52083-002: Malolos-Clark Railway Project

Resettlement Action Plan

August 2020

Malolos Clark Railway Project (Malolos-Angeles I.)

Volume 1 Main Report

Prepared by Department of Transportation for the Asian Development Bank

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 CDO City Development Office CHR Commission on Human Rights CIA Clark International Airport 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 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 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 PROW Project Right-of-Way PSA Philippine Statistics Authority

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PTE Permit to Enter PWD Person with Disability RA Republic Act RAP Resettlement Action Plan RCS Replacement Cost Survey RD Registry of Deeds RFO 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

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.

Employees of Affected Refers to persons employed in wage-based work in Businesses enterprises affected by this project.

Enterprise-based Non-land based economic undertaking that is not salaried/waged and associated with entrepreneurial ventures.

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.

Income Restoration Re-establishing income sources and livelihoods of APs to approximate or exceed the level it was before the development project.

Institutional Establishments Entities that provide government, education, and spiritual services.

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-Resident Businesses Refers to enterprises whose owners do not reside in the same location of their enterprise.

Non-Resident Farmers Refers to farmers who do not reside on the land they own and use, respectively, for farming.

Non-Resident Landowning Refers to owners of land who do not reside on land Affected Owners affected and to be acquired by this project.

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 affected by the project.

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 AHs while awaiting for their movement/transfer to their choice of relocation.

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).

Resident Business Owners This refers Affected Households who have an enterprise located in their place of residence.

Resident Landowning Affected Households which reside on project-affected land they Households/Persons claim to own.

Severely Affected Impacts caused by the project resulting in 10% or more of loss of productive resources and/or physical displacement, or if residual holdings are no longer economically viable.

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.

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 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 ...... 14 G. Substations ...... 14 H. Utilities ...... 15 I. Construction Yards, Borrow Pit and Spoil Disposal Area ...... 15 J. Comparison on Alternatives Without Project Option ...... 15 K. ROW Alternative Option ...... 15 CHAPTER 2: SCOPE OF LAND ACQUISITION AND RESETTLEMENT ...... 18 A. Methodology to Assess Impacts ...... 18 B. Cut-off Date ...... 19 C. Overview of Land Acquisition and Resettlement Impacts ...... 20 D. Affected Land ...... 22 E. Affected Structures ...... 25 F. Affected Crops and Trees ...... 26 G. Impacts on Livelihoods ...... 26 H. Vulnerable Households ...... 29 I. Impacts Associated with Utility Relocation ...... 30 CHAPTER 3: SOCIO-ECONOMIC PROFILE OF PROJECT AFFECTED PERSONS ...... 32 A. Socio-Economic Survey Overview ...... 32 B. Resident Land Owner Households ...... 33 C. Affected Non-Resident Landowners ...... 45 D. Businesses and Institutional Establishments ...... 46 E. Non-Resident Farmers ...... 53 CHAPTER 4: LEGAL AND POLICY FRAMEWORK ...... 54 A. Policies and Guidelines Applied to the Project ...... 54 B. Philippine Legal Framework ...... 54 C. Executive/Administrative/Department Orders ...... 68 D. Relevant Manuals, Policies and Memorandum Circulars ...... 70

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E. JICA Policies on Involuntary Resettlement ...... 72 F. ADB Policy on Involuntary Resettlement and Indigenous Peoples ...... 73 G. Resettlement Policy Comparison ...... 76 H. Fundamental Project Policy ...... 89 I. Cut-Off Date ...... 91 J. Principle of Replacement Cost ...... 91 K. Eligibility and Project Impacts ...... 94 CHAPTER 5: COMPENSATION AND ENTITLEMENT ...... 99 A. Units of Entitlements ...... 99 B. Conditions ...... 100 C. Eligibility ...... 101 D. Modes of Acquisition ...... 101 E. Processes for Provisions of Compensation and Entitlements ...... 101 F. Process for Negotiated Sale ...... 101 G. Process of Expropriation ...... 103 H. Required Documents for Payment of Compensation ...... 104 I. Income Loss ...... 105 J. Assistance to Obtain Necessary Documents ...... 106 K. Payment Schedule ...... 106 L. Entitlement Matrix ...... 107 CHAPTER 6: RESETTLEMENT PLANS FOR RESIDENT LANDOWNERS ...... 122 A. Beneficiaries of the Relocation Assistance ...... 122 B. Relocation Assistance ...... 122 C. Right of Way Acquisition and Displacement Procedure ...... 124 CHAPTER 7: PUBLIC CONSULTATION ...... 125 A. Principles for Consultation and Participation ...... 125 B. Project Stakeholders ...... 126 C. Consultation and Participation Mechanisms ...... 126 D. Consultation/Participation Mechanism Undertaken During Feasibility Study Phase ...... 128 E. Consultation and Participation Mechanism Undertaken During Detailed Design Phase.... 129 F. Focus Group Discussions (FGDs) with Vulnerable Groups...... 143 G. Focus Group Discussion (FGD) with the Business Sector ...... 146 H. Consultation and Participation Mechanism Undertaken During Project Implementation Phase 148 I. COVID-19 Health and Safety Measures for Physical Consultations ...... 150 J. Disclosure of RAP Documents ...... 154 CHAPTER 8: LIVELIHOOD RESTORATION AND IMPROVEMENT PLAN ...... 155 A. Objectives of the LRIP ...... 155 B. Categories of APs with Affected Livelihoods and Types of Livelihood Assistance ...... 155 C. Methodology for Developing the LRIP ...... 155

D. Livelihood Rehabilitation Measures ...... 157 E. Description of Types of Livelihood Restoration and Improvement Activities ...... 159 F. Implementation Arrangements ...... 165 G. LRIP Budget Estimate ...... 166 CHAPTER 9: GRIEVANCE REDRESS MECHANISM ...... 168 A. Scope and Objectives of the Grievance Redress Mechanism ...... 168 B. Principles Guiding the Grievance Redress Mechanism ...... 168 C. DOTr’s GRM Team ...... 168 D. Levels of GRM...... 170 E. Court of Law ...... 173 F. ADB’s Accountability Mechanism...... 173 G. JICA’s Objection Procedures ...... 173 H. Grievance Redress Mechanism Procedures ...... 173 I. Status of Grievance Redress Mechanism Set-up for MCRP ...... 177 J. Information Dissemination ...... 178 K. Capacity Building of GR Officers...... 179 L. Monitoring and Reporting on Grievance Redress ...... 180 M. Continuous Update of the GRM ...... 181 CHAPTER 10: RAP IMPLEMENTATION ARRANGEMENTS ...... 182 A. Department of Transportation ...... 184 B. Partner Institutions ...... 188 CHAPTER 11: RAP IMPLEMENTATION SCHEDULE...... 204 A. Implementation Schedule of Construction ...... 204 B. Schedule of RAP ...... 204 C. RAP Implementing Institutions ...... 204 D. Land Acquisition ...... 204 E. Provision of Livelihood Restoration and Improvement Program ...... 205 F. Relocation of Utilities ...... 206 G. Monitoring of RAP Implementation ...... 207 H. Arrangements for Implementation of RAP ...... 207 I. Information Dissemination and Consultation ...... 207 CHAPTER 12: COST AND BUDGET FOR RESETTLEMENT AND ACQUISITION OF LAND ASSETS 209 A. Cost of Required Land ...... 211 B. Replacement Cost of Affected Structures ...... 211 C. Resettlement Assistance ...... 212 D. Allowance for Hardship Due to Vulnerability ...... 213 E. LRIP Cost ...... 214 F. RAP Implementation and Monitoring ...... 214 G. Funds for RAP Implementation ...... 215

CHAPTER 13: MONITORING AND EVALUATION ...... 216 A. Purpose of RAP Monitoring and Evaluation ...... 216 B. Institutional Arrangement ...... 216 C. Internal Monitoring ...... 216 D. External Monitoring ...... 216 E. Reporting ...... 217 F. Monitoring Indicators ...... 219

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 ...... 9 Table 1-3: Station Location ...... 10 Table 1-4: Station Type ...... 13 Table 1-5: Comparison of MCRP Structural Type ...... 16 Table 2-1: Cut-Off Dates for Non-Resident Businesses, Institutional Establishments, and Farmers ... 19 Table 2-2: Summary of Impact of MCRP ...... 21 Table 2-3: Affected Total Project ROW Land Area (m2) ...... 22 Table 2-4: Total Project ROW for Land Acquisition by Land Classification ...... 24 Table 2-5: Estimated Severity of Impact on Residential Land Lots ...... 24 Table 2-6: Estimated Severity of Impact on Commercial Land Lots ...... 24 Table 2-7: Types of Affected Structures ...... 25 Table 2-8: Affected Trees and Crops ...... 26 Table 2-9: Affected Businesses per LGU ...... 26 Table 2-10: Affected Businesses by Size per LGU ...... 27 Table 2-11: Affected Institutional Establishments per LGU by Industry/Sector ...... 27 Table 2-12: Names of Affected Institutional Establishments ...... 28 Table 2-13: Affected Farmers by Severity of Impact ...... 28 Table 2-14: Affected Non-Resident Farmers by Reported Tenure Status ...... 29 Table 2-15: Vulnerable Households ...... 30 Table 2-16: Types of Vulnerabilities (Multiple Response) ...... 30 Table 3-1: Summary of Survey ...... 33 Table 3-2: Household Composition ...... 34 Table 3-3: Educational Attainment of Household Members ...... 34 Table 3-4: Age Distribution of Household Heads ...... 35 Table 3-5: Civil Status of Household Heads ...... 35 Table 3-6: Monthly Household Income (All Sources) ...... 36 Table 3-7: Average Monthly Household Expenditures (PhP) ...... 36 Table 3-8: Primary Source of Household Income ...... 37 Table 3-9: Location of Wage-Based Livelihood ...... 38 Table 3-10: Types of Wage-Based Livelihood ...... 38 Table 3-11: Status of Employment ...... 39 Table 3-12: Location of Enterprise-Based Livelihood ...... 39 Table 3-13: Type of Enterprise-Based Livelihood ...... 39 Table 3-14: Secondary Sources of Income...... 40 Table 3-15: Membership in Financial Institutions...... 40 Table 3-16: Home-Based Enterprises and Participating Household Members ...... 41 Table 3-17: Types of Home-Based Enterprises ...... 41 Table 3-18: Access to Water ...... 42 Table 3-19: Access to Sanitation Facilities ...... 42 Table 3-20: Access to Electricity ...... 43 Table 3-21: Cooking Facilities among Project Affected Households* ...... 43 Table 3-22: Number of Years in Current Location ...... 43 Table 3-23: Type of Residence as Claimed ...... 44 Table 3-24: Place of Previous Residence ...... 44 Table 3-25: Reasons for Establishing Residence in the Current Location ...... 44 Table 3-26: Vulnerable Households ...... 45 Table 3-27: Types of Vulnerabilities (Multiple Response) ...... 45 Table 3-28: Gender Distribution of Non-Resident Landowners ...... 46 Table 3-29: Proof of Ownership ...... 46 Table 3-30: Businesses Per LGU ...... 47 Table 3-31: Ownership Type ...... 47 Table 3-32: Business Industries/Sectors ...... 47 Table 3-33: Years of Business Operations ...... 48

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Table 3-34: Business License/Permit ...... 48 Table 3-35: Land Ownership Among Businesses ...... 49 Table 3-36: Tenure Status of Non-Landowner Businesses ...... 49 Table 3-37: Gross Monthly Income of Businesses ...... 49 Table 3-38: Affected Institutional Establishments per LGU by Industry/Sector ...... 50 Table 3-39: Names of Affected Institutional Establishments ...... 50 Table 3-40: Years of Operations (Institutional Establishments)...... 50 Table 3-41: Land Ownership of Institutional Establishments ...... 51 Table 3-42: Tenure Status of Non-Landowner Institutional Establishment ...... 51 Table 3-43: Gross Monthly Income of Institutional Establishments ...... 51 Table 3-44: Business and Establishment Classification and Reported Employees ...... 51 Table 3-45: Reported Employees by Industry/Sector ...... 52 Table 3-46: Reported Employee Salaries ...... 53 Table 3-47: Affected Non-Resident Farmers by Tenure Status ...... 53 Table 3-48: Farm Activities ...... 53 Table 4-1: List of Applicable Legal Framework ...... 54 Table 4-2: Price Ceiling for Socialized Subdivision Projects ...... 70 Table 4-3: Price Ceiling for Socialized Condominium Projects ...... 70 Table 4-4: Gap Analysis and Harmonized Involuntary Resettlement Policy ...... 77 Table 4-5: Categories of Business Enterprises...... 96 Table 5-1: APs Entitled to Livelihood Restoration Assistance ...... 100 Table 5-2: Payment Schedule for Legal Property Owners ...... 106 Table 5-3: Entitlement Matrix ...... 108 Table 6-1: Required Documents for Compensation Under Self-Relocation ...... 123 Table 6-2: Rental Subsidy for Self-Relocation ...... 123 Table 7-1: Information Disclosure and Stakeholders’ Consultation Communication Plan ...... 127 Table 7-2: SCMs, Stakeholders and Information Disclosed during FS RAP ...... 129 Table 7-3: Summary of Information, Education, and Communication Meetings ...... 129 Table 7-4: Issues and Concerns Raised in the IEC Meetings during DD RAP Phase ...... 130 Table 7-5 Summary of the First Round of Stakeholder Consultation Meetings in the LGUs ...... 133 Table 7-6 Issues and Concerns Raised During the First Round of Stakeholder Consultation Meetings in the LGUs ...... 134 Table 7-7: Attendance at the Second Stakeholder Consultation Meeting in the LGUs ...... 140 Table 7-8 Issues and Concerns Raised During the Second Stakeholder Consultation Meeting (SCM) in the LGUs ...... 141 Table 7-9: Summary of Focus Group Discussion with Vulnerable Groups the LGUs...... 144 Table 7-10: Result of Focus Group Discussion with Vulnerable Groups in the LGUs ...... 144 Table 7-11: Summary of Focus Group Discussion with the Business Sector ...... 146 Table 7-12: Result of Focus Group Discussion with the Business Sector ...... 146 Table 7-13: Materials Distributed to APs ...... 149 Table 7-14 Social Media Accounts for the Project ...... 150 Table 7-15: General Health and Safety Approach ...... 151 Table 7-16: Required Protective Approaches for Staff and Participants ...... 152 Table 7-17: Project COVID-19 Measures to Physical Public Consultations and Ground Surveys ..... 153 Table 7-18: List of Disclosed Documents Upon Completion of FS ...... 154 Table 7-19: Documents to be Disclosed ...... 154 Table 8-1: Identified Skills Needed based on the TNA ...... 156 Table 8-2: Summary of Categories of APs, Proposed Livelihood Rehabilitation Measures and Recommended Livelihood Assistance ...... 158 Table 8-3: Financial Management Training Outline ...... 159 Table 8-4: Implementation Step for Replacement Land or Rental Space to Reestablish Business... 160 Table 8-5: Loan Assistance...... 161 Table 8-6: List of Sample TESDA Courses ...... 162 Table 8-7: Entrepreneural Training ...... 163 Table 8-8: Anticipated Project Related Employment Opportunities ...... 164 Table 8-9: Summary of Roles and Responsibilities of Concerned Agencies ...... 165

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Table 8-10: Estimated LRIP Budget ...... 166 Table 9-1 Levels of Grievance Redress Mechanism ...... 171 Table 9-2: Grievance Redress Mechanism Procedure ...... 174 Table 9-3: Status of the Local Help Desk and the Local GRM Team (as of May 2020) ...... 177 Table 9-4: Composition of the Central GRM Team (as of May 2020) ...... 178 Table 9-5: Dissemination Methodology of GRM Materials and Timeline ...... 178 Table 9-6: Summary Information of GRM Trainings ...... 179 Table 10-1: Implementing Units and Coordinating Bodies ...... 182 Table 10-2: Composition of the DOTr's Technical Working Committee ...... 185 Table 10-3: Composition of the Project Management Office (as of 15 May 2019) ...... 188 Table 10-4: Composition of the Project Inter-Agency Committee ...... 189 Table 10-5: Roles and Responsibilities of Project Inter-Agency Committee Members ...... 189 Table 10-6: Composition of the Technical Working Group ...... 190 Table 10-7: Composition of the RIMC ...... 196 Table 10-8: Roles and Responsibilities of RIMC Members ...... 197 Table 10-9: Roles and Responsibilities of Sub-Committees of the RIMC ...... 199 Table 11-1: RAP Implementation Schedule ...... 208 Table 12-1: Estimated RAP Implementation Cost ...... 209 Table 12-2: Summary of Affected Lands and Costs ...... 211 Table 12-3: Cost of Rental Subsidy ...... 212 Table 12-4: Cost of Connection of Basic Utilities ...... 212 Table 12-5: Cost of Transportation Assistance ...... 213 Table 12-6: Cost of Food Assistance ...... 213 Table 12-7: Cost for Inconvenience Allowance...... 214 Table 12-8: Cost for Special Assistance ...... 214 Table 12-9: Budget for Internal Monitoring ...... 214 Table 12-10: Budget for External Monitoring ...... 215 Table 13-1: Monitoring Reports ...... 217 Table 13-2: Indicative Monitoring Indicators for Internal Monitoring ...... 219 Table 13-3 Guide Questions for Internal Monitoring ...... 222 Table 13-4: Indicative Monitoring Indicators for the EMA ...... 225 Table 13-5: Guide Questions for External Monitoring ...... 228

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LIST OF FIGURES

Figure 1-1: Project ROW in Malolos ...... 4 Figure 1-2: Project ROW in Calumpit ...... 4 Figure 1-3: Project ROW in Apalit ...... 5 Figure 1-4: Project ROW in Minalin ...... 5 Figure 1-5: Project ROW in Sto. Tomas ...... 6 Figure 1-6: Project ROW in San Fernando ...... 6 Figure 1-7: Project ROW in Angeles ...... 7 Figure 1-8: Viaduct Structure for Typical Section ...... 8 Figure 1-9: Perspective of Typical Viaduct Structure ...... 8 Figure 1-10: Location of Calumpit Station ...... 10 Figure 1-11: Location of Apalit Station ...... 11 Figure 1-12: Location of San Fernando Station ...... 12 Figure 1-13: Location of Angeles Station...... 13 Figure 1-14: Cross-section of Calumpit, San Fernando, Angeles Stations ...... 14 Figure 1-15: Cross-section of Apalit Station ...... 14 Figure 5-1: DOTr Land Acquisition Swimlane ...... 103 Figure 10-1: RAP Implementation Structure (as of February 2020) ...... 183 Figure 10-2: Structure of the Project Management Office (as of 15 May 2019) ...... 188 Figure 10-3: Composition and Structure of the RIMC (as of February 2020) ...... 200

LIST OF APPENDICES

Appendix 1: Masterlists of Affected Persons Appendix 2: Copy of Certificate of Non-Overlap (CNO) Appendix 3: Replacement Cost Study (RCS) Methodology Appendix 4: Sample Notice of Taking (NoT) Appendix 5: Sample Offer to Buy (OTB) Appendix 6: Sample Agreement to Demolish and Remove Improvements (ADRI) Appendix 7: Draft Executive Order (EO) for Project-Inter Agency Committee (PIAC) Appendix 8: COVID-19 Health and Safety Protocols Appendix 9: Public Information Brochure Appendix 10: Draft Quarterly Monitoring Form Appendix 11: Draft Terms of Reference (TOR) for External Monitoring Agent (EMA)

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 Malolos and Municipality of Calumpit in the Province of Bulacan, Municipalities of Minalin, Sto. Tomas, Apalit, and the Cities of San Fernando and Angeles in the Province of Pampanga. 1 The purpose of this RAP is to identify all impacts associated with land acquisition and clearance of right-of-way (ROW) involving the (i) Resident Landowners, (ii) Non-Resident Landowners, (iii) Non-Resident owners of Businesses and Other Establishments, and (iv) Non-Resident Farmers. This RAP will also 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 (MCRP) comprises the Malolos to Clark section and the Blumentritt Extension. The 51.4 km Malolos to Clark section 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.

3. The entire project is categorized as A for ADB’s involuntary resettlement safeguards. Five separate RAPs will be prepared for the project: (i) Mabalacat City, (ii) two for Solis-Blumentritt in Manila City, (iii) Malolos-Angeles land acquisition (this RAP), and (iv) Malolos-Angeles PNR ROW clearing RAP. This RAP focuses on impacts associated with acquisition of land outside the existing PNR ROW and covers landowners and any losses associated with that such as residences, businesses, establishments and farms.

4. This RAP covers the 43.8 km section from Malolos to Angeles. It is also limited to Resident Landowners, Non-Resident Landowners, Non-Resident Businesses and Institutional Establishments and Non-Resident Farmers that will be affected by the Project. This section includes viaducts and four stations.

5. Project land requirement and resettlement impacts. 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 require 60-m width or more. A total of 156.75 ha of land is required for the Malolos to Angeles section of the MCRP. This include 69.05 ha of private land, 86.6 ha of PNR land and 1.1 ha of other government land. Involuntary resettlement impacts will be a result of the acquisition of land for stations, the depot and widening of the ROW. Some sections between Apalit and Angeles will be realigned due to technical reasons. Land acquisition for the realignment and new alignment sections is mostly agricultural land.

1 Covering works packages N-01, N-02, and N-03.

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6. This RAP will cover the City of Malolos and Municipality of Calumpit in the Province of Bulacan, the Municipalities of Minalin, Sto. Tomas and Apalit and in the Cities of San Fernando and Angeles in the Province of Pampanga. Impacts will include full or partial displacements of 514 Resident Landowning AHs (2418 persons), 353 Non-Resident Landowning Individuals, 619 Businesses and Institutional Establishments with 2538 reported employees, and 20 Non-Resident Farmers. None of the AHs or APs covered in this RAP require resettlement to socialized housing resettlement sites.

7. All APs who will experience loss of assets and income are entitled to compensation and assistance described in the Entitlement Matrix (EM) aimed at restoring, if not improving, their living standards.

8. There are 14 institutional establishments to be affected by the project with one school being severely affected. For the severely affected school, it will be replicated in another site within the same barangay prior to transfer of education services.

9. 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.

10. Social Safeguards Policy Principles for the Project. The RAP follows ADB Safeguard Policy Statement (SPS) of 2009, JICA Guidelines (2010) and relevant Philippine laws and procedures. DOTr, the Executing Agency (EA) for the Project will uphold the IR policy principles for the Project as set out in this RAP. This RAP will be updated upon finalization of the Independent Property Appraiser’s (IPA) determination of replacement cost when the resettlement budget will be finalized. Addendum RAPs may be required to address additional impacts such as potential impacts associated with utility relocation.

11. Affected Persons and Eligibility. 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. The cut-off-date for Resident Landowners and Non-Resident Landowners will be at the time of their receipt of the Notice of Taking. The cut-of-date for Businesses and Establishments (and affected Employees) and Non-Resident Farmers 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.

12. 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 Local Government Units (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 ROW clearing work, resettlement and the allocation of compensation and entitlements in accordance with the EM.

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13. Relocation Assistance. The EM includes two options for the 514 resident landowners who are occupying 481 residential structures (some structures may have more than one household). These two options are: (i) assisted resettlement and (ii) self-relocation as detailed in the Resettlement Plan Chapter.

14. Livelihood Restoration and Improvement Program. The DOTr will implement the Livelihood Improvement and Restoration Program (LRIP) in partnership with the LGUs covered in this RAP, 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. All APs (Affected Household Members and Business and Establishment Employees) shall be assisted in job placement under the construction activities of the Project. Assistance is also being extended by the local government through skills enhancement training and in assisting APs in securing documentary requirement for employment. The RAP Implementation and Management Committees (RIMC) Sub-Committee on Livelihood Restoration at the LGU will oversee and monitor the LRIP implementation.

15. 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 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 Help Desks have been set up in all LGUs. The Help Desk is managed by DOTr Grievance Redress (GR) Officer together with LGU designated GRM Focal Person.

16. Institutional Arrangements. DOTr is both the Executing Agency (EA) and Implementing Agency (IA) of the Project. Other key institutional stakeholders include Philippine 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 DOTr - Office of the Undersecretary for Railways is the epicentre in carrying out the RAP implementation particularly in the acquisition and clearing of Right-of-Way (ROW). The MCRP PMO is organized to oversee all technical and administrative concerns of the Project and monitor activities related to RAP implementation.

17. Implementation Schedule. The construction for this section of MCRP is expected to start in August 2020. Upon approval of this updated RAP, contracts can be awarded and civil works may commence on areas that are free and clear 2 of impacts. The Implementation Schedule provides details on the steps and process to update the RAP, relocation procedures, creation of implementing institutions, Livelihood Restoration and Improvement Program (LRIP), and

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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monitoring of the RAP implementation. This schedule was updated during the Detailed Design (DD) Phase.

18. Budget and Financing. The RAP budget for this RAP is estimated at PhP 7,409,600,709. The budget covers costs to pay land, acquisition of main and associated structures and improvements acquisition, 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).

19. Monitoring. There will be two types of monitoring for this RAP: 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.

20. Consultation, Participation, and Disclosure. Meaningful consultation has been conducted to ensure that issues and concerns 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. 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 assistance options 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. Health and safety measures are being applied to consultation activities in this time of COVID-19 pandemic. 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 land acquisition outside the existing PNR ROW including resident and non-resident landowners and business owners and non-resident farmers (owners/operators) who will be affected by the Project in the City of Malolos and Municipality of Calumpit in the Province of Bulacan and in the Municipalities of Minalin, Sto. Tomas and Apalit and in the Cities of San Fernando and Angeles all in the Province of Pampanga for the Malolos-Clark Railway Project (MCRP), also known as the North-South Commuter Railway Extension Project (NSCR-Ex or Clark Extension). Another RAP covers the non-landowners of this section. There is also a RAP which covers the Mabalacat depot area and Mabalacat main line. Lastly, 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.

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 contributing 38% to 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 private vehicle ownership, congestion is expected to worsen, further increasing travel times of public commuters.

4. The planning and implementation of the MCRP is a financing assistance by the Japan International Cooperation Agency (JICA) and the Asian Development Bank (ADB) 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, the Gil Puyat Avenue depot in Mabalacat and the Blumentritt extension in the City of Manila. The Project also includes construction of seven stations, one station in the Province of Bulacan, five stations in the Province of Pampanga and Blumentritt Station in the City of Manila.

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 in February 2020. The GoP signed a Loan Agreement with JICA in January 2019 and with ADB 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

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.

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.

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 includes a section for Solis to Blumentritt in the City of Manila.

8. The MCRP will offer two types of train operations from Metro Manila to Clark International Airport, the commuter train with a maximum speed of 120 km/h and the airport express train services with a speed of 160 km/h to better serve the public commuters as well as those with travel itineraries using the CIA.

C. Scope of the Project

9. This portion of the RAP will require land acquisition of 70.15 ha of land 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 and Angeles in the Province of Pampanga.

10. This RAP is based on the detailed engineering design for the project works and covers acquisition of land outside of the existing PNR ROW for the mainline ROW and new stations. Land required for depot in Mabalacat and new spur line to the depot is covered under the separate Mabalacat City RAP for MCRP. Affected Persons within the existing PNR ROW is covered under a separate RAP.

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

11. A Certificate of No-Overlap (CNO) was issued on September 19, 2018 by the National Commission for Indigenous Peoples (NCIP) to confirm that entire MCRP project area has no- overlap with the ancestral domain (with Certificate of Ancestral Domain Title No. 025-A) which is near the proposed depot of the project. This was the result of the Field Based Investigation (FBI) conducted by NCIP on 29 August 2018 (Appendix 2).

E. Project Components

12. 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); seven 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.

13. In the section covered by this RAP, the following project components are included: part of the main railway line; viaduct/bridge crossings (rivers/highways); maintenance bases; four stations (Calumpit, Apalit, San Fernando and Angeles) and related facilities; substations; and drainages, construction yards and spoils disposal facilities. The remainder of the chapter below provides details on the key works covered in the section covered by this RAP.

1. Main Railway Line (Malolos-Angeles)

14. The alignment covered by this RAP is 43.9 km long from Malolos to the border of Mabalacat City. The required ROW width of the railway track is 30 m all along the alignment.

The track will consist of continuously welded rails that are directly fastened with elastic clips onto the track for the viaduct or bridge sections. Table 1-1 provides further details on the 43.9 km section covered by this RAP. The MCRP alignment per LGU is shown in Figures 1-1 to 1-9. Table 1-1: Sections of the Main Railway Line in Between Stations Section Description Malolos to Calumpit This section starts from the end of the elevated Malolos Station of the NSCR. There will be two tracks for the entire length. The alignment requires a 30m ROW. There are residences between PNR ROW and MacArthur Highway running parallel on the east. On the west are also houses, while vacant area is dominant. Calumpit to Apalit This section features viaducts on a 30m wide ROW. The alignment is in a rural area except for some residential complexes around Calumpit Station and Apalit River. After passing Apalit River, where MacArthur Highway which is on embankment structure is close to PNR ROW, the alignment was shifted westward and passes outside PNR ROW, to minimize the interference to the highway embankment. Apalit to San Fernando This section features viaducts on 30m wide ROW. This section passes in a rural area and there are no substantial obstructive buildings except for the urban area beyond San Fernando Station. To avoid speed limit, a larger radius was considered in the curved alignment, taking a shortcut inward across the existing PNR ROW, creating additional land acquisition requirements. San Fernando to This section is located in residential areas and passes through some densely Angeles populated segments. The width of PNR ROW in this section is approximately 13m only, which requires additional land acquisition. Considering surroundings such as residence, the additional land will be acquired to the west in the north of this section. Angeles to Mabalacat This section is located in a dense residential area, and the width of the existing City border PNR ROW is not wide enough, requiring additional land acquisition beside the alignment. The existing railway land at the south of the Mabalacat City borders is narrow. This location is surrounded by the Manuel A. Roxas Highway at north, hotels at west and dense residential area at east. Since the width of ROW is 10m only, the land acquisition is required to secure the required 30m width of ROW. The alignment affects the Santa Maria elementary school at east of the route, and the school is to be relocated within the same Barangay. Source: JICA Design Team

Figure 1-1: Project ROW in Malolos

MAP ALIGNMENT FOR MALOLOS, BULACAN (34+749 TO 38+960)

Source: JICA Design Team

Figure 1-2: Project ROW in Calumpit

MAP ALIGNMENT FOR CALUMPIT, BULACAN (38+960 TO 44+020)

Source: JICA Design Team

Figure 1-3: Project ROW in Apalit

MAP ALIGNMENT FOR APALIT, PAMPANGA (44+020 TO 48+030)

Source: JICA Design Team

Figure 1-4: Project ROW in Minalin

MAP ALIGNMENT FOR MINALIN, PAMPANGA (48+030 TO 52+100)

Source: JICA Design Team

Figure 1-5: Project ROW in Sto. Tomas

MAP ALIGNMENT FOR STO. TOMAS, PAMPANGA (52+100 TO 56+500)

Source: JICA Design Team

Figure 1-6: Project ROW in San Fernando

Source: JICA Design Team

Figure 1-7: Project ROW in Angeles

MAP ALIGNMENT FOR ANGELES, PAMPANGA (72+890 TO 78+630)

15. 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 1-10 and Figure 1-11.

Figure 1-8: Viaduct Structure for Typical Section

Source: JICA Design Team

Figure 1-9: Perspective of Typical Viaduct Structure

Source: JICA Design Team

2. Bridges

16. 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 the LGUs covered by this RAP 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 40+960 Angat River 40m+50m+40m 3 span continuous PC-Box Girder Bridge 43+200 Pampanga (Rio Grande) 70m+90m+70m 3 span continuous PC-Box Girder River Bridge 45+050 Sulipan Channel Flood 60m+90m+60m 3 span continuous PC-Box Girder Way Bridge 50+720 Malalam River (Lourdes 60m+90m+60m 3 span continuous PC-Box Girder River) Bridge 53+320 Pambaling River 60m+90m+60m 3 span continuous PC-Box Girder Bridge 59+771 Jose Abad Santos Avenue 50m+70m+50m 3 span continuous PC-Box Girder Bridge 61+000 McArthur Highway 80m+140m+80 3 span continuous Extradosed Bridge m 70+025 Sapang Balen 50m+70m+50m 3 span continuous PC-Box Girder Bridge 74+005 McArthur Highway 55m Single span PC-Box Girder Bridge 76+160 Abacan River 60m+90m+60m 3 span continuous PC-Box Girder Bridge 77+845 Manuel A. Roxas Highway 70m+90m+70m 3 span continuous PC-Box Girder Bridge Source: JICA Design Team

17. This section will be elevated. There will be no embankments.

3. Stations

18. There are four stations covered by this RAP: Calumpit station, Apalit station, San Fernando station and Angeles station. Malolos station will be constructed as part of the NSCR Project. 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 escalators, in addition to stairs for vertical movement of passengers from streets to station platforms. All station will be equipped with platform screen doors for passenger comfort and to prevent accidents due to unintended access to the tracks.

19. 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.

20. Station locations. The station locations and the distance between the stations of MCRP covered under this RAP are indicated in Table 1-3.

5 The kilometrage indicates the distance from Solis Station.

Table 1-3: Station Location

Kilometrage Inter-station Stations Location of the Center of Station Distance (km) 1 Calumpit Calumpit, Bulacan 41km 134m (41+134) 6.39 2 Apalit Apalit, Pampanga 46km 440m (46+440) 5.30 San Fernando, 58km 595m (58+595) 3 San Fernando 12.16 Pampanga 4 Angeles Angeles, Pampanga 73km 655m (73+655) 15.04 Source: JICA Design Team

21. Calumpit Station. The station will be located about 1,500 m south from the old PNR station and is a three-level station with two island platforms and four tracks. The station is situated in Barangay Iba O Este. Among the adjacent barangays are Barangays Balungao, Corazon, Poblacion, Sucol, Caniogan and Gatbuca. The land needed for the station is both within the existing PNR ROW and on privately owned land. While the old Calumpit Station of PNR is located within a larger amount of PNR ROW, it is surrounded by a dense residential area and MacArthur Highway is close to the east. This environment makes the future station plaza planning difficult. A vacant lot located at 450m from the south of the old PNR station was initially considered as the new station location during Feasibility Study, but after further discussion with the LGU, the station was moved further south, closer to the Caniogan triangle, which the LGU is planning to develop in the close future. The current station location has the least displacement impacts.

Figure 1-10: Location of Calumpit Station

MCRP Project ROW Exisiting PNR ROW

OLD PNR CALUMPIT STATION

MCRP CALUMPIT STATION

Source: JICA Design Team

22. Apalit Station. The station location of the new Apalit station is at the same place where the old PNR station is located, at a certain distance from MacArthur Highway, where there are few structures. The existing PNR ROW is large enough to host both a medium-sized commuter station and station plaza, so it can be installed in the north and northeast side of the existing station building and within the PNR ROW, without a large amount of land acquisition. The station is located in Barangay San Vicente, a barangay with residential and agricultural areas. The station is located a few hundred meters from the Apalit-Macabebe-Masantol Road, which is a major thoroughfare connecting the three above stated municipalities. The surrounding areas include rice fields and private subdivisions. The area is also characterized by patches of marshlands and swamps. The station location is roughly a kilometer westward from the main town center where the Apalit Public Market, provincial bus transport terminals, banking institutions, and religious establishments are located. The neighboring towns of Macabebe and Masantol are also a short commute from the proposed station. The station will have two- level with two side platforms and two tracks. There is a crossing with the wide Macacebe- Mansantol road at the north of the station. Figure 1-11: Location of Apalit Station

MCRP Project ROW Exisiting PNR ROW

MCRP APALIT STATION

Source: JICA Design Team

23. San Fernando Station. The station is straddled within a highly built up area in Barangay Santo Nino, essentially in the vicinity of the old PNR station that has been converted into a museum and historical center. The station is proximate to several notable establishments and institutions, such as a shopping center, tourism sites and churches. The station’s immediate surroundings comprise mainly of residential homes with some small commercial establishments like water refilling stations, canteens, fast food, drugstores, mini marts and small service providers. It will be a three-level station with two island type platforms and four tracks. It has side tracks due to the long distance from Apalit Station as well as to Angeles Station. Despite its location in an urban area, most of the necessary PROW fits in the ROW owned by PNR. To access the station, the existing road at the east can be utilized.

Figure 1-12: Location of San Fernando Station

MCRP Project ROW Exisiting PNR ROW

MCRP SAN FERNANDO STATION

Source: JICA Design Team

24. Angeles Station. The station location is straddled between Barangays Pulung Bulu and Tabun, both of which are moderate to heavily built up areas located across MacArthur Highway. It comprises of private residential subdivisions, small commercial establishments, medical facilities, educational institutions, and automotive care centers. It is also adjacent to the La Pieta memorial Park. Its adjacent Barangays are San Jose, Santo Rosario, Santo Domingo, Salapungan and Capaya. The location is identified by the city government as one of the primary growth areas of the city. This station will have two island platforms and four tracks. The location of the station is about 1500 m south from the old PNR Angeles station, where the width of the existing PNR ROW is not sufficient and access to major roads is an issue. The location of the new Angeles Station in a less populated area has good access to MacArthur Highway.

Figure 1-13: Location of Angeles Station

MCRP Project ROW Exisiting PNR ROW

MCRP ANGELES STATION

Source: JICA Design Team

25. Station Type. Calumpit, San Fernando, and Angeles station are similar with two island platforms and are three-level elevated stations. Apalit station will have side platforms and is a two-level station.

Table 1-4: Station Type

San Station Calumpit Apalit Angeles Fernando

Island Side Island Island Platform Type 3 level 2 level 3 level 3 level (Elevated) (Elevated) (Elevated) (Elevated) Source: JICA Design Team

Figure 1-14: Cross-section of Calumpit, San Fernando, Angeles Stations

Source: JICA Design Team

Figure 1-15: Cross-section of Apalit Station

Source: JICA Design Team

F. Maintenance Base

26. For the Malolos-Angeles section, 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

27. 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

28. Utility relocation associated with land clearance for the project is expected to utilize existing government owned easements where feasible. Utilities include 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 is being prepared and the schedule of utilities relocation will commence after all AHs/APs are relocated.

29. 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. 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

30. 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 6 will be applied, and safeguard documents and plans prepared.

J. Comparison on Alternatives Without Project Option

31. 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.

K. ROW Alternative Option

32. For railway structures, alternative options for the below two types were considered for this section: a. Elevated structure (Viaduct) b. Embankment 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.

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

Table 1-5: Comparison of MCRP Structural Type

Elevated Structure Option Embankment Structure Option

MCR MCR

Appearance

地盤改良

Social Environment

B: Wider ROW is necessary than elevated Land Acquisition A: The necessary ROW is the narrowest structure for the amelioration of the soil Affected B: Resettlement of PAPs within the ROW is B: Resettlement of PAPs within the ROW is Households necessary necessary B: The necessary ROW between stations A The necessary ROW between stations is ROW exceeds 30m due to area of amelioration of 30m, and 60m at station the soil, and 60m at station Dividing of local B: Minor impact of community division C: Significant impact of community division community

Natural Environment

B: Less impact than embankment option is C: Significant impact is expected Biodiversity expected A: As it is an elevated structure, the tracks C: As the embankment will act as a dam, Flooding Risks will not be submerged in case of flooding additional drainage will be necessary to minimize flooding

Pollution Prevention

B: Noise will be generated along the B: Noise will be generated along the Noise railway, but the impact can be mitigated by railway, but the impact can be mitigated by installing the noise barrier. installing the noise barrier B: The operation of construction machinery B: There will be many vehicles loading Air Pollution and vehicles during construction is embankment material during construction expected to generate air pollution and air pollution is expected Water Pollution A: Limited impact A: Limited impact Ground C: There is risk of land subsidence in case A: No ground subsidence Subsidence of soft ground

Engineering

Construction A: Not difficult A: Not difficult Difficulty Construction B: Long B: Long as soil improvement is necessary Period Construction A: Lower cost than underground A: Same as elevated structure as soil Cost improvement is necessary Operation A: Maintenance and cost is less than C: Maintenance and cost is the lowest, but /Maintenance embankment structure in case of ground subsidence or condition

Elevated Structure Option Embankment Structure Option

change, reparation is very difficult Disaster B: Relatively safe A: Relatively safe and measures are easy Prevention compared to Option A. Earthquake A: Seismic design is applied A: Seismic design is applied View from the A: Good A: Good Windows B: Being elevated structure makes more C: Embankment make feels more Landscape views open than embankment structure, but the obstructed than elevated structure, the towards design needs to consider integration to the design needs to consider integration to the surrounding landscape surrounding landscape Physical B: Minor impact to the road C: Minor impact to the road Conditions A. Less dividing of local community, B. It has advantages over viaducts on biodiversity and flooding risks are less. disaster prevention, but the impacts on Impact on landscape and existing roads is community dividing, biodiversity, flooding Evaluation smaller than embankments and it is the risks, landscape and existing roads are most suitable structure greater and there are fewer merits compared to elevated structure

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

2. CHAPTER 2: SCOPE OF LAND ACQUISITION AND RESETTLEMENT

34. This chapter presents information on losses associated with land acquisition, land clearing and restricted access associated with the scope of this RAP.

A. Methodology to Assess Impacts

35. The assessment of involuntary resettlement impacts for this project was undertaken through a detailed measurements survey (DMS), as-built survey, parcellary survey, and socio- economic survey and census using survey forms that captured pertinent bio-data, and information related to the assessed impacts as well as socio-economic information. During the census, affected properties were tagged. 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. Validation of impacts was undertaken by DOTr to confirm among others actual occupancy of structures, status of micro-business activities and recording their current circumstances and ownership of trees. A replacement cost survey was also undertaken to estimate the replacement costs of affected land and non-land assets for the purposes of this RAP. The final compensation calculations can only be determined during the implementation of this RAP once the affected persons submit the documentary requirements.

36. The first survey was conducted between May and June of 2018 for the Feasibility Study (FS) Phase, while another survey was conducted in January 2019 for the Detailed Design (DD) Phase in areas where there was change in the ROW. A validation survey was conducted in January and February 2020 by DOTr to confirm tree ownerships and occupants of structures.

37. The field surveys were undertaken simultaneously with the surveys of affected households and businesses. More than one form was used should it be applicable to certain households and businesses. The following forms were used:

• Household Survey Form. This form was used to gather household level data of all affected families living within the project affected land, which was delineated by the parcellary survey.

• Business/Institution Form. This form was used to generate information on the affected businesses and institutional establishments within the PROW including, type and size of business, gross and net monthly income, tenure of occupancy, and employee information.

• Agriculture Form. This form was used to identify APs who are utilizing affected land for agricultural purposes.

• 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.

38. During implementation of this RAP, the data and information gathered during these surveys will be updated with documentary submissions from the AH/APs for the final calculation of the entitlements and compensation. Also, during implementation, should any new AHs/APs be identified, the same entitlements and compensation will be afforded to them.

B. Cut-off Date

39. Prior to the start of the census and survey activities, the potentially Affected Persons (APs), Businesses and Establishments were informed during the 1st Stakeholder Consultation Meeting (SCM) about the policy on cut-off date to prevent the influx of non-residents persons 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 were determined to coincide with the timing of the DD stage DMS. For resident and non-resident landowners, the cut-off date will be at the time of their receipt of the Notice of Taking. For Businesses, Institutional Establishments, and Non- Resident Farmers, cut-off dates were set during the DD Phase. In Angeles and San Fernando, which had minor changes to the alignment, have additional cut-off dates for newly identified affected Businesses and Institutional Establishments.

40. The cut-off dates for the respective areas covered under the RAP are set out in the table below. Table 2-1: Cut-Off Dates for Non-Resident Businesses, Institutional Establishments, and Farmers City/Municipality Barangay Date Longos Malolos 27-Dec-18 Bulihan Bualungao Calizon Corazon Gatbuca Putol Iba o Este 20-Nov-18 Calumpit Palimbang Pio Cruzcosa Poblacion San Marcos Santo Nino San Vicente 14-Nov-18 Apalit Sulipan 24-Nov-18 Lourdes Minalin San Isidro 30-Oct-18 Santa Maria Moras Dela Paz Sto. Tomas San Matias 06-Nov-18 Sapa Baliti Calulut Maimpis Panipuan 08-Nov-18 Pulung Bulu San Fernando Quebiawan Sta. Lucia Quebiawan San Agustin 09-Nov-18 Dolores Lourdes

City/Municipality Barangay Date Santo Nino Sta. Lucia San Pedro Cutud San Nicolas Pulung Bulu 24-Nov-18 Maimpis Santo Nino 26-Nov-18 Dolores San Agustin 28-Dec-18 Santo Nino Dolores San Agustin 05-Jun-19 Santo Nino Pulung Bulu 09-Jun-19 Lourdes Sur Lourdes Sur East 15-Nov-18 Pulung Bulu Santo Cristo Agapito del Rosario Angeles Balibago Claro M Recto 16-Nov-18 Malabinias Santa Teresita Balibago 25-Jul-19

C. Overview of Land Acquisition and Resettlement Impacts

41. Impacts will include full or partial displacement of 514 Resident Landowning AHs (2,418 persons) on privately-owned land, 353 Non-Resident Landowning Individuals, 605 Businesses (161 resident businesses and 444 non-resident businesses), 14 Institutional Establishments, and 20 Non-Resident Farmers. Out of the 514 Resident Landowning households, 242 households may be considered vulnerable. Aside from the 514 Resident Landowning AHs, none of the other affected landowners, businesses and institutional establishments, and farms have residing individuals on the land they occupy.

Table 2-2: Summary of Impact of MCRP

Affected Land San

Area Total Apalit Minalin Malolos Angeles Calumpit Fernando Sto. Tomas Sto. Privately-Owned Land (sqm) 22,182 140,281 46,149 29,945 14,178 341,540 96,291 690,566 Government-Owned Land 7(sqm) 948 400 - - - 8,119 1,484 10,951 Total Right-of-Way for Land Acquisition 23,130 140,681 46,149 29,945 14,178 349,659 97,775 701,517 (sqm)

Affected Resident San

APs/AHs Total Apalit Minalin Malolos Angeles Calumpit Fernando Sto. Tomas Sto. Resident Landowning Affected 14 66 28 - 10 295 101 514 Households (AH) Resident Landowning Affected Household 61 292 147 - 68 1,359 491 2,418 Members (APs) Resident 5 23 7 0 3 92 31 161 Businesses Employees of Affected Business of Resident 6 100 75 17 0 181 731 1110 Landowning Households Vulnerable Household (AHs) 7 31 16 - 4 128 56 242

Affected Non- San

Residents Total Apalit Minalin Malolos Angeles Calumpit Fernando Sto. Tomas Sto. Non-Resident

Landowning 3548 24 31 6 3 17 193 80 Individuals (APs) Non-Resident Businesses 74 110 25 4 5 95 131 444 Employees of Affected Business 159 609 42 2 24 272 182 1,290 Institutional Establishments 2 1 1 - - 5 5 14 Employees of Affected Institutional 0 1 1 0 0 68 68 138 Establishments

7 Owned by government entities that are not the Philippine National Railways. 8 One non-resident landowner owns properties in Sto. Tomas and Minalin. This non-resident landowner is counted in Sto. Tomas and Minalin which explains why Table 2-2 shows there are 354 Non-Resident Landowning Individuals instead of 353.

Affected Land San

Area Total Apalit Minalin Malolos Angeles Calumpit Fernando Sto. Tomas Sto. Non-Resident Farmers (including tenants, caretakers, 1 1 8 6 4 4 - 24 rent-free farmers) Source: JICA Design Team

D. Affected Land

42. The total land area to be acquired and/or cleared for the project ROW covered by this RAP is 701,517 sqm. This includes privately-owned land (690,566 m2) and lands owned by government entities (10,951 m2). This total Project ROW includes residual lands of severely affected plots which may no longer be economically viable. These lands will be acquired for the project and subsequently titled under the ownership of the Republic of the Philippines. Verification of ownership will be done during the implementation of this RAP once documentary requirements are submitted. The replacement cost study in this RAP was conducted by a licensed appraiser during RAP preparation. The compensation rates to be applied during RAP implementation will be based on an appraisal undertaken by an Independent Property Appraiser (IPA) and/or Government Financing Institutions (GFI).

Table 2-3: Affected Total Project ROW Land Area (m2)

San Calumpi Sto. Malolos Apalit Minalin Fernand Angeles Total t Tomas o

Privately- Owned Land 22,182 140,281 46,149 29,945 14,178 341,540 96,291 690,566 (sqm)

Government- Owned Land 948 400 0 0 0 8,119 1,484 10,951 (sqm)

Total Right-of- Way for Land Acquisition (sqm) 23,130 140,681 46,149 29,945 14,178 349,659 97,775 701,517 Source: JICA Design Team

43. This RAP covers the acquisition of 10,951 sqm of government-owned land. This government-owned land is claimed by various government entities, including other national government agencies, local governments, and government financial institutions. Verification of ownership will be done during the implementation of this RAP once documentary requirements are submitted. There are no affected households or persons residing on these government-owned land to be acquired under this RAP.

44. This RAP covers the acquisition of 690,566 sqm of privately-owned land. These privately-owned lands are claimed to be owned by 514 resident landowners (a.k.a. Resident Landowning Affected Households) and 353 Non-Resident Landowning Individuals. Non- Resident Landowners own land affected by the project but do not reside on the land.

Verification of ownership will be done during the implementation of this RAP once documentary requirements are submitted.

45. Affected land is classified as residential, commercial, institutional, agricultural, mixed- use, road/alley, and unclassified. The largest categories of affected land are residential (48% of total) and agricultural (28% of total). Actual land use may not always correlate with the formal land classification.

Table 2-4: Total Project ROW for Land Acquisition by Land Classification

Sto. San Malolos Calumpit Apalit Minalin Angeles Total % Tomas Fernando

Residential 17,693 39,322 1,010 0 9,054 214,407 53,679 335,166 48% Commercial 115 5,114 328 0 694 13,431 7,076 26,759 4% Institutional 0 97 0 0 0 5,000 3,354 8,451 1% Industrial 0 7,677 0 0 0 3,744 1,906 13,328 2% Agricultural 4,574 12,910 39,914 29,945 4,412 84,694 22,716 199,165 28% Mixed-Use 613 4,303 4,896 0 0 5,731 0 15,543 2% Road/Alley 68 917 0 0 0 22,651 9,043 32,679 5%

Unclassified 68 70,340 0 0 18 0 70,427 10% Total 23,130 14,0681 46,149 29,945 14,178 349,659 97,775 701,516

46. Severity of Impact on Residential and Commercial Lands. There is a total of 1,395 residential lots owned by 988 households and juridical persons (including financing institutions and realty corporations). Of these, 1,069 (76%) are severely affected by the project and expected to be acquired in full, while the remaining 302 (24%) have only marginal impacts and are considered viable for continued use. The commercial lands (4% of the total project land takes of 701, 516 m2) have a total of 88 lots owned by 76 households/persons and juridical persons, of which 46 (52%) are severely affected and expected to be acquired in full while the remaining 39 (48%) have only marginal impacts. The final determination of whether a plot will be fully acquired will be based on final agreement between DOTr and the AP following issuance of the Notice of Taking. San Fernando has the most number of private lots owned by a number of corporations. The tables below present the numbers of plots that are estimated to be marginally and severely (fully) affected. A number of plots could not be assessed based on the parcellary survey and will require assessment at the time of Notice of Taking when land documentation is presented by the owner.

Table 2-5: Estimated Severity of Impact on Residential Land Lots

LGU No. of Severity of Impact on Residential Land (# Total Lots AHs/APs lots) Marginal Severe* Not assessed Malolos 85 43 58 0 101 Calumpit 89 24 71 9 104 Apalit 6 5 2 0 7 Minalin 0 0 0 0 0 Sto. Tomas 28 20 16 0 36 San Fernando 590 139 795 5 939 Angeles 190 71 127 10 208 Total 988 302 1069 24 1395 * Severely affected indicates estimation of plots that are not viable for continued use for same purpose and will need to be acquired. This will be finally determined following Notice of Taking.

Table 2-6: Estimated Severity of Impact on Commercial Land Lots LGU No. of Severity of Impact on Commercial Land (# Total Lots AHs/APs lots) Marginal Severe* Not assessed Malolos 1 2 0 0 2 Calumpit 19 7 14 3 24

LGU No. of Severity of Impact on Commercial Land (# Total Lots AHs/APs lots) Marginal Severe* Not assessed Apalit 2 1 1 0 2 Minalin 0 0 0 0 0 Sto. Tomas 3 1 2 0 3 San Fernando 17 4 15 0 19 Angeles 34 24 14 0 38 Total 76 39 46 3 88 * Severely affected indicates estimation of plots that are not viable for continued use for same purpose and will need to be acquired. This will be finally determined following Notice of Taking.

E. Affected Structures

47. This RAP covers a total of 2,066 structures. Of this number, 491 are residential main structures. This number also includes 378 main business structures and 19 institutional establishment structures. The affected farmers do not have any affected main structures. The remaining 1,178 structures are secondary structures such as garages, perimeter walls, fences, and storerooms. All affected structures will be compensated at replacement cost. An estimate based on the replacement cost survey can be found in Chapter 12. However, the final compensation will be calculated by an Independent Property Appraiser during implementation of the RAP. The replacement cost study in this RAP was conducted by a licensed appraiser during RAP preparation. The compensation rates to be applied during RAP implementation will be based on an appraisal undertaken by an Independent Property Appraiser (IPA) and/or Government Financing Institutions (GFI).

Table 2-7: Types of Affected Structures

Sto. San Malolos Calumpit Apalit Minalin Angeles Total Tomas Fernando

Resident Landowning Affected Household Main Structures (Structure of Residence) 13 65 27 0 10 280 96 491

Affected Business Main Structures (Structure where main activities are conducted) 47 89 16 2 4 104 116 378

Affected Institutional Establishment Main Structures (Structure where main activities are conducted) 2 1 1 0 0 5 5 14

Sub-Total Main Structures 62 155 44 2 14 394 217 888

Sub-Total Secondary Structures 25 34 39 0 28 806 246 1,178

Total Affected Structures 87 189 83 2 42 1200 463 2,066 Source: JICA Design Team

48. There are 491 affected main residential structures. All AHs will be compensated at full replacement cost for their main (residence) and secondary structures. For planning purposes, the RAP anticipates that all affected structures will be fully affected. Partially affected

structures determined at the time of implementation of this RAP will be compensated for the affected portion and for any repairs that need to be made to the remaining structure.

49. There are 378 affected main business structures. All businesses will be compensated at full replacement costs for their affected main and secondary structures.

50. Similar to businesses, institutional establishments will be compensated at full replacement costs for their affected main and secondary structures. Additional consideration was given to institutional establishments to minimize impact to the establishments’ structures and disruption to services or to limit impact to secondary structures such as perimeter walls.

F. Affected Crops and Trees

51. A total of 2,662 compensable crops and trees are found in the affected privately-owned land and land owned by other government entities. These will be compensated at replacement cost.

Table 2-8: Affected Trees and Crops

Fruit-bearing Timber Other Trees Municipality Total Trees Trees and Crops Malolos 130 43 273 446 Calumpit 63 20 161 244 Apalit 55 18 54 127 Minalin 13 0 3 16 Sto. Tomas 41 11 17 69 San Fernando 768 261 412 1,441 Angeles 33 211 75 319 Total 1103 564 995 2,662 % 42 21 37 100 Source: JICA Design Team

G. Impacts on Livelihoods

52. Impacts on livelihoods due to the project consist of 605 affected businesses, 14 institutions, 2,538 employees of affected businesses and institutions, and 20 farmers.

a. Businesses and Institutional Establishments

53. Businesses. There are 605 resident and non-resident businesses covered by this RAP. These consist of 444 non-resident businesses and 161 home-based enterprises. Home- Based Enterprises refer to business activities conducted by the Resident Landowning Households from within their place of residency.

Table 2-9: Affected Businesses per LGU

LGU Home-Based Non-Resident Total Enterprises Businesses Malolos 5 74 79 Calumpit 23 110 133 Apalit 7 25 32 Minalin 0 4 4 Sto. Tomas 3 5 8 San Fernando 92 95 187 Angeles 31 131 162 Total 161 444 605

54. These businesses are classified into micro, small, medium, large businesses.9. Final calculation of compensation for structures and loss of income will be determined during implementation of this RAP once documentary requirements are submitted.

Table 2-10: Affected Businesses by Size per LGU

Business Sto. San Malolos Calumpit Apalit Minalin Angeles Total % Size Tomas Fernando Micro 66 85 19 3 6 106 111 396 65% Small 2 9 4 1 1 8 7 32 5% Medium 0 1 0 0 0 0 0 1 0% Large 0 1 0 0 0 0 1 2 0% No 11 37 9 0 1 73 43 174 29% Response Total 79 133 32 4 8 187 162 605 Source: JICA Design Team

55. Institutional Establishments. There are 14 Institutional Establishments covered by this RAP providing government, education, and spiritual services with no income loss. The design of the railway sought to minimize the impact to the institutional establishments. Of these, 13 will have marginal impacts, experiencing loss of secondary structures on the periphery (fences, storeroom and similar) and disruption of services while the damaged structures are repaired/replaced.

56. Consultations were undertaken by DOTr to discuss with the affected institutional facilities about the impacts and the entitlements. Final compensation for structures and any applicable loss of income as determined during implementation of this RAP once documentary requirements are submitted. Upon issuance of notice of taking, there will be continued discussions that will be scheduled by the DOTr.

57. The severely affected school (Santa Maria Elementary School in Angeles) will be relocated and reconstructed in another site within the same barangay. The replacement school will be constructed prior to demolition of the existing school and transfer of education services to the new school. School authorities agreed with DOTr that the transfer to the new school buildings should happen during school vacation. DOTr is expecting to acquire replacement land for the school through purchase of land that is offered for sale (through willing-seller willing-buyer arrangements).

58. DOTr will prepare a due diligence report on the acquisition of the replacement land for the school, including information on the related consultations and submit with its regular internal monitoring report with an advance copy of the due diligence report to be furnished to ADB and JICA upon preparation. Should the acquisition involve involuntary resettlement impacts (such as loss or property or displacement), DOTr will prepare an Addendum RAP in accordance with the provisions of this RAP covering the acquisition.

Table 2-11: Affected Institutional Establishments per LGU by Industry/Sector Religious Educational Government LGU Museum Total Services Services Services Malolos 2 0 0 0 2 Calumpit 0 1 0 0 1 Apalit 0 1 0 0 1

9 Republic Act 9501 “Magna Carta for Micro, Small and Medium Enterprises (MSMEs)”

Religious Educational Government LGU Museum Total Services Services Services Minalin 0 0 0 0 0 Sto. Tomas 0 0 0 0 0 San Fernando 3 1 0 1 5 Angeles 2 2 1 0 5 Total 7 5 1 1 14

Table 2-12: Names of Affected Institutional Establishments Name of Institutional Establishment Industry/Sector LGU Church - Malolos Religious Services Malolos Zion Christian Fellowship Religious Services Malolos Sitio Balon Day Care Center Educational Services Calumpit Sampaga Child Development center Educational Services Apalit Good Shedero Sovereign Grace Bible Baptist Church Religious Services San Fernando St. Vincent Integrated School Educational Services San Fernando San Fernando Train Museum Museum San Fernando Church of God International Religious Services San Fernando Virgen delos Remedios Chapel Religious Services San Fernando Sta Maria Elementary School Educational Services Angeles PNP Police Station 6 Government Angeles Services Parish of Our Lady of Fatima Religious Services Angeles Claro M. Recto Daycare Center Educational Services Angeles Roman Catholic Archdioceses of San Fernando Religious Services Angeles Pampanga

59. Employed Individuals. The businesses and institutional establishments estimated and self-reported that they employ 2,538 individuals. For the purposes of this RAP, all 2,538 employed individuals have been assumed to be displaced and will be compensated for loss of income. A masterlist of employed individuals will generated during the implementation of this RAP when the affected businesses and institutional establishments submit their documentary requirements to support the final calculation of compensation for income loss, structures, and employees’ income loss.

b. Farmers

60. Twenty Non-Resident Farmers will be affected. Main farming activities are rice and other annual crops (10); husbandry and poultry (5); and aquaculture (5). Fifteen will be severely affected with loss of 10% or more of their productive land. All those engaged in farming will be compensated for their property and income losses. Those that are severely affected are eligible for additional assistance to restore their livelihoods.

Table 2-13: Affected Farmers by Severity of Impact

Total Major Products/ Total Area City/Municipality Affected Severe Marginal Activities (m2) Area (m2)* Severe Imported Goat Malolos raising 1,813 197 11% Calumpit Rice farming 7,020 1265 18% Apalit Rice farming 8,496 2516 30% Rice and Apalit vegetables 13,586 2,140 8%

Total Major Products/ Total Area City/Municipality Affected Severe Marginal Activities (m2) Area (m2)* Apalit Rice farming 8,697 670 8% Apalit Rice farming 3,805 928 24% Apalit Rice farming 3,805 928 24% Apalit Rice farming 8,697 670 8% Apalit Rice farming 6,210 1148 18% Apalit Rice farming 6,210 1148 18% Minalin Tilapia grower 3,033 544 18% Minalin Tilapia grower 22,688 7,945 35% Minalin Tilapia grower 1,543 1,393 90% Sto. Tomas Pigeon breeder 856 293 34% Sto. Tomas Vegetables 1,146 823 72% Sto. Tomas Tilapia grower 73,106 289 0.40% Sto. Tomas Tilapia grower 536 285 53% San Fernando Game fowl 708 456 64% San Fernando Swine 418,164 6,678 2% San Fernando Swine 243 232 95% Total 20 590,362 30,548 15 5 * the areas of farming land presented above is based on actual land use and not on official land classification. Some areas of land are formally classified as agricultural are often used for other purposes such as residential or commercial.

61. Out of the total, 16 claims to own the land they are farming, and 4 report to have an agreement with the land-owner. These 16 are also counted among the affected non-resident landowners. None of the affected land used for farming is government land. None of the 20 non-resident farmers reside on the land and therefore none will require relocation. Final compensation for any applicable loss of income as determined during implementation of this RAP will be assessed once documentary requirements are submitted.

Table 2-14: Affected Non-Resident Farmers by Reported Tenure Status

No LGU Landowner Tenant Rent Free Caretaker Total Agreement Malolos 1 0 0 0 0 1 Calumpit 1 0 0 0 0 1 Apalit 6 1 1 0 0 8 Minalin 2 0 0 1 0 3 Sto. Tomas 3 0 1 0 0 4 San 3 0 0 0 0 3 Fernando Angeles 0 0 0 0 0 0 Total 16 1 2 1 0 20

H. Vulnerable Households

62. Vulnerable Households are any households that meet at least one of the following criteria:

• Cumulative income of household falls below the national poverty threshold, • Headed by solo parents with dependents (children and elderly family members aged 60 years old and above); • Headed by a person who is 60 or above; • Households with a member who has disability and/or is seriously ill

63. Of the 514 Resident Landowning AHs, 242 households are considered vulnerable as shown the table below. 55 AHs have multiple vulnerabilities while 187 have a single vulnerability. All 242 vulnerable households are resident landowning households whose lands and structures will be severely affected by the project. In addition to the compensation for resident landowning households, all vulnerable households will receive inconvenience allowance and special assistance during relocation as well as provision of targeted support in the Livelihood Restoration and Improvement Program.

Table 2-15: Vulnerable Households

HH with Count of HH with Multiple City/Municipality Single Vulnerable Vulnerabilities Vulnerability Household Malolos 1 6 7 Calumpit 5 26 31 Apalit 3 13 16 Minalin 0 0 0 Sto. Tomas 0 4 4 San Fernando 27 101 128 Angeles 19 37 56 Total 55 187 242 Source: JICA Design Team

Table 2-16: Types of Vulnerabilities (Multiple Response)

HH income HH with HH headed by HH headed City/ below member who solo parents by person Municipalit Poverty is a PWD with 60 and y Threshold and/or dependents above 10 seriously ill Malolos 0 3 4 1 Calumpit 6 11 20 2 Apalit 1 2 16 0 Minalin 0 0 0 0 Sto. Tomas 0 0 3 1 San Fernando 15 37 97 11 Angeles 2 24 46 2 Total 24 77 186 17

I. Impacts Associated with Utility Relocation

64. A number of utilities will be required to be relocated from the project affected areas covered under this RAP. These utilities consist of water pipes, electrical posts, telecommunication lines, as well as high-voltage power lines. Relocation of the utilities are expected to be relatively simple and be relocated within existing Government easements. This will be finally assessed and addressed as required during implementation.

10 The Philippine Statistics Authority classifies households with less than PhP 8,800 in monthly income to be in poverty.

65. In the event that public utilities relocation produces involuntary resettlement impacts, then such impacts will be considered as impacts under the scope of RAP. In such cases the same entitlements as in the RAP will be applied to those affected.

66. All relocation of utilities will be undertaken by the utility owners. DOTr will take responsibility for the provision of compensation and assistance to those affected in the event of utility relocation causing impacts. Relocation of utilities will be undertaken in coordination with respective utility providers and/or government entities. DOTr will coordinate closely to ensure that impacts are avoided or otherwise mitigated and compensated in accordance with the provisions of this RAP. Application of this requirement will be monitored and reported under the RAP monitoring arrangements. (See Section F of Chapter 11 for further details.)

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

68. This chapter describes the Socio-Economic Profile of Affected Persons (APs) based on the survey outcomes carried out for the MCRP.

A. Socio-Economic Survey Overview a. Purpose of the survey

69. The SES survey was conducted to: (i). 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; (ii). Identify and assess the vulnerability of AHs, to further impoverishment; and (iii). Establish baseline data of the APs for assessing the impacts of the project to their socio-economic situations.

b. Survey Methodology

70. The field surveys were undertaken simultaneously with the surveys of affected households and businesses. More than one form was used should it be applicable to certain households and businesses. The following forms were used: • Household Survey Form. This form was used to gather household level data of all affected families living within the project affected land, which was delineated by the parcellary survey. • Business/Institution Form. This form was used to generate information on the affected non-resident businesses and institutional establishments within the PROW including, type and size of business, gross and net monthly income, tenure of occupancy, and employee information. • Agriculture Form. This form was used to identify APs who are utilizing affected land for agricultural purposes. • 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.

71. During implementation of this RAP, the data and information gathered during these surveys will be updated with documentary submissions from the AH/APs for the final calculation of the entitlements and compensation. Also, during implementation, should any new AHs/APs be identified, the same entitlements and compensation will be afforded to them.

c. Schedule

72. The first survey was conducted between May and June of 2018 for the Feasibility Study (FS) Phase, while another survey was conducted in January 2019 for the Detailed Design (DD) Phase in areas where there was change in the ROW. A validation survey was conducted in January and February 2020 by DOTr occupants of structures.

d. Overview of the Survey Respondents 73. The socio-economic survey covered 514 Resident Landowning AHs (2,418 persons) on privately-owned land, 353 Non-Resident Landowning Individuals, Non-Resident Businesses and 14 Institutional Establishments, and 20 Non-Resident Farmers.

Table 3-1: Summary of Survey

Sto. San Malolos Calumpit Apalit Minalin Angeles Total Tomas Fernando Resident Landowning Affected Households 14 66 28 0 10 295 101 514 Resident Landowning Affected Household 61 292 147 0 68 1359 491 2,418 Members Resident Businesses 5 23 7 0 3 92 31 161 Non-Resident 24 31 6 3 17 193 80 35411 Landowning Individuals Non-Resident Businesses 74 110 25 4 5 95 131 444 Institutional 2 1 1 0 0 5 5 14 Establishments Non-Resident Farmers 1 1 8 6 4 4 0 24

e. Structure of the Chapter 74. The chapter is arranged by sections according to category of survey instruments for the groups of respondents indicated above: - Section B: Resident Land Owner Households; - Section C: Non-Resident Land Owners; - Section D: Business and Establishments; - Section E: Non-Resident Farmers

B. Resident Land Owner Households

75. This section provides the results of the household survey with data disaggregated by gender, vulnerability, and other 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.

76. Household Composition. This RAP covers 514 resident landowning households comprised of 2,418 household members. This equates to an average household size of 4.7. In terms of gender, 1208 (49.96%) are male household members, while 1210 (50.04%) are female household members.

11 One non-resident landowner owns properties in Sto. Tomas and Minalin. This non-resident landowner is counted in Sto. Tomas and Minalin which explains why Table 3-1 shows there are 354 Non-Resident Landowning Individuals instead of 353.

Table 3-2: Household Composition

Household Members Average LGU Households Male Female Total HH Size Malolos 14 34 27 61 4.36 Calumpit 66 142 150 292 4.42 Apalit 28 80 67 147 5.25 Minalin 0 0 0 0 - Sto. Tomas 10 35 33 68 6.80 San Fernando 295 679 680 1359 4.61 Angeles 101 238 253 491 4.86 Total 514 1,208 1,210 2,418 4.70 % 49.96% 50.04% Source: JICA Design Team

77. Educational Attainment of Household Members. Table 3-3 reflects the educational attainment of household members, which ranges from pre-school to advance. 610 household members have on-going education.

Table 3-3: Educational Attainment of Household Members

Education Level Male Female Total % None 64 42 106 4% Pre-school 39 38 77 3% Elementary Level 112 119 231 10% Elementary Graduate 77 74 151 6% High School Level 203 182 385 16% High School Graduate 179 180 359 15% Vocational/Technical 64 44 108 4% College Level 162 166 328 14% College Graduate 283 333 616 25% Advanced College/University Degree 10 13 23 1% SPED 0 1 1 0% Not Applicable 10 11 21 1% No Response 5 7 12 0% Total 1,208 1,210 2,418 100% Source: JICA Design Team

78. Ethnolinguistic Affiliation. 1,375 out of the 2,148 Resident Landowning Household members in this RAP identify as Kapampangan. 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.

79. This is followed by Tagalogs (22%). 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.

a. Profile of Household Heads

80. A household head is defined as the person who is the sole or main income provider and/or decision maker in the household.

81. Gender Distribution of Household Heads. Of the 514 resident landowning households, 378 households (74%) are headed by a male individual and 136 households (26%) are headed by a female individual.

82. Age Distribution of Household Heads. Below table also shows the Age Distribution of Household Heads. A total of 186 households are headed by a Senior Citizen (60 and above) On the average, female household heads are older (57 years) as compared to the average age of male household heads (53 years old). The average age for all household heads is 54 years old.

Table 3-4: Age Distribution of Household Heads

Male Female Total 20 YO and below 1 0 1 21-30 YO 20 6 26 31-40 YO 52 13 65 41-50 YO 72 29 101 51-59 YO 104 31 135 60 YO and above 129 57 186 Total 378 136 514 Avg. Age 53 57 54 Note: YO- years old Source: JICA Design Team

83. Civil Status of Household Heads. Table 3-5 shows the Civil Status of Household Heads. Majority of household heads are married (66%). The remaining household heads are widowed single (16%), live-in (7%), and separated (4%).

Table 3-5: Civil Status of Household Heads

Population Civil Status Male % Female % Total % Single 17 3 24 5 41 8 Married 294 57 44 9 338 66 Separated 10 2 8 2 18 4 Widow/er 26 5 54 11 80 16 Live-in 30 6 6 1 36 7 NR 1 0 0 0 1 0 Total 378 74 136 26 514 100 Source: JICA Design Team

b. Livelihood Profile

84. Monthly Household Income. Monthly Household Income is defined as the combined monthly income of all household members. 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 to the family income. The below shows the income brackets of the AHs surveyed.

85. The Philippine Statistics Authority classifies households with less than PhP 8,800 monthly income to be in poverty. Of the 514 households surveyed, 24 households reported incomes of below this threshold and are therefore considered in poverty. Under this RAP, these 24 households are considered vulnerable.

Table 3-6: Monthly Household Income (All Sources)

Philippine Statistics Income Bracket (PHP) Authority Households % Classification Top Bottom Poor (Poverty) 8,800 0 24 5% Low-income 19,040 8,801 89 17% Low middle-income 38,080 19,041 183 36% Middle middle-income 66,640 38,081 124 24% Upper middle-income 114,240 66,641 52 10% Upper-income 190,400 114,241 22 4% Rich 190,401 and above 15 3% No Response 5 1% Total 514 100% Source: JICA Design Team

86. Monthly Household Expenditures. Common household expense items were determined based on the number of responses provided for each item. The most common expense items for the 514 AHs are food, water, power12 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 (17%), followed by education (10%), non-food items (5%), transportation (4%), power (4%), water (1%), communications (2%), cooking (1%), and health (6%). Other household expenses reported include recreation, loan payment and financial support to families. Below shows the average expenditures across all households in each LGU.

Table 3-7: Average Monthly Household Expenditures (PhP)

Sto. San Expense Item Malolos Calumpit Apalit Angeles Ave % Tomas Fernando

Basic Household Expense Items (Php)

Food 9,292 9,131 11,767 9,740 11,345 13,831 10,851 17 Non-Food 3,154 2,305 3,644 1,683 4,605 2,525 2,986 5 Power (source of light) 3,219 2,227 2,030 2,410 2,597 3,082 2,594 4 Water 644 601 613 500 734 1,122 702 1 Education 8,904 3,579 3,216 3,546 6,648 10,090 5,997 10 Communications 1,200 1,049 967 1,156 1,494 1,278 1,191 2 Transportation 3,835 1,947 2,080 1,538 2,741 2,606 2,458 4 Health 8,350 2,322 2,042 1,657 3,545 3,427 3,557 6 Cooking (LPG, 584 528 650 549 737 627 613 1 Charcoal, Gas) Sub Total 39,182 23,689 27,009 22,779 34,446 38,588 30,949 50 Other Household Expense Items (Php)

Rent (House/Room) 0 4,333 0 0 3,300 0 1,272 2 Tax 204 1,099 109 667 1,629 1,027 789 1 Recreation 5,740 2,805 2,667 2,000 4,031 3,514 3,460 6 Loan Payment 15,154 7,657 4,500 6,000 17,245 9,121 9,946 16 Financial Support 850 1,000 2,333 0 7,630 3,000 2,469 4 Salary 51,000 7,000 3,000 8,000 6,722 4,708 13,405 21 Sub-total 72,948 23,894 12,609 16,667 40,557 21,370 31,341 50 Total 112,130 47,583 39,618 39,446 75,003 59,958 62,290 100 Source: JICA Design Team

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

87. Source of Household Member Income. The household survey generated information on the primary and secondary sources of household members income. The primary and secondary sources of income were categorized either as land-based, wage-based, enterprise- based, or remittance-based.

88. A total of 1,193 household members report to have a primary source of income (Table 3-8). Of the main reported income sources, 735 (62%) of the income earners are wage-based while 328 (27%) are enterprise-based. There are three land-based and 110 remittance-based income sources. Seventeen (17) income earners did not specify their primary income source.

Table 3-8: Primary Source of Household Income

APs % Land-Based 3 0% Wage-Based 735 62% Enterprise-Based 328 27% Remittance-Based 110 9% Others, Not Specified 17 1% Total 1,193 100% Source: JICA Design Team

89. Land-Based Income. Land-based refers to income generating activities derived from usage of land, such as crop and livestock production. Only three resident landowning household members have land-based primary sources of income. All three involve crop production. Two of the locations are within the same Barangay or neighbourhood while one is in another city/municipality. (See also Section E below on Non-Resident Farmers which cover land-based livelihoods for those who do not reside in the affected area.)

90. Wage-Based Income. Wage-Based income refers to income from cash payments paid to individuals in return for services rendered. There are 735 Resident Landowning Household members who have wage-based main sources of income.

91. Of these wage-based livelihoods, 329 (45%) are located within or near the Barangay while, 245 (33%) are located in another city or municipality.

Table 3-9: Location of Wage-Based Livelihood Location of Wage-Based No. % Livelihood Within or Near Barangay 329 45% Other city/municipality 245 33% No Response 12 2% Own Residence/House 34 5% Overseas 84 11% No Definite Area 31 4% Total 735 100%

92. The 735 reported APs who have Wage-Based Livelihoods are employed in a various industries/occupational sectors as presented below.

Table 3-10: Types of Wage-Based Livelihood

Industry/Occupation/Sector APs Aviation 1 Business 10 Clergy Professions 2 Construction Worker 28 Driver 53 Engineering Professionals 11 Househelp 38 Industry Worker 26 Law Enforcement 11 Medical 21 Military Careers 2 Office Work 174 OFW 14 Service Industry 130 Production and Factory Workers 57 Public Official 11 Sales 83 Sea-based careers 1 Teaching 36 Technology 7 Others 7 No Response 12 Total 735 Source: JICA Design Team

93. The status of wage-based employment was also surveyed. A total of 431 (59%) APs with Wage-Based Livelihoods are employed on a permanent/regular basis while 287 (39%) APs are employed on a temporary employment basis. 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

Status APs % Permanent/Regular 431 59% Contractual/Temporary/Casual/Seasonal/Intermittent 287 39% No Response 10 1% Others 7 1% Total 735 100% Source: JICA Design Team

94. Enterprise-Based Income. Enterprise-based income refers to income from activities such as business and commercial enterprises. A total of 328 AHs members report to be engaged in various enterprises as their primary source of income. These enterprise-based incomes come from a variety of enterprises. The most common are food/catering, sari-sari store, and transportation. Table 3-12: Location of Enterprise-Based Livelihood

Location of Enterprise-Based Livelihood APs % Within Neighborhood or barangay (other than within residence) 108 33% No Definite Area 21 6% Other city/municipality 19 6% Overseas 3 1% Own Residence/House 173 53% No Response 4 1% Total 328 100% Source: JICA Design Team

Table 3-13: Type of Enterprise-Based Livelihood

Type of Enterprise APs % Beauty, Cosmetic and Personal Care Dealer 6 2% Billiards 1 0% Buy and Sell 22 7% Computer shop/Pisonet 6 2% Construction 11 3% Food/Catering 39 12% Hair/Nails/Beauty salon 11 3% No Response 11 3% Online Selling 4 1% Others 56 17% Piggery 1 0% Printing and Reproduction 4 1% Sari-sari store 61 19% Small Town Lottery 1 0% Tailoring/Dress Making 7 2% Tattoo/Laundry/Repair Shop 3 1% Transport 39 12% Used Clothing 12 4% Vending 28 9% Vulcanizing shop 5 2% Total 328 100% Source: JICA Design Team

95. Remittance-Based Income. Remittance-based incomes refer to incomes coming from another location (i.e. from a family member with wage-based income from overseas) as

a means to support household needs and expenses. 110 Resident Landowning Household members report to have Remittance-Based Livelihoods. Of the 110, 47 APs receive pensions. The 110 also includes 28 APs who receive remittances from overseas.

96. Other Livelihoods. A total of 17 APs did not specify the type livelihood for their primary source of income. More information will be obtained from these household members’ incomes during the implementation of this RAP to determine what entitlements and compensation they will receive.

97. Secondary Source of Income. In addition to primary sources of income, there are 108 household members who reported to also have a secondary source of income. Enterprises-based incomes are the most common (63%) secondary source of income among the households followed by wage-based secondary incomes (13%) and remittances (13%).

Table 3-14: Secondary Sources of Income

Land Wage Enterprise- Remittance- City/Municipality Others Total Based Based Based Based Malolos 0 1 3 1 1 6 Calumpit 2 2 11 1 0 16 Apalit 0 0 4 0 0 4 Minalin 0 0 0 0 0 0 Sto. Tomas 0 0 1 0 0 1 San Fernando 1 6 33 6 4 50 Angeles 0 4 13 6 4 27 Total 3 13 65 14 9 104 % 3% 13% 63% 13% 9% 100 Source: JICA Design Team

98. 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.).

99. The table below shows the list of financial institutions where the AHs have memberships. Multiple responses were generated as there are respondents who have mandatory memberships in more than one institution, especially those who are employed in government and private companies. Among the responses given that came out were mostly government financial institutions such as the Home Development Mortgage Fund (Pag-IBIG Fund), Social Security System (SSS), and Government Service Insurance System (GSIS).

Table 3-15: Membership in Financial Institutions

Financial Institution Male Female Total HDMF/Pag-IBIG Fund 115 36 151 Government Service Insurance System 18 16 34 Social Security System 221 58 279 Cooperative 3 0 3 Micro-Finance 228 82 310 None 1 4 5 NR 59 32 91 Total 645 228 873 % 74 26 100 Source: JICA Design Team

c. Home-Based Enterprises

100. Home-Based Enterprises refer to business activities conducted by the Resident Landowning Households from within their place of residency. There are 161 business conducted from within their place of residency.

101. These businesses are reported to be managed and operated by at least one household members. Out of the 161 home-based enterprises, 88 (55%) are managed by a female household member while 73 (45%) are managed by a male household member. A total of 193 household members are engaged in home-based enterprise as shown in Table 3-16. The most common home-based enterprise are sari-sari stores followed by food/catering activities as presented below.

Table 3-16: Home-Based Enterprises and Participating Household Members Home- Participating Household LGU Based Members (As Primary or Enterprises Secondary Income) Malolos 5 7 Calumpit 23 27 Apalit 7 9 Minalin 0 0 Sto. Tomas 3 2 San Fernando 92 107 Angeles 31 41 Total 161 193 Source: JICA Design Team

Table 3-17: Types of Home-Based Enterprises

Industry/Sector No. % House/Room Rental 9 6% Commercial Space/Unit Rental 5 3% Computer shop/Pisonet 5 3% Used Clothing (ukay-ukay) 3 2% Service Contracting 1 1% Trading/Retailing 8 5% Sari-sari store 39 24% Home/Small-scale industry 3 2% Restaurant/Fast Food/Eatery/Food/Catering 15 9% Tailoring/Dress Making 4 2% Transport 5 3% Printing and Reproduction 2 1% Vulcanizing shop 3 2% Buy and Sell 4 2% Manufacturing 3 2% Construction 3 2% Printing, Repro, Art Sign 1 1% Vending 2 1% Online Selling 1 1% Beauty, Cosmetic and Personal Care Dealer 7 4% Personal Services 5 3% Poultry/Livestock Raising 3 2% Others 21 13% No Response 9 6% Total 161 100% Source: JICA Design Team

d. Living Standards

102. 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.

103. Access to Water. Various sources of water are utilized by the AHs. A large majority have piped water connections. 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. There are also households which have multiple sources of water.

Table 3-18: Access to Water

Shared with City/ Piped Neighbor/ Deep Commercial Others NR Total Municipality Connection Community Well Sources Faucet Malolos 12 0 1 0 1 0 14 Calumpit 58 2 1 0 4 1 66 Apalit 22 3 1 9 2 0 37 Minalin 0 0 0 0 0 0 0 Sto. Tomas 9 1 0 0 0 0 10 San Fernando 240 16 27 10 14 0 307 Angeles 95 6 0 0 0 0 101 Total 436 28 30 19 21 1 535 % 81 5 6 4 4 0 100 *Multiple responses Source: JICA Design Team

104. Access to Sanitation. Among the households, 99% have water-sealed toilets at home. Only one AH resorts to using communal toilets while the remaining did not specify facility use or did not respond.

Table 3-19: Access to Sanitation Facilities

Own Water Communal/ City/Municipality Sealed Others NR Total Brgy Toilet Toilets Malolos 13 0 0 1 14 Calumpit 66 0 0 0 66 Apalit 28 0 0 0 28 Minalin 0 0 0 0 0 Sto. Tomas 9 1 0 0 10 San Fernando 293 0 2 0 295 Angeles 99 0 1 1 101 Total 508 1 3 2 514 % 99 0 1 0 100 Source: JICA Design Team

105. Access to Electricity. Ninety-two percent (92%) of the households responded that they have their own electric meter at home while 8% share electric connection with other households

Table 3-20: Access to Electricity

Own Electric Shared City/Municipality Meter for Power Total Connection Connection Malolos 14 0 14 Calumpit 62 4 66 Apalit 26 2 28 Minalin 0 0 0 Sto. Tomas 9 1 10 San Fernando 269 26 295 Angeles 93 8 101 Total 473 41 514 % 92 8 100 Source: JICA Design Team

106. Cooking Facilities. Gas is the most common fuel source used by 88% of the households for cooking. The rest are using either kerosene, wood, electric, or charcoal. There are other AHs who use more than one type of cooking fuel source (e.g. gas for regular cooking and charcoal for grilling).

Table 3-21: Cooking Facilities among Project Affected Households*

City/ Woo Electri Gas Kerosene Charcoal Others NR Total Municipality d c Malolos 12 0 1 0 2 0 0 15 Calumpit 64 0 1 1 0 0 0 66 Apalit 27 0 1 0 1 0 0 29 Minalin 0 0 0 0 0 0 0 0 Sto. Tomas 9 0 0 1 0 0 0 10 San Fernando 285 2 10 11 14 2 1 325 Angeles 97 0 13 0 8 1 0 119 Total 494 2 26 13 25 3 1 564 % 88 0 5 2 4 1 0 100 *Multiple responses Source: JICA Design Team

e. Residency History

107. Residency in the Area. Survey results indicate that 287 (56%), a majority, of households have lived in their houses for more than 20 years, 67 AHs (13%) each have stayed for 1-5 years, 59 AHs for 6-10 years, 48 AHs for 11-15 years, and 50 AHs have been in their current location for 16-20 years.

Table 3-22: Number of Years in Current Location Year Range (Years) Households % Top Bottom Less than 1 Year 0 0% 5 1 67 13% 10 6 59 11% 15 11 48 9% 20 16 50 10% 21 years or more 287 56% No Response 3 1% Total 514 100% Source: JICA Design Team

108. 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.

109. A total of 498 AHs consider the houses they occupy as their primary residence while 12 AHs use the affected houses a secondary residence. Those with primary residence elsewhere may not require relocation assistance but will need compensation for their lost lands, structures and asset, assistance to move their belongings as well as livelihood restoration support for their affected livelihoods (see Chapter 8).

Table 3-23: Type of Residence as Claimed Primary Secondary City/Municipality NR Total Residence Residence Malolos 13 0 1 14 Calumpit 62 3 1 66 Apalit 28 0 0 28 Minalin 0 0 0 0 Sto. Tomas 10 0 0 10 San Fernando 288 7 0 295 Angeles 97 2 2 101 Total 498 12 4 514 Source: JICA Design Team

110. Prior to residing in their current locations, 184 of the 514 AHs lived in the same Barangay while 175 lived in the same City/Municipality. There are 40 AHs who did not provide answer. Table 3-24: Place of Previous Residence

Location of Previous Residence APs % Same Barangay 184 36% Same City/Municipality 175 34% Outside of Metro Manila 53 10% Metro Manila 18 4% No Previous Residence 44 9% No Response 40 8% Total 514 100% Source: JICA Design Team

111. Choice of current residence is mostly influenced by a number of reasons. A plurality of the AHs’ choice was based on proximity to livelihood (42%) as well as family ties (35%). Others cited getting married as the primary reason (10%). Furthermore, social and economic reasons are relevant factors in establishing the locations of their current residence location.

Table 3-25: Reasons for Establishing Residence in the Current Location

Reason APs % Proximity to livelihood 196 38% Family ties 181 35% Got Married 50 10% Near School 5 1% Rent free/Affordable Rental fee 9 2% Others 46 9% No Response 27 5% Total 514 100% Source: JICA Design Team

f. Vulnerability

112. Vulnerable households are any households that meet at least one of the following criteria:

113. Of the 514 Resident Landowning AHs, 242 households are considered vulnerable as shown the table below. 55 AHs have multiple vulnerabilities while 187 have a single vulnerability. In addition to the compensation for resident landowning households, all vulnerable households will receive inconvenience allowance and special assistance during relocation. Households with more than one vulnerability may receive additional assistance.

Table 3-26: Vulnerable Households

HH with Count of City/ HH with Multiple Single Vulnerable Vulnerabilities Municipality Vulnerability Household Malolos 1 6 7 Calumpit 5 26 31 Apalit 3 13 16 Minalin 0 0 0 Sto. Tomas 0 4 4 San Fernando 27 101 128 Angeles 19 37 56 Total 55 187 242 Source: JICA Design Team

Table 3-27: Types of Vulnerabilities (Multiple Response)

HH income HH headed by HH headed HH with below City/ solo parents by person member who is Poverty with 60 and a PWD and/or Municipality Threshold dependents above seriously ill 13 Malolos 0 3 4 1 Calumpit 6 11 20 2 Apalit 1 2 16 0 Minalin 0 0 0 0 Sto. Tomas 0 0 3 1 San Fernando 15 37 97 11 Angeles 2 24 46 2 Total 24 77 186 17 Source: JICA Design Team

C. Affected Non-Resident Landowners

13 The Philippine Statistics Authority classifies households with less than PhP 8,800 in monthly income to be in poverty.

114. Non-resident landowners refer to those who own private land affected by the Project and are residing outside the PROW. The affected land registered under their name is either an idle land or currently occupied by another AP.

115. In terms of land use, 326 (73%) are residential and 35 (8%) are commercial. The remaining lots are utilized for other purposes (agricultural, aquaculture, industrial, institutional and of mixed-use. A significant number of vacant/idle lands are located in the lands for acquisition.

116. A total of 353 Non-Resident Landowners were surveyed. 184 of these Non-Resident Landowners are female while 170 are male. One non-resident landowner owns properties in Sto. Tomas and Minalin. This non-resident landowner is counted in Sto. Tomas and Minalin which explains why the below shows there are 354 Non-Resident Landowning Individuals instead of 353.

Table 3-28: Gender Distribution of Non-Resident Landowners

LGU Male Female Total Malolos 17 7 24 Calumpit 12 19 31 Apalit 6 0 6 Minalin 2 1 3 Sto. Tomas 10 7 17 San Fernando 89 104 193 Angeles 34 46 80 Total 170 184 354 Source: JICA Design Team

117. Among the surveyed 353 Non-Resident Landowners, several claimed to own multiple parcels of land. The table below shows the different types of documents (the most common of which being the Transfer Certificate of Title (TCT)) the non-resident landowners claim to prove ownership. During the implementation of this RAP, these documents will be validated once submitted by the claimants. Table 3-29: Proof of Ownership

Proof of Ownership No. Real Estate Tax 29 TCT (Transfer Certificate of Title) 284 OCT (Original Certificate of Title) 108 Dead/Mortgage 14 Others 2 No Response 10 Total 447 Source: JICA Design Team

D. Businesses and Institutional Establishments

118. This Section of Chapter 3 covers 605 Businesses and 14 Institutional Establishments as surveyed with the Business/Institution Form.

a. Businesses

119. Businesses are classified according to size which is determined by the number of employees. 14 Businesses with up to nine employees are classified as micro-businesses. Those with 10 to 99 employees are considered small while those with 100 to 199 employees are considered medium. Businesses with 200 and more considered large. Table 3-30: Businesses Per LGU

120. Single proprietorships are the most common ownership type among the surveyed business with 444 (73%) businesses reporting to be single proprietorships. This is followed by corporations with 24 (4%) of businesses reporting to be corporations. Table 3-31: Ownership Type Ownership Sto. San Malolos Calumpit Apalit Minalin Angeles Total % Type Tomas Fernando Single 72 104 25 4 7 105 127 444 73% proprietorship Corporation 3 1 0 0 0 8 12 24 4% Cooperative 0 3 0 0 0 0 1 4 1% Partnership 2 5 1 0 0 2 1 11 2% Others 0 1 0 0 0 0 1 2 0% No Response 2 19 6 0 1 72 20 120 20% Total 79 133 32 4 8 187 162 605 100% Source: JICA Design Team

121. A variety of industries and sectors are represented by the businesses. House/Room Rental is the most common business with 148 (24%) reporting to belong to this sector.15 Trading/Retailing follows next with 92 (15%) reporting to belong to this industry.

Table 3-32: Business Industries/Sectors Industry/Sector No. % House/Room Rental 148 24% Commercial Space/Unit Rental 44 7% Computer shop/Pisonet 5 1% Used Clothing (ukay-ukay) 3 0% Service Contracting 9 1% Trading/Retailing 92 15% Sari-sari store 39 6% Home/Small-scale industry 6 1% Restaurant/Fast Food/Eatery/Food/Catering 51 8% Tailoring/Dress Making 4 1% Transport 12 2%

14 Republic Act 9501 “Magna Carta for Micro, Small and Medium Enterprises (MSMEs). 15 Renters displaced from houses owned by landowners in this RAP are covered under the non-landowner RAP for the same project area. See also Chapter 6 on this matter.

Industry/Sector No. % Printing and Reproduction 2 0% Vulcanizing shop 3 0% Buy and Sell 4 1% Manufacturing 17 3% Construction 3 0% Printing, Repro, Art Sign 7 1% Vending 2 0% Online Selling 1 0% Beauty, Cosmetic and Personal Care Dealer 7 1% Personal Services 48 8% Poultry/Livestock Raising 8 1% Aquaculture 6 1% Farming 8 1% Bank 2 0% Office 2 0% Cockpit ring 1 0% Warehouse 4 1% Machining and Fabrication 2 0% Others 54 9% No Response 11 2% Total 605 100% Source: JICA Design Team

122. In terms of years in operations, 193 (32%) businesses have been operating between 1-5 years and 100 (17%) businesses have been operating between 6-10 years. There are 70 (12%) businesses that have been operating for more than 20 years while 35 (6%) businesses have been operating for less than a year. Table 3-33: Years of Business Operations Year Range (Years) Businesses % Top Bottom Less than 1 Year 35 6% 5 1 193 32% 10 6 100 17% 15 11 45 7% 20 16 40 7% 21 years or more 70 12% No Response 122 20% Total 605 100% Source: JICA Design Team

123. A plurality (48%) of businesses surveyed claimed that they have a licenses/permits to operate and are registered with either the Securities and Exchange Commission (SEC), Department of Trade and Industry (DTI), and/or their respective LGUs. 33% do not have any official business license or permit to operate.

Table 3-34: Business License/Permit No. % Not licensed/Not Registered/No Permit 202 33% Licensed/Registered/With Permit 292 48% No Response 111 19% Total 605 100% Source: JICA Design Team

124. Tenure Status. A majority of businesses, 359 (59%), report to own the land where they operate. The remaining businesses report that they do not own the land where they operate. Of the 246 Businesses that do not own the land on which they operate, around 69% claim to occupy said land with some form of permission – either they acquired the right, are renting or leasing, or have permission from the land owner.

Table 3-35: Land Ownership Among Businesses

Business % Non Land owner 246 59% Land owner 359 41% Total 605 100%

Table 3-36: Tenure Status of Non-Landowner Businesses

Business % Acquired Right 10 4% Renting/Leasing 42 17% Occupied with owner's permission 118 48% Occupied without owner's permission 29 12% Others 2 1% No Response 45 18% Total 246 100%

125. 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 are taken out. The declared gross monthly income reported by affected business ranges from less than PhP 10,000 to over PhP 500,000.

126. Only 393 (65%) businesses disclosed their gross monthly income. Of these, 25% reported a gross monthly income of PhP 10,000 and below. Only a very small portion of businesses reported a gross monthly income of above PhP 500,000.

Table 3-37: Gross Monthly Income of Businesses

Income Bracket (PHP) Businesses % Top Bottom 10,000 and below 154 25% 40,000 10,001 120 20% 60,000 40,001 38 6% 100,000 60,001 29 5% 500,000 100,001 43 7% Above 500,000 9 1% No Response 212 35% Total 605 100% Source: JICA Design Team

b. Institutional Establishments

127. There are 14 Institutional Establishments covered by this RAP. The design of the railway sought to minimize the impact to the institutional establishments. For the establishments providing educational services, four out of the five are marginally affected with project only impacting secondary structures. For the severely affected school, it will be relocated in the same Barangay to minimize impact.

Table 3-38: Affected Institutional Establishments per LGU by Industry/Sector

Religious Educational Government LGU Museum Total Services Services Services Malolos 2 0 0 0 2 Calumpit 0 1 0 0 1 Apalit 0 1 0 0 1 Minalin 0 0 0 0 0 Sto. Tomas 0 0 0 0 0 San 3 1 0 1 5 Fernando Angeles 2 2 1 0 5 Total 7 5 1 1 14

Table 3-39: Names of Affected Institutional Establishments Name of Institutional Establishment Industry/Sector LGU Church - Malolos Religious Services Malolos Zion Christian Fellowship Religious Services Malolos Sitio Balon Day Care Center Educational Services Calumpit Sampaga Child Development center Educational Services Apalit Good Shedero Sovereign Grace Bible Baptist Church Religious Services San Fernando St. Vincent Integrated School Educational Services San Fernando San Fernando Train Museum Museum San Fernando Church of God International Religious Services San Fernando Virgen delos Remedios Chapel Religious Services San Fernando Sta Maria Elementary School Educational Services Angeles PNP Police Station 6 Government Services Angeles Parish of Our Lady of Fatima Religious Services Angeles Claro M. Recto Daycare Center Educational Services Angeles Roman Catholic Archdiocese of San Fernando Religious Services Angeles Pampanga

128. Six Institutional Establishments have been operating for 21 years or more. However, due to differences in reporting, some institutional establishments reported how their parent organization (i.e. Government Agency) has been in existence whereas some other establishments reported when their specific presence in the area started. Table 3-40: Years of Operations (Institutional Establishments)

Year Range (Years) No. Top Bottom Less than 1 Year 1 5 1 2 10 6 4 15 11 1 20 16 0 21 years or more 6 No Response 0 Total 14

129. Most Institutional Establishments do not own the land on which they operate. The nine Institutional Establishments that do not own the land all have an agreement with the land owner. While the 5 landowners are classified into government (1), single proprietorship (1), corporation (2) and others (1).

Table 3-41: Land Ownership of Institutional Establishments

No. Non Landowner 9 Landowner 5 Total 14

Table 3-42: Tenure Status of Non-Landowner Institutional Establishment

No. Acquired Right 1 Occupied with owner's permission 8 Total 9 Source: JICA Design Team

130. Only four institutional establishments reported gross monthly income. This is likely due most of these establishments not operating on a for profit model.

Table 3-43: Gross Monthly Income of Institutional Establishments

Income Bracket (PHP) No. Top Bottom 10,000 and below 3 40,000 10,001 1 No Response 10 Total 14 Source: JICA Design Team c. Employees of Businesses and Institutional Establishments

131. Employed Individuals. Of the 619 Businesses and Establishments, 445 (66%) disclosed employment information. Of these 445 Businesses and Establishments, 262 (58%) reported to employ one or more individuals. These 262 Business and Establishments employed a total of 2,538 individuals. However, it must be noted that some business owners reported themselves to be employees while others did not report themselves to be an employee. Additional information and validation of affected Employees will be obtained during the implementation of this RAP when documentary requirements are submitted by the businesses and establishments. For the purposes of this RAP and to estimate the budget required, it is assumed all 2,538 reported employees will be displaced.

Table 3-44: Business and Establishment Classification and Reported Employees

Business/ Reported Size No. Institution Employees Business Micro 396 636 Business Small 32 878 Business Medium 1 190 Business Large 2 696 Institutional Establishment 14 138 No Response 174 N/A Total 619 2,538 Source: JICA Design Team

132. Reported Employees by Industry/Sector. The industry/sector with the most reported employees is the manufacturing sector whose businesses reported to employ 758 individuals.

This is followed by the transport industry with 424 reported employees and the trading/retailing industry with 317 reported employees. Table 3-45: Reported Employees by Industry/Sector Reported Industry/Sector % Employees House/Room Rental 43 2% Commercial Space/Unit Rental 30 1% Computer shop/Pisonet 0 0% Used Clothing (ukay-ukay) 0 0% Service Contracting 17 1% Trading/Retailing 317 12% Sari-sari store 0 0% Home/Small-scale industry 8 0% Restaurant/Fast Food/Eatery/Food/Catering 272 11% Tailoring/Dress Making 0 0% Transport 424 17% Printing and Reproduction 0 0% Vulcanizing shop 0 0%

Buy and Sell 0 0% Manufacturing 758 30% Construction 0 0% Printing, Repro, Art Sign 34 1%

Businesses Vending 0 0% Online Selling 0 0% Beauty, Cosmetic and Personal Care Dealer 0 0% Personal Services 107 4% Poultry/Livestock Raising 3 0% Aquaculture 42 2% Farming 83 3% Bank 0 0% Office 8 0% Cockpit ring 2 0% Warehouse 109 4% Machining and Fabrication 4 0% Others 117 5% No Response 22 1% Education Services 96 4%

Government Services 33 1% IE Museum 2 0% Spiritual Services 7 0% Total 2,538 100% Source: JICA Design Team

133. Employee Salary. Of the 2,538 reported employees, Businesses and Establishments reported 2,305 of their employees’ estimated monthly salaries. Of these, 746 were reported to earn above minimum wage (with an average monthly income of Php 48,841) while 1,559 were reported to earn the minimum wage or below (with an average monthly income of PhP 9,660). Minimum wage is set by the Department of Labor and Employment (DOLE) in Region 3 as salaries ranging from PhP 395/day to PhP 600/day. Additional information and validation of affected Employees will be obtained during the implementation of this RAP when documentary requirements are submitted by the businesses and establishments. For the purposes of this RAP and to estimate the budget required for compensation of loss of income, it is assumed all 2,538 reported employees will be displaced.

Table 3-46: Reported Employee Salaries No. of Employee Average Monthly Employee Position Level Incomes Income (Php) Disclosed Employees receiving above minimum wage 48,841 746 Employees receiving minimum wage16 and below 9,660 1,559 Total 2,305 Source: JICA Design Team

E. Non-Resident Farmers

134. Twenty three households have land-based livelihoods, comprised of 20 Non-Resident Farmers whose farms are affected by the Project and three other farmers whose residences are affected but whose farms are outside the project area.

135. Of the 20 Non-Resident Farmers, 16 are male while 4 are female. None disclosed gross income. Additional information will be obtained during the implementation of this RAP when documentary requirements are submitted to support entitlements and loss of income compensations. Table 3-47: Affected Non-Resident Farmers by Tenure Status No LGU Landowner Tenant Rent Free Caretaker Total Agreement Malolos 1 0 0 0 0 1 Calumpit 1 0 0 0 0 1 Apalit 6 1 1 0 0 8 Minalin 2 0 0 1 0 3 Sto. Tomas 3 0 1 0 0 4 San Fernando 3 0 0 0 0 3 Angeles 0 0 0 0 0 0 Total 16 1 2 1 0 20 Source: JICA Design Team

136. The activities of the 20 Non-Resident Farmers include aquaculture, crop production, livestock and poultry raising, and pet breeding. In particular, their products include rice, pigs, and tilapia.

Table 3-48: Farm Activities Crop Livestock/Poultry Pet City/Municipality Aquaculture Total Production Raising Breeding Malolos 0 0 1 0 1 Calumpit 0 1 0 0 1 Apalit 0 8 0 0 8 Minalin 3 0 0 0 3 Sto. Tomas 2 1 1 0 4 San Fernando 0 0 2 1 3 Angeles 0 0 0 0 0 Total 5 10 4 1 20 % 25 50 20 5 100 Source: JICA Design Team

16 Region III minimum wage at Php 420/day multiplied by 23 days.

4. CHAPTER 4: LEGAL AND POLICY FRAMEWORK

A. Policies and Guidelines Applied to the Project

136. In this project, the land acquisition and resettlement policies, especially the compensation and entitlements, shall adhere to the 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.

137. 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 and 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 Chapter 5 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

138. This RAP is guided by the policy framework derived from the Philippine Constitution, pertinent GoP laws and applicable executive, administrative and department orders. The applicable legal references are listed in Table 4-1 and the summaries of these laws and policies are presented in the succeeding 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) 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) and Its Implementing Rules and Regulations 5 Republic Act No. 7160 (Local Government Code of 1991) 6 Republic Act No. 386 (Civil Code of the Philippines) 7 Republic Act No. 8371 (Indigenous Peoples Rights Act of 1997) 8 Republic Act No. 9679 (Home Development Mutual Fund Law of 2009) 9 Republic Act No. 6389 (Agricultural Land Reform Code of 1971) 10 Commonwealth Act No. 141 (Public Land Act of 1936) 11 Republic Act No. 6685 (December 1988) 12 Republic Act No. 9994 (February 2010) 13 Republic Act No. 7277 (March 1992) as Amended by R.A. 9442 14 Batas Pambansa 220 (June 1982) 15 Presidential Decree No. 1096 (National Building Code of the Philippines, February 1977) 16 Republic Act No. 8424 (The National Internal Revenue Code of 1997) Executive, Administrative and Department Orders 1 Executive Order No. 1035, Series of 1985 2 Executive Order No. 48, Series of 2001

3 Executive Order No. 708, Series of 2008 Executive, Administrative and Department Orders 4 Executive Order No. 272, Series of 2004 5 Executive Order No. 69, Series of 2012 6 DOTr Department Order No. 2013-05 7 BIR Revenue Regulations (RR) No. 2-98 8 HLURB Memorandum Circular No. 13, Series of 2017 9 HUDCC Resolution No. 1, Series of 2018 10 HUDCC Resolution No. 2, Series of 2018

Relevant Manuals, Policies and Memorandum Circulars 1 DOTr Right-of-Way and Site Acquisition Manual 2 DPWH Right-of-Way Acquisition Manual 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.

139. 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).

140. 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 on May 25, 2016 to carry out the provisions of the said Act.

141. The main provisions in R.A. 10752 are intended 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.

142. 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.”

143. 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.

144. The implementing agency (IA) may utilize donation or similar mode of acquisition if the landowner is a government owned or government-controlled corporation.

145. 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.”

146. 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.

147. 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.

a. Compensation for Land, Structures and Improvements, Crops and Trees

148. Current Market Value of Land. Section 5(a)(1) of R.A. 10752 provides that the valuation of land under negotiated sale would be based on the current market value of the land. Section 7 of the same Act enumerates the standards for the assessment of the value of land to wit: (i). The classification and use for which the property is suited; (ii). The development cost for improving the land; (iii). The value declared by owners; (iv). The current selling price of similar lands in the vicinity; (v). A reasonable disturbance compensation for the removal and demolition of certain improvements on the land and for the value of improvements thereon; (vi). The size, shape or location, tax declaration and zonal valuation of the land; (vii). The price of the land as manifested in the ocular findings, oral as well as documentary evidence presented; and

(viii). Such facts and events as to enable the affected property owners to have sufficient funds to acquire similarly situated lands of approximate areas as those required.

149. 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.

150. 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

151. 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: (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.

152. 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 and will not be applied to this project.

c. Expropriation

153. Section 6(b) of R.A. 10752 and Section 7 of the IRR, states that for expropriation cases, the Implementing Agency is mandated to deposit to the court the following upon filing of the expropriation complaint: (i). 100% of the Bureau of Internal Revenue (BIR) zonal value of the land, (ii). Replacement cost of structures and improvements, as determined by the IA, appraised by a Government Financial Institution (GFI) with adequate experience in property appraisal or an Independent Property Appraiser (IPA), and (iii). Current market value of crops and trees within the property (as determined by the GFI or IPA).

154. In cases wherein the completion of the government infrastructure project is of utmost urgency and importance, R.A. 10752 allows for the expeditious processing for areas where there is no zonal classification or where the zonal valuation has been enforced for more than

three years. In such cases, the IA will use the BIR zonal value and land classification of similar lands in the adjacent vicinity as basis for valuation.

155. The law obliges the court to determine the just compensation to be paid to the owner within 60 days from the date of the filing of the expropriation case. The difference between the deposited payment and just compensation adjudged by the court has to be paid by the agency when the court’s decision becomes final and executory

d. Payment of Taxes

156. If requested by the property owner, the IA can remit to the concerned LGU any unpaid real property tax, provided that its amount is not more than the value offered of the subject property. Said remittance will be deducted from the total negotiated price.

157. Under negotiated sale, the IA pays for the account of the seller, the capital gains tax, as well as the documentary stamp tax, transfer tax, and registration fees. The property owner pays any unpaid real property tax.

158. Under expropriation proceedings, the IA pays the documentary stamp tax, transfer tax, and registration fees, while the owner pays the capital gains tax and any unpaid real property tax.

e. Payment Terms

159. Section 5(f) of R.A. 10752, states the IA will pay the property owner upon execution of the Deed of Sale: (i). 50% of the negotiated price of the affected land (exclusive of unpaid taxes remitted to the LGU), and (ii). 70% of the negotiated price of the affected structures, improvements, crops and trees (exclusive of unpaid taxes remitted to the LGU) upon execution of the deed of sale.

160. Section 5(g) of R.A. 10752, states the remaining payment for the affected property will be as follows: (i). For land, the remaining 50% of the negotiated price of the affected land will be paid, exclusive of unpaid taxes remitted to the concerned LGU (if any): • At the time of transfer of title in the name of the Republic of the Philippines, in cases where the land is wholly affected; or • At the time of the annotation of a deed of sale on the title, in cases where the land is partially affected. (ii). For affected structures, improvements, crops and trees, the remaining 30% will be compensated, exclusive of unpaid taxes remitted to the concerned LGU (if any), if the land is already completely cleared of such structures, improvements, crops and trees.

f. Easement Agreement

161. Section 10 of R.A. 10752, states that if a portion of lot needed for the ROW is minimal – that the cost for surveying or segregating the portion from the main lot would be greater than the value of the lot needed – then the IA may, if the property owner agrees, resort to the mode of Easement of ROW provided under the Civil Code.

162. A ROW easement agreement can be executed between the property owner and the IA – with the former granting the latter the right to use the affected portion of the lot as

ROW, and the owner retaining ownership of the land. Under such cases, the IA will pay the owner the following: (i). Value for the portion of the lot based on the existing zonal value declared by the BIR, and (ii). Value of the structures and improvements on land based on replacement cost.

163. The IA will be responsible for the registration of the ROW easement agreements with the Register of Deeds within 10 days from the date of execution, with the Registry of Deeds required to annotate on the Titles the agreements within seven days from receipt of the registration

g. Government Appropriation

164. 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 (iv) Related expenses of the IA, including capital gains tax in the case of negotiated sale, documentary stamp tax, transfer tax, and registration fees for the transfer of titles, and other relevant administrative expenses for ROW management.

165. 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 improvement17, and other activities under RAP in coordination with concerned government agencies.

h. Acquisition of Subsurface Right of Way

166. 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.

167. 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.

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

168. 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.

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

169. 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.

170. 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.

171. 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.

172. 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); 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.

173. 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.

174. 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.

175. 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.

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

176. 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.

177. 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 policymaking, 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.

178. 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)

179. This Code establishes the system and defines powers of provincial, city, municipal and barangay governments in the Philippines. Relevant sections include:

180. 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.

181. 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.

182. 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.

183. 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.

184. 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.

185. 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.

186. 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)18, 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.

187. 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

18 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.

requirements for food production, human settlements, and industrial expansion shall be taken into consideration in the preparation of such plans.

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

6. Republic Act No. 386 (Civil Code of the Philippines)

189. Title VII of R.A. 386, provides methods for acquiring and extinguishing easements or servitudes.

190. Article 613 defines an easement or servitude as an encumbrance imposed upon an immovable for the benefit of another immovable belonging to a different owner. Further the section states that the immovable in favor of which the easement is established is called the dominant estate, and that, which is subject thereto the servient estate. For example, this section of the Civil Code is relevant to ROW acquisition when the government (i.e. the dominant estate) can require easements due to new public infrastructure. This can impose restrictions to owners (i.e. the servient estate) on land use, as the owner is required to allow perpetual use of portions of his/her land for public purpose.

191. R.A. 386 provides definitions and guidelines that are relevant to this legal framework as enumerated below:

a. Chapter 1 – Easements in General, Sections 1-4 • Article 615 - Continuous easements are those the use of which is or may be perpetual, without the intervention of any act of man. • Article 617 - Easements are inseparable from the estate to which they actively or passively belong. • Article 618 - Easements are indivisible. If the servient estate is divided between two or more persons, the easement is not modified, and each of them must bear it on the part which corresponds to him. • Article 625 - Upon the establishment of an easement, all the rights necessary for its use are considered granted. • Article 626 - The owner of the dominant estate cannot use the easement except for the benefit of the immovable originally contemplated. Neither can the owner exercise the easement in any other manner than that previously established. • Article 629 - The owner of the servient estate cannot impair, in any manner whatsoever, the use of the servitude. • Article 630 - The owner of the servient estate retains the ownership of the portion on which the easement is established and may use the same in such a manner as not to affect the exercise of the easement. • Article 631(5) - Easements are extinguished by the renunciation of the owner of the dominant estate.

b. Chapter 2 – Legal Easements, Sections 1 and 3

• Article 634 - Easements imposed by law have for their object either public use or the interest of private person. • Article 635 - All matters concerning easements established for public or communal use shall be governed by the special laws and regulations relating thereto. • Article 649 - Should the easement be established in such a manner that its use may be continuous for all the needs of the dominant estate, establishing a permanent passage, the indemnity shall consist of the value of the land occupied and the amount of the damage caused to the servient estate. • Article 654 - If the ROW is permanent, the necessary repairs shall be made by the owner of the dominant estate. A proportionate share of taxes shall be reimbursed by said owner to the proprietor of the servient estate.

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

192. 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).

193. 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.

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

194. 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.

195. 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.

9. Republic Act No. 6389 (Agricultural Land Reform Code of 1971)

196. The Act concerns agrarian reforms in the Philippines and aims to establish cooperative organizations and increase agricultural productivity and farm income through a system of production, processing, marketing, distribution, credit and services (Section 2). It amended certain provisions of the previous legislation on land reform (R.A. 3844). Under Section 7 of the amendment, agricultural lessees are entitled to receive disturbance compensation equivalent to five times the average gross harvests on his/her landholding during the last five preceding calendar years if dispossession has been authorized by the Court in a judgement that is final and executory, if after due hearing it is shown that the lessor-owner or a member of his/her immediate family will personally cultivate or convert the landholding into other useful non-agricultural purposes, thus depriving the lessee to continue possession and usage of land. This statute mentions compensation payment to agricultural lessees who will lose their source of livelihood due to dispossession of leased land.

10. Commonwealth Act no. 141 (Public Land Act of 1936)

197. Section 12 of C.A. 141, states that any citizen of the Philippines over the age of eighteen years, or the head of a family, who does not own more than 24 hectares (ha) of land in the Philippines or has not had the benefit of any gratuitous allotment of more than 24 ha of land since the occupation of the Philippines by the United States, may take possession of land upon the approval of the Director of Lands and payment of entry fee. The applicant is mandated to work for the homestead within six (6) months from the date of the approval of the application; otherwise, he/she shall lose his/her prior right to the land. Further, no certificate shall be given or patent issued for the land applied for until at least one-fifth of the land has been improved and cultivated. Cultivation should be for a period of not less than one year from, or more than five years after the date of the approval of the application. To obtain a patent (title), the applicant must show proof that he/she has been residing continuously for at least one (1) year in the municipality in which the land is located, or in a municipality adjacent to the same, and has cultivated at least one-fifth of the land continuously since the approval of the application, and make affidavit that no part of the said land has been alienated or encumbered.

198. Section 112 of C.A. 141, provides that lands awarded by virtue of this Act shall further be subject to a ROW not exceeding 60 meters (m) in width for public highways, railroads, irrigation ditches, aqueducts, telegraph and telephone lines and similar works as the Government or any public or quasi-public service or enterprise, including mining or forest concessionaires, may reasonably require for carrying on their business, with damages for the improvements only.

199. Presidential Decree 635 issued in 1975, amended Section 112 of C.A. 141 by increasing the width of the reserved strip of 20 to 60 m. Under Section 7 of the IRR for R.A. 10752, it states that if the government decides to exercise its right to use the ROW strip reserved for public use within the land acquired under C.A. No. 141, the owner is required to execute a quit claim. Only improvements will be compensated.

200. Republic Act No. 6685 (December 1988) An Act Requiring Private Contractors to Whom National, Provincial, City and Municipal Public Works Projects have been Awarded under Contract to Hire at Least Fifty Percent of the unskilled and at Least Thirty Percent of the Skilled Labor Requirements to be Taken from the Available Bona Fide Residents in the Province, City or Municipality in which the Projects are to be

Undertaken, and Penalizing those who Fail to do so 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 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.

11. Republic Act No. 9994 (Expanded Senior Citizens Act of 2010; February 2010)

201. 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.

12. Republic Act No. 7277 (Magna Carta for Disabled Persons; March 1992) as Amended by RA 9442

202. 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.

13. Batas Pambansa 220 (June 1982)

203. 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.19 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.

204. 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.

19 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.

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

205. 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.

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

15. Republic Act No. 8424 (The National Internal Revenue Code of 1997)

207. This Act sets policies on tax treatment of real property transaction for purposes of facilitating their registration with the Register of Deeds and the Assessor’s Office of local government units. Specifically, the Act describes the imposition of tax on capital gains presumed to have been realized from the sale, exchange or disposition of real property classified as capital asset. Similarly, if the asset is classified as ordinary asset, the income from such sale is subject to ordinary income tax.

C. Executive/Administrative/Department Orders

1. Executive Order No. 1035, Series of 1985

208. This E.O. 1035 provides the procedures and guidelines for expeditious acquisition by the government of private real properties or rights thereon for infrastructure and other government development projects. Financial assistance to displaced tenants/farmers, equivalent to the average annual gross harvest for the last three (3) years and not less than PhP 15,000 per ha. Provision of financial assistance for the portion subject to the reservation under Section 112 of C.A. 141 on land acquired under C.A. 141 (for original patent holders only). Under C.A. 141, the ROW strip not exceeding 20 m in width within the land acquired under the law, or 60 m (under P.D. 635) is reserved for public use. This shall be over and above compensation for affected portions of structures and improvements therein.

2. Executive Order No. 48, Series of 2001

209. 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/DHSUD.

3. Executive Order No. 708, Series of 2008

210. 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.

211. 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.

4. Executive Order No. 69, Series of 2012

212. 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: 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.

5. DOTr Department Order No. 2013-05

213. The Department Order (D.O.) specifies the composition of the Technical Working Committee (TWC) for site acquisition/ROW for the department’s infrastructure projects.

6. BIR Revenue Regulations 2-98

214. These prescribe the regulations to implement RA No. 8424 relative to the Withholding on Income subject to the Expanded Withholding Tax and Final Withholding Tax, Withholding of Income Tax on Compensation, Withholding of Creditable Value- Added Tax and Other Percentage Taxes

7. HUDCC Resolution No. 1, Series of 2018

215. The resolution by the HUDCC sets up a new price ceiling for socialized subdivision projects.

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

8. HUDCC Resolution No. 2, Series of 2018

216. 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 Php 700,000 22 m2 Monte City in Bulacan Province; Cainta and Antipolo in Rizal Province; San Pedro City in Laguna Province; and Carmona and Cities of Php 750,000 24 m2 Imus and Bacoor in Cavite Province. 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)

217. 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).

218. 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.

219. 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. 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)

220. 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.

221. 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.

222. 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.

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

223. 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).

224. 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

71 improved. Project stakeholders should also be consulted regarding the project’s design, implementation, and operation.

4. NHA Memorandum Circular No. 2427 Series of 2012

225. NHA M.C. 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 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

226. 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

227. 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

228. 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 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: (i). APs who have formal legal rights to land (including customary and traditional land rights recognized under law); (ii). 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 (iii). APs who have no recognizable legal right to the land they are occupying. (iv). Preference should be given to land-based resettlement strategies for displaced persons whose livelihoods are land-based. k. Provide support for the transition period (between displacement and livelihood restoration). l. 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. m. 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

229. 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 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.

230. 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 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.

231. 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.

232. 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

233. 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 are presented in Table 4-4.

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 APs who have APs without legal entitlements to affected APs without legal • All people affected by the project non-land assets neither formal legal land will be eligible for compensation for rights to affected land who do not have legally recognized for those without rights nor structures and improvements with the are potentially right to the affected land but who recognized legal recognizable claims following criteria: ineligible for occupy the project-affected area rights to affected to affected land they a. Must be a Filipino citizen; compensation for prior to the cut-off date are eligible land occupy are to be b. Must not own any real property or non-land losses if for compensation (including those compensated for the any other housing facility, whether in they are classified as occupying an existing government loss of assets other an urban or rural area; and ineligible (not ROW) for affected structures and than land and other c. Must not be a professional squatter meeting the criteria). improvements at full replacement improvements to the or a member of a squatting cost, and for crops and trees at land at full syndicate, as defined in R.A. 7279, current market value replacement cost, otherwise known as the "Urban • This includes those that do not provided that they Development and Housing Act of meet the criteria within the laws of occupied the project 1992" the Philippines, with the exception area prior to the of “squatting syndicates/ project cut-off date. (Section 5(b) of R.A. 10752)20 professional squatters” as defined “Squatting syndicates” as defined in in Section 3 of R.A. 7279 and who Section 3 of R.A. 727921 will not be eligible are certified by the HUDCC and or for compensation or assistance. other government agencies (e.g., Under Section 15 of the IRR of R.A. 10752, PNR and LGUs) as such will not be the government shall provide adequate eligible for compensation. appropriations including the cost of • Presence in the project affected development and implementation of area at cut-off date to be identified resettlement projects, including planning, through census surveys and social preparation, provision of basic validated by the RAP services, community facilities, livelihood Implementation Management restoration and improvement, and other Committee (RIMC) or a respective activities in the resettlement action plan. Local Housing Office (LHO) in the absence of the formers. Section 5(b) of R.A. 10752 states that for owners of structures and improvements

20 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. 21 "Squatting syndicates" refers to groups of persons engaged in the business of squatter housings for profits or gains.

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure with no legally recognized rights to the • All aspects of the RAP will be land, payment of the replacement cost of covered by adequate government structures and improvements shall be appropriations. 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. 2 Eligibility for Physically displaced a. [Socialized Housing] There are restrictions • All relocating APs will be eligible for resettlement persons will be b. Under Section 16 of R.A. 7279, on the eligibility for self-relocation assistance or assistance provided with informal settlers shall fulfill the following resettlement assisted resettlement. “Squatting relocation assistance, criteria to qualify for a socialized assistance for those syndicates” as defined in Section 3 transitional support, housing program, a beneficiary: who do not meet the of R.A. 7279 and those who are and development c. Must be a Filipino citizen; criteria for a certified by the HUDCC as such will assistance. d. Must be an underprivileged and socialized housing or not be eligible for resettlement homeless citizen; have real property assistance. The standards of e. Must not own any real property whether elsewhere. • Members of squatting syndicates living of the displaced in the urban or rural areas; and who do not actually occupy project- poor and other f. Must not be a professional squatter or affected structures and are residing vulnerable groups, a member of squatting syndicates. elsewhere will not be physically including women, to displaced as such will not be at least national eligible for relocation assistance minimum standards and transitional support. will be improved, and • The Entitlement Matrix outlines the appropriate income specifics of the support provided for sources and legal self-relocation assistance and and affordable resettlement assistance options. access to adequate

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure housing will be provided for them. 3 Payment of CGT The rate of R.A. 10752 requires for a property owner to Payment of CGT by Payment of CGT will be paid by the IA on land acquired compensation for pay the CGT in expropriation proceedings in PAPs if land is after the ruling by the court in through acquired housing, order to incentivize and promote negotiated expropriated is expropriation cases when a PAP is expropriation land, and other assets sale. inconsistent with the unable to accept the negotiated sale as will be calculated at full principle of they lack the paperwork and are replacement costs. Under negotiated sale, the IA shall pay for the replacement cost. required to undergo the Extra Judicial The calculation of full account of the seller, CGT as well as DST, Settlement (EJS) before being replacement cost will transfer tax, and registration fees. The recognized as a property owner (for be based on the property owner will pay any unpaid real example, in deceased estates that have following elements: (i) property tax. not been settled). fair market value; (ii) g. Under expropriation proceedings, the transaction costs; (iii) IA shall pay DST, transfer tax, and Prompt and complete disclosure of interest accrued; (iv) registration fees, while the owner will advantages of negotiated sale over transitional and pay CGT and any unpaid RPT. expropriation proceedings (as provided restoration costs; and for by R.A. 10752) will be made during (v) other applicable the conduct of the 2nd Stakeholder payments, if any. Consultation Meeting (SCM) to wit:

Advantages of Negotiated Sale: (i) Outright offer for land price will be based on fair market value. (ii) Payment of CGT will be shouldered by the IA, the DOTr. (iii) It has a shorter process (2-6 months if all required documents are complete).

Disadvantages of Expropriation Proceeding: (i) Initial payment for land will be based on the BIR zonal value, and an owner will have to present documentary evidence during court hearings to prove that the value should be higher. (ii) The owner needs to hire a lawyer. (iii) The owner/PAP will pay CGT. (iv) It has a longer process. It may take a year to several years before the

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure decision of the court for payment of just compensation in favor of the owner becomes final and executory, accordingly ordering the DOTr to pay the owner the difference. The PAP may still revert from expropriation to negotiated sale at any point in time before the last day of filing for motion of the expropriation case. In case the expropriation case has been filed in the court: The plaintiff, the DOTr, can withdraw the case any time before the filing of the answer by the defendant, the PAP (Section 1(h) Rule 16 of the 1997 Rules of Court on Civil Procedures). If the answer is filed, there has to be a joint filing by the DOTr and the owner to withdraw the case (Section 2, Rule 17 of the 1997 Rules of Court on Civil Procedures). In both cases, the acquisition mode would revert back to negotiated sale, which will entitle the owner to payment at the current market value for land (as indicated in the DOTr’s Offer to Buy (OTB)), free of taxes, including CGT, and registration fees in accordance with Section 5(c) R.A. 10752, at the replacement cost for structures and improvements, and at the market value for crops and trees under Section 5(a) R.A. 10752.

If compensation is less than replacement cost, the DOTr will apply a mitigation measure to reach replacement cost. • Other applicable allowances including livelihood rehabilitation

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure and transitional assistance allowances apply as per cases not subject to expropriation. 4 Scope of The scope covers Unless the RAP specifies otherwise, Potential gaps with • Any land acquired for project application of the direct impacts of land government policies and standards only respect to the requirements including ROW and RAP acquisition and would be applied. application of policies resettlement site development restricted land use for and entitlements specifically for the needs of the the project, including For involuntary resettlement impacts from under the RAP to project will be included in the scope any land acquired for land acquired for resettlement sites, R.A. those who are of the RAP. development of 7279 states that the land for socialized affected by land • The DOTr will oblige any agency resettlement sites housings can be expropriated but should be acquisition to develop responsible for land acquisition for and ROW resorted only when other options have been resettlement sites for project needs, including ROW adjustments exhausted. the project. adjustments, resettlement sites, specifically for the utilities relocation, and access project. roads, to apply the same standards and entitlements as set out in the RAP policy. 5 Timing of All compensation and Under R.A. 10752, in the mode of negotiated There are gaps on PAPs will not be displaced until they are payment of assistance should be sale, PAPs will be paid in two installments for the timing for paid in full compensation and applicable compensation provided prior to their affected properties. The balance in payment and for allowances. and assistance displacement. compensation for the land will only be paid expropriation cases prior to after the Deed of Sale has been completed. the need to provide For negotiated sale, the following displacement The balance of payment for improvements proof of ownership to arrangements will be applied: will be paid to PAPs only after the acquired the court prior to For structures: The DOTr will pay 100% lands have been cleared of all improvements payment. prior to being displaced. Payment of (i.e., structures, trees, and crops). compensation for structures and improvements may be held in abeyance In the mode of expropriation, initial for participants of socialized housing compensation at an amount computed at programs or used as an advance 100% of lot price based on the latest BIR payment on their amortizations at PAPs' zonal value for land, the replacement cost request until relocation sites and for structures and improvements, and the socialized housing accommodations market value for crops and trees in the form become available. of a check will be deposited to the court in favor of the owner upon filing of an For land: For full/severe impacts, the 1st expropriation case by the DOTr. The court installment of 50% will be made by the DOTr, and the remaining 50% will be will immediately issue an order to take paid to PAPs when land is officially possession of the property and start

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure implementation of the project (Section 6(a) transferred. On the other hand, for R.A. 10752). While the court adjudicates partial/marginal land taking, the the compensation to be paid, PAPs may, at remaining 50% will be paid to PAPs upon any time request the court to release such annotation of the Title on Sale on the deposit upon presentation of proof of portion of land. However, no ownership (Section 6(a) R.A. 10752). displacement nor civil works will commence until such transfer is effective and the balance is paid.

In negotiated cases where PAPs 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 extent possible to help PAPs secure the paperwork.

In cases wherein PAPs need to undergo the EJS process for the paperwork, the DOTr will assist them through the Help Desk, so that they can complete title segregation prior to the issuance of the OTB and thus can be eligible for negotiated sale.22

In cases wherein after due diligence DOTr finds the EJSE to be incurable, expropriation case will be filed while the EJS is still being processed. The PAPs can, at any time, request the court to release the initial payment deposited to the Court upon submittal of proof of ownership. The PAP will have the choice of accepting the check for

22 In cases when an original owner whose name is on the title has already died and did not leave any last testament as to who will inherit his/her property, his/her heirs have to undergo the EJS process, so that the original title can be subdivided among them. Otherwise, the agency tasked to acquire ROW cannot compensate them. Further, the completion of title segregation prior to the issuance of the OTB can be achieved through the early issuance of the Notice of Taking (NoT) to property owners.

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure BIR Zonal value for the land and replacement value for structures and improvements, and market value for crops and trees and await the court’s findings, or once the EJS is completed, a joint motion in the court for a compromised judgement can be filed and the acquisition goes back to negotiated sale. In such cases, the DOTr will pay to the PAPs the difference between the initial payment released by the court and the market value indicated in the OTB. 6 Severity of The loss of 10% or There is no specific reference to the Gaps with respect to • Participation in the Livelihood impacts on more of productive or severity of impacts. The related reference the threshold and Restoration and Improvement productive income sources (e.g., includes: requirements for Program (LRIP) will be provided for resources for farmland and For agricultural tenants and sharecroppers: livelihood restoration those whose productive resources which business/ shop) is Financial assistance equivalent to the assistance for all are permanently affected by 10% or rehabilitation entitled to livelihood average gross harvest for the last three (3) cases experiencing more. assistance is restoration years and no less than Php 15,000 per ha the loss of productive required. assistance. (E.O. 1035). resources. 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). 7 Severity of the If the residual portion No specific law prescribes acquisition of the No current • If the residual portion of a property loss of a property of a property after remaining unviable portion of the acquired Government policy on after acquisition is 20% or less or if for which the acquisition is 20% or property. 24 this issue. the residual portion is no longer entire property less or if the residual viable for use according to original will be acquired portion is no longer purpose, the entire property will be

24 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.

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure viable for use acquired taking also the wishes of the according to the AP into consideration. original purpose, the entire property will be acquired. 23 8 Income The borrower/client There are requirements for supplementary ADB/JICA guidelines • Income restoration and livelihood restoration and will include detailed assistance or training to certain categories are more specific improvement measures need to be livelihood measures for income of APs. However, the requirements do not regarding objectives designed in consultation with APs improvement restoration and have specific objectives to restore income- of restoring income- and be adequately resourced to livelihood earning capacity and are limited in scope earning capacity and restore income-earning capacity of improvement of and application. include those whose all APs whose livelihoods are displaced persons in income generation affected and improve income-earning the resettlement plan. Nonetheless, the IRR of R.A. 10752 states resources are capacity of vulnerable APs. Income sources and that government appropriations should be severely affected. • The effectiveness of income livelihoods affected available to cover the cost of the restoration and livelihood by project activities development and implementation of improvement activities will be will be restored to resettlement projects and may include monitored and reviewed. pre-project levels, livelihood restoration and improvement and the activities. 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

23 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.

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure comparison with the pre-project levels. The resettlement plan will specify the income and livelihoods restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time- bound implementation schedule. 9 Transitional In the case of Section 10(c) of R.A. 10752 provides that Although there is no • Transitional support during the period assistance and physically displaced the cost of the development and specific law and when APs resettle and re-establish compensation for persons, (i) implementation of resettlement projects guideline which their livelihoods will be provided lost income transitional support covered by the Act, including planning, mentions assistance aimed at stabilizing their living and development social preparation, and other activities during the transition standards. assistance such as under a resettlement action plan shall be period, the relevant • The Entitlement Matrix outlines the land development, provided with adequate appropriations to entitlements may be specifics of the support provided for credit facilities, cover the funds needed for such. lumped under the transitional assistance entitlements training, or clauses pertaining to covering compensation for lost employment Section 15 of the IRR of R.A. 10752 further “livelihood restoration income and assistance to re- opportunities and (ii) states that when necessary the and improvement and establish livelihoods and businesses. opportunities to development cost described above may other activities under derive appropriate include land development and housing the resettlement development benefits construction, the provision of basic services action plan” as from the project will and community facilities, livelihood stipulated by R.A. be provided. restoration and improvement, and other 10752 law and its activities under the resettlement action plan IRR. In cases where land in coordination with concerned government acquisition affects agencies. In the relevant commercial Philippine laws, there structures, affected E.O. 1035 provides for financial assistance is no provision for business owners are to displaced tenants and cultural minorities compensation for entitled to (i) the and settlers equivalent to the average income loss for

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure costs of re- annual gross harvest for the last three (3) medium- to large- establishing years and no less than PhP 15,000 per sized businesses. commercial activities hectare. elsewhere; (ii) the net Section 7 of R.A. 6389 provides for income lost during disturbance compensation for agricultural the transition period; lessee’s equivalent to five (5) times the and (iii) the costs of average gross harvest in the last five (5) transferring and years. reinstalling plant, machinery, or other For APs whose structures are severely equipment. affected and whose business/income are 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 ADB/JICA policy is to The NEDA's ICC does not require the RAP There is a gap on • The RAP will be prepared and RAP make the RAP to be made available to the public. accessibility of the accessible to the public through the accessible to the RAP to stakeholders. JICA, ADB, and DOTr websites. public through their • Salient information from the RAP websites before will be disclosed to APs prior to and reaching a loan following finalization during SCMs. agreement. 11 GRM Appropriate and There is no specific law that stipulates GRM There is no specific • An effective and accessible GRM accessible grievance within land acquisition laws in the law that stipulates will be established for the project to redress mechanisms Philippines. GRM for land resolve disputes outside the judicial must be established acquisition in the system. at the project level for Philippines.25 • Prior to the start of ROW the affected people acquisition, the DOTr will establish and their the Help Desk at each communities. city/municipality to address the concerns of APs pertaining to the RAP and ROW acquisition.26 Each Help Desk must be established

25 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. 26 The onset is marked by the delivery of the NoT by the DOTr.

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure 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 with the RIMC will serve as a recipient and database manager of grievances filed. 12 Census, inventory Affected people are There is a requirement under R.A. 7279 No specific • A census and socio-economic of losses, and the to be identified and and its IRR for LGUs to conduct inventory requirement for the survey are conducted for the establishment of recorded as early as of their informal settler families (ISFs). cut-off date. affected areas to prepare the RAP. cut-off dates for possible in order to The conduct of surveys and tagging is • For informal settlers, the cut-off eligibility to establish their established practices by the Urban Poor date is set on the beginning date of entitlements eligibility through an Affairs Office (UPAO). the census and tagging. initial baseline survey Section 4 of the IRR for the registration of • The cut-off date is publicly (including population socialized housing beneficiaries states that disclosed during the 1st stakeholder census, asset the city/municipal government shall be consultation meeting in the project inventory, and socio- primarily responsible for carrying out the affected areas. economic survey). registration of underprivileged and • Date of the NoT issuance will be the The borrower/client homeless families within their respective cut-off date for legal property will establish a cut-off jurisdictions. owners. date for eligibility. Information regarding the cut-off date will be documented and disseminated throughout the project area. 13 External monitoring For projects with Not required There is a gap on the • The IA will engage qualified experts significant involuntary requirement for to conduct external monitoring of resettlement impacts, external monitoring of the implementation of the RAP. the borrower/client

No. Issue ADB/JICA Laws of the Philippines Gap Gap Filling Measure will retain qualified projects with and experienced significant impacts. experts to conduct external monitoring. 14 Voluntary land Voluntary donation Voluntary land donations are permitted. There are differences • Voluntary land donation is not an donation will be an act of in the implementation option for this project, except for informed consent, and conditions for government-to-government and APs/IPs will not voluntary donations. negotiated donation. be forced to donate land or other assets • Voluntary donation will be an act of with coercion or informed consent, and APs/IPs will under duress. 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.

H. Fundamental Project Policy

234. 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 the previous chapter. 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

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.27 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.

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

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

235. 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 for Landowner APs is the date of receipt by the Landowner APs of the issuance of the Notice of Taking (NoT) by the DOTr in accordance with the relevant laws. 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. Legal APs and Non-landowners have been included in all consultations from the beginning to ensure that they are aware of the project. The cut-off date is further discussed in Chapter 2.

J. Principle of Replacement Cost

236. 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.

237. The Replacement Cost Study (RCS) to determine compensation rates will be 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:

(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

238. 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.

239. 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:

240. Scope of the RCS. The scope is to verify and determine the current market values for lands, 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.

241. Methodology. The RCS will be 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.

242. 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.

243. Affected Land. For affected lands, compensation will be in terms of current market value, free of tax as provided in Section 5(a)(1) of R.A. 10752, computed based on Section 7 of R.A. 10752 and Section 12 of its IRR as below:

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; 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. The value declared by the owners based on the value shown in the owners' latest Tax Declaration Certificates or Sworn Statements; d. 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; e. The reasonable disturbance compensation for the removal and/or demolition of certain improvements on the land and for the value of improvements thereon considering, among other things, the replacement cost of improvements at current market prices as provided in Section 6.6 of this IRR; f. The size, shape or location, tax declaration and zonal valuation of the land based on, among other things, the latest records on Deeds of Sale in the Register of Deeds, tax declaration by the City or Municipal Assessor, zonal valuation of the BIR for comparable properties; g. The price of the land as manifested in the ocular findings, oral as well as documentary evidence presented; and h. 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. i. In all cases, the increase in the value of the affected property brought about by the government project itself will not be considered in the determination of the price offer.

249. Affected Structures and Improvements. 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.

250. 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.

K. Eligibility and Project Impacts

251. Eligibility defines the APs who are covered by compensation and other entitlements/resettlement assistance. The project-related land acquisition will result in the physical displacement of people as well as their economic displacement, whether these are based on legitimate or informal occupation of lands, including those who have no land title or tax declaration or other acceptable proof of ownership, and informal sector families.

252. Criteria for Eligibility. An AP is defined as any person or persons, household, firm, private or public institution who, as a result of land acquisition for the project or restricted land use due to the project experience physical displacement (relocation, loss of residential land, or loss of shelter) or economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) whether such losses and involuntary restrictions are full or partial, permanent or temporary.28 Eligibility is based on this Project Resettlement Policy29.

253. As provided in the chapter on the legal framework, RA 10752 cites two (2) main modes of Right-of-Way acquisition, namely: (1) negotiated sale and (2) expropriation. In the entitlement matrix (EM) presented in Chapter 6, negotiated sale shall be the first option and expropriation the last resort (i.e. in case negotiated sale fails, or in other cases stated in Section 6(b) of the same Act). Eligible APs may fall under the following categories:

a. Landowners (Residential, Mixed Use, Agricultural, Commercial, Industrial, and Institutional)

254. Landowners in this RAP refer to those who meet the following criteria:

(i). Those who have a full title (such as an Original Certificate of Title (OCT) or a Transfer Certificate of Title (TCT); (ii). Those who are not original patent holders of lands granted under Commonwealth Act (C.A.) No. 141 and whose land ownership is not acquired through a gratuitous title (e.g., donation or succession); (iii). Those who are original patent holders of lands granted through C.A. 141 and whose land has not been subjected to the previous government exercise of its lien; (iv). Those who were former Informal Settler Families (ISF) but now hold a title of land through government socialized housing programs; (v). Those who can present the following: • Tax Declaration showing his and her predecessors’ open and continuous possession of the property for at least 30 years; • A certification from the DENR proving that the land is alienable and disposable; or • Other documents that may show proof of ownership. (vi). Those who are holders of an Emancipation Patent (EP) or Certificate of Land Ownership Award (CLOA) granted under the respective comprehensive agrarian reform statutes; (vii). Government agencies and local government units which are owners of affected public lands; (viii). Those who were former ISFs and Community Mortgaged Program (CMP) beneficiaries whose titles are still under the name of the organization; or

28 ADB, 2009. Safeguards Policy Statement. Manila. 29 In terms of informal settler families, the final list of beneficiaries for relocation would be determined by NHA, and concurred by the LIAC during implementation stage.

(ix). Other paying PAPs of affected properties whose ownership is still under the name of funding entities or developers.

b. Structure Owners (Residential, Mixed Use, Agricultural, Commercial, Industrial, and Institutional) and Owners of Non-land Assets and Improvements

255. Structure Owners and Owners of Non-land Assets and Improvements in this RAP refer to those who meet the following criteria:

(i). Those who own land as described above and/or also own structures, non-land assets and/or improvements in the said land; (ii). Those who own structures, non-land assets, and/or improvements used for business but do not own the land where the structures are; (iii). Those who own structures, non-land assets, and/or improvements but do not own the land where the structures are located and are not classified as low-income households or the homeless (e.g., they are not poor or they own real property elsewhere); (iv). Those who own structures, non-land assets, and/or improvements but do not own the land where the structures are located and are low- income households, or the homeless; (v). Those who own structures, non-land assets, and/or improvements but do not own the land where the structures are located and have previously availed of government socialized housing programs (i.e., returnees); (vi). Those who own structures, non-land assets, and/or improvements who were former ISFs but now hold title of land through government socialized housing programs; (vii). Those who own structures, non-land assets, and/or improvements who were former ISFs and CMP/National Housing Authority (NHA) beneficiaries whose titles are still under the name of the organizations; (viii). Government agencies and LGUs which are owners of affected public structures, non-land assets, and/or improvements on public or private lands; and/or (ix). Other paying PAPs of affected properties whose ownership is still under the name of funding entities or developers.

c. Renters/Lessees of Land and/or Structures

256. Renters/Lessees of Land and/or Structures in this RAP refer to those who meet the following criteria: (i). Residential/commercial/institutional/mixed use renters possessing a lease/rental agreement who are not classified as vulnerable or do not have low incomes: (ii). Renters and sharers of formal structures who have low incomes are also eligible to avail of socialized housing programs if they satisfy the criteria set forth by this RAP. (iii). Agricultural lessees: Renters of agricultural land who may not possess a lease/rental agreement may present a sworn affidavit by a third person who may have witnessed a verbal agreement between the landowner and the lessee.

d. Business Enterprises

257. Business enterprises are commercial establishments that are operating as of the time of the cut-off date. These are classified in terms of scale of operations (i.e., asset size and number of employees) into micro-, small-, medium-, and large-sized businesses.

258. Micro-businesses pertain to small shops which sell their goods in small spaces, such as sari-sari stores, food stalls, repair shops (including car repair, appliance repair, and cell phone repair), dress shops, tailor shops, beauty parlors, and vulcanizing shops. These are typically operated within their dwelling places, or ancillary spaces to their dwelling places. These include shops that may or may not have permits to operate issued by the LGUs concerned.

259. Those who own small, medium, or large-sized business establishments (including apartments/units/houses for rent except those operated by squatting syndicates), including those who own land or are leasing a space from property owners. It pertains to any business activities or enterprises engaged in commercial, industry, agribusiness and/or services, whether a single proprietorship, cooperative, partnership, or corporation whose total assets, inclusive of those arising from loans but exclusive of the land on which the particular business entity’s office, plant, and equipment are situated. The table below shows the classification of affected business enterprises. Table 4-5: Categories of Business Enterprises

Enterprise Asset Size Number of Employees Micro Up to PhP 3,000,000 1-9 employees Small PhP 3,000,001-15,000,000 10-99 employees Medium PhP 15,000,001-100,000,000 100-199 employees Large Above PhP 100,000,000 Over 200 employees Source: Department of Trade and industry. http://server2.dti.gov.ph/dti/index.Php?p=532. As defined under Small and Medium Enterprise Development (SMED) Council Resolution No. 01 Series of 2003 dated 16 January 2003.

e. Employees of Commercial, Agricultural, and Industrial Establishments

260. Workers are regular, contract, or casual employees of affected commercial (including small shops, micro, small and medium to large-sized businesses, vendors, and commercial stall tenants) or industrial establishments whose incomes will be affected or who may even lose jobs once the said establishments are displaced. It includes APs are displaced from their homes and are required to permanently relocate to a place that makes their former wage- based employment inaccessible, thereby needing to find a new employment or a source of livelihood.

f. Agricultural Tenants, Sharecroppers, Landowners, and Lessees

261. Those who are engaged in farming and are considered agricultural tenants, sharecroppers, landowners, or lessees.

g. Vulnerable Groups

262. 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 and 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: (i) A woman who gives birth as a result of rape and other crimes against chastity even without a final conviction of the offender: Provided, that the mother keeps and raises the child; (ii) Parent left solo or alone with the responsibility of parenthood due to death of a spouse; (iii) Parent left solo or alone with the responsibility of parenthood while the spouse is detained or is serving sentence for a criminal conviction for at least one year; (iv) Parent left solo or alone with the responsibility of parenthood due to physical and/or mental incapacity of spouse as certified by a public medical practitioner; (v) Parent left solo or alone with the responsibility of parenthood due to legal separation or de facto separation from spouse for at least one year, as long as he/she is entrusted with the custody of the children; (vi) Parent left solo or alone with the responsibility of parenthood due to declaration of nullity or annulment of marriage as decreed by a court or by a church as long as he/she is entrusted with the custody of the children; (vii) Parent left solo or alone with the responsibility of parenthood due to abandonment of spouse for at least one year; (viii) Unmarried mother/father who has preferred to keep and rear her/his child/children instead of having others care for them or give them up to a welfare institution; (ix) Any other person who solely provides parental care and support to a child or children; (x) Any family member who assumes the responsibility of head of family as a result of the death, abandonment, disappearance or prolonged absence of the parents or solo parent. 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.

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

h. Loss of Access

264. The ROW will be fenced to secure the Project area during construction and up to the train operation stage. Persons affected by this loss of access to their properties will be covered under a separate RAP. At the time of the writing of this RAP there are no identified areas that cause loss of access that cannot be mitigated. DOTr will continue to assess access provisions and will report on this in regular monitoring reports.

5. CHAPTER 5: COMPENSATION AND ENTITLEMENT

265. 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 6-3). As appropriate, compensation will be accompanied with assistances, as outlined in the EM.

266. Identification of APs’ eligibility was carried out in accordance with the census tagging of land, structures, SES and validation activities.

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

A. Units of Entitlements

268. 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 land, 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 also have legal ownership on the land where the structure is located; (ii) Households that own the dwelling structure but do not have legal ownership on the land where the structure is located; (iii) Households that are renting, leasing or sharing the structure; (iv) Households who own structures and were former Informal Settler families (ISFs) but now hold title of land through government socialized housing programs

(v) 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 (vi) Households/APs who occupy temporary dwellings.

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 a. APs who own affected fixed micro businesses within the PROW (e.g. enterprise activity 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 landowner. 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 a. APs who are employed in a displaced commercial, industrial wage-based establishment or agricultural businesses and lose their job due to occupation closure of business or laying off as a result of minimized operation. b. APs who will 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 but will retain their employment. APs engaged in land- a. APs who are agricultural tenants and sharecroppers. based activity b. APs who are landowners or lessee who are directly engaged in farming and other agricultural activities. Source: JICA Design Team

f. The unit of entitlement for Vulnerable Groups are household, and includes: (i) Households below poverty threshold; (ii) Household headed by the elderly; (iii) Households headed by solo parents with dependents; and (iv) Households with any member of the family residing in the household 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 government lands.

B. Conditions

269. 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.

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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).

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 owner lessee, tenant and sharecroppers who till the land. Wage-based workers in these farms are entitled to compensation for loss of income as employees.

e. Legal co-owners of land, 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.

f. 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. Eligibility

a. Original Patent Holders of Lands Granted Under CA 141

270. Historically, public land was granted to agricultural farmers with the provision that should a piece of that land (up to 60 m width) be required for a government Right-of-Way (ROW), including railway projects, that it is to be returned to government ownership. As a result, PAPs who are original patent holders of lands granted under CA 141 (or own it through a gratuitous title such as donation or succession), and whose land has not been subjected to previous government exercise of its lien will have different entitlements, as detailed in the entitlement matrix. Specifically, there will be no compensation for land up to 20 meters width if the patent was granted prior to 1975, and up to 60 meters width for patents granted thereafter. Cash compensation for structures, improvements, crops and trees, within this lien will be computed at full replacement cost.

D. Modes of Acquisition

271. The entitlement matrix outlines the entitlements for loss of land, 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

272. The process for the provision of compensation and entitlements, as they relate to land, assets, and structures is detailed below. Refer to Chapter 7 for processes relating to relocation assistance, and Chapter 8 for processes relating to livelihood restoration and improvement.

F. Process for Negotiated Sale

273. DOTr will issue a Notice of Taking (NoT) to the affected property owners 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

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ownership by DOTr; and (3) set the cut-off date for legal property owners. DOTr will provide copies of the NoT to respective LGUs and pertinent national government agencies so that concerned officials are made aware of which properties have been served said Notices and as such should not issue any building, construction, development, or business permit that are not in accordance with the approved plans and purposed of the Project within the ROW, as mandated by RA 10752 and its IRR. Parallel to the issuance of NoT, DOTr will provide a notice of information with regards to the location of the final alignment to concerned LGUs. This notice will serve as the basis of LGU to revoke the building permit for those structures that are under construction and to halt issuance of building permit within the approved project alignment subject to observance of due process. A sample Notice of Taking (NoT) is attached as Appendix 4.

274. In this manner, payment of compensation can be expedited if the property owner can submit supporting documents to DOTr upon receipt of NoT. DOTr may start the issuance of the Offer to Buy (OTB) once it accepts the property appraisal and the detailed design phase RAP is approved by JICA/ADB. The OTB contains the (i) amount that DOTr offers to the PAPs for their affected property(ies); and (ii) gives the PAPs 30 days to submit the “return slip” from the OTB along with the supporting documents to prove their ownership of the property signifying their acceptance of the offer . 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 PAP refuse or fail to submit the return slip and supporting documents within 30 days, DOTr through the Office of the Solicitor General (OSG) may initiate expropriation proceedings.

275. If entire lot will be acquired for ROW, the sale may proceed directly to the execution of the Deed of Absolute Sale, otherwise if it is a partial land acquisition, then a lot subdivision plan/map will be submitted to DENR-LMB for approval prior to the execution of Deed of Absolute Sale.

276. For affected land with structures, improvements and crops/trees, DOTr and the AP will, upon acceptance of offer and verification of ownership, execute either a Deed of Absolute Sale (DOAS), or DOAS with Permit to Enter (PTE) and Agreement to Demolish and Remove Improvement (ADRI). Once the DOAS, PTE and ADRI have been executed, DOTr may proceed to payment of compensation. A sample ADRI is attached as Appendix 6.

277. For both cases APs with complete documents will be compensated at 100% payment for land, improvements, crops and trees. For PAPs with tax property arrears, payment will be 100% of the amount, less the RPT arrears paid directly to LGU30.

278. Should the AP need financial assistance to settle his/her accounts (i.e. RPT arrears, mortgaged property), DOTr may issue an advance payment upon the PAP’s request.

279. For PAPs with EJS cases that are considered curable, 50% of compensation for land and 100% for improvements/structures and crops/trees will be paid in advance to PAPs. Any remaining amount will be paid in full prior to displacement of PAPs.

280. For APs with Extra Judicial Settlement (EJS) cases that are considered incurable, DOTr will initiate filing of expropriation cases 31 . APs may draw compensation for

30 Real property taxes, as mandated by law are taxes on real properties, paid on an annual basis to respective local government units. APs who need to settle RPT arrears of significant amounts equivalent to 10% or more of the replacement value of their affected property will be eligible to be included in the Livelihood Restoration and Improvement Program. 31 Incurable EJS cases refer to those wherein it is deemed not possible to reach an agreement outside of the court process among rightful heirs and the only remedy would be for them to enter judicial process to settle partition of estate.

102 improvements/structures and crops/trees from the proper Court. DOTr will provide necessary rental subsidy and other entitlements prior to displacement.

281. 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 7 of this RAP along with the Guidelines for Dismantling Structures). If the documents are complete and verified at that time, the AP will receive full compensation for all the affected properties including crops and trees.

282. Figure 5-1 illustrates the flow of right-of-way acquisition including Negotiated Sale and Expropriation Proceeding as explained in Sections 6.4.1 and 6.4.2 here.

Figure 5-1: DOTr Land Acquisition Swimlane

G. Process of Expropriation

283. For affected land with structures, improvements and crops/trees, DOTr and the AP will, upon acceptance of offer and verification of ownership, execute either a Deed of Absolute Sale (DOAS), or DOAS with Permit to Enter (PTE) and Agreement to Demolish and Remove Improvement (ADRI). Once the DOAS, PTE and ADRI have been executed, DOTr may proceed to payment of compensation. In the event that the AP refuses or fails to accept the compensation in the negotiated sale or refuses to cooperate or submit the documents necessary for payment, DOTr will initiate expropriation proceedings. There might be other cases wherein it may be necessary for DOTr to initiate expropriation proceedings, including i) ownership disputes in the event of multiple ownership/claimants, ii) owner is unable to be located, and iii) owner cannot be identified.

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284. For expropriation cases, a check will be deposited to the court upon the filing of complaint by the DOTr through the OSG, as its legal counsel. For land, the amount of compensation will be computed based on the latest Bureau of Internal Revenue (BIR) zonal value. For structures and improvements, the basis of computation will be in terms of full replacement cost as defined in R.A. 10752 and its Implementing Rules and Regulation (IRR). Loss of non-land assets and improvements will be compensated based on its current market value.

285. The Court will immediately issue an order for DOTr to take possession of the property (also referred to as a Writ of Possession) and with order of demolition (for structures, improvements, crops and trees) the PAP will be required to vacate the property. DOTr will be able to start implementation of the project as provided in Section 6(a) of R.A. 10752. While the court adjudicates the compensation to be paid, the PAP may, at any time, request the court to release such deposit upon presentation of proof of ownership (Section 6(a) R.A. 10752).

286. After the case has been heard by the court, the court will order DOTr to pay the difference, if any, between the initial compensation and the just compensation as determined by the Commissioners assigned by said court. DOTr will pay the necessary documentary stamp tax and registration fees while the PAP will shoulder the CGT and any unpaid RPT. If compensation is less than replacement cost, the DOTr will apply a mitigation measure to reach replacement cost.

287. Based on Rule 16 Section 1(h) of the 1997 Rules of Court on Civil Procedures, the plaintiff (DOTr) can withdraw the case any time before the filing of the answer by the defendant (PAPs). If the answer has been filed, there has to be a joint filing by DOTr and the owner to withdraw the case (Section 2, Rule 17 of the 1997 Rules of Court on Civil Procedures).

288. In both cases, the acquisition mode would revert back to Negotiated Sale, which will entitle the owner to payment at current market value for land (as indicated in DOTr’s OTB), free of taxes, including CGT, and registration fees, replacement cost for structures and improvements, and market value for crops and trees.

289. If no motion to dismiss as above described is filed, expropriation proceedings will continue. Once the court decision becomes final, executory acquisition mode (expropriation) cannot revert back to any other mode.

290. Where APs agree to the negotiated sale but are unable to gain the necessary documents to show proof of ownership, DOTr may pursue a joint motion in the court for a compromised judgement reflecting the agreed amount – on a case-by-case basis and in good faith. DOTr will provide assistance to APs whose lands will be subjected to EJS. This will be done through the Help Desk that will be established at each LGU prior to the issuance of the NoT. Thus, early issuance of the NoT will support PAPs to have enough time to complete the EJS process prior to issuance of the OTB letter. If PAPs are unable to complete the EJS before the expropriation proceedings are heard by a court, DOTr will pay the just compensation as determined by the court, as well as any required taxes including CGT, except for any unpaid RPT.

H. Required Documents for Payment of Compensation

291. For land to be acquired through negotiated sale, the landowner(s) are required to submit the following documents prior to full payment:

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a. Owner’s duplicate copy of title (Original Certificate of Title (OCT), or Transfer Certificate of Title (TCT)), or Certificate of Land ownership Award (CLOA) or Copy of the Original Land Patent covering said lot; b. Tax Declaration of Lot; c. Tax Declaration of Improvements (if any)/Certificate of No Improvement; d. Tax Clearance; e. Two government issued/valid Identification Cards (IDs).

292. 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).

293. 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.

294. 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.

295. 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.

I. Income Loss

296. The owners of micro, small, medium, and large businesses, including their respective employees, will present the following:

297. 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.

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298. For affected micro business with annual income of PhP 250,00032 and below: a. Two valid government IDs; and b. Validation of claims and issuance of certification from concerned RIMC.

299. 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.

J. Assistance to Obtain Necessary Documents

300. 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 each LGU. Template waiver forms and barangay certification/letters will also be available from the Help Desk to support APs in obtaining the required Paperwork.

K. Payment Schedule

301. The schedule of payment to Legal Property Owners is summarized in the following table. Table 5-2: Payment Schedule for Legal Property Owners

Documents to be Exchanged Timing for PAPs to PAP Category 1st Payment 2nd Payment with DOTr vacate Prior to Payments

A. Negotiated Sale Case 1. PAP with complete documents • 100% of the land including Owner’s Copy of the • DOA Following full Title (PAPs who submitted compensation paid • 100% for S proofs of ownership after the N/A (after the 1st • ADRI issuance of NoT and the structures payment as there is 33 documents have been , crops only one payment) subjected to due diligence by and trees DOTr). • 90% of Case 2. the land PAPs with complete documents Following full • • DOA but only submitted these after 100% for compensation paid 10% of the land S issuance of OTB, and as such the (after the 2nd DOTr needs to undertake due structures • ADRI payment) diligence first. , crops and trees • Following full Case 3. 100% for • DOA compensation paid PAPs with complete documents land and NA S structure/ (after the 2nd except tax clearance. • ADRI improvem payment)

32 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. 33 ADRI is necessary only if there are affected structures.

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Documents to be Exchanged Timing for PAPs to PAP Category 1st Payment 2nd Payment with DOTr vacate Prior to Payments ent less the amount of RPT arrears paid by DOTr directly to the LGU • 100% for the structures , crops and trees • 50% of the land Following full • • DOA Case 4. 100% for compensation paid 50% of the land S PAPs/cases which require EJS. the (after the 2nd structures • ADRI payment) , crops and trees B. Expropriated Property An initial compensation at an amount After issuance from computed at 100% of lot price based on the court of the Writ latest BIR zonal value for land, of Possession to replacement cost for structure and DOTr. This is roughly improvements, and market value for crops 10 days after filing and trees. A check will be deposited to the the expropriation court in favor of the owner upon filing of case and is before expropriation case by DOTr. the final court While the court adjudicates the decision. compensation to be paid through its Applicable to all cases. appointed commissioners to determine the At the same time that just compensation, the PAPs may, at any the Writ of time request the court to release the Possession is amount of the deposited check upon issued, PAPs will be presentation of proof of ownership. able to claim the After the case has been heard by the deposited amount of court, the Court will order DOTr to pay the money held by the difference, if any, between initial court, if they can compensation and the just compensation prove ownership. as determined by the court.

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

L. Entitlement Matrix

303. Table 5-3 shows the Entitlement Matrix providing details for compensation and entitlements for affected persons and households.

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Table 5-3: Entitlement Matrix

Type of Impact Loss of Land

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

1a APs who have full title being OCT or TCT or Entitlements: Entitlements: Emancipation Patents (EP) or (CLOA). Cash compensation for loss of land at full replacement cost Cash compensation for portion of land at full replacement 1b APs who are not original patent holders of computed at current market value, free of taxes, including cost computed at current market value, free of taxes, lands granted through C.A. 141 (i.e. those CGT, DST, transfer tax, and registration fees, except RPT including CGT, DST, transfer tax, and registration fees, who have bought the patent for the land arrears. except RPT arrears. previously granted through C.A. 141) and where any previous acquisition is not OR Easement Agreement: through a gratuitous title (e.g., donation or If feasible, land for land will be provided in terms of a new If the portion of a lot required for a ROW is minimal, such succession) (C.A. 141, Chapter 7). parcel of land of equivalent productivity, at a location that the expenses for surveying or segregating that portion acceptable to APs. from the main lot would be more than the value of the part of 1c For untitled land, APs who can present: (a) the lot needed, the DOTr may, if the owner agrees, resort to Tax Declaration showing his and his the mode of easement of ROW (Title VII, Chapters 1 and 2 predecessors’ open and continuous Civil Code of the Philippines). In this case, cash possession of the property for at least 30 compensation for the value of the portion of the land years, (b) a certification from the DENR that subjected to easement agreement computed at latest BIR the land is alienable and disposable, and (c) zonal value, with owner retaining ownership of said portion other documents that may show proof of of land (Article 630, Chapter 1, R.A. 386/ Civil Code of the ownership (RA 10752). Philippines). 1d APs who were former ISFs but now hold title of land as a result of a government socialized housing program. 1e APs who were former ISFs and government Entitlements: Entitlements: socialized housing program beneficiaries Same as above, with less any amount still owing to the title. Same as above. whose titles are still under the name of the organization. 1f APs who are original patent holders of lands Entitlements: Entitlements: granted through Commonwealth Act (C.A.) No compensation for land up to 20 m width if patent was No compensation for the affected portion of land within 20 m No. 141 and the land has not been granted prior to 1975, and up to 60 m width for patents width if patent was granted prior to 1975 and up to 60 m subjected to previous government exercise width for patents granted thereafter. In excess of of its lien. government lien, follow other entitlements for marginal/partial impacted 1a PAPs.

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Type of Impact Loss of Land

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

granted thereafter34 . In excess of government lien, follow other entitlements for 1a. 1g APs whose properties are mortgaged Entitlements: Entitlements: (‘properties’ may be land, land and building, Same as above but check payment will be split into as DOTr to request mortgagee to segregate the portion of the or building within a condominium follows. property to be acquired for ROW from the rest of the association such as an apartment.) 1. For mortgagee APs – Full replacement cost as defined property. above, less remaining amortization; 1. Full replacement cost for portion of the mortgaged 2. For mortgagor – Remaining amortization amount, property to be acquired, less remaining amortization; computed based on original amount of principal, less 2. Pay Mortgagor the remaining amortization amount interests for remaining amortization period needed to release portion of mortgaged property 1h APs whose properties are ordinary assets35 Entitlements: Entitlements: (i.e., property is used in trade or business or Cash compensation for loss of land at full replacement cost Cash compensation for portion of land at full replacement primarily held for sale). computed at current market value, free of taxes, including cost computed at current market value, free of taxes, Value Added Tax (VAT), DST, transfer tax, and registration including VAT, DST, transfer tax, and registration fees, fees, except Expanded/Creditable Withholding Tax36 (EWT) except EWT3 and RPT arrears. and RPT arrears. Implementation Considerations: • DOTr will notify property owners early to enable time to gather necessary paperwork as proof of ownership. APs may seek guidance from DOTr through the Help Desk at the LGU on documentation requirements. • If the original patent granted under CA 141 has been subject to Government exercise or lien, it cannot be subject to lien a subsequent time. • PAPs can request DOTr to pay the RPT arrears in advance to the LGU. This amount will be deducted from the compensation payment, except when the arrears is higher than the total compensation amount. • The land for land option refers to productive land only and will be considered on a case by case basis considering the potential complexities in transferring titles, in order to ensure that there is not a large gap between acquisitions of land and providing the new parcel of land to the PA P. • APs who need to settle RPT arrears of significant amounts equivalent to 10% or more of the replacement value of their affected property will be eligible to be included in the LRIP. • Non-viability of remaining portion will be determined by DOTr in consultation with the PAP. If the remaining portion of land is not viable for continued use for the original purpose or if more than 80% of the entire land is to be acquired, the entire plot will be acquired subject to agreement of the PA P.

34 For example, if the affected land was granted through CA 141 prior to 1975 and the land to be acquired for the right of way was a strip of land up to 20m then the PAP would not be entitled to compensation for the land. If, however, the land to be acquired from the same land was wider than 20m (say 50m) then the PAP would be entitled to compensation for any area over the 20m width (in this case 30m) provided other required conditions are met. For land granted through CA 141 from 1975, then the any land acquired up to a width of 60m would not be compensated and same principle would apply as to the 20m example. 35 As defined in Section 2.b of BIR Revenue Regulation (RR) 7-2003. As stipulated in the same section, this also includes real properties acquired by banks through foreclosure sales. 36 Sales of properties by a corporation which is registered with and certified by the HLURB or HUDCC as engaged in socialized housing project with the selling price as determined and adjusted by HLURB are exempted from payment of EWT (Section 2.57.5 of the BIR Revenue Regulation 2-98).

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Type of Impact Loss of Land

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

• In the event that the appraised value is lower than the BIR zonal value, DOTr will consider re-appraisal of the property. • In the event that there are fees associated with the mortgager’s segregation of the portion of the property to be acquired for the ROW from the rest of the property, such fees will be borne by DOTr.

Type of Impact Loss of Structure Entitled Person (Severe/Full) (Marginal/Partial) 2a APs who own structures/improvements and Entitlements: Entitlements: also own the land where the structure is • Cash compensation for the entire structure • Cash compensation for the affected portion of the located. equivalent to full replacement cost without structure at full replacement cost without 2b APs who own structures/improvements but deduction for the depreciation or salvaged deduction for depreciation or salvaged materials. do not own the land where the structure is materials. Replacement cost includes repair and other located on and are not a low-income • In cases where the affected structures are being associated costs for restoring damaged portion of household and/or they own a dwelling used as a dwelling by the structure owner and their the structure. elsewhere. family residing there, self-relocation or assisted • Cash allowance for repair costs commensurate resettlement as follows: with actual costs. 1. Self-relocation assistance • Rental subsidy for a maximum of three months will (i) Rental subsidy equivalent to five months of rental be provided if it is determined and agreed between payment for an alternative dwelling; the PAP and DOTr PMO that retrofitting the (ii) Cash compensation to cover the cost of connecting structure will require the PAP to temporary vacate utilities such as water and power; the place. (iii) Transportation to new dwelling inclusive of transportation of belongings; and (iv) Food allowance of PhP150 per person for three days relocated or a food parcel of equal or greater amount (as determined by DOTr).

AND 2. Assisted-resettlement (i) Option to avail of government economic and medium cost housing program under the HDMF otherwise known as Pag- IBIG Fund. The Pag-IBIG housing loan may be used to finance any one or a combination of the following: - Purchase of a fully-developed residential lot or adjoining residential lots not exceeding 1,000 m2; - Purchase of a residential house and lot, townhouse or condominium unit;

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- Construction or completion of a residential unit on a residential lot owned by the member; - Home Improvement; and/or - Refinancing of an existing housing loan.

Implementation Considerations: • The amount of the rental subsidy by locality will be determined by DOTr through the replacement cost study, prior to the displacement of PAPs. • The DOTr will enter into an agreement with Pag-IBIG so that available housing programs can be made accessible to eligible PAPs through their respective LGUs. Elderly ISFs without any next of kin that do not meet Pag-IBIG program eligibility criteria may have the option to avail of affordable public rental facility arranged by DOTr. Rental allowance/ subsidy will be provided while awaiting availability of public rental facility. • PAPs will not be responsible for demolition of structures. PAPs 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 PAPs will be entitled to keep salvageable materials without deduction from compensation. • Eligibility requirements for Pag-IBIG Loan: (i) active member of Pag-IBIG Fund; (ii) have made at least 24 monthly savings (the lump sum payment of the required 24 monthly savings is allowed); (iii) have the legal capacity to acquire and encumber real property; (iv) have passed satisfactorily background credit/ and employment/business checks of Pag-IBIG Fund; (v) have no outstanding Pag-IBIG short-term loan in arrears at the time of loan application; (vi) have no Pag-IBIG housing loan that was foreclosed, cancelled, bought back due to default, or subjected to dacion en pago; and (vii) if with existing Pag-IBIG housing loan, either as principal or co-buyer/borrower, it must be updated. • The maximum loanable amount is PhP6M based on the lowest of the following: (i) member’s actual need; (ii) desired loan amount, (iii) loan entitlement based on capacity to pay; and (iv) loan-to-appraised value ratio. • Pag-IBIG loan term or maximum repayment period is 30 years. • Normal loan application may either be through on-line scheduling of appointment or walk-in at any Pag-IBIG branches. In the case of PAPs, DOTr will make necessary agreement with the HUDCC so that the PAPs can be assigned a priority lane or similar arrangement for faster processing of their loan. • With regards to marginally/partially affected structures, if the affected portion results in the structure no longer being suitable for a dwelling for the structure owner and residents, then self-relocation or assisted resettlement options apply. • Compensation and entitlement to structure shall also apply to those whose structure/s will be affected by the provision of setback. • Non-viability of remaining portion will be determined by DOTr in consultation with the PAP.

Type of Impact Loss of Structure Entitled Person (Severe/Full) (Marginal/Partial) 2c APs who are renting, leasing or sharing the Entitlements: Entitlements: structure/improvement, and do not have a • No compensation for land or structures. • No compensation. 37 low-income. • In cases where the structures are being used as • In the case of residential dwellings, if the affected residential dwellings, self-relocation or assisted portion results in the structure no longer being resettlement as follows: suitable for a dwelling, then self-relocation or 1. Self-relocation assistance assisted resettlement option apply. (i) Rental subsidy equivalent to five months of rental • Rental subsidy for maximum of 3 months will be payment for an alternative dwelling; provided if it is determined and agreed between

37 For this project, low income families are those whose combined family monthly income is below PhP 40,000.

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(ii) Cash compensation to cover the cost of connecting the AP and DOTr PMO that retrofitting will require utilities such as water and power; temporary vacating the place. (iii) Transportation to new dwelling inclusive of transportation of belongings; and (iv) Food allowance of PhP150 per person per day for three days or a food parcel of equal or greater amount (as determined by DOTr).

2. Assisted resettlement (i) Option to avail of government economic and medium cost housing program under the HDMF otherwise known as Pag- IBIG Fund. The Pag-IBIG housing loan may be used to finance any one or a combination of the following: - Purchase of a fully-developed residential lot or adjoining residential lots not exceeding 1,000 m2; - Purchase of a residential house and lot, townhouse or condominium unit; - Construction or completion of a residential unit on a residential lot owned by the member; - Home improvement; and/or - Refinancing of an existing housing loan. (ii) Cash compensation to cover the cost of connecting utilities such as water and power; (iii) Transportation to new dwelling inclusive of transportation of belongings; and (iv) Food allowance of PhP150 per person relocated for three days or a food parcel of equal or greater amount (as determined by DOTr). Type of Impact Loss of Structure Entitled Person (Severe/Full) (Marginal/Partial) 2d PAPs who are renting, leasing or sharing the Entitlements: structure/improvement, and have a low- • No compensation for land or structures. 38 income. • In cases where the structures are being used as residential dwellings, self-relocation or assisted resettlement as follows: 1. Self-relocation assistance

38 For this project, low income families are those whose combined family monthly income is below PhP 40,000.

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(i) Rental subsidy equivalent to five months of rental payment for an alternative dwelling; (ii) Cash compensation to cover the cost of connecting utilities such as water and power; (iii) Transportation to new dwelling inclusive of transportation of belongings; and (iv) Food allowance of PhP150 per person per day for three days or a food parcel of equal or greater amount (as determined by DOTr).

OR 2. Assisted resettlement (i) Option to avail of government socialized housing (if qualified); (ii) Cash compensation to cover the cost of connecting utilities such as water and power (if not provided by KSA/LGU); (iii) Transportation to new dwelling inclusive of transportation of belongings; and (iv) Food allowance of PhP150 per person for three days relocated or a food parcel of equal or greater amount (as determined by DOTr).

If completion of the socialized housing at the relocation site will not be ready in time, rental subsidy will be provided. Type of Impact Loss of Structure Entitled Person (Severe/Full) (Marginal/Partial) 2e APs who own structures/improvements but Entitlements: Entitlements: do not own the land where the structure is • Cash compensation for entire structure equivalent • Cash compensation for affected portion of the located on, and are a low-income to full replacement cost without deduction for structure equivalent to full replacement cost household.39 depreciation or salvaged materials. without deduction for depreciation or salvaged 2f APs who own structures/improvements and • In cases where the structures are being used as materials. were former ISFs but now hold title of land dwellings, self-relocation or assisted resettlement • Cash allowance for repair costs commensurate through government socialized housing as follows: with actual costs. programs. 1. Self-relocation assistance • Rental subsidy for maximum of three months will (i) If PAP opts to move to an existing property (verified by the be provided if it is determined and agreed between receiving LGU), in-kind transportation to be provided the PAP and DOTr PMO that retrofitting will require inclusive of transportation of belongings; and

39 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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(ii) Cash compensation to cover the cost of connecting temporary vacating the place. utilities such as water and power; (iii) Food allowance of PhP150 per person per day for three days or a food parcel of equal or greater amount (as determined by DOTr).

OR 2. Assisted resettlement (i) Option to avail of government socialized housing program of a partner government Key Shelter Agency (KSA) (if qualified); If not qualified for socialized housing, then the entitlements for assisted resettlement as per 2h apply. (ii) Cash compensation to cover the cost of connecting utilities such as water and power (if not provided by KSA/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 (iv) Food allowance of PhP150 per person per day or a food parcel of equal or greater amount (as determined by DOTr) for three days during relocation to the interim rental units and during relocation to the permanent relocation site. • If completion of the socialized housing accommodation will not be ready by time of displacement, rental allowance will be provided. 2g APs who were former ISFs and CMP/NHA Entitlements: beneficiaries whose titles are still under the Same as above deducting any amount still owed to the name of the organization. housing agency. 2h APs who own structures/improvements but Entitlements: do not own the land where the structure is • Cash compensation for entire structure equivalent located, and who have previously availed of to full replacement cost without deduction for government socialized housing program depreciation or salvaged materials. (returnees) and are deemed ineligible by the • In cases where the structures are being used as KSA to participate in the socialized housing dwellings by the structure owner and his/her family program. residing there, self-relocation or assisted resettlement as follows: 1. Self-relocation assistance (i) If PAP opts to move to an existing property (verified by the receiving LGU), in-kind transportation to be provided inclusive of transportation of belongings;

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(ii) Cash compensation to cover the cost of connecting utilities such as water and power; and (iii) Food allowance of PhP150 per person per day for three days or a food parcel of equal or greater amount (as determined by DOTr).

2. Assisted resettlement (i) Option to avail of affordable public rental housing accommodation provided by DOTr in partnership with KSA, NGOs and/or LGUs; (ii) Cash compensation to cover the cost of connecting utilities such as water and power (if not provided by KSA/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 (iv) Food allowance of PhP150 per person per day or a food parcel of equal or greater amount (as determined by DOTr) for three days during relocation to the interim rental units and during relocation to the permanent relocation site.

• If completion of the public rental housing accommodation will not be ready by time of displacement, rental allowance will be provided. 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. • Payment of compensation for structures and improvements may, upon the request of APs, be either: i. Fully paid in cash; ii. Used as an advance payment for their housing loan amortizations; or iii. Held in abeyance until they are transferred to the relocation site. • AP’s preference based on the above shall be stipulated in the respective 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 an Escrow Account 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. • For APs who own untitled condominium units, DOTr shall oblige developers, particularly if these were engaged by key shelter agencies, to make the necessary arrangements to effect release of Certificate of Condominium Title to PAPs who have duly paid full amount in consideration. • Any fees required to be paid to community organizers to organize APs into homeowners or community association will be paid by DOTr. • 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.

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2i APs who occupy temporary dwellings40. Entitlements: Entitlements: Provision of assisted resettlement options as detailed for 2d No compensation for structure. provided that they present a certification from their respective Barangay Captains and Head of LGU’s Urban Poor Affairs Office (UPAO) or the Local Housing Office (LHO) or equivalent stating that they are bona fide residents and have occupied the project affected area prior to the applicable cut-off date. PAPs that do not meet the socialized housing program eligibility criteria but are able to present Certification may have the option to avail of affordable public rental facility through partnership with KSA, NGOs, and/or LGUs, to the extent possible. If completion of the public rental facility will not be ready by time of displacement, rental subsidy will be provided. Implementation Considerations: • Any fees required to be paid to community organizers to organize APs into homeowners or community association will be paid by DOTr • The amount of the rental subsidy by locality will be determined by DOTr through market research. • 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 businesses (e.g. Entitlements: small shops, sari-sari store, carinderia, Cash compensation for income losses during transition period corresponding to stoppage of business activities, not to food stand, repair shop, etc.) with or exceed six months.41 without permits from the LGU concerned. Cash compensation to cover transactional (e.g., permitting) cost of re-establishing the business elsewhere. Assistance to transport belongings to new location. Assistance in securing soft loan to enable self-rehabilitation for those restarting business elsewhere. Participation in the Livelihood Restoration and Improvement Program (LRIP).

For APs who are leasing space from property owners: For those 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.

40 Moveable sleeping materials located within the project right-of-way (e.g., tent, cart, tarpaulin) 41 Preferred mode of business transition is to help set up affected persons with an alternative but similar business with minimal transition period. Options have to be considered by the PAPs with no delay.

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3b APs who own small, medium and large Entitlements: business establishments42 Cash compensation for income losses during transition period corresponding to stoppage of business activities, not to exceed six months.43 Cash compensation to cover transactional (e.g., permitting) cost of re-establishing the business elsewhere. Assistance to transport belongings to new location. Assistance in securing soft loan to enable self-rehabilitation for those restarting business elsewhere.

For APs who are owners of small, medium or large commercial establishments built inside own affected property: Acquire the property but allow the owner of the structure and business use of the land for a defined period to give the owner time to transfer, subject to agreement on a case to case basis.

For APs who are owners of commercial/business entities and are leasing affected space/property: For those who will continue with their commercial and 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. Entitled Person Loss of income/Livelihood 3c Vendors with no stalls44 Entitlements: Assistance in identification of, and transportation to, an alternative site to continue economic activity, e.g. assistance in (a) shifting to areas within the same LGU where there is no construction, (b) identify alternative sites to sell, and (c) link to existing government livelihood programs. 3d Trolley drivers Entitlements: Transitional support of minimum wage for four months45. Participation in the LRIP. Provision of skills training in anticipation of available job positions during construction and operation of the project. Training allowance46. Priority in employment during construction and operation stage of the project. 3e APs who are employed in a displaced Entitlements: commercial, agricultural or industrial Cash compensation for net salary of two months based on actual salary. For APs whose income is below or within the establishment and lose their job due to minimum wage, cash compensation for four months based on prevailing minimum wage47.

42 Categories of business are based on capitalization and number of employees, with (1) PhP 3,000,001-15,000,000 capitalization and 10-99 employees for small businesses, (2) PhP 15,000,000-100,000,000 capitalization and 100-199 employees for medium businesses, and (3) More than PhP 100,000,000 capitalization and over 200 employees for large businesses. as defined under Small and Medium Enterprise Development (SMED) Council Resolution No. 01 Series of 2003 dated 16 January 2003. 43 Preferred mode of business transition is to help set up PAPs with an alternative but similar business with minimal transition period. Options have to be considered by the PAPs with no delay. 44 Pertains to vendors who do not have permanent vending structure (e.g. carts, moveable tables, etc.) 45 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 PAPs who are attending the training 46 Transportation allowance during training provided only if necessary. 47 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 PAPs who are attending the training.

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closure of business or laying off as a result Participation in the LRIP. of minimized operation. Provision of skills training in anticipation of available job positions during construction and operation of the project. 3f APs who relocate to a place that makes Training allowance48. former wage-based livelihood Priority in employment during construction and operation stage of the project. opportunities inaccessible and as a result need to find new employment or source of livelihood.

3g APs who relocate to a place that makes it Entitlements: more expensive to commute to their place Commuting allowance of an amount based on additional costs, but not exceeding PhP 5,000 per household per month for of work and they retain their employment. three months (not entitled to 3e or 3f).49 Entitled Person Loss of income/Livelihood 3h APs who are agricultural tenants and Entitlements: sharecroppers. Financial assistance equivalent to the average gross harvest for the last three years and not less than P 15,000 per hectare (EO 1035). 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. In case of dispute over verbal agreement with sharecropper, certification from elected representatives will be considered as legal document. Participation in the LRIP. 3i APs who are landowners or lessee who Entitlements: are directly engaged in 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). 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. 4a Government Agency/LGU owners of Entitlements: affected public structures on public land. Compensation between agencies based on mutual agreement. Transportation to be provided inclusive of transportation of belongings. 4b Government Agency/LGU owners of Entitlements: affected public structures on private land. Cash compensation for structures at full replacement cost. 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 Entitlements: of ownership status of affected land). Cash compensation at replacement cost for affected fruit and timber trees.

48 Transportation allowance only if necessary. 49 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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5b Owners of crops (regardless of ownership Entitlements: status of affected land). Compensation for the affected perennial and annual crops at market value of the crop at full-term harvest time50. 5c Owners of aquaculture produce (regardless Entitlements: of ownership status of affected land). Compensation for aquaculture stock computed at harvest time51.

5d Owners of other affected non-land assets Entitlements: and improvements (not mentioned in 5a, 5b Compensation at replacement cost for affected non-land assets and improvements (not mentioned in 5a, 5b, 5c). or 5c). 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: • Determination of replacement cost of trees will take into account age and productivity of the tree. • 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. • Coordination with land owners, agricultural farms and/or fishpond operators to advise them regarding the schedule of clearing. Entitled Person Additional Hardship Due to Vulnerability 6a APs who are classified as any of the Entitlements: following vulnerable groups: poor (based on In addition to applicable compensation: the poverty income threshold), elderly and • Inconvenience allowance in the amount equivalent to PhP 10,000 per household. solo parent-headed households 52 , and • For the families with persons who need special assistance and/or medical care, respective LGUs to provide nurses persons with disabilities. or social workers to help them before and during the resettlement activity. • 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. • Support and/or maintain access to government welfare programs. • Inclusion in the LRIP. Entitled Person Temporary Impacts due to Construction 7a PAPs who have legal rights to the land. Entitlements: • Restoration of land within three months of completion of use. 7b PAPs without legal rights to affected land • Compensation for affected non-land assets at full replacement cost commensurate with rates set out in the RAP. but owners of affected non-land assets. • Cash payment for rent of the affected land at prevailing rental rates in the location of the property until the property is restored.

50 Compensation for crops is for one harvest only. Should the PAP or someone else plant on the project ROW after validation in the barangay, it is no longer eligible for compensation. 51 APs will receive compensation for land and compensation for improvements. If the remaining area (remaining fish pond area) is no longer viable, PAPs will be compensated for entire area. 52 Solo-parent headed households are defined as a solo-parent (male or female) who is the head of a household, whom also has dependent children under the age of 18 years.

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7c Severance impacts and/or barrier effect Entitlements: during construction disrupting lateral The project will provide for crossings and continued access. movement (access) or access to property. 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. 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 the Environment Management Plan.

Entitled Person Unanticipated Involuntary Resettlement Impacts 8a Eligible affected persons. 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 landlock, 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 landlock or provision of access road or required setback shall be eligible to all applicable entitlements and resettlement and/or LRIP provided for in this R A P. Implementation Considerations: Entitlements to be prepared in such circumstances are subject to approval of the DOTr and concurrence by JICA and ADB. Expropriation proceeding 1. An initial compensation at an amount computed at 100% of lot price based on latest Bureau of Internal Revenue (BIR) zonal value for land, replacement cost for structures and improvements, and market value for crops and trees (less any unpaid real property tax and capital gains tax) in the form of a check will be deposited to the court in favor of the owner upon filing of expropriation case by DOTr. The Court will immediately issue an order to take possession of the property and start implementation of the project (Section 6(a) R.A. 10752). 2. While the court adjudicates the compensation to be paid, the APs may, at any time request the court to release such deposit upon presentation of proof of ownership (Section 6(a) R.A. 10752). 3. After the case has been heard by the court, the Court will order DOTr to pay the difference, if any, between initial compensation and the just compensation as determined by the court. 4. At this time, DOTr will also pay any required taxes and fees (such as notary fees) where applicable with the exception of CGT and any unpaid RPT. 5. If compensation is less than replacement cost, the DOTr will apply a mitigation measure to reach replacement cost. 6. Other applicable allowances Implementation Considerations: Based on Rule 17, Section 1 of the 1997 Rules of Court on Civil Procedures, the plaintiff (DOTr) can withdraw the case by filing a notice of dismissal any time before service of the answer by the defendant (owners). If the answer has been served, the case shall not be dismissed at the plaintiff’s instance except upon approval of the court and upon such terms and conditions as the court deems proper (Section 2, Rule 17 of the 1997 Rules of Court on Civil Procedures). In both cases, the acquisition mode would revert back to negotiated sale, which will entitle the owner to payment at current market value for land (as indicated in DOTr’s letter offer), free of taxes, including CGT, and

120 registration fees, replacement cost for structures and improvements, and market value for crops and trees. If no notice or motion to dismiss as above described is filed,expropriation proceeding will continue. Once the court decision becomes final and executory acquisition, mode (expropriation) cannot revert back to any other mode. Where the AP agreed to the negotiated sale, but was unable to gain the necessary documents to show proof of ownership, DOTr and the AP may manifest before the court, upon filing of the expropriation case and making the necessary deposit, that the offer amount is not in dispute. DOTr shall then pursue the case in good faith and pay just compensation to the rightful owner/s as decided by the court. DOTr will provide assistance to APs whose lands will be subjected to Extra Judicial Settlement (EJS). This will be done through the Help Desk that will be established at each LGU prior to the issuance of the Notice of Taking (NoT). Early issuance of the NoT is highly recommended for APs to have enough time to complete/progress EJS process prior to issuance of the Letter Offer to Buy, which only gives them 30 days to accept offer, after which expropriation proceedings can commence. If APs are unable to complete the EJS before the expropriation proceedings are heard by a court, DOTr will pay the just compensation as determined by the court, as well as any required taxes including CGT, except for any unpaid RPT.

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6. CHAPTER 6: RESETTLEMENT PLANS FOR RESIDENT LANDOWNERS

304. This chapter describes the resettlement plan specifically for resident landowners in Malolos, Calumpit, Apalit, Minalin, Sto. Tomas, San Fernando and Angeles. There are 514 households with affected house structures.

305. All qualified APs have been assessed and validated by DOTr with assistance from the respective 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).

306. The non-house owners such as renters or informal settlers were noted to be amongst those to be displaced from their places of residence owned by the landowners and they will be covered in the separate RAP for non-land owners.

A. Beneficiaries of the Relocation Assistance

307. Census of affected households indicate that there are 514 households (2,418 persons) whose houses will be affected by the project. The census survey recorded that these 514 households have legal ownership on the affected property where they currently reside. All households claim to owning the land where their dwelling structures are currently located. Parcellary data shows that some of the households are indeed registered owner of the affected lands while others are registered under a different name. The disparity between claimants and registered owners will be resolved upon presentation of required proofs of ownership during validation period. No non-house owners such as renters or informal settlers were noted to be amongst those to be displaced from their place of residence.

308. All households with affected housing are considered to be fully affected in terms of housing structure and land upon which the house is built and will require to relocate. If such affected households wish to retain the residual portion of their lot that is not required for the project, they may request this of DOTr at the time DOTr issues the Notice of Taking to acquire the property.

309. In terms of vulnerability, there are 242 vulnerable households. These vulnerable households will receive inconvenience allowance of PhP 10,000 per household in addition to applicable compensation due them.

310. Aside from these vulnerable households, there are households with members who would need special care during the actual transfer. In consideration of these PAPs, special assistance in the form of manpower assistance team (MAT) will be provided to help them pack, lift, move, load, unload and unpack their belongings. DOTr will provide MAT to all households.

311. A joint validation (i.e. DOTr, LGU, PNR,) of the affected households and structures was conducted in throughout the alignment and was finished in February 2020. Supplementary consultation interviews via telephone calls were made in May and June 2020, in compliance with movement restictions in the province of Pampanga.

B. Relocation Assistance

312. For landowners who are residing in the affected land, they will be provided Self- Relocation Assistance and additional Assisted Relocation if they request.

313. Self Relocation Assistance. All AHs residing in the PROW will be given Self Relocation Assistance. In this option, PAPs may choose to relocate to their hometown, to a

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relative with residence close to their current sources of living, to rent somewhere near their current location, or to relocate in a permanent dwelling of their choice. PAPs may also use the compensation they received for their affected properties in purchasing new property in their desired location. The forms of assistance are generally geared towards helping PAPs to self- relocate without financial burden. The assistance provided for is a combination of the following:

a. 5-month Rental subsidy, b. Cash compensation to cover the cost of connecting utilities such as water and power, c. Transportation to new dwelling, inclusive of transportation of materials; and d. Food allowance

314. Upon execution of the waiver, APs will be required to provide information about the address and confirmed residential arrangements and submit the following documents summarized in the following table within 30 days to be vetted by the RIMC.

Table 6-1: Required Documents for Compensation Under Self-Relocation

Requirements for Legal/Formal APs

• Address of the proposed location (rental structure and permanent dwelling area) with location map, along with documentation confirming residential arrangements such as: - Lease/Rent Agreement/Contract - Proof of ownership, if the property is owned/recently acquired by the PAP (i.e. Deed of Sale, Title) - Affidavit from the relative, if property is owned by a relative

315. These documents will be validated by the RIMC. Based on the result of the validation, the RIMC will endorse payment of applicable self-relocation entitlements. The DOTr PMO will initiate the execution of DOAS, ADRI and Entry Permit. Upon signing of the ADRI, full compensation for properties and entitlements will be released to the AP prior to displacement, as well as the certification from the DOTr that the AP is project affected. Payment of the 5- month rental subsidy in this option will be at one time only. Once the AP has moved out of the PROW, structures and improvements will be dismantled. However, the APs will be given the option to undertake self-demolition, provided this can be done safely and in accordance with local government regulations, and keep salvaged materials, without deduction from compensation due them. APs will be required to apply for and obtain a demolition permit from their local LGU and abide by all required safety requirements. Table 6-2: Rental Subsidy for Self-Relocation

Item Details Rental Subsidy 5 months Amount of Subsidy PhP 15,000 per month Payment Method One-time payment via check

316. PAPs who wish to avail of permanent housing through a housing program will be assisted by DOTr to apply for government economic and medium cost housing financing program under the HDMF, otherwise known as Pag-IBIG Fund. Such assistance will include information about the various programs, application processes and guidance on application preparation. DOTr cannot guarantee the outcome of the applications.

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C. Right of Way Acquisition and Displacement Procedure

317. Issuance of Notice of Taking. Parallel to the issuance of NoT, DOTr will provide copies of the NoT to respective LGUs and pertinent national government agencies so that concerned officials can be made aware of which properties have been served said Notices and as such should not issue any building, construction, development, or business permit that are not in accordance with the approved plans and purposed of the Project within the ROW, as mandated by RA 10752 and its IRR. Upon issuance of Notice of Taking (NOT), the process of ROW acquisition officially begins. This will signal the beginning of validation process for landowners and a chance for them to consult with DOTr through the Help Desk. A sample Notice of Taking (NoT) is attached as Appendix 4.

318. Appraisal by GFI. The Government Finance Institution (GFI) chosen through competitive process may simultaneously conduct the appraisal of affected land, structures and improvements.

319. Issuance of Offer to Buy. DOTr will issue an Offer to Buy (OTB) as part of its right- of-way acquisition process. Affected resident landowners whose ownership will be established during validation, will receive the OTB as well. APs will have 30 days to accept the offer and submit documents. A sample OTB is attached as Appendix 5.

320. Signing of DOAS, ADRI, and Entry Permit. acceptance of the offer and submission of required documents, APs will be required to sign a Deed of Absolute Sale (DOAS), an Agreement to Demolish and Remove Improvements (ADRI), and an Entry Permit. These documents will be executed between the APs and DOTr upon the agreement of the APs. The ADRI will describe the agreement between DOTr and AP as to when the APs will leave the property, schedule of payment, cost of dismantling, and other conditions that the APs and DOTr may have agreed on. A sample ADRI is attached as Appendix 6.

321. Preparation of Relocation Requirements. After the signing of DOAS, ADRI and Entry Permit and prior to the release of compensation, DOTr will prepare the following in preparation for the actual transfer of APs:

a. Transportation arrangements; b. Manpower Assistance Team (MAT) and health case workers; c. List of APs and their corresponding compensation; and d. List of APs who need extra manpower assistance during relocation

322. Release of Compensation and Entitlements. Compensation for affected properties and other entitlements will be paid to APs in full prior to displacement.

323. Structure Dismantling. Structures will be dismantled after the following documents are secured.

a. Under Negotiated Sale: DOAS, ADRI, Entry Permit, Location Plan or Vicinity Map, and Photographs of area before dismantling. b. Under Expropriation Case: Writ of Possession, Certificate of Turn-Over from Sheriff’s Office

324. The Help Desks will be operational until after completion of civil works and until the APs have completely adjusted and settled down in their new residence. Any feedback, issues or concerns gathered from or reported to GRM desk/Help Desk, will be acted upon. If the issue or concern has been resolved or the AP has been assisted, it will be reported to DOTr internal monitoring unit for documentation. Otherwise, the issue will be elevated to RIMC or PIAC to facilitate access on resources and programs at the national level.

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7. CHAPTER 7: PUBLIC CONSULTATION

325. 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.

325. 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.

326. 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

327. 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.

328. In all LGUs, 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).

329. Implementing all resettlement and livelihood activities in cooperation with and assisted by the APs and the Local Government Unit (LGU). Specifically, the relevant local government officials both at the city and barangay levels are informed about the Project through

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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

330. The primary stakeholders of the Project are the following:

a. LGUs since the APs and the project ROW alignment are within its jurisdiction; b. Land and Structure owners within or adjacent to the Philippine National Railways Right-of-Way (PNR ROW); c. The Philippine National Railways; and d. Affected farmers, wage earners, and other operating businesses within the Project ROW.

331. Landowners and structure owners include government-owned and government- controlled corporations 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.

332. 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.

333. 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

334. 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 Proposed Responsible Project Timing and Frequency Mechanism Agency Cycle A. Planning and Pre-Project Implementation IEC Once per LGU, prior to all field activities DOTr 1st SCM Once per LGU, prior to Census & Tagging DOTr Feasibility 2nd SCM Once per LGU, after Census & Tagging DOTr Study 3rd SCM Once per LGU, after approval of Entitlement Matrix DOTr FGD Once per LGU, after Census and Tagging DOTr IEC Once per LGU, prior to all field activities DOTr 1st SCM Once per LGU, prior to Parcellary Survey DOTr 2nd SCM Once per LGU, after updated Census & Tagging DOTr FGD Once per LGU, between 1st and 2nd SCM DOTr Printed materials are prepared to inform PAPs where to address their grievances; schedule of public consultation; procedure & requirements for extra judicial Production and settlement (EJS), and inventory of land, etc. distribution of print 1. Project Information brochure (Tagalog and English DOTr and other versions) Detailed 2. Project poster materials Design 3. Flyers promoting GRM (two types) 4. Help-desk tarps (4 types) 5. Standard DOTr presentation material (audiovisual production) Online disclosure As needed. of project Information disclosed through project Facebook page, DOTr information Twitter and website. As needed. Media Press briefings are meant to disclose key project release/Press DOTr information, key project highlights, and as a risk briefing mitigation measure B. Project Implementation Once for each project affected formal property owner(s) Issuance of Notice after finalization of design and approval of parcellary DOTr of Taking (NoT) survey Right-of-way Grievance/ Help Twice a week per LGU DOTr Acquisition Desk Round Table Discussions on Twice per LGU after issuance of NoT DOTr EJS Livelihood Restoration Consultation on Once per Barangay LGU, prior displacement of and DOTr LRIP landowners and business owners/operators Improvement Program Consultation on Civil Works Once per City/Municipality DOTr Civil Works Stakeholder Monitoring & Once per LGU, every year from the commencement of Consultation DOTr Evaluation civil works until loan closing Meeting Production and Information As needed distribution of print dissemination Printed materials should inform PAPs where to go or who DOTr and other and disclosure to contact for their grievance and complaints materials

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Stage of Proposed Responsible Project Timing and Frequency Mechanism Agency Cycle

Online disclosure As needed. of project Information disclosed through project Facebook page, DOTr information Twitter and website. As needed. Media Press briefings are meant to disclose key project release/Press DOTr information, key project highlights, and as a risk briefing mitigation measure C. Post-Project Implementation As needed Production and Printed materials should inform PAPs where to go or who distribution of print to contact for their grievances, available livelihood and DOTr and other employment opportunities in NSCR-Ex operation, skills materials required and jobs fair. Information Online disclosure As needed. dissemination of project Information disclosed through project Facebook page, DOTr and disclosure information Twitter and website. As needed. Media Press briefings are meant to disclose key project release/Press DOTr information, key project highlights, and as a risk briefing mitigation measure Source: JICA Design Team and DOTr

D. Consultation/Participation Mechanism Undertaken During Feasibility Study Phase

335. 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 all LGUs for both phases of the FS RAP and DD RAP.

336. Information, Education and Communication Meetings. The IEC Meeting of the DOTr with the LGUs, 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 LGU and their comments and suggestions to the Project and its FS RAP activities.

337. 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:

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Table 7-2: SCMs, Stakeholders and Information Disclosed during FS RAP

Consultation and Descriptions Participation Mechanism 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 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 Information disclosed: Details of the EM provisions were explained to the APs during the third SCM Source: DOTr and ADB

338. 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 the tables below.

E. Consultation and Participation Mechanism Undertaken During Detailed Design Phase

339. 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.

340. To officially inform that the Project has started with the DD Phase, the DOTr conducted two IEC Meetings with LGUs 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.

Table 7-3: Summary of Information, Education, and Communication Meetings With LGUs during the DD RAP Phase

Number of Participants Participating LGU Date Stakeholders Male Female Total DOTr, JDT, ADB, PNR, 01 October, 2018 12 6 18 EcosysCorp, LGUs Malolos DOTr, JDT, ADB, PNR, 25 July, 2019 14 12 26 EcosysCorp, LGUs DOTr, JDT, ADB, PNR, Calumpit 01 October, 2018 17 15 32 EcosysCorp, LGUs

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Number of Participants Participating LGU Date Stakeholders Male Female Total DOTr, JDT, ADB, PNR, 17 June, 2019 17 15 32 EcosysCorp, LGUs DOTr, JDT, ADB, PNR, 20 September, 2018 19 9 28 EcosysCorp, LGUs Apalit DOTr, JDT, ADB, PNR, 10 July, 2019 16 10 26 LGUs DOTr, JDT, ADB, PNR, 20 September, 2018 10 8 18 EcosysCorp, LGUs Sto. Tomas DOTr, JDT, ADB, PNR, 11 July, 2019 12 13 25 EcosysCorp, LGUs DOTr, JDT, ADB, PNR, 20 September, 2018 8 10 18 EcosysCorp, LGUs Minalin DOTr, JDT, ADB, PNR, 04 June, 2019 13 11 24 EcosysCorp, LGUs DOTr, JDT, ADB, PNR, 05 October, 2018 19 10 29 EcosysCorp, LGUs San Fernando DOTr, JDT, ADB, PNR, 28 June, 2019 16 19 35 EcosysCorp, LGUs DOTr, JDT, ADB, PNR, 21 September, 2018 14 7 21 EcosysCorp, LGUs Angeles DOTr, JDT, ADB, PNR, 16 July, 2019 26 15 41 EcosysCorp, LGUs

Source: JICA Design Team

341. 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 Responses

On the Project Overview and Details

• The design of the project is being finalized by the • Requests for copies of the final JICA Design Team and DOTr. The maps of the project design final alignment will be presented during SCM • The project’s main alignment requires 30 meters Right-of-Way (ROW), while the stations required • Inquiries on the exact details of the a 60-meter ROW project • The boundaries of the project’s ROW will be determined under the Detailed Design stage which has just commenced • Inquiries on whether the flood • The budget for flood mitigation measures are mitigation measures of the project included in the project cost are shouldered by DOTr • Inquiries of the project • The start of the project construction is 3rd Quarter construction timeline 2020.

On properties and persons affected by the project

• Concerns over the LGU and/or • All affected structures will be tagged based in the barangay structures affected by results of the Parcellary survey which will the project determine the exact boundaries of the project’s

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Issues and Concerns Raised Responses ROW. All the affected structures will be compensated based on replacement cost • The remaining parcel of lot will be paid depending • Inquiries regarding the remaining on DOTr’s decision to acquire the whole land parcel of lands for those only • If partially affected properties become non-viable partially affected after the ROW acquisition, the government will acquire the whole property instead • DOTr will aid PAPs through the Help Desk. • Concerns over who will assist the Through the Help Desk, DOTr may refer PAPs to PAPs regarding issues on their specific offices from the LGU depending on their properties and titles concerns • Although delays in the processing of documents may not hinder project’s implementation, it may result to the late processing of compensation • Concerns about the possible payments. delays caused by the lengthy • The assistance of the local government is process of transferring titles essential to speeding up the processes related to the project. • DOTr will find ways to fast-track the processing of documents • The Entitlement Matrix states that the project will provide for continued access • If there is a permanent loss of access and the • Concerns over the loss of access project cannot arrange suitable alternative to and from the properties access, such affected households will be surrounding the project areas considered as project affected persons with their property to be acquired and they will be eligible for compensation and assistance as set out in the Entitlement Matrix. This will be prepared as a supplementary RAP. • Inquiries on the hiring of residents • The hiring of PAPs is considered in the livelihood from affected barangays for the program of the project construction of the project

On Help Desk and RIMC

• DOTr requesting LGUs assistance in establishing the GRM Help Desk by providing the following: (a) 2 • LGUs commit to providing the needs of DOTr in staff, (b) table/office space, (c) order to establish the GRM Help Desk desk, (d) chairs, (e) telephone, (f) computer, (g) internet access and (h) drop box • Inquiries on why PNR is not a member of the RIMC followed by • PNR will be added to the RIMC as a member requests to add PNR in the RIMC matrix • Inquiries on how the PAPs will • The master list, Parcellary and as-built know the severity of their affected deliverables will be available at the helpdesk properties • • Inquiries on the rationale behind The main purpose in establishing help desks in establishing help desks in the LGUs is to assist PAPs in their concerns, LGUs questions and complaints without them having to travel to the DOTr offices in Clark and in Manila.

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Issues and Concerns Raised Responses The setting up of the Helpdesk and establishment of the RIMC will be within July 2019

On LGU services for PAPs

• The cut-off of paying damages to business owners is upon the issuance of the NoT. Once the • Inquiries on renewing business NoT is issued, DOTr will give the list of affected permits to business owners businesses to the Business Licensing Office so that they will no longer renew the business permits of those along and within the project area. Source: JICA Design Team

F. Stakeholder Consultation Meetings (SCMs) during DD RAP. The 1st round of SCMs for DD RAP were held in each LGU as shown in Tables below. The first SCMs started with the disclosure of the Project in terms of (i) new project name, (ii) final areas that the Project will traverse, (iii) final station location, (iv) final width of the PROW and (v) latest project timeline. This was followed by the presentation of the DD RAP activities to be conducted on ground and in the properties of the APs, with particular focus on the following topics: (i) Parcellary and As-Built Survey; (ii) Census and Tagging, (iii) socio-economic survey, (iv) standards used for property valuation (market value & replacement cost), and (v) Establishment of Help Desk. The activities related to the preparation of Livelihood Restoration and Improvement Program (LRIP) and Relocation Plan were briefly discussed. For landowners or legal property owners, the issuance, purpose and content of the NoT and Offer to Buy (OTB) were also explained. At the end of each consultation, the invited PAPs were encouraged to participate in the open forum to express their views/opinions. A summary of the main concerns/issues raised during the SCMs is provided in tables below.

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Table 7-5 Summary of the First Round of Stakeholder Consultation Meetings in the LGUs

No. of Participants Date and LGUs Participating Stakeholders Time Male Female Total

27 December ISFs, renters, business and landowners of Brgy. Longos 39 50 89 2018, 2:00 PM and Brgy. Bulihan Malolos 13 November ISFs, renters, business and landowners of Brgy. Bulihan 10 19 29 2018, 8:00 AM and Brgy. Longos ISFs, renters and business owners of Brgy. Balungao, 20 November Brgy. Calizon, Brgy. Corazon, Brgy. Gatbuca Putol, Brgy. 65 111 176 2018, 8:00 AM Iba O Este, Brgy. Palimbang, Brgy. Pio Cruzcosa, Brgy. Poblacion, Brgy. San Marcos, and Brgy. Santo Niño Calumpit Landowners of Brgy. Balungao, Brgy. Calizon, Brgy. 20 November Corazon, Brgy. Gatbuca Putol, Brgy. Iba O Este, Brgy. 59 66 125 2018, 2:00 PM Palimbang, Brgy. Pio Cruzcosa, Brgy. Poblacion, Brgy. San Marcos, and Brgy. Santo Niño 14 November ISFs, renters, business and landowners of Brgy. San 11 9 20 2018, 8:00 AM Vicente and Brgy. Sulipan Apalit 24 November ISFs, renters, business and landowners of Brgy. Sulipan 63 72 135 2018, 8:00 AM 30 October ISFs, renters, business owners, landowners of Brgy. Minalin 8 5 13 2018, 8:00 AM Lourdes, Brgy. San Isidro and Brgy. Santa Maria ISFs, renters, business owners, landowners of Brgy. 06 November Moras Dela Paz, Brgy. San Matias and Brgy. Sapa (Sto. 0 5 5 2018, 8:00 AM Sto. Tomas Niño) 06 November Landowners of Brgy. Moras dela Paz, Brgy. San Matias 17 15 32 2018, 2:00 PM and Brgy. Sapa (Sto. Nino) ISFs, renters, business owners of Brgy. Baliti, Brgy. 08 November Calulut, Brgy. Maimpis, Brgy. Panipuan, Brgy. Pulung 21 39 60 2018, 8:00 AM Bulu, Brgy. Quebiawan and Brgy. Sta. Lucia 08 November Landowners of Brgy. Baliti, Brgy. Calulut, Brgy. Maimpis, 32 38 70 2018, 2:00PM Brgy. Malpitic, Brgy. Pulung Bulu and Brgy. Sindalan ISFs, renters and business owners of Brgy. Quebiawan, 09 November Brgy. San Agustin, Brgy. Dolores, Brgy. Lourdes, Brgy. 55 123 178 2018, 8:00 AM Santo Nino, Brgy. Santa Lucia, Brgy. San Pedro Cutud and Brgy. San Nicolas Landowners of Brgy. Quiebiawan, Brgy. San Agustin, 09 November Brgy. Dolores, Brgy. Lourdes, Brgy. Santo Nino, Brgy. 87 88 175 2018, 2:00 PM San Santa Lucia, Brgy. San Pedro and Brgy. San Nicolas Fernando 20 November PAPs of Brgy. Sindalan, Brgy. Baliti, Brgy. Calulut, Brgy. 60 60 120 2018, 8:00 AM San Agustin, Brgy. Dolores and Brgy. Quiebiawan 24 November ISFs, renters, business and landowners of Brgy. Pulung 52 68 120 2018, 2:00 PM Bulu and Maimpis 26 November ISFs, renters, business and landowners of Brgy. Sto. 18 28 46 2018, 8:00 AM Nino 28 December ISFs, renters, business and landowners of Brgy. Dolores, 44 29 73 2018, 8:00 AM San Agustin and Santo Nino 05 June 2019, ISFs, renters, business and landowners of Brgy. Dolores, 73 5 78 8:00 AM San Agustin and Santo Nino 09 June 2019, ISFs, renters, business and landowners of Brgy. Pulung 33 19 52 8:00 AM Bulu 15 November Landowners of Brgy. Lourdes Sur, Brgy. Lourdes Sur 50 55 105 2018, 2:00 PM East, Brgy. Pulung Bulu and Santo Cristo Angeles 16 November Landowners of Brgy. Agapito del Rosario, Balibago, 63 59 122 2018, 2:00 PM Claro M. Recto, Malabanias and Santa Teresita 25 July 2019, ISFs and Landowners of Barangay Balibago 22 45 67

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No. of Participants Date and LGUs Participating Stakeholders Time Male Female Total

8:00 AM Source: JICA Design Team

342. Information disclosed to the APs in the first round SCM were as follows:

a. 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. b. 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 c. Application of the social safeguards policy and guidelines of ADB and JICA d. Standards for property valuation based on RA 10752; e. Establishment of the DOTr Project Help Desk in the respective LGUs. f. 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.

343. 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. 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 SCMs is provided in Table 7-6 below.

Table 7-6 Issues and Concerns Raised During the First Round of Stakeholder Consultation Meetings in the LGUs

Major Opinions/Concerns of PAPs Response from DOTr

Dimension of the Project Right of Way

• The project requires a 30-meter Right-Of- Way (ROW) for its alignment and a 60- • What are the exact measurements of the meter ROW for stations. However, there project right of way? may be areas where the project ROW exceeds 30-meters to ensure the safety of • the railway. • Is the final list of affected structures • The conduct of the Parcellary survey will available? determine the properties affected by the project. This activity will be conducted after the consultation. • All possibilities have been considered in • Why is the project alignment taking up designing the final alignment, looking more private lots on one side and less on especially at the design with the least the other? number of PAPs. However, the design must also comply with technical requirements to ensure safety of the

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Major Opinions/Concerns of PAPs Response from DOTr railway.

Finality of the Project

• Is it possible for the project to not push • The project target start of railway operation through due to political issues? If this is 2022, before the end of the current’s happens, the efforts of PAPs in submitting administration’s term documents will be wasted.

Project Information Dissemination

• PAPs should give contact details such as • Online dissemination of project-related cellular numbers and e-mail addresses information should be done in order to during the survey activities to facilitate reach a larger audience. dissemination of project updates. • Website containing details of the project • The Resettlement Action Plan (RAP) of the should be created for easy access to FS Stage of the project will be uploaded information. soon on DOTr’s website.

Partial and Severely Affected Properties

• The remaining portion of partially affected • Will the government acquire the properties will also be acquired by the remaining portions of partially affected government if it becomes unsafe and lands? economically unviable after acquisition. • The retrofitting cost is included in the compensation for partially affected • Is the renovation cost included in the structures. However, if the partially affected compensation for partially affected structures will become unsafe or structures? economically unviable after acquisition, the whole structure will be acquired and compensated instead. • Yes, the government will acquire marginally affected lands. The government may acquire a portion of a parcel of land through a perpetual/right-of-way easement agreement wherein the landowner retains the ownership of the land but will be compensated with an amount based on the • Will the government acquire marginally zonal value of the affected portion of the affected lands? land. This will be done only upon the agreement of the PAP. Otherwise, the • government will acquire the affected portion of the land through negotiated sale wherein the affected portion becomes the property of the government and the remaining portion (not affected) is retained by the PAP. DOTr will shoulder the transfer and registration fee and the preparation of subdivision plan for the subdivided land. • Under easement agreements, there will be • Who will pay the Capital Gains Tax for no CGT payments because titles will not be easement agreements? transferred to DOTr.

Income loss

• Is there available compensation for lost • RAP surveys are being conducted to income of agricultural landowners? gather in-depth information about PAPs

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Major Opinions/Concerns of PAPs Response from DOTr and to determine which properties are affected by the project. The results of the survey activities will determine the appropriate entitlements for the PAPs. • The Republic Act No. 6389 states that agricultural lessees shall be entitled to disturbance compensation equivalent to five (5) times the average of the gross harvests on his landholding during the last five (5) preceding calendar years. • In addition, under JICA and ADB’s international guidelines, compensations for both fishpond owners and operators are being considered. With this, PAPs are requested to bring supporting documents that may be serve as proofs of their income/profit; • The Department of Agriculture (DA) and • How will the income loss be computed for BFAR will be consulted regarding the PAPs in agricultural and fishing areas computation of the income of tax exempted who are tax-exempted? PAPs

Additional Construction/Replacement of Affected Structures for PAPs

• Reconstruction of fishpond dikes for • Will DOTr be responsible for building new residual area will be covered in the dikes for affected fishpond owners? The compensation which includes repair costs. location of the old PNR rails are used as The land owner will be responsible for dikes for the surrounding fishponds. arranging the repair works. • DOTr will take note of all the areas that may lose access because of the project. JICA and ADB will not allow access to be • How will the government concerns of blocked. landowners regarding the loss of access • or unavailability of alternative access? Under the international guidelines, the project will provide alternative access routes to and from areas landlocked because of the project.

Preparations for ROW Acquisition

• PAPs are advised to process extrajudicial • What should PAPs to about lands still settlements and title transfers as soon as needing extrajudicial settlements – land possible to ensure smooth transactions titles not yet divided between heirs? during right-of-way acquisition. The • Will the government compensate government will compensate the owner of landowners whose land titles have not the properties as reflected in title. been transferred under the name of the • PAPs were advised to seek for assistance new owner? as soon as the helpdesk starts. The DOTr • PAPs expressed that it will be difficult for representatives stationed on the helpdesk them to prepare and process all required will help them with the requirements and documents within timeframes set by forms. It would be possible for PAPs to project. process the EJS without the help of an attorney. • Which year should be reflected in the tax • PAPs should submit the latest tax declarations to be submitted? declaration. • Who will process the transfer of affected • DOTr will be responsible for the transfer of

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Major Opinions/Concerns of PAPs Response from DOTr titles from property owners to titles, payment of Capital Gains Tax (CGT) government? and transfer tax. However, CGT will be shouldered by the PAPs if they decline the negotiated sale and the case proceeds to expropriation. If compensation is less than replacement cost, the DOTr will apply a mitigation measure to reach replacement cost. • No. The compensation for affected land will only be given to whoever is/are listed in the • Is the Deed of Sale enough proof of title/s. Sales of properties must be ownership over a subject land? registered and titles must reflect the names of the new owners as proof of ownership accepted by the government. • What if the landowners are already • Landowners residing abroad are advised residing abroad? How will they be able to to execute a Special Power of Attorney for process documents required by the their representatives in the Philippines. government? • Are Certified True Copies (CTC) of • CTCs of documents must be submitted. documents required for submission?

Timeline of Project ROW Acquisition

• Yes. An Agreement to Demolish and Remove Improvements (ADRI) will be • Will the government provide enough time given to PAPs as soon as they receive their for PAPs to transfer or vacate their compensation. The ADRI contains a date properties after they receive Notices of agreed upon by the PAP and DOTr Taking/Offers to Buy? indicating when the property will be vacated for clearing.

Issues on Land Tenurial Status and Ownership

• GSIS will be notified of the project and their • Will DOTr compensate the landowners affected members. whose affected properties were loaned from GSIS? • PAPs are advised to talk to GSIS and ask about the possibility of paying the • Who will be coordinating with GSIS remaining balance. PAPs can use the regarding the property mortgaged to compensation to be given by DOTr to pay them? for their remaining balance. • Will the government compensate for • PAPs will be compensated if the affected affected properties with outstanding land titles are under their names. loans from SSS? • How will DOTr compensate PAPs who were only given rights to occupy the • The compensation will be given to the affected structures sold to them by the owner of the structure, while its renter, if original owner? The said structure is also qualified, may avail of relocation. being leased to another person. • Will the government be compensating for properties loaned through PAG-IBIG? • A meeting with PAG-IBIG Fund will be • Is it possible to credit the PAG-IBIG organized since this is a common case. amortization payments to other housing PAPs are advised to continue paying the loans? loans. • Are PAPs still required to continue paying the housing loan if the property is affected

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Major Opinions/Concerns of PAPs Response from DOTr by the project?

Valuation of Properties

• The valuation of affected properties will be based on their current market values which • Will the properties be appraised based on is based on the best and highest use of the the zonal values and values declared by affected land. The zonal values and values owners in their tax declarations? declared in tax declarations will only serve as references in the appraisal of properties. • Will undeclared structures or • Yes, if the structure and improvements improvements be compensated? were there at the time of cut-off date • Will the possible increase in the value of • The appraisers are aware of the movement the affected properties be considered in of prices for lands. the appraisal? • A separate team oversees the bill of • Can property owners access the Bill of quantities. An Independent Property Quantities for the affected properties? Appraiser will ask the owner’s permission PAPs are concerned that not every detail to enter the property in order to assess the will be considered when appraising structure through Replacement Cost affected properties. Method. • An independent property appraiser will appraise affected properties and that the • PAPs are concerned that the licensed DOTr, through the Landbank of the appraisers are connected to DOTr and Philippines, will validate the appraisals. the valuation of the properties will be • It is the intention of the law to have a third- affected by the appraiser’s bias. party appraiser who is independent from the government to appraise affected properties and avoid biases. • The property owner has the right to decide whether to allow or refuse the conduct of RAP activities on their property. • Will the affected property lose its value of • the owner refuse to consent to the RAP The replacement cost will be more Survey Activities? accurate if the independent property appraiser (IPA) will be allowed inside the structure. The RAP Activities are not compulsory but is advised

RAP Survey Activities

• PAPs may schedule tagging and interview • Some PAPs may not be available for on weekends through the Survey Permit. tagging and interview on weekdays. • PAPs will be informed about the schedule • How will PAPs know the schedule of the of RAP survey activities through the Parcellary Survey? barangays and text messages. • The property owners may decline the government’s offer of compensation, but an expropriation case will be filed by the • What are the implications of refusing to government. In expropriation, property participate in the RAP Survey activities of owners can prove to the court that the the project? value of their properties is higher than the value offered by the government, but the court will decide the final amount of compensation to be received by the

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Major Opinions/Concerns of PAPs Response from DOTr property owner.

Compensation, Entitlements and Assistance

• What is the source of funds for • DOTr has the budget for the right-of-way compensation and payments? acquisition. • PAPs are concerned about the possible • Assurance of DOTr that compensation will delay in the release of compensation be fully paid prior to displacement. ADB payments due to the lengthy process of and JICA will closely monitoring the appraising properties. project. • Is there compensation for affected trees, • Tree, crops and improvements to land will crops and landscaping? be compensated at replacement cost. • A landowner suggested for government to come up with a program that would • Households required to relocate may assist PAPs financially when they transfer request the assistance to apply for Pag- from their affected properties to their new IBIG or self-relocation if they prefer. properties. Down payments are needed • Compensation payment can be used to when buying new properties and the buy a new house and lot. compensation they will receive may be • Pag-IBIG offers various housing programs, lower than the price of available including group loans for housing properties they could buy and transfer to. • Affected structures will be compensated individually to the respective owners. • Will individual property owners be Renters will not be compensated for the compensated for structures within a structure but will be eligible for various compound? types of resettlement assistance according to whether they are low income households or not.

On property obligations and taxes

• Should PAPs continue paying the real • PAPs should pay real property tax up until property tax given that their properties will they receive the notice of taking. be affected by the project?

GRM or Help Desk

• Is there an office where PAPs can raise • DOTr is closely coordinating with LGUs for project-related concerns? the establishment of Help Desks • The hotline and e-mail address will be provided for PAPs with project-related • How will the PAPs be notified about the concerns availability of the Help Desk? • PAPs can be notified via text when the Help Desk is already available

International Guidelines and Safeguards

• How will the policy of ‘no clearing unless • ADB and JICA will not allow clearing of PAPs have a definite place to relocate’ be project ROW if PAPs have not been possible if the project is following a tight compensated. timeline? • Under the JICA and ADB’s guidelines, • Will PAPs be able to access the PAPs can salvage materials from their salvageable materials from affected their properties and the value of everything they properties after the demolition? salvage will not be subtracted from compensation payments

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Source: JICA Design Team

344. Second Round of Stakeholder’s Consultation Meeting. The 2nd round of SCMs for DD RAP were held in each LGU as shown in the tables below. The second SCMs started with the Project Status and Updates in terms of (i) completed activities, (ii) on-going activities and (iii) activities to be conducted. This was followed by discussions on the Right-of-Way Acquisition Process with focus on (i) Validation and Eligibility Verification Process, (ii) Modes of Acquisition and (iii) Requirements and Process for Compensation. Resettlement Options for Legal APs and Plans for Livelihood Restoration were also part of the discussions during the second SCMs. A summary of the main concerns/issues raised during the 2nd SCMs is provided in the tables below

Table 7-7: Attendance at the Second Stakeholder Consultation Meeting in the LGUs

No. of Participants Date and LGUs Main Participants Time Male Female Total

17 January Landowners and Business owners of Malolos 2020, 2:00 6 10 16 Brgy. Bulihan and Longos PM

Landowners and Business owners of 17 January Brgy. Poblacion, Calumpang, Balungao, Calumpit 2020, 8:00 Corazon, Gatbuca, Iba Este, Iba O Este, 65 107 172 AM Palimbang, Pio Cruzcosa and San Marcos

16 January Landowners and Business owners of Apalit 2020, 8:00 39 46 85 Brgy. San Vicente and Sulipan AM

16 January Landowners and Business owners of Minalin 2020, 2:00 1 5 6 Brgy. Lourdes PM

15 January Landowners and Business owners of Sto. 2020, 8:00 Brgy. Poblacion, Moras dela Paz, San 14 14 28 Tomas AM Matias and Santo Nino (Sapa) Landowners and Business owners of 14 January Brgy. San Nicolas, San Pedro Cutud, 2020, 8:00 137 156 293 Santa Lucia, Santo Nino, Lourdes, San AM Dolores, San Agustin and Quebiawan Fernando 14 January Landowners and Business owners of 2020, 2:00 Brgy. Maimpis, Sindalan, Malpitic, Calulut, 96 132 228 PM Baliti, Panipuan and Pulung Bulu 15 January Landowners and business owners from Angeles 2020, 2:30 128 163 291 the Angeles City PM Source: DOTr, GCR

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Table 7-8 Issues and Concerns Raised During the Second Stakeholder Consultation Meeting (SCM) in the LGUs

Major Opinions/Concerns Reflection/Countermeasures

Alignment and Dimension of the Project Right of Way

• DOTr will provide a location map for the PAPs • Where is the final alignment and the showing their affected property attached to easement provided for the Project the Notice of Taking (NoT). The Project ROW Right-of-Way located? can be identified based on the ground markings. • The project will maximize the existing PNR ROW, however, some areas may be needing • Is the project going to utilize the PNR to acquire private lands depending on the Right of Way? technical and safety requirements. All the affected lands will be compensated by DOTr once validated

Agreements between DOTr and Landowners

• What are the processes involved in • Easement agreement is only applicable to easement agreements of the Project properties that will be impacted minimally ROW? • The ADRI is given once the PAP is • What is an Agreement to Demolish or compensated. The ADRI contains a date Remove Improvements or ADRI? agreed upon by the PAP and DOTr indicating when the property will be vacated for clearing.

Affected Properties

• Why are structures tagged with • DOTr will pay for the affected portions of the stickers despite being located a few structure after validating its structural integrity meters away from the Project ROW? • It was suggested that PAPs should declare • Are structures undeclared to the their properties and pay dues taxes to Assessor’s Office included? establish Proof of Ownership • There are ground markings for the PR ROW • Are properties located near the hotel and sticker tags for the project affected areas included? structures (PAS) • Part of the contractor’s work is to fence the Project ROW. • Who is responsible for the demolition • PAPs can salvage materials from their of perimeter walls? properties once they have been paid and they also have an option to rebuild their property wall. • DOTr needs to verify with the design in order • Will DOTr provided alternative access to provide alternative access to landlocked for landlocked properties? properties • Are property owners allowed to • PAPs can develop their remaining properties develop part of their lands unaffected if validated as no longer affected by the by the project? project

Timeline of the Project

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Major Opinions/Concerns Reflection/Countermeasures • What is the timeline of the issuance of • DOTr intends to send the NoT on March 2020. Notice of Taking? • There is no deadline for the submission until • When is the deadline for the the issuance of the Offer to Buy (OTB) letter submission of legal documents? which would require submission within thirty (30) days.

Ownership, Titles and other legal documents

• Processing of the titles will take time. DOTr • Will the property owners be able to get will make an agreement with the Registry of their titles back after submitting and Deeds to prioritize those affected by the subsequent processing of subdividing project. titles by DOTr? • JICA and ADB will be monitoring the project. • Will DOTr be able to assist PAPs whose lands need to be subdivided • The DOTr Help Desk will assist PAPs to since the titles are still under deceased process extra judicial settlements (EJS). landowner? • DOTr will make a request to the Registry if • PAPs are concerned that they are not Deeds to prioritize the processing of able to submit the necessary documents of those affected by the project documents in time because of the slow • pace of transactions for the Certified PAPs can seek assistance from the DOTr True Copy (CTC) of titles. Help Desk to ensure the efficient preparation of necessary documents • No. A deed of donation is not a proof of ownership. They need to process it first for • Is a Deed of Donation enough as proof them to be the legal owners of ownership? • PAPs with only the Deed of Sale as proof of ownership must proceed to the Registry of Deeds for the transfer of ownership • PAPs should submit all documents showing • Will properties loaned through PAG- proof of ownership. DOTr will assess the IBIG housing and not yet fully paid be value of the property and deduct the compensated? remaining payment from their compensation • How will property previous and current • A Special Power of Attorney should be owners residing abroad be able to secured for the representatives of property transact with the government for the owners to process the papers and documents project? needed. • Processing of the titles will take time. DOTr • Will the property owners be able to get will make an agreement with the Registry of their titles back after submitting and Deeds to prioritize those affected by the subsequent processing of subdividing project. titles by DOTr? • JICA and ADB will be monitoring the project.

Entitlements, Compensation and Payments

• What are the modes of payment and • The payment will be in cheque. There is an when will the property owners be assurance that no construction will begin if compensated? PAPs are not fully paid • The current market value is generic for a • What is current market value? certain locality and it depends on the lot shape, location, improvement etc. • • What is replacement cost? The replacement cost of the structure will be the cost to build a similar structure with based

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Major Opinions/Concerns Reflection/Countermeasures on current market prices of materials (without depreciation) and labor cost. The aim is for PAPs to build a new structure similar or even better than their previous property • Does the Bureau of Internal Revenue • The current market value will be determined (BIR) determine the current market by an independent property appraiser (IPA). value? • Legal structure owners will be paid for their structures based on replacement cost • Are housing entitlements given to all method. PAPs? • DOTr will assist PAPs in looking for housing options • There will be no free housing given for PAPs. • The Republic Act (RA) 7279, An Act to Provide for a Comprehensive and Continuing Urban Development and Housing Program, • Why are legal PAPs not qualified for states that the disqualification of PAPs who socialized housing? have their own land. The legal PAPs will be offered economic low-cost housing which they are eligible. • The assessment for the business will be • Is there compensation for affected available at the Local Urban Poor Affairs and businesses? Housing Office (LUPAHO) of their city hall • Is there compensation for dike • DOTr will compensate every affected improvements? structure based on replacement cost method • How much is the compensation for • There is an initial assessment conducted but fishponds (amount per square still subject for confirmation by the Landbank meters)? of the Philippines • Businesses will be compensated once • Is there compensation for ornamental validated subject to the losses being plants and landscaping? validated.

PAPs Occupying Government Lands

• The PNR lot cannot be sold or applied for ownership • • What will happen to cases where PNR A memo from PNR General Manager was issued “Right to Use” to old employees issued, stating that no “Rights to Use” (PNR – allowing them to occupy PNR land) have been issued, only lease contracts. properties? The houses in PNR ROW may have been due to expired lease contracts and these existing structures in PNR ROW cannot be removed except by the PNR Source: DOTr-GCR

G. Focus Group Discussions (FGDs) with Vulnerable Groups.

345. 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

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shown in Table 7-10 below. The results of the FGDs assisted the project in the refining of ongoing communication messages and confirm appropriate mitigation measures.

Table 7-9: Summary of Focus Group Discussion with Vulnerable Groups the LGUs.

FGD Participants

City / Municipality Date Below W/ PWD Total Solo NA/ Poverty Elderly HH Others Parent Threshold Member NR

Malolos 13 Feb 2019 1 0 2 0 2 7 12 Calumpit 27 Feb 2019 2 0 7 0 2 5 16 Apalit 15 Feb 2019 2 0 2 1 2 1 8 Sto. Tomas 25 Jan 2019 2 0 3 0 2 9 16 Minalin 25 Jan 2019 2 0 1 1 1 5 10 San Fernando 14 Feb 2019 2 1 4 1 3 5 16 Angeles City 14 Feb 2019 1 1 8 0 1 2 13 Total 12 2 27 3 13 34 91 Note: “Others” – pregnant, with toddler/baby or with sick/ill household member, at the time of survey; “NA/NR” (Not Applicable and No Response) – representative from LGU, vulnerability cannot be determined. Source: JICA Design Team

Table 7-10: Result of Focus Group Discussion with Vulnerable Groups in the LGUs

FGD Question Response from Participants

• We are aware that the railway project will greatly affect their livelihood activities particularly the business establishments, houses, trees and utility connections. • We know about the previous plan of building the railway in the middle of the NLEX ROW. We also know that the project went back to its original plan of using the PNR ROW instead. • We are expecting that the project implementation will start on May 2019. • We are aware of the project and its details; including municipalities and cities covered, the alignment and the project design. We are also aware of the additional stickers for tagging. We were informed about these during a prior meeting • What do you know about In Malolos, we were aware of the project, but it did not raise any concerns because similar projects from the previous the Malolos-Clark Railway administration were discontinued despite the foundations and Project? posts already built. • We believed that the old railway project was the same with the new one. • Most of the respondents who attended the SCMs informed the affected lot and structure owners on the project objectives and impact. • We understood that there is compensation of losses and damages incurred because of the project. • We were told that the project will be implemented in May, but several personnel measuring their houses relayed that the project would start in August instead. • We were not fully aware of the fund source and the implementing agency.

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FGD Question Response from Participants

• We are aware that the location of our livelihoods will be affected by the project.

• We are concerned about the compensation package. Particularly, about: (a) the computation of the payment including the labor cost of structure, future income of PAPs and cost per square meter of the property, (b) the difference between the payment cost of structure and lot, (c) the processing of the land title of the adjusted lot, (d) the amount of demolition cost and who will shoulder the said cost, and (e) possible relocation site of ISFs. • We are concerned about the start of implementation because the children will be transferred to another school. • We need more information about the project especially on the What do you know about entitlements. the resettlement program • We were informed about the provision of relocation which will be of the government? provided by NHA. However, no further details were shared to us during discussions. • We read about the project in the internet and we knew about the funding of ADB and JICA. However, the details we found were limited. • We want to know more about the details and implementation plans of the project. • We are aware that the affected families will be compensated. • We know some information about the project but we are still lacking in the details, particularly on the type of assistance that we will receive. • We are apprehensive about the stories we heard of PAPs only receiving partial payments (e.g. an owner in Malolos that only received half of the total cost of the property). • What are the things you We request that the electricity and other basic utilities should be available and functional before they are transferred. like and do not like about • The compensation package and computation of the resettlement the resettlement program? program is not yet clear to the respondents. Why? • We would like to know more about compensation procedures. • We fear that we will not be given appropriate assistance because of the information we received from past relocatees of similar projects. • We request that PAPs with affected businesses or livelihoods should also be compensated or be provided with assistance. • We request that the payment should be released on time and in Considering your full so that the PAPs will not be affected by the increase in the prices of construction materials. responses about the • resettlement program, how We request for relocation assistance for PWDs, persons with physical illnesses and senior citizens. do you think the • We request for financial assistance to start a business and help government can make the their livelihood. resettlement program be • We suggest the provision of ramps for the senior citizens and for more responsive to your the PWDs that are using wheelchairs. needs? • We want to know the details of the final alignment to assess if we will be affected by the project or not. • We are concerned about the transfer of the senior citizen pension from DSWD if we are relocated in another municipality.

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FGD Question Response from Participants

• We request that the government must consider the health of the locals residing near the train station, especially the senior citizens and infants, by providing health protection measures during the construction and operation of the project. • We request for the construction of a wall surrounding the train station for noise reduction and safety and privacy of the residents. • We request that the station is accessible to the elderly and PWDs. There should be a functioning elevator and special seats for vulnerable individuals (e.g. senior citizens, PWDs and Pregnant women.) • We also ask to prioritize members of the PAHs as laborers for the project. Source: JICA Design Team

H. Focus Group Discussion (FGD) with the Business Sector

346. The FGD participants for livelihood restoration were selected through voluntary sampling because (1) randomly selected PAPs did not attend previous FGDs for livelihood, (2) PAPs who volunteered to participate in FGDs are usually those whose livelihood will most likely be affected, which explains their interest in the discussion. The Outline of the FGDs are shown in Table 14 11 and the results are summarized in Table 14 12.

Table 7-11: Summary of Focus Group Discussion with the Business Sector Participants City/ Date Location Municipality Male Female Total

Malolos 13 November 2018 Longos Covered Court, Malolos 2 10 12 Calumpit 20 November 2018 Municipal Hall Covered Court, Calumpit 4 4 8 Apalit 14 November 2018 San Vicente Covered Court, Apalit 6 7 13 Minalin 25 January 2019 Lourdes Brgy. Hall, Minalin 3 7 10 Sto. Tomas 25 January 2019 Santo Tomas Municipal Hall 13 31 44 San Fernando 08 November 2018 Maimpis Covered Court, San Fernando 9 7 16 15 November 2018 Legislative Hall, Angeles City Hall 17 23 40 Angeles 16 November 2018 Malabanias Covered Court, Angeles 10 20 30 Source: JICA Design Team

347. This FGD was intended for the affected enterprises that operate in the project area to articulate their views and insights. FGD participants expressed their concerns on alternative livelihood and employment. 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 7-12: Result of Focus Group Discussion with the Business Sector

FGD Question Responses from the Participants

• We are concerned about Project details and timetable What are your concerns regarding • We are concerned about the effect of the project to the project? work, business operations and livelihoods • We are concerned about the appraisal and

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FGD Question Responses from the Participants compensation procedures • We request possible realignment of the project to lessen the impact on the affected communities. We suggest to realign the project on government properties. • We are concerned about taxation • We are concerned about the transfer of children to another school • We are concerned about the welfare of vulnerable sectors such as senior citizens • We are concerned about social adjustments in the new neighborhood • We request measures to protect PAPs from age discrimination and bridge skills requirement discrepancies in employment • We request impartiality of government proceedings like processing of documents and provision of assistance. • We request assurance to continued privileges like 4Ps and solo parent enlistment • We request the PAPs to be prioritized in employment slate (with preference to regularized employment) • We request for job referrals to nearby establishments or enhanced in-city mobility for employed PAPs • We request for our children to be absorbed as regular employees in the vicinity. • We request existence of nearby or adjacent What are your expectations related employment to livelihood and employment after • relocation? We request livelihood assistance for senior citizens and solo parents • The vulnerable sectors prefer provision of livelihood opportunities rather than employment • We request for job fairs to be conducted for interested PAPs • We are concerned over the stability and loss of their businesses • It should reconsider the project alignment • It should Ensure accessibility of project information • It should facilitate the implementation of livelihood skills training (e.g. sari-sari store operation, food processing, baking, handicraft-related courses, machinery and heavy equipment utilization). • It should assist in putting up micro businesses like What do you think are the roles of stores, eateries and electronics repair shops. the government to help PAPs restore affected livelihood? • It should facilitate disbursement of proper compensation to PAPs for the re-establishment of businesses • It should expedite resettlement processes especially in releasing compensations • It should establish helpdesks to address clarifications, inquiries and concerns about the projects, livelihood and other matters.

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FGD Question Responses from the Participants

• It should provide start-up capital for the reestablishment of businesses • It should provide marketplace venue • It should provide financial capital for the indigents • It should provide financial assistance and elimination of rigorous bureaucracy in acquiring documents. • They should coordinate with the government to join or organize employment or job fairs for PAPs. • They should provide soft loans to PAPs interested in business ventures • They should aid micro and small businesses • They should offer employment opportunities and special considerations for older workers and PWDs What are the roles of private • They should donate seedlings feasible for farming sector that the government can tap • They should provide scholarships to children to help PAPs restore their affected • They should offer medical assistance to PAPs livelihood? • They should provide auxiliary security in the resettlement area • They should promote and provide free ALS and TESDA courses by private schools • They should assist the formation of community day cares by private foundations • They should build cell sites in the resettlement are to increase accessibility • We see cooperatives as organizations where they can save, invest and earn capital for their businesses. • We request the joint effort of the private and public What do you know about sector to promote local products cooperatives and what are your • We are interested in joining cooperatives, but they are thoughts on forming a still unfamiliar about its functions and benefits. cooperative? • We suggest to expand an existing cooperative rather than form a new one. • We are looking forward to seminars about organizing a cooperative and financial literacy Source: JICA Design Team

I. Consultation and Participation Mechanism Undertaken During Project Implementation Phase

348. 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.

a. Issuance of Notice of Taking

349. As explained in Chapter 6, DOTr will issue a NoT to land owners to inform them officially that their property is affected and that the cut-off date (for land owner) has been set

b. Consultation at Help Desk

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350. 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.

c. Round Table Discussions on Extra Judicial Settlement (EJS)

351. To minimize expropriation cases, DOTr will conduct regular discussion with PAPs about Extra Judicial Settlement (EJS), to explain in detail the step-by-step process that the PAPs have to go through

d. Consultation for Livelihood Restoration and Improvement Program

352. DOTr will conduct consultation on Livelihood Restoration Program with all affected APs. This will also serve as a venue to know implementation gaps and common issues encountered by APs in restoring their affected livelihoods and businesses.

e. Consultation for Civil Works

353. The DOTr will conduct consultations with regard to concerns of APs about civil works.

f. Stakeholder Consultation Meetings for Monitoring and Evaluation

354. Stakeholder consultations in each LGU will be conducted every year from the commencement of civil works to monitor any RAP issues that can arise during the implementation stage.

g. Consultation and Participation Mechanism for Post-Project Implementation Stage

355. Stakeholder Consultation. Stakeholder consultations in the LGUs will be conducted three years after relocation to assess the impact of the relocation site to the host community.

356. 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.

357. 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.

358. 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 9. The materials prepared by the DOTr both in English and Tagalog and distributed to APs are summarized in Table 7-13.

Table 7-13: 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)

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Phase Materials being Distributed • Available livelihood and employment opportunities (i.e. train operation), skills required, and schedule of skills training/hiring • Information on the process of resettlement. Project • Available livelihood and employment opportunities (i.e. train operation), Implementation skills required, and schedule of skills training/hiring • GRM flyers designed to inform APs of where to go or who to contact for their grievances and complaints. Post-Project • Available livelihood and employment opportunities (i.e. train operation), Implementation skills required, and schedule of skills training/hiring • GRM flyers designed to inform APs of where to go or who to contact for their grievances and complaints. Source: JICA Design Team

h. Online Disclosure of Project Information

359. 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 7-14 Social Media Accounts for the Project

Media Name Account Name Logo

Facebook North-South Commuter Railway Project

Twitter Overheard sa Biyahe

Source: JICA Design Team

i. Media Release/Press Briefing

360. 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.

J. COVID-19 Health and Safety Measures for Physical Consultations

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361. During the COVID-19 enhanced and general community quarantine period prevailing from March to June 202053, the Government of the Philippines (GoP) under the Inter-Agency Task Force on Emerging Infectious Disease (IATF) provides the Omnibus Guidelines on the Implementation of Community Quarantine in the Philippine (Issued on 15 May 2020) which restrict the organization of mass gathering and movement, including suspension of public transportation. Under the General Community Quarantine (GCQ), the prescribed minimum health standards specify that gathering shall be limited to persons. Public transportation allowed, but 1 meter distance between passengers shall be maintained; private vehicles are allowed subject to DOTr’s guidelines; and persons above 59 are not allowed to work in office and should continue to work from home. With the prevailing condition, conduct of physical public consultation shall adopt in the context of COVID-19 when contact with people is to be avoided as much as possible. The timing for the resumption of physical public consultations takes into consideration the movement restrictions and the maximum number of people who are allowed to gather in one place under GoP regulations.

362. A general approach to prevent the transmission of COVID-19 shall be adopted by the project. This is to plan the methodology and protocol for conducting public consultations and ground surveys, wherein contact with people is to be avoided as much as possible. However, when this is not feasible, this general approach, as described below, will be adopted.

Table 7-15: General Health and Safety Approach

No. Step Description Measures • COVID-19 free environment at the beginning of resuming works. • Select venue which have sufficient size and ventilation and allow safe access to the venue. • Take appropriate measures to prevent infection from the virus while access to Action to prevent any foreseen the venue. 1 Prevent risk to spread and transmit the • Disseminate sufficient information so that virus prior to activities participants can feel safe and secure in attending activities. • Train all staff involved in the necessary protocols to conduct the activities and conduct rapid antibody test and obtain the negative results from health authorities to make sure all staff are free from virus.

• Minimize the number of staff to have contact with PAPs and the time of contact. Action to adopt to protect PAPs • Maintain social distance (1.5m) and and Staff from the potential provide good ventilation at venues. 2 Protect infection from the virus during • Ask if APs have dry cough, fever, unusual activity. symptoms. (los of smell or taste, headaches), and avoid contact with people who have symptoms.

53 From 17 March to 13 April 200, the National Capital Region (NCR) and some parts of Luzon where the project area is located are placed under Enhanced Community Quarantine (ECQ); From April to 15 May 2020, Extension of ECQ in NCR and some parts of Luzon where the project are is located; 12 May 2020, NCR, Laguna Province and Cebu are announced to be placed under Modified ECQ from 15 to 31 May 2020; 1 June 2020 onwards, NCR is placed under GCQ.

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No. Step Description Measures • Strictly manage the disinfection and disposal of used equipment (double wrap bin liner).

• If APs show symptoms, send home or cancel the ground survey Action required if encountering • Staff to disinfect hands and equipment 3 React people infected or potentially after the encounter. infected • Follow the GoP protocol in case of infection

Source: DOTr’s COVID-19 Health and Safety Protocols

363. The required protective approaches for staff and participants are indicated in the table below.

Table 7-16: Required Protective Approaches for Staff and Participants

Approach Health Check PPE Disinfection Social Distance phase

Provide training Conduct rapid Procure Procure disinfection Protect on social antibody test PPE material distance Provide Check temperature enough Disinfect hands and Staff and health Maintain 1-2m Prevent PPE for PPE before and condition before social distance activity after the activity the activities

Disinfect hands and If staff show Monitor for any PPE if encountering React ― symptoms, self- symptoms potentially infected quarantine APs Provide information Procure APs having Venue and on symptoms of masks to symptoms are Protect equipment are COVID-19, and be given to not allowed to properly disinfected explain to APs APs attend activities Check temperature Disinfect hands Participants and health Provide Maintain 1-2m Prevent before and after condition before mask social distance activity activity If assessed to present a health If PAPs show React risk, APs will be ― ― symptoms, self- denied to attend quarantine activities Source: DOTr’s COVID-19 Health and Safety Protocols

364. In response to prevent the transmission of COVID-19, the DOTr has adopted the following measures and protocols specific for the conduct of public consultations and ground surveys. A copy of DOTr’s Health and Safety Protocols is in Appendix 8.

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Table 7-17: Project COVID-19 Measures to Physical Public Consultations and Ground Surveys

Activities Project COVID-19 Measures Public Consultations Face-to-face consultations: For small venues like conference rooms/classroom-type room, a maximum 10 participants per room will be allowed per session. Larger venues such as basketball court is preferred for a larger number of participants (maximum of 50). A 1-2 meters distancing will be maintained for the sitting arrangement and queueing during registration. A handout that contains consultation protocols will be provided to the participants upon registration. The DOTr staff and other agencies who will participate in the face-to- face consultations will be required to undergo a rapid antibody testing for COVID-19. They will be provided with PPEs (e.g. facemask) and alcohol/sanitizers and will be oriented on social distancing protocols. During the actual consultation, the health condition of staff will also be checked.

The SCM/IEC participants will be oriented with COVID-19 precautions during the consultation. Their temperature and health condition will be checked before entering the venue and will be provide with masks and sanitizers/alcohol and facemasks. APs who may exhibit COVID-19 symptoms will not be allowed to enter the venue and endorsed to proper health authorities.

Online consultations:

Online meetings will utilize recorded videos for presentation, Q&A session will be done through live streaming of DOTr, and other agencies involved.

Ground Surveys Ground staff/surveyors will undergo orientation of the protocols to be observed during the activity including proper physical distancing measures. Staff will be provided with PPEs (e.g. facemask and face shield) and disinfection kits. The health condition of the staff will also be checked prior to conducting the survey.

The project affected people will be contacted prior to inform and obtain approval to conduct the survey. Physical distancing will be observed during the interviews and physical contact will be avoided. Interviews will be conducted outside the structure, or avoidance of enclosed areas will be observed.

Options for surveys:

Should there be a need to conduct surveys, online and phone surveys will become optional aside from the usual on-site face-to-face interviews. The project affected people will be asked on their preferred option depending on their capacity (i.e. mobile access, access to internet, owns a computer). For the on-site interviews, it is preferred to be conducted in one venue (within the barangay) to minimize the exposure to COVID-19. However, it must be noted that said surveys may fail to account for all APs and results will have to be representative of the larger population of APs. Additional surveys may be initiated when it has become safe to do so.

Source: DOTr’s COVID-19 Health and Safety Protocols

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K. Disclosure of RAP Documents

365. Key information set out in the RAP has been disclosed to PAPs through public consultation meetings and the Public Information Brochure. This included information about the project, project impacts, mitigation measures, relocation and livelihood restoration as well as GRM, and implementation arrangements.

366. The following documents have been disclosed on JICA and ADB websites upon completion of the FS. As described in Table 7-18 below, the following documents are available at JICA and ADB websites through the links provided.

Table 7-18: List of Disclosed Documents Upon Completion of FS

Disclosed Agency Disclosed Document URL Date https://www.jica.go.jp/english/our_work/social_env • Draft RAP (Main 11 October JICA ironmental/id/asia/southeast/philippines/c8h0vm0 Volume) 2018 000bk9u1j-att/c8h0vm0000dhvs13.pdf

• Draft RAP (Main https://www.adb.org/projects/documents/phi- October 2018 Volume) 52083-001-rp-0

ADB • Combined Resettlement and https://www.adb.org/projects/documents/phi- Indigenous October 2018 52083-001-remdf Peoples Planning Frameworks

367. 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 7-19 below.

Table 7-19: Documents to be Disclosed

Agency Responsible Documents to be Disclosed for Disclosure • Final DED RAP endorsed by the DOTr and concurred by JICA and ADB; • Corrective action plans prepared during project implementation (if any); DOTr • Any resettlement-related due diligence reports; and • RAP implementation Monitoring Reports. • Final DED RAP endorsed by the DOTr and concurred by JICA and ADB JICA and Monitoring Reports. • Final DED RAP endorsed by the DOTr and concurred by JICA and ADB ADB and Monitoring Reports.

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8. CHAPTER 8: LIVELIHOOD RESTORATION AND IMPROVEMENT PLAN

368. This chapter outlines the various measures that the DOTr will carry out in order to mitigate the impacts on income and livelihood of the APs. This chapter also discusses measures that the DOTr in cooperation with LGUs 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

369. 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. It is important to note that this LRIP will only be applicable to people of the working age 18 years and above.

370. 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. Those APs earning a living from or employed by businesses or enterprises that are outside the project affected areas are not expected to face impacts on their livelihoods.

371. Vulnerable APs including the poor, household headed elderly, solo parent and female- headed households and Persons with Disabilities (PWD), will be assisted through the LRIP to provide livelihood opportunities for them.

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

372. APs whose livelihoods will be affected by the Project include Resident Landowning Household members engaged in home-based enterprises, 619 businesses and establishments including their 2,538 reported employees. In addition, the LRIP will seek to improve the livelihoods of the 242 vulnerable households.

C. Methodology for Developing the LRIP

373. 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 the LGUs. The Training Needs Assessment (TNA) and Key Informant Interviews (KIIs) were also conducted, along with Livelihood coordination meetings with LGUs. LGU-led consultation meetings with the APs were undertaken to ensure participation of APs in the LRIP.

a. Livelihood Surveys

374. The first and main round of SES was conducted during the FS Phase, between March 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 November 2018 and May 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

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preferences for income restoration were gathered. In addition to this survey, another survey was conducted specifically for land-based business owners (agriculture/aquaculture operators), which involved profiling of the affected land-based activities (i.e. produce growers).

375. For this RAP, the result of DMS was used as the basis in estimating the severity of impact to livelihood of APs. For example, the business of PAP whose structure is marginally affected is classified under marginally affected business. Similarly, land-based livelihood of PAP whose land is marginally affected is classified under marginally affected farm owner/operator. Final determination of severity and corresponding compensation will be determined during the implementation of this RAP when all documentary requirements are submitted and appraisal is conducted by an independent property appraiser.

b. Focus Group Discussions

376. FGDs with vulnerable groups, and business owners and wage-based PAPs were conducted in each LGU in 2019. FGD with vulnerable groups was conducted in Malolos, Calumpit, Apalit, Sto. Tomas, Minalin, San Fernando, and Angeles City between January and February 2019. The FGDs with business owners were conducted between November 2018 and January 2019. Discussions were directed around major project concerns, expectations on employment and livelihood upon displacement and expectation of the government’s role in implementation of employment and livelihood support. The following is the summary of major points raised in the FGD: (i) PAPs with affected businesses or livelihoods should be compensated or provided with financial assistance to start a business; (ii) priority be given to members of the AHs as laborers for the project; (iii) request for job referrals to nearby establishments or enhanced in-city mobility for employed PAPs; and (iv) livelihood assistance for senior citizens and solo parents.

c. Training Needs Assessment (TNA)

377. Training Needs Assessment (TNA) of affected households was conducted after Stakeholder Consultation Meetings (SCMs) between November 8 and 20, 2018. A total of 142 PAPs (67 males and 75 females) were covered in the TNA. Formal registration of PAP’s training preferences will take place at the commencement of LRIP implementation, which will be obtained during the LRIP introduction workshop. Table 8-1 describes the identified training needs and skills needed as identified by the APs and their families.

Table 8-1: Identified Skills Needed based on the TNA Health & Tourism and Transport Manufacturing Construction ICT-BPM Community Area Logistics Hotel ation Sector Sector Sector Development Management Sector Services Angeles • Automotive • AutoCAD • Animators • Caregiver • Air- • Chef/Cook • Jeepney City Mechanic Operator Video • Nursing condition • Housekeeping Driver • CAD/CAM • Carpenter • Bookkeeper Assistant mechanic Service • Tricycle Operator • Constructio • Call Center Worker Driver • Deburring n Painter Agents • Waiter Technician • Driver • Computer • Driver • Masons Systems • Dressmaker • Welder Service • Food Personnel/

Processor Technician • Machine • Graphic/Vid Mechanic eo Artists • Motorcycle • Marketing Technician Telemarkete r

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Health & Tourism and Transport Manufacturing Construction ICT-BPM Community Area Logistics Hotel ation Sector Sector Sector Development Management Sector Services San • Automotive • Welder • Beauty • Chef/cook Fernando Mechanic • Electrician Care City • Driver • Electronics Equipment Assembler • Technician Pampanga • Motorcycle • Painter • Nursing • Aircraft Province operator Assistant mechanic Malolos • Carpenter • Bookkeepe • Beauty • Housekeeping City • Dressmaker r Care Service • Food • Massage Worker Processor Therapist • Nursing Assistant Bulacan • Automotive • Baker • Grab Province • Dressmaker • Chef/cook Driver • Food • Waiter • Jeepney Processor Driver • Weaver

d. Rapid Labor Market Assessment

378. A rapid labor market assessment (LMA) was conducted in the Provinces of Pampanga and Bulacan to get baseline data on the labor market situation. 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.

e. Key Informant Interviews

379. KIIs were held with LGUs of Malolos, Calumpit, Apalit, Minalin, Sto. Tomas, San Fernando and Angeles. Specifically, the City/Municipal Social Welfare and Development Office (CSWDO/MSWDO), City/Municipal Agriculture Office (CAO/MAO), and Public Employment Service Office (PESO) were consulted. These consultations gathered information on available training programs and livelihood support for those affected in their respective jurisdictions

D. Livelihood Rehabilitation Measures

380. PAPs whose income sources are affected by the project are entitled to various forms of compensation and assistance to enable them to re-establish their livelihoods. For certain categories of livelihood impacts that may require more concerted interventions to restore or improve livelihoods, additional assistance is provided under the Livelihood Restoration and Improvement Program (LRIP). Please refer to Table 8.1 for an outline of these additional LRIP activities for qualifying categories of PAPs.

381. A summary of the categories of affected livelihoods, along with corresponding entitlements as per the project entitlement matrix, are presented in the table below.

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Table 8-2: Summary of Categories of APs, Proposed Livelihood Rehabilitation Measures and Recommended Livelihood Assistance

Additional LRIP Category of PAP Number of APs Summary of Key Entitlements Support Provided • Cash compensation for income losses and transactional cost for reestablishment. 256 severely affected • micro businesses Assistance in securing Affected micro soft loan to restart businesses 140 marginally affected business. Yes businesses • Participation in LRIP. • Rental assistance (3 months) if affected premises is leased (renting a business establishment). 9 marginally affected • Cash compensation for (SML) businesses income losses and transactional cost for re- 26 severely affected establishment. Affected small, medium (SML) businesses • Assistance in applying and large businesses for soft loan to enable NA and establishments 4 marginally affected self-rehabilitation for institutional those restarting establishments business. 10 severely affected • Rental assistance (3 establishments. Total: months) if affected 14 premises is leased. • Cash compensation for net salary of four (4) months for minimum wage earners and two Employees potentially (2) months actual salary losing employment from 2,538 employees for those earning above Yes affected business. minimum wage. • Participation in LRIP (including training and priority employment for project related employment) • Financial assistance equivalent to the average gross harvest Agricultural tenants and for the last three years sharecroppers. 5 farmers and not less than P Yes 15,000 per hectare (EO 1035). • Participation in LRIP. • Fair market value of affected land. Landowners directly 16 marginally affected • A disturbance engaged in farming compensation Yes (agriculture). 3 severely affected (equivalent to five times the average annual gross harvest) • Participation in LRIP. Vulnerable: HH below poverty threshold, poor, • Participation in LRIP elderl54, and sole-parent 242 households (including skill training Yes headed households with and other development dependents, and PWDs. activities)

54 Elderly living alone who are interested in remunerated work.

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Additional LRIP Category of PAP Number of APs Summary of Key Entitlements Support Provided Note: The table is a summary only of applicable livelihood entitlements for PAPs in this RAP. Details of description of entitled categories of PAPs and entitlements are presented in the entitlement matrix (Chapter 6).

E. Description of Types of Livelihood Restoration and Improvement Activities

a. LRIP Introduction Workshop

382. The LRIP will commence with a workshop to introduce the program to eligible PAPs in each municipality prior to displacement. The workshop will be conducted by DOTr with participation of the LGU PESO and service providers. It will provide information about the various programs, how the project will engage with PAPs on livelihood restoration and improvement, introduce contact points in the LGUs and service providers, and give an initial opportunity for PAPs to register their interest in various activities and means of support.

b. Financial Management Training

383. 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.

384. 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 AP. The training will be delivered by Public Employment Service Office (PESO) for PAPs and the DTI Center. The table below provides an overview of the topics to be covered in the training.

Table 8-3: Financial Management Training Outline

Topics Description

Financial planning ● Setting financial goals ● Organizing finances Money/cash ● Spending plans management ● Saving money ● Establishing credit ● Debt repayment Investment options ● Short-term investments ● Long-term investments

c. Assistance to Find Alternative Site to Continue Business/Farming Operations

385. The process to re-establish businesses will commence prior to displacement with assistance to identify and secure replacement business operating sites or replacement farming land. The aim is for displaced micro-businesses, small businesses and farmers to re-

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commence their operations with minimal disruption to the PAPs’ income flow. The processes will be different for the micro-businesses, small businesses and farmers due to the different nature of their displacement.

386. The LGU will assist the small businesses to identify permanent operating space for them to buy or rent. For the PAPs losing land used for farming or aquaculture, the LGU will provide assistance to identify alternative land to buy or lease using their compensation. There will be a consultation meeting with affected land-based income earners and displaced businesses soon after the introductory workshop to discuss possible and recommended replacement land or rental space within the respective municipalities. An ocular visit with PAPs will be organized to inspect the recommended areas whether suited for business or not. PAPs will be given the opportunity to select and identify suitable land for their businesses. Afterwards, the LGU will guide the PAPs on how to secure identified areas for business purposes. The process flow and implementation step for securing replacement land or rental space to re-establish the businesses are shown below.

Table 8-4: Implementation Step for Replacement Land or Rental Space to Re-establish Business

No. Step / Action Description Responsible Agency

1 1st consultation meeting with affected Discuss possible and DOTr, LGU land-based income earners and recommended replacement displaced businesses. land or rental space within the city / municipality

2 Ocular visit to recommended areas Inspect the recommended DOTr, LGU areas whether suited for business or not

3 2nd consultation meeting Select and identify suitable DOTr, LGU land for their businesses

4 Guide APs on how to secure land for Allocate the dimension of the DOTr, LGU business purposes identified land for re- establishing their businesses and public facilities/amenities

d. Assistance to Secure Government Soft Loans

387. There are four types of soft loans for which APs can apply for livelihood purposes ranging from Php5,000 to Php200,000.

388. Assistance to apply to 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 P5,000 worth of goods, while DSWD provides Php 5,000 per beneficiary and DA provides Php 10,000 - 15,000 per beneficiary.

389. DOTr and the LGU will counsel 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

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affected enterprises/farms. Other PAPs 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 8-5: Loan Assistance

Programs Description Agencies ● A microenterprise borrower may avail PhP5,000 up to P200,000 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 PhP200,000. Pondo sa Pagbabago DTI at Pag-asenso (P3) ● 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. ● Livelihood Seeding PhP5,000 worth of goods sari-sari store, bigasan (rice DTI Program store), rug making, etc.

Loan Assistance ● Program for Small and Php 5,000 per beneficiary DSWD Medium businesses

Loan Assistance for ● Php 10,000 – 15,000 per farmer DA Farmers

e. Vocational/ Enterprise Training

390. There will be a wide variety of vocational training courses as well as several entrepreneurial training short courses available to APs. The bulk of these are provided through Technical Education and Skills Development Authority (TESDA) with some programs also being delivered through other agencies such as Department of Trade and Industry (DTI). These training programs provide opportunities for PAPs to develop new vocational skills or further develop existing skills. The project will meet the course costs of APs eligible for LRIP assistance up to Php15,000.55 APs undertaking vocational and entrepreneurial training will also be assisted with travel costs and a daily stipend. The available courses will be introduced to APs during the LRIP introduction workshop by the training providers. PESOs of the respective municipalities will be the ongoing point of contact for information on these programs.

391. The Technical Education and Skills Development Authority (TESDA) is under the Department of Labour and Employment (DOLE) and serves as the Philippines' technical vocational education and training authority and operates through a network of training centres and partnerships with service providers. TESDA short courses typically involve a commitment of 25-40 days (196-316 hours) of face-to-face training spread over two to six months. A pre- training assessment will be offered that involves career profiling and an evaluation of the applicant’s ability to undertake the nominated course. The courses are delivered through TESDA training centres, accredited partners, and in partnership with municipality PESOs. A number of courses are also provided through mobile programs. TESDA training centres in close proximity to the project areas are in Calumpit and San Fernando. However, there are a

55 Course costs for vocational training courses are invariably less than Php15,000.

161 number of other TESDA training centres that are also in commuting distance. TESDA also regularly provides training programs within the respective project area municipalities in partnership with the PESOs based on demand.

392. The table below lists sample available TESDA courses. Construction related skills are in demand in the labour market and are relevant to those interested in project-related work opportunities (see also section 8.5.2.6 below).

Table 8-6: List of Sample TESDA Courses Construction Sector Courses

a. Blasting/Painting

b. Building Wiring Installation NC II

c. Carpentry NC II/III

d. Electrical Installation & Maintenance NC II

e. Lathe Machine Operation NC III

f. Machining Milling Operation NC II

g. Construction Painting NC II

h. Welding

• Flux Cored Arc Welding NC I/II

• Gas Metal Arc Welding NC I/II/III

• Gas Tungsten Arc Welding NC II

• Gas Welding NC I/II

• Welding and Fabrication Technology (Bundled Qualifications in Shielded Metal Arc Welding (SMAW) NC I (268 hours), Shielded Metal Arc Welding (SMAW) NC II (268 hours), Gas Metal Arc Welding (GTAW) NC II (268 hours)

• Shielded Metal Arc Welding (SMAW) NC I/II/III

i. Masonry NC I/II/III

j. Pipe Insulation

k. Pipefitting NC II

l. Plumbing NC I/II/III

m. Wood Working Machine Operation

n. Heavy Equipment Operation (dump truck, backhoe, crane, excavator, rigging, road roller) NCII

o. Scaffold Erection NC II

Sample General Courses

a. Cookery NCII

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b. Bread & Pastry NC II

c. Food Processing NC II

d. Consumer Electronics Servicing NC II

e. Maintain and Repair Electronically Controlled Domestic Appliances

f. Maintain and Repair Cellular Phones

g. Assembly/disassemble Electronic Products & System

h. Maintain and Repair Audio/Video Products & System

393. Entrepreneurial development programs are provided by DOLE, DTI, and DSWD to assist people to start micro-enterprises and small businesses or improve their skills in those areas. These programs are especially geared towards vulnerable people (below the poverty line, solo parent households and PWDs), but will also be extended to PAPs eligible for LRIP assistance. These are short courses typically run over several days. An overview of these programs is set out below.

Table 8-7: Entrepreneurial Training

Agency Type of Program Training and Development DOLE DOLE Integrated Livelihood Training on how to plan, set-up, start and operate Program (DILP) or Kabuhayan their livelihood undertaking i.e. trainings on Program production skills, entrepreneurship, business management, productivity and business planning. Continuing technical and business advisory services to ensure efficiency, productivity, and sustainability of the business/enterprise. DTI The Negosyo Center Program Training on entrepreneurial development (Republic Act No. 10644 Training on basic grant writing otherwise known as the “Go Negosyo Act”) DTI in Sto. Tomas provides - How to start a business several programs: - Business planning - Taxation DSWD / Sustainable Livelihood Program CSWD a. Microenterprise Training on micro-enterprise development, skills Development Track enhancement, and networking and partnership building b. Employment Facilitation Technical skills training, occupational guidance Track and counselling, and job referrals or placement

f. Provision of Starter Kits

394. As much as possible, the support provided within the LRIP program for starter kits will be in kind and in the form of supplies and material inputs necessary to undertake the vocational training and start with livelihood activities. For example, starter kits for carpentry and electrical wire installation would include basic tools and equipment needed for that occupation. DTI and

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DOLE have programs providing starter kits that will be extended to APs eligible for LRIP assistance. Relevant starter kits will be provided to APs undertaking training by the project, if not by DTI, DOLE or the government agencies otherwise providing the related vocational training.

g. Job Matching and Project Related Employment Opportunities

395. Based on the outcomes of the SES survey and FGDs, there are a number of different categories of APs that may wish to avail of job matching and project related employment. For instance, micro-business/enterprise-based earning APs saw employment opportunities as an alternative to their lost enterprises. Additionally, there are a number of PAPs who are in their working age but are currently unemployed due to a lack of opportunities. Other PAPs stressed that being directly impacted by the project, they should be given preferential treatment in availing of job opportunities during construction and operations from the respective municipalities.

396. The Public Service Employment Office (PESO) is an existing ongoing service provided by LGUs. The PESOs maintain a database of current employment opportunities and match local job seekers based on their skill set. For the LRIP, the PESOs of the respective LGUs will maintain a registry of APs seeking employment and will provide counselling, guidance on further training as well as job referral against their database of job vacancies. The PESO database of AP clients will enable project tracking of APs seeking employment.

397. Priority Placement in Railway Project Work. The project will generate opportunities for work both during civil works to construct the project as well during operation. Under national law, public works projects are to ensure that at least 30% of skilled jobs and 50% of unskilled jobs are filled by local hire.56 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 of APs to aspire to 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 TESDA’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. The LGU will provide supporting referral and endorsements of suitably qualified APs for project-related work.

398. 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. Jobs in the unskilled category would generally require suitable aptitude with training to be provided on the job. See Table 8-7 for project related employment opportunities below.

Table 8-8: Anticipated Project Related Employment Opportunities

Skilled Semi-skilled Unskilled Electricians Transit mixer Cooks Laborers Plumbers Scaffolders Traffic controllers/ aids Janitors/utility men Masons Welders Security Guards Messengers Carpenters Painters Warehousemen Equipment Operator Steelmen Backhoe Tinsmiths Bulldozer Admin Staff

56 Required under RA 6685. Department of Labor and Employment is responsible for monitoring compliance.

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399. The LGUs will provide referrals and endorsements of qualified APs for project-related work. The LGU will provide guidance on application and hiring requirements including providing cash assistance to secure certificates and clearances for pre-employment requirements

h. Livelihood Assistance for Vulnerable APs

400. The overall project objectives include creating opportunities for vulnerable affected persons to improve their living standards. Project entitlements for vulnerable households include participation in the LRIP, such as vocational skills and entrepreneurial training and job referral program especially geared to vulnerable people. Amongst the PAPs, there are two hundred forty-two households that fall within the project’s definition of vulnerability.

F. Implementation Arrangements

401. 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.

402. 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 • Establish Masterlist of eligible APs for LRIP. • Ensure sufficient and timely budget for LRIP implementation. • 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 DOTr 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.

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Agency Responsibilities • Coordinate with the Private Companies and the LGU. • All other necessary activities to implement the LRIP. • 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. LGU/PESO • 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 • Provide Nego-Kart Livelihood Package thru PESO DOLE • Monitor the implementation of Nego-Kart Livelihood Package thru PESO • Provide start-up kits. DTI • Provide information and services in training, financing, and marketing. • Provide soft loans for enterprise-based PAPs. • Provide trainers as per request from PESO and certificates for those APs who TESDA completed the program. • Report to PESO on AP participation in training. • Provide support on micro-enterprise development, skills enhancement, networking and partnership building. DSWD/CSWD • Assist to provide technical skills training, occupational guidance and counselling, and job referrals or placement. • Provide the list of jobs and required skills to DOTr and LGU. Contractor • Hire local residents as required by law.

G. LRIP Budget Estimate

403. The estimate of LRIP participants 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.

404. The estimated LRIP budget is Php 71,329,500. This comprises funds for vocational training (or similar) and livelihood package.

405. During the Implementation of the RAP, should the current budget be insufficient to accommodate all currently surveyed or additional identified eligible APs, DOTr will provide necessary budget for such.

Table 8-10: Estimated LRIP Budget

Estimated Unit Frequenc Activity Participant Total (PhP) Cost y s Vocational training 3,500 10,000 1 training 35,000,000 Service provider financial 1,028 5,000 1 training 5,140,000 management training Training Allowance 3,500 200 30 days 21,000,000

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Livelihood Rehabilitation Assistance 242 15,000 1 3,630,000 for Vulnerable Groups Livelihood Rehabilitation Assistance for Land Based 5 15,000 1 75,000 Tenants/Sharecroppers

Sub-Total 64,845,000 LGU Management Fee (10% of direct costs) 6,484,500 Total LRIP Estimate 71,329,500

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9. CHAPTER 9: GRIEVANCE REDRESS MECHANISM

406. 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

407. 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, transfer/movement of land owner APs, and reduced income, among others.

408. 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

409. 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, 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 GRM level possible.

410. 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 Desks at each 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

411. 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 LGU Help Desks 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

412. A Local GRM Team in LGU and 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 who will serve as the first contact point for APs will receive grievances concerning RAP implementation and other project-related concerns in their area of jurisdiction.

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

413. The Local GRM Team in each LGU 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

414. 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

415. 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

416. 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.

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417.

Table 9-1 Levels of Grievance Redress Mechanism

Level Institution 1st Level Help Desk/Central Hotline (Local/Central GRM Team) RAP Implementation and Management Committee (RIMC) 2nd Level Technical Working Committee (TWC)/Right-of-Way and Site Acquisition (ROWSA) Committee or the DOTr's Legal Department 3rd Level Project Inter-Agency Committee (PIAC) Source: JICA Design Team

1. Level 1 – Local Help Desk/Central Help Desk (Local/Central GRM Team)

418. The APs have two ways to raise grievances, that is, the Help Desk set up at each LGU and the Central Hotline.

419. 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. Help Desks have been set up and are located in each LGU and staffed with two local GR Officers. Help Desks operates at least once a week. Depending on demands, it will operate more frequently, especially during the period of the issuance of Notice of Taking and during 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.

420. 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.

421. 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.

422. 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);

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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

423. 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.

424. 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.

425. 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

426. 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

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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.

E. Court of Law

427. 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

428. 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

429. 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

430. 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.

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Table 9-2: Grievance Redress Mechanism Procedure

No. Actor Action Taken Aggrieved Any aggrieved stakeholder lodges his/her grievance in person to the Local Help Desk or in writing, verbally or electronically 1 stakeholder transmitted to Central GRM Team within the MCRP PMO for an immediate action. [Help Desk] [Hotline] When received in person, the grievance is written down on the When received, the grievance is written down on the GAF by the Grievance Action Form (GAF) (See Annex 9_1) by the staff of central GR Officer on behalf of the aggrieved stakeholder. the Help Desk on behalf of the aggrieved stakeholder who signs A unique code for each AP/complainant is assigned. the written complaint for official submission. An acknowledgement slip via phone call, e-mail, SMS, and letter A unique code for each AP/complainant is assigned (refer to is provided for each complaint for quick reference. Section 9.6.3). The GRM process is explained to the aggrieved stakeholder, and An acknowledgement slip is provided. contact details on where the complaint is forwarded and who is The GRM process to the aggrieved stakeholder is explained, responsible for acting on a complaint are given. and contact details of where the complaint is forwarded and The complaint is reviewed to determine whether it is project- who is responsible for acting on complaint are given. related or not. 1st Level The complaint is reviewed to determine whether it is project- Documents (if there is any) presented by each AP are digitized, 2 Help related or not. and control numbers for those documents are assigned. Desk/Hotline Documents (if there is any) presented by each AP are digitized, The GAF is encoded into the centralized database. and control numbers for those documents are assigned. The GAF is encoded into the centralized database. 2-a) If the complaint is project- 2-b) If it is not project-related, the 2-c) If the complaint is project-related and related, the local/central GR Officer local/central GR Officer assists the AP by beyond local/central GR officers’ capacity, resolves it on the spot (such as referring the complaint to an appropriate local/central GR Officer raises it to an answers to queries). agency or an LGU which may be able to act appropriate agency and the next level of the on the complaint. The local/central GR GRM. officer issues an acknowledgement slip for the complainant to fill and marks the case “Closed/Referred to 3rd Party.” 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 3-b) If the aggrieved stakeholder is not 3-c) If the complaint is beyond the ability of Aggrieved 3 satisfied with the decision, the satisfied with the decision, the stakeholder the Local/Central GR Officer for resolution, stakeholder complaint is resolved and recorded may elevate his/her complaint to the second then the officer assists the AP by referring the accordingly. level of the GRM. complaint to the second level of the GRM. In case of 3-a), In case of 3-b), In case of 3-c), Local/Central The Local/Central GR Officer is to A request from the aggrieved stakeholder is A request from the aggrieved stakeholder to 4 GRM Teams inform the aggrieved stakeholder of received to elevate his/her complaint to the elevate his/her complaint is received by the “case closed” status via e-mail,

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No. Actor Action Taken SMS, and letter and record the case Local Housing Board (LHB)/RIMC/DOTr's RIMC/ROWSA Committee/DOTr's Legal as “closed” on an acknowledgement Legal Department. Department. slip and in the database as “closed”. The status of the aggrieved stakeholder's The status of the aggrieved stakeholder's complaint is recorded. complaint is recorded. The complaint elevated to the second level The complaint to the second level is is forwarded within one day from receipt of forwarded within one day from receipt of the the complaint or by business close time. complaint or by business close time. The Local GR Officer endorses relocation-related matters of formal APs and NLOs/ISFs to the RIMC, while more complex legal 2nd Level concerns are filed to the ROWSA Committee or the DOTr's Legal Department. RIMC/ The Local GR Officer offers the aggrieved stakeholder the following options: (i) referring the case to the RIMC/ROWSA ROWSA Committee/DOTr's Legal Department or (ii) choosing the “decide together” option under the RIMC. 5 Committee/D The complaint is acted and decided within 15 working days once the complaint is filed by the Local GR Officer. OTr's Legal If the AP opts for the “decide together” option, each complaint is acted and decided within 20 working days once the complaint is Department filed by the Local GR Officer. The local GR Officer of the action and/or decision is informed on the aggrieved stakeholder’s complaint. Local GRM The Local GR Officer is to receive and record the decision by the second-level decision-maker. 6 Team 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 7- b) If the aggrieved stakeholder is not satisfied with the decision of the Aggrieved 7 decision, the complaint is resolved and recorded second level of the GRM or if the complaint is not acted upon within a stakeholder accordingly. 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. In case of 7-a), In case of 7-b), The Local GR Officer is to write down “case closed” on A request from the aggrieved stakeholder is received to elevate his/her the acknowledgement slip, issue it via e-mail, SMS, and complaint to the PIAC. Local GRM letter or by hand to the aggrieved stakeholder, and The status of the aggrieved stakeholder complaint is recorded. 8 Team record the case as “closed” on the GAF and centralized The complaint to the third level is forwarded via Local GRM Team within database. one working day from receipt of the complaint.

The complaint is received from the Local GR Officer. 3rd Level The complaint is registered on the centralized database and reviewed within seven working days. 9 PIAC 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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No. Actor Action Taken Local GRM The local officer is to receive and record the decision by the PIAC. 10 Team 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 11- b) If the aggrieved stakeholder is not satisfied with the decision or if Aggrieved decision, the complaint is resolved and recorded his/her complaint is not acted upon within one working day and the AP 11 stakeholder accordingly. 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. In case of 11-a), The Local GR Officer is to write down “case closed” on In case of 11-b), the acknowledgement slip, issue it via e-mail, SMS, and A request from the aggrieved stakeholder is received to elevate his/her Local GRM letter or by hand to the aggrieved stakeholder, and complaint to the fourth level. 12 Team record the case as “closed” on the GAF and centralized The status of the aggrieved stakeholder complaint is recorded. database. The complaint to the fourth level is forwarded within one working day from receipt of the complaint.

Judicial procedures will dictate the process and progress of the complaint once the AP files the complaint before a regular court, Court which can occur at any point. Source: JICA Design Team

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I. Status of Grievance Redress Mechanism Set-up for MCRP

a. Establishment of Central Hotline and Local Help Desks

431. In November 2018, the DOTr established and has operated a full-functioning Central Hotline for the project with mobile numbers and e-mail address, which is managed by the DOTr’s Grievance Redress (GR) officers. Information about the Central Hotline has been announced during IEC meetings and SCMs and has been disseminated to all LGUs and barangays concerned. All queries, issues and concerns of APs are being filed and documented in the central database of the DOTr’s Central GRM Team.

432. The DOTr also completed the establishment of the Local Help Desks at each of the eight LGUs in the Malolos-Clark Section. Table 9-3 summarizes the status of the Local Help Desk by LGU and the composition of the Local GRM Team at each Local Help Desk.

Table 9-3: Status of the Local Help Desk and the Local GRM Team (as of May 2020)

LGU Status of Help Desk Composition of Local GRM Team Date of Operation Establishment Day Malolos-Clark Section Malolos City, 2 Aug 2019 Every Tue Staff of City Planning and Bulacan Development Office Municipality of 6 Aug 2019 Every Tue Staff of Municipal Planning and Calumpit, Bulacan Development Office Municipality of Apalit, 18 Jul 2019 Every Thu Staff of Barangay San Vicente and Pampanga Sulipan Municipality of 26 Jul 2019 Every Wed Staff of Municipal Planning and Minalin, Pampanga Development Office Municipality of Sto. 18 Jul 2019 Every Wed Staff of Municipal LGU – Department Tomas, Pampanga of Interior and Local Government and Municipal Disaster Risk Reduction and Management Office City of San 12 Jul 2019 Every Thu Staff of Local Housing Office Fernando, Pampanga City of Angeles, 6 Aug 2019 Every Tue Staff of Local Urban Poor Affairs and Pampanga Housing Office Mabalacat City, 3 Jul 2019 Every Wed Staff of Municipal Planning and Pampanga Development Office Solis-Blumentritt Section Manila City, Metro 24 Apr 2020 Every other Staff of City Urban Settlements Office Manila (expected) Fri Note: Apart from the Help Desk by LGU, the Central Hotline was established in November 2018. Source: DOTr

b. Establishment of the GRM Team

433. Since November 2018 when the Central Hotline was established, the DOTr has assigned dedicated GR officers for the project whose tasks and responsibilities are focused entirely on the GRM. GR officers are assigned to the Local GRM Team at the Local Help Desk of each LGU and/or the Central GRM Team at the MCRP PMO in the DOTr's Office of the Undersecretary for Railways.

434. The Local GRM Team is assigned to a specific city or municipality affected by the project and is composed of trained GR officers who are dedicated DOTr staff of the MCRP

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PMO or LGU representatives. The Central GRM Team is in charge of grievances channelled through the DOTr's central office via the Central Hotline and is responsible for the receipt, acknowledgement, and registry of grievances as well as eligibility assessment.

435. Central GR officers from the MCRP PMO have been deployed to manage the Local Help Desk of the Malolos-Clark Section. The existing Local Help Desk is stationed in various offices of the eight LGUs and is provided with local GR officers to answer inquiries about project concerns, receive complaints, and provide clarification on the matters related to claims and interests of APs. The list of central GR officers on duty are presented Table 9-4.

Table 9-4: Composition of the Central GRM Team (as of May 2020)

No. Affiliation Main Responsibility 1 GRM Team Follow up on grievances received from both N2 and SC and communicate with team leads to address pending cases

2 GRM Team Follow up on grievances received in N2 Section 3 GRM Team Follow up on grievances received in SC Section 4 GRM Team Follow up on Gender-Based Violence (GBV) cases 5 Envi Team Assisting GRM Team every Thursday and Tuesday 6 Envi Team Assisting GRM Team every Thursday and Tuesday 7 Communications Assisting the operation of Help Desks in N2 and consolidation of /Public Relations grievance database Team

J. Information Dissemination

436. 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 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 9-5.

437. 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.

438. In addition, a leaflet explaining the GRM process was also prepared. All concerned institutions including barangays, LGUs, 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 to LGUs 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 9-5.

Table 9-5: Dissemination Methodology of GRM Materials and Timeline

Communicatio Content Dissemination Methodology Responsibility Timeline n Tool DOTr Hotline Phone numbers: SCM DOTr Globe: 0927 450 6720 Posting on each barangay's Smart: 0939 223 7993 notice board Ongoing E-mail address: Posting on the Project's since [email protected] website and Facebook and December Twitter accounts 2018

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Communicatio Content Dissemination Methodology Responsibility Timeline n Tool Map Map showing the Project ROW Help Desk DOTr Started/ within each LGU on going Project Project description SCM DOTr information Help Desk Completed booklet DOTr staff Leaflet on the Summary of the Project Help Desk DOTr GRM Objective of the GRM SCM April 30 GRM process flow DOTr staff 2020 Information on the Help Desk During community organizing opening time, location, how of the National Housing to consult a complaint/issue Authority (NHA) Contact details, Hotline, and e- Posting on the Project's mail address website and Facebook and Leaflet on Project description Twitter accounts resettlement Entitlement and schedule Resettlement site Contact/opening time and location of Help Desk/Hotline Leaflet on Project description May 2020 livelihood Entitlement and schedule Livelihood and Income DOTr Restoration Programs Contact/opening time and location of Help Desk/Hotline May 2020

DOTr Source: DOTr

K. Capacity Building of GR Officers

439. 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.

440. There were two initial types of trainings provided, namely: (i) GRM training and (ii) Help Desk training.

Table 9-6: Summary Information of GRM Trainings

Date & Number of Participants Training & Venue Main Participant Time Male Female Total 14-15 March GRM Training for DOTr – 9 10 17 27 2019 9:00 Central GR Malolos, Bulacan LGU – 1 A.M. Officers Calumpit, Bulacan LGU – 1 Apalit, Pampanga LGU – 1 The Redd Manor Sto.Tmas, Pampanga LGU – 1 Hotel, Jose Abad San Fernando, Pampanga LGU – 1 Santos Avenue, Angeles, Pampanga LGU – 1 San Fernando, Mabalacat, Pampanga LGU – 1 Pampanga Minalin, Pampanga LGU – 1 Manila LGU – 1

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Date & Number of Participants Training & Venue Main Participant Time Male Female Total ADB – 8 JICA Design Team – 1 4-5 April Help Desk DOTr – 18 19 27 46 2019 8:00 Training for Malolos, Bulacan LGU – 2 A.M. Central and Local Calumpit, Bulacan LGU – 2 GR Officers Apalit, Pampanga LGU – 2 Sto. Tomas, Pampanga LGU – 2 ADB Minalin, Pampanga LGU – 1 Headquarters City of San Fernando, Pampanga LGU – 2 Mabalacat City, Pampanga LGU – 2 City of Manila LGU– 2 ADB – 5 JICA Design Team – 8 Source: JICA Design Team

441. The MCRP PMO is undertaking ongoing trainings 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.

L. Monitoring and Reporting on Grievance Redress

442. 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 (Section I). 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

443. 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.

444. 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.

445. 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.

446. 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

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447. 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.

448. 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.

449. 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 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

450. 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

451. 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

Frequency Number of Body/Unit Purpose/Key Responsibility Type of Unit of Meeting Member/Staff MCRP Project Primarily responsible for the Project- Weekly More than 300 Management implementation of the Project based office and as (67 dedicated to Office (PMO) including the RAP needed RAP

implementation implementation) Unit Primary Primary Implementing DOTr's Technical Responsible for Right-of-Way Committee As needed 11

Working (ROW) acquisition for all DOTr Committee (TWC) projects. This unit is the final approving body for a decision by the DOTr pertaining to all

Approving Committee ROW acquisition. Project Inter- Primarily responsible for Project-wide Quarterly 11 Agency establishing institutional committee Committee (PIAC) linkages among concerned government offices and creating inter-agency policies for efficient implementation of RAP components. Technical Working Responsible for actual inter- PIAC sub- As needed 21 Group (TWG) agency coordination at the committee under PIAC 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. RAP Recommendatory and City/municip Every 16 Implementation coordinating committee for the ality-level other and Management RAP implementation at the committee week

Coordinating Bodies Committee (RIMC) local level. Source: JICA Design Team

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Figure 10-1: RAP Implementation Structure (as of February 2020)

Source: JICA Design Team

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A. Department of Transportation

452. 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).

453. 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.

454. 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.

455. 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.

456. 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.

457. 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 Committee57

458. 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.

459. Roles and Responsibilities of the DOTr’s Technical Working Committee. The roles and responsibilities of the DOTr's TWC are summarized below.

57 To be replaced by the DOTr's Right-of-Way and Site Acquisition (ROWSA) Committee once created. 184

a. Evaluate, examine, and approve documents58 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.

460. 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

461. 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.

462. 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); e. Supervise the general consultant in matters pertaining to the RAP;

58 Including the signing of the Offer to Buy (OTB) to be issued by the DOTr's MCRP PMO to property owners. 185

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;59 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;

59 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. 186

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 a. 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.

463. 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)

Number of No. Division Position Positions 1 Management Engineer 17 Project Officer Project Development Officer 2 Civil Works Engineer 180 Architect Project Development Officer 3 Systems Engineer 23 4 Rolling Stock Engineer 11 5 Engineering Support Attorney 56 Project Development Officer Engineer 6 Environment, Resettlement, Attorney 128 ROW, Legal Project Development Officer Community Development Officer Engineer Architect 7 Administration and Support Project Development Officer 35 Administrative Officer Budget Officer Accountant Total 450 Source: DOTr

B. Partner Institutions

464. 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

465. 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.

466. 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 7). 188

467. The functions of the PIAC are as follows: 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.

468. 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 DHSUD 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) Source: JICA Design Team

469. 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 • 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 DOTr in coordination with other partner agencies and based on the (Undersecretary for Railways) 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 • 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 DHSUD60 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

60 The Department of Human Settlements and Urban Development (DHSUD) replaced the Housing and Urban Development Coordinating Council (HUDCC). 189

Agency/Organization Roles and Responsibilities • Inform the committee on issues that can only be resolved at their level and recommend solutions. 3 • Attend meetings; • Approve and implement policies presented by the DOTr, the Chair; Other members • Sign all PIAC instruments on behalf of their agency; and • Provide inputs and recommendations to address implementation issues. Source: JICA Design Team

470. 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.

471. 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.

472. 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 190

Position Agency/Organization DA DAR District Office Commission on Human Rights (CHR) DOH DepEd Source: JICA Design Team

2. Key National-Level Partners

473. 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 other valuable members of the PIAC (or both).

474. 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 DHSUD 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.

475. National Housing Authority. The DOTr has partnered with the NHA to implement the socialized housing program for the Project, through the MOA signed on 3 September 2019. In

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addition to their role as a member of the PIAC, the NHA’s roles and responsibilities are as follows:

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 on-landowner families and provide transportation to temporary accommodations and resettlement sites;61 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.

476. Philippine National Railways (PNR). The PNR is attached agency of the DOTr will provide assistance to the MCRP 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.

477. 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.

478. 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

61 Funds to be provided by the DOTr from the RAP budget. 192

d. Provide data and documents as may be needed by the EMA during project monitoring and evaluation.

479. 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.

480. Department of Labor and Employment (DOLE). DOLE will similarly assist the LRIP through their mandate to support employment. Other responsibilities are as follows: 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.

481. 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 monitoring and evaluation.

482. 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;62 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.

62 Funds will be transferred by the DOTr to TESDA. 193

483. 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; 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 monitoring and evaluation.

484. 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 resettlement; and b. Facilitate a fast approval of housing loans by assigning a special lane for APs.

485. 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 as required.

486. 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.

487. 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,

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Emancipation Patents (EP) and Certificate of Land Ownership Award (CLOA); c. In coordination with LGUs, support the MCRP PMO in land research for possible housing sites for APs; d. In coordination with LGUs, facilitate land conversion for socialized housing purposes; e. Identify agricultural land suitable for conversion to the residential use for socialized housing purposes; and f. Provide data and documents as may be needed by the EMA during project monitoring and evaluation.

488. 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 socialized housing sites; 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.

489. 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

490. 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.

491. 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;

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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.

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.

492. The RIMC is composed of the following:

Table 10-7: Composition of the RIMC

Committee Members 1 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 Main Committee (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 Head: MCRP PMO Members DOTr's Legal Office Representative Sub-committee on ROW LGU's Legal Office Acquisition LGU's Assessor’s Office Representative LGU's BPLO Representative LGU's Engineering Office Representative 3 Head: MCRP PMO Members LGU's LHO Head Sub-committee on NHA Representative Relocation CHR Representative LGU Representative Representative of formal APs 196

Committee Members Representative of Non-land owner (NLO) families 4 Head: MCRP PMO Members LGU's LEIPO/PESO/CDO DTI Representative Sub-committee on TESDA Representative Livelihood Restoration LGU's SWD Representative of legal APs Representative of Non-land owner (NLO) families CSO representative 5 Head: MCRP PMO Members DOTr's Legal Office Representative Sub-committee on LGU's Legal Office Representative Grievance Barangay Chairperson Representative of legal APs Representative of Non-land owner (NLO) families Source: JICA Design Team

493. 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 • Serve as the RIMC Chair and preside on all meetings; • Gather all other issues related to the project, ROW acquisition, Project Manager of the relocation, livelihood restoration, and grievances and discuss MCRP PMO appropriate actions with RIMC members; and • Assign a dedicated secretariat. 2 • 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; • LGU's Chief Executive 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 • Provide a legal opinion on EJS cases and other land acquisition issues; • Coordinate with NGAs and LGU offices to determine how APs can DOTr's Legal Office be assisted by the DOTr in securing documents regarding their Representative properties; • Draft and review project-related policies; and • Initiate the filing of expropriation cases if needed. 4 • Provide a legal opinion on grievances and issues related to local City Administrator/Legal policies and processes; and Office Representative • Provide a legal advice on how APs can be assisted by LGUs in securing documents regarding their properties. 5 • Provide accurate information to constituents; • Gather issues from barangay residents and businesses and Barangay Chairperson present them to the committee for discussion; and • Disseminate accurate information to barangay residents and businesses as discussed in the committee meeting.

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Agency/Organization Roles and Responsibilities 6 • Represent formal APs in the committee; • Gather issues and questions of legal APs and present them to the committee for discussion; Representatives of land • owners Make clarification on agreements and disseminate accurate information to other legal APs; and • Gather and present recommendations of land owners on resettlement options (self-relocation and assisted resettlement). 7 • 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 Representatives of non- committee for discussion; land owners/ISFs • 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 • Attend meetings and provide updates on the progress of activities/programs assigned to their respective agencies; and Representatives of PIAC • Report the status of RAP implementation at the LGU level to their member agencies TWG and PIAC representatives and inform them of implementation issues that can be addressed at the higher level of their respective agencies. 9 • Attend meetings and provide updates on the progress of tasks assigned to their office/unit; and Other members • Inform the committee on implementing issues and recommend solutions. Source: JICA Design Team

494. There are four RIMC sub-committees. Their roles and responsibilities are summarized in Table 10-9.

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Table 10-9: Roles and Responsibilities of Sub-Committees of the RIMC

Sub-committee Function Roles and Responsibilities The Sub-committee on ROWA • Monitor the issuance of the NoT; will work with the DOTr's • Review and verify the list of affected real TWC/ROWSA Committee in land properties; and other real property • Conduct due diligence on the documents acquisition. It will be composed of presented by a property claimant; representatives from the ROWSA • Expedite, as appropriate, the issuance of Committee, the DOTr's Legal certified true copies of tax declaration for Office, and the following LGU land and improvements or improvements offices: (i) Legal Office, (ii) City only as well as other documents that may Assessor’s Office, (iii) BPLO, and be required. (iv) Engineering Office. A • Expedite, as appropriate, the issuance of representative from legal APs will tax clearances; also be elected as a member of • Facilitate the issuance of business Sub-committee on this sub-committee. ROW Acquisition 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. The Sub-committee on Relocation • Validate the list of affected non-land will consist of the Local Housing owners/ISFs; Hoard (LHB) and will be chaired • Verify eligibility and pre-qualify the by mayors. 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 Sub-committee on from; Relocation • Facilitate the construction of basic and support social service facilities such as 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.

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Sub-committee Function Roles and Responsibilities The Sub-committee on Livelihood • Prepare an action plan for the LRIP in Restoration will work with the coordination with the concerned LGU DOTr's MCRP PMO in the LRIP offices, the DTI, and TESDA; implementation. It will be • Identify and address gaps; composed of representatives from • Execute the action plan along with the an LGU's creation of special programs for affected LEIPO/PESO/CDO/SWD, the APs and businesses; DTI, TESDA, and representatives • In coordination with TESDA and other from legal and informal APs. 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- Sub-committee on establishing/establishing their Livelihood Restoration 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. The Sub-committee on Grievance • Maintain the Help Desk that is accessible will work hand-in-hand with the to APs; MCRP PMO in the GRM • Provide responses or offer solutions to implementation. It will be grievances in a timely manner; Sub-committee on composed of representatives from • Endorse unresolved grievances to Grievance the DOTr's Legal Office, an LGU's appropriate levels of the GRM; and City Legal Office, Barangay • Document grievance processes that APs Chairperson, representatives of go through and how grievances are formal APs, and representatives resolved. of informal APs. Source: JICA Design Team

495. 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)

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Source: JICA Design Team

496. 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. 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; 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

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l. Facilitate the issuance of the Certificate of Compliance by the Local Housing Board (LHB) 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.

497. 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; 202 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.

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11. CHAPTER 11: RAP IMPLEMENTATION SCHEDULE

A. Implementation Schedule of Construction

498. 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. 63 Works on land that have resettlement impacts can only commence after compensation and required assistance have been provided in full. The project completion is expected by end of January 2024.

B. Schedule of RAP

499. 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. RAP Implementing Institutions

500. 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 Helpdesks were set-up in each LGU.

501. Coordination with LGUs. DOTr, through the MCRP PMO, coordinates with the LGUs and the RIMC and LHB of respective LGUs, and determines the assistance that must be provided. 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 each LGU namely: (i) IEC meetings; (ii) consultation meetings along with other agencies; (iii) Local Housing Board meeting; and (iv) other livelihood coordination meetings with each LGU.

502. 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.

503. 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 Desks were set-up in each LGU 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 10.

D. Land Acquisition

504. Issuance of Notice of Taking. Once the list of affected properties and rightful owners was identified and finalized, the list will be forwarded to the Office of the Undersecretary for Railways for his approval. Once this is secured, MCRP PMO will issue the Notice of Taking (NoT) signed by Undersecretary for Railways, through registered mail. The timely issuance of NoT provides ample time for PAPs to prepare the required documents for compensation, and so avoid expropriation due to non-submittal of such. The date when the PAP received the NoT marks the cut-off-date for legal PAPs and no more improvement of structures may be done

63 Free and clear land refers to areas without involuntary resettlement impacts, ; i.e. no legally recognizable 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. 204

thereafter. Any improvements introduced after issuance of NoT will no longer be compensated.

505. Appraisal of Affected Properties. Appraisal of affected properties to assess compensation rates for land, structures, trees and crops is to be conducted by IPA/GFI. The result of this appraisal becomes the basis of the amount indicated in the Letter Offer to each AP. Following determination of compensation to be paid, DOTr will update the RAP with respect to the updated budget and submit to ADB and JICA for review.

506. Issuance of Offer to Buy. Once the properties have been appraised and RAP has been approved by JICA and ADB, MCRP PMO will, upon submission of GFI report, start the issuance of Offer to Buy (OTB) by segment. It does not need to wait for the GFI to finish the appraisal for the whole alignment. Upon the concurrence and certification of the TWC, the Undersecretary for Railways will issue the Letter Offer through registered mail. The 30-day policy in accepting the offer starts from the day the PAP receives the Letter Offer based on the records of the registered mailing service.

507. Issuance of ADRI / Deed of Absolute Sale. An Agreement to Demolish and Remove Improvements (ADRI) and Deed of Absolute Sale will be sent to PAPs to allow DOTr to enter to the property and demolish on an agreed date after the payment of compensation.

508. Payment to APs. DOTr, upon the concurrence of the TWC, will initiate payment of compensation to PAPs after 30 days upon the issuance of Offer to Buy. Initial payment of compensation cost to legal PAPs will be paid only after DD RAP approval.

509. Expropriation Proceedings. Filing for expropriation will ensue if (i) the PAP refuses the offer of DOTr or (ii) the PAP failed to present required documents to support his/her claim of ownership to the affected property within 30 days upon receipt of Letter Offer. Expropriation proceedings is explained in detail in Chapter 4 and 6 of this RAP.

510. Relocation of Utilities. MCRP PMO will coordinate with utility owners for them to clear utilities from the ROW and ascertain if any involuntary resettlement impacts would result. DOTr will take responsibility for provision of compensation and assistance as per the requirements of the RAP in case impacts cannot be avoided.

E. Provision of Livelihood Restoration and Improvement Program

511. 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.

512. 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.

513. 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.

514. 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

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be carried out up to the end of the construction period. Details on the packages and livelihood assistance are indicated in Chapter 8.

515. 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.

F. Relocation of Utilities

516. A number of utilities will be required to be relocated from the project affected areas covered under this RAP. These utilities consist of water pipes, electrical posts, telecommunication lines, as well as high-voltage power lines. Utilities will be relocated within existing Government easements wherever possible.

517. In the event that public utilities relocation produces involuntary resettlement impacts, then such impacts will be considered as impacts under the scope of RAP and mitigated in line with the provisions of this RAP.

518. All relocation of utilities will be undertaken by the utility owners. DOTr will take responsibility for the provision of compensation and assistance to those affected in the event of utility relocation causing impacts. The relocation will be undertaken in coordination with respective utility providers and/or government entities. DOTr has set aside a provisional sum in the overall RAP budget to meet the costs of such eventualities.

519. During preparation of the DED-based RAP, detailed planning of utility relocation and assessment of potential impacts had not yet been undertaken. Accordingly, during RAP implementation, the following arrangements will be undertaken to assess, manage and mitigate potential impacts:

i. Utility owners will prepare utility relocation plans that include locations of the relocation sites, implementation arrangements and timing of the relocation. ii. Copies of these plans will be submitted to LIAC and DOTr for review and screening. DOTr will conduct due diligence and site inspections of the utility relocation sites to assess the extent (if any) of involuntary resettlement impacts, such as loss of property, displacement of livelihood or residence. iii. DOTr will prepare a due diligence report and submit to LIAC, ADB and JICA for review and comment. The report will include details of the locations of the utility relocations, existing ownership and use of the land to be used, assessment of impacts and recommendations with respect to further required actions to mitigate any identified impacts. iv. In the event that involuntary resettlement impacts are identified, DOTr will prepare an Addendum RAP describing the impacts, mitigation measures, budget and implementation arrangements in line the principles set out in the project’s Resettlement Framework. Any such Addendum RAP will require DOTr endorsement along with ADB and JICA review and concurrence. v. Relocation of utilities along with implementation of any associated Addendum RAP will be covered under the RAP’s internal and external monitoring arrangements. vi. The process of coordination between utility owners, LGUs, other relevant public entities and DOTr will be facilitated by the LIAC and RIMC.

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G. Monitoring of RAP Implementation

520. 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. (Please refer to Chapter 13 for details on internal and external monitoring.) Following finalization of the Replacement Cost Study (RCS) report prepared by the Independent Property Appraiser/ Government Financing Institution (IPA/GFI) and prior to RAP implementation, the EMA prepares a report to validate the IPA valuation methodology and that compensation unit rates are at replacement cost. Furthermore upon completion of disbursement of compensation and assistance in any given section, the EMA will prepare a completion report to provide verification if the resettlement implementation is in compliance with the provisions defined in the approved DED RAP and if payment of compensation and other entitlements to APs were in accordance with the entitlement matrix and fully disbursed to APs. The compliance report will be reviewed by ADB and JICA prior to clearance to the contractor for civil works commencement for each section.

H. Arrangements for Implementation of RAP

521. Implementation of the RAP is undertaken by the MCRP PMO with assistance from the RIMC, and in coordination with the respective LGUs. The roles and responsibilities are briefly described in Chapter 10. As reflected in the implementation schedule, the creation of the MCRP PMO, RIMC and coordination with LGUs 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

522. All information on resettlement activities – from pre-relocation to post-relocation – were made available to APs and concerned parties throughout the project in accordance with 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 Activity Responsib 2019 2020 2021 le Agency 1 2 3 4 5 6 7 8 9 1 1 1 1 2 3 4 5 6 7 8 9 1 1 1 1 2 3 4 5 6 7 8 9 1 1 1 0 1 2 0 1 2 0 1 2 Establishment of RAP Implementation Institutions Helpdesk and GRM Operations PMO, RIMC, LGU PIAC and PIAC-TWG Operations PMO RIMC Operations and Coordination LGU, PMO, with LGU PNR Coordination with LGUs LGU, PMO, PNR Appointment of AH representative in PMO, RIMC RIMC, LGU Compensation for Loss of Assets Issuance of Notice of Taking PMO Appraisal of Affected Land, Structures, PMO Crops and Trees by IPA/GFI Validate Submitted Documentary PMO Requirements from APs Issuance of Offer to Buy and/or PMO Compensate Update RAP to reflect budget based on PMO appraised values. Issuance of ADRI/Deed of Absolute PMO Sale Payment to APs PMO Expropriation Proceedings (if PMO applicable) Clear ROW APs, PMO, LGU Relocation of Utilities

Preparation of due diligence report on PMO utility relocation Preparation of Addendum RAP PMO covering utility relocation as required. Provision of LRIP LRIP Implementation PMO

Monitoring of RAP Implementation

Conduct Internal and External PMO, EMA Monitoring Source: JICA Design Team and DOTr

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

523. The estimated cost for implementing the RAP for the MCRP (Clark Extension) is PhP 7,409,600,709 as presented in Table 12-1.

524. The budget in this version of the RAP is based on values prepared by a licensed appraiser during RAP preparation which is considered to be a sound basis for the budget estimate.

525. Final appraisal of affected properties to assess compensation rates for land, structures, trees and crops is to be conducted by IPA/GFI. The result of this appraisal becomes the basis of the amount indicated in the Letter Offer to each AP. (Chapter 4, Section J describes the principles and methodology for determining compensation at replacement cost.)

526. The RAP budget will be updated and finalized during the implementation of this RAP following assessment of the documentary requirements submitted by the APs and reports from the independent property appraiser. DOTr as the implementing agency shall provide fund allocation for the implementation of this RAP.

527. Following determination of compensation to be paid, DOTr will update the RAP with respect to the updated budget and submit to ADB and JICA for review and this will serve as the basis for RAP implementation monitoring.

Table 12-1: Estimated RAP Implementation Cost

Activity Cost Item QTY & UNIT Amount (PhP) Remarks Estimated based on the Land 701,517 m2 3,286,238,300 market values. Estimated based on A. Land and 2,066 Structures 1,401,019,738 replacement cost as defined Structures structures Acquisition in R.A. 10752 Cost for transfer, land title Associated Cost Assortment 263,606,439 registration and issuances Subtotal for (A) 4,950,864,477 For PAPs who will self- relocate, rental subsidy will Rental Subsidy for 514 trucks 38,550,000 be provided equivalent to 5 Self-Relocation months of rental payment for an alternative dwelling Transportation to the new dwelling inclusive of Transportation 514 HH 5,140,000 transportation of household Assistance furniture and salvageable B. materials Resettlement Connection fee for water, Assistance Reconnection fee for 514 HH 8,527,779 electricity, telephone and utility internet PhP 150 for relocating PAPs 2,418 HH Food Allowance 1,089,000 during relocation schedule members (3 days) Allowance on Hardship Due to Inconvenience allowance Vulnerability and 242 HH 2,996,240 for vulnerable households Persons Requiring and MAT Special Care

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Activity Cost Item QTY & UNIT Amount (PhP) Remarks

Subtotal for (B) 56,303,019

Compensation for income 605 Businesses loss for micro business Income Loss declared incomes, including 391,508,117 (enterprise) 14 Institutional cash compensation for Enterprises income losses for 6 months and transitional cost. 605 trucks for businesses Transportation to the new Transportation place of business inclusive 6,190,000 Assistance 14 trucks for of transportation of minor Institutional movable assets. Enterprises Income Loss Compensation for income 2,538 APs 146,565,957 (employee) loss for employees/workers Compensation equivalent to the average gross harvest Income Loss for the past 3 years, not less (agricultural tenants 5 AP - than PhP 15,000/hectare. and sharecroppers) C.Livelihood Cannot estimate due to non- Assistance reporting of income. Disturbance compensation equivalent to 5 times the Income Loss average gross harvest for (landowners or 9 PAPs - the last 5 years on the lessees directly principal and secondary engaged in farming) crop. Cannot estimate due to non-reporting of income. 170 Business (with land owner’s Rental Subsidy permission) Rental subsidy equivalent to (Business Enterprise 8,235,673 3 months prevailing rate in and Institutions) 9 Institutions (with the vicinity of equal size. landowner’s permission) Cost to be transferred to LRIP Cost Assortment 71,329,500 NGAs and LGUs for the organization of trainings Subtotal for (C) 623,829,247 Compensation for Market value of potentially fruit-bearing, and 2,662 16,619,689 affected fruit and timber timber trees trees and other crops. Market value of potentially affected aquaculture produce.

Aquaculture produce is Compensation for D. Non-land - - expected to be either aquaculture produce asset and harvested or transferred at improvement time of land acquisition. Any residual stock will be assessed prior to displacement. Contingency cost for 20% of compensation for payment of annual 3,323,938 crops and trees crops Subtotal for (D) 19,943,627 210

Activity Cost Item QTY & UNIT Amount (PhP) Remarks Cost for RAP Budget for operating RIMC Implementing 7 LGUs 10,500,000 and LIAC Institution Office supplies and Cost to operate GRM 7 LGUs 5,479,200 recurring expenses to E. RAP operate the Help Desk Cost for continuing Implementati Printing of information on and information 7 LGUs 190,000 materials Monitoring disclosure Internal Monitoring 48 months 4,800,000 During RAP Implementation Cost External Monitoring Once 9,000,000 Mobilization of EMA Cost Subtotal for (E) 29,969,200 Total 5,680,909,569 (A+B+C+D+E) F. Provision of Public 990,172,895 20% of Total (A) Administrativ Access64 e and Administrative Cost 170,427,287 3% of Total (A+B+C+D+E) Contingency 568,090,957 Cost Contingency 10% of Total (A+B+C+D+E) Grand Total (A+B+C+D+E 7,409,600,709 +F)

A. Cost of Required Land

528. The Project requires that acquisition of 701,517 square meters of land, estimated to cost PhP 3,286,238,300 at current market value. This estimate of land area and total cost includes the acquisition of residual land due to severe impacts. Actual compensation per land owner can only by determined during the implementation of the RAP when documentary requirements have been submitted by the APs and once the independent property appraiser has completed its calculations.

Table 12-2: Summary of Affected Lands and Costs

City/ Estimated Project 2 Total Cost (PhP) Municipality Land Take (m ) Malolos 23,130 146,611,116 Calumpit 140,681 546,035,024 Apalit 46,149 28,671,074 Minalin 29,945 8,684,000 Sto Tomas 14,178 26,946,900 San Fernando 349,659 1,745,903,406 Angeles 97,775 783,386,780 Total 701,517 3,286,238,300

B. Replacement Cost of Affected Structures

529. 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.

64 Additional land and structure acquisition will be needed for the provision of access in the event of land locked or loss of access to/from communities adjacent to the project ROW. 211

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). Actual compensation for structures can only by determined during the implementation of the RAP when documentary requirements have been submitted by the APs and once the independent property appraiser has completed its calculations.

C. Resettlement Assistance

530. Rental Subsidy. The rental subsidy is given to availing households based on the prevailing rental rate in the respective LGU based on the information given by the LGU.

Table 12-3: Cost of Rental Subsidy

Monthly Rental No. of Provided Total Amount City/Municipality Fee by LGU Beneficiary Months (PhP) (PhP) Malolos 14 15,000 5 1,050,000 Calumpit 66 15,000 5 4,950,000 Apalit 28 15,000 5 2,100,000 Sto. Tomas 10 15,000 5 750,000 San Fernando 295 15,000 5 22,125,000 Angeles 101 15,000 5 7,575,000 Total 38,550,000 Source: DOTr/GCR

531. 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 No. of City/Municipality Cost (PhP) Sub-Total Beneficiary Water Malolos 14 135,968 Calumpit 66 640,992 Apalit 28 271,936 9,712 Sto. Tomas 10 97,120 San Fernando 295 2,865,042 Angeles 101 980,912 Sub-Total 4,991,968 Electricity Malolos 14 64,120 Calumpit 66 302,280 Apalit 28 128,240 4,580 Sto. Tomas 10 45,800 San Fernando 295 1,351,100 Angeles 101 462,580 Sub-Total 2,354,120 Others65

65 Reconnection cost for internet and landline bundle shall be provided for those who have existing connection. 212

Malolos 14 32,186 Calumpit 66 151,734 Apalit 28 64,372 2,299 Sto. Tomas 10 22,990 San Fernando 295 678,205 Angeles 101 232,199 Sub-Total 1,181,686 Total 8,527,774 Source: JICA Design Team

532. Transportation assistance. Transportation assistance will be provided in terms of hiring trucks to transport relocating APs, including their families and belongings. The cost for transportation assistance for relocating households is calculated based on PhP 10,000 per household. Table 12-5: Cost of Transportation Assistance Transport No. of Total Amount City/Municipality Assistance Beneficiary (PhP) (PhP) Malolos 14 10,000 140,000 Calumpit 66 10,000 660,000 Apalit 28 10,000 280,000 Sto. Tomas 10 10,000 100,000 San Fernando 295 10,000 2,950,000 Angeles 101 10,000 1,010,000 Total 5,140,000 Source: DOTr

533. Should businesses and institutional establishments require transportation assistance of movable assets, transport assistance will be provided. The cost for transportation assistance for estimation purposes will be PhP 10,000 per business or establishment.

534. Food Assistance. Food allowance will be provided to relocating APs. 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 Food City/ Total Amount Beneficiary Allowanc No. of Days Municipality (PhP) (PAP) e (PhP) Malolos 61 150 3 27,450 Calumpit 292 150 3 131,400 Apalit 147 150 3 66,150 Sto. Tomas 68 150 3 30,600 San Fernando 1359 150 3 611,550 Angeles 493 150 3 221,850 Total 1,089,000 Source: JICA Design Team

D. Allowance for Hardship Due to Vulnerability

535. Inconvenience Allowance. As stipulated in Item 29 of the Entitlement Matrix (Chapter 6, Table 6-2) vulnerable groups will be entitled to an inconvenience allowance equivalent to PhP 10,000 per household. Households with more than one vulnerability may be provided additional assistance.

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Table 12-7: Cost for Inconvenience Allowance No. of Beneficiary Amount of Cost of Inconvenience (AH) Allowance Allowance (PhP) 242 10,000 2,420,000 Source: JICA Design Team

536. 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 3 (Refer to Table 3-8 and 3-9).

537. A total 343 households 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).66

Table 12-8: Cost for Special Assistance

No. of Remuneration Cost of Special No. of No. of Category Assisting for MAT Assistance PAH Days Staff (PhP) (PhP) Malolos 13 2 420 2 21,840 Calumpit 39 2 420 2 65,520 Apalit 21 2 420 2 35,280 Minalin 0 2 420 2 0 Sto. Tomas 6 2 420 2 10,080 San Fernando 192 2 420 2 322,560 Angeles 72 2 420 2 8,400 Total 343 576,240 Source: DOTr

E. LRIP Cost

538. The Livelihood restoration and improvement Program (LRIP) cost is 617,639,247 as detailed in Table 12-1.

F. RAP Implementation and Monitoring

539. The budget for the implementation and monitoring was accounted in this RAP. Important items in the budget include the internal and external monitoring.

540. 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 when necessary. The cost in lump sum for the internal monitoring is summarized in Table 12-16. Table 12-9: Budget for Internal Monitoring Cost per Month Total Item Duration (PhP) (PhP) Internal Monitoring 48 Months 100,000 4,800,000 Source: DOTr

66 Minimum daily wage rate in Pampanga as per DOLE Wage Order No. RBIII-22 effective January 1, 2020. 214

541. 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 12-17. Table 12-10: Budget for External Monitoring

Item Duration Total (PhP) Mobilization of EMA 48 months 9,000,000 Source: DOTr

G. Funds for RAP Implementation

542. 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.

543. 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.

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13. CHAPTER 13: MONITORING AND EVALUATION

544. 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 policy guidelines. 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

545. 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 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 11).

B. Institutional Arrangement

546. 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

547. 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

548. 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

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EMA can be found in Appendix 11. 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.

E. Reporting

549. 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

Internal External Responsible Submit to Type of Report Frequency Monitoring Monitoring Party Whom EMA Inception One month after 1 EMA DOTr, JICA, Report ✓ mobilization and ADB⇒ Monthly submission Monthly from the 2 Monitoring commencement of RAP MCRP PMO MCRP PMO ✓ Report validation on the progress Quarterly submission Quarterly from the MCRP PMO 3 Monitoring commencement of RAP MCRP PMO JICA and ✓ Report validation until ADB completion of the loan ⇒ 4 RCS Following finalization of EMA DOTr, JICA, ✓ Verification the IPA/GFI and ADB Report Replacement Cost Study report and prior to updated RAP implementation Post- (i). Upon the completion MCRP PMO completion of payments of MCRP JICA and 4 Evaluation ✓ ✓ compensation and PMO/EMA ADB Report assistance of any ⇒ 217

Internal External Responsible Submit to Type of Report Frequency Monitoring Monitoring Party Whom given section to be handled over for civil works. (ii).six months following completion of relocation to permanent relocation sites (iii). two years after the completion of relocation focusing on the Livelihood Restoration and Improvement Program (LRIP) Semi- MCRP PMO annual JICA and Every six months until Monitoring MCRP ADB 5 the end of the loan and ✓ ✓ PMO/EMA EMA⇒ closing Evaluation DOTr, JICA, Report and ADB⇒ MCRP PMO JICA and Final MCRP ADB 6 Upon loan closing Report ✓ ✓ PMO/EMA EMA⇒ DOTr, JICA, and ADB⇒

550. 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.

551. 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; • Compensation and assistance disbursement compared to resettlement budget; • Identification and resolutions of outstanding issues of the previous months and pending issues; and • Recommendations and solutions compared to challenges faced during implementation.

552. 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 10. 218

553. Replacement Cost Study Verification Report. Following finalization of the RCS report prepared by IPA/GFI and prior to RAP implementation, the EMA prepares a report to validate the IPA valuation methodology and that compensation unit rates are at replacement cost.

554. Post-completion and evaluation Reports. The MCRP PMO and EMA will both separately prepare post-completion and evaluation reports at the following stages of the RAP implementation: (i) upon completion of compensation disbursement and assistance with regards to any given section to be handed over for civil works. The report will include verification if the resettlement implementation is in compliance with the provisions defined in the approved DED RAP and verification if payments of compensation and other entitlements to APs were in accordance with the entitlement matrix and fully disbursed to APs. The report will include a section on vulnerable APs. The compliance report will be reviewed by ADB and JICA and disclosed on ADB website prior to clearance to the contractor for civil works commencement for each section; (ii) three months after completion of compensation payment for the entire RAP; (iii) six months following completion of relocation to permanent relocation sites; and (iv) two years after completion of relocation focusing on the livelihood restoration and improvement program (LRIP). Where both the PMO and EMA are preparing reports covering same subjects, the EMA’s report will include verification of information provided in the internal monitoring report prepared by the PMO. Through the reports, the evaluation will be made in accordance with the agreed monitoring indicators and reporting formats to assess the extent to which living standards and livelihood of APs are viable and meet at least national minimum standards. The assessment will also indicate whether the provided assistance is appropriate and whether the DOTr needs to modify its assistance to enable the achievement of the RAP objectives.

555. 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.

556. Semi-annual Monitoring and Evaluation Report. This will be undertaken by the PMO and the EMA every six months until loan closing.

557. 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

558. 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.

559. The indicative internal monitoring indicators are shown in Table 13-2 and the guide questions are indicated in Table 13-3. Table 13-2: Indicative Monitoring Indicators for Internal Monitoring No. Category Checklist Means of Verification Institutional Establishment of necessary institutions within DOTr MCRP PMO structures 1 arrangement the DOTr for the RAP implementation and related orders for the RAP (names/dates of establishment)

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No. Category Checklist Means of Verification implementati Status of signing of an on and agreement/Memorandum of Agreement Status of MOAs capacity (MOA) with other/external agencies building (names/dates of signing) Status of recruitment of land acquisition and Monthly record of staff number resettlement staff and their assigned position Details of capacity building of the staff Training records and engaged in the RAP implementation attendance sheets Details of orientation workshops for other/line Training records and agencies involved in the RAP implementation attendance sheets Availability of required funds with the DOTr Allocated funds compared to for the RAP implementation as planned planning Fund DOTr fund transfer records availability 2 Allocation of funds to resettlement agencies and hearing from agencies on and as per schedule (names of agencies/dates of downloaded funds and dates allocation transfer/amount etc.)

Number of Informal Settler Families Finalized Masterlist (ISF)s/APs DOTr records of issued Issuance of the Notice of Taking (NoT), the NoT/OTB compared to Offer to Buy (OTB), etc. planning Identification and verification of ISFs/APs DOTr validation records Identification and verification of APs eligible DOTr validation records for housing schemes Identificatio Identification and verification of APs eligible DOTr validation records, NHA 3 n and for social housing schemes validation records notification Identification and verification of APs ineligible DOTr validation records/NHA for social housing schemes validation records Identification and verification of vulnerable DOTr validation records APs Identification and verification of other APs DOTr validation records with no permanent dwelling Identification and verification of Land Final list of LRIP Beneficiaries Restoration and Improvement Plan (LRIP) beneficiaries Number of Available social housing units with NHA list of available housing the NHA units Record of organized housing Number of Organized of Housing Exhibits exhibits and participant lists Actual status of housing Progress and schedule of housing development compared to construction by the NHA planned schedule and the latest schedule Number of consultation and agreement with Resettlemen Records of consultations and APs on available housings conducted and t preparation agreements 4 agreed and site Actual status compared to selection Status on the creation of social infrastructure planned schedule and the at resettlement sites latest schedule. Number of consultation and site selection by Records of consultations and APs participant lists Number and status of signing of agreements Signed agreements with APs for social housing units Actual status compared to Progress and schedule of delivery of social planned schedule and the housing units latest schedule. Payment of Status of completion of a validation and Government Financing 5 compensatio replacement cost survey Institution (GFI) reports 220

No. Category Checklist Means of Verification n and self- Status of finalization of the Masterlist for self- Finalized Masterlist relocation relocation Record of payment status Payment of full compensation for land, compared to planned structures, and other payments schedule and properties/improvements/assets amount, and Interview to APs Record of payment status Details of payment of various assistances to compared to planned APs (including rental subsidies, food payments schedule and allowances, transportation allowances, etc.) amount, and Interview to APs Record of payment status Status of payment of various assistance for compared to planned APs payments schedule and amount, and Interview to APs Record of payment status Number of APs who receive special compared to planned vulnerable assistance payments schedule and amount, and Interview to APs Number of Signed Agreement to Demolish Signed ADRIs and Interview to and Remove Improvement (ADRI) APs Number of APs availing of social housing Final Masterlist units and Pag-IBIG housing support DOTr / NHA records on AP’s Number of APs resettled Project- resettlement status 6 assisted DOTr records of relocation Number APs who relocate to temporary resettlement status to temporary accommodation accommodation Number of APs who receive special DOTr records of provision vulnerable assistances status of special assistance Number of consultation with APs during Record of consultations and resettlement preparation participant lists Number of consultation with APs for site Record of consultations and selection participant lists Consultation Number of disclosure of communication 7 and List of distributed materials materials including construction schedules disclosure and Interview to APs disseminated Record of consultation / Number of women and vulnerable attendance sheet and groups/people participated in consultation Interview to APs Number of identified livelihood restoration Finalized LRIP for each APs and improvement measures Number of identified APs with specific Finalized LRIP Beneficiary list livelihood restoration program Number of signed agreement with service Signed MOAs / Agreements providers Records of Workshop and Number of conducted LRIP workshops attendance sheet Number of assistance provided for financial Records of provided 8 LRIP management assistance/organized trainings Records of provided Number of Assistance provided for securing assistance/provided soft loans soft loans and participant lists List of provided trainings and Number of provided Vocational trainings participant lists Number of employment opportunities to APs Records of Job fairs/APs who during construction of the project versus the were hired and participant lists percentage of APs who obtain employment Operational phone numbers 9 GRM Number of the Hotline established Records of phone calls 221

No. Category Checklist Means of Verification Number of operational Help Desks / RIMC Record of grievances received Sub-committee on Grievance and addressed per level

Established Held Desk with Number of established and operational Help photos Desks

Record of trainings and Number of training for GRM staff completed participant lists Number/type of grievances received at each GRM records in the GRM level database GRM records in the GRM Number of resolved/unresolved grievances database Number/type of public facilities to be restored Verified As-build Masterlist Restoration DOTr records/Onsite visit 10 of public Number/type of public facilities restored compared to As-build facilities Masterlist Total Area/length of the ROW handed over Handover of MOA by the PNR 11 land for civil Total Area/length of other government-owned works MOA land handed over Number of woman-headed families Final AH Masterlist Record of AHs’ relocation Number of woman-headed families which opt preference based on DOTr for self-relocation validation Final AH Masterlist compared Number of woman-headed families which to records of compensation receive full compensation payment Final AH Masterlist compared Number of woman-headed families which Gender- to records of assistance receive all kinds of assistance disaggregat provided ed Number of woman-headed families which opt Final list of beneficiaries of resettlement 12 for assisted relocation social housing and Number of women's group consultation rehabilitatio MOMs, attendance sheets meetings organized n Final AH Masterlist compared information Number of woman-headed families which to records of compensation complete self-relocation payment Number of woman-headed families which Final list of beneficiaries of obtain assisted-relocation social housing Number/type of the LRIP opted by woman- Final list of LRIP beneficiaries headed families Number/type of the LRIP participated by Records of organized trainings woman-headed families and participant lists Source: DOTr Table 13-3 Guide Questions for Internal Monitoring

No. Category Guide Questions Means of Verification Have all land acquisition and resettlement DOTr's MCRP PMO list of staff and staff been appointed and mobilized for field MCRP PMO Organizational and office works on time to meet the RAP structure implementing schedule? Organized trainings and Recruitment, attendance sheets compared to 1 training, and Have capacity building and training activities planned schedule deployment on the GRM been completed on schedule? Post Activity Report/Minutes of the conducted trainings Are all DOTr staff attending to GRM Organized GRM trainings and concerns provided with sufficient training attendance sheets and orientations prior to deployment? 222

No. Category Guide Questions Means of Verification Competency assessment before deployment Are funds for resettlement and livelihood Transfer records compared to being allocated to resettlement agencies on planned schedule time? 2 Budget Transfer records compared to Have KSAs received the scheduled funds? planned schedule Have funds been disbursed according to the Records of disbursement RAP? compared to RAP Were RAP Implementation Management MOA and meeting minutes Committees (RIMCs) established and compared to planned mobilized as planned? implementation schedule Are resettlement activities being achieved Records of resettlement activities compared to the agreed implementation status compared to implementation schedule? schedule Was the validation of GFIs pertaining to fair Submission of valuation reports market values for land, crops, and trees and compared to the planned replacement costs for structures and implementation schedule improvements completed on time? Records of the implemented LRIP 3 Timeframe Has the LRIP phase started as scheduled? compared to the planned implementation schedule Have all NoT been issued to property Records of issuance of the NoT owners? compared to the Masterlist Records of the issuance of OTB Were all OTB delivered on time? compared to the implementation schedule and the Masterlist Was due diligence of submitted ownership Comparison with the planned documents completed on time? implementation schedule Records of land acquisition Have all lands been acquired and vacated on compared to the Masterlist and the time for project implementation? planned implementation schedule Has the final Entitlement Matrix (EM) Records of SCMs and attendance updated during the DD Phase been sheets presented to APs? Have all APs received entitlements Records of payment for according to amounts and categories of the compensation compared to the loss set out in the EM? planning, and interview to APs Records of payment for Have APs received payment for affected compensation compared to the structures and lands on time? planning, and interview to APs Have APs received the agreed transport Records of payment for costs, relocation costs, income restoration compensation compared to the Delivery of support, and any resettlement allowances, planning, and interview to APs compensatio according to schedule/as required? 5 n and Have replacement land plots or contracts List of the provided replacement entitlements been provided? Was the land developed as lands compared to the planning, specified? Are measures to provide land and interview to APs titles to AHs ongoing? Final Masterlist of ISFs and record How many APs have received housing as of social housing allocation by the per relocation options in the RAP? NHA Site visits to check the occupancy Are APs occupying new houses? and NHA record of payment of amortization Are assistance measures being Records of assistance provided to implemented as planned for host host communities and interviews to communities? LGUs

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No. Category Guide Questions Means of Verification DOTr record on number of the Is restoration proceeding for social provided social infrastructure and infrastructure and services conducted? interviews to LGUs Have affected businesses received DOTr record on payment for entitlements including transfer and compensation comparing to the payments for the net loss resulting from lost plan, and interviews to APs business and stoppage of production? Have relocation sites been selected and Verification of location, site developed as per agreed standards? development plans and site visits Verification of constructed housing Does the housing quality meet the agreed and basic infrastructure provided standards? compared to agreed standards in the RAP Location of social infrastructure Are APs able to access schools, health Resettlemen from the relocation sites and 6 services, and cultural sites at the pre- t interviews to APs and comparison relocation level? with the SES Was rental subsidy for a temporary Records of Landbank accommodation provided on time and are disbursement and visit to APs renting/staying per agreed standard? temporary accommodations Submission of documents required Have APs found temporary accommodations for rental subsidies compared to on time? planned schedule Are income and livelihood restoration activities being implemented as set out in the plan? For example, the utilization of Comparison of records of replacement land, the commencement of organized LRIP activities compared production, the number of APs trained and to the planned ones provided with jobs, micro-credit disbursed, the number of income-generating activities assisted. Number of APs who participated in How many eligible APs have participated in organized trainings compared to the LRIP? finalized list of LRIP beneficiaries 7 LRIP Among the eligible APs, how many are poor, elderly, single headed households and Number of soft loans provided PWD? compared to finalized list of LRIP beneficiaries Has the livelihood of APs been restored or Interviews to APs and comparison improved? with the SES Number of organized job fairs Were job fairs organized as planned? How compared to planned, and many? participant lists Were APs hired for construction-related Monthly reports from contractors on jobs? (i) how many are vulnerable people? the number of hired APs (ii) how many are women? Records of SCMs and attendance Have all post-RAP SCMs been conducted sheets compared to prior to RAP implementation? implementation activities, photo documentation Public Have other types of consultations taken Records of consultations compared participation place as scheduled including meetings, to schedule and attendance sheets, 8 and groups, and community activities? photo documentation consultation Number and type of distributed Have appropriate resettlement information information education dissemination materials (i.e., leaflets) been communication materials and prepared and distributed? interviews to APs to verify the appropriateness

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No. Category Guide Questions Means of Verification How many APs know their entitlements? Interviews to APs How many APs know if they have been 2nd SCM minutes of the meeting qualified to receive entitlements? How many APs have used the grievance GRM action status recorded in the redress procedures? GRM database What were the outcomes? Were sufficient number of staff allocated at List of Help Desk staffing compared each Help Desk? to planning Were appropriate tools and resources List of provided resources provided at each Help Desk? compared to planning GRM action status recorded in the 9 GRM Were complaints and grievances addressed GRM database and interview to in a timely manner? APs GRM action status recorded in the Have grievances been resolved? GRM database How many cases were resolved at the levels GRM action status recorded in the of the Help Desk, the RIMC, and the PIAC? GRM database How many court cases were filed due to GRM action status recorded in the unaddressed grievances? GRM database on court cases filed What changes have occurred in patterns of Interview with APs and comparison occupation, production, and resource use with the SES results compared to the pre-project situation? What changes have occurred in income and expenditure patterns compared to the pre- Benefit project situation? What have been changes Interviews with APs and monitoring / in costs of living compared to the pre-project comparison with the SES results 10 Impact situation? Have AHs’ incomes kept pace with Evaluation these changes? What changes have taken place in key social Interviews with APs and and cultural parameters relating to comparison with the SES results monitoring indicators? What changes have occurred for vulnerable Interviews with APs and groups? comparison with the SES results Source: DOTr

560. 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 have 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 Establishment of the MCRP PMO with DOTr MCRP PMO structures and required staffing for the RAP related order implementation Adequacy of knowledge and experience of the MCRP PMO for the RAP Discussions with the MCRP PMO Institutional implementation arrangement Discussions with the MCRP PMO 1 for the RAP Effectiveness of capacity-building measures and record of trainings with undertaken implementati participant lists on Consultations with the DOTr, Establishment of the PIAC Order issued related PIAC, Signed MOA Signing of MOA with the NHA Signed MOA Establishment of the RIMC Signed MOA with LGUs 225

No. Category Basis for Indicators Means of Verification Establishment of the GRM as per RAP Consultations with the DOTr provision Visit to Help Desk Allocated funds compared to Availability of required fund with the DOTr planning DOTr transfer records compared Allocation of funds to resettlement agencies to planning and hearing from as per schedule agencies on downloaded funds and dates Finalization of the RAP during the DD Review of the RAP Phase Review of the RAP and Compliance of RAP with JICA and ADB comparison with the JICA policies Guidelines and ADB SPS Review of the RAP Interviews with APs on the Adequacy of entitlement provision adequacy of provided entitlements

Availability and adequacy of SES database Adequacy of Verification of the SES database based on DD surveys 2 resettlement Verification of RCS for structures, trees and Review of RCS planning crops Interview with APs on the - adequacy of methodologies and compensation amount and ability standards for determining compensation to replace affected assets rates; - ability of APs to replace affected assets with the compensation received Establishment of an internal monitoring Discussions with the MCRP system PMO/Internal Monitoring reports Availability, accessibility, and adequacy of Internal Monitoring reports internal monitoring reports Records of disbursement Disbursed compensation as per EM compared to plan Records of disbursement Disbursed entitlement on time and before compared to the planned displacement schedule Records of issuance of the Adequate time given through a notification notification compared to the plan for self-relocation Interviews with APs Records of provided replacement Number of replacement land plots provided land Quality of new plots and issuance of land Interview with APs titles Issued land titles List of NHA provided social Delivery of Availability of social housings housing compared to final list of 3 entitlements beneficiaries Number of NLOs/ISFs provided with Records of stakeholder adequate information to avail of social consultations and attendance list housings Consultations with APs Participation of NLOs/ISFs in selection and Records of stakeholder design of social housing locations and consultations and attendance list options Consultations with APs Field verification compared to set Quality of social housings standards Interviews with APs Availability of infrastructure at relocation On-site verification compared to sites plan Availability of transitional rental assistance Records of disbursement until availability of housing schemes compared to planning

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No. Category Basis for Indicators Means of Verification Project assistance for APs who opted for Records of provided assistance social housings compared to planning Records of disbursement Timely disbursement of agreed assistance compared to planning and to APs interviews with APs Records of APs provided with Number of special assistance provided for special assistance compared to vulnerable APs in the resettlement process planning APs’ satisfaction with availed social Interviews with APs housings Consultations organized as scheduled Records of consultations including meetings, groups, and community compared to planning activities Knowledge of APs on their entitlements Interviews with APs Conduct of consultation meetings Records of consultations and exclusively with women participant lists Conduct of consultation meetings Records of consultations and exclusively with vulnerable groups participant lists Consultation Dissemination of communication materials 4 and List of distributed material grievances to APs in local languages Knowledge of APs about the GRM including Interviews with APs Help Desks Accessibility of the GRM to APs Interviews with APs Information on resolution of grievances GRM database records Timing of grievances redressed as per GRM database records schedule Interviews with APs Proper communication on GRM decisions to GRM database records APs Inclusion of APs under rehabilitation programs (data disaggregated by gender Final list of LRIP beneficiaries and vulnerable group) Availability/ Adequacy of Interviews with APs vocational/entrepreneurial training Record of provided trainings Interviews with APs Availability of soft loans for APs Record of provided soft loans Interviews with APs Availability of employment opportunities. Record of organized job fairs Degree of satisfaction with support received Interviews with APs for livelihood programs Number of successful enterprises (data disaggregated by gender and vulnerable Interviews with APs 5 LRIP group) Number of displaced persons who improved Interviews with APs their incomes (data disaggregated by Comparison with the SES results gender and vulnerable group) Number of displaced persons who improved Interviews with APs their standard of living (data disaggregated Comparison with the SES results by gender and vulnerable group) Number of displaced persons with agricultural replacement land (data Record of provided replacement disaggregated by gender and vulnerable land group) Quantity of land owned/contracted by displaced persons (data disaggregated by Interviews with APs gender and vulnerable group) Changes occurred in patterns of Benefit Interviews with APs 6 occupations, production, and resource use monitoring Comparison with the SES results compared to the pre-project situation 227

No. Category Basis for Indicators Means of Verification Changes occurred in income and Interviews with APs expenditure patterns compared to the pre- Comparison with the SES results project situation Changes occurred in key social and cultural Interviews with APs parameters Comparison with the SES results Interviews with APs Changes occurred for vulnerable groups Comparison with the SES results Source: DOTr Table 13-5: Guide Questions for External Monitoring

No. Category Guide Question Means of Verification ROW How many APs who signed Agreement to Records of land acquisition 1 acquisition Demolish and Remove Improvements negotiations process (ADRIs) vacated structures as agreed? Were entitlements disbursed according to Records of disbursement the number and category of losses set out compared to EM and Masterlist in the Entitlement Matrix? Was disbursement made to meet the Records of disbursement timelines? compared to schedule Has the identification of displaced persons losing land temporarily, e.g., through soil Records of validation activities disposal, borrow pits, contractors’ camps, been included? Was disbursement of the agreed transport costs, relocation costs, income substitution Number of soft loans provided support, and any resettlement allowances compared to the schedule made in a timely manner according to the schedule? Records of the provision of Delivery of Were replacement land plots provided? 2 replacement land, issued land entitlements What was the quality of new plots and titles issuance of land titles? Interviews with APs Are social infrastructure and services List of constructed social restored? infrastructure compared to plan Are LRIP activities being implemented as Records of the land-for-land set out in the program, for example, utilizing provision replacement land, commencement of Number of organized trainings production, the number of the displaced and attendance sheets persons trained for employment with jobs, Number of organized job fairs microcredit disbursed, the number of Number of provided soft loans assisted income-generating activities? Have affected businesses received Records of payment of entitlements, including transfer and compensation compared to payment for the net loss resulting from lost Masterlist businesses? Are consultations organized as scheduled Records of SCMs compared to including meetings, groups, and community plan activities? Do APs have knowledge of entitlements? Interviews with APs Consultation How many APs have used the Help Desk 3 and GRM database records grievances (GRM)? How many cases have been resolved? GRM database records Which information on the implementation of the social preparation phase is available to Interviews with APs APs? How many general meetings were held (for Records of SCMs, attendance both men and women)? lists

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No. Category Guide Question Means of Verification What is the percentage of women out of Records of SCMs, attendance total participants? lists How many meetings were held exclusively Records of SCMs, attendance with women? lists How many meetings were held exclusively Records of SCMs with vulnerable groups? How many meetings were held at new Records of SCMs sites? How many meetings were held between Records of SCMs hosts and displaced persons? Communicat 4 What is the level of participation in meetings ions and Records of SCMs, attendance (data disaggregated by gender and participation lists vulnerable group)? What is the level of information Records of SCMs communicated? Is it adequate or Interview with APs inadequate? Records of SCMs with disclosed Was information properly disclosed? information Interview with APs Records of SCMs with disclosed Were translations of information disclosure information in the local languages available? Interview with APs Were land acquisition and resettlement staff Staffing records compared to appointed and mobilized on schedule for planning field and office works? Were capacity building and training Records of trainings compared to activities completed on schedule? planning Were resettlement implementation activities Records of disbursement achieved compared to the agreed compared to planning implementation plan? Were the funds for resettlement agencies Records of fund transfer Budget and allocated on time? compared to schedule 5 time frame Were the scheduled funds received by Records of fund transfer and resettlement offices? interview with resettlement offices Records of fund transfer Were the funds disbursed according to the compared to arrangements in the RAP? RAP Record of organized activities Was social preparation implemented as per compared to the implementation schedule? schedule Was land acquisition and occupation in time Records of land acquisition for implementation? compared to schedule Were APs provided with adequate information, consulted on their preferences, Records of consultations and guided on procedures to avail of social Interview with APs housings? Did APs participate in selection and design Record of meetings of social housing locations and options? Interview with APs Final list of social housing What is the number and percentage of APs Resettlemen beneficiaries compared to provided with social housing programs? 6 t and Masterlist of AHs relocation Were social housings provided to relocating NHA records of provision of APs timely? housing compared to schedule Onsite verification of relocation Was the quality of social housings provided sites compared to provision of the to APs sufficient (i.e., suitability of locations, RAP utilities, and access to social services)? Interview with APs Was transitional assistance such as Disbursement records compared transportation allowances provided? to plan 229

No. Category Guide Question Means of Verification Records of Landbank Was rental assistance provided until social disbursement of rental subsidies housing is available for eligible APs? compared to Masterlist and record of resettlement to social housing Records of NHA amortization What is the percentage of relocated APs payment collection compared to who are able to pay amortizations? Masterlist What is the percentage of relocated APs Interviews with APs satisfied with social housings and the List of APs occupying the social remaining in social housings? housing Was the management of the NHA Auditing with the NHA adequate? Interview with APs What is the number of displaced persons under the rehabilitation programs (data Final list of LRIP Beneficiaries disaggregated by gender and vulnerable group)? What is the percentage of APs eligible for Final list of APs who registered for LRIP assistance who registered in the the LRIP compared to the list of program (data disaggregated by gender LRIP beneficiaries and vulnerable group)? What is the percentage of eligible APs Record of APs who applied to soft applying for soft loans? loans compared to Masterlist Record of APs who were provided What is the percentage of successful soft with soft loans compared to the loan applications? list of APs who applied What is the number of displaced persons/eligible APs who received Records of organized trainings vocational/entrepreneurial training (data and attendance lists compared to disaggregated by gender and vulnerable final list of LRIP beneficiaries group)? What are the types of training and the Records of organized trainings number of participants in each? and attendance lists What is the number and percentage of displaced persons covered under livelihood List of LRIP beneficiaries 7 LRIP programs (data disaggregated by gender compared to Masterlist of AHs and vulnerable group)? What is the number of displaced persons who have restored their income and Interviews with APs livelihood patterns (data disaggregated by gender and vulnerable group)? How many new jobs were generated? Interviews with APs Records of participation of APs What is the extent of participation in compared to list of beneficiaries of rehabilitation programs? LRIP Records of participation in training What is the extent of participation in programs compared to list of vocational training programs? beneficiaries of LRIP What is the level of satisfaction with support Interviews with APs received for livelihood programs? What is the percentage of successful enterprises reaching break-even (data Interviews with APs and disaggregated by gender and vulnerable comparison with the SES results group)? What is the percentage of displaced persons who improved their income (data Interviews with APs and disaggregated by gender and vulnerable comparison with the SES results group)?

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No. Category Guide Question Means of Verification What is the percentage of displaced persons who improved their standard of Interviews with APs and living (data disaggregated by gender and comparison with the SES results vulnerable group)? What is the number of displaced persons who were given agricultural land as a Records of provided replacement replacement for land loss (data land disaggregated by gender and vulnerable group)? What is the quantity of land owned/contracted by displaced persons Interviews with APs and (data disaggregated by gender and ownership documents vulnerable group)?

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