Public Disclosure Authorized Government of

Ministry of Natural Resources and Environment

Project Number: P126596 Document: Environmental and Social Management Framework (ESMF) Public Disclosure Authorized

September 2013

Project Preparation Technical Assistance for Enhancing the Climate Resilience of Coastal Resources and Communities (ECR) (PPCR/MNRE 2301_01)

Public Disclosure Authorized

September 2013

Public Disclosure Authorized

Enhancing the Climate Resilience of Coastal Resources and Communities Project ESMF, September 2013 Services for Project Preparation

Contents 1 Introduction ...... 1-5 2 Project Description ...... 2-5 2.1 The Project and its Main Components ...... 2-5 2.2 Project Background and Purpose ...... 2-6 2.3 Anticipated Subproject Types ...... 2-6 2.4 Subproject Exclusions ...... 2-7 2.5 Project Target Area ...... 2-7 2.6 Project Coordination and Implementation ...... 2-8 3 Environmental and Social Management Requirements ...... 3-8 3.1 World Bank Safeguard Policies ...... 3-8 3.2 National Safeguards Requirements ...... 3-9 3.3 Proposed Environmental and Social Screening Processes and Safeguard Implementation Procedures ...... 3-11 3.3.1 Screening for and Implementation of Environmental Safeguards ...... 3-11 3.3.2 Screening for and Implementation of Social Safeguards ...... 3-12 3.3.3 Grievance Redressal ...... 3-13 3.4 Institutional Responsibilities ...... 3-13 3.5 Disclosure ...... 3-14 4 Subproject Preparation, Approval and Implementation ...... 4-14 4.1 Preparation and Application ...... 4-14 4.2 Appraisal and Approval ...... 4-14 4.3 Disclosure of Subproject Information ...... 4-14 5 Environmental Management ...... 5-15 5.1 Environmental Management ...... 5-15 5.1.1 Project Approach...... 5-15 5.1.2 Environmental Safeguards Checklist ...... 5-15 5.1.3 Environmental Management Plan ...... 5-16 5.1.4 Environmental Monitoring ...... 5-16 5.2 Cultural Property ...... 5-16 5.3 Protected Areas, Natural Habitats and Forests ...... 5-17 6 Land Acquisition and Access to Resources ...... 6-18 6.1 Resettlement and Policy Framework ...... 6-18 6.2 Determining the Need for a Resettlement Action Plan ...... 6-18 6.3 Preparing a Resettlement Action Plan ...... 6-18 6.4 Access to Resources in Parks or Protected Areas...... 6-18 7 Indigenous Peoples ...... 7-19 8 Capacity Building, Training and Technical Assistance ...... 8-19 8.1 Institutional Capacity Assessment ...... 8-19 8.1.1 Capacity Building and Training Requirements ...... 8-19 8.1.2 Parallel Initiatives ...... 8-20 8.2 Training ...... 8-21 8.3 Technical Assistance ...... 8-21 9 ESMF Implementation Budget ...... 9-21

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List of Figures

Figure 1...... 5-17

List of Appendices

1 - Environmental and Social Checklist 2 - Grievance Redress Mechanism 3 - Matrix of comments received and responses

ii Enhancing the Climate Resilience of Coastal Resources and Communities Project ESMF, September 2013 Services for Project Preparation

Abbreviations AF Adaptation Fund CBA Community Based Approach CBO Community Based Organization CCA Climate Change Adaptation CEAR Comprehensive Environmental Assessment Report CIF Climate Investment Fund CIM Coastal Infrastructure Management CRC Compensation and Resettlement Committee(s) CRIP Climate Resilience Investment Programme CSO Civil Society Organization DCA development consent application DMS Detailed Measurement Survey DRM Disaster Risk Management DRR Disaster Risk Reduction EBA Ecosystem Based Approach ECD Environment and Conservation Division ECRCRCP Enhancing the Climate Resilience of Coastal Resources and Communities Project EIA Environmental Impact Assessment EMF Environmental Management Framework ENSO El Niño/Southern Oscillation inter-annual weather pattern ESMF Environmental and Social Management Framework GRS Grievance Resolution Subcommittee IAMP1 Infrastructure Asset Management Project (Phase 1) IEC Information Education Communication LARF Land Acquisition and Resettlement Framework LSE Lands, Survey and Environment MCIT Ministry of Communications and Information Technology METI Matuaileoo Environment Trust Inc MFAT Ministry of Foreign Affairs and Trade MJCA Ministry of Justice and Court Administration MNRE Ministry of Natural Resources And Environment MOF Ministry of Finance MOH Ministry of Health MWCSD Ministry of Women, Community And Social Development MWTI Ministry of Works, Transport And Infrastructure NAPA National Adaptation Program of Action NCCCT National Climate Change Country Team NDMO National Disaster Management Office NUS National University of Samoa PEAR Preliminary Environmental Assessment Report PIB Project Information Booklet PIM Project Implementation Manual PPCR Pilot Program for Climate Resilience PUMA Planning and Urban Management Agency PUMD Planning and Urban Management Division RAP Resettlement Action Plan SDS Strategy for the Development of Samoa SIAM Second Infrastructure Asset Management Project SLR Sea Level Rise SOPAC South Pacific Applied Geoscience Commission SPCR Strategic Program for Climate Resilience SPSLCMP South Pacific Sea Level and Climate Monitoring Project STA Samoa Tourism Authority USAID United States Agency for International Development VDRMP Village Disaster Risk Management Plan VERT Volunteer Emergency Response Team WRD Water Resources Division (of MNRE)

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UNITS Ha Hectares Km Kilometres km2 square kilometres M Meter m2 square meters Masl Meters above sea level

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1 Introduction 1 The Government of Samoa has been allocated funds to undertake studies and prepare a project aimed at building resilience to climate change adaptation (CCA) and disaster risk reduction (DRR), one of two projects to be funded by the World Bank for Phase 2 of the World Bank’s Pilot Program for Climate Resilience (PPCR) in Samoa which are administered by the World Bank and executed by the Ministry of Natural Resources and Environment. The project complements the Enhancing the Resilience of Coastal Communities of Samoa to Climate Change project, for which the UNDP is the implementing agency and is an integral part of the development of the nation’s adaptation response to develop climate change resilience. The implementation of appropriate responses will be supported by the program through site specific design of adaptation interventions and active community engagement in the process. The project is designed to fund a number of small-scale, community-based subprojects that will be identified and planned by the communities, with the support of project-financed technical assistance teams, and approved for funding by the Government.

2 This document, the Environmental and Social Management Framework (ESMF) has been prepared by the Government of Samoa with the assistance of consultants recruited for the preparation of the PPCR project and has involved the review of documentation prepared in recent years for coastal infrastructure development and building climate resilience, most notably Coastal Infrastructure Management Plans prepared for each project district, site visits, consultations with vulnerable communities and project design. The ESMF has the following objectives:

• To establish clear procedures and methodologies for the environmental and social planning, screening, review, approval and implementation of subprojects to be financed under the Project • To specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns, including those relating to gender and different sub-groups within the beneficiary communities, that will arise from the subproejcts • To determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF • To establish the project funding required to implement the ESMF requirements • To provide practical resources for implementing the ESMF

2 Project Description

2.1 The Project and its Main Components 3 The project is entitled Enhancing the Climate Resilience of Coastal Resources and Communities. It will serve as a pilot project to develop lessons to inform the design of further climate change adaptation initiative, and is funded by the Pilot Program for Climate Resilience (PPCR), a program of the Strategic Climate Fund, established in 2008. The PPCR is designed to identify and scale up climate adaptation actions and to bring consideration of climate resilience to the fore in national development planning, along with poverty reduction and sustainable development goals. The project will provide for planning, construction and natural resource management activities that will build resilience to climate change, working with target communities through Civil Society Organizations (CSOs).

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2.2 Project Background and Purpose

4 The climate change and variability hazards faced by Samoa include floods, the effects of strong winds and high seas, coral bleaching and droughts. Over the course of the 21st century predictions have been made, with high confidence that sea levels will continue to rise, temperatures on land and sea surfaces will rise, and that the intensity and frequency of days of extreme heat and of extreme rainfall will rise, among other changes. Significant investment has been made in improved and more climate resilient infrastructure, including two major Infrastructure Asset Management projects funded by the World Bank. More recently, there has been a focus on progressive development of coastal infrastructure, entailing the development of Coastal Infrastructure Management (CIM) plans, which have been prepared for each district in Samoa. Lessons have been learned relating to the adaptability and durability of coastal infrastructure, and the PPCR will provide for updating CIM plans in a manner that works with nature, ensuring that designs are based on an understanding of coastal processes, that the role of natural ecosystems and its enhancement and resilience in coastal protection is understood, and ecosystem based approaches (EBA) are used. The project also provides for the involvement of the target communities, so that they are involved in planning, design, construction and particularly upkeep of infrastructure through community based approaches (CBA). In addition to coastal locations, higher areas are also vulnerable to the effects of more intense and frequent storms, as well as longer periods of inundation, which can result in slope failures that threaten roads, pipelines and homes. The revised CIM plans therefore adopt a “ridge to reef” concept. Detailed guidance for updating CIM plans has been provided in a Methodological Framework prepared for the project.

2.3 Anticipated Subproject Types 5 Subprojects will comprise specific initiatives or groups of initiatives, identified in Community Integrated Management Plans (CIM plans)1 that will enhance the resilience of communities to climate change. These initiatives will be chosen to either avoid, accommodate or protect against natural hazards. The following measures are envisaged:

Strategy for Resilience Possible measures Avoidance of natural hazards • Development restrictions • Relocation • Ceasing sand mining on beaches Accommodation of natural • Maintenance of existing structures hazards • Implementation of early warning systems • Raising building platform levels • Restoration of damaged mangrove forests • Coastal revegetation • Riparian revegetation • Coral reef flat habitat improvement Protect against natural hazards • Beach nourishment • Construction of groynes • Offshore structures

1 Community Integrated Management Plans are developed from Coastal Infrastructure Management Plans, which have been prepared for each district in Samoa. Coastal Integrated Management plans have many of the same components of the original plans, but with coverage of infrastructure development needs on non coastal land as well as coastal areas. Their rationale is discussed in detail in the Methodological Framework produced for the ECRCRCP.

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• Rock revetment • Geobag walls • Vertical seawalls • Earthen embankment • River training

6 In each case, these measures and the situations to which they are suited must be clearly understood. Descriptions of each measure including their key attributes are described in the Methodological Framework prepared for the project.

2.4 Subproject Exclusions

7 A methodology for updating CIM plans taking into account an understanding of coastal processes, ecology based approaches, and the reef to ridge concept, has been prepared to guide the identification and design of project activities. This is specifically intended to avoid the construction of maladptive coastal or other infrastructure, and to identify and implement solutions well adapted to the coastal or upper catchment environment. Because of this level of guidance toward interventions designed to be sustainable, few exclusions appear. However, the following activities will be excluded from the scope of the subprojects:

• Sand mining • Land reclamation • Clearance of areas of biodiversity significance such as mangrove forests • Use of pesticides • Structures that sever breeding routes for marine organisms (such as vertical sea walls of height greater than 0.5m and length more than 20m) • Structures that will alter coastal processes and cause coastal erosion • Activities that entail removal of any physical cultural resources

8 In addition the following types of activity will not be funded by the project:

• Structures that sever breeding routes for marine organisms (such as vertical sea walls of a height greater than 0.5m and length of more than 20m) • Structures that known to be likely to alter coastal processes and cause coastal erosion • Activities that involve removal of physical cultural resources

2.5 Project Target Area 9 The project will operate in the following sixteen districts:

NW SE Upolu Savai’i Aana Alofi 1 Falealili Gaga'emauga 1 A&B (NE) Aana Alofi 2 Gagaifomauga 3 (NW) Aana Alofi 3 Lepa I Sisifo (SW) Faleata Sasa'e (East) Aleipata Itupa I Luga Palauli I Sasa'e (SE) Faleata I Sisifo (West) Aleipata Itupa I Lalo Sagaga le Sagaga le Usoga

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10 The project will operate within and for villages within these districts, carrying out climate resilience measures in and around the village and in some cases, providing for relocation back from the shoreline.

2.6 Project Coordination and Implementation

11 The project will be implemented as a national program under the umbrella of the National Climate Change Country Team (NCCCT), managed jointly with the complementary UNDP-supported AF program by a new Unit within the MNRE, tentatively called the Climate Change Sector Coordination Unit (CCSCU). The two programs under joint management would facilitate the core implementation functions through Civil Society Organisations (CSOs) through the Civil Society Support Program (CSSP) which would include liaison with village councils, supervision of village labour for construction/ installation of options, and public awareness activities.

3 Environmental and Social Management Requirements

3.1 World Bank Safeguard Policies

12 Initial World Bank screening advises that the following Social Safeguard Policies will be triggered as a result of the Project, requiring the Borrower to prepare the safeguards instruments to guide detailed planning once sub-projects are identified firmly at a later stage of Project planning. The triggered policies are –

Safeguard Policies Triggered Yes No Environmental Assessment (OP/BP 4.01) X Natural Habitats (OP/BP 4.04) X Forests (OP/BP/4.09) X Pest Management (OP 4.09) X Physical Cultural Resources (OP/BP 4.11) X Indigenous Peoples (OP/BP 4.10) X Involuntary Resettlement (OP/BP 4.12) X Safety of Dams (OP/BP 4.37) X Projects on International Waterways (OP/BP 7.50) X Projects in Disputed Areas (OP/BP 7.60) X

13 The following paragraphs explain the reasons for triggering of the identified policies:

14 OP/BP 4.01: Environmental Assessment. The Project intends to finance a variety of types of small scale structures and ecological based measures that can, in some cases, have adverse environmental impacts. The Environmental and Social Safeguards checklist, provided as Appendix 1, is designed to identify these potential impacts, and direct CSOs and communities to practical ways of avoiding or mitigating them. For subprojects identified through use of the checklist as having potential significant environmental impacts and/or those with a physical works value of $50,000 an assessment of environmental effects will be made and an environmental management plan prepared. These will be submitted with other subproject documents, which include subproject descriptions, cost estimates, a subproject rationale, description of alternatives considered and location map, and includes the information required for a preliminary environmental assessment report (PEAR).

15 OP/BP 4.04: Natural Habitats and OP/BP 4.09 Forests. The Project area encompasses a number of protected areas and key biodiversity areas, and may fund subprojects that may be located in, or adjacent to these and in such cases the potential to cause encroachment or to introduce access to natural habitats which did not previously exist

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should be examined. Some subprojects could be located in or adjacent to ecologically sensitive sites such as protected areas and key biodiversity areas, as shown on Figure 1.

16 OP/BP 4.11: Physical Cultural Resources.

17 Samoa has a distinctive and long founded culture, featuring a communal way of life known as Fa’a Samoa. Distinctive music, dress, faith, family structures and cuisine have evolved. To mitigate against the potential for adverse impacts on cultural property, the checklist will help ensure that Cultural property resources are identified during subproject planning, and appropriate measures are taken to avoid damaging them. There is a possibility that items of archealogical significance such as graves, pigeon mounds (tie seu lupe) could be revealed, and artefacts such as adzes, potsherds and stone flakes unearthed. Procedures for such chance finds will be incorporated into civil works Contracts and into agreements with CSOs.

18 OP/BP 4.10: Indigenous Peoples. The Indigenous Peoples policy is considered triggered in compliance with WB policy/directive for all WB funded projects in the Pacific Island Countries. Samoa is also culturally and ethnically homogenous but there is a deep collective attachment to the land and resources for which OP 4.10’s requirement for consultations and participation is necessary. A social assessment to evaluate the potential impacts of subprojects on the local population is appended.

19 OP/BP 4.12: Involuntary Resettlement. Some subprojects, especially those involving hard engineering solutions, may involuntarily displaces people from land or productive resources, and or the displacement resulting in (i) relocation, loss of shelter, loss of assets or access to assets important to production, (ii) the loss of income sources or means of livelihood, or (iii) the loss of access to locations that provide higher incomes or lower expenditures to businesses or persons. A Resettlement Framework is annexed to this ESMF to guide MNRE in RAP preparation for specific subprojects.. A draft Land Acquisition and Resettlement Framework (LARF) is appended to this ESMF to guide the preparation of detailed resettlement plans later. For OP/BP 4.10 Indigenous Peoples (IP), a social assessment report of the Indigenous Peoples situation is also appended. Both draw on stakeholder consultations carried out to date, including consultations with a sample of targeted (affected) communities.

20 The triggered policies are indicative of the varied range of hard engineering and soft “green” solutions that are to be considered for implementation, and the ecosystem based ridge-to-reef approach to environmental planning the Project is applying. The preparation of detailed plans to address impacts under the respective policies will be the responsibility of MNRE later in the project planning process, once sub-projects are identified.

21 Initial screening based on field investigations, stakeholder consultations and a review of potential options for implementation indicates an assessment of Category B for the Project. It finds that potential impacts are less significant, site specific, mostly reversible and that a range of potential measures for mitigation can be readily designed in the majority of cases.

3.2 National Safeguards Requirements

22 Legislation on Environmental Protection and Management in Samoa is governed principally by the Planning and Urban Management Act 2004 (PUM Act 2004) and specific requirements for environmental assessment of projects is provided by the Planning and Urban Management (Environmental Impact Assessment) Regulations 2007 (EIA Regulations 2007). The PUM act provides the legal basis for development consents,

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which are required for new land uses and developments. The principle used in the act to guide the development consent process is consideration of both positive and negative effects of a proposed activity, including control or mitigation of negative effects, in the form of environmental impact assessment (EIA). The EIA Regulations 2007 set out requirements for project screening, the level and detail of environmental assessment, consultation requirements, and the review process for environmental assessment reports.

23 Also of relevance for environmental management is the Lands, Survey and Environment Act 1989 (LSE Act 1989) which covers land allocation and the environmental management of land. Under the act, regulations can be made to address specific issues including forest protection, regulation of various forms of land use, and biodiversity conservation. The LSE Act is amended by the PUM Act in requiring consideration of the provisions of the PUM Act and of approved plans under the PUM Act.

24 The PUM Act establishes the Planning and Urban Management Agency (PUMA) within the Ministry of Natural Resources and Environment (MNRE). The PUMA, which is governed by the Planning and Urban Management Board, is the lead agency in environmental management for new developments and is housed in the Ministry of Natural Resources, Environment (MNRE) and is responsible for setting the criteria for the requirements of EIAs, the format, structure, subject matter of EIAs, review of EIAs and consideration of their findings in decisions relating to development consents.

25 Under the EIA Regulations, environmental assessments are required for any public or private development proposal that triggers qualifying criteria. The qualifying criteria relate to potential negative impacts on people, property, places, habitats and a rage of situations detailed in the regulations. Depending on the nature and scope of the development, either a Preliminary Environmental Assessment Report (PEAR) or a Comprehensive Environmental Assessment Report (CEAR) is required for a development that meets the qualifying criteria. The PEAR is required where the PUMA does not consider that significant adverse impacts on the environment are likely, and a CEAR where adverse impacts are likely to be significant.

26 The qualifying criteria for triggering the preparation of an environmental assessment include impacts on or in the coastal zone, developments associated with coastal inundation or flooding, developments with potential impacts that may arise in conjunction with natural hazard risks (EIA regulations 2007). Most subprojects under the PPCR project will therefore require environmental assessment. However, the emphasis on ecological based approaches, and on infrastructure that is adaptive to the natural environment ensures that subprojects will be intrinsically designed to minimize or avoid negative impacts. It is therefore anticipated that a PEAR will be required for all subprojects.

27 Once completed by the project, the PEAR or CEAR is submitted with the Development Consent Application to the PUMA. Both the PEAR and the CEAR are reviewed by PUMA staff, but the CEAR is also open for public comment before a final recommendation is made to the Planning and Urban Management Board. The Board has representation of various ministries and public communities, and can therefore act independently of MNRE.

28 The PUM Board may approve the application, decline it or approve it with conditions.

29 Where the cost of the subproject is less than SAT$1 million, the development consent application (DCA) must be processed by PUMA within ten working days. If the subproject is to cost more than SAT$1 million, a notice must be published in a Government newspaper and one other local newspaper. The PUMA must process the application

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within two months. The DCA is completed on a specified form and accompanied by final design drawings, a site plan, certified survey plans, written consent from property owners, lease agreements, deeds of conveyance and a fee.

30 If conditions are made to the approval decision, these must be complied with during construction, and regular reports made to PUMA as specified in the consent. In the event of any breach of conditions, the PUMA is authorized to issue a warning, following which work should stop and the PUMA may reconsider the approval and conditions reviewed.

3.3 Proposed Environmental and Social Screening Processes and Safeguard Implementation Procedures

31 This ESMF has been developed specifically for the proposed operations to ensure due diligence, to avoid causing harm or exacerbating social tensions, and to ensure consistent treatment of social and environmental issues by the Government of Samoa. The purpose of this Framework is also to assist the Project Implementing Agencies in screening all the subprojects for their likely social and environmental impacts, identifying documentation and preparation requirements and prioritizing the investments.

32 With the support of the implementation consultants as necessary, preparation of each subproject will involve a detailed description, cost estimate, location map, description of environmental effects and summary of alternatives considered. A checklist, provided with this ESMF, assists the process of screening subprojects and identifying those for which an environmental management plan (EMP) including any necessary mitigation measures, needs to be prepared.

3.3.1 Screening for and Implementation of Environmental Safeguards 33 Procedures:

Step 1. Project Screening using the Negative List. The PMU will do the initial screening of proposed activities, using the negative checklist list provided in Appendix 1.

Step 2. Screening for Environment Category of sub-projects. PMU will screen subprojects early in the identification stage, using the Environmental and Social Safeguards checklist in Appendix 1, and classify projects into appropriate safeguards categories.

Step 3. Determining Safeguards Instruments to be used.

• The requirements under the GoS’s EIA regulations (2007) are then determined. An EA may be required depending on the scale and nature of the subproject. An EMP is included as part of the EA process.

• If a project does not require an Environmental Assessment under local regulations, but is a Category B, an EA will be required. An EMP is included as part of the EA process.

• The EMP will form part of the bidding documents and be included as contractual obligations of the winning contractors that will carry out works.

The Bank will review and clear the safeguards instruments prepared by the subproject beneficiary for impact identification and appropriateness of proposed mitigation measures.

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3.3.2 Screening for and Implementation of Social Safeguards

34 Two policies will apply: Indigenous Peoples (OP/BP 4.10) and Involuntary Resettlement (OP/BP 4.12). Requirements for screening, planning and implementation of safeguard plans are set out in detail in a Land Acquisition and Resettlement Framework, and in a Social Assessment prepared for the ERC. Procedures are summarised here:

3.3.2.1 Involuntary Resettlement (OP/BP 4.12) 35 Objective: To assist displaced persons in their efforts to improve, or at least restore, their incomes and standards of living after displacement.

36 Procedures:

Step 1. Project Screening using the Negative List. The PMU will validate the impacts of land acquisition, in coordination and full consultation with all stakeholders.

Step 2. Preparation of Resettlement Action Plans (RAPs) and Review.

(i) project disclosure, public consultation and focus group discussion as well as separate consultations with women; (ii) detailed measurement survey (DMS) of 100% DPs, including a poverty assessment of at least 10% of DPs and 20% of severely affected people, together with local-level impact; (iii) processing of DMS data and screening of involuntary resettlement category; (iv) calculation of compensation and entitlement and consultation with DPs; (v) preparation of RAP and consultation with DPs for their concurrence; (vi) finalizing the RAP and submitting it to WB after the approval by the MNRE CEO; (vii) concurrence by WB for implementation; and (viii) approval for release of resettlement budget by MNRE for implementation.

In preparing the RAP, the PMU will assess the impacts of land acquisition and determine the involuntary resettlement category consistent with the screening prescribe to all projects assisted by WB operation. Subprojects will be Category A if the impacts are “significant” and 200 or more people will be displaced from housing or losing 10% or more of their productive assets (income generating); Category B if the impacts are not deemed significant and require a short resettlement plan; and, Category C if no involuntary resettlement effects are foreseen in the core subproject. The LARF provides details for the preparation of plans for categories A and B.

Step 3. RAP Implementation.

All activities for implementing the RAP will precede and will not overlap with the activities in the construction of the core subproject. The only exceptions are arrangements for the restoration of sites used by the contractor before their departure from the sites. The MNRE will satisfactorily complete the payments for compensation and the lands are free of all obstructions and encumbrances before it request to WB for its “No Objection” for the award of civil works contract to the subproject contractor.

3.3.2.2 Indigenous Peoples (OP/BP 4.10) 37 Objective: To contribute to the World Bank’s mission of poverty reduction and sustainable development by ensuring that the development process fully respects the dignity, human rights, economies, and cultures of Indigenous Peoples.

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38 Procedures:

Step 1. Local Consultations. Consultation will take place in accordance with traditional protocols and structures, as detailed in the Social Assessment prepared for the ERC. The consultations will identify affected communities.

Step 2. Information to Affected Communities. Following the protocols described in the Social Assessment, information will be provided to affected communities at each stage of the project implementation with additional measures, including modifications to designs to address adverse effects, considered.

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

Step 4. Implementation. Monitoring and supervision of subprojects will be carried out in a culturally sensitive manner paying close attention to complaints and grievances being resolved.

3.3.3 Grievance Redressal A grievance redress mechanism has been developed for the project, and will apply to grievances relating to personal property, or any other concerns including potential concerns about the environment. A Grievance Redress Mechanism (GRM) is included as Appendix 2.

3.4 Institutional Responsibilities

39 The key responsibilities for the implementation of safeguards are summarized in the table below:

Tasks Responsible party/organization Subproject Preparation Design in accordance with ecology based CCSCU with the assistance of PPCR and community based approaches Implementation Consultants Environmental Assessment and EMP CCSCU with the assistance of PPCR Preparation Implementation Consultants Review and approval of EMP PUMA Undertake detailed measurement surveys CCSCU with the assistance of PPCR and RAP Implementation Consultants Design Phase Incorporation of mitigation measures into CCSCU with the assistance of PPCR design Implementation Consultants Prepare cost estimates CCSCU with the assistance of PPCR Implementation Consultants Review and approval of designs PUMA Approve budget PUMA Construction Implement measures required in EMP CSOs and/or Contractor(s) and RAP Establish grievance redress committee Contractor and MNRE Monitor compliance with EMP and RAP CCSCU with the assistance of PPCR Implementation Consultants Operation Maintenance CSOs, with technical assistance from MNRE

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40 Environment and social safeguards will be overseen by the PUMA, with technical assistance recruited by the Project Management Unit (PMU). Screening will be carried out by the PMU who will identify which environmental assessments, environmental management plans and resettlement action plans need to be prepared for each subproject. The preparation of these safeguards will be undertaken by implementation consultants with the assistance of CSOs under the supervision of the PMU who will ensure the integration of safeguards in subproject planning and implementation.

3.5 Disclosure

41 Requirement for disclosure is mandated by the Environmental Assessment, Involuntary Resettlement, Indigenous Peoples and Forest Policies. This means all instruments to be prepared for EA, Resettlement and Indigenous Peoples Policies will be disclosed in such a way that they are accessible to the public and NGOs in the MNRE office and other appropriate locales, as well as on the World Bank InfoShop. For the resettlement framework, a draft Project Information Booklet (PIB) summarising the Project, potential impacts and arrangements for compensation is appended in English and Samoan.

4 Subproject Preparation, Approval and Implementation

4.1 Preparation and Application

42 The identification of PPCR subprojects involves the review and updating of CIM plans for each district, prioritization of each district, national level awareness raising and the engagement with communities via the pulenu’u (village leaders) of investigations in each village, liaison with infrastructure service providers, and then identification of preferred options for subproject components in consultation with villagers.

43 The preparation of subproject proposals will take place in each village, and then be amalgamated into a project document encompassing each district. With the assistance of the PPCR/AF team, a standard-format village project document will be prepared which will include costing, implementation timelines, procurement, monitoring, and social safeguards.

4.2 Appraisal and Approval

44 Subproject documents, prepared by the PPCR/AF team assisted by CSOs, will be submitted to PUMA for approval.

4.3 Disclosure of Subproject Information

45 Disclosure will follow relevant World Bank and Government requirements, which involve public access to information on the project in Samoan. A draft Project Information Booklet (PIB) summarising the Project, potential impacts and arrangements for compensation is to be prepared in English and Samoan.

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5 Environmental Management

5.1 Environmental Management

5.1.1 Project Approach.

46 The PPCR entails the implementation of CIM plans, prepared previously through extensive consultation with communities, that are to be updated. A detailed methodological framework has been prepared to guide the updating of the CIM plans according to specific approaches that are designed to avoid or substantially mitigate environmental impacts associated with maladaptive coastal infrastructure or deficiencies in infrastructure planning. The specific approaches are summarised as:

• Clear definition of natural hazards, based on the most up-to-date information, to make for improved targeting of measures to improve climate change resilience; • Incorporation of an all-hazards approach to risk assessment rather than focusing just on coastal erosion and flooding; • Recognition of the role of natural ecosystems in coastal protection and community resilience; • Adoption of a ridge-to-reef approach recognising that natural systems are interconnected and that effects on one part of the watershed will affect the health and natural resilience of other parts; • Incorporating ecological and community-based approaches that go beyond the existing CIM Plans and may provide alternative or complementary ways of increasing climate resilience; • Encouragement of voluntary setbacks and retreat of community and assets out of hazardous areas over hazard mitigation and protection solutions; • Ensuring that the proposed hard infrastructure solutions are not maladaptive (causing additional adverse effects) and are capable of protecting against the identified hazard; • Incorporation of best available information and practice in the design of the most viable options.

47 These approaches notwithstanding, components of the subprojects may potentially result in environmental impacts such as impairing ecological connectivity, exacerbating coastal erosion, or harming existing habitats.

5.1.2 Environmental and Social Safeguards Checklist

48 An environmental safeguards checklist has been prepared and is included as Appendix 1. It includes:

• A matrix to assist to determine the sensitivity of potential negative environmental effects. The purpose of this matrix is to guide the preparation of an Environmental Management Plan, ensuring that alternatives to the measures proposed are given due consideration and that appropriate design, construction or operation phase mitigation is included; • A checklist of items that need to be included with the subproject application; • A checklist of environmental and social effects, which if applicable to the subproject must feature in the relevant EMP or Resettlement Action Plan;

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• A certification form for the signature of the community and project representatives to confirm that appropriate safeguard actions have taken place.

49 The checklist is for use by the CSO and community representatives involved in managing the project, with the assistance of members of the PPCR team.

5.1.3 Environmental Management Plan

50 An Environmental Management Plan (EMP) should be prepared for a subproject if any of the potential environmental issues identified in the checklist apply to the subproject. The EMP should contain the following:

• Summary Description of the subproject; • Description of the anticipated environmental effects, including information as far as possible on location, duration and magnitude of the effects; • A description of alternatives considered to avoid the negative effects; • A detailed description of mitigation measures, including drawings and costings (concept designs for structures that fulfill coastal protection functions but avoid issues of exacerbated coastal erosion or severance of ecological connectivity have been included in the Methodological Framework to guide environmentally friendly design and these may be used to guide the design work); • Cost estimates of the proposed mitigation; • Clear statement of responsibilities for implementing the EMP and ensuring compliance with it.

5.1.4 Environmental Monitoring

51 Monitoring is required to gather information to guide decisions and inform the planning process for identifying subproejcts and their components, including enhanced understanding of the effects of infrastructure on coastal processes, and in terms of effectiveness in ensuring that natural disasters are avoided, accommodated or protected from, to the extent practicable. Three areas of monitoring have been identified: updated imagery (aerial photography); shoreline changes (digitizing aerial photograph imagery and subsequent surveys at chosen locations; establishing benchmark flood levels following major events and ecological monitoring. In addition, integrating with existing river flow and groundwater monitoring is recommended.

52 The recommended ecological monitoring covers 4 factors, fresh water quality, seawater quality, reef substrate cover and terrestrial vegetation cover.

53 The rationale and details of parameters and data collection methods are provided in Appendix B to the Methodological Framework: Climate Change Data in Samoa: Status and Recommendations.

5.2 Cultural Property

54 Excavations for any new constructions such as roadbeds and accompanying drainage systems in project villages could disturb valuable archaeological sites and artefacts. Such archaeological sites might include graves, pigeon mounds (tie seu lupe), house platforms, and roads. Artefacts include adzes, potsherds and stone flakes (Green and Davidson 1969).

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55 While Samoa has a National Heritage Conservation Policy (MNRE 2004) there are still no regulations concerning the preservation, excavation or incidental destruction of archaeological sites or artefacts. Such regulations would usually include requirements for conducting pre-construction site surveys, monitoring excavation works during road building or construction, carrying out ‘salvage’ excavations or shifting construction when archaeological sites are encountered, and other prevention and mitigation measures.

56 The Government of Samoa has expressed interest in developing legislation and implementing processes to protect archaeological sites. Such processes should be a priority for the future and every effort made during the implementation of this project to follow international best practise to identify and preserve archaeological sites and artefacts in project areas.

5.3 Protected Areas, Natural Habitats and Forests

57 A number of sensitive marine and terrestrial habitats and managed conservation areas are found in the PPCR project area. All these sites must be protected from potentially adverse project impacts, and unavoidable environmental impacts mitigated. Figure 1 below shows these sites.

Figure 1

58 Key sensitive ecosystems in the coastal zone include mangrove areas, herbaceous swamps and marshes, seagrass beds and coral reefs and lagoons. Inland from the coast, ecologically sensitive habitats include remaining areas of native rainforest, and watershed areas. A recent analysis of Samoa’s key sites for conservation by Conservation International, MNRE and SPREP recommended 8 terrestrial and 7 marine Key Biodiversity Areas (KBAs) to ensure representative coverage of all native ecosystems and to capture habitat for Samoa’s threatened species (CI, MNRE and SPREP 2010).

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59 The conservation area network in Samoa consists of government managed national parks and reserves (ie “protected areas”), and community managed conservation areas and community fish reserves. These sites are all shown in figure 1.

60 While most of the natural coastal vegetation in Samoa has been removed for villages and plantations, the remaining areas of mangroves and coastal marshes are particularly important for coastal resilience against climate change and coastal erosion and as important nurseries for birds, fish and invertebrates such as crabs and shellfish. Particular attention to ensuring ecological connectivity between coastal and marine ecosystems and terrestrial ecosystems is needed to ensure the functional resilience of these ecosystems.

6 Land Acquisition and Access to Resources

6.1 Resettlement and Policy Framework

61 A draft Land Acquisition and Resettlement Framework (LARF) is appended as part of this ESMF. The LARF will guide the preparation of detailed Resettlement Action Plans for each sub-project assessed to exceed the threshold of affected people stipulated in OP 4.12.

62 A draft Land Acquisition and Resettlement Framework (LARF) is appended as part of this ESMF. The LARF will guide the preparation of detailed Resettlement Action Plans for each sub-project assessed to exceed the threshold of affected people stipulated in OP 4.12.

6.2 Determining the Need for a Resettlement Action Plan

63 The need for Resettlement Action Plan (RAP) will be assessed once detailed descriptions of approved sub-projects are available. Sub-projects affecting 200 plus people will require a RAP. An abbreviated Plan will be required for sub-projects affecting less than 200 people. MNRE will undertake the assessment in consultation with the Bank.

6.3 Preparing a Resettlement Action Plan

64 MNRE will be responsible for the preparation of Resettlement Action Plan. The RAP must be fully compliant with the LARF. The draft RAP will be provided to the Bank as a condition of project appraisal of sub-projects involving resettlement.

6.4 Access to Resources in Parks or Protected Areas

65 Samoa has a network of 5 national parks and 12 reserves that are legally designated and covering a significant land and marine area. The three national parks in Savaii (Mauga o Salafai NP, Lata NP and Asau-Falelima NP) are recent additions and are less developed for public enjoyment and use. However with the exception of the Mauga o Salafai, Lata and Asau-Falelima NPs extends from above 600m in altitude to the coast and are therefore easily accessible to local users as a source of medicinal plants and firewood. Similarly, the O Le Pupu Pue NP and Lake Lanutoo NP in Upolu, as well as the network of reserves are easily accessible and actively promoted by MNRE for recreational, educational and scientific research purposes. They are also popular amongst visitors and hikers. The Palolo Deep Marine Reserve near also enjoys a high level of visitation year-round from tourists, locals and schools for recreational and educational purposes.

66 It is anticipated given the ridge-to-reef approach to ecosystem management adopted in the Project planning that public access to some of these parks and reserves will be

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impeded either temporarily or long term by developments funded under the Project. This will be confirmed once approved sub-projects are known.

67 WB OP 4.12 requires that where there is involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of displaced persons, the Borrower will prepare a Process Framework as part of project appraisal and Action Plans before project implementation to assist displaced persons. MNRE will be responsible for screening and preparation of required instruments once approved sub-projects are known.

7 Indigenous Peoples 68 WB OP 4.13 Indigenous Peoples (IP) policy is triggered as a result of the Project and a draft Social Assessment report is appended examining relevant Indigenous Peoples issues. The application of the IP policy with respect to the context of Samoa is challenging given the homogenous nature (ethnically and culturally) of Samoa’s population. The assessment examines relevant traditional practises and highlights a process of consultation for engaging local communities. Many of the social impacts associated with the project affected population are related to land and access to resources and livelihood sources, and these will be addressed fully under the various instruments to be prepared for environmental assessment and involuntary resettlement. Consequently the level of impact is provisionally assessed as not significant based on stakeholder consultations and initial site visits.

8 Capacity Building, Training and Technical Assistance

8.1 Institutional Capacity Assessment

8.1.1 Capacity Building and Training Requirements

69 An important aspect of the sustainability of PPCR and of CIM plan implementation in general is the effective enactment of social and environmental safeguards. With the emphasis on ecological based approaches to infrastructure and to building climate resilience in general, and in view of the fact that climate resilience, to a large degree, is concerned with reducing vulnerability of people and property, designs are intrinsically environment and people friendly and potential negative impacts are limited. However some impacts, temporary or permanent, will occur and capacity will be required to undertake the investigations to assess environmental impacts, the preparation of management plans to ensure that appropriate and cost effective mitigation is provided for, in compliance with the requirements of the Government of Samoa and the World Bank. Further, monitoring of coastal processes and the integrity of ecosystems is important to gauge effectiveness of subproject components and guide further planning and design work. It is necessary to ensure that project stakeholders have the capacities to fulfil their obligations in respect of the environmental and social safeguards and monitoring. This section outlines the capacity building measures that are required to ensure that the environmental and social management requirements outlined in the PPCR are fully implemented. Training of members of the stakeholder agencies and awareness raising of communities is envisaged.

70 The PPCR/AF project design envisages that consultant support will be provided for safeguard planning and monitoring during construction, while responsibility for the implementation of safeguards will lie primarily with contractors during construction and communities for the operation phase. MNRE will have responsibility for technical

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assistance to communities, and within MNRE, PUMA has the principal responsibility for compliance monitoring and for taking action where EMPs and RAPs are not complied with. The capacity requirements can be summarized as:

• MNRE: Technical assistance to communities in maintenance of infrastructure • PUMA: Review and approval and monitoring of the implementation of EMPs and RAPs • Communities: Knowledge of roles and responsibilities for maintenance and technical capabilities to provide these

71 MNRE requires the development of capacities to assist CSOs and communities with the formulation and preparation of subprojects, and in the provision of technical assistance for design, and arranging construction (whether construction is to be by village labour or, as will be necessary for some subproject components, if a contracting company with the necessary skills and experience needs to be engaged).

72 Within MNRE, the PUMA currently reviews and approves planning documents including environmental management plans and similar. While there is clearly capability within PUMA to do this, discussions with members of the organization and a review of similar projects documents (such as the draft EIA for the PPCR project “Enhancing the Climate Resilience of the Upolu West Road prepared in 2011, and the ESMF for the Samoa Agricultural Competitiveness Enhancement Project prepared in 2012) show that while there are staff with the require capacities, they are not enough to meet the full workload required for existing and pipeline projects. PUMA staff members need training in safeguards requirements under Samoan law and how these match the requirements of the principal donor agencies including the World Bank, and also in the principles and processes of safeguard planning and monitoring the implementation of the plans.

73 Participating communities require an understanding of the project and their agreed entitlements, roles and responsibilities in it.

8.1.2 Parallel Initiatives

74 Further projects that require safeguards capabilities and seek to help develop them are:

75 Enhancing the Climate Resilience of the Upolu West Coast Road. This is also a PPCR project funded by the World Bank. The key implementation agency is the Land and Transport Agency (LTA). A draft EIA has been prepared and is disclosed. Implementation is scheduled to commence in the coming year.

76 The West Coast Road project will include a capacity building contract, which will include the formulation of a training program for the agencies responsible for environmental regulations and control, including PUMA and MNRE land management officers. Training is to cover land management and issues related to the Codes of Environmental Practice (COEP) for the road sector.

77 Samoa Agricultural Competitiveness Enhancement Project (SACEP). Also funded with assistance from the World Bank, the principal implementing agency is the Ministry of Agriculture and Fisheries. The project has significant potential environmental impacts and an ESMF has been prepared and disclosed. Implementation is also set to commence within the coming year.

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78 The SACEP seeks to assist MAF staff in developing capacities for EMP implementation, and the trainee group is to include MNRE environmental officers in district offices. Capacity building plans include involvement of MNRE subject matter specialists in training of MAF staff, together with the University of the South Pacific and consultants.

8.2 Training

79 Training is to be provided with the objective of ensuring that key trainees understand their roles in implementing the project and in maintaining the infrastructure, both in terms of what they have to do and the underlying principles. Trainees are MNRE staff (at central and district level) and community representatives.

80 To ensure that stakeholders have a clear understanding of their roles in safeguards enactment and in environmental monitoring, short courses will be designed and delivered by the implementation consultants. Each short course will include formal instruction (in a classroom type setting), field visits to view and discuss practical examples, and be supported by a manual to serve as a reference when applying the knowledge gained in the training courses.

81 Courses will be provided in three areas:

• Subproject Planning and Implementation: Understanding the principles for planning and implementing climate resilience building initiatives within the scope of the project • Environmental and Social Safeguards: Understanding the principles and the requirements (both Government and World Bank) for environmental and social safeguards for subprojects • Monitoring: Understanding the principles, roles and procedures for environmental monitoring.

82 Courses, to be designed and delivered by the implementation consultants, will typically be of 2 – 4 days’ duration. They should be designed separately for government officers and for community representatives, reflecting the level of previous relevant training of each group. They should be provided over the life of the project, in conjunction with each subproject. Over a three year period, three sets of training courses are expected to be delivered.

8.3 Technical Assistance

83 MNRE will need technical assistance in the form of a Resettlement Specialist for the assessment and preparations of Resettlement Actions Plans, preparation and delivery of training courses, and a Process Framework required for all approved sub-projects. In additional an Environment Specialist will be required to assist with environmental assessment of subprojects, establish environmental monitoring and to provide training in environmental safeguards and monitoring.

9 ESMF Implementation Budget

Item Description

Rate 1 PERSONNEL COSTS Unit (US$) Quantity Amount (US$)

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Scientific Officers 1.1 During Project (3 year period)2 Person month 2,5003 72 180,000

Sub -total 180,000

Rate 2 TRAINING COSTS Unit (US$) Quantity Amount (US$)

2.1 Design of Training Courses International specialist: remuneration and subsistence a costs Month 1.5 22000 33,000 Return b International specialist: travel costs Journey 1 3000 3,000

2.2 Delivery of Training Courses a Local training specialists (remuneration & allowances) Person month 4 6000 24,000 b Materials, equipment, refreshment, venue Per course 6 400 2,400 c Transport Vehicle days 32 45 1,440 d Communications L/S 500

Sub -total 64,340

3 MONITORING COSTS4

3.1 Scientific Level a. Water quality meter Item 1 2000 2,000 b. Offshore testing (packaging, dispatch and lab fees) Item 60 50 3,000 c Seawater temperature loggers Item 20 125 2,500 d Logger software Item 1 500 500 e Stationery, consumables, snorkelling apparel L/S 600 f Replacement costs for

3.2 Community Level a. Low tech weather stations; tools; consumables etc L/S 2,000

Sub -total 10,600

TOTAL ESTIMATED COST USD) 254,940

2 Role of scientific officers described in Appendix B to the Methodological Framework: Climate Change Data in Samoa: Status and Recommendations. 3 Assumed cost, based on the figure used for ESMF budget for Samoa Agriculture Competitiveness Enhancement Project ESMF budget (dated December 2011) 4 Details provided in Appendix B to the Methodological Framework: Climate Change Data in Samoa: Status and Recommendations.

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References

CI, MNRE AND SPREP. (2010). Priority Sites for Conservation in Samoa: Key Biodiversity Areas. Apia, Samoa

Green, R.C, and Davidson, J.M. (1969). Volume 1 and 2. The Archaeology of Samoa. Auckland Institute and Museum Bulletin No.6

GOS (2004). National Heritage Conservation Policy. MNRE, Apia.

Samoa Meteorology Division, Ministry of Natural Resources and Environment, Australian Bureau of Meteorology, Commonwealth Scientific and Industrial Research Organisation (CSIRO), Current and Future Climate of Samoa: Summary brochure by the Pacific Climate Change Science Program. http://www.cawcr.gov.au/projects/PCCSP/pdf/3_PCCSP_Samoa_8pp.pdf

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Appendix 1: Environmental and Social Safeguards Checklist

Name of Sub-Project:

Location:

Name and Address of Community Representative:

Subproject Components

Rate the sensitivity of the proposed components in the following table according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable, but identify potential risks of causing adverse environmental and social effects, in which case an Environmental Management Plan is required to ensure that such effects are avoided, mitigated or managed.

Issues Environmental Sensitivity Rating Low Medium High Ecological No barrier or Minor barrier Large barrier connectivity impediment to (<0.5m) (>0.5m) unless the plant or animal structure is in colonisation sections, not continuous Coastal erosion No interference Some interference Significant effects with wave action with wave action on wave action or or coastal or coastal coastal processes processes processes Exposure of coral No development of Increased New outfalls or to freshwater drainage to the drainage to drains that open to coast other than existing system the sea, exposing by natural that discharges to coral formations to watercourses the sea via freshwater artificial outfall or channels Integrity of natural Planting to restore Avoiding Removal of habitats damaged habitats disturbance of existing vegetation habitats such as mangroves Cultural property No known physical - Known cultural or suspected heritage sites will cultural heritage be affected sites will be affected

Completeness of Subproject Application

Does the subproject application document contain, as appropriate, the following information?

Yes No N/A Description of proposed subproject and where it is located Reasons for proposing project Estimated cost of operation and construction Information about how the site was chosen, and what alternatives were considered A map or drawing showing the location and boundary of the project including any land required temporarily during construction

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Yes No N/A The plan for any physical works (e.g. layout, buildings, other structures, construction materials) Any new access arrangements or changes to existing road layouts Any land that needs to be acquired, as well as who owns it, lives on t or has rights to use it A work program for construction, operation and decommissioning the physical works, as well as any site restoration needed afterwards Resources used in construction and operation (e.g. materials, water, energy) Information about measures included in the subproject plan to avoid or minimize adverse environmental and social impacts Details of any permits required for the project

Environmental and Social Checklist

Yes No A. Environment – Will the Subproject Negative Checklist 1 Entail any land reclamation 2 Entail any clearance of an area bearing a natural habitat of conservation significance (such as mangrove forest) 3 Entail sand mining, or removal of any material from the coastal zone? 4 Entail the use of pesticides? 5 Include construction of a structure that severs breeding routes for marine organisms (such as vertical sea walls of a height greater than 0.5m and length of more than 20m) 6 Include construction of a structure that will alter coastal processes and cause coastal erosion 7 Entail removal of any physical cultural resources Categorization Checklist 1 Include a sea wall of length / design that may cause or exacerbate coastal erosion (as determined by a coastal engineer)? 2 Involve any increase in drainage into systems that open into the sea via an artificial outfall or channel, or involve construction of a new outfall or channel? 3 Potentially affect any known or suspected item of cultural significance? 4 Cause a significant barrier or impediment to plant or animal colonisation (as determined by an ecologist)? 5 Be located in or adjacent to a protected area or key biodiversity area, as shown in Figure 1 in this ESMF If the answer to any question from the negative checklist is “Yes” the subproject cannot proceed as these are excluded activities. If the answer to questions in the categorization checkslit is “Yes”, and/or if the subproject will involve construction using cement, rock or other inert materials of a value of over WST$50,000please include an assessment of environmental effects and an Environmental Management Plan (EMP) with the subproject application B. Land Acquisition and Access to Resources – Will the Subproject 8 Require that land (public or private) be acquired (temporarily or permanently) for its development? 9 Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing, forests) 10 Displace individuals, families, businesses? Have any individuals, families, businesses been displaced up to 2 years prior to project enrollment? 11 Result in the temporary or permanent loss of crops, fruit trees or household infrastructure such as crop storage facilities, outside toilets and kitchens 12 Result in the involuntary restriction of access by people to legally designated parks and protected areas? If the answer to any of the questions 8 -12 is “Yes”, please inform the Bank Social Safeguard staff and, if needed, prepare a Resettlement Action Plan (RAP).

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Category for the subproject (referring to the World Bank categorization system):

Category Description Applicable Yes/No B Subprojects that may have adverse environmental impacts, of which few if any are irreversible / subproject that qualifies for CEAR or PEAR under Government of Samoa EIA Regulations, 2007 C Subprojects that are unlikely to have any adverse environmental impacts

Note: No subprojects will entail major irreversible negative environmental impacts or entail large population displacement, and therefore none will be Category A.

CERTIFICATION

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

Community Representative (signature) ……………………………………………………………………………

PMO team representative (signature)……………………………………………………………………………...

Date:……………………………………………………………………..

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APPENDIX 2

GRIEVANCE REDRESS MECHANISM

The following actors are essential for the effective implementation of the proposed Grievance Redress mechanism – - The Village Fono, represented by the subcommittee referred to here as the Grievance Resolution Subcommittee (GRS) - The civil works contractor (for grievance that may arise during project implementation) - MNRE – Project Coordinator, CEO and the Minister and the - Ministry of Justice, Courts Administration and the Courts

The Grievance and Redress Mechanism involves a three stage process. Grievances that cannot be resolved through Stage 1 will pass on to Stage 2 for resolution and failing that, on to Stage 3 if no satisfactory solution is arrived at. Stage 1 is the Village/Contractor Grievance and Redress subcommittee (GRS). Stage 2 is MNRE (and the NGO as observer), and Stage 3 is the Courts. This mechanism is designed based on the assumption that many grievances are minor issues that can be resolved out-of-court quickly and on site, with minimum disruption to project implementation. As well, all other grievances will be attempted to be resolved at the first stage and failing that, will then progress to other levels.

The GRS, contractor and MNRE will exert their best efforts to find out-of-court settlements in a timely and satisfactory manner to avoid delay in the implementation of the RAP and the core subproject. The MNRE and the NGO will make APs/DPs/complainants aware of the procedures in filing grievances that will be printed and distributed during project disclosures and public consultations, and during the DMS.

Stage 1 - The MNRE in consultation with the Village Project Committee (VPC) will appoint a Grievance and Redress Sub-committee (GRSs) who will consist of four (5) members: Pulenu’u, a High Chief (Tapa’au), Sui ole Malo (Women’s representative) and a representative of the aumaga or untitled men, and a representative of the civil works contractor. The GRS will hear grievances from APs/DPs/complainants first and will seek to have these resolved out of court. Anticipated grievances to be addressed to the GRS are related to land boundaries between extended families, and between households, ownership of crops, employment of APs/DPs in the subproject, construction impacts such as loss of access, noise, dust and other environmental nuisances.

Stage 2 - Grievances that will not be resolved by the GRS in Stage 1 will be referred to MNRE by the Pulenu’u and the aggrieved party. The MNRE Project Coordinator is the first point of contact. If a grievance is not resolved, the CEO will be consulted and if necessary, the matter will be referred to the Minister.

It is anticipated that some aggrieved parties will take their grievances directly to MNRE. This includes freehold landowners who may not reside in subproject villages and do not come under the administration of the Village Fono. Others may be landowners residing overseas.

Stage 3 - If grievances are not satisfactory resolution at Stage 2, the aggrieved party is allowed to take the matter to the Court. Details of this process will be spelled out in the RAP. All grievances will be documented with no cost involve to the complainants. The steps involved in Grievance and Redress Procedures will be explained during the training of personnel as part of MNREs institutional strengthening. MNRE will liaise closely with the Ministry of Justice and Court Administration (MJCA) to put in place a screening process and arrangements with designated magistrates to ensure grievances are heard and resolved as quickly as possible to minimize delays in RAP and project implementation.

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The GRS will also serve as the Compensation and Resettlement Committees (CRCs) throughout the RAP implementation.

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APPENDIX 3

PPCR ECRCRCP

Environmental and Social Management Framework

Comments from World Bank Safeguards Specialist and consultant’s responses Comment/edit Response/Action Para 2: inserted the words “by the Government of Inserted Samoa” Para 2, first bullet, inserted the word “screening” Inserted Section 2.4: “There is more comprehensive list of Use of pesticides also added as an excluded subproject activities to be excluded. Aside from activity. subproject exclusions, we should add a list of Two items that will not be funded are listed. activities which will not be funded under the Clarification is given that the methodological project. I will send this in a separate email.” framework provides specific guidance to ensure that all activities are for well adapted for the local environment, steering away from maladaptive structures and similar. Section 2.4: “Please check if this is contrary to The exclusion is contrary to the words “reduced the section above which allows “reduced sand sand mining” that appeared in the section above. mining”” This has now been amended to “ceasing sand mining on beaches” which addresses the problem more specifically. Section 3.1: “Each WB safeguard policy triggered Paragraphs now included, making use of would need a one paragraph explanation why specimen wording provided on the last page of these are triggered. Please refer to the ESMF the ESMF toolkit/template. template I sent earlier which has this format and suggested wording.” Section 3.2: “Up to this point, the procedure for New section, “Proposed Environmental and safeguards review and compliance is not clear. Social Screening Processes” and changes made We need to combine both the PUMA to the screening checklist to identify subprojects requirements with the WB requirements. Ideally that require consideration by PUMA and issuance it should start with a screening procedure to see of a development consent what is required under WB safeguards policy guidelines, this is generally based on the Category of the sub-project (A,B or C). Then we check what is required under the GoS requirements, if an EA is required then that would suffice, if not, then maybe and EA is required under WB requirements. Then we fill in the gaps between WB and GoS requirements e.g disclosure requirements. I will send the ESMF of a Roads project which we just completed for reference.” Appendix 1 checklist: Environmental and Social Text adapted to make it clear that subproejcts Checklist: “Please note that if the answer is Yes including the activities listed in 1 – 3 are in fact to for items 1 and 3, according to the list of be excluded subprojects to be disallowed, these should not be funded under the project.?” Appendix 1 checklist: “There should be a decision Table inserted to assign categorization of the point here regarding the categorization of the subproject sub-project.” Comments received on 5 Sep 2013 The safeguards processing procedure has to be New sections added: 3.3.1 - Screening and more straightforward and clear. An ESMF implementation of environmental safeguards and (attached) from a recent Samoa emergency 3.3.2 – Screening and implementation of social project will provide clear guidance to the safeguards, setting out objectives and Consultant. procedures for each safeguard policy involed

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modelled on the example provided. Screening procedures should also be included – see attached file, covering: Safeguard checklist (Appendix 1) also updated Step 1 - Screening using negative list Step 2 - Screening using the checklist Step 3 - Preparation of safeguards instruments.

The ESMF should contain a Grievance Redress Grievance Redress Mechanism prepared for and Mechanism. The attached file is extracted and provided in LARP prepared for the assignment slightly modified from the companion draft now quoted as Appendix 2. New section 3.3.3 Resettlement Policy Framework. The consultant added referring to GRM. team is requested to review this and include in the ESMF a GRM that harmonises with the RPF Acronym list also updated. document.

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