 Operations Manual

Philippine Rural Development Project

I-BUILD Component

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APPENDIX A

Guidelines for Social Safeguards PRDP

Introduction

This suggested guideline is intended to support the PRDP components in the

preparation of manual of operations that complies to various policies of the World Bank and
the Philippine Government. This is a safeguard measure to all interventions among displaced
persons that can adversely affect their lives whether non-indigenous peoples, indigenous
communities or IPs, Muslim groups and all other groups.

These guidelines are on broad discussions whereby PRDP components will provide
details in their operations manual.

Section 1 – Coverage

1. Policy Consideration

a. Compliance to World Bank Operations Policy (OP)/ Bank Policy (BP)

Requirements – The Program implementation will be consistent to World Bank
policies on the following:

▪ WB OP and BP 4.12 on Involuntary Resettlement – this policy includes

safeguards to address and mitigate impoverishment risks. This is a replacement of OD
4.30, Involuntary Resettlement. Policy based on bank experience indicating involuntary
resettlement under development projects, if unmitigated, often gives rise to severe
economic, social and environmental risks: production systems are dismantled; people face
impoverishment when their productive assets or income sources are lost; people are
relocated to environments where their productive skills may be less applicable and the
competition for resources greater; community institutions and social networks are
weakened; kin groups are dispersed; and cultural identity, traditional authority, and the
potential for mutual help are diminished or lost.

▪ WB OP 4.10 on Indigenous Peoples – this policy contributes to the

Bank’s mission of poverty reduction and sustainable development by ensuring that
the development process fully respects the dignity, human rights, economics, and
cultures of Indigenous Peoples. Bank provides project financing if free, prior and
informed consultation results in broad community support to the project by the
affected Indigenous Peoples. The measure includes 1) avoidance to potentially
adverse effects on the indigenous communities; or 2) if avoidance is not feasible,
minimize, mitigate or compensate for such effects.

b. Compliance to the Country Policy on the Indigenous Peoples Rights Act (RA
8371) – Likewise, the implementation of the program will be consistent to a more
superior Indigenous Peoples (IP) safeguard instrument of the host country, which is

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Philippine Rural Development Project
I-BUILD Component

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the IPRA. This law covers two basic policies that the program implementation will
have to observe through our partnership with the NCIP.

 Based on AO 01 s. 2006 Section 31, 34 and 37 of Part VI: IP

Solicited/Initiated Projects, Basic Socio Economic Activities, and Other Cases
states that, Community-Solicited or Initiated Activities. Subject to NCIP
validation, programs, projects and activities solicited or initiated by the concerned
ICC/IP themselves where the activity is for the delivery of basic services or for the
establishment of social enterprise to be undertaken within or affecting the
ancestral domain, do not require compliance with the FBI/FPIC requirement as
provided in the Guidelines.

 The NCIP shall validate whether or not:

1. The ICC, in fact, voluntarily solicited or initiated the

plan, program, project or activity to be undertaken;
2. The plan, program, project or activity conforms with the community’s
ADSDPP or in the absence of the ADSDPP, the concerned community
considers the same to form part already of the ADSDPP that they will
formulate in the future.
3. The ICC knows the extent of the plan, program, project or activity and its
socio-cultural/environmental impact to the community;
4. The parties acknowledge their obligations; or
5. The plan, program, project or activity is for the delivery of basic services
or for the establishment of social enterprise or enterprise development
involving community interest affecting land and resource use that would
provide employment or generate income to improve the living condition and
economic development of the concerned ICC/IP.

 Object and Process of Validation are as follows:

1. The NCIP Regional Director shall constitute a team from the

provincial office or service center to conduct a field validation upon
receipt of a written request of validation

2. The field team shall immediately conduct the validation and thereafter
submit the appropriate report to the NCIP regional director within ten
(10) days from commencement of the field validation.

3. Depending on the results of the validation, the NCIP Regional Director

shall issue the Certificate of Pre-condition within three (3) days upon
receipt of the report and or take such appropriate measures for plans,
programs and projects or activity referred in Section 33 (Traditional
Resource Use) of the FPIC guidelines of 2006.

4. The process of validation shall be done through interviews of

elders/leaders and other community members.

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 FPIC of Resettled/Relocated or Displaced ICCs/IPs within Public
Domain - A group or a community of IPs occupying a portion of public
domain whether as a result of a resettlement or relocation project of the
government or as a result of displacement have the right under the IPRA
be provided relocation with lands of quality of at least equal to that land
previously occupied by them suitable to provide for their present needs

and future development and need not be treated as migrants and can
likewise exercise their right to FPIC.

▪ Ancestral Domain Sustainable Development Protection Plan

(ADSDPP)– The ADSDP Plan is an embodiment of goals and objectives, policies
and strategies of ICCs/IPs for the sustainable management and development of
their ancestral domain and all resources therein including the human and cultural
resources such as their indigenous knowledge systems and practices (IKSP). This
document contains list and schedule of programs/projects towards sustainable
development and protection of ancestral domains serving as a) tool of IP
empowerment, b) blueprint of ICC/IPs total development plan.

2. Development Frameworks of PRDP

a. LARR Framework – The PRDP implementation shall be consistent to the policy

frameworks of the Land Acquisition and Resettlement and Rehabilitation of
Project Affected Persons in MRDP. The framework will be retained and put into
effect throughout the duration of the program.

▪ Displaced Persons (DP) - The displaced persons (DPs) include the

following persons to be identified by the baseline information collected for
each of the Inventories.

1. Person whose house is in part or in toto affected

(permanently or temporarily) by the Program;
2. Person whose premise and/or agricultural land is
in part or in toto affected permanently or temporarily) by the Program;
3. Person whose crops (annual and perennial) and
trees are affected in part or in toto by the Program; and
4. Person whose business is in part or in toto affected
(permanently or temporarily) by the Program.

▪ DP Inventory/Survey – There will be conduct of surveys to Displaced

Person prior to actual implementation of sub-projects. The forms and required
documents in this survey will be supplied through the RPCO and the actual
survey implementation will be undertaken by the PPMIUs and the MPMIUs.
Each inventory will include the following:

1. Completed Inventory - Form 1

2. A detailed socioeconomic survey of displaced persons describing
their age, sex, ethnicity, education, main occupation, source of income, and
total household income per year

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3. Detailed compensation and entitlements calculations for each DP -
Form 2
4. Location, area and category of the replacement residential and
agricultural land to be provided, if that be the case – Form 1
5. A time-bounded action plan for implementation
6. A detailed budget and source of funding for the various
compensation measures and
7. Arrangements for external monitoring and evaluation.

▪ Resettlement Plan – consistent to the LARR policy framework of the

PRDP: “In cases where the potential adverse impact of a subproject on
displaced persons is major (i.e. 200 people or more are displaced), a full
resettlement plan for each such road or segment of road or irrigation system or
any subproject will be prepared by the P/MPDO and assisted by the P/MPMIU
in accordance with the provisions of the resettlement policy. The Resettlement
Plan will be endorsed by the PSO of the Department of Agriculture and submit
to the World Bank for its concurrence”.

b. IP Development Framework – The PRDP implementation is consistent to the

Indigenous Peoples Development Framework of MRDP. The program will
follow policies and procedures to ensure that Indigenous Peoples (IP) will benefit
from PRDP and to avoid or mitigate potentially adverse effects on IP caused by
sub-projects and other activities supported by the program.

Section 2 – Social Safeguards Processes/Activities/Requirements in Project

Development

Social safeguards are basic elements to the main activities of the project development
process of PRDP program. Presented below are few of various policies that governs the
program with its requirements in the different project development phase and its expected
outputs as follows:

Social Safeguards
Phases of Project
Processes/Activities/ Expected Output
Development
Requirements

▪ Community Needs and Problems

Targeted Sub-Project Area/ ▪ Social Assessment/PCIPs Identified
Target Community Area ▪ Consultation ▪ Community Participation
acknowledged

▪ Displaced Persons identified

▪ Community Projects and Activities
Project Identification and ▪ Displaced Persons Survey Identified based on Needs
Prioritization ▪ Project Consultation ▪ Processes and delivery mechanism
defined with Displaced Persons &
IPs

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I-BUILD Component

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Social Safeguards
Phases of Project
Processes/Activities/ Expected Output
Development
Requirements

▪ PO/Community consultations
▪ Application for Certificate of Pre-
condition (CP), FPIC Certificate or
Certificate of Non-Coverage
(CNC) of the FPIC requirements of ▪ Completion and Compliance to
IPRA if sub-project is within or social safeguards forms and
traverses AD/AL or IP requirements
Proposal Preparation/ communities ▪ Consultation Process
Processing for approval ▪ Community Driven Development documentation and recording
sub-projects apply for non- ▪ Issuance of Social Clearance
coverage certificates-For example:  1st two years with the PSO
Sub-projects listed on ADSDPPs or  2nd three years with the RPCO

IPDPs integrated to BDPs, MDPs,

PDPs, PCIPs & other national
plans
▪ Issuance of Social Clearance by
PSO and RPCO

▪ Monitored safeguard compliance

Sub-project ▪ Monitoring of Safeguard
on subproject implementation by
Implementation compliance
LGUs

▪ Certification of Social Safeguards ▪ Monitoring and records keeping of

Post-Implementation Compliance social and environmental
▪ Monitoring sustainability safeguards compliance POs, IPOs
and implementing units

Section 3 - PRDP Roles of Components and Implementing Units on

safeguard requirements

The various components and implementing units of the program will have their
process in project implementation and the advocacy of conscious social and environment
safeguards can be reflected on the various requirement of each component in the
implementation of each sub-projects

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Components & Safeguard Requirements Responsibility Area
Implementing
Units
PSO - Advocacy
1. Required conduct of Social Assessment & RPCO - Coordination
Consultation of communities, expected beneficiaries, PPMIU – Supervision
MPMIU-Implementation
and stakeholders in target beneficiaries and areas MSC-Consultation/Monitoring
covered by the project Other agencies: DENR, BFAR,
NCIP, DILG & others –
technical assistance

2. Displaced Persons Identification and Conduct of the PSO-Support/Coordination

Survey for the following: RPCO-Coordination
PPMIU-Supervision
 Entitlement Survey Form 1 MPMIU-Actual conduct of
 Inventory Survey Form 2 Displaced Persons survey and
 Full disclosure of entitlements from other activities
LGUs (See Annex 8)

3. All infrastructures to be constructed within, or PSO-Support, Consolidation and

construction traversing, or directly affecting the Monitoring
IBUILD environment and resources downstream or upstream RPCO - Advocacy &
Component of AD/ALs must be rationalized with the ADSDPP Coordination
and must go through the process of FPIC. The PPMIU – Supervision &
implementers secure Certificate of Pre-condition Coordination
(CP) or Certificate of Non-coverage for CDD MPMIU – Securing FPIC
projects for the Free and Prior Informed Consent requirements
IPO Beneficiary – Request
requirements of IPRA with the IP communities
issuance of CP or CNC
affected.

4. Securing proofs, evidences and documents of

settlements, payments of compensation or if PSO-Support, Consolidation and
Displaced Person voluntarily contributes their land Monitoring
and/or properties, annotated and notarized deed of RPCO-Coordination
donation by private persons or by the government PPMIU-Supervision
MPMIU-Actual conduct of
Note: Cost of survey for donated lands for the use of Displaced Persons survey and
infra projects shall be arranged with the LGUs other activities.
instead of the donor. (See annex 8)

This is a result of the various consultations of the preparation team and these
guidelines welcome suggestions and other comments to further improve the document.