested several businesses that they could manage in the future including providing some construction materials for the railway project, sari-sari stores, small canteens, and mango vinegar production. This information was further validated by DOTr during February 2020. In summary, the farmers desire to start a new micro-business that they can operate. DOTr will assist the farmers through coordination with Department of Trade and Industry (DTI), City Agricultural Office (CAO), and rural banks to apply for soft loans. C. Methodology for Developing the Program

310. The baseline profile of APs was gathered through the conduct of Detailed Measurement Survey (DMS), Census, Socio-economic Survey (SES) and Focus Group Discussions (FGD) in Mabalacat City. The Training Needs Assessment (TNA) and Key Informant Interviews (KIIs) were also conducted, along with Livelihood Coordination Meeting with LGUs. LGU-led consultation meetings with the APs were also employed to ensure participation of Mabalacat LGU in the LRIP. D. Livelihood Surveys 311. The first and main round of SES was conducted during the FS Phase, between April and July 2018. A second round of SES was conducted during the DD Phase, only for APs affected by a change in the Project Right-of-Way (PROW), between March and April 2019. For the affected households, this involved a specific survey on livelihood and living conditions. A separate survey was undertaken with affected business owners, wherein information on the nature of the business, employees, income, project perception and preferences for income restoration were gathered. In addition to this survey, another survey was conducted in 4 February 2020 specifically for land-based micro- business owners (fruit tree, livestock farmers) and validated number of trees owned by farmers. E. Focus Group Discussions 312. At DD stage, FGDs were conducted with APs/AH in 2019. Two separate sessions were held in Barangay Dolores Mabalacat and Barangay Lakandula Mabalacat on 18 January 2019 and 28 February 2019 respectively. Eleven APs (5 males, 6 females) attended in Barangay Dolores and two APs (2 females) in Barangay Lakandula. Attendance was on a voluntary basis. A separate FGD was conducted for the vulnerable sector on 22 February 2019 in Barangay Dolores and 28 February 2019 in Barangay Lakandula. Discussions were directed around major project concerns, expectations on employment and livelihood upon relocation, expectation of the government’s role in implementation of employment and livelihood support, expected role of the private sector and awareness/attitude towards forming cooperative organizations. F. Training Needs Assessment (TNA) 313. The first round of training needs assessment (TNA) was conducted on 13 November 2019. Affected households showed interest in being employed in project construction and requested assistance for them to access soft loans. Another TNA for the 13 AHs farmers/micro-business owners and 13 wage earners was held with Mabalacat City LGU on

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February 12 and 14, 2020. There were 12 respondents (4 males and 8 females) in both sessions. This LGU led TNA generated interest among members of the SAMANAKA farmers’ cooperative-micro-business owners’, employees of the horticulture micro-business to avail of skills and vocational training offered by the LGU and TESDA. The SAMANAKA cooperative members also expressed desire to join in training for the new micro-business they intend to set up. 314. Also, the TNA identified current skills and preferred training needs of the APs and their families. 29 APs from Mabalacat participated in the TNA. Results of the TNA have been used in matching skills with existing livelihood programs and services of the LGU. G. Rapid Labor Market Assessment 315. A rapid labor market assessment (LMA) was conducted in the Provinces of Pampanga and Bulacan to get a baseline data on the labor market situation. There were no AP respondents from Mabalacat who participated in the survey. The survey results were analysed against potential benefit on the employment of affected persons. The information was used to establish potential opportunities that can be offered to AHs particularly in construction related work. For the Pampanga segment of the LMA, the Mabalacat LGU’s information indicated that APs skilled workers and laborers can be absorbed by the existing requirements of the business and agricultural sector. H. Key Informant Interviews 316. KIIs were held with LGUs in Mabalacat. Specifically, the City Social Welfare and Development Office (CSWDO), City Agriculture Office (CAO), and City Employment Service Office (CESO) were consulted on January 2020. These consultations gathered information on available training programs and livelihood support that the LGUs can provide the AHs /APs 317. Series of livelihood coordination meetings were undertaken with the participation by the LGU operating departments such as the CPDO, CESO, CSWDO, and CAO. The meeting was conducted in 23 January 2020. The Livelihood Team composed of LGU, DOTr, PNR, and NHA drafted a proposed Sangguniang Panlungsod (SP) Resolution entitled Resolution Granting Livelihood and Other Social Services Assistance to APs in the NSCR-Ex Project in Mabalacat City for review and approval which to be presented at the SP Session level. This city resolution will be passed by the City Council of Mabalacat and will give the City Mayor an authority to allocate funds for the APs in the project. This is the official document that will allow the LGU to spend money for the APs social services and livelihood restoration programs. I. LGU-led Consultation Meetings with APs 318. Consultation meetings with SAMANAKA cooperative members (21 APs), and horticulture micro-business owner (1 AP), and Lakandula Barangay officials were conducted on February 4 to 5, 2020. The 2 other micro business owners did not attend the meeting albeit having been invited. The consultations outcome generated the interest of the workers of the horticulture micro-business one AP to join the SAMANAKA farmers’ cooperative so that they can participate in livelihood activities that SAMANAKA intends to do as alternative livelihood after they leave farming. The consultations obtained suggestions from the farmers and workers to put cooperative-owned mobile canteen and other livelihood activities that they wish to do. J. Soft Loan Assistance 319. There are four types of soft loans for which APs can apply for livelihood purposes ranging from Php 5,000 to Php 200,000. Types of soft loans are described in the table below,

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320. Assistance to access soft loans will be provided to the APs through four different programs provided by Department of Trade and Industry (DTI), Department of Social Welfare and Development (DSWD) and Department of Agriculture (DA). The soft loan under Pondo sa Pagbabago at Pag-asenso (P3) are up to Php 200,000 and the Livelihood Seeding Program (LSP) amounts to PhP 5,000 worth of goods, while DSWD provides Php 5,000 per beneficiary and DA provides Php 10,000 - 15,000 per beneficiary. 321. DOTr and the LGU will council APs on available loans and assist them to prepare applications with a supporting letter from the LGU. The application process can commence prior to displacement so APs can take advantage of using the funds when they transition their affected enterprises/farms. Other APs may wish to apply for such loans upon completion of vocational/entrepreneurial training or when they have a viable business plan. The loan programs available are summarized in the table below.

Table 8-3 Loan Assistance Available for APs

Programs Description Agencies

Pondo sa Pagbabago at Pag-asenso (P3)

• A microenterprise borrower may avail PhP 5,000 up to PhP 200,000 depending on the size of the business and the enterprise's ability to pay.

• For enterprises with at least one employee, beneficiary can borrow up to PhP 200,000.

• The fund should be used for the enterprise's expansion and/or additional supplies of the business or for self-rehabilitation.

• Provides affordable and cost-efficient micro loans with 2.5% monthly interest.

DTI

Livelihood Seeding Program

• PhP 5,000 worth of goods sari-sari store, bigasan (rice store), rug making, etc.

DTI

Loan Assistance Program for Small and Medium businesses

• Php 5,000 per beneficiary DSWD

Loan Assistance for Farmers

• Php 10,000 – 15,000 per farmer DA

K. Proposed Livelihood Rehabilitation Measures 322. Based on available data gathered and consultation activities (FGDs & TNAs) conducted, the APs recommended and desired to venture into livelihood activities and measures described in the table below.

Table 8-4 Summary of Categories of APs, Proposed Livelihood Rehabilitation Measures and Recommended Livelihood Assistance

Category of APs No. of APs APs Proposed livelihood

rehabilitation measures from

SES

Recommended Livelihood Assistance based on

Consultations (FGD, TNA),

Farmers/micro business owners (fruit tree/timber farmers. livestock, game fowls etc)

21 APs directly engaged in farming as a micro-business.

Capital/ funds to re-start the same business Job/ Employment in the same city

APs expressed desire to set up food and non-food businesses (i.e. convenient store, mobile canteen, construction materials);

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SES



Job/ Employment within the current sector and within the same Barangay

19 APs are interested to have Nego-kart livelihood packages from DOLE & CESO. Assistance to avail of this livelihood packages will be implemented with the LGU and implementing agencies. 1 AP expressed to supply aggregates and fabrication of concrete hollow blocks (CHB) for the construction needs of the project. Technical assistance to set up this type of business and assistance to access to available credit facilities for start-up capitalization will be provided in partnership with the LGU and government agencies with micro- business programs. 1 AP expressed to get employment as skilled construction worker. This AP expressed to undergo training and get a national certification (NC) level 2 from TESDA. Assistance will be provided to participate in the skills training and provide transportation allowance until completion of training Job referral and placement to contractors of the project.

Micro-business owner growing high value crops- vegetable and herb

1 Horticulture micro-business

Assist to determine remaining non-project affected farm lot Assistance to re- establish business in a location with less impact on current business operations and income

Expressed desire to continue business in the remaining 2 hectares of the leased land from CIAC- BCDA Provide assistance to the owner in coordination with the civil works to set up a physical boundary markers/ fence of the remaining leased land for her to continued business operations during construction. Appropriate measures be in place to ensure safety access of workers and public patronizing the business.

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SES



Technical assistance will be provided so that the frontage entrance will blend in project over-all look after construction. Expressed desire to retain farm employees’ workforce business operations even during and after project construction. Technical assistance to comply with farm operations.

Other micro-business APs

3 Sari -sari store yoghurt (Yakult) vending/distribution and vending of fruits and vegetables vending/ distribution

Business capital/ funds to re-start the same business

One AP currently operating a sari-sari store requested financial assistance to re- set up store in at the temporary accommodation while waiting for the completion of the housing unit in the relocation site. Expressed interest to avail of the free Nego Kart unit and starter product kits. Requested assistance for physical transfer of store. One vendor requested to avail of a mobile Nego Kart for to continue selling in the sales territory. Requested assistance to secure micro-business permits will be provided. Requested access to micro-credit and soft loans.

Employees -Wage earners

23 13 horticulture micro-business workers and 10 land-based workers

Including 13 horticulture micro-business workers; 10 APs working in affected household farms.

Continue as wage earners Job/ Employment in the same city

All 13 employees of the horticulture micro-business desired to continue working at the same business even during its transition to transfer to a site. All employees expressed desire to have find work within the city meantime waiting for the resumption of business operations. 8 out the 13 workers want to undergo vocational skills training for welders and

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SES



electrician and be National Certification (NC2) holder. Requested job placement after training if present employment is not ready for operations. 10 APs working on affected household farms: - job placement in the construction activities of the project -Provide skills training on construction such as welding, carpentry and masonry. -Training allowance, -Assistance in securing employment requirements such as police clearance, medical clearances among others -Assistance in procuring starter kit tools and protective gears for construction work -Assistance in setting up horticulture-based income enterprises such as propagation and selling of ornamental plants for landscape use.

Relocating households

8 HHs Structure Owners/ r/ rent-free occupants

Continue Employment Farming vegetables and fruits Livestock, game fowl Vending / small shops

Assistance to re-establish micro- business in the relocation area Skills training Job referral and employment Assistance in expanding micro-business related to farming such as fruits and vegetables trading /vending Access to soft loan for business capital and financial management training Set up cooked food business in the construction sites

323. Under this RAP, three of the APs relocating to NHA Northville 16, Barangay Atlu-Bola are not expected to face significant difficulties accessing their current wage-based employment at the relocation site since there relocation site is only few kilometres away from

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their workplace. The APs will be provided with commuting allowance on the transition period for 3 months but not to exceed PhP 5000 thousand a month per household. 324. A more detailed descriptions and analysis of the categories of livelihood affected APs in the Mabalacat City are presented in the following sections. 325. APs who will relocate with Affected Micro Businesses. There are 3 APs in Barangay Lakandula who will be relocated with their current micro-businesses (1 AP with a sari-sari store and 1 AP who is a yoghurt (Yakult) vendor and fruits and vegetable vendor). These APs are severely affected and because it is not a guarantee that they can still continue their micro-business upon transfer to the relocation site. The 21 farmers with micro-business own fruit tree/timber farmers’ livestock, and/or game fowls, and 1 micro-business owner of high value crops vegetable and herb growing are also severely affected because of the significant income loss. L. Type of Livelihood Assistance 326. Financial Management Training. Under the Immediate Livelihood Assistance, the financial management will be provided to APs. The training is aimed at raising their awareness of the importance of preserving their capital and reinvesting prudently to restore their livelihoods and living standards. Financial advice will help improve their capacities on money management matters, financial planning; investment options; training employment and business development. 327. The training will be attended by the household heads and their spouses to encourage equal participation of female in the decision making, particularly with regard to finances. The training venue will be conducted in the barangay of the APs. The training and will be delivered by the CESO in collaboration with CSWDO of Mabalacat City. 328. Assistance in Seeking Temporary Space to Continue Livelihood. One AP in Mabalacat (sari-sari store) will require assistance in seeking temporary space to continue their livelihood. DOTr will provide transfer assistance and rental subsidy for 3 months, assist with the transportation of the store to the new temporary location and later to the resettlement site. 329. Nego-Kart Livelihood Package. The Nego-Kart (Negosyo sa Kariton) or small business cart livelihood package, a DOLE’s livelihood project in partnership with CESO, will be provided to assist the two APs to re-start their micro-business. The Nego-Kart will provide vending kart/livelihood tools, capacity development on business management, and assist them to have their business permit to legally operate in designated areas. 330. Once the 3 APs complete the 2-day training, they will be supplied with the kart including the food and non-food items. For the AP with the sari-sari store, a stationary kart will be provided, and for the Yakult vendor a pedicab cart will be provided. 331. Micro-Business Capital Assistance. Under the Short to Mid-Term Livelihood Assistance, the LGU Mabalacat will provide its capital assistance to the 2 APs. CSWDO has its Self-Assessment Employment–Kaunlaran (SEA-K) Program where a disadvantaged individual can avail of capital seed fund for entrepreneurial support. CSWDO has its own requirements and mechanisms to access its capital assistance depending on the need of the APs. DOTr and the LGU will counsel the APs and assist them to prepare applications with a supporting letter from the LGU. 332. NC2 Enterprise/Livelihood Training with Starter Kits for Household Member. CESO will offer specific enterprise training courses for the 3 APs and their household members. As commitment of LGU of Mabalacat City, these training courses will be funded

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and provided by CESO through TESDA. These training programs provide opportunities for the 2 AHs and their family to gain new skills or further develop existing skills for employment and set up own micro-business. They will be assisted with travel costs and a daily stipend by DOTr to attend the training. Table 8-3 below list of enterprise training courses offered by CESO through TESDA.

Table 8-5 List of Enterprise Training Courses Offered by CESO

Training Title Training Hours

Number of Days

Schedule of Training (Tentative)

Number of Participant

Livelihood Trainings

Baking and Pastries 141 Hrs. 18 Days Apr-May 2020 60 Pax Cosmetology/Beauty Care 196 Hrs. 25 Days Apr-Jun 2020 50 Pax Food Processing 552 Hrs. 69 Days Jun-Sep 2020 50 Pax

333. As part of the additional livelihood package of CESO, starter kits will be included as an extended support for APs and/or their household members. It will be in kind and in the form of supplies and material inputs necessary to undertake the enterprise training and start with livelihood activities. 334. Job Matching and Project-Related Employment Opportunities. The CESO is keeping records of APs interested to work in the construction activities of the project particularly the for 21 wage based employees who will lose their employment in the event of temporary closure of business or at their option will want to get employment if the business operations of their employers will not resume. Base on their skills set, job referrals and placement will be provided to them. For the AHs employable family members, this program will also be offered to them in relation to the construction related employment opportunities. 335. Re-establishment of Micro-Businesses at the Resettlement Site. In Phase 3, under the Long-Term Restoration and Improvement, NHA and DOTr will assist the APs with sari-sari store / yoghurt (Yakult) vending and fruits and vegetables vending to re-establish their business in their new homes. Additional enterprise training to 2 APs that will augment their income will be provided by NHA. A mobile Nego-kart will also be provided to this APs to maintain her costumers near her place of origin. 336. APs who will Relocate to a Place that Makes it More Expensive to Commute to their Place of Work. Three (3) APs with wage-based incomes, who work within the same barangay as their current residence. These APs will be coming from Depot and the other from Barangay Lakandula (PROW Main Line). They might encounter longer times in commuting in some cases. Based on the project RAP, they will be entitled to a commuting allowance of up to PhP 5,000 per household per month for three months only upon transfer to the permanent relocation site. 337. Priority Placement in Railway Project Work. A list of the anticipated jobs to be created by the project are listed below. Jobs that are in the skilled category require extensive training and likely outside the ability accepted if they are not already working in that field. Jobs in the semi-skilled category require training that could be provided over a number of months through CESO’s programs and equip APs to be able to apply for such work generated by the project. Jobs in the unskilled category would generally require suitable aptitude with training to be provided on the job. See Table 8-6 for project related employment opportunities below.

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Table 8-6 Anticipated Project Related Employment Opportunities Skilled Semi-skilled Unskilled

Electricians Plumbers Masons Carpenters Equipment Operator Backhoe Bulldozer

Transit mixer Scaffolders Welders Painters Steelmen Tinsmiths Admin Staff

Cooks Traffic controllers/ aids Security Guards

Laborers Janitors/utility men Messengers Warehousemen

338. The LGU of Mabalacat City will provide supporting referral and endorsements of suitably qualified APs for project-related work. The CESO will provide guidance on application and hiring requirements including providing cash assistance to secure certificates and clearances for pre-employment requirements 339. NC II Vocational Training with Starter Kits. APs desiring to take vocational courses with national certification will be as sited in this project through the LGU-TESDA training. Eight of the 13 workers of the horticulture micro-business expressed interest to undergo training during temporary closure of business. The training program they are looking at are skills training for welders and electrician. APs will be funded and provided by CESO through TESDA free training. The project will provide transportation allowance while on training. Table 8-7 below lists several vocational training courses offered by CESO through TESDA. Construction related skills are in demand in the labor market and are relevant to those who want to be employed in the project or in another construction work.

Table 8-7 List of Vocational Training Courses Offered by CESO

Training Title Training Hours

Number of Days

Schedule of Training (Tentative)

Number of Participant

Skills training

Carpentry NCII 162 Hrs. 21 Days April 2020 30 Pax Welder (SMAO) 268 Hrs. 34 Days Aug. 3, 2020 30 Pax

340. As part of the program, CESO will provide starter kits once APs completed the training course. And these starter kits will be in kind and in the form of supplies or tools. Those who are in the farmers’ cooperative wage-based and enterprise-based earners could join together to undertake the training. 341. Lessee Directly Engaged in Farming/Agricultural Business. The horticulture micro-business is a lessee of a 6-hectare open space land with a lease term from 27 August 2019 to 26 August 2021. The lessor of the property is the Clark International Airport Corporation (CIAC). Under Executive Order (EO) No. 716 CIAC is a subsidiary of BCDA and shall operate and manage the Clark Civil Aviation Complex (CCAC). The horticulture micro-business derives income directly from production of primary produce from land42. This land-based agricultural livelihood will be severely affected and 13 workers will be temporarily affected. Out of the total of 6 hectares that the farmer is leasing, 4 hectares will be permanently affected. The 2 hectares will remain to work on along with 6 greenhouse structures on which farming business will continue to run. (Appendix 9) Based on the entitlement matrix a disturbance compensation equivalent to five times the average gross harvest for the last five years on the principal and secondary crops of the area acquired (as adopted from RA. 6389) will be given to the business owner. Table 8-8 below shows the profile of Affected Agricultural lessee.

42 This category equates to the entitlement matrix category of landowners of lessees directly engaged in farming.

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Table 8-8 Profile of Affected Agricultural Lessee

Severity of Impact on Business

Type of Land-Based Activity

Major Products Total Affected Area

Tenurial Status

Lessor

Severe High value Vegetable Growing

Annual Crops (Vegetables and Herbs)

6 hectares

Lessee CIAC

342. Assistance to transport belongings to new location. The horticulture micro-business is determined to continue business operation with the remaining land affected by the depot construction. That is beside the farm lot within the 6-hectare leased land that the farm has been cultivating. As pointed out, only 2 hectares will be the remaining area. The owner will continue doing the agri-business and willing to retain the workers. In this regard, the owner requested assistance to re-establish business by transporting and hauling it to the new location. Assistance to dismantle and transfer will be provided after payment of compensation is given. 343. Workers Losing Employment from Affected Business. The 23 workers who will be losing their employment are considered as APs and eligible for project entitlements. 344. Of the 13 working for the horticulture micro-business, five workers have been in the farm for 14 years. Seven of them from 7 to 13 years of employment, while only 1 who is working for 4 years now. Majority of the workers are non-residents of Mabalacat City. The CSWDO emphasized and gave the assurance that no matter the business owners’ decision on their employment, there will be package of assistance that will be given them, Income profile of the 13 employees are generally within the minimum wage43. 345. The 13 APs will be attending a training to be provided by CESO. The training is aimed at raising their awareness of the importance of preserving their resources and reinvesting to restore their livelihoods and living standards. This training session can be done within the compound of the horticulture micro-business or nearby enterprises. Ten household members from the 21APs that are helping in their farming activities will have income loss. They will be assisted to set up income generating activities related to farming business particularly in propagation and selling of seedlings of fruit trees and ornamental plants to supply landscaping and farm requirements within the city and in the province. For APs interested to work in construction industry, skills training, and TESDA national certification will be offered including job placement by the LGU to construction companies needing manpower for their projects. Transportation from home to training center will be provided for the entire duration of the training A self-employment start up tool kits (carpentry, masonry, electrical) will be provided by TESDA and DTI for APs that completed training. 346. Job Referral and Priority Placement in Railway Project Work. CESO will maintain a database for 13 workers for job referral purposes in case the horticulture micro-business will no longer continue business operations. CESO will provide counselling, guidance and job placement them as committed by the LGU. A referral system has been established in Mabalacat directed to serving the affecter persons and their relatives. 347. Farmers/Micro-business owners of Fruit Trees and Crops. Twenty farmer’s micro-business owners and are also members of the SAMANAKA Cooperative and one non-member micro-business farmer expressed their desire to be assisted in re-establishing their business. Additionally, they also requested to be given support to engage in business of supplying aggregate materials, concrete hollow blocks or the construction need of the project. Most of

43 Minimum wage in Mabalacat is PhP 350 per day.

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them will avail of the Nego Kart as an immediate income source through vending food and non-food products. Funds to set up Nego Kart including the orientation on its operations has been allocated. Farm produce of their cooperative members will be sold through the Nego Kart. 348. NC II Vocational/Enterprise Training with Starter Kits for Household Members. CESO listed the affected persons and members of their household to avail of the skills training program for additional skills and employment readiness among the AHs members. The project will provide transportation allowance daily until completion of the training and assisting the trainees to pass the national certification National Certification II (NC II) of TESDA. Apart from employment, the AHs will be introduced to skills training that will allow the participants to start up other business. After the training, as starting kit will be provided by CESO and DTI. M. Livelihood Assistance for Vulnerable APs

349. Five of the 8 AHs relocating are vulnerable. Three are engaged in vending and small shop operations. APs will be assisted to re-establish their micro business immediately in the temporary rental facility of their choice that will allow them to earn equal amount or better upon re-establishment of their existing business. Financial assistance to subsidized rental payment for house with space for business until their housing units are ready for occupancy at the relocation site. Financial assistance to pay business permits and clearances to operate the business immediately. The LGU/DTI will provide access to soft loans to augment business capital and the project will provide technical assistance in preparing necessary documents for their loan application. This arrangement has been agreed by LGU and DOTr and DTI. For the mobile yoghurt vendor, a mobile vending cart will be extended by the LGU and the DTI. The mobile vending cart better sales income due to bigger distribution coverage will be provided assistance in business registration for mobile business operations, access to soft loans. 350. For the 2 eldelry, they will be assisted to set up micro-business using fixed Nego Kart provided by the LGU and the DTI. These fixed vending carts will be used as outlet shops to sell farm produce from the SAMANAKA cooperative members that continue to do farming outside the project boundaries. Financial assistance will be provided for the rent of space, in securing business permits and in providing technical assistance in preparing application for soft loans to re-establish their business. The livestock and game fowl breeder will be assisted to re set-up business in the preferred location within the City. The same two elderlies expressed to be assisted to avail of Nego Kart and other government supported income generating projects as an alternative source of income after they are displaced from their farm. The overall project objectives are to ensure that livelihood and income sources of the vulnerable APS will be continued for them to be gainfully engaged in income generating ventures. 351. One AP expressed to undergo skills training and get NC II from TESDA to ensure of his employment during construction of the Project. For this AP attending skill training, transportation assistance will be provided until the completion of the training. Financial assistance to secure employment requirements will be provided. After completion of training and TESDA national certification, job referral and placement will be extended by the LGU in cooperation with construction companies with existing projects in the city of Mabalacat. In addition, Mabalacat LGU and NHA can provide starter kit tools for self employment that can be used for specialized job skills in carpentry, masonry and electrician as service provider 352. Based on the supplementary survey conducted, there are 10 vulnerable APs that will not be relocated. Eight of out of the 10 are elderly that are receiving income from produce in the farm and pension remittance. Two of the 10 are wage base workers that are helping in the farming activities of their household heads and are earning below poverty threshold. All 10 are SAMANAKA members will be assisted to set up multi-purpose cooperative store as outlet for

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farm produce from their member, trading and selling farm implements and engage in food processing and canteen services. They will be provided technical assistance in establishing the business including financial assistance to pay for business licenses and permits, access to soft loan with assistance in preparing documents for loan application. For other household members that can work in construction activities, job referral and placement will be extended. Skills training and capital assistance will be provided by the LGU.

353. Phases of LRIP Implementation. There are three approached of LRIP to be carried out. These are (1) immediate restoration of current livelihood, (2) short to mid-term improvement of livelihood, (3) long term improvement of livelihood. Figure 8-1 below is an illustration of theses phases.

Figure 8-1 Phases of LRIP Implementation

N. Implementation Arrangements 354. The implementation of this LRIP requires the successful coordination of the inputs of a range of technical specialists, from concerned national and local government agencies with the DOTr having overall responsibility for program implementation. DOTr as the IA has overall responsibility to implement the LRIP in the RAP. Central to its role is ensure that the LGU takes the lead the implementation of the LRIP in cooperation with the relevant national and provincial agencies as the LRIP objectives are underpinned by their existing programs, services, and resources. 355. A special body focusing on the environmental and social concerns within the MCRP PMO will implement (in coordination with the Livelihood Committee) this LRIP. The Livelihood Committee of the Local Housing Board (LHB) will be composed of representatives from DOTr, local representatives from other NGAs and LGU of Mabalacat City that has the technical expertise, network, resources and programs on enterprise development, farm improvement, local and international employment, as well as provision of skills training and livelihood packages. 356. The responsibility in making available the required additional resources and support to enhance other agencies and LGU capacities to carry out the LRIP in its respective area will be shouldered by DOTr. Monitoring and evaluation of the program implementation will also be among DOTr’s core responsibilities to ensure that all partners adhere to their agreed commitments. The roles and responsibilities of the various agencies involved in the LRIP implementation are summarized in Table 8-9.

Table 8-9 Summary of Roles and Responsibilities of Concerned Agencies

Agency Responsibilities

DOTr • Establish Masterlist of eligible APs for LRIP. • Ensure sufficient and timely budget for LRIP implementation.

Fully restored/ Improved livelihood

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Agency Responsibilities

• Organize and conduct LRIP introductory workshop and subsequent consultation meetings.

• Arrange participation of service providers in consultations and trainings. • Carry-out more detailed consultations with APs in order to: present specific

livelihood restoration and improvement programs; explain the procedures for availing support; and agree on final packages of livelihood support guided by the hierarchy of preference and informed by relocation site conditions.

• Monitor program implementation and AP participation. • Coordinate participation of government agencies in provision of training services,

including through formal agreements as required. • Procure service providers for specialized courses. • Coordinate with the Contractor and the LGU. • Issue certification to APs that they are eligible project affected LRIP beneficiaries. • Share list of APs to LGU, TESDA and DOLE for verification of training participants

entitled to (1) training allowance and (2) income loss compensation (at the duration of training).

• Endorse list of qualified and skilled APs to Contractors to be prioritized for hiring. • Monitor LRIP implementation and track AP participation. • Review effectiveness of the LRIP program and modify the program as needed to

meet its stated objectives. • Coordinate with the Private Companies and the LGU. • All other necessary activities to implement the LRIP.

LGU of Mabalacat City

• Assistance to find alternative site to continue business • Maintain list of eligible APs interested in job referral and vocational/enterprise

training. • Provide focal point to coordinate livelihood assistance. • Together with DOTr, engage service provider agencies to locally deliver training

courses based on APs’ needs and demand. • Inform the APs about training and job opportunities. • Carryout skills/job matching. • Provision of basic services

DOLE • Provide Nego-Kart Livelihood Package thru CESO • Monitor the implementation of Nego-Kart Livelihood Package thru CESO

Contractor • Provide the list of jobs and required skills to DOTr and LGU. • Hire local residents as required by law.

TESDA • Provide trainers as per request from CESO and certificates for those APs who

completed the program. • Report to CESO on AP participation in training.

NHA

• Provide a focal point responsible for APs on livelihood restoration. • Monitor AP livelihood restoration and employment • Coordinate with the LGU on livelihood programs (job matching, training, etc.). • Assist eligible APs for socialized housing to re-establish enterprises at the

resettlement site or vicinity in viable locations.

O. LRIP Budget Estimate 357. The estimate of LRIP participants for Mabalacat City is based on those whose primary livelihoods were reported by APs to be conducted either at or within the immediate vicinity of location of displacement. This includes APs whose livelihoods are conducted in their residences and employees whose employing businesses/farms are expected to be displaced. Aside from this, unemployed APs in legal age (over 18 years old) who belong to a low-income family as defined in this RAP and lessee APs who are directly engaged in farming are also eligible to participate in LRIP. 358. The estimated LRIP budget is Php 904,992. This comprises funds for vocational training (or similar) and livelihood package. In the event that the budget for training will not be

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sufficient to accommodate all eligible APs, DOTr will provide necessary budget for such. Table 8-10 presents the estimated LRIP budget.

Table 8-10 Estimated LRIP Budget

Activity Estimated

Participants Unit Cost

Frequency Total (PhP)

Transportation Allowance during 2-day training on Nego-Kart

21 100 2 days 4,600

Transactional Cost for Setting Up Nego-Kart

21 6,000 1 time 138,000

Transactional Cost for Re-Establishing Business for the Lessee Farmer

1 12,000 1 time 12,000

Rental Subsidy for Lessee Farmer

1 12,500 1 year 12,500

Manpower assistance to transfer salvageable materials, equipment and belongings at Php420 per worker, 5 workers

1 2,100 5 days 10,500

Physical transfer of temporary accommodation with store and vending space

3 2,100 1 day 6,300

Rental Subsidy for Store and Vending Spaces prior Transfer to Relocation Site

3 5,000 3 mos. 45,000

Starter Kits for NC2 Vocational Training Participants

11 5,000 1 kit/pax 55,000

Transportation Allowance during Welding Skills Training

8 100 34 days 27,200

Transportation Allowance during Electrical Installation Skills Training

3 100 25 days 7,500

Cost of Pre-Employment Required Documentations

11 2,000 1 time 22,000

Other miscellaneous training for 23 additional AHs

13 plus 10 land wage

based household workers

15,000 1 time 345,000

Amount 685,600

Contingency (20%)

137,120 Sub-Total 822,720

LGU Management Fee (10% of direct costs)

82,272

Total LRIP Estimate 904,992

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9. CHAPTER 9: GRIEVANCE REDRESS MECHANISM

359. The Grievance Redress Mechanism (GRM) is a platform for the DOTr to engage constructively and productively with affected communities and stakeholder groups. The GRM will address concerns pertaining to the Project and its impacts on affected people, the environment, and communities. A. Scope and Objectives of the Grievance Redress Mechanism 360. For this Resettlement Action Plan (RAP), a grievance refers to any concern, issue, or conflict resulting from involuntary resettlement or the RAP implementation. This may include an issue on compensation for various types of affected persons (APs), application of eligibility criteria, relocation of non-land owner APs, reduced income, or quality of services at the relocation site. 361. The general objective of the GRM is to receive and facilitate the resolution of concerns and grievances of APs regarding physical and economic displacement and other project impacts with particular attention to impacts on vulnerable groups. Below are the specific objectives;

a. To resolve concerns and grievances of APs which cannot be settled through collective platforms such as stakeholder consultations due to the complexity of concerns or grievances and/or the absence of such platform at the time when the cause for grievances take place; and

b. To address concerns and complaints of APs promptly through an understandable and transparent process that is gender-responsive, culturally appropriate, and readily accessible to the country’s judicial or administrative remedies commensurate to the risks and adverse impacts of the Project.

B. Principles Guiding the Grievance Redress Mechanism

362. The implementation of the GRM is anchored on the following principles: a. To keep a complainant’s details confidential; b. To explain about the procedures and present and deliberate cases in a language

understandable by APs; c. To provide transparent, gender-responsive, and culturally appropriate grievance

procedures; d. To enable the GRM to be readily accessible to affected persons at no cost and

without retribution; and e. To resolve grievances expeditiously at all times at the lowest level possible.

363. The APs were informed about the GRM during the Stakeholder Consultation Meetings (SCM). The DOTr has set up the Central Hotline and the Local Help Desk in Mabalacat Local Government Unit (LGU) to address concerns of APs. The design, scope, and function of the GRM will be reviewed periodically to ensure that it is fit for the purpose as the Project transitions from one phase to the next. C. DOTr’s GRM Team 364. The DOTr has assigned dedicated Grievance Redress (GR) Officers for the Project whose tasks and responsibilities are focused entirely on the GRM. There are GR Officers who are assigned to Local GRM Team at the Mabalacat Help Desk and to the Central GRM Team at the MCRP Project Management Office (PMO) of the DOTr's Office of the Undersecretary for Railways. The section below describes the composition, roles and responsibilities of the GRM Team.

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1. Local GRM Team

365. Local GRM Team in Mabalacat City is composed of three trained GR officers who are (i) one dedicated DOTr staff of the MCRP PMO and (ii) two LGU representatives. The GR officers serve as the first contact point for APs and receive grievances raised from their city.

a. Roles and Responsibilities

(i). To intake, monitor, and track grievance cases across all levels raised, so that the grievances are addressed in a timely manner;

(ii). If the concern is beyond Local GRM Team’s capacity to decide, endorse the complaint to a technical person or committee that has the authority to properly addressed and decide necessary action for the concern;

(iii). To log all grievances raised to the Project`s database and monitor the cases throughout the process until the cases are closed.

(iv). To provide updates using communication tools preferred by APs on the status and resolution of grievances in a timely manner; and

(v). To provide information and support to APs on project-related resettlement and land acquisition activities, including assistance for APs to complete required documents and provision of other required support.

b. Staff Composition

366. The Local GRM Team in Mabalacat is composed of the DOTr and LGU representatives:

(i). DOTr's local GR Officer – who is responsible for answering and explaining issues related to the Project and tracking and keeping records of submitted and required/outstanding documents.

(ii). LGU representatives – who are responsible for answering and explaining issues related to the Project. They will assist APs in securing LGU-related documents and accessing data from the LGU office when needed and will take note of urgent issues and concerns that may arise in the absence of the DOTr's local GR officer and report immediately to the DOTr's Central GR officer for information and appropriate actions.

2. Central GRM Team

367. The Central GRM Team is in charge of grievances channelled through the DOTr's Central Office, i.e., hotline, e-mail, SMS, and letter and is responsible for the receipt, acknowledgement, and registry of grievances as well as eligibility assessment.

a. Roles and Responsibilities

(i). To conduct overall monitoring and tracking of grievance cases across all levels raised through the assigned Local and Central GRM Teams, so that the grievances are addressed properly and promptly;

(ii). To respond to all grievances received via hotline; (iii). To log in, manage, and maintain a database for all complaints and

corresponding actions and decisions on the complaints received by Central GRM Team until they are closed by the Project;

(iv). To act as a centralized database manager;

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(v). To provide updates using communication tools preferred by APs on the status and resolution of grievances in a timely manner (for those not within the responsibility of Local GRM Team);

(vi). To provide information and support for APs on project-related grievances, particularly issues on land acquisition, resettlement, and the Livelihood Restoration Improvement and Program (LRIP);

(vii). To prepare quarterly monitoring reports on the GRM including accomplishments and status of unresolved grievances and submit them to Japan International Cooperation Agency (JICA) and Asian Development Bank (ADB);

(viii). To conduct capacity-building training for GR officers in order to improve their skills and knowledge and retain tools, equipment, and other resources needed to implement the GRM;

(ix). To provide inputs as requested for internal and external monitoring activities; and

(x). To maintain and update the GRM manual regularly to improve GRM operation.

b. Staff Composition

368. The team is composed of 11 members with the MCRP PMO's GRM Manager, Central GR Officers, and the DOTr's PMO resettlement/land acquisition experts and engineers.

a. DOTr's GRM Manager is responsible for managing GRM Team and ensuring GRM Team functions efficiently.

b. DOTr's Central GR officers are responsible for promoting GRM operation, tracking and keeping records of submitted and required/outstanding documents, and conducting GRM Monitoring and Evaluation (M&E).

c. MCRP PMO's Resettlement/Land Acquisition Experts are responsible for answering and explaining issues related to the contents of the RAP, including questions on entitlements and legal procedures, e.g., Extra Judicial Settlement (EJS) cases, mortgage properties, and land registration.

d. MCRP PMO's Land Acquisition Engineers are responsible for answering/explaining issues related to the engineering design, Project Right-of-Way (PROW), alignment, affected properties, severity of impacts on properties, and all engineering-related concerns.

e. MCRP PMO's Environment Officers are responsible for answering and explaining issues related to health, safety, and environment issues of the Project.

D. Levels of GRM 369. The GRM has three levels for handling grievances of APs. Local/Central GRM Teams serve as the first contact point for APs in case that a grievance is submitted through the Help Desk or the Central Hotline. Notwithstanding, APs may seek redress through the court system at any stage of the project level grievance redress process. Table 9-1 summarizes the levels of the GRM to address grievances of APs.

Table 9-1 Levels of Grievance Redress Mechanism

Level Institution

1st Level Help Desk/Central Hotline (Local/Central GRM Team)

2nd Level RAP Implementation and Management Committee (RIMC) Technical Working Committee (TWC)/Right-of-Way and Site Acquisition (ROWSA) Committee or the DOTr's Legal Department

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Level Institution

3rd Level Project Inter-Agency Committee (PIAC)


1. Level 1 – Local Help Desk/Central Help Desk (Local/Central GRM Team)

370. The APs have two ways to raise grievances, that is, the Help Desk set up at each LGU and the Central Hotline. 371. The Help Desk (physical office) is the first contact point for APs in the GRM and a serve as venue for raising issues, concerns, and questions related to the Project. The Mabalacat LGU Help Desk is located at the City Planning and Development Office (CPDO) of Mabalacat City Hall and staffed with two local GR Officers. The Mabalacat LGU Help Desk operates every Wednesdays. Depending on demands, it will operate more frequently, especially during the period of the issuance of Notice of Relocation (NoR). During project implementation on days when the Local Help Desk is not operating, APs may use the Central Hotline and/or e-mail of the DOTr. 372. In addition to the Help Desk, APs can also reach the DOTr through its Central Hotline. Central GR Officers answer calls and respond to texts/Short Message Service (SMS) messages from 8:00 A.M. to 5:00 P.M. from Monday to Friday. They also receive grievances and enquiries via e-mail and letter. 373. When receiving a grievance, local/central GR Officers will determine (i) if the complaint is project-related or not, (ii) if the complainant is an AP, and (iii) if the nature of the issue is environmental or social. As a basic GRM policy, a grievance will be resolved expeditiously at the lowest level possible. However, the issue or concern is elevated to the next level (i) if it is not settled at the lowest level, (ii) if the complainant is not satisfied with the action taken, or (iii) if the case is not acted upon within 15 days upon receipt of grievances. 374. The workflow of the Local/Central GRM Teams with the Help Desk/Hotline is described below:

a. To receive a written or verbal complaint via SMS, e-mail, letter, and phone call from APs;

b. To record the grievance into the Grievance Action Form (GAF) and provide APs with a control number. The control number enables APs to track their complaint in the database and be explained about the process including information on the person in charge for their complaint;

c. To clarify whether the nature of the complaint is project-related or not. If the complaint is not project-related, Local/Central GRM Teams assist APs by forwarding the complaint to an appropriate agency or LGUs which can act on the complaint. If the concern is beyond the Help Desk's capacity for resolution, the Help Desk forwards the case to the second level of the GRM;

d. To research on project-related issues and promptly provide APs with answers, clarification, or solutions (if concerns need further actions/solutions);

e. To monitor and follow up on the action taken including site visits if applicable and/or needed; and then

f. To close out the case when the actions and resolutions to resolve the complaint are completed.

2. Level 2 – RAP Implementation and Management Committee

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375. The Local GRM Team forwards the unresolved grievance at the first level to the RAP Implementation and Management Committee (RIMC). DOTr’s Resettlement Team and or the Legal Department. The team (i) informs APs that the concern was referred to the RIMC, (ii) provides APs with details of designated focal points including names, contact numbers, and office addresses, and (iii) advises APs that they have an option to engage the RIMC for a decide-together option. Under the decide-together option, the RIMC and aggrieved stakeholders share decision-making authority and jointly undertake problem-solving. 376. As the second level of the GRM, the RIMC has the following roles and responsibilities:

a. To address an unresolved grievance related to APs forwarded by the Local Help Desk or Local GRM Team;

b. To act and decide on each complaint within 15 working days once the complaint is filed by Local GRM Team; or

c. If APs take the decide-together option, APs and the RIMC will act and decide on each complaint within 20 working days once the complaint is received. The option entails conducting dialogues, joint brainstorming, joint investigation, or other appropriate approaches to enable the engagement of the responsible committee and the APs. This is followed by joint development of a resolution and an action together with the APs;

d. To forward the recommended action/solution to Local GRM Team; and e. To forward unresolved grievance to the next level.

377. Technical Working Committee/Right-of-Way and Site Acquisition Committee or the DOTr’s Legal Department. For more complex legal matters, such as EJS cases, endorsement will be made by the Technical Working Committee (TWC)/ROWSA Committee, or the DOTr's Legal Department. The following process will be implemented:

a. To receive the endorsement from Local GRM Team; b. To act and decide on each complaint within 15 working days once the

complaint is filed by Local GRM Team and inform Local GRM Team of the recommended action/solution, thereby Local GRM Team marking the case in the centralized database as “action/resolution ongoing”;

c. If and when the action to resolve the complaint is completed, the resolved case will be endorsed back to Local GRM Team. The team will update the centralized database and mark the case as “action completed”; and

d. To forward unresolved grievance to the next level.

3. Level 3 – Project Inter-Agency Committee

378. If an AP or complainant is not satisfied with the decision by the RIMC, the ROWSA Committee, or the DOTr's Legal Department, he/she may appeal to the Project Inter-Agency Committee (PIAC). The PIAC serves as the third level of the GRM for APs. The PIAC will implement the following:

a. To receive the endorsement from Local GRM Team and register the case as “undergoing final review and response” in the centralized database;

b. To act and decide on each complaint within 15 working days upon filing to the PIAC by the second level of the GRM and communicate and endorse the resolution to Local GRM Team, which then releases the decision to the complainant;

c. The decision of the PIAC through the Local GRM Team will be officially communicated in writing to APs in one day from the issuance date of the decision; and

d. To forward unresolved grievances to the next level.

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E. Court of Law 379. APs may also seek redress through the court system at any point as the law permits. If the PIAC decision is unsatisfactory, the matter can be taken to an appropriate court of the Republic of the Philippines for adjudication. Court is not a part of the project level of GRM, and whose decision will be final. F. ADB’s Accountability Mechanism 380. In addition to the Project`s GRM, once all GRM measures are exhausted, ADB’s Accountability Mechanism can be applied to the Project. While the operation of the project-level GRM is the responsibility of the Implementing Agency (IA), that of the accountability mechanism is the responsibility of ADB. The mechanism provides opportunities for two or more complainants who are adversely affected by ADB-financed projects to express their grievances, seek solutions, and report alleged violations of ADB’s operational policies and procedures including safeguard policies. ADB’s accountability mechanism consists of (i) consultations led by ADB’s special project facilitator to assist people adversely affected by ADB-assisted projects in finding solutions to their concerns and (ii) the process through which those affected by projects can file requests for compliance review by ADB’s Compliance Review Panel. The details of the mechanism can be found via the following link: https://www.adb.org/documents/accountability-mechanism-policy-2012. G. JICA’s Objection Procedures 381. Alternatively, two or more persons who suffer or are likely to suffer from substantial damages as a result of JICA’s non-compliance with its Guidelines for Environmental and Social Considerations regarding the Project may submit an objection directly to JICA, requesting investigation. The details of JICA’s objection procedures based on the Guidelines can be found via the following link: https://www.jica.go.jp/english/our_work/social_environmental/objection/index.html. H. Grievance Redress Mechanism Procedures 382. Grievances from APs related to resettlement implementation or other project-related issues will be handled free of monetary charge through a process of negotiations aimed at reaching a consensus. The procedure for APs is described in Table 9-2.

https://www.adb.org/documents/accountability-mechanism-policy-2012

https://www.jica.go.jp/english/our_work/social_environmental/objection/index.html

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Table 9-2 Grievance Redress Mechanism Procedure

No. Actor Action Taken

1 Aggrieved stakeholder

Any aggrieved stakeholder lodges his/her grievance in person to the Local Help Desk or in writing, verbally or electronically transmitted to Central GRM Team within the MCRP PMO for an immediate action.

2 1st Level Help Desk/Hotline

[Help Desk] When received in person, the grievance is written down on the Grievance Action Form (GAF) by the staff of the Help Desk on behalf of the aggrieved stakeholder who signs the written complaint for official submission. A unique code for each AP/complainant is assigned (refer to Section I and Table 9-3). An acknowledgement slip is provided. The GRM process to the aggrieved stakeholder is explained and contact details of where the complaint is forwarded and who is responsible for acting on complaint are given. The complaint is reviewed to determine whether it is project-related or not. Documents (if there is any) presented by each AP are digitized, and control numbers for those documents are assigned. The GAF is encoded into the centralized database.

[Hotline] When received, the grievance is written down on the GAF by the central GR Officer on behalf of the aggrieved stakeholder. A unique code for each AP/complainant is assigned. An acknowledgement slip via phone call, e-mail, SMS, and letter is provided for each complaint for quick reference. The GRM process is explained to the aggrieved stakeholder and contact details on where the complaint is forwarded and who is responsible for acting on a complaint are given. The complaint is reviewed to determine whether it is project-related or not. Documents (if there is any) presented by each AP are digitized, and control numbers for those documents are assigned. The GAF is encoded into the centralized database.

2-a) If the complaint is project-related, the local/central GR Officer resolves it on the spot (such as answers to queries).

2-b) If it is not project-related, the local/central GR Officer assists the AP by referring the complaint to an appropriate agency or an LGU which may be able to act on the complaint. The local/central GR officer issues an acknowledgement slip for the complainant to fill and marks the case “Closed/Referred to 3rd Party.”

2-c) If the complaint is project-related and beyond local/central GR officers’ capacity, local/central GR Officer raises it to an appropriate agency and the next level of the GRM.


The aggrieved stakeholder receives an action of the first level of the GRM through the local/central GR Officer. 3-a) If the aggrieved stakeholder is satisfied with the decision, the complaint is resolved and recorded accordingly.

3-b) If the aggrieved stakeholder is not satisfied with the decision, the stakeholder may elevate his/her complaint to the second level of the GRM.

3-c) If the complaint is beyond the ability of the Local/Central GR Officer for resolution, then the officer assists the AP by referring the complaint to the second level of the GRM.

4 Local/Central GRM Teams

In case of 3-a), The Local/Central GR Officer is to inform the aggrieved stakeholder of the “case closed” status via e-mail,

In case of 3-b), A request from the aggrieved stakeholder is received to elevate his/her complaint to the

In case of 3-c), A request from the aggrieved stakeholder to elevate his/her complaint is received by

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SMS, and letter and record the case as “closed” on an acknowledgement slip and in the database as “closed”.

Local Housing Board (LHB)/RIMC/DOTr's Legal Department. The status of the aggrieved stakeholder's complaint is recorded. The complaint elevated to the second level is forwarded within one day from receipt of the complaint or by business close time.

RIMC/ROWSA Committee/DOTr's Legal Department. The status of the aggrieved stakeholder's complaint is recorded. The complaint to the second level is forwarded within one day from receipt of the complaint or by business close time.

5

2nd Level RIMC/ ROWSA Committee/DOTr's Legal Department

The Local GR Officer endorses relocation-related matters of formal APs and NLOs/ISFs to the RIMC, while more complex legal concerns are filed to the ROWSA Committee or the DOTr's Legal Department. The Local GR Officer offers the aggrieved stakeholder the following options: (i) referring the case to the RIMC/ROWSA Committee/DOTr's Legal Department or (ii) choosing the “decide together” option under the RIMC. The complaint is acted and decided within 15 working days once the complaint is filed by the Local GR Officer. If the AP opts for the “decide together” option, each complaint is acted and decided within 20 working days once the complaint is filed by the Local GR Officer. The local GR Officer of the action and/or decision is informed on the aggrieved stakeholder’s complaint.

6 Local GRM Team

The Local GR Officer is to receive and record the decision by the second-level decision-maker. The aggrieved stakeholder is informed.


The aggrieved stakeholder receives an action of the second level of the GRM through the Local GR Officer.

7- a) If the aggrieved stakeholder is satisfied with the decision, the complaint is resolved and recorded accordingly.

7- b) If the aggrieved stakeholder is not satisfied with the decision of the second level of the GRM or if the complaint is not acted upon within a period of one working day and complainant does not receive any response from the second-level decision-maker, the aggrieved stakeholder can forward the complaint or file an appeal to the PIAC.

8 Local GRM Team

In case of 7-a), The Local GR Officer is to write down “case closed” on the acknowledgement slip, issue it via e-mail, SMS, and letter or by hand to the aggrieved stakeholder, and record the case as “closed” on the GAF and centralized database.

In case of 7-b), A request from the aggrieved stakeholder is received to elevate his/her complaint to the PIAC. The status of the aggrieved stakeholder complaint is recorded. The complaint to the third level is forwarded via Local GRM Team within one working day from receipt of the complaint.

9 3rd Level PIAC

The complaint is received from the Local GR Officer. The complaint is registered on the centralized database and reviewed within seven working days. The complaint is acted and decided within 15 working days, and the decision is informed to the aggrieved stakeholder accordingly. The Local GR Officer is informed of the action and/or decision on the aggrieved stakeholder’s complaint.

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10 Local GRM Team

The local officer is to receive and record the decision by the PIAC. The aggrieved stakeholder is informed.


The aggrieved stakeholder receives an action of the third level of the GRM through the Local GR officer. 11-a) If the aggrieved stakeholder is satisfied with the decision, the complaint is resolved and recorded accordingly.

11- b) If the aggrieved stakeholder is not satisfied with the decision or if his/her complaint is not acted upon within one working day and the AP does not receive any response from the third level, the aggrieved stakeholder can forward the complaint or file an appeal to the fourth level of the GRM, the court.

12 Local GRM Team

In case of 11-a), The Local GR Officer is to write down “case closed” on the acknowledgement slip, issue it via e-mail, SMS, and letter or by hand to the aggrieved stakeholder, and record the case as “closed” on the GAF and centralized database.

In case of 11-b), A request from the aggrieved stakeholder is received to elevate his/her complaint to the fourth level. The status of the aggrieved stakeholder complaint is recorded. The complaint to the fourth level is forwarded within one working day from receipt of the complaint.

Court

Judicial procedures will dictate the process and progress of the complaint once the AP files the complaint before a regular court, which can occur at any point.


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I. Grievance Communication between GR Officer and APs

383. Local/Central GRM Teams will keep informing APs on the status of their complaint and its resolution. The communication methods for this purpose are proposed in Table 9-3. The GAF is provided once APs raise a grievance/concern through the Help Desk/Hotline. The APs can indicate their preferred contact channels on the GAF. Responses to any grievances submitted as anonymous are posted on the public information board when possible. The process for addressing anonymous grievances will be posted on bulletin boards.

Table 9-3 Methods for Communications with APs

Person in Charge

Grievance Received Through

Immediate Action

Taken by GRM Team

Acknowledgement of Receipt

Delivery of Decision Made

at the GRM

Agreement on Case Closure

Method for Communicatio

n with APs

Help Desk (Local GR Officer)

Over the counter

APs fill-up the GAF with assistance of GR Officer.

An acknowledgement slip is provided with a control number.

APs are informed through their preferred channels indicated on the GAF.

GR Officer asks APs whether to close the case.

In person (at the Help Desk) E-mail Phone call Text/SMS Response letter Public information board (if anonymous) Drop box

GR Officer fills-up the GAF and provides a response as much as possible.

- GR Officer publishes the answer on a bulletin board.

When the answer is published on a bulletin board, the grievance case is closed.

Hotline (central GR officer

Hotline (phone call/text/ SMS/ e-mail)

GR Officer fills-up the GAF.

A control number is provided. If APs use SMS, the number is provided via SMS.

APs are informed through their preferred channels indicated on the GAF.

GR Officer asks APs whether to close the case.

E-mail Phone call Text/SMS Response letter

Letter

GR Officer fills-up the GAF. If information is not sufficient, APs are contacted for further information.

GR Officer sends a solution letter with an acknowledgement slip, control number, and specified deadline for response. On the letter, the e-mail address and text number of the central GR Officer are included. Or If APs mention about their specific contact numbers or e-mail addresses on the letter, the GR Officer informs them of a control number and facilitates the same process with the Hotline.

APs fill-up the acknowledgment slip attached to the letter or reply to the e-mail/text mentioned in the solution letter to confirm whether to close the case.


J. Information Dissemination

384. The GRM is publicized and promoted especially at the local level (communities and barangays) to ensure that APs are aware of this platform and will use it as a trustworthy and

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effective means for feedback and grievance redress. As a part of the overall project communications strategy, the MCRP PMO has prepared communication materials such as the GRM explained in text and visual forms, project details and maps, frequently asked questions, and procedures relating to and resettlement. The communication materials for the GRM are listed in Table 9-4. 385. Project stakeholders were informed about the GRM during SCMs. Smart and Globe Hotlines numbers and email address were disclosed, and the Hotline information was posted on each barangay's notice board and informed during SCMs. 386. In addition, a leaflet explaining the GRM process was also prepared. All concerned institutions including barangays, Mabalacat LGU, and the MCRP PMO are using the same leaflet in explaining the GRM procedure to aggrieved stakeholders who come to raise their issues or concerns. The handout was disseminated by Mabalacat LGU and barangays as well as the DOTr at the Help Desk and barangay halls and during SCMs. GRM communication tools and ways to disseminate are summarized in Table 9-4.

Table 9-4 Dissemination Methodology of GRM Materials and Timeline

Communication Tool

Content Dissemination Methodology Responsibility Timeline

DOTr Hotline Phone numbers: Globe: 0927 450 6720 Smart: 0939 223 7993

E-mail address: [email protected]

SCM Posting on each barangay's notice board Posting on the Project's website and Facebook and Twitter accounts

DOTr Ongoing since December 2018

Map Map showing the Project ROW within Mabalacat LGU

Help Desk DOTr Started/ on going

Project information booklet

Project description SCM Help Desk DOTr staff

DOTr Completed

Leaflet on the GRM

Summary of the Project Objective of the GRM GRM process flow Information on the Help Desk

opening time, location, how to consult a complaint/issue

Contact details, Hotline, and e-mail address

Help Desk SCM DOTr staff During community organizing of the National Housing Authority (NHA) Posting on the Project's website and Facebook and Twitter accounts

DOTr April 30 2020

Leaflet on resettlement

Project description Entitlement and schedule Resettlement site Contact/opening time and location of Help Desk/Hotline

DOTr

May 2020

Leaflet on livelihood

Project description Entitlement and schedule Livelihood and Income Restoration Programs Contact/opening time and location of Help Desk/Hotline

DOTr

May 2020

Source: DOTr

K. Capacity Building of GR Officers

mailto:[email protected]

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387. The objective of capacity building activities is ensure that GR officers who are assigned at Local/Central GRM Teams have proper skills and knowledge on all aspects of the Project including the RAP, timeline for construction, Environmental Impact Statement (EIS), health and safety measures, and legal and documentation process. The capacity building activities will be also a means to obtain comments and suggestions from GR officers with regards to validating, improving, and streamlining the GRM.

1. Training Program

388. There are two types of trainings provided, namely: (i) GRM training and (ii) Help Desk training. 389. GRM Training. The GRM Training was undertaken by ADB for GR Officers during the DD phase. This training covered the GRM’s scope, objective, structure, process flow, and system for implementation and monitoring. The results of the assessment conducted by ADB on the existing GRM for the RAP were also presented. One GR officer from Mabalacat LGU received the GRM training conducted on 14 and 15 March 2019 as shown in Table 9-5.

Table 9-5 Summary Information of GRM Training

Date & Time

Venue Main Participant Number of Participants

Male Female Total

14 March 2019 9:00 A.M.

The Redd Manor Hotel, Jose Abad Santos Avenue, San Fernando, Pampanga

DOTr – 9 Malolos, Bulacan LGU – 1 Calumpit, Bulacan LGU – 1 Apalit, Pampanga LGU – 1 Sto.Tmas, Pampanga LGU – 1 San Fernando, Pampanga LGU – 1 Angeles, Pampanga LGU – 1 Mabalacat, Pampanga LGU – 1 Minalin, Pampanga LGU – 1 Manila LGU – 1 ADB – 8 JICA Design Team – 1

10 17 27

15 March 2019 9:00 A.M.

The Redd Manor Hotel, Jose Abad Santos Avenue, San Fernando, Pampanga

DOTr – 9 Malolos, Bulacan LGU – 1 Calumpit, Bulacan LGU – 1 Apalit, Pampanga LGU – 1 Sto.Tmas, Pampanga LGU – 1 San Fernando, Pampanga LGU – 1 Angeles, Pampanga LGU – 1 Mabalacat, Pampanga LGU – 1 Minalin, Pampanga LGU – 1 Manila LGU – 1 ADB – 8 JICA Design Team – 1

10 17 27


390. Help Desk Training. The two-day Help Desk Training was provided by Ecosys, which is JICA Design Team’s RAP sub-consultant for GR officers of Local GR Teams on 4 and 5 April 2019. The training covered the following: (i) the introduction and levelling of expectations; (ii) understanding the RAP, RAP survey process, purpose and clients of the Help Desk; (iii) legal framework; (iv) JICA and ADB guidelines, the DOTr`s Right-of-Way and Site Acquisition Manual (ROWSAM), the Right-of-Way Acquisition Manual of the Department of Public Works and Highways (DRAM), and relevant Philippine laws; (v) the Entitlement Matrix of the RAP; (vi) EJS process; (vii) types of EJS cases and corresponding solutions for each case; (viii) how to handle complaint/grievance cases; and (ix) roles for handing cases. Two GR Officer

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from Mabalacat LGU received the Help Desk training conducted on 4 and 5 April 2019 as shown in Table 9-6.

Table 9-6 Summary Information for Help Desk Training

Date & Time Venue Main Participant Number of Participants

Male Female Total

4 April 2019 8:00 A.M.

ADB DOTr – 18 Malolos, Bulacan LGU – 2 Calumpit, Bulacan LGU – 2 Apalit, Pampanga LGU – 2 Sto.Tomas, Pampanga LGU – 2 Minalin, Pampanga LGU – 1 City of San Fernando, Pampanga LGU – 2 Mabalacat City, Pampanga LGU – 2 City of Manila LGU– 2 ADB – 5 JICA Design Team – 8

19 27 46

5 April 2019 8:00 A.M.

ADB DOTr – 18 Malolos, Bulacan LGU – 2 Calumpit, Bulacan LGU – 2 Apalit, Pampanga LGU – 2 Sto.Tomas, Pampanga LGU – 2 Minalin, Pampanga LGU – 1 City of San Fernando, Pampanga LGU – 2 Mabalacat City, Pampanga LGU – 2 City of Manila LGU– 2 ADB – 2 JICA Design Team – 5

18 22 40


2. Continuous Capacity Building 391. The MCRP PMO will undertake regular training and iteration sessions to ensure that DOTr staff and GR Officers have sufficient understanding of the GRM including updates or changes in GRM procedure and system as well as project details. 392. The training and iteration sessions may include the following but not limited to:

a. GRM Validation Workshop – DOTr staff and Local GR Officers undertake a review of the GRM in terms of GRM principles and sound practices as a guide and/or standards for grievance redress in consideration of human rights. Participants provide inputs on the terms of reference governing the structure and system for implementing the GRM.

b. GR Iteration Session – GR Officers both from the MCRP PMO and LGUs participate in a shorter but more intensive session going through the GRM process flow and specific roles of GRM units or focal points at each level. This session is also merged with an orientation on the EJS process as well as practical case studies.

c. Training of DOTr Trainers – DOTr staff partake in a three-day coaching and facilitating session focusing on communication-based assessment and audience profiling, communication and listening skills, GRM and EJS processes, and provisions under the Environment Compliance Certificate (ECC). A half day was dedicated to case studies, presentations, and critiquing.

L. Monitoring and Reporting on Grievance Redress

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393. The MCRP PMO monitors the grievance redress status monthly and reports the results to JICA and ADB on a quarterly basis by submitting Monitoring Reports on Grievance Redress pertaining to accomplishments and the status of unresolved grievances. The reports form a part of Internal/External Monitoring Reports to be submitted to JICA and ADB. The details are referred to Chapter 13.

1. Local Monitoring

394. Local GRM Team undertakes periodic rapid appraisal that measures the GRM’s effectiveness and efficiency. Local GRM Team monitors the type of grievances, status of resolutions, and grievances forwarded to the third parties or next levels. The newly designed centralized database will have an integral program to enable the processing and generation of information.

395. Monitoring Approach. Monitoring activities to generate data on the GRM’s relevance, effectiveness, and efficiency will range from simple tracking of the progress of cases using the centralized database management and tracking system to site visits and interviews with local key players such as LGU Officials. 396. The results of local monitoring are documented by GR officers and also uploaded on the centralized database management and tracking system under the monitoring tab that contains a specific monitoring template. 397. Reporting. The results of monitoring activities are documented by Local GR Officers and submitted to GRM Managers and Central GRM Team once a month. The monitoring report includes the following: (i) the progress of grievance redress, (ii) raised issues and concerns during SCMs and Focus Group Discussions (FGDs), (iii) comments for improving the GRM, and the (iv) inclusion of monitoring sheets, e.g., the numbers of grievances received and resolved and categories of complaints received at the Help Desk.

2. Central Monitoring.

398. Central monitoring is the integration of all local-level monitoring using information from the centralized database and qualitative and/or quantitative information from local monitoring reports including information on the progress and gaps of grievance resolution. The DOTr's GRM Manager prepares a formatted narrative report on a monthly basis. 399. Monitoring Approach. The central monitoring is conducted for all levels of the GRM based on the centralized database. This enables GRM Team to get a picture of the progress of all grievances. It will help verify if there are any abnormal number of complaints of the same nature. It will enable problem identification. For example, if the receiving rate of grievances at the Central Hotline is irregular, then GRM Team can analyze if there are any systematic errors. GRM Team can also examine if there are consistent delays in reaching resolutions and accordingly investigate the cause of such delays. 400. Reporting. Central GR Officers monitor the type of grievances and the status of resolutions mainly using the information from the database. The monitoring report provided includes grievances received through the Hotline and grievances raised to the other levels of the GRM. The results of central monitoring will be documented by GRM Managers on a monthly basis. The monitoring report includes the following: (i) the progress of grievance redress, (ii) summary of GRM activities such as meetings or capacity-building training, (iii) comments for improving the GRM, (iv) monitoring sheets, e.g., the numbers of grievances received and resolved and the categories of complaints for each level, (v) analysis of

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grievances according to common themes and areas for improvements, (vi) recommendations for further actions to reduce similar grievances in the future. M. Continuous Update of the GRM 401. The GRM policies and procedures will be updated every six months to streamline the process where needed. Discussions and revisions will be made by Central GRM Team based on recommendations. If necessary, interviews will be conducted directly with Local GRM officers on the site. The updated GRM will be promptly distributed to the Local Help Desk and Central GR Officers.

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10. CHAPTER 10: RAP IMPLEMENTATION ARRANGEMENTS

402. This chapter discusses the implementation arrangement for the Resettlement Action Plan (RAP) of the Project. Specific functions of each implementing body and its relevance to the roles of the Department of Transportation (DOTr) as the Implementing Agency (IA) are explained in detail. Table 10-1 summarizes implementing units and coordinating bodies for the Project, while the RAP implementation structure is shown in Figure 10-1.

Table 10-1 Implementing Units and Coordinating Bodies

Body/Unit Purpose/Key Responsibility Type of Unit Frequency of Meeting

Number of Member/Staff

Prim

ary

Im

ple

menting

U

nit

MCRP Project Management Office (PMO)

Primarily responsible for the implementation of the Project including the RAP implementation

Project-based office

Weekly and as needed

More than 300 (67 dedicated to RAP implementation)

Appro

vin

g

Com

mitt

ee

DOTr's Technical Working Committee (TWC)

Responsible for Right-of-Way (ROW) acquisition for all DOTr projects. This unit is the final approving body for a decision by the DOTr pertaining to all ROW acquisition.

Committee As needed 11

Coord

inatin

g B

od

ies

Project Inter-Agency Committee (PIAC)

Primarily responsible for establishing institutional linkages among concerned government offices and creating inter-agency policies for efficient implementation of RAP components.

Project-wide committee

Quarterly 11

Technical Working Group (TWG) under PIAC

Responsible for actual inter-agency coordination at the project-wide level. Representatives are responsible for cascading the function/role of their respective agencies for the implementation of the RAP and the agreements/policies/plans agreed at the PIAC/TWG level to field offices or concerned sub-units.

PIAC sub-committee

As needed 21

RAP Implementation and Management Committee (RIMC)

Recommendatory and coordinating committee for the RAP implementation at the local level.

City/municipality-level committee

Every other week

16


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Figure 10-1 RAP Implementation Structure (as of February 2020)


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A. Department of Transportation

403. The DOTr supervises and coordinates the implementation of all activities, monitor compliance with this RAP, secure sufficient funding for all resettlement-related activities, allocate resources in a timely manner, set target outputs with corresponding timelines, monitor a progress, consolidate reports from all sources, document gaps, and find appropriate solutions. Such general roles of the DOTr as the Implementing Agency (IA) is largely carried out by a special office created for this purpose, the MCRP Project Management Office (PMO). 404. The DOTr is headed by the Department Secretary who directly reports to the President of the Philippines. The Department Secretary is assisted by several Undersecretaries that head their respective divisions. For the Project, the Undersecretary for Railways will directly supervise the MCRP PMO and make critical decisions related to the RAP implementation. 405. As per guidance in the DRAM, before the DOTr issues the Notice of Award for the construction contract, DOTr will obtain at least a Permit to Enter (PTE) the ROW from the owner, or a notarized DAS or Deed of Donation executed in favour of the government, or a Writ of Possession (WOP) from the concerned court, as the case may be. Given the nature of the investment as a large multi-year project, the Notice of Award may be immediately issued to cover the entire project, but the Notice to Proceed (NTP) may be issued by segment according to the phased implementation of the project with corresponding phased delivery of the required ROW. In such a case, the general practice is that each ROW phase should provide a land area free from obstructions with at least a PTE to enable the contractor to do at least six months of continuous construction. 406. Works contracts will not be awarded until after final approval of the updated RAP. Construction in any affected areas will not be allowed to commence until full compensation has been paid and relocation, when necessary, is completed in accordance with this RAP. Before giving possession of a relevant site to the contractor, DOTr will confirm to ADB that the required RAP provisions have been satisfactorily completed and furnish details on compensation and entitlements provided and resettlement assistance provided. After ADB’s acknowledgement, the notice to proceed will be issued by DOTr to the Contractor. 407. In Mabalacat Depot and Mainline project site, BCDA/DOTr will issue PTE to contractor with some 33 hectares’ available land that is free and clear at day one of commencement of civil works. The free and clear land is defined as land without project affected persons, compensable trees, crops, and utilities. Prior commencement of works, RAP is approved and the DOTr will ensure that the contractor will provide safe access to the community that live beside the project premises. 408. Construction in any impacted areas will not be allowed to commence until full compensation has been paid and when necessary is completed in accordance with this RAP. Before giving possession of a relevant site to the contractor, DOTr will confirm to ADB that the required RAP provisions have been satisfactorily completed and furnish details on compensation and entitlements provided and resettlement assistance provided. After ADB’s acknowledgement, the notice to proceed will be issued by DOTr to the Contractor.

1. DOTr's Technical Working Committee44 409. Department Order (D.O.) No. 2013-05 created the Technical Working Committee (TWC) for the acquisition of Right-of-Way (ROW) for infrastructure projects under the management of the DOTr. The Undersecretary for Legal and Procurement and the Undersecretary for Planning are members of the TWC. The TWC provides legal and technical support to all PMOs under the DOTr including the MCRP PMO.

44 To be replaced by the DOTr's Right-of-Way and Site Acquisition (ROWSA) Committee once created.

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410. Roles and Responsibilities of the DOTr’s Technical Working Committee. The roles and responsibilities of the DOTr's TWC are summarized below.

a. Evaluate, examine, and approve documents45 pertaining to all properties to be acquired that have already undergone due diligence by the MCRP PMO; and

b. Endorse documents for compensation as per the Entitlement Matrix of this RAP.

411. Composition of the DOTr’s Technical Working Committee. The DOTr's TWC is established under the Office of the Undersecretary for Legal and Procurement. D.O. 2013-05 specifies the composition of the TWC as shown in Table 10-2.

Table 10-2 Composition of the DOTr's Technical Working Committee

Position Member 1 Leader Chairman: Director, Legal Service

Vice-chairman: Director Planning Service 2 Member Executive Director concerned

Chief, Legal Affairs and Research Division Project Manager/Engineer concerned Representative of Legal Service Representative of Planning Service Representative of Finance and Comptrollership Service Representative of Procurement Supply and Property Management Service

3 Observer Representative of the Commission on Audit (COA) Resident Auditor Source: DOTr

2. MCRP Project Management Office 412. The MCRP PMO is the primary project implementing unit of the DOTr for the Project including the RAP implementation in accordance with the Guidelines for Environmental and Social Considerations of the Japan International Cooperation Agency (2010) and the Safeguards Policy Statement (SPS) of the Asian Development Bank (ADB) (2009) on involuntary resettlement. A functioning MCRP PMO carries out the responsibilities laid out in this RAP. 413. Roles and Responsibilities of the MCRP PMO. The roles and responsibilities of the MCRP PMO pertaining to the RAP are summarized below.

A. General Functions a. Lead and manage overall implementation of this RAP; b. Synchronize resettlement activities and land acquisition with the project

construction schedule and similarly closely coordinate with contractors to ensure that civil works are aligned with the RAP implementation;

c. Coordinate with other partner institutions in the RAP implementation such as the National Housing Authority (NHA), the Department of Human Settlements and Urban Development formerly HUDCC, Local Government Units (LGUs), Government Financial Institutions (GFIs), and the Department of Finance (DOF);

d. Ensure the timely implementation of the RAP, specifically, the acquisition of the ROW, resettlement of Project-Affected Persons (APs), and the implementation of the Livelihood Restoration and Improvement Program (LRIP);

45 Including the signing of the Offer to Buy (OTB) to be issued by the DOTr's MCRP PMO to property owners.

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e. Supervise the general consultant in matters pertaining to the RAP; f. Create a database of APs accessible to all involved agencies nationwide and

set guidelines in accessing this database to maintain confidentiality of information to protect the privacy of APs;

g. Lead responses to unanticipated impacts due to the Project, preparing safeguards documents/reports as required by JICA and ADB;

h. Lead all project-related committees and assign secretaries; i. Prepare detailed action plans, schedules, targets, and resource allocation

plans to effectively implement the RAP; j. Ensure that sufficient human resources are available to implement the RAP; k. Operate and maintain the Grievance Redress Mechanism (GRM), ensuring

availability of all required resources such as budget, staff, office space, transport, and supplies;

l. Ensure that adequate budgets and required funds are available to implement the RAP and all related safeguards plans and activities and make all required payment to APs including monthly rental allowances in a timely manner;

m. Disclose information about the RAP implementation in a timely and meaningful manner and involve APs in the RAP implementation;

n. Monitor and report all RAP-related activities, identifying issues and implement corrective actions as outlined in the RAP;

o. Update the RAP including any other safeguard documents as required by JICA and ADB;

p. Ensure that unanticipated impacts are addressed according to the RAP; q. Prepare monthly and quarterly monitoring reports on the RAP

implementation, post-completion and evaluation reports, and semi-annual internal monitoring and evaluation reports for submission to JICA and ADB;

r. Ensure the engagement of the External Monitor Agent (EMA) during the RAP implementation; and

s. Act under the overall direction of the Undersecretary for Railways.

B. Right of Way and Land Acquisition a. Conduct all required surveys to determine affected persons and assets as

needed; b. Ensure that all eligible APs provided with their respective entitlements are

identified according to the RAP and are relocated and/or compensated as per the RAP;

c. Update and maintain the database on APs and their assets needed for effective implementation and monitoring of RAP activities;

d. Conduct the validation of affected persons including land lease users and informal settlers and assets as well as the verification of eligibility jointly with or independently from other agencies;

e. Provide assistance to APs to complete the preparation of necessary documents when needed;

f. Ensure the timely procurement of GFI services and monitor appraisal of affected properties, thereafter;

g. Issue the Notice of Taking (NoT) and Offer to Buy (OTB) duly approved and signed by proper authorities;46

h. Assist APs in securing required documents, particularly in Extra Judicial Settlement (EJS) cases;

i. Pay full compensation to APs prior to incurrence of loss and before land clearing;

j. Lead and manage the timely clearing of the ROW and relocation of APs;

46 The Notice of Taking (NoT) will be signed by the head of ROWA Team while Offer to Buy (OTB) will be signed by the TWC Chairman.

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k. Any additional land acquisition is required to be assessed for resettlement impacts, and safeguard documentation will be prepared and approved by JICA and ADB prior to land acquisition and clearing.

C. Relocation and Resettlement

a. Set guidelines and policies in issuing the official masterlist of affected households and persons ensuring that the only legitimate AHs/APs will be provided with compensation and relocation assistance;

b. In coordination with LGUs and the Presidential Commission for the Urban Poor (PCUP), issue the Notice to Vacate or Eviction Notice in case that APs refuse to sign an Agreement to Demolish and Remove Improvements (ADRI);

c. Initiate the application and completion of requirements for the issuance of the Certificate of Compliance (COC) prior to displacement of APs and dismantlement of their structures;

d. Ensure that a resettlement site is complete with all the necessary utilities, community facilities, and social services;

e. Implement and monitor rental subsidies for temporary accommodations during the interim stage including the timely payment of allowances to APs;

f. Provide transportation for APs and their belongings including salvageable materials;

g. Provide food assistance for APs; h. Implement self-relocation options; and i. Provide resettlement assistance to affected landowner claimant households.

D. Implementation of the Livelihood Restoration and Improvement Program

a. In coordination with concerned member agencies of the Project Inter-Agency Committee (PIAC), the RAP Implementation and Management Committee (RIMC) and the Local Housing Board (LHB) implement the LRIP;

b. Create a division within the MCRP PMO or assign dedicated persons to supervise and implement the LRIP that is not covered by partner agencies;

c. Monitor the use of the compensation capital provided to APs; d. Maximize the use of other livelihood programs where they are available for

APs; and e. Arrange employment for APs in construction works for the Project.

E. Preparation and Submission of Reports

a. Submit all necessary reports to the Undersecretary for Railways periodically (on a monthly basis) pertaining to the RAP implementation;

b. Conduct internal monitoring of the RAP implementation and prepare monthly, quarterly, and semi-annual monitoring reports/updates; and

c. Prepare and consolidate reports for the future reference. 414. Composition of the MCRP PMO. As of 15 May 2019, the MCRP PMO has seven divisions: (i) Management; (ii) Civil Works; (iii) Systems; (iv) Rolling Stock; (v) Engineering Support; (vi) Environment, Resettlement, ROW, Legal; and (vii) Administration and Support. The MCRP PMO structure is illustrated in Figure 10-2 and the number of positions per division is indicated in Table 10-3.

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Figure 10-2 Structure of the Project Management Office (as of 15 May 2019)

Source: DOTr

Table 10-3 Composition of the Project Management Office (as of 15 May 2019)

No. Division Position Number of Positions

1 Management Engineer Project Officer Project Development Officer

17

2 Civil Works Engineer Architect Project Development Officer

180

3 Systems Engineer 23 4 Rolling Stock Engineer 11 5 Engineering Support Attorney

Project Development Officer Engineer

56

6 Environment, Resettlement, ROW, Legal

Attorney Project Development Officer Community Development Officer Engineer Architect

128

7 Administration and Support Project Development Officer Administrative Officer Budget Officer Accountant

35

Total 450 Source: DOTr

B. Partner Institutions

415. The DOTr cooperates with other government agencies to implement this RAP. The partner institutions are categorized as (i) project-wide partners at the national level and (ii) site-specific partners at the local level.

1. Project-Wide Partner Institutions

416. Since the Project cuts across two provinces and multiple cities/municipalities, the PIAC will be created to convene these agencies for a coordinated course of action. 417. Project Inter-Agency Committee (PIAC). The PIAC is responsible for creating inter-agency policies or agreements regarding resources, information exchanges, and program linkages for effective implementation of the RAP in accordance with the relevant laws of the Philippines, JICA Guidelines (2010) and ADB SPS (2009), and the policies outlined in this RAP. It is a project-wide coordination committee to make required resources, programs, and information available and accessible to the local level units of national departments and LGUs. A joint Memorandum Circular series of 2019 has been prepared and now being circulated for signature to all PIAC members (Appendix 8). 418. The functions of the PIAC are as follows:

142

a. Make a final approval on project-specific policies that will support the RAP implementation within the policies outlined in the RAP;

b. Establish and support the PIAC's Technical Working Group (TWG) and assist the MCRP PMO in the RAP implementation and the provision of social welfare benefits; and

c. Review, deliberate, and provide resolutions and actions on grievances and complaints elevated to the PIAC.

419. The composition of the PIAC is shown in Table 10-4.

Table 10-4 Composition of the Project Inter-Agency Committee

Position Members

Chair DOTr Co-Chair HUDCC Member Philippine National Railways (PNR)

Department of the Interior and Local Government (DILG) Department of Trade and Industry (DTI) Department of Labor and Employment (DOLE) Department of Social Welfare and Development (DSWD) Department of Environment and Natural Resources (DENR) Department of Agrarian Reform (DAR) Department of Finance (DOF) Department of Agriculture (DA) Department of Education (DepEd) Department of Health (DOH)


420. The roles and responsibilities of PIAC members are summarized in Table 10-5.

Table 10-5 Roles and Responsibilities of Project Inter-Agency Committee Members

Agency/Organization Roles and Responsibilities 1

DOTr (Undersecretary for Railways)

• Serve as the PIAC Chair and preside on all meetings of the committee;

• Present desired and specific policies needed to ensure the compliance with ADB and JICA guidelines and effective implementation of the RAP;

• Act on the matters elevated to the PIAC by the GRM's Help Desk in coordination with other partner agencies and based on the recommendations of the TWG; and

• Assign a dedicated secretariat to document meetings of the committee, prepare letters, set a meeting schedule and venue, consolidate reports, provide updates to member agencies, TWG, and its committees, and follow-up on actions/reports of participating agencies, TWG, and its committees.

2

DHSUD47

• Serve as the PIAC Co-chair; • If necessary, craft policies that will provide flexibility to the DOTr's

partner Key Shelter Agencies (KSAs) with regards to the provision of relocation sites to APs such as, but not limited to, the involvement of Pag-IBIG Funds and other socialized housing projects administered by Non-Government Organizations (NGO) or Civil Society Organizations (CSO); and

• Inform the committee on issues that can only be resolved at their level and recommend solutions.

47 The Department of Human Settlements and Urban Development (DHSUD) replaced the Housing and Urban Development Coordinating Committee (HUDCC).

143

Agency/Organization Roles and Responsibilities 3

Other members

• Attend meetings; • Approve and implement policies presented by the DOTr, the

Chair; • Sign all PIAC instruments on behalf of their agency; and • Provide inputs and recommendations to address implementation

issues. Source: JICA Design Team

421. Technical Working Group (TWG) Under the PIAC is the TWG composed of representatives from the concerned PIAC members. The TWG will draft policies and make resolutions of RAP issues to be approved by the PIAC. The TWG may decide on matters pertaining to the RAP without the approval of the PIAC as long as the decision is clearly within the stated actions and policies within the RAP. 422. The functions of the TWG are as follows:

a. Determine how to mobilize resources of PIAC member agencies to support the RAP implementation;

b. Define other roles and responsibilities and corresponding deliverables of each member agencies/units in the RAP implementation including the LRIP;

c. Identify gaps in policies and resources and inform their department heads (when necessary) to allocate resources or create a policy at the PIAC level to ensure efficient implementation of this RAP; and

d. Act upon RAP issues within their capacity and allocate resources when needed.

423. There are two clusters to be formed under the TWG: (i) Cluster for Livelihood and (ii) Cluster for Relocation and Resettlement. These clusters may conduct meetings independently, but the DOTr may call for a joint meeting whenever necessary. The composition of the TWG is summarized in Table 10-6.

Table 10-6 Composition of the Technical Working Group Position Agency/Organization

Chair DOTr's Undersecretary for Railways/MCRP PMO Project Director Co-chair DHSUD Member NHA–Livelihood Division

LGU's representative for livelihood restoration, i.e., Public Employment Service Office (PESO) DSWD (Operations and Programs Group–Promotive Programs) Technical Education and Skills Development Authority (TESDA) PNR LGU's representative for relocation, i.e., Local Housing Office (LHO)/Local Housing Board (LHB) Head NHA–North and Central Luzon (NCL) Home Development Mutual Fund (HDMF or Pag-IBIG Fund) Bureau of Internal Revenue (BIR) District Office Department of Environment and Natural Resources–Land Management Bureau (DENR-LMB) Philippine Overseas Employment Administration (POEA) Construction Manpower Development Foundation (CMDF) under the Construction Industry Association of the Philippines (CIAP) Small Business Corporation (SBC) under the DTI Cooperative Development Authority (CDA) PCUP DA DAR District Office

144

Position Agency/Organization

Commission on Human Rights (CHR) DOH DepEd


2. Key National-Level Partners

424. Below are details of the national-level government partners which have key responsibilities for the RAP implementation. Some of these agencies are key partners where the DOTr has the existing Memorandum of Agreement (MOA) that relates specifically to the project, and the others are valuable members of the PIAC (or both). 425. Department of Human Settlements and Urban Development (DHSUD). The DHSUD as a council is mandated to coordinate and monitor activities of all government agencies undertaking housing projects including those of LGUs to ensure the accomplishment of goals of the government’s housing programs. Thus, the DOTr has partnered with the DHSUD for this Project. Within an agreed Memorandum of Agreement (MOA). In addition to its responsibilities as the PIAC Co-chair, the DHSUD has the following additional responsibilities:

a. Coordinate with other National Government Agencies (NGAs) for the implementation of the RAP and the LRIP;

b. Monitor activities of partner agencies in terms of the RAP implementation; c. Initiate the creation of relocation programs for the Project and draft policies

to support and enable them; d. Adopt or sponsor policies to allow innovative relocation strategies; e. Assist in the creation of the RIMC at each LGU; f. In coordination with the Housing and Land Use Regulatory Board (HLURB),

consolidate inventory of vacant/idle land that may be used as relocation sites;

g. Facilitate fast accreditation/registration of homeowners’ associations; h. Coordinate with DepEd to facilitate the seamless transfer of students; i. Coordinate with the DOH to facilitate the seamless transfer of health

records of APs to continue their access of health services in their new locations;

j. Ensure that all activities related to clearing of structures, demolition, or eviction are in accordance with provisions of the relevant laws;

k. When necessary, contract a Non-Government Organization (NGO) or create a dedicated group of staff within the HUDCC to implement the livelihood restoration program envisioned in this RAP that is not covered by the Key Shelter Agencies (KSAs);

l. Submit quarterly reports to the MCRP PMO regarding the progress and the result of their coordination and monitoring activities including, but not limited to, relocation site preparation, the number and names of APs relocated (from where to where), the schedule of relocation, the number and names of APs not yet relocated, target completion of all relocation activities, and other reports as may be required by the MCRP PMO; and

m. Provide data and documents as may be needed by EMA during project monitoring and evaluation.

426. National Housing Authority. The DOTr has partnered with the NHA to implement the socialized housing program for the Project, through the MOA signed in 3 September 2019. In addition to their role as a member of the PIAC, the NHA’s roles and responsibilities are as follows:

145

a. Assist in the validation of beneficiaries by cross-checking the validated master list into the Alpha List;

b. Implement the process of the Community-Based Initiative Approach (CBIA) to ensure that the selection of resettlement sites involves the participation of APs;

c. Identify and develop resettlement sites with all utilities, community facilities, and other related infrastructure;

d. Closely coordinate all NHA resettlement activities with the MCRP PMO and LGUs;

e. Assist LGU and DOTr in securing temporary accommodation/rental facilities for the AHs for their immediate transfer meantime while waiting for the completion of their housing units in the resettlement site.

f. Organize the transfer of Non-landowner families and provide transportation to temporary accommodations and resettlement sites;48

g. Submit quarterly reports of obligations and disbursement including a report of check issued, as required by the MCRP PMO; and

h. Perform other functions as necessary to effectively carry out the provisions of this RAP relating to NLOs/ISFs.

427. Philippine National Railways (PNR). The PNR is an attached agency of the DOTr will provide the MCRP assistance in the following:

a. Supply information manpower assistance to assist the LGU and DOTr in the relocation activities particularly to AHs/APs during relocation;

b. Provide police force for security of RAP implementers or for other purposes as needed.

428. Department of the Interior and Local Government (DILG). The DILG as a national agency focused on local governments is responsible for the following:

a. Gain cooperation of LGUs in the conduct of resettlement activities by exercising general supervision over local governments;

b. Liaise with LGUs refusing the relocation of NLOs/ISFs from other cities or municipalities and determine possible assistance to accommodate relocatees;

c. Provide capacity building to LGUs, particularly the Local Housing Board (LHBs), Local Housing Office (LHO) and Local Social Welfare and Livelihood Offices in implementing housing and resettlement programs as necessary; and

d. Facilitate coordination between sending and receiving LGUs.

429. The Department of Trade and Industry (DTI). DTI will provide support to the LRIP implementation as follows:

a. Provide industry road mapping per receiving LGU; b. Facilitate access to grants and government soft loan programs through

accredited Microfinance Institutions (MFIs) or the Small Business Corporation (SBC) and other forms of financial assistance including shared services facilities and equipment and other support for Micro Small and Medium Enterprises (MSMEs) through NGAs;

c. In coordination with the DOLE, provide training and help create a network for establishing online businesses or other home-based enterprises for interested APs including homemakers, female household heads, Person with Disability (PWD), and the elderly; and

d. Provide data and documents as may be needed by the EMA during project monitoring and evaluation.

48 Funds to be provided by the DOTr from the RAP budget.

146

430. Small Business Corporation (SBC). SBC will support the LRIP through its priority support as follows:

a) Assist APs in accessing soft loans through government loan programs; and b) Link qualified APs to MFIs and banks to access a higher loan amount to help

them re-establish their businesses.

431. Department of Labor and Employment (DOLE). DOLE will similarly assist the LRIP through their mandate to support employment.

a. In coordination with the MCRP PMO, provide Kabuhayan Starter Kits or facilitate access to the DOLE's Integrated Livelihood and Emergency Employment Program (DILEEP), Nego-Kart (Negosyo sa Kariton) Project, and Kabuhayan Restoration Package (PhP 10,000) to qualified/trained vulnerable and underprivileged APs;

b. Provide labor market information on Key Employment Generators (KEGs) and hard-to-fill and in-demand occupations (domestic and overseas) to serve as a basis in identifying relevant training programs for APs through the TESDA;

c. Conduct job fairs in project-affected areas; d. Conduct career guidance and employment coaching to APs; and e. Provide data and documents as may be needed by the EMA during project

monitoring and evaluation.

432. Philippine Overseas Employment Administration (POEA). POEA provides assistance to overseas workers and promotes overseas employment for Filipinos. For the project, they will conduct the following:

a. Conduct job fairs for overseas employment opportunities; b. Provide lists of employment opportunities abroad that can cater to the type

of available skills and skills training completed by APs; and c. Provide data and documents as may be needed by the EMA during project


433. Technical Education and Skills Development Authority (TESDA). TESDA serves as the Philippines' technical vocational education and training authority and will support the project as follows:

a. In coordination with the MCRP PMO, KSAs, the DOLE, and the DTI, conduct series of skills training to APs;

b. Facilitate provision of financial support to APs during training including food and transportation allowances and compensation for income loss (for wage-based earners) for each day of being absent from work to attend training;49

c. Partner with other institutions offering technical and skills development courses particularly in cases where needed training is not in its regular course offerings;

d. Offer scholarship or training vouchers to APs; e. Assist APs in acquiring desired certifications (such as NCII); and f. Provide data and documents as may be needed by the EMA during project

monitoring and evaluation. 434. Cooperative Development Authority (CDA). CDA promotes the sustained growth and development of cooperatives in the Philippines and will contribute to the LRIP as follows:

a. Assist APs in organizing cooperatives; b. Conduct free seminars on cooperative development in areas accessible to

APs; c. Facilitate fast registration of APs’ cooperatives;

49 Funds will be transferred by the DOTr to TESDA.

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d. Provide links to funding agencies and grants to help APs’ cooperatives start their operation;

e. Provide market links for their products and services; and f. Provide data and documents as may be needed by the EMA during project


435. Home Development Mutual Fund (HDMF) or Pag-IBIG Fund. HDMF supports adequate housings through an effective savings scheme. For the project, it will conduct the following:

a. Provide a list of Pag-IBIG foreclosed properties to the MCRP PMO to inform APs of the available options they have for assisted housing program; and

b. Facilitate a fast approval of housing loans by assigning a special lane for APs.

436. Presidential Commission for the Urban Poor (PCUP). PCUP serves as the direct link of the urban poor to the government in policy formulation and program implementation addressed to their needs. For the project, the PCUP will conduct the following:

a. Assist in serving the Notice to Vacate and Notice of Eviction in case that APs refuse to sign an ADRI;

b. Participate in pre-relocation consultation meetings with APs; c. Assist the MCRP PMO in linking with concerned agencies as regards the

provision of basic services and facilities such as roads, schools, livelihood sites, material recovery facilities (MRF), and clinics;

d. Monitor all demolition and eviction activities involving underprivileged and homeless citizens in accordance with its mandate and Executive Order (E.O.) No. 152 as amended by E.O. 708 and E.O. 69;

e. Prepare reports on the compliance or non-compliance of the activities; f. Document actual conduct of relocation and dismantlement of structures and

orient the MCRP PMO on the guidelines in the implementation and supervision of actual demolition and eviction pursuant to Sections 27, 28, and 30 of R.A. 7279 and its IRR; and

g. Facilitate a pre-demolition conference whenever necessary. 437. Commission on Human Rights (CHR). CHR is an independent constitutional office with the primary function of investigating all forms of human rights violations involving civil and political rights in the Philippines. For the project, the CHR will assist as a third-party monitor as follows:

a. Monitor the conduct of eviction and demolition; and b. Monitor provision of basic social services at relocation sites.

438. Department of Agrarian Reform (DAR). DAR is responsible for the redistribution of agrarian land in the Philippines. It will conduct the following:

a. Provide recommendations and inter-agency support to fast-track land conversion for the project and social housing purposes, where needed;

b. Provide and validate data on land ownership obtained through comprehensive land reform programs such as, but not limited to, Emancipation Patents (EP) and Certificate of Land Ownership Award (CLOA);

c. In coordination with LGUs, support the MCRP PMO in researching land for land opportunities for APs;

d. In coordination with LGUs, facilitate land conversion for social housing purposes;

e. Identify agricultural land suitable for conversion to the residential use for socialized housings; and

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f. Provide data and documents as may be needed by the EMA during project monitoring and evaluation.

439. Department of Environment and Natural Resources (DENR). DENR is responsible for governing and supervising the exploration, development, utilization, and conservation of the country's natural resources. Specifically, for the project, the DENR will conduct the following:

a. Facilitate the fast titling of untitled land that is suitable for relocation sites; b. Provide inter-agency links to fast-track the process of securing the

Environmental Compliance Certificate (ECC) and other environmental permits related to social housings;

c. Recommend solutions to issues related to land titling; and d. Facilitate the issuance of certifications for alienable and disposal land as

supporting documents to untitled land that will be subject to ROW acquisition.

440. Department of Finance (DOF). DOF formulates revenue policies that will ensure funding of critical government programs that promote welfare among Filipinos and accelerate economic growth and stability. For the project-related resettlement and land acquisition activities within this RAP, the DOF will have specific duties as follows:

a. Direct, through an appropriate circular, the Bureau of Internal Revenue (BIR) to allow partial payment of estate or inheritance tax for ROW-affected properties instead of paying for all properties owned by the deceased;

b. Facilitate the issuance of documentary requirements relating to EJS cases; and

c. Facilitate on-time issuance of BIR ruling and the electronic Certificate Authorizing Registration (CAR) for lot titling for relocation sites.

3. Site-Specific (Local-Level) Partner Institutions 441. Site-specific partners refer to offices, units, or special bodies that have an implementing arm in specific city/municipality and will work directly with APs. 442. RAP Implementation and Management Committee (RIMC). The RIMC will be the venue for MCRP PMO to coordinate activities in the RAP implementation at the city/municipal level. It will be responsible for channelling information across LGU offices and the MCRP PMO to bridge gaps in policies and resources and promptly deliver assistance and responses to APs. A MOA will be created to formally operate the RIMC. The RIMC will have the following functions:

a. Draft and approve project-specific policies applicable at the local level that are not in contrary to and may have not been covered by the provision of the approved RAP;

b. If necessary, request the municipal /city council to pass a resolution to reduce penalties for delinquent business operators, i.e., those operating without business permits and real property taxpayers;

c. Perform the oversight function in the planning, implementation, and monitoring and evaluation of resettlement-related activities including, but not limited to: • Implementation and monitoring of rental allowances; and • Provision of resettlement assistance to legal/private affected

households. d. Implement the LRIP particularly for the following:

• Affected businesses, e.g., commercial, agricultural, aquaculture, institutional, industrial, and manufacturing;

• Affected micro-businesses (home-based or non-home based); and • Displaced employees and workers of affected businesses.

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e. Act as the implementing arm of the TWG and the PMO in the actual execution

of plans and programs for resettlement and livelihood restoration and the provision of social services at each LGU;

f. Consolidate and mobilize resources at the local level to hasten efficient implementation of the RAP; and

g. Review, deliberate, and provide resolutions and actions on grievances elevated to the RIMC.

443. The RIMC is composed of the following:

Table 10-7 Composition of the RIMC Committee Members

1

Main Committee

Chairman: Project Director of the DOTr's MCRP PMO Co-chairman: Chief Executive, city/municipality Members DOTr's Legal Office Representatives DOTr's Right-of-Way and Site Acquisition (ROWSA) Committee Representative LGU's Administrator/Legal Office Representative LGU's Housing and Resettlement Office (HRO)/LHO Head LGU's Local Economic and Investment Promotions Office (LEIPO)/PESO/City Development Office (CDO) Head LGU's Assessor’s Office Representative LGU's Engineering Office Representative LGU's Business Permit and Licensing Office (BPLO) Representative LGU's Social Welfare Department Representative DTI Representative NHA Representative Barangay Chairperson Representative of formal APs Representative of Non-land owner (NLO) families

2

Sub-committee on ROW Acquisition

Head: MCRP PMO Members DOTr's Legal Office Representative LGU's Legal Office LGU's Assessor’s Office Representative LGU's BPLO Representative LGU's Engineering Office Representative

3

Sub-committee on Relocation

Head: MCRP PMO Members LGU's LHO Head NHA Representative CHR Representative LGU Representative Representative of Non-land owner (NLO) families

4

Sub-committee on Livelihood Restoration

Head: MCRP PMO Members LGU's LEIPO/PESO/CDO DTI Representative TESDA Representative LGU's SWD Representative of legal APs Representative of Non-land owner (NLO) families CSO representative

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Committee Members

5

Sub-committee on Grievance

Head: MCRP PMO Members DOTr's Legal Office Representative LGU's Legal Office Representative Barangay Chairperson Representative of legal APs Representative of Non-land owner (NLO) families


444. The following table describes the roles and responsibilities of RIMC members.

Table 10-8 Roles and Responsibilities of RIMC Members

Agency/Organization Roles and Responsibilities

1

Project Manager of the MCRP PMO

• Serve as the RIMC Chair and preside on all meetings; • Gather all other issues related to the project, ROW acquisition,

relocation, livelihood restoration, and grievances and discuss appropriate actions with RIMC members; and

• Assign a dedicated secretariat. 2

LGU's Chief Executive

• Serve as the RIMC Co-chair; • Make available local resources, networks, and programs for the

project to prevent duplication of works and tasks; • Identify land for relocation sites; • In coordination with local offices, make information and resources

available and accessible to project implementers; and • Instruct LGU officers, staff, and barangay officials to give full

cooperation and support to project implementers which includes on-time provision of services and, if needed, coordination to other agencies.

3

DOTr's Legal Office Representative

• Provide a legal opinion on EJS cases and other land acquisition issues;

• Coordinate with NGAs and LGU offices to determine how APs can be assisted by the DOTr in securing documents regarding their properties;

• Draft and review project-related policies; and • Initiate the filing of expropriation cases if needed.

4 City Administrator/Legal Office Representative

• Provide a legal opinion on grievances and issues related to local policies and processes; and

• Provide a legal advice on how APs can be assisted by LGUs in securing documents regarding their properties.

5

Barangay Chairperson

• Provide accurate information to constituents; • Gather issues from barangay residents and businesses and

present them to the committee for discussion; and • Disseminate accurate information to barangay residents and

businesses as discussed in the committee meeting. 7

Representatives of non-land owners/ISFs

• Represent informal APs in the committee and represent the committee to informal/non-land owners APs;

• Gather issues and questions of APs and present them to the committee for discussion;

• Make clarification on agreements and disseminate accurate information to other APs; and

• Gather and present recommendations of non-land owners/ISFs on relocation issues.

8 Representatives of PIAC member agencies

• Attend meetings and provide updates on the progress of activities/programs assigned to their respective agencies; and

• Report the status of RAP implementation at the LGU level to their TWG and PIAC representatives and inform them of

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Agency/Organization Roles and Responsibilities

implementation issues that can be addressed at the higher level of their respective agencies.

9

Other members

• Attend meetings and provide updates on the progress of tasks assigned to their office/unit; and

• Inform the committee on implementing issues and recommend solutions.


445. There are four RIMC sub-committees. Their roles and responsibilities are summarized in Table 10-9.

Table 10-9 Roles and Responsibilities of Sub-Committees of the RIMC Sub-committee Function Roles and Responsibilities

Sub-committee on ROW Acquisition

The Sub-committee on ROWA will work with the DOTr's TWC/ROWSA Committee in land and other real property acquisition. It will be composed of representatives from the ROWSA Committee, the DOTr's Legal Office, and the following LGU offices: (i) Legal Office, (ii) City Assessor’s Office, (iii) BPLO, and (iv) Engineering Office. A representative from legal APs will also be elected as a member of this sub-committee.

• Monitor the issuance of the NoT; • Review and verify the list of affected real

properties; • Conduct due diligence on the documents

presented by a property claimant; • Expedite, as appropriate, the issuance of

certified true copies of tax declaration for land and improvements or improvements only as well as other documents that may be required.

• Expedite, as appropriate, the issuance of tax clearances;

• Facilitate the issuance of business permits/licenses to APs who operate their own businesses;

• Make a representation, as appropriate, to the city/municipal councils to request necessary resolutions that would relax stringent local ordinances that may inflict financial burdens to APs;

• Identify other means to assist APs in securing necessary documents to avoid expropriation as much as possible; and

• Prepare a list of legal APs who refuse the Offer to Buy (OTB) and endorse it to the DOTr’s Legal Department for the filing of expropriation cases.

Sub-committee on Relocation

The Sub-committee on Relocation will consist of the Local Housing Hoard (LHB) and will be chaired by mayors.

• Validate the list of affected non-land owners/ISFs;

• Verify eligibility and pre-qualify the families;

• Finalize the list of vulnerable households; • Facilitate the issuance of necessary

permits and certificates for the ROW clearing;

• Facilitate the issuance of building permits to developers of relocation sites;

• Link APs to developers with existing Pag-IBIG properties within the same city/municipality which they are coming from;

• Facilitate the construction of basic and support social service facilities such as

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Sub-committee Function Roles and Responsibilities daycare centers, health centers, schools, livelihood centers;

• Coordinate with DepEd to facilitate the seamless transfer of students;

• Coordinate with the DOH to facilitate the seamless transfer of health records of APs to continue access of health services in their new locations; and

• Ensure that all activities related to clearing of structures, demolition, or eviction are in accordance with provisions of the relevant laws and ADB and JICA guidelines.

Sub-committee on Livelihood Restoration

The Sub-committee on Livelihood Restoration will work with the DOTr's MCRP PMO in the LRIP implementation. It will be composed of representatives from an LGU's LEIPO/PESO/CDO/SWD, the DTI, TESDA, and representatives from legal and informal APs.

• Prepare an action plan for the LRIP in coordination with the concerned LGU offices, the DTI, and TESDA;

• Identify and address gaps; • Execute the action plan along with the

creation of special programs for affected APs and businesses;

• In coordination with TESDA and other government agencies, conduct a series of skills training and financial management training;

• Inform APs on skills required during construction and operation of the project;

• Assist affected businesses and APs who want to engage in Micro Small and Medium Enterprise (MSMEs) in re-establishing/establishing their businesses;

• Conduct due diligence on the number and identity of employees who will lose jobs due to the closure of businesses as a result of ROW acquisition;

• Assist displaced wage-based APs in finding similar works with equal pay in a place near relocation sites;

• Support city/municipal social welfare departments in the provision of rehabilitation assistance to vulnerable groups amounting to PhP 15,000 in the form of skills training and development; and

• Lobby an LGU's PESO or livelihood office for the prioritization of livelihood implementation.

Sub-committee on Grievance

The Sub-committee on Grievance will work hand-in-hand with the MCRP PMO in the GRM implementation. It will be composed of representatives from the DOTr's Legal Office, an LGU's City Legal Office, Barangay Chairperson, representatives of formal APs, and representatives of informal APs.

• Maintain the Help Desk that is accessible to APs;

• Provide responses or offer solutions to grievances in a timely manner;

• Endorse unresolved grievances to appropriate levels of the GRM; and

• Document grievance processes that APs go through and how grievances are resolved.


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446. The figure below shows the composition and structure of the RIMC as of February 2020.

Figure 10-3 Composition and Structure of the RIMC (as of February 2020)


447. Local Government Unit (LGU). Local relocation practices distinguish “sending LGU” from “receiving LGU”. The sending LGU refers to the LGU where APs will be displaced, while the receiving LGU refers to the LGUs where APs will be transferred or resettled. Since resettlement site for Mabalacat is in the city, the sending LGU and receiving LGU may refer to the same LGU, Mabalacat LGU will undertake both functions. However, for the purpose of clarity and in case that in-city relocation is not viable for this project (section), the roles of sending and receiving LGUs are described separately below. Sending LGU

a. Mobilize local resources, networks, and programs for the project to prevent duplication of works and tasks;

b. Initiate or endorse the drafting of needed policies to align local ordinances and project resettlement policies upon the request of the MCRP PMO or the RIMC;

c. In coordination with LGU offices/departments, make information available and accessible to project implementers;

d. Inform the MCRP PMO on the dynamics within LGUs and how APs can be assisted in securing documents regarding their properties;

e. In coordination with the MCRP PMO and the NHA, provide assistance in the relocation of NLOs/ISFs;

f. Assist the DOTr and the NHA in verifying APs who are not in the original master list but are claiming to be bona fide residents prior to the declared cut-off date;

g. Conduct a pre-relocation orientation to qualified APs jointly with the NHA; h. Provide an inventory of public and private land and identify possible areas

for relocation sites within their LGU; i. Identify off-city/municipality sites (if in-city/municipality relocation is

unavailable) and recommend the local executive to forge an agreement with the proposed receiving LGUs regarding accommodations of relocatees from their LGU;

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j. Facilitate fast issuance of business permits and licenses for affected businesses;

k. Instruct LGU officers, staff, and barangay officials to give full cooperation to project implementers such as on-time provision of services and, if needed, coordination to other agencies; and

l. Facilitate the issuance of the Certificate of Compliance by the Local Housing Board (LHB) to the displacement of APs and clearing of ROW showing that all legal requirements have been satisfactorily complied.

Receiving LGU a. Issue a memorandum order to all LGUs' department heads to fast-track the

issuance of permits and licenses related to resettlement and development of socialized housings;

b. Manage and maintain socialized housing sites within their city including public facilities (roads, drainage), utilities (power, water and communication), community/social services facilities (schools, health centers, livelihood centers, etc.) and other services (solid waste management and peace and order) ;

c. Propose and create a policy on the use of (amortization) reflows; and d. Create local programs and policies geared towards making relocation sites

sustainable and liveable.

448. LGU offices will carry out specific tasks as members of the RIMC as described below. Local Housing Board, Local Housing Office, or City Urban Development and Housing Office

a. Serve as the local clearing house of all relocation and resettlement activities for non-land owners/ISFs, and resolve issues and concerns that may arise in the validation of census and tagging, dismantling operation, and planning and development of resettlement sites;

b. Guide the DOTr's PMO to acquire the Certificate of Compliance prior to the displacement of APs and dismantlement of structures; and

c. Maintain and manage relocation sites (post-relocation). LGU's Public Employment Service Office or Livelihood Office

a. Identify local livelihood programs that can include APs; b. Provide information on local employment that can be offered to APs; and c. Prioritize matching and provision of jobs to APs.

LGU's Assessor’s Office a. Provide property-related information as may be needed by the PMO and the

RIMC/LHB; b. Advise or assist APs in securing necessary documents related to their

affected properties; and c. Provide a list of private-and government-owned idle land that may be suitable

for relocation sites within each LGU. LGU's Engineering Office

a. Provide information on or building plans of affected structures; and b. Facilitate fast issuance of building permits for relocation sites.

LGU's Business Permits and Licensing Office a. Facilitate fast issuance of business permits and licenses for affected

businesses; and b. Create a special lane/window for affected businesses and fast-track

applications for permits and licenses. LGU's Social Welfare Office

a. Implement the provision of rehabilitation assistance to vulnerable groups amounting to PhP 15,000 per household in the form of vocational training and development;

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b. Re-evaluate the profile of vulnerable APs who are not yet beneficiaries of DSWD programs, assess their eligibility, and facilitate membership to DSWD programs if found qualified;

c. Provide social workers or caregivers to vulnerable households during relocation; and

d. Provide social workers to monitor vulnerable families after relocation.

449. Local Inter-Agency Committee (LIAC). For Mabalacat, the LIAC was not formed because there are only 6 AHs to be relocated. DOTr and NHA in coordination with the Local Housing Board (LHB) and Mabalacat City LGU are directly involved in planning and consultation process for the resettlement of the AHs.

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11. CHAPTER 11: RAP IMPLEMENTATION SCHEDULE A. Implementation Schedule of Construction 450. Civil work contracts can be awarded after the DD based RAPs have been approved by ADB and JICA and endorsed by DOTr. Civil works will prioritize project areas that are free and clear. 50 Works on land that have resettlement impacts can only commence after compensation and required assistance have been provided in full. Construction is expected to commence in Mabalacat where the depot facility, mainline and Clark station are located. The project completion is expected by end of January 2024. B. Schedule of RAP 451. The general implementation schedule for the RAP is shown in Table 11-1. This schedule will be updated periodically by the Project Management Office (PMO) and shared among the members of the Project Inter- Agency Committee (PIAC), Technical Working Group (TWG), RAP Implementation Management Committee (RIMC) and Local Housing Board (LHB). For the institutional arrangements for RAP implementation, please refer to Chapter 10. The activities presented in Table 11-1 are explained in detail below: C. Process of RAP Updating

452. RAP Field Surveys. This refers to various surveys (Parcellary survey, As-built survey, Detailed Measurement Survey (DMS), Socio-Economic Survey (SES) and Replacement Cost Survey (RCS) that were conducted during detailed design stage of the project to gather data needed for the acquisition of Right-of-Way (ROW) and compensation thereof. These were done at both RAP FS and DD stages. This includes census tagging of affected properties to determine the additional land to be acquired for the ROW and socio-economic profiling of APs. Additional SES were conducted to cover the APs who were not included in the SES during FS RAP due to change in final alignment and or result of the BCDA project ROW boundary surveys and Parcellary Surveys. FS field surveys were done from May to June 2018 and DD surveys on November 2018 to May 2019. 453. Sharing of draft Masterlist and Survey output. This refers to sharing of draft results of the Parcellary Surveys, As-Built Surveys, (DMS) and (RCS) done by the consultants to DOTr for their validation. Mabalacat Masterlist and survey outputs were shared to DOTr by the consultants on April 2019 (depot facility) and June 2019 (main line). 454. Coordination with concerned agencies. This refers to coordination efforts with government offices for the purpose of identifying relocation sites and existing livelihood restoration programs. These government agencies include but not limited to NHA, DOLE, DTI, DSWD, TESDA and local government units. Coordination meetings with these government agencies are continuous since the FS stage. 455. Stakeholder Consultations. This refers to meaningful consultation with APs with the purpose of gathering their insights on how they can be assisted in rehabilitating themselves. For Mabalacat, three rounds of stakeholder consultation meetings were held with APs during the Feasibility Study (FS) Phase and two rounds during Detailed Design (DD) Phase. The purpose is to inform APs on compensation, relocation sites, Livelihood Restoration and Improvement Program (LRIP) and Government Redress Mechanism (GRM) during the detailed design stage. Stakeholder consultations has happened from January to August 2018 during FS stage and on December 2018 to February 2019 at the DD stage. Additional

50 Free and clear land refers to areas without involuntary resettlement impacts, ; i.e. no legally recongizable claims on land, no existing litigation/dispute of the land, absence of non-land assets (structures, trees, crops, etc.) and/or nonusage for income generating purposes.

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consultations were done for Mabalacat business owners (farmers and other micro-businesses) in January to February 2020 and consultation with the vulnerable groups held in February 2019. 456. Finalization of RAP Report. The process of finalizing the RAP based on the result of the Parcellary Survey, As Built Survey, supplementary SES and SCMs. The target finalization of RAP report is March 2020. 457. JICA and ADB Review and Concurrence of RAP. The process by which JICA and ADB review the RAP that DOTr approves and submits for implementation. Land acquisition and compensation can only commence upon JICA and ADB’s approval of the RAP. D. RAP Implementing Institutions 458. Creation of PIAC, TWG, RIMC, GRM. – refers to the creation of special units to assist DOTr in implementing the RAP. As discussed in Chapters 9 and 10 of this RAP, a PIAC and TWG have been created and a RIMC and a Helpdesk were set-up in the LGU of Mabalacat. 459. Memorandum of Agreement (MOA) Between DOTr and NHA and Transfer of Funds. The preparation of relocation sites for ISFs are being handled by NHA for MCRP (Clark Extension).The MOA with NHA has been signed on 3 September 2019 and transfer of funds are targeted in April 2020. 460. Coordination with Mabalacat City LGU regarding the scope and relocation. DOTr, through the MCRP PMO, coordinates with the sending/receiving LGUs and the RIMC and LHB of respective LGUs, and determines the assistance that must be provided to facilitate timely relocation and accommodation of APs. During this coordination, DOTr also determines the basic social services and livelihood assistance that may be provided by the LGUs and identifies the gaps that need to be addressed. Various coordination meetings were conducted with Mabalacat LGU namely: (i) IEC meetings in January and September 2018 and June 2019; (ii) consultation meetings along with other agencies and site visit to Northville 16 on November 2019; (iii) Local Housing Board meeting with BCDA on January 2020; and (iv) other livelihood coordination meetings with LGU on February to March 2020. 461. Appointment of APs representatives to RIMC. This indicates when an AP is nominated and selected as representative of the APs in their respective LHB/RIMC. 462. Set-up Helpdesk and GRM. The GRM was set-up during the DD phase and will continue until the completion of the construction of the project. The GRM Help Desk was set-up in Mabalacat City Hall since July 2019 and operational once a week for AP’s queries. The Help Desk is staffed by a DOTr LGU GRM focal person. Details on the set-up and processes of GRM is discussed in Chapter 9. 463. Land Requisition. As the original allottee of the land, the BCDA issued a confirmation letter dated 27 June 2018 stating that the BCDA land can be used as a Project Right Way for the MCRP (Appendix 1). E. Relocation of Non-Landowner APs 464. Initial Preparation of Relocation Site Options. Mabalacat masterlist has been finalized and was made as basis of lots required by APs in NHA’s relocation site in Northville 16. 465. Joint Validation of Affected Non-land Owner APs. The process of identifying the APs from the master list. This also includes due diligence on the ownership of affected structures, identifying APs (renters/sharers) who may be evicted by property owners due to

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the project, and establishing that all families occupying the structures at the time cut-off-date are included in the Masterlist. Joint validation activities were conducted by DOTr along with other agencies in July 2019 and January 2020. Tree ownership validation for the affected farmers was conducted in February 2020. 466. Occupancy Verification. A validation process wherein the joint validation team (DOTr, PNR, NHA, and LGU) verify the actual residents and businesses during the cut-off date in the affected structures based on the DD Masterlist. This was done during the joint validation in July 2019. 467. Pre-qualification of APs (Verification of Eligibility). This process was facilitated by DOTr during the joint validation and stakeholder consultation meetings to verify the eligibility of APs. Other information were based on the SES results. The following eligibility criteria were verified:

e. Monthly income of affected households and businesses; f. Vulnerable households; g. Elderly household heads who do not have or do not live with their children

that is of legal age; h. APs who will relocate to Northville 16 indicating the transportation cost per

family; i. Wage-based APs who will be relocated far from their current work but will

continue working there after relocation51. j. APs who will not be able to continue their current livelihood or continue

working in the same company; and k. Employees of affected businesses who will temporarily or permanently lose

their jobs. 468. Preparation of Final Masterlist. As a result of the validation, the final Masterlist will was prepared including the final entitlements due to each APs. 469. Community Consultation. Once the proposed relocation site submitted by NHA developers are evaluated, community organizing will be held during the CBIA process: 1) presentation of site and housing design options of existing sites/sites proposed by developers, 2) tripping to the site, and 3) AHs to endorse their preferred option for the construction of new housing units rather than refurbish an old unit previously owned but abandoned by previous owners. 470. Development of Relocation Site. Once the developer was selected NHA executes the agreement and contract, followed by securing of permits and licenses, site development, construction of housing units and connection of utilities. 471. The 2nd SCM conducted on January 2020 has inform APs about the definite relocation site, relocation options (self-relocation or assisted resettlement), livelihood restoration plan and other livelihood opportunities (i.e. construction and operation phase of the project). 472. Issuance of ADRI. Once RAP is approved by JICA and ADB, together with a contract, an ADRI will be sent to APs to allow DOTr to enter to the property and demolish on an agreed date after the payment of compensation. 473. Payment of Compensation and Other Forms of Assistance. Based on the result of pre-qualification and verification of eligibility of APs, and upon presentation of required documents (i.e. barangay certification on the ownership of ISF structure), MCRP PMO will facilitate payment of compensation to APs. Initial compensation to APs will start after the

51 For the provision of commuting allowance.

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approval of the DD RAP by JICA and ADB. The livelihood and other forms of assistance will be provided from pre-relocation stage up to the end of the construction. 474. Relocation of 6 APs. The schedule of Relocation is reflected in Tables 11-1 refer to the moving out of APs from the affected areas and transferring them into the permanent relocation site in Northville 16. In case the relocation site is still being developed, they will move to temporary accommodation and receive rental subsidy until the completion of the permanent relocation sites. 475. Clearing of ROW. The 17 APs will decide whether or not to demolish structures by themselves. If the structures are not demolished by the time agreed in the ADRI, MCRP PMO or NHA will demolish the structures. Prior to the demolition, a demolition plan including schedule, manpower, and logistics will be prepared and demolition team will be formed. All demolition activity will be recorded and demolition report will be prepared and submitted to DOTr. F. Provision of Livelihood Restoration and Improvement Program 476. Coordination with Relevant Agencies on Provision of Livelihood. Coordination with relevant agencies has started prior to the implementation of LRIP and will continue during its implementation. RIMC in each LGUs are responsible for monitoring APs who were provided livelihood assistance and making sure that all APs’ livelihoods and incomes have been restored to pre-project condition upon project completion. 477. Prepare Masterlist of APs to take part on LRIP. Once the LRIP Masterlist of AHs is finalized, RIMC will further verify the household members who will avail of LRIP. The beneficiaries under each provision of the LRIP for each household will be confirmed. 478. Inform and Make Necessary Arrangement for APs to Enrol to Trainings during Community Organizing. During the community organizing, DOTr informs the APs about the LRIP and its arrangement. Additional consultation meetings will be organized in each LGU to inform the APs. 479. Implementation of LRIP. Implementation of the LRIP started prior to relocation to ensure that APs will be well equipped with skills and required resources to re-start their lives at the relocation sites as well as their temporary accommodation. Implementation of LRIP will be carried out up to the end of the construction period. Details on the packages and livelihood assistance are indicated in Chapter 8. 480. Monitoring of the Implementation of LRIP. DOTr MCRP PMO conducts internal monitoring of the implementation of LRIP, identifies gaps and recommends solutions to these gaps. Additionally, an External Monitoring Agent (EMA) being hired will conduct monitoring during the whole duration of the project. G. Monitoring of RAP Implementation 481. Set-up Monitoring Agents. The Internal Monitoring is undertaken by the DOTr MCRP PMO. External monitoring is undertaken by an EMA engaged by the DOTr. Please refer to Chapter 13 for details on the internal and external monitoring program

l. Internal Monitoring – See Chapter 13 for details. m. External Monitoring – See Chapter 13 for details.

H. Arrangements for Implementation of RAP 482. Implementation of the RAP has been undertaken by the MCRP PMO with assistance from the RIMC, and in coordination with Mabalacat Local Housing Board (LHB). The roles and

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responsibilities are briefly described in Chapter 10. As reflected in the implementation schedule, the creation of the MCRP PMO, RIMC and coordination with LHB started from April 2019. As part of the Grievance Redress Mechanism, a Central Hotline was set up in December 2018, and Help Desks were set up for each concerned LGU from July 2019. I. Information Dissemination and Consultation 483. All information on resettlement activities – from pre-relocation to post-relocation – were made available to APs and concerned parties throughout the project in accordance to the communication plan developed for the Project. This includes information on the legal framework, eligibility criteria, processes and documents for relocation and receiving just compensation, options for resettlement sites, as well as compensation and other forms of assistance. Mechanisms for information disclosure at each stage of project implementation is presented in Chapter 7 of this RAP.

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Table 11-1 RAP Implementation Schedule

Mabalacat Activity Responsible

Agency

2019 2020 2021

1 2 3 4 5 6 7 8 9 # # # 1 2 3 4 5 6 7 8 9 # # # 1 2 3 4 5 6 7 8 9 # # #

A. Establishment of RAP Implementation Institution

1 Mobilize LHB /RIMC/ PIAC LGU (Chair)/ MCRP- PMO (Co-chair)

2 Signing of MOA with NHA and fund transfer

MCRP-PMO/NHA

3 Coordination with LGU and RIMC members regarding resettlement scope and schedule

MCRP-PMO/ PNR/ LHB

4 Appointment of AH representative in the RIMC

LHB/ MCRP PMO/ RIMC/ LGU

5 Set-up Helpdesk and GRM LHB/ MCRP PMO/ RIMC/ LGU

B. Compensation for Loss of Assets

1 Issue Notice of Compensation for Structures and compensable trees, Notice of Relocation

MCRP-PMO

2 Validate submitted documents for structure compensation

MCRP-PMO

3 Issue Agreement to Demolish and Remove Improvements (ADRI)/ Deed of Absolute Sale

MCRP PMO

Legend:

: Continuous work

: Periodically continuous work

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Mabalacat Activity Responsible

Agency

2019 2020 2021

1 2 3 4 5 6 7 8 9 # # # 1 2 3 4 5 6 7 8 9 # # # 1 2 3 4 5 6 7 8 9 # # #

4 Pay compensation and provide other terms of Assistance

MCRP PMO

5 Clear the ROW AHs/ MCRP PMO/ LGUs

C. Relocation of Non-Landowner Claimants

1 Transfer of AHs to temporary rental accommodation and provision of rental subsidy

AH/ MCRP PMO/ Landbank

2 Relocate AHs to permanent relocation sites

AH/ MCRP PMO/ NHA

D. Provision of Livelihood Restoration and Improvement Program

1 LRIP implementation MCRP PMO

E. Monitoring of RAP Implementation

1 Conduct Internal/ External Monitoring

MCRP PMO/ EMA

Source: JICA Design Team and DOTr

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12. CHAPTER 12: COST AND BUDGET FOR RESETTLEMENT AND ACQUISITION OF LAND ASSETS

484. The cost for implementing the RAP for the MCRP (Clark Extension) is PhP 193,400,463 as presented in Table 12-1 while details of the cost are discussed further in the succeeding sections. DOTr as the implementing agency shall provide fund allocation for the implementation of this RAP.

Table 12-1 Estimated RAP Implementation Cost52

Activity Cost Item Quantity and Unit

Amount (PhP)

Remarks

A. Land and Structures Acquisition

Land 1

landowner 0

Land is owned by BCDA. BCDA already gave letter confirming the use of the land for the project.

Residential structures

17 structures

5,101,305 Estimated based on replacement cost as defined

in R.A. 10752. Secondary structures

74 structures

19,543,583

Subtotal for (A) 24,644,888

B. Compensation for Non-land Assets and improvements

Compensation for fruit-bearing, and timber trees

21 APs 108,373,906 Market value of potentially affected fruit and timber trees

Income Loss (non-agriculture enterprise)

3 APs 626,000

Compensation assistance for income loss for CIBE declared incomes, including cash compensation for up to 6 months during transition on livelihood income source

Income Loss (wage-based)

23 APs 944,84080

Compensation for income loss for employees/workers of High Value Vegetable Farmer and household farming activities

Disturbance Compensation (directly engaged in farming)

1 AP 12,000,000

Disturbance compensation equivalent to 5 times the average gross harvest for the last 5 years on the principal and secondary crops (RA 6389)

Income Loss (agriculture-related enterprise)

22 APs 2,147,882

Compensation assistance for income loss for CIBE declared incomes, including cash compensation for up to 6 months during transition on livelihood income source

Subtotal for (B) 124,093,028

C. Relocation Site Development

Socialized Housing Units

8 AHs 4,277,224 Using NHA ceiling price for socialized housing unit.

Subtotal for (C) 4,277,224

D. Resettlement Assistance

Rental Subsidy 8 AHs 320,000 Rental subsidy for household based on PhP5,000 x 8 months

52 Price escalation was not considered in the computed RAP budget.

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Amount (PhP)

Remarks

Commuting Allowance

3 45,000

Commuting allowance of not exceeding PhP 5,000 per household per month for three months

Transportation Assistance during relocation

8 AHs

9AHs

80,000

90,000

Transportation assistance based on PhP5,000 x 2 (to and from temporary and permanent sites) Transportation assistance based on Php10,000 (truck rental) x1 for dismantled structures

Connection fee for utility

8 AHs 114,336 Connection fee for water and electricity

Food Allowance 40 APs

36,000

PhP 150 for relocating APs (twice) during relocation schedule (3 days)

Inconvenience Allowance

15 HHs 150,000 Inconvenience allowance for vulnerable HHs

Cost for hiring of special assistance to APs

8 AHs 13,440 Assistance personnel hiring to help APs who needs assistance during relocation

E. Livelihood

Subtotal for (D) 848,776

LRIP Cost 47 APs 904,992

Provision of training starter kits, business rental subsidy, transportation allowance during training, transactional cost for re-establishing business, transfer assistance and pre-employment documentation assistance.

Subtotal for (E) 904,992

F. RAP Implementation and Monitoring

Cost for RAP Implementing Institutions

1,500,000 Budget for operating RIMC and LHB for 24 months for Mabalacat

Cost to operate GRM

651,080 Office supplies and recurring expenses to operate the Help Desk for Mabalacat

Cost for Continuing Information Disclosure

20,000 Printing of information materials for Mabalacat.

Internal Monitoring

4,800,000 During RAP Implementation (48 months) for Mabalacat

External Monitoring

6,700,000 EMA cost for Mabalacat for 48 months (CP N04-N05)

Subtotal for (F) 13,671,080

Total (A+B+C+D+E+F)

168,849,239

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Amount (PhP)

Remarks

Administrative Cost

8,442,462 5% of Total (A+B+C+D+E+F)

Contingency 16,844,924 10% of Total (A+B+C+D+E+F)

Subtotal for (G) 25,400,000 Note: The numbers are rounded up

Grand Total (A+B+C+D+E+F+G)

TOTAL RAP BUDGET

193,400,463

A. Cost of Required Land 485. This RAP has no land acquisition cost, as the required land is owned by the government. B. Replacement Cost of Affected Structures 486. The replacement costs of the affected structures were computed using the prepared Bill of Quantities (BOQ), in accordance with the Implementing Rules and Regulations of R.A. 10752. This include direct costs (i.e. cost of materials and labor) and indirect costs (i.e. professional fees, overheads, taxes, finance costs profit margin or entrepreneurial profit to the creator of the asset). C. Relocation Site Development

487. The National Housing Authority (NHA) vacant lots in Northville 16 located in Barangay Atlu Bola in Mabalacat City will be the site for the construction of the relocation houses for the 8 AHs to be relocated.

Table 12-2 Cost of Relocation Site/Rental Facility Development

No. of Beneficiary (AH)

Development Cost (PhP)

Total Amount (PhP)

8 534,653 4,277,224 Source: NHA

D. Resettlement Assistance 488. Rental Subsidy. The rental subsidy is given to households which needs to move from their houses due to the start of contractor activities on site, but the relocation site and/or rental facility are not yet available. In the meantime, while the construction of the relocation site is ongoing, they will be placed in a temporary rental accommodation. The eight months rental subsidy will be given to 8 AHs or until the construction period that NHA is ready to turn over the completed units to the AHs. Rental subsidy was based on the prevailing rental rate in Mabalacat based on the information given by the office of City Planning and Development Office (CPDO). NHA targets the construction of housing units for Mabalacat AHs in 6-8 months. 489. Prior issuance of Notice to Vacate, the 6 AHs will be given 30 days to identify with the LGU temporary accommodation to be rented out by them using the cash assistance to be given by the Project. After 30 days, the AHs are given a 30-day Notice to vacate their houses by NHA. Within this timeframe, the APs are expected to already ready move-in to the rented temporary accommodation. No AHs will move out in their temporary housing until paid of their entitlement discussed in entitlement matrix.

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Table 12-3 Cost of Rental Subsidy

Monthly Rental Fee (PhP)


Duration (Months)

Total amount of rental subsidy (PhP)

5,000 8 8 320,000 Source: DOTr/GCR

490. Connection Cost for Utilities. The basic utilities being considered for APs include water and electricity. The cost for the reconnection of utilities is based on the published charges of utility companies which reflects installation cost for water and bill deposit equivalent to 5.00 KW consumption for electricity, as summarized in Table 12-4.

Table 12-4 Cost of Connection of Basic Utilities


Items Unit Cost (Php)

Total (Php)

8 Water 9,712 77,696 Electricity 4,580 36,640

Total 114,336

Source: JICA Design Team 491. Transportation assistance. Transportation assistance will be provided in terms of hiring trucks to transport relocating APs, including their families and belongings. For the eight physically displaced households relocating to the resettlement site, the budget estimation is based on the APs being relocated twice, from current location to temporary accommodation and from temporary accommodation to permanent housing at the resettlement site or rental facility. The cost for transportation assistance for relocating households is calculated based on PhP 5,000 per household. There are nine households whose house structure will be affected. While these nine households do not reside in the affected houses, they will be provided with transportation assistance to move their belongings from the affected houses. Transportation assistance estimation is presented in Table 12-5.

Table 12-5 Cost of Transportation Assistance


Number of Transfers

Transport Assistance per Relocation (PhP)

Total (PhP)

8 2 5,000 80,000 9 1 10,000 90,000

Source: DOTr

492. Food Assistance. Food allowance will be provided to relocating APs twice53. For food allowance, PhP 150 will be provided per household member per day for three days.

Table 12-6 Cost of Food Assistance

No. of Beneficiary (AP)

Food Allowance (PhP)

No. of Days Frequency of relocation

Total (PhP)

40 150 3 2 36,000 Source: JICA Design Team

E. Allowance for Hardship Due to Vulnerability 493. Inconvenience Allowance. As stipulated in Item 29 of the Entitlement Matrix (Chapter 5, Table 6-2) vulnerable groups will be entitled to an inconvenience allowance equivalent to PhP 10,000 per household.

53 From current location to temporary accommodation and from temporary accommodation to relocation site.

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Table 12-7 Cost for Inconvenience Allowance


Amount of Allowance

Cost of Inconvenience Allowance (PhP)

15 10,000 150,000 Source: JICA Design Team

494. Special Assistance. In terms of special assistance for vulnerable groups, cost estimates are computed based on data obtained from the socio-economic survey as presented in Chapter 2 (Refer to Table 2-12). 495. A total number of six persons require special assistance during relocation. A Manpower Assistance Team (MAT) composed of two persons, will be provided by DOTr for two days for each family to assist in packing, moving, lifting, and unpacking of their belongings and other items. The assisting staffs will be remunerated based on the minimum wage (PhP 420/day)54.

Table 12-8 Cost for Special Assistance

No. of Beneficiary (AP) who needs assistance

No. of Assisting Staff

Remuneration for MAT (PhP)

No. of Days

Total (PhP)

8 2 420 2 13,440,000 Source: DOTr

F. Income Loss Compensation 496. Income Loss (Non-agriculture micro-businesses).The estimated compensation for income losses for business enterprises is summarized in Table 12-9. The income loss from the final compensation will be determined upon submission and verification of required documents.

Table 12-9 Income Loss Compensation for Micro-business (non-agriculture)

Declared Monthly Income (Php)

Type of Business Number of APs

Income Loss Assistance during transition

Total (PhP)

19,000

Sari-sari store

1 Php 19,000 x 6 months 114,000

55,000 Yakult vendor 1 Php 55,000 x 6 months 330,000

30, 400 Fruit and Vegetable Vendor

1 Php 30,400 x 6 months 182,400

Source: DOTr

497. Income Loss (wage-based). The estimated compensation of income losses for displaced employees is summarized in Table 12-10. The final compensation will be determined upon submission and verification of required documents.

Table 12-10 Income Loss Compensation for Wage Workers

Number of Employees*

Details Rate and Duration Total (PhP)

23

23 wage-based farm workers Computed at PhP 370/day x 26

days x 4 mos. X 21 employees 944,840

Source: DOTr

54 Minimum daily wage rate in Pampanga as per DOLE Wage Order No. RBIII-22 effective January 1, 2020.

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498. Income Loss for Micro-businesses Engaged in Agricultural-based Livelihood. The owner of the affected vegetable farm in the depot is a horticulture micro-business. Four hectares out of six hectares will be affected by the project. The owner intends to move all operations to the remaining two hectare lot. As such, income will not be adversely affected as all affected structures will be compensated and can be built again in the remaining lot. Assistance will be given to the company to hasten the movement of materials and equipment in the remaining lot when needed. 499. The owners of the affected trees who also derive income from its fruits will lose income. DOTr has incorporated in its LRIP the income loss assistance to the affected APs. Please see Table 12-1 and LRIP Budget from Chapter 8. 500. Disturbance Compensation for Agricultural-based Businesses (Vegetable Farming) A disturbance compensation equivalent to five times the average gross harvest for the last five years on the principal and secondary crops of the area acquired (as adopted from RA. 6389) will be provided to APs who are lessees and are directly engaged in farming.

Table 12-11 Disturbance Compensation for Lessee Directly Engaged in Farming

Type of Livelihood Average Annual Income from Harvest (PhP)55

Duration (Year)

Total (PhP)

Vegetables Farming 2,400,000 5 12,000,000

Source: DOTr

G. LRIP Training 501. The estimate number of LRIP participants in Mabalacat is based on the number of APs in employable age who are eligible for LRIP training and budget as described in detail in Chapter 8 of this RAP. All these APs shall be eligible to skills/vocational training and corresponding training allowances. Additionally, APs who will be economically displaced, shall be eligible to skills/vocational training, training allowances and income loss compensation at the duration of the training. Household heads and their spouses (if any) or other members of the household shall be eligible to attend Financial Management Training to help them manage, invest and use prudently the compensation that their family will receive from the project. H. Commuting Allowance 502. APs who permanently relocate to a place that makes it more expensive to commute to their place of work and they retain their employment are entitled to receive a commuting allowance of an amount based on additional cost, but not exceeding PhP5,000 per household per month for three months.

Table 12-12 Cost of Commuting Allowance


Commuting Allowance (PhP)

Duration (months)

Total (PhP)

3 5,000 3 45,000. Source: DOTr

I. Non-Land Assets and Improvements 503. Non- land assets refer to compensable fruit trees and crops planted by farmers/micro-business owners in the in Mabalacat. During DD stage, a replacement cost survey was counted and tagged all trees planted.

55 Estimated average annual income based on declared monthly income in the SES. DOTr may require Income Tax Return (ITR) to validate income of this amount.

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504. Crops ad Trees56. Based on the Replacement Cost Survey, there are 3,619 affected fruit-bearing, timber trees, and other crops in Mabalacat (Main Line and Depot). Of this number, 34 are in the Main Line and 3,585 in the Depot area. The table below shows the types of affected trees and crops and their valuation based on the 2008 market value issued by the Department of Agriculture (DA) assessed by the IPA to be at least equivalent to current replacement values.

Table 12-13 Fruit-Bearing, Timber Trees and other Plants

Type of trees

No. of Trees Valuation (PhP)

Main Line Depot Total Main Line

Depot

Fruit-bearing

34 3,590 3,624 0 108,373,906 108,373,906

Tree Farmer Code No.

No. of Trees

Estimated Compensation

(PhP) Remarks

(per DA matrix)

DEP-01 320 14,459,500.00 Owners Code

DEP-02 89 2,301,200.00 Owners Code

DEP-03 186 8,156,000.00 Owners Code

DEP-04 197 7,734,050.00 Owners Code

DEP-05 49 2,149,000.00 Owners Code

DEP-06 76 2,447,000.00 Owners Code

DEP-07 12 600,000.00 Owners Code

DEP-08 237 10,554,000.00 Owners Code

DEP-09 46 1,660,524.00 Owners Code

DEP-10 254 10,664,625.00 Owners Code

DEP-11 9 319,000.00 Owners Code

DEP-12 280 7,949,385.00 Owners Code

DEP-13 56 1,818,000.00 Owners Code

DEP-14 48 2,150,000.00 Owners Code

DEP-15 66 3,045,000.00 Owners Code

DEP-16 275 9,744,300.00 Owners Code

DEP-17 73 3,602,000.00 Owners Code

DEP-18 90 4,029,400.00 Owners Code

DEP-19 115 2,549,025.00 Owners Code

DEP-20 157 7,317,000.00 Owners Code

21DEP-22/ DEP 11 with 7 co- owners

926 25

3,955,397.00 1,169.500

Owners Code

Source: DOTr

J. RAP Implementation and Monitoring

505. The budget for the implementation and monitoring was accounted in this RAP. These include budget for the following namely: (i) RAP implementation; (ii) operation of RAP

56 Based on Replacement Cost Study as of 20 May 2019.

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implementing institutions; (iii) operation of GRM; (iv) continuing information disclosure and consultations; and (v) internal and external monitoring. 506. Cost for Operating RAP Implementing Institutions. The budget for the operation of RAP Implementing Institutions is summarized in Table 12-14. The cost is calculated based on a lump sum for each LGU.

Table 12-14 Budget for RAP Implementing Institutions

RIMC LHB Total

Cost (PhP) 1,000,000 500,000 1,500,000 Source: DOTr

507. Cost to Operate GRM. The budget for the implementation of the Grievance Redress Mechanism (GRM) is summarized in Table 12-15.

Table 12-15 Budget for GRM Implementation

Particular Frequency/Qty Unit Cost (PhP) Total

(PhP)

Laptop/Desktop 1 unit 50,000 50,000 Desk 1 unit 25,000 25,000 Chairs 10 units 500 5,000 Printer 1 unit 20,000 20,000 Cellphone 1 unit 20,000 20,000 Internet Connection 1 5,000 5,000 Internet Monthly Bill 48 months 5,000 240,000 Paper 144 rims 300 43,200 Ballpen 144 pcs 20 2,880 Electricity Bill 48 months 1,000 48,000 Transportation Cost 48 months 4,000 192,000 Total 651,080

Source: DOTr

508. Cost for Continuing Information Disclosure and Stakeholder Consultation. The budget for Information Disclosure and Stakeholder Consultation is summarized in Table 12-16.

Table 12-16 Cost for Information Disclosure

Particular Posting/

Distribution Total Number to be Printed

Frequency Unit Price

(PhP) Total Amount

(PhP)

Tarpaulin for relocation

GRM/Help Desk/ Barangays/City Hall

8 1 2,000* 16,000

Brochure/Flyer for livelihood

Barangays 500 257 2.00** 2,000

Flyer for GRM Barangays 500 258 2.00** 2,000

Total 20,000 * PhP 50/square foot x 40 square feet (8 feet x 5 feet) ** based on 2018 Risograph Printing cost Source: DOTr

509. Internal Monitoring Cost. Internal monitoring for the whole MCRP Project is currently assumed to be conducted over a period of 48 months, from 2020 to 2024. This period is subject to change according to the construction schedule, and DOTr will adjust the budget

57 For project implementation and post-project implementation. 58 Same as 1 above.

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when necessary. The cost in lump sum for the internal monitoring is summarized in Table 12-17.

Table 12-17 Budget for Internal Monitoring

Item Frequency (Month)

Cost per Month (PhP)

Total (PhP)

Internal Monitoring 48 100,000 4,800,000 Source: DOTr

510. External Monitoring Cost. DOTr will hire an EMA for the external monitoring of the whole MCRP Project after the mobilization of the General Consultant (GC). After mobilization, the EMA will prepare one inception report, post-completion evaluation reports, semi-annual monitoring and evaluation reports and one final report, as indicated in Chapter 13. The cost in lump sum for the EMA is summarized in Table 12-18.

Table 12-18 Budget for External Monitoring

Item Frequency Cost (PhP) Total (PhP)

Mobilization of EMA 48 7,000,600 7,000,600 Source: DOTr

K. Funds for RAP Implementation 511. DOTr will be responsible for the allocation of the resettlement and land acquisition budget. This will include funds for the implementation of the RAP, including compensation, relocation and livelihood assistance, internal and external monitoring. The estimated resettlement costs (used for assessment of compensation), based on the prevailing market rates of the materials in 2018 will be updated prior to the implementation period. The MCRP PMO/RIMC, in coordination with its other internal department or committee, will handle the compensation and payments of the APs. 512. If unanticipated involuntary resettlement impacts are found during project implementation, the DOTr will conduct a social impact assessment and update the RAP or formulate a new RAP covering all applicable requirements specified in this document.

13. CHAPTER 13: MONITORING AND EVALUATION 513. Given the magnitude of impacts of the project, Malolos Clark Railway Project (MCRP) has been categorized as A for involuntary resettlement safeguards according to ADB’s SPS. As such, all land acquisition and resettlement tasks under the project will be subjected to internal and external monitoring. The monitoring exercise will be routinely conducted by the DOTr MCRP PMO safeguards team. The external monitoring by a qualified and experienced External Monitor (EM) will be periodical, twice a year. The DOTr will communicate the monitoring results quarterly to ADB, which shall be posted on the ADB website. Indicators for the internal monitoring will be those related to the processes and immediate outputs and results. A. Purpose of RAP Monitoring and Evaluation 514. DOTr has put in place a monitoring system that tracks (i) whether the planned resettlement activities for affected persons (APs) are delivered, (e.g., whether compensation for lost assets are promptly paid) and (ii) whether the planned activities contained in the Resettlement Action Plan (RAP) such as relocation and livelihood restoration achieve the desired outcomes. An internal monitoring mechanism is in-placed that tracks the progress in the delivery of physical and financial targets, resettlement assistance, and other entitlements. An internal monitoring form will be utilized to generated reports of progress while external monitoring assesses the results and impacts of the RAP implementation and the extent to

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which RAP objectives are being achieved. RAP External Monitoring Agent (EMA) will be engage prior the implementation of RAP. The Terms of Reference (TOR) for the EMA is in (Appendix 10). B. Institutional Arrangement 515. The internal monitoring is being conducted by the MCRP Project Management Office (PMO), while external monitoring is being procured and will be carried out by independent monitoring specialists. C. Internal Monitoring 516. The tasks and obligations of the MCRP PMO on internal monitoring are the following.

a. Supervise and monitor the implementation of the RAP on a regular basis; b. Review if the RAP is implemented as designed and planned and if not,

report any gaps and provide recommendation; c. Collect and analyse key resettlement data for reporting purposes; d. Verify if funds are released in a timely manner and if the amount is

sufficient for each activity and purpose; e. Validate compensation paid and verify if 100% compensation is paid prior

to relocation; f. Review grievances to ensure that they are recorded and addressed

properly in a timely manner; and g. Prepare required monitoring reports based on the format prescribed in the

RAP.

D. External Monitoring 517. The RAP requires an External Monitoring Agent (EMA) who will not be involved in the day-to-day project implementation or supervision but will verify the RAP monitoring indicators and provide advice on safeguard compliance issues. If any critical involuntary resettlement issues are identified, the EMA will prepare a corrective action plan. The EMA will prepare and submit semi-annual reports through the DOTr to JICA and ADB. The terms of reference of the EMA can be found in Appendix 10. The EMA will review documentation and reports, hold discussions with project implementers and key stakeholders, conduct site observation visits, and consult with APs. The detailed tasks of the EMA are the following:

a. Review internal monitoring reports; b. Assess the extent to which consultation and disclosure activities are

inclusive, accessible, and effective in conveying key information from the RAP as well as provide conditions for APs to contribute to decision-making which affects them, such as resettlement and livelihood restoration;

c. Verify if compensation and assistance is provided in accordance with the requirements of the RAP, checking whether it is done 100% prior to loss/relocation;

d. Assess whether resettlement objectives are likely to be achieved and specifically whether livelihood and living standards are restored or enhanced;

e. Suggest modifications in the implementation procedures of the RAP, if necessary, to achieve its principles and objectives;

f. Review how compensation rates are determined; g. Validate compensation paid and verify if 100% compensation is paid prior to

relocation; h. Review the effectiveness of the Grievance Redress Mechanism (GRM) and

its accessibility and responsiveness to resolving complaints; and i. Prepare corrective action plans when necessary.

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E. Reporting 518. The MCRP PMO will submit monitoring reports to JICA and ADB. The monitoring reports sent to JICA and ADB will be disclosed on their websites. The monitoring reports to be prepared are summarized in Table 13-1.

Table 13-1 Monitoring Reports

Type of Report Internal Monitoring

External Monitoring

Frequency Responsible Party

Submit to Whom

1 Inception Report

✓ One month after mobilization

EMA EMA ⇒ DOTr, JICA, and ADB

2 Monthly Monitoring Report

✓

Monthly submission from the commencement of RAP validation on the progress

MCRP PMO MCRP PMO

3 Quarterly Monitoring Report

✓

Quarterly submission from the commencement of RAP validation until completion of the loan

MCRP PMO MCRP PMO ⇒ JICA and ADB

4

Post-completion Evaluation Report

✓ ✓

Three months after the completion of payment of compensation, six months following completion of relocation to permanent relocation sites, two years after the completion of relocation focusing on the Livelihood Restoration and Improvement Program (LRIP)

MCRP PMO/EMA

MCRP PMO ⇒ JICA and ADB

5

Semi-annual Monitoring and Evaluation Report

✓ ✓ Every six months until the end of the loan closing

MCRP PMO/EMA

MCRP PMO ⇒ JICA and ADB EMA ⇒ DOTr, JICA, and ADB

6 Final Report

✓ ✓ Upon loan closing MCRP PMO/EMA

MCRP PMO ⇒ JICA and ADB EMA ⇒ DOTr, JICA, and ADB

519. Inception Report. The Inception Report will be prepared one month after the Notice to Proceed (NTP) for the EMA engagement. The report will set out the proposed methodology for achieving external monitoring objectives as well as finalize indicators for monitoring and reporting formats. The report will be reviewed and revised to address comments by the MCRP PMO prior to finalization.

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520. Monthly Monitoring Report. The MCRP PMO conducts monthly monitoring of activities related to the RAP implementation. The monthly monitoring report focus on the following:

• Progress of the RAP implementation compared to planned activities including land clearance and resettlement;

• Stakeholder consultations held and key issues raised; • Grievance redress cases and measures to address these cases; • Schedule and completion of compensation payment activities during the

reporting period; • Identification and resolutions of outstanding issues of the previous months

and pending issues; and • Recommendations and solutions compared to challenges faced during

implementation.

521. Quarterly Monitoring Report. The Internal Monitoring Report prepared by the MCRP PMO is reported quarterly to the DOTr, JICA, and ADB. Internal monitoring includes a monitoring form which clearly identifies the proposed input, output, and indicator. The draft quarterly monitoring report form is attached in Appendix 11. 522. Post-completion and evaluation Reports. The report will be drafted by the MCRP PMO at the following stages of the RAP implementation: (i) upon completion of disbursement and compensation and assistance of any given section to be handed over for civil works; (ii) three months after the completion of payment of compensation; (iii) six months following the completion of relocation to permanent relocation sites; and (iv) two years after the completion of relocation focusing on the Livelihood Restoration and Improvement Program (LRIP). Post-completion and evaluation reports will be prepared by the EMA as part of their semi-annual monitoring and evaluation to confirm the information provided in the above-mentioned internal monitoring reports. 523. The evaluation will assess the extent to which living standards and livelihoods of APs are viable and meet at least national minimum standards in accordance with the agreed monitoring indicators and reporting formats. The assessment will indicate whether the assistance provided is appropriate and whether the DOTr needs to modify the assistance to enable the achievement of these objectives. 524. Semi-annual Monitoring and Evaluation Report. This will be undertaken by the PMO and the EMA every six months until loan closing. 525. Final Report. The final report will be prepared by the MCRP PMO and the EMA on loan closing and evaluate if the objectives of the RAP are achieved. F. Monitoring Indicators 526. The following describes the internal and external monitoring indicators and suggest means of verification of the information. Temporary impacts due to construction will be monitored and reported as part of monitoring of the Environment Management Plan and also reflected in the internal and external social monitoring reports. 527. The indicative internal monitoring indicators are shown in Table 13-2 and the guide questions are indicated in Table 13-3.

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Table 13-2 Indicative Monitoring Indicators for Internal Monitoring

No. Category Checklist Means of Verification

1

Institutional arrangement for the RAP implementation and capacity building

Establishment of necessary institutions within the DOTr for the RAP implementation (names/dates of establishment)

DOTr MCRP PMO structures and related orders

Status of signing of an agreement/Memorandum of Agreement (MOA) with other/external agencies (names/dates of signing)

Status of MOAs

Status of recruitment of land acquisition and resettlement staff

Monthly record of staff number and their assigned position

Details of capacity building of the staff engaged in the RAP implementation

Training records and attendance sheets

Details of orientation workshops for other/line agencies involved in the RAP implementation

Training records and attendance sheets

2 Fund availability and allocation

Availability of required funds with the DOTr for the RAP implementation as planned

Allocated funds compared to planning

Allocation of funds to resettlement agencies as per schedule (names of agencies/dates of transfer/amount etc.)

DOTr fund transfer records and hearing from agencies on downloaded funds and dates

3 Identification and notification

Number of Informal Settler Families (ISF)s/APs

Finalized Masterlist

Issuance of the Notice of Taking (NoT), the Offer to Buy (OTB), etc.

DOTr records of issued NoT/OTB compared to planning

Identification and verification of ISFs/APs DOTr validation records Identification and verification of APs eligible for housing schemes

DOTr validation records

Identification and verification of APs eligible for social housing schemes

DOTr validation records, NHA validation records

Identification and verification of APs ineligible for social housing schemes

DOTr validation records/NHA validation records

Identification and verification of vulnerable APs


Identification and verification of other APs with no permanent dwelling


Identification and verification of Land Restoration and Improvement Plan (LRIP) beneficiaries

Final list of LRIP Beneficiaries

4

Resettlement preparation and site selection

Number of Available social housing units with the NHA

NHA list of available housing units

Number of Organized of Housing Exhibits Record of organized housing exhibits and participant lists

Progress and schedule of housing construction by the NHA

Actual status of housing development compared to planned schedule and the latest schedule

Number of consultation and agreement with APs on available housings conducted and agreed

Records of consultations and agreements

Status on the creation of social infrastructure at resettlement sites

Actual status compared to planned schedule and the latest schedule.

Number of consultation and site selection by APs

Records of consultations and participant lists

Number and status of signing of agreements with APs for social housing units

Signed agreements

Progress and schedule of delivery of social housing units

Actual status compared to planned schedule and the latest schedule.

176


5

Payment of compensation and self-relocation

Status of completion of a validation and replacement cost survey

Government Financing Institution (GFI) reports

Status of finalization of the Masterlist for self-relocation

Finalized Masterlist

Payment of full compensation for land, structures, and other properties/improvements/assets

Record of payment status compared to planned payments schedule and amount, and Interview to APs

Details of payment of various assistances to APs (including rental subsidies, food allowances, transportation allowances, etc.)


Status of payment of various assistance for APs


Number of APs who receive special vulnerable assistance


Number of Signed Agreement to Demolish and Remove Improvement (ADRI)

Signed ADRIs and Interview to APs

6 Project-assisted resettlement

Number of APs availing of social housing units and Pag-IBIG housing support

Final Masterlist

Number of APs resettled DOTr / NHA records on AP’s resettlement status

Number APs who relocate to temporary accommodation

DOTr records of relocation status to temporary accommodation

Number of APs who receive special vulnerable assistances

DOTr records of provision status of special assistance

7 Consultation and disclosure

Number of consultation with APs during resettlement preparation

Record of consultations and participant lists

Number of consultation with APs for site selection

Record of consultations and participant lists

Number of disclosure of communication materials including construction schedules disseminated

List of distributed materials and Interview to APs

Number of women and vulnerable groups/people participated in consultation

Record of consultation / attendance sheet and Interview to APs

8 LRIP

Number of identified livelihood restoration and improvement measures

Finalized LRIP for each APs

Number of identified APs with specific livelihood restoration program

Finalized LRIP Beneficiary list

Number of signed agreement with service providers

Signed MOAs / Agreements

Number of conducted LRIP workshops Records of Workshop and attendance sheet

Number of assistance provided for financial management

Records of provided assistance/organized trainings

Number of Assistance provided for securing soft loans

Records of provided assistance/provided soft loans and participant lists

Number of provided Vocational trainings List of provided trainings and participant lists

Number of employment opportunities to APs during construction of the project versus the percentage of APs who obtain employment

Records of Job fairs/APs who were hired and participant lists

9 GRM Number of the Hotline established Operational phone numbers

177


Records of phone calls Number of operational Help Desks / RIMC Sub-committee on Grievance

Record of grievances received and addressed per level

Number of established and operational Help Desks

Established Held Desk with photos

Number of training for GRM staff completed Record of trainings and participant lists

Number/type of grievances received at each level

GRM records in the GRM database

Number of resolved/unresolved grievances GRM records in the GRM database

10 Restoration of public facilities

Number/type of public facilities to be restored Verified As-build Masterlist

Number/type of public facilities restored DOTr records/Onsite visit compared to As-build Masterlist

11 Handover of land for civil works

Total Area/length of the ROW handed over by the PNR

MOA

Total Area/length of other government-owned land handed over

MOA

12

Gender-disaggregated resettlement and rehabilitation information

Number of woman-headed families Final AH Masterlist

Number of woman-headed families which opt for self-relocation

Record of AHs’ relocation preference based on DOTr validation

Number of woman-headed families which receive full compensation

Final AH Masterlist compared to records of compensation payment

Number of woman-headed families which receive all kinds of assistance

Final AH Masterlist compared to records of assistance provided

Number of woman-headed families which opt for assisted relocation

Final list of beneficiaries of social housing

Number of women's group consultation meetings organized

MOMs, attendance sheets

Number of woman-headed families which complete self-relocation

Final AH Masterlist compared to records of compensation payment

Number of woman-headed families which obtain assisted-relocation

Final list of beneficiaries of social housing

Number/type of the LRIP opted by woman-headed families

Final list of LRIP beneficiaries

Number/type of the LRIP participated by woman-headed families

Records of organized trainings and participant lists

Source: DOTr

Table 13-3 Guide Questions for Internal Monitoring

No. Category Guide Questions Means of Verification

1 Recruitment, training, and deployment

Have all land acquisition and resettlement staff been appointed and mobilized for field and office works on time to meet the RAP implementing schedule?

DOTr's MCRP PMO list of staff and MCRP PMO Organizational structure

Have capacity building and training activities on the GRM been completed on schedule?

Organized trainings and attendance sheets compared to planned schedule Post Activity Report/Minutes of the conducted trainings

Are all DOTr staff attending to GRM concerns provided with sufficient training and orientations prior to deployment?

Organized GRM trainings and attendance sheets Competency assessment before deployment

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2 Budget

Are funds for resettlement and livelihood being allocated to resettlement agencies on time?

Transfer records compared to planned schedule

Have KSAs received the scheduled funds? Transfer records compared to planned schedule

Have funds been disbursed according to the RAP?

Records of disbursement compared to RAP

3 Timeframe

Were RAP Implementation Management Committees (RIMCs) established and mobilized as planned?

MOA and meeting minutes compared to planned implementation schedule

Are resettlement activities being achieved compared to the agreed implementation schedule?

Records of resettlement activities status compared to implementation schedule

Was the validation of GFIs pertaining to fair market values for land, crops, and trees and replacement costs for structures and improvements completed on time?

Submission of valuation reports compared to the planned implementation schedule

Has the LRIP phase started as scheduled? Records of the implemented LRIP compared to the planned implementation schedule

Have all NoT been issued to property owners?

Records of issuance of the NoT compared to the Masterlist

Were all OTB delivered on time? Records of the issuance of OTB compared to the implementation schedule and the Masterlist

Was due diligence of submitted ownership documents completed on time?

Comparison with the planned implementation schedule

Have all lands been acquired and vacated on time for project implementation?

Records of land acquisition compared to the Masterlist and the planned implementation schedule

5

Delivery of compensation and entitlements

Has the final Entitlement Matrix (EM) updated during the DD Phase been presented to APs?

Records of SCMs and attendance sheets

Have all APs received entitlements according to amounts and categories of the loss set out in the EM?

Records of payment for compensation compared to the planning, and interview to APs

Have APs received payment for affected structures and lands on time?


Have APs received the agreed transport costs, relocation costs, income restoration support, and any resettlement allowances, according to schedule/as required?


Have replacement land plots or contracts been provided? Was the land developed as specified? Are measures to provide land titles to AHs ongoing?

List of the provided replacement lands compared to the planning, and interview to APs

How many APs have received housing as per relocation options in the RAP?

Final Masterlist of ISFs and record of social housing allocation by the NHA

Are APs occupying new houses? Site visits to check the occupancy and NHA record of payment of amortization

Are assistance measures being implemented as planned for host communities?

Records of assistance provided to host communities and interviews to LGUs

Is restoration proceeding for social infrastructure and services conducted?

DOTr record on number of the provided social infrastructure and interviews to LGUs

179


Have affected businesses received entitlements including transfer and payments for the net loss resulting from lost business and stoppage of production?

DOTr record on payment for compensation comparing to the plan, and interviews to APs

6 Resettlement

Have relocation sites been selected and developed as per agreed standards?

Verification of location, site development plans and site visits

Does the housing quality meet the agreed standards?

Verification of constructed housing and basic infrastructure provided compared to agreed standards in the RAP

Are APs able to access schools, health services, and cultural sites at the pre-relocation level?

Location of social infrastructure from the relocation sites and interviews to APs and comparison with the SES

Was rental subsidy for a temporary accommodation provided on time and are APs renting/staying per agreed standard?

Records of Landbank disbursement and visit to temporary accommodations

Have APs found temporary accommodations on time?

Submission of documents required for rental subsidies compared to planned schedule

7 LRIP

Are income and livelihood restoration activities being implemented as set out in the plan? For example, the utilization of replacement land, the commencement of production, the number of APs trained and provided with jobs, micro-credit disbursed, the number of income-generating activities assisted.

Comparison of records of organized LRIP activities compared to the planned ones

How many eligible APs have participated in the LRIP? Among the eligible APs, how many are poor, elderly, single headed households and PWD?

Number of APs who participated in organized trainings compared to finalized list of LRIP beneficiaries

Number of soft loans provided compared to finalized list of LRIP beneficiaries

Has the livelihood of APs been restored or improved?

Interviews to APs and comparison with the SES

Were job fairs organized as planned? How many?

Number of organized job fairs compared to planned, and participant lists

Were APs hired for construction-related jobs? (i) how many are vulnerable people? (ii) how many are women?

Monthly reports from contractors on the number of hired APs

8

Public participation and consultation

Have all post-RAP SCMs been conducted prior to RAP implementation?

Records of SCMs and attendance sheets compared to implementation activities, photo documentation

Have other types of consultations taken place as scheduled including meetings, groups, and community activities?

Records of consultations compared to schedule and attendance sheets, photo documentation

Have appropriate resettlement information dissemination materials (i.e. leaflets) been prepared and distributed?

Number and type of distributed information education communication materials and interviews to APs to verify the appropriateness

How many APs know their entitlements? How many APs know if they have been qualified to receive entitlements?

Interviews to APs 2nd SCM minutes of the meeting

180


9 GRM

How many APs have used the grievance redress procedures? What were the outcomes?

GRM action status recorded in the GRM database

Were sufficient number of staff allocated at each Help Desk?

List of Help Desk staffing compared to planning

Were appropriate tools and resources provided at each Help Desk?

List of provided resources compared to planning

Were complaints and grievances addressed in a timely manner?

GRM action status recorded in the GRM database and interview to APs

Have grievances been resolved? GRM action status recorded in the GRM database

How many cases were resolved at the levels of the Help Desk, the RIMC, and the PIAC?

GRM action status recorded in the GRM database

How many court cases were filed due to unaddressed grievances?

GRM action status recorded in the GRM database on court cases filed

10

Benefit monitoring / Impact Evaluation

What changes have occurred in patterns of occupation, production, and resource use compared to the pre-project situation?

Interview with APs and comparison with the SES results

What changes have occurred in income and expenditure patterns compared to the pre-project situation? What have been changes in costs of living compared to the pre-project situation? Have AHs’ incomes kept pace with these changes?

Interviews with APs and comparison with the SES results

What changes have taken place in key social and cultural parameters relating to monitoring indicators?


What changes have occurred for vulnerable groups?


Source: DOTr

528. The monitoring indicators for the EMA are shown in Table 13-4, and the guide questions are indicated in Table 13-5. The indicators for the external monitoring has been agreed. The terms of reference for the engagement and EMA has been finalized and now under procurement process. The EMA will need to in place before the implementation of the approved RAP.

Table 13-4 Indicative Monitoring Indicators for the EMA

No. Category Basis for Indicators Means of Verification

1

Institutional arrangement for the RAP implementation

Establishment of the MCRP PMO with required staffing for the RAP implementation

DOTr MCRP PMO structures and related order

Adequacy of knowledge and experience of the MCRP PMO for the RAP implementation

Discussions with the MCRP PMO

Effectiveness of capacity-building measures undertaken

Discussions with the MCRP PMO and record of trainings with participant lists

Establishment of the PIAC Consultations with the DOTr, Order issued related PIAC, Signed MOA

Signing of MOA with the NHA Signed MOA Establishment of the RIMC Signed MOA with LGUs Establishment of the GRM as per RAP provision

Consultations with the DOTr Visit to Help Desk

Availability of required fund with the DOTr Allocated funds compared to planning

181


Allocation of funds to resettlement agencies as per schedule

DOTr transfer records compared to planning and hearing from agencies on downloaded funds and dates

2 Adequacy of resettlement planning

Finalization of the RAP during the DD Phase

Review of the RAP

Compliance of RAP with JICA and ADB policies

Review of the RAP and comparison with the JICA Guidelines and ADB SPS

Adequacy of entitlement provision Review of the RAP Interviews with APs on the adequacy of provided entitlements

Availability and adequacy of SES database based on DD surveys

Verification of the SES database

Verification of RCS for structures, trees and crops - adequacy of methodologies and

standards for determining compensation rates;

- ability of APs to replace affected assets with the compensation received

Review of RCS Interview with APs on the compensation amount and ability to replace affected assets

Establishment of an internal monitoring system

Discussions with the MCRP PMO/Internal Monitoring reports

Availability, accessibility, and adequacy of internal monitoring reports

Internal Monitoring reports

3 Delivery of entitlements

Disbursed compensation as per EM Records of disbursement compared to plan

Disbursed entitlement on time and before displacement

Records of disbursement compared to the planned schedule

Adequate time given through a notification for self-relocation

Records of issuance of the notification compared to the plan Interviews with APs

Number of replacement land plots provided Records of provided replacement land

Quality of new plots and issuance of land titles

Interview with APs Issued land titles

Availability of social housings List of NHA provided social housing compared to final list of beneficiaries

Number of NLOs/ISFs provided with adequate information to avail of social housings

Records of stakeholder consultations and attendance list Consultations with APs

Participation of NLOs/ISFs in selection and design of social housing locations and options

Records of stakeholder consultations and attendance list Consultations with APs

Quality of social housings Field verification compared to set standards Interviews with APs

Availability of infrastructure at relocation sites

On-site verification compared to plan

Availability of transitional rental assistance until availability of housing schemes

Records of disbursement compared to planning

Project assistance for APs who opted for social housings

Records of provided assistance compared to planning

Timely disbursement of agreed assistance to APs

Records of disbursement compared to planning and interviews with APs

182


Number of special assistance provided for vulnerable APs in the resettlement process

Records of APs provided with special assistance compared to planning

APs’ satisfaction with availed social housings

Interviews with APs

4 Consultation and grievances

Consultations organized as scheduled including meetings, groups, and community activities

Records of consultations compared to planning

Knowledge of APs on their entitlements Interviews with APs

Conduct of consultation meetings exclusively with women


Conduct of consultation meetings exclusively with vulnerable groups


Dissemination of communication materials to APs in local languages

List of distributed material

Knowledge of APs about the GRM including Help Desks

Interviews with APs

Accessibility of the GRM to APs Interviews with APs Information on resolution of grievances GRM database records Timing of grievances redressed as per schedule

GRM database records Interviews with APs

Proper communication on GRM decisions to APs

GRM database records

5 LRIP

Inclusion of APs under rehabilitation programs (data disaggregated by gender and vulnerable group)

Final list of LRIP beneficiaries

Availability/ Adequacy of vocational/entrepreneurial training

Interviews with APs Record of provided trainings

Availability of soft loans for APs Interviews with APs Record of provided soft loans

Availability of employment opportunities. Interviews with APs Record of organized job fairs

Degree of satisfaction with support received for livelihood programs

Interviews with APs

Number of successful enterprises (data disaggregated by gender and vulnerable group)

Interviews with APs

Number of displaced persons who improved their incomes (data disaggregated by gender and vulnerable group)

Interviews with APs Comparison with the SES results

Number of displaced persons who improved their standard of living (data disaggregated by gender and vulnerable group)


Number of displaced persons with agricultural replacement land (data disaggregated by gender and vulnerable group)

Record of provided replacement land

Quantity of land owned/contracted by displaced persons (data disaggregated by gender and vulnerable group)

Interviews with APs

6 Benefit monitoring

Changes occurred in patterns of occupations, production, and resource use compared to the pre-project situation


Changes occurred in income and expenditure patterns compared to the pre-project situation


Changes occurred in key social and cultural parameters


183


Changes occurred for vulnerable groups Interviews with APs Comparison with the SES results

Source: DOTr

Table 13-5 Guide Questions for External Monitoring

No. Category Guide Question Means of Verification

1 ROW acquisition process

How many APs who signed Agreement to Demolish and Remove Improvements (ADRIs) vacated structures as agreed?

Records of land acquisition negotiations

2 Delivery of entitlements

Were entitlements disbursed according to the number and category of losses set out in the Entitlement Matrix?

Records of disbursement compared to EM and Masterlist

Was disbursement made to meet the timelines?

Records of disbursement compared to schedule

Has the identification of displaced persons losing land temporarily, e.g., through soil disposal, borrow pits, contractors’ camps, been included?

Records of validation activities

Was disbursement of the agreed transport costs, relocation costs, income substitution support, and any resettlement allowances made in a timely manner according to the schedule?

Number of soft loans provided compared to the schedule

Were replacement land plots provided? What was the quality of new plots and issuance of land titles?

Records of the provision of replacement land, issued land titles Interviews with APs

Are social infrastructure and services restored?

List of constructed social infrastructure compared to plan

Are LRIP activities being implemented as set out in the program, for example, utilizing replacement land, commencement of production, the number of the displaced persons trained for employment with jobs, microcredit disbursed, the number of assisted income-generating activities?

Records of the land-for-land provision Number of organized trainings and attendance sheets Number of organized job fairs Number of provided soft loans

Have affected businesses received entitlements, including transfer and payment for the net loss resulting from lost businesses?

Records of payment of compensation compared to Masterlist

3 Consultation and grievances

Are consultations organized as scheduled including meetings, groups, and community activities?

Records of SCMs compared to plan

Do APs have knowledge of entitlements? Interviews with APs

How many APs have used the Help Desk (GRM)?

GRM database records

How many cases have been resolved? GRM database records Which information on the implementation of the social preparation phase is available to APs?

Interviews with APs

4 Communications and participation

How many general meetings were held (for both men and women)?

Records of SCMs, attendance lists

What is the percentage of women out of total participants?


How many meetings were held exclusively with women?


How many meetings were held exclusively with vulnerable groups?

Records of SCMs

184


How many meetings were held at new sites?

Records of SCMs

How many meetings were held between hosts and displaced persons?

Records of SCMs

What is the level of participation in meetings (data disaggregated by gender and vulnerable group)?


What is the level of information communicated? Is it adequate or inadequate?

Records of SCMs Interview with APs

Was information properly disclosed? Records of SCMs with disclosed information Interview with APs

Were translations of information disclosure in the local languages available?

Records of SCMs with disclosed information Interview with APs

5 Budget and time frame

Were land acquisition and resettlement staff appointed and mobilized on schedule for field and office works?

Staffing records compared to planning

Were capacity building and training activities completed on schedule?

Records of trainings compared to planning

Were resettlement implementation activities achieved compared to the agreed implementation plan?

Records of disbursement compared to planning

Were the funds for resettlement agencies allocated on time?

Records of fund transfer compared to schedule

Were the scheduled funds received by resettlement offices?

Records of fund transfer and interview with resettlement offices

Were the funds disbursed according to the RAP?

Records of fund transfer compared to arrangements in the RAP

Was social preparation implemented as per schedule?

Record of organized activities compared to the implementation schedule

Was land acquisition and occupation in time for implementation?

Records of land acquisition compared to schedule

6 Resettlement and relocation

Were APs provided with adequate information, consulted on their preferences, and guided on procedures to avail of social housings?

Records of consultations Interview with APs

Did APs participate in selection and design of social housing locations and options?

Record of meetings Interview with APs

What is the number and percentage of APs provided with social housing programs?

Final list of social housing beneficiaries compared to Masterlist of AHs

Were social housings provided to relocating APs timely?

NHA records of provision of housing compared to schedule

Was the quality of social housings provided to APs sufficient (i.e., suitability of locations, utilities, and access to social services)?

Onsite verification of relocation sites compared to provision of the RAP Interview with APs

Was transitional assistance such as transportation allowances provided?

Disbursement records compared to plan

Was rental assistance provided until social housing is available for eligible APs?

Records of Landbank disbursement of rental subsidies compared to Masterlist and record of resettlement to social housing

185


What is the percentage of relocated APs who are able to pay amortizations?

Records of NHA amortization payment collection compared to Masterlist

What is the percentage of relocated APs satisfied with social housings and the remaining in social housings?

Interviews with APs List of APs occupying the social housing

Was the management of the NHA adequate?

Auditing with the NHA Interview with APs

7 LRIP

What is the number of displaced persons under the rehabilitation programs (data disaggregated by gender and vulnerable group)?

Final list of LRIP Beneficiaries

What is the percentage of APs eligible for LRIP assistance who registered in the program (data disaggregated by gender and vulnerable group)?

Final list of APs who registered for the LRIP compared to the list of LRIP beneficiaries

What is the percentage of eligible APs applying for soft loans?

Record of APs who applied to soft loans compared to Masterlist

What is the percentage of successful soft loan applications?

Record of APs who were provided with soft loans compared to the list of APs who applied

What is the number of displaced persons/eligible APs who received vocational/entrepreneurial training (data disaggregated by gender and vulnerable group)?

Records of organized trainings and attendance lists compared to final list of LRIP beneficiaries

What are the types of training and the number of participants in each?

Records of organized trainings and attendance lists

What is the number and percentage of displaced persons covered under livelihood programs (data disaggregated by gender and vulnerable group)?

List of LRIP beneficiaries compared to Masterlist of AHs

What is the number of displaced persons who have restored their income and livelihood patterns (data disaggregated by gender and vulnerable group)?

Interviews with APs

How many new jobs were generated? Interviews with APs

What is the extent of participation in rehabilitation programs?

Records of participation of APs compared to list of beneficiaries of LRIP

What is the extent of participation in vocational training programs?

Records of participation in training programs compared to list of beneficiaries of LRIP

What is the level of satisfaction with support received for livelihood programs?

Interviews with APs

What is the percentage of successful enterprises reaching break-even (data disaggregated by gender and vulnerable group)?


What is the percentage of displaced persons who improved their income (data disaggregated by gender and vulnerable group)?


What is the percentage of displaced persons who improved their standard of living (data disaggregated by gender and vulnerable group)?


What is the number of displaced persons who were given agricultural land as a

Records of provided replacement land

186


replacement for land loss (data disaggregated by gender and vulnerable group)? What is the quantity of land owned/contracted by displaced persons (data disaggregated by gender and vulnerable group)?

Interviews with APs and ownership documents