SAMOA ENVIRONMENTAL AND SOCIAL SCREENING AND ASSESSMENT FRAMEWORK FOR A POST-TSUNAMI RECOVERY PROJECT

Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized SAMOA ENVIRONMENTAL AND SOCIAL SCREENING AND ASSESSMENT FRAMEWORK FOR A POST-TSUNAMI RECOVERY PROJECT June 8 2010 1

Table of Contents Objectives... 3 Project description... 3 Environmental and Social Screening and Assessment Framework (ESSAF)... 5 General Principles... 5 Relevant World Bank Policies... 5 Safeguard Screening and Mitigation... 6 Responsibilities for Safeguard Screening, Mitigation and Clearance... 7 Disclosure... 7 ANNEXES... 9 ANNEX 1: Due Diligence Guidelines... 9 ANNEX 2: List of Ineligible Activities... 10 ANNEX 3: Chance Find Procedures: Protection of Cultural Property... 11 ANNEX 4: Community Consultation Framework... 12 2

Objectives 1. The Environmental and Social Screening and Assessment Framework (ESSAF) details general policies, guidelines, and procedures to be integrated into the implementation of the IDA supported Post-Tsunami Recovery Project in Samoa. The project aims to support the efforts of the Government of Samoa (GOS) to address immediate post-tsunami needs and to start the reconstruction process. 2. The project has been prepared in accordance with the World Bank s OP 8.00, Rapid Responses to Crises and Emergencies, to expedite processing and provide immediate support. 3. The ESSAF has been developed to ensure compliance with the World Bank s safeguard policies and the Samoa Codes of Environmental Practice (COEP) and is applicable to all subprojects funded under the project. The objective of the ESSAF is to ensure that activities under the proposed operation will: Enhance positive and sustainable environmental and social outcomes. Mitigate potential negative impacts on the environment and communities. Support the integration of environmental and social aspects of subprojects into the decision making process. Ensure environmentally and sustainable development by supporting the protection, conservation, maintenance and rehabilitation of natural habitats and their functions. Minimize environmental degradation as a result of either individual subprojects or their cumulative effects. Protect human health. Minimize impacts on cultural property. Assist displaced people in improving or at least restoring their livelihoods and standards of living to pre-displacement levels. Project description 4. The project s development objective is to provide appropriate transport access to areas and communities affected by the tsunami of September 2009. 5. This proposed project is a US$9.0 million IDA Emergency Recovery Credit (ERC) with additional grant co-financing of AUS$2 million from the Pacific Region Infrastructure Facility to support the transport sector post-tsunami recovery plan of the GOS. The ERC will be implemented through the Land Transport Authority (LTA) and Ministry of Natural Resources and Environment (MNRE), with overall coordination by the Ministry of Finance (MoF). 6. The project incorporates five project components: (a) Component 1. Upgrading of existing access tracks and seawalls US$5.6 million. This component will provide partial retroactive financing for urgent works by LTA to: provide 3

improved road access to relocation areas; construct a new link road that will provide an alternative route along the south coast above the natural disaster risk zone; and reinstate damaged seawalls to protect the east and south coast roads. (i) Lepa/Lalomanu link road US$1.1 million. This sub-component responds to the need to provide improved road access to relocation areas and for an alternative route along the south coast above the natural disaster risk zone. (ii) Upgrading of access tracks US$2.8 million. This sub-component responds to requests from village mayors to upgrade existing tracks from the east coast road to areas where residents are relocating after the tsunami. (iii) Sea wall repair and reconstruction US$1.6 million. This sub-component will restore and upgrade seawalls along critical lengths of the coastal roads. (iv) Salani Bailey Bridge repair US$0.04 million. This sub-component will repair damage caused by the tsunami. (v) Technical assistance US$0.06 million. This sub-component will finance specialist technical assistance for storm-water drainage design along all the upgraded routes. (b) Component 2. Community Coastal Infrastructure Management Plans US$0.2 million. This component will update the mapping of the affected and relocation areas, and revise the community level Coastal Infrastructure Management (CIM) Plans for these areas to assist with infrastructure planning and monitoring, and disaster risk reduction. (c) Component 3. East Coast Inland Route (Samusu-Lalomanu) US$4.6 million. This component will provide a new road link along the east coast above the natural disaster risk zone to improve access to and for communities relocating inland from the east coast, and provide a secure transport link between Samusu and Lalomanu. (i) Route alignment study, design & supervision US$0.5 million (ii) Environmental Impact Assessment US$0.1 million (iii) Compensation cost To be determined (iv) Road construction US$4.0 million (d) Component 4. Dual-purpose pedestrian access routes US$0.6 million. This component will provide new and improved pedestrian access routes to relocation areas above the south east escarpment area, both to facilitate access for resettled families between their new homes and the coast, and to serve as evacuation routes in the event of a tsunami or cyclone. (i) Feasibility study, design and supervision US$0.1 million (ii) Construction of pedestrian access routes US$0.5 million (e) Component 5. Project Management and Support US$0.3 million. This component will support contracted consultant services, and staffing plus operating costs for in-house project management, administration, and monitoring and evaluation activities by LTA and MNRE. (i) Project Management US$0.23 million. Support for in-house project management, administration, training, and monitoring activities by MoF, LTA and MNRE. (ii) Monitoring & Evaluation US$0.07 million. This sub-component will support TA to establish the project evaluation framework and conduct before-and-after analysis to evaluate the impact of the project. 4

Environmental and Social Screening and Assessment Framework (ESSAF) General Principles 7. The ESSAF has been prepared in recognition of the emergency nature of the relief and reconstruction operation and the related need for providing immediate assistance, while at the same time ensuring due diligence in managing potential environmental and social risks. The operation will finance a number of subprojects, the detailed designs of which will not be known prior to approval, and it will also provide retro-financing to a number of sub-projects that have already been undertaken. 8. The ESSAF is to be used by the Project Implementing Agencies to screen all sub-project activities for their likely social and environmental impacts and to develop necessary documentation. It is also to be used to guide the due diligence process for sub-projects that are being provided with retroactive financing. 9. Subprojects with the potential for significant environment and/or social impacts will be identified through the subproject screening mechanism and the, subproject-specific environmental and/or social assessment will be prepared and will be the subject of review and approval by the World Bank. 10. Project implementation will also be guided by community consultations which will be undertaken as part of a social assessment. The consultations will be aimed at: a. Eliciting input from community members and other stakeholders into the design of project components, specifically the alignment of the Samusu-Lalmanu road and the dual-purpose pedestrian access routes. b. Increasing awareness of the potential impacts of sub-projects to be undertaken under the project and the measures which will be put in place to mitigate the impacts (in particular where the implementation of subprojects may require land acquisition and/or resettlement). c. Soliciting feedback from potential project affected people on the mitigation measures. d. Identifying individuals and/or groups of individuals that may be vulnerable to project impacts. Consultations will include a broad section of community members including women, youth, and any identified vulnerable populations and will follow the process laid out in the Samoa Code of Environmental Practice (COEP 3). 11. The ESSAF will be publicly disclosed at the Project Management Unit s offices, public places in Apia, and in the World Bank s InfoShop. In addition, it will be shared widely with affected community members and other stakeholders during the consultations. Relevant World Bank Policies OP 4.01 Environmental Assessment. 12. OP 4.01 is triggered because of the anticipated impacts from civil works related to the rehabilitation and construction of access roads as well as the construction of sea walls. The impacts, however, are assessed to be localized and manageable because civil works would take place in already existing roads and, where new construction takes place, the size of the activities is limited. 5

13. Samoa has well-developed and modern environmental assessment and monitoring procedures for road works, coastal protection, drainage, quarry development and operations and construction of communications facilities, among others. The COEP were developed with the assistance of consultants and have been adopted by Samoa under the Bank s SIAM-2 covering: Road Planning, Design and Construction (COEP 2); Consultation (COEP 3); Construction Camps (COEP 5); Road Construction Erosion Control (COEP 6); Slope Stability (COEP 7); Quarry Development and Operations (COEP 8); Gravel Extraction (COEP 9); Coastal Protection (COEP 10); Drainage (COEP 11); Traffic Control During Construction (COEP 12); Earthworks (COEP 13). 14. OP 4.12 Involuntary Resettlement. Subprojects will be screened for applicability of the resettlement policy. In the event that people are physically or economically displaced by Bank funded sub-projects, the procedures detailed in the Land Acquisition and Resettlement Framework (LARF) will be followed. Safeguard Screening and Mitigation 15. The sub-projects under the following components will be subject to screening for social and environmental impacts and mitigation measures: a. Component 3: The Samusu-Lalomanu road (East Coast Inland Route, Component 3) b. Component 4: The dual purpose pedestrian access routes (Component 4). 16. Ineligible activities. The screening for ineligible expenses (see Annex 2) lists attributes of sub-projects which cannot be financed by the project. 17. Protection of physical and cultural resources. Sub-projects that impact archaeological, heritage, historical, traditional, and cultural sites will not be financed under this project. Should these sites be found during implementation procedures will be followed to ensure that these resources are protected. (See Annex 3) 18. Procedures for land acquisition and resettlement. Sub-projects that will result in involuntary land acquisition and/or resettlement will be avoided, however in the case that they cannot be avoided the Land Acquisition and Resettlement Framework provide guidance on procedures to be undertaken. (See Land Acquisition and Resettlement Framework) 19. Guidelines for due diligence. The sub-projects which received retroactive financing (see list below) will be reviewed by the project team to ensure that their implementation complied with the laws of Samoa. (See Annex 1) The Bank will review the due diligence report prior to releasing the financing. a. Lepa/Lalomanu link road (Component 1a) b. Upgrading of access tracks (Component 1b) c. Sea wall repair and reconstruction (Component 1c) d. Salani Bailey Bridge repair (Component 1d) 20. Samoa Codes of Environmental Practice: Annex 5 6

Responsibilities for Safeguard Screening, Mitigation and Clearance 21. The Ministry of Natural Resources and the Environment is a well-established entity with adequate professional staff and systems in place to manage land and environmental issues in Samoa. The MNRE and its Planning and Urban Management Agency (PUMA) have incorporated several of the elements of strengthening environmental practices introduced in Samoa under the SIAM-1 as well as the ongoing SIAM- 2 projects into their normal sector operations, building on these in several ways. In the ongoing works done so far, all major works of the MWTI/LTA have undergone a Preliminary Environment Assessment Report (PEAR) while general maintenance and small works are following the National COEP. 22. The Land Transport Authority will be charged with implementing the project. The agency will ensure that all project activities adhere to the requirements of the ESSAF, and that designated environment and social development specialists are appointed for overseeing the implementation and monitoring of the Framework. A focal person will be appointed for oversight on required environmental clearances and approval of required environment and social studies and instruments. 23. The World Bank s task team will include environmental and social specialists who will: provide necessary support during the implementation of the ESSAF, provide approval of environmental and social assessment/studies requiring Bank clearance, clear the Land Acquisition and Resettlement Action Plans. Disclosure 24. This ESSAF will be shared with concerned communities, nongovernmental organizations and development partners. It will be disclosed by the Land Transport Authority and will also be made available at the World Bank s InfoShop. Relevant subproject specific safeguard documents/mitigation plans prepared subsequently will also be disclosed. 25. Any feasibility and detailed design studies financed by this operation will also adhere to World Bank safeguard policies relating to consultation and disclosure. In addition, any Land Acquisition and Resettlement Action Plans will also adhere to World Bank safeguard policies regarding disclosure. I. Guidelines for preparation of Environmental Environmental Impact Assessment and Environmental Management Plans 14. In the preparation of designs as prescribed in the Request for Proposals for all works, an environmental assessment either in the form of a Preliminary Environmental Assessment Review or full EIA (whichever is applicable) is required and this is integrated in the design. An Environment Management Plan (EMP) is also prepared as the main documentation to be attached to the Development Consent (DC) Application from MWTI to the PUMA of MNRE. MNRE also seeks DC from the Planning and Urban Management Agency for works implemented as part of the former's Small Grants Scheme. 15. The PUMA evaluates DC applications for construction works through the consideration of findings of the required PEAR or full EIA (whichever is applicable). Safeguards requirements for this project remain the same as those originally stipulated under the existing Environment Management Plan under SIAM-2 which sets out the approaches proposed by the selected design 7

and supervision consultants on behalf of the MWTI, to mitigate or avoid adverse environment impacts. 16. Among other things, design and supervision tenders as well as contractors are required to clearly indicate how they will complete fulfill their respective obligations. An appropriate Development Consent (DC) is then issued by PUMA. During construction, the PUMA officers conduct at least two monitoring evaluations to ensure that the Development Consent requirements (and any conditions that have been attached) are strictly adhered to. 17. PUMA has the powers under its Act to stop the construction at any time where DC conditions are not being met by the Contractor and it has in the past invoked this provision to achieve contractor compliance. The construction supervisors are also required to follow the EMP requirements and DC conditions during the monitoring of specific project activities. For the Samoan Airport Authority, MWTI and MNREM, their compliance history in relation to these environmental requirements is highly satisfactory, with all project activities going through the Development Consent process. 18. The environmental issues that will be monitored under the project include: (a) adequate storm water and run-off disposal and management along the alignment; (b) public road safety; and (c) traffic noise and control. Construction impact includes: (a) quarrying and sand mining, material preparation and storage, equipment maintenance and disposal sites; (b) transport, soil erosion, and sedimentation control and management of impact on water quality of surface watercourses, (c) dust and noise control during construction period, (d) soil disposal and management; and (e) waste management, for both solid waste and hazardous liquid waste and used lubricants. Since most of the construction works are relatively small and the system in place for monitoring compliance is working well, there have been very few problems so far and this is expected to continue. 8

ANNEXES ANNEX 1: Due Diligence Guidelines 1. The Project will retroactively finance four activities: construction of a new main road Lepa/Lalomanu, upgrading of short length access tracks, sea wall repair and construction, and bridge repair (Salani Bailey Bridge). 2. In an effort to ensure that these activities were undertaken in compliance with national law a review of the implementation of these sub-projects, specifically vis-à-vis land use, social impacts, and environmental impacts will be carried out. This due diligence will determine whether or not land use occurred within the confines of the Samoan law and if not what measures need to be taken to ensure compliance. 3. In regards to this, a due diligence report will be prepared by the Project team. The due diligence report will include: (i) Summaries of the relevant legislation. (ii) Summaries of the sub-projects location, scope, and previous use (including previous land use, occupants, etc.). (iii) A description of the sub-projects on the environment, on land use (i.e. temporary land use, permanent land acquisition), and on communities. (iv) A description of the scope and magnitude of adverse impacts. This will include information on previous occupants (legal and illegal, owners and lessees, temporary and permanent), the number of people and businesses displaced, the impact of displacement on livelihoods, the scope of destruction of assets. (v) Details on compensation and assistance arrangements and the extent to which this fulfilled national law. Dimensions to be explored here include the amount of compensation, the types of assistance offered to affected people, and the timing and fulfillment of compensation and assistance payment. (vi) Details on the consultations that were conducted with project affected people as part of the land acquisition process. 4. As part of due diligence, interviews with affected community members may be undertaken to obtain feedback on the impacts of the sub-projects. 5. The due diligence report will be a signed by recognized representatives of the affected communities. 6. Based on the above the report will provide conclusions as to whether or not the actions that led to the securing of the site were in compliance with national law and if not, it will identify gaps and recommendations for filling those gaps. 9

ANNEX 2: List of Ineligible Activities Subprojects with any of the attributes listed below will be ineligible for support under the Project. Attributes of Ineligible Subprojects GENERAL CHARACTERISTICS Concerning significant conversion or degradation of critical natural habitats. Including, but not limited to, any activity within: Wildlife reserves Sensitive marine ecosystems Parks or sanctuaries Damages cultural property, including but not limited to, any activities that affect the following sites: Archaeological or historical sites Religious monuments or structures Works of art Sites of significance points of view Natural sites with cultural values including cemeteries, graveyards, and graves 10

ANNEX 3: Chance Find Procedures: Protection of Cultural Property 1. Cultural property include monuments, structures, works of art, or sites of significance points of view, and are defined as sites and structures having archaeological, historical, architectural, or religious significance, and natural sites with cultural values. This includes cemeteries, graveyards and graves. 2. The list of negative subproject attributes which would make a subproject ineligible for support (Attachment 1) includes any activity that would adversely impact cultural property. In the event that during reconstruction or construction sites of cultural value are found, the following procedures for identification, protection from theft, and treatment of discovered artifacts should be followed and included in standard bidding documents. 3. Chance find procedures will be used as follows: (a) Stop the construction activities in the area of the chance find; (b) Delineate the discovered site or area; (c) Secure the site to prevent any damage or loss of removable objects. (d) Notify the supervisory Engineer who in turn will notify the responsible local authorities; (e) Responsible local authorities and the relevant Ministry would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. (f) Decisions on how to handle the finding shall be taken by the responsible authorities and the relevant Ministry. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage. (g) Implementation for the authority decision concerning the management of the finding shall be communicated in writing by the relevant Ministry. (h) Construction work could resume only after permission is given from the responsible local authorities and the relevant Ministry concerning safeguard of the heritage. 4. These procedures must be referred to as standard provisions in construction contracts. During project supervision, the Site Engineer shall monitor the above regulations relating to the treatment of any chance find encountered are observed. 5. Relevant findings will be recorded in World Bank Supervision Reports and Implementation Completion Reports will assess the overall effectiveness of the project s cultural property mitigation, management, and activities, as appropriate. 11

ANNEX 4: Community Consultation Framework Project implementation will be guided by community consultations which will be undertaken as part of a social assessment. The Community Consultations will follow the procedures laid out in the Samoa Code of Environmental Practice (COEP). The principles of consultation as laid out under the chapter on consultation in the COEP (COEP- 3) include: At the earliest opportunity, a community should be advised of potential projects and how the community can receive information about, and become involved with, such projects. The intentions/objectives of the consultation should be clearly and openly stated. Stakeholders and affected communities should have timely and meaningful inputs to, and participation in, any phases or aspects of projects that directly affect them and all inputs should be treated equitably and with respect. Consultation should be a two-way process, there should be an exchange of information where both the proponent and the affected communities should put forward their points of view and to consider other perspectives. Consultation is best undertaken at early stages in and throughout the decision making process or at least ongoing communication after a decision has been made. All parties do not have to agree to a proposal, however as a result of undertaking consultation at least points of difference will become clearer or more specific. 12

ANNEX 5: Samoa Codes of Environmental Practice Refer to Samoa Codes of Environmental Practice, by Ministry of Natural Resources and Environment, Planning and Urban Management Agency, Approved by Planning and Urban Management Board 04 April 2007 13