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SAMOA

ENVIRONMENTAL AND SOCIAL SCREENING

AND ASSESSMENT FRAMEWORK

FOR A

POST-TSUNAMI RECOVERY PROJECT

June 8 2010

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Table of Contents Objectives ........................................................................................................................... 3

Project description .............................................................................................................. 3

Environmental and Social Screening and Assessment Framework (ESSAF) .................... 5

General Principles ........................................................................................................... 5

Relevant World Bank Policies ........................................................................................ 5

Safeguard Screening and Mitigation ................................................................................... 6

Responsibilities for Safeguard Screening, Mitigation and Clearance ................................ 7

Disclosure ........................................................................................................................... 7

ANNEXES .......................................................................................................................... 9

ANNEX 1: Due Diligence Guidelines ............................................................................ 9

ANNEX 2: List of Ineligible Activities ........................................................................ 10

ANNEX 3: Chance Find Procedures: Protection of Cultural Property ....................... 11

ANNEX 4: Community Consultation Framework ...................................................... 12

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Objectives 1. The Environmental and Social Screening and Assessment Framework (ESSAF) details

general policies, guidelines, and procedures to be integrated into the implementation of the

IDA supported Post-Tsunami Recovery Project in Samoa. The project aims to support the

efforts of the Government of Samoa (GOS) to address immediate post-tsunami needs and to

start the reconstruction process.

2. The project has been prepared in accordance with the World Bank’s OP 8.00, Rapid

Responses to Crises and Emergencies, to expedite processing and provide immediate support.

3. The ESSAF has been developed to ensure compliance with the World Bank’s safeguard

policies and the Samoa Codes of Environmental Practice (COEP) and is applicable to

all subprojects funded under the project. The objective of the ESSAF is to ensure that

activities under the proposed operation will:

Enhance positive and sustainable environmental and social outcomes.

Mitigate potential negative impacts on the environment and communities.

Support the integration of environmental and social aspects of subprojects into

the decision making process.

Ensure environmentally and sustainable development by supporting the

protection, conservation, maintenance and rehabilitation of natural habitats and

their functions.

Minimize environmental degradation as a result of either individual subprojects

or their cumulative effects.

Protect human health.

Minimize impacts on cultural property.

Assist displaced people in improving or at least restoring their livelihoods and

standards of living to pre-displacement levels.

Project description

4. The project’s development objective is to provide appropriate transport access to areas and

communities affected by the tsunami of September 2009.

5. This proposed project is a US$9.0 million IDA Emergency Recovery Credit (ERC) with

additional grant co-financing of AUS$2 million from the Pacific Region Infrastructure Facility to

support the transport sector post-tsunami recovery plan of the GOS. The ERC will be

implemented through the Land Transport Authority (LTA) and Ministry of Natural Resources and

Environment (MNRE), with overall coordination by the Ministry of Finance (MoF).

6. The project incorporates five project components:

(a) Component 1. Upgrading of existing access tracks and seawalls – US$5.6 million. This

component will provide partial retroactive financing for urgent works by LTA to: provide

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improved road access to relocation areas; construct a new link road that will provide an

alternative route along the south coast above the natural disaster risk zone; and reinstate

damaged seawalls to protect the east and south coast roads.

(i) Lepa/Lalomanu link road – US$1.1 million. This sub-component responds to the need to

provide improved road access to relocation areas and for an alternative route along the south

coast above the natural disaster risk zone.

(ii) Upgrading of access tracks – US$2.8 million. This sub-component responds to requests

from village mayors to upgrade existing tracks from the east coast road to areas where

residents are relocating after the tsunami.

(iii) Sea wall repair and reconstruction – US$1.6 million. This sub-component will restore

and upgrade seawalls along critical lengths of the coastal roads.

(iv) Salani Bailey Bridge repair – US$0.04 million. This sub-component will repair damage

caused by the tsunami.

(v) Technical assistance – US$0.06 million. This sub-component will finance specialist

technical assistance for storm-water drainage design along all the upgraded routes.

(b) Component 2. Community Coastal Infrastructure Management Plans– US$0.2 million. This

component will update the mapping of the affected and relocation areas, and revise the

community level Coastal Infrastructure Management (CIM) Plans for these areas to assist

with infrastructure planning and monitoring, and disaster risk reduction.

(c) Component 3. East Coast Inland Route (Samusu-Lalomanu) – US$4.6 million. This

component will provide a new road link along the east coast above the natural disaster risk

zone to improve access to and for communities relocating inland from the east coast, and

provide a secure transport link between Samusu and Lalomanu.

(i) Route alignment study, design & supervision – US$0.5 million

(ii) Environmental Impact Assessment – US$0.1 million

(iii) Compensation cost – To be determined

(iv) Road construction – US$4.0 million

(d) Component 4. Dual-purpose pedestrian access routes – US$0.6 million. This component

will provide new and improved pedestrian access routes to relocation areas above the south

east escarpment area, both to facilitate access for resettled families between their new homes

and the coast, and to serve as evacuation routes in the event of a tsunami or cyclone.

(i) Feasibility study, design and supervision – US$0.1 million

(ii) Construction of pedestrian access routes – US$0.5 million

(e) Component 5. Project Management and Support – US$0.3 million. This component will

support contracted consultant services, and staffing plus operating costs for in-house project

management, administration, and monitoring and evaluation activities by LTA and MNRE.

(i) Project Management – US$0.23 million. Support for in-house project management,

administration, training, and monitoring activities by MoF, LTA and MNRE.

(ii) Monitoring & Evaluation – US$0.07 million. This sub-component will support TA to

establish the project evaluation framework and conduct before-and-after analysis to

evaluate the impact of the project.

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Environmental and Social Screening and Assessment Framework (ESSAF)

General Principles

7. The ESSAF has been prepared in recognition of the emergency nature of the relief and

reconstruction operation and the related need for providing immediate assistance, while at the

same time ensuring due diligence in managing potential environmental and social risks. The

operation will finance a number of subprojects, the detailed designs of which will not be known

prior to approval, and it will also provide retro-financing to a number of sub-projects that have

already been undertaken.

8. The ESSAF is to be used by the Project Implementing Agencies to screen all sub-project

activities for their likely social and environmental impacts and to develop necessary

documentation. It is also to be used to guide the due diligence process for sub-projects that are

being provided with retroactive financing.

9. Subprojects with the potential for significant environment and/or social impacts will be

identified through the subproject screening mechanism and the, subproject-specific environmental

and/or social assessment will be prepared and will be the subject of review and approval by the

World Bank.

10. Project implementation will also be guided by community consultations which will be

undertaken as part of a social assessment. The consultations will be aimed at:

a. Eliciting input from community members and other stakeholders into the design of

project components, specifically the alignment of the Samusu-Lalmanu road and the

dual-purpose pedestrian access routes.

b. Increasing awareness of the potential impacts of sub-projects to be undertaken under the

project and the measures which will be put in place to mitigate the impacts (in particular

where the implementation of subprojects may require land acquisition and/or

resettlement).

c. Soliciting feedback from potential project affected people on the mitigation measures.

d. Identifying individuals and/or groups of individuals that may be vulnerable to project

impacts.

Consultations will include a broad section of community members including women, youth, and

any identified vulnerable populations and will follow the process laid out in the Samoa Code of

Environmental Practice (COEP 3).

11. The ESSAF will be publicly disclosed at the Project Management Unit’s offices, public

places in Apia, and in the World Bank’s InfoShop. In addition, it will be shared widely with

affected community members and other stakeholders during the consultations.

Relevant World Bank Policies OP 4.01 Environmental Assessment.

12. OP 4.01 is triggered because of the anticipated impacts from civil works related to the

rehabilitation and construction of access roads as well as the construction of sea walls. The

impacts, however, are assessed to be localized and manageable because civil works would take

place in already existing roads and, where new construction takes place, the size of the activities

is limited.

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13. Samoa has well-developed and modern environmental assessment and monitoring

procedures for road works, coastal protection, drainage, quarry development and operations and

construction of communications facilities, among others. The COEP were developed with the

assistance of consultants and have been adopted by Samoa under the Bank’s SIAM-2 covering:

Road Planning, Design and Construction (COEP 2); Consultation (COEP 3); Construction Camps

(COEP 5); Road Construction Erosion Control (COEP 6); Slope Stability (COEP 7); Quarry

Development and Operations (COEP 8); Gravel Extraction (COEP 9); Coastal Protection (COEP

10); Drainage (COEP 11); Traffic Control During Construction (COEP 12); Earthworks (COEP

13).

14. OP 4.12 Involuntary Resettlement. Subprojects will be screened for applicability of

the resettlement policy. In the event that people are physically or economically displaced by

Bank funded sub-projects, the procedures detailed in the Land Acquisition and Resettlement

Framework (LARF) will be followed.

Safeguard Screening and Mitigation 15. The sub-projects under the following components will be subject to screening for social and

environmental impacts and mitigation measures:

a. Component 3: The Samusu-Lalomanu road (East Coast Inland Route, Component 3)

b. Component 4: The dual purpose pedestrian access routes (Component 4).

16. Ineligible activities. The screening for ineligible expenses (see Annex 2) lists attributes of

sub-projects which cannot be financed by the project.

17. Protection of physical and cultural resources. Sub-projects that impact archaeological,

heritage, historical, traditional, and cultural sites will not be financed under this project.

Should these sites be found during implementation procedures will be followed to ensure that

these resources are protected. (See Annex 3)

18. Procedures for land acquisition and resettlement. Sub-projects that will result in

involuntary land acquisition and/or resettlement will be avoided, however in the case that

they cannot be avoided the Land Acquisition and Resettlement Framework provide guidance

on procedures to be undertaken. (See Land Acquisition and Resettlement Framework)

19. Guidelines for due diligence. The sub-projects which received retroactive financing (see list

below) will be reviewed by the project team to ensure that their implementation complied

with the laws of Samoa. (See Annex 1) The Bank will review the due diligence report prior

to releasing the financing.

a. Lepa/Lalomanu link road (Component 1a)

b. Upgrading of access tracks (Component 1b)

c. Sea wall repair and reconstruction (Component 1c)

d. Salani Bailey Bridge repair (Component 1d)

20. Samoa Codes of Environmental Practice: Annex 5

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Responsibilities for Safeguard Screening, Mitigation and Clearance 21. The Ministry of Natural Resources and the Environment is a well-established entity with

adequate professional staff and systems in place to manage land and environmental issues in

Samoa. The MNRE and its Planning and Urban Management Agency (PUMA) have incorporated

several of the elements of strengthening environmental practices introduced in Samoa under the

SIAM-1 as well as the ongoing SIAM- 2 projects into their normal sector operations, building on

these in several ways. In the ongoing works done so far, all major works of the MWTI/LTA have

undergone a Preliminary Environment Assessment Report (PEAR) while general maintenance

and small works are following the National COEP.

22. The Land Transport Authority will be charged with implementing the project. The

agency will ensure that all project activities adhere to the requirements of the ESSAF, and that

designated environment and social development specialists are appointed for overseeing the

implementation and monitoring of the Framework. A focal person will be appointed for

oversight on required environmental clearances and approval of required environment and social

studies and instruments.

23. The World Bank’s task team will include environmental and social specialists who will:

provide necessary support during the implementation of the ESSAF, provide approval of

environmental and social assessment/studies requiring Bank clearance, clear the Land Acquisition

and Resettlement Action Plans.

Disclosure

24. This ESSAF will be shared with concerned communities, nongovernmental organizations

and development partners. It will be disclosed by the Land Transport Authority and will also be

made available at the World Bank’s InfoShop. Relevant subproject specific safeguard

documents/mitigation plans prepared subsequently will also be disclosed.

25. Any feasibility and detailed design studies financed by this operation will also adhere to

World Bank safeguard policies relating to consultation and disclosure. In addition, any Land

Acquisition and Resettlement Action Plans will also adhere to World Bank safeguard policies

regarding disclosure.

I. Guidelines for preparation of Environmental Environmental Impact Assessment

and Environmental Management Plans

14. In the preparation of designs as prescribed in the Request for Proposals for all works, an

environmental assessment either in the form of a Preliminary Environmental Assessment Review

or full EIA (whichever is applicable) is required and this is integrated in the design. An

Environment Management Plan (EMP) is also prepared as the main documentation to be attached

to the Development Consent (DC) Application from MWTI to the PUMA of MNRE. MNRE also

seeks DC from the Planning and Urban Management Agency for works implemented as part of

the former's Small Grants Scheme.

15. The PUMA evaluates DC applications for construction works through the consideration

of findings of the required PEAR or full EIA (whichever is applicable). Safeguards requirements

for this project remain the same as those originally stipulated under the existing Environment

Management Plan under SIAM-2 which sets out the approaches proposed by the selected design

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and supervision consultants on behalf of the MWTI, to mitigate or avoid adverse environment

impacts.

16. Among other things, design and supervision tenders as well as contractors are required to

clearly indicate how they will complete fulfill their respective obligations. An appropriate

Development Consent (DC) is then issued by PUMA. During construction, the PUMA officers

conduct at least two monitoring evaluations to ensure that the Development Consent requirements

(and any conditions that have been attached) are strictly adhered to.

17. PUMA has the powers under its Act to stop the construction at any time where DC

conditions are not being met by the Contractor and it has in the past invoked this provision to

achieve contractor compliance. The construction supervisors are also required to follow the EMP

requirements and DC conditions during the monitoring of specific project activities. For the

Samoan Airport Authority, MWTI and MNREM, their compliance history in relation to these

environmental requirements is highly satisfactory, with all project activities going through the

Development Consent process.

18. The environmental issues that will be monitored under the project include: (a) adequate

storm water and run-off disposal and management along the alignment; (b) public road safety;

and (c) traffic noise and control. Construction impact includes: (a) quarrying and sand mining,

material preparation and storage, equipment maintenance and disposal sites; (b) transport, soil

erosion, and sedimentation control and management of impact on water quality of surface

watercourses, (c) dust and noise control during construction period, (d) soil disposal and

management; and (e) waste management, for both solid waste and hazardous liquid waste and

used lubricants. Since most of the construction works are relatively small and the system in place

for monitoring compliance is working well, there have been very few problems so far and this is

expected to continue.

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ANNEXES

ANNEX 1: Due Diligence Guidelines

1. The Project will retroactively finance four activities: construction of a new main road –

Lepa/Lalomanu, upgrading of short length access tracks, sea wall repair and construction, and

bridge repair (Salani Bailey Bridge).

2. In an effort to ensure that these activities were undertaken in compliance with national law a

review of the implementation of these sub-projects, specifically vis-à-vis land use, social

impacts, and environmental impacts will be carried out. This due diligence will determine

whether or not land use occurred within the confines of the Samoan law and if not what

measures need to be taken to ensure compliance.

3. In regards to this, a due diligence report will be prepared by the Project team. The due

diligence report will include:

(i) Summaries of the relevant legislation.

(ii) Summaries of the sub-projects’ location, scope, and previous use (including previous

land use, occupants, etc.).

(iii) A description of the sub-projects on the environment, on land use (i.e. temporary land

use, permanent land acquisition), and on communities.

(iv) A description of the scope and magnitude of adverse impacts. This will include

information on previous occupants (legal and illegal, owners and lessees, temporary

and permanent), the number of people and businesses displaced, the impact of

displacement on livelihoods, the scope of destruction of assets.

(v) Details on compensation and assistance arrangements and the extent to which this

fulfilled national law. Dimensions to be explored here include the amount of

compensation, the types of assistance offered to affected people, and the timing and

fulfillment of compensation and assistance payment.

(vi) Details on the consultations that were conducted with project affected people as part

of the land acquisition process.

4. As part of due diligence, interviews with affected community members may be undertaken to

obtain feedback on the impacts of the sub-projects.

5. The due diligence report will be a signed by recognized representatives of the affected

communities.

6. Based on the above the report will provide conclusions as to whether or not the actions that

led to the securing of the site were in compliance with national law and if not, it will identify

gaps and recommendations for filling those gaps.

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ANNEX 2: List of Ineligible Activities

Subprojects with any of the attributes listed below will be ineligible for support under the Project.

Attributes of Ineligible Subprojects

GENERAL CHARACTERISTICS

Concerning significant conversion or degradation of critical natural habitats. Including, but not

limited to, any activity within:

Wildlife reserves

Sensitive marine ecosystems

Parks or sanctuaries

Damages cultural property, including but not limited to, any activities that affect the following

sites:

Archaeological or historical sites

Religious monuments or structures

Works of art

Sites of significance points of view

Natural sites with cultural values including cemeteries, graveyards, and graves

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ANNEX 3: Chance Find Procedures: Protection of Cultural Property

1. Cultural property include monuments, structures, works of art, or sites of significance

points of view, and are defined as sites and structures having archaeological, historical,

architectural, or religious significance, and natural sites with cultural values. This includes

cemeteries, graveyards and graves.

2. The list of negative subproject attributes which would make a subproject ineligible for

support (Attachment 1) includes any activity that would adversely impact cultural property. In

the event that during reconstruction or construction sites of cultural value are found, the

following procedures for identification, protection from theft, and treatment of discovered

artifacts should be followed and included in standard bidding documents.

3. Chance find procedures will be used as follows:

(a) Stop the construction activities in the area of the chance find;

(b) Delineate the discovered site or area;

(c) Secure the site to prevent any damage or loss of removable objects.

(d) Notify the supervisory Engineer who in turn will notify the responsible local

authorities;

(e) Responsible local authorities and the relevant Ministry would be in charge of

protecting and preserving the site before deciding on subsequent appropriate

procedures.

(f) Decisions on how to handle the finding shall be taken by the responsible authorities

and the relevant Ministry. This could include changes in the layout (such as when

finding an irremovable remain of cultural or archeological importance) conservation,

preservation, restoration and salvage.

(g) Implementation for the authority decision concerning the management of the finding

shall be communicated in writing by the relevant Ministry.

(h) Construction work could resume only after permission is given from the responsible

local authorities and the relevant Ministry concerning safeguard of the heritage.

4. These procedures must be referred to as standard provisions in construction contracts.

During project supervision, the Site Engineer shall monitor the above regulations relating to the

treatment of any chance find encountered are observed.

5. Relevant findings will be recorded in World Bank Supervision Reports and

Implementation Completion Reports will assess the overall effectiveness of the project’s cultural

property mitigation, management, and activities, as appropriate.

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ANNEX 4: Community Consultation Framework

Project implementation will be guided by community consultations which will be undertaken as

part of a social assessment. The Community Consultations will follow the procedures laid out in

the Samoa Code of Environmental Practice (COEP).

The principles of consultation as laid out under the chapter on consultation in the COEP (COEP-

3) include:

At the earliest opportunity, a community should be advised of potential projects

and how the community can receive information about, and become involved

with, such projects.

The intentions/objectives of the consultation should be clearly and openly stated.

Stakeholders and affected communities should have timely and meaningful

inputs to, and participation in, any phases or aspects of projects that directly

affect them and all inputs should be treated equitably and with respect.

Consultation should be a two-way process, there should be an exchange of

information where both the proponent and the affected communities should put

forward their points of view and to consider other perspectives.

Consultation is best undertaken at early stages in and throughout the decision

making process or at least ongoing communication after a decision has been

made.

All parties do not have to agree to a proposal, however as a result of undertaking

consultation at least points of difference will become clearer or more specific.

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ANNEX 5: Samoa Codes of Environmental Practice

Refer to Samoa Codes of Environmental Practice, by Ministry of Natural Resources and

Environment, Planning and Urban Management Agency, Approved by Planning and

Urban Management Board 04 April 2007