Estado do Espírito Santo - Agência Estadual de Recursos Hídricos (AGERH) Espirito Santo Water Security Management Project (P176982) DRAFT ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) September 28, 2022 1|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN 1. The State of Espírito Santo (the Borrower) will implement the Espirito Santo Water Security Management Project (the Project), with the involvement of the Agência Estadual de Recursos Hídricos (AGERH), Secretaria de Estado do Meio Ambiente e Recursos Hídricos (SEAMA), Coordenação Estadual de Proteção e Defesa Civil do Espírito Santo (CEPDEC) e Departamento de Edificações e de Rodovias do Espírito Santo (DER-ES), as set out in the Loan Agreement. The International Bank for Reconstruction and Development (the Bank) agreed to provide the original financing (P176982) for the Project, as set out in the referred agreement. 2. The Borrower shall ensure that the Project is carried out in accordance with the Environmental and Social Standards (ESSs) and this Environmental and Social Commitment Plan (ESCP), in a manner acceptable to the Bank. The ESCP is a part of the Loan Agreement. Unless otherwise defined in this ESCP, capitalized terms used in this ESCP have the meanings ascribed to them in the referred agreement. 3. Without limiting the generality of the foregoing, this ESCP describes the important measures and actions that the Borrower will be required to undertake or arrange to be undertaken, including, as applicable, with respect to the timing of the actions and measures, institutional arrangements, staffing, training, monitoring and reporting, and grievance management. The ESCP also describes the environmental and social (E&S) instruments to be adopted and implemented under the Project, all of which will be subject to prior consultation and disclosure in accordance with the ESF, and whose form and content must be acceptable to the Bank. Once adopted, such E&S instruments may be revised from time to time subject to the prior written consent of the Bank. 4. As agreed by the Bank and the Borrower, this ESCP will be revised from time to time if necessary, during Project implementation, to reflect adaptive management of Project changes and unforeseen circumstances or in response to Project performance. In such circumstances, the Borrower through the Agência Estadual de Recursos Hídricos (AGERH) and the Bank agree to update the ESCP to reflect these changes through an exchange of letters signed between the Bank and AGERH’s President Director. The Borrower shall promptly disclose the updated ESCP. 2|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Espirito Santo Water Security Management Project (P176982) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY MONITORING AND REPORTING A REGULAR REPORTING Submit semiannual reports to the Bank, AGERH Project Prepare and submit to the Bank regular monitoring reports on the environmental, social, throughout Project implementation, Management Unit (PMU) health and safety (ESHS) performance of the Project, including but not limited to the commencing after the Effective Date. implementation of the ESCP, status of preparation and implementation of E&S Submit each report to the Bank no later instruments required under the ESCP, stakeholder engagement activities, and than 10 days after the end of each functioning of the grievance mechanism(s), and a summary of activities and main reporting period. outcomes of the ESHS management of contractors (please see action C, below). B INCIDENTS AND ACCIDENTS Notify the Bank no later than 48 hours PMU Promptly notify the Bank of any incident or accident related to the Project which has, or after learning of the incident or is likely to have, a significant adverse effect on the environment, the affected accident. communities, the public or workers, including, inter alia, cases of sexual exploitation and abuse (SEA), sexual harassment (SH), and accidents that result in death, serious or Provide subsequent report to the Bank multiple injury. Provide sufficient detail regarding the scope, severity, and possible within a timeframe acceptable to the causes of the incident or accident, indicating immediate measures taken or that are Bank. planned to be taken to address it, and any information provided by any contractor and/or supervising firm, as appropriate. Subsequently, at the Bank’s request, prepare a report on the incident or accident and propose any measures to address it and prevent its recurrence C CONTRACTORS’ MONTHLY REPORTS Submit the monthly reports to the Bank PMU Require contractors and supervising firms to provide monthly monitoring reports on as demanded or, ordinarily, as annexes ESHS performance in accordance with the metrics specified in the respective bidding of the Semiannual Progress Reports documents and contracts, and submit a summary of such reports to the Bank as part of (according to action A, above). the Semiannual Progress Reports. ESS 1: ASSESSMENT AND MANAGEMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND IMPACTS 1.1 ORGANIZATIONAL STRUCTURE Establish the PMU with the technical AGERH Establish and maintain a Project Management Unit (PMU) under AGERH, which is tasked staff for environmental and social risk with ESHS management, with qualified staff and resources to support the management management as set out in the Loan of ESHS risks and impacts of the Project, including the permanent support of an Agreement within 10 days of the environmental specialist, a social development specialist, and a communications & Project Effective Date, and stakeholder engagement specialist. subsequently maintain these positions during Project implementation. 1.2 ORGANIZATIONAL STRUCTURE Assign E&S focal points in the partner AGERH / SEAMA/ DER/ Designate a focal point to supervise – under the coordination of the ESHS management implementing agencies no later than 10 CEPDEC team of the PMU - the ESHS risk management in each of the partner implementing days after the Project Effective Date, agencies (AGERH, SEAMA, DER-ES and CEPDEC). and subsequently hold these positions during Project implementation. 3|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Espirito Santo Water Security Management Project (P176982) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 1.3 ENVIRONMENTAL AND SOCIAL INSTRUMENTS Adopt and publicly disclose the ESMF PMU/ AGERH/ SEAMA/ DER/ Complete, publicly disclose, adopt and implement the Environmental and Social within 10 days of Project Effectiveness CEPDEC Management Framework (ESMF) of the Project to guide the preparation of the and subsequently develop the ESMP for Environmental and Social Management Plans (ESMPs) of each subproject in a manner each subproject supported by the proportionate to their categories of environmental and social risks. Project in accordance with the ESMF principles and requirements throughout Project implementation. 1.4 ENVIRONMENTAL AND SOCIAL INSTRUMENTS Adopt each subproject-level instrument PMU/ AGERH/ SEAMA/ DER/ Ensure that the agencies tasked with the implementation of the subprojects prepare, prior to commencing and as a condition CEPDEC adopt and implement the required ESMPs and other E&S risk management measures as of commencing implementation of the required and in according to the principles and guidelines set in the ESMF. respective subprojects that require the adoption of an ESMP. Once adopted, supervise and ensure execution of the respective ESMP throughout Project implementation. 1.5 MANAGEMENT OF CONTRACTORS As part of the preparation of the PMU/ AGERH/ SEAMA/ DER/ Incorporate the relevant aspects of the ESCP, including, inter alia, the relevant E&S procurement documents and related CEPDEC instruments, the Labor Management Procedures, and code of conduct, into the ESHS contracts. specifications of the procurement documents and contracts with contractors and supervising firms. Thereafter ensure that the contractors and supervising firms comply Supervise the contracts throughout the and cause subcontractors to comply with the ESHS specifications of their respective Project implementation. contracts. 1.6 TECHNICAL ASSISTANCE Throughout the Project's PMU/ AGERH/ SEAMA/ DER/ Ensure that the consultancies, studies (including feasibility studies, if applicable), implementation. CEPDEC capacity building, training, and any other technical assistance activities supported under the Project are carried out in accordance with terms of reference acceptable to the Bank that are consistent with the ESSs. Thereafter ensure that the outputs of such activities comply with the terms of reference. 1.7 ACTIVITIES SUBJECT TO RETROACTIVE FINANCING Up to 30 days after the Project PMU Agree with the Bank on the methodology to audit and report on the ESHS management Effectiveness date. procedures adopted during the implementation of the activities proposed for retroactive financing to ensure the consistency between these procedures and the principles and requirements of the relevant ESSs. 1.8 ACTIVITIES SUBJECT TO RETROACTIVE FINANCING Obtain the Bank's non-objection as a PMU condition for submission of the retroactive expense claim 4|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Espirito Santo Water Security Management Project (P176982) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY Carry out the due diligence required by the agreed methodology, submit to the Bank a Evaluation Report on the Procedures of ESHS Risk Management that have been adopted to obtain the Bank’s no objection and establish (as required) a Plan of Corrective Actions that is satisfactory to the Bank. ESS 2: LABOR AND WORKING CONDITIONS 2.1 LABOR MANAGEMENT PROCEDURES Adopt the LMP within 10 days of Project PMU/ AGERH/ SEAMA/ DER/ Adopt and implement the Labor Management Procedures (LMP) for the Project, effectiveness and subsequently put it in CEPDEC including, inter alia, provisions on working conditions, management of workers place throughout Project relationships, occupational health and safety (including personal protective equipment, implementation. and emergency preparedness and response), code of conduct (including relating to SEA and SH), forced labor, child labor, grievance arrangements for Project workers, and applicable requirements for contractors, subcontractors, and supervising firms. 2.2 GRIEVANCE MECHANISM FOR PROJECT WORKERS Establish a grievance mechanism before PMU/ AGERH/ SEAMA/ DER/ Establish and operate a grievance mechanism for Project workers, as described in the hiring Project workers and subsequently CEPDEC LMP and consistent with ESS2 maintain and operate it throughout Project implementation. ESS 3: RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT 3.1 CONSTRUCTION ENVIRONMENTAL PLAN Establish the CEP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Establish and implement a Construction Environmental Plan (CEP) that defines the and a condition for its non-objection CEPDEC preventive, mitigating and corrective measures to be adopted by the Contractor(s) or prior to the start of each construction other executors to prevent and control socio-environmental impacts associated with the work (subproject) and subsequently execution of civil works (as relevant), in a manner consistent with the Project's implement the ESMP throughout the Environmental Management Framework (ESMF) and ESS 3. project implementation. 3.2 SOLID WASTE MANAGEMENT PLAN Establish the SWMP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Establish and implement a Solid Waste Management Plan (SWMP) for hazardous and and a condition for its non-objection CEPDEC non-hazardous waste management as part of each site's Environmental and Social before the start of each construction Management Plan (as relevant), consistent with the Project's Environmental work, and subsequently implement the Management Framework (ESMF) and ESS 3. ESMP throughout the project implementation. 3.3 WASTEWATER MANAGEMENT PLAN Establish the WMP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Establish and implement a Wastewater Management Plan (WMP) for domestic and and a condition for its non-objection CEPDEC industrial wastewater management as part of each works' Environmental and Social before the start of each construction Management Plan (as relevant), consistent with the Project's Environmental and Social work, and subsequently implement the Management Framework (ESMF) and ESS 3. ESMP throughout the project implementation. 5|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Espirito Santo Water Security Management Project (P176982) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 3.4 RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT Establish the resource efficiency and PMU/ AGERH/ SEAMA/ DER/ Incorporate resource efficiency and pollution prevention and management measures pollution prevention and management CEPDEC into the ESMPs (where relevant, technically and financially feasible) to be prepared measures as part of each ESMP and as a under the terms defined in the ESMF and in a manner consistent with ESS 3. condition for their non-objection prior to the start of each construction project, and subsequently ensure their implementation throughout the implementation of the projects where they are relevant. ESS 4: COMMUNITY HEALTH AND SAFETY 4.1 COMMUNICATION, SIGNALING AND ALERT PLAN Establish the CSAP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Ensure the adoption and implementation of a Communication, Signaling, and Alerting and a condition for its non-objection CEPDEC Plan (CSAP) to manage and implement actions aimed at ensuring safety conditions for before the start of each construction the worker and the population around the work sites, in a manner consistent with the work, and subsequently implement the Project's Environmental and Social Management Framework (ESMF) and ESS 4. ESMP throughout the project implementation. 4.2 DEGRADED AREA RECOVERY PLAN Establish the DARP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Ensure the adoption and implementation of a Degraded Areas Recovery Plan (DARP) to and a condition for its non-objection CEPDEC manage the specific degraded areas recovery actions, construction decommissioning before the start of each construction procedures, and environmental recovery in those areas impacted by the Program, in a work, and subsequently implement the manner consistent with the Project's Environmental and Social Management Framework ESMP throughout the project (ESMF) and ESS 4. implementation. 4.3 EROSIVE PROCESS CONTROL, SLOPE CONTAINMENT AND SOIL REMEDIATION PLAN Establish the ESSP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Ensure the adoption and implementation of a Plan for Erosion Control, Slope and a condition for its non-objection CEPDEC Containment, and Soil Remediation (ESSP) to define measures to prevent erosion and before the start of each construction instability of slopes and embankments, minimize the risk of soil contamination, and work, and subsequently implement the emergency actions to contain any spills and to recover the affected areas of each work ESMP throughout the project (as relevant), consistent with the Project's Environmental and Social Management implementation. Framework (ESMF) and ESS 4. 4.4 EMERGENCY ACTION PLAN Establish the EAP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Ensure the adoption and implementation of an Emergency Action Plan (EAP) as part of and a condition for its non-objection CEPDEC each site's Environmental and Social Management Plan (as relevant), consistent with the before the start of each construction Project's Environmental and Social Management Framework (ESMF) and ESS 4. work, and subsequently implement the ESMP throughout the project implementation. 6|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Espirito Santo Water Security Management Project (P176982) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 4.5. VECTOR, PEST AND SYNANTHROPIC FAUNA CONTROL PLAN Establish the VPSP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Ensure adoption and implementation of a Vector, Pest and Synanthropic Fauna Control and a condition for its non-objection CEPDEC Plan (VPSP) as part of each site's Environmental and Social Management Plan (as before the start of each construction relevant), consistent with the Project's Environmental and Social Management work, and subsequently implement the Framework (ESMF) and ESS 4. ESMP throughout the project implementation. 4.6 TRAFFIC AND ROAD SAFETY Establish traffic and road safety PMU/ AGERH/ SEAMA/ DER/ Incorporate measures to manage traffic and road safety risks as required in the ESMF measures as part of the ESMP and CEPDEC and into each of the construction sites' ESMPs (as relevant), in a manner consistent with condition for their non-objection prior the Project's Environmental and Social Management Framework (ESMF) and ESS 4. to the start of each construction project and subsequently implement the ESMP throughout the project implementation. 4.7 SEA AND SH RISKS Adopt the Labor Management PMU/ AGERH/ SEAMA/ DER/ Establish under the Code of Conduct for project workers (to be developed as part of the Procedures (including the Code of CEPDEC Labor Management Procedures envisaged under action 2.1, above) measures to prevent, Conduct and measures against sexual control and penalize SEA/SH. Disseminate, adopt and implement the Code of Conduct harassment, exploitation, and abuse) no and the Labor Management Procedures in all works supported by the Project. later than 10 days after the effective date of the Project, and subsequently ensure their implementation and enforcement throughout Project implementation. ESS 5: LAND ACQUISITION, RESTRICTIONS ON LAND USE AND INVOLUNTARY RESETTLEMENT 5.1 RESETTLEMENT POLICY FRAMEWORK Adopt the RPF no later than 10 days PMU/ DER Adopt and implement the Resettlement Policy Framework (RPF) prepared for the after the Project's effectiveness date Project, consistent with ESS5. and subsequently use it as a guide for drafting the Resettlement Plans required throughout Project implementation. 5.2 RESETTLEMENT PLANS Adopt and implement the respective PMU/ DER Prepare, adopt and implement a resettlement action plan (RAP) for each activity under RAP before land and related assets are the Project for which the RPF requires such RAP, as set out in the RPF, and consistent expropriated, full compensation has with ESS5. been offered, displaced people have been resettled, and relocation subsidies have been provided. 7|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Espirito Santo Water Security Management Project (P176982) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 5.3 GRIEVANCE MECHANISM Adopt and implement the Grievance DER-ES Establish, publicize, maintain, and operate an accessible and specific grievance Mechanism at the start of the mechanism, to receive and facilitate resolution of concerns and grievances in relation to preparation of the RAPs and keep it the preparation and implementation of the Resettlement Action Plans (RAP) required by operational throughout the project intervention. implementation of the RAPs ESS 6: BIODIVERSITY CONSERVATION AND SUSTAINABLE MANAGEMENT OF LIVING NATURAL RESOURCES 6.1 VEGETATION CLEARING PLAN Establish the VCP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Adopt and implement a Vegetation Clearing Plan (VCP) as provided in the ESMF and and a condition for its non-objection CEPDEC included in each subproject's ESMP (as relevant and applicable), in a manner consistent prior to the start of each construction with ESS 6. project, and subsequently implement the ESMP throughout the project implementation. 6.2 FOREST RESTORATION PLAN Establish the FRP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Adopt and implement a Forest Restoration Plan (FRP) as provided in the ESMF and and a condition for its non-objection CEPDEC included in each subproject's ESMP (as relevant and applicable), in a manner consistent prior to the start of each construction with ESS 6. project, and subsequently implement the ESMP throughout the project implementation. 6.3 FLORA AND FAUNA ADISPERSING AND RESCUE PLAN Establish the FDRP as part of the ESMP PMU/ AGERH/ SEAMA/ DER/ Adopt and implement a Flora and Fauna Dispersing and Rescue Plan (FDRP) as provided and a condition for its non-objection CEPDEC in the ESMF and included in each subproject's ESMP (as relevant and applicable), in a prior to the start of each construction manner consistent with ESS 6. project, and subsequently implement the ESMP throughout the project implementation. ESS 7: INDIGENOUS PEOPLES/SUB-SAHARAN AFRICAN HISTORICALLY UNDERSERVED TRADITIONAL LOCAL 7.1 INDIGENOUS PEOPLES PARTICIPATION As part of the preparation of the Terms PMU/ AGERH Ensure that the Terms of Reference for the consultancy on the review and update of the of Reference. State Water Resources Management Plan incorporate the principles, requirements, and guidelines of ESS 7 with regards to prior, free and informed consultation of Indigenous Peoples and the products of this consultancy take into consideration the rights, needs and concerns expressed by Indigenous People. ESS 8: CULTURAL HERITAGE 8.1 CULTURAL HERITAGE PROTECTION PLAN AND CHANCE FIND PROCEDURES (CFP) Approve the CFP as part of the PGAS as PMU/ AGERH/ SEAMA/ DER/ Ensure that cultural heritage protection procedures (including those for chance find) are a condition for starting construction. CEPDEC incorporated as part of the Environmental and Social Management Plans (ESMPs) of each of the works involving excavation and earthworks, in accordance with the principles 8|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Espirito Santo Water Security Management Project (P176982) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY and requirements set out in the Environmental and Social Management Framework (ESMF) and in a manner consistent with ESS 8. 8.2 IMPLEMENTATION SUPERVISION OF THE CULTURAL HERITAGE PROTECTION PLAN AND Implement the CFP and ESMP PMU/ AGERH/ SEAMA/ DER/ CHANCE FIND PROCEDURES (CFP) throughout the implementation of the CEPDEC Supervise the implementation of the ESMPs, ensuring the implementation of cultural works. heritage protection procedures and chance find procedures (where necessary). ESS 9: FINANCIAL INTERMEDIARIES This standard is not relevant for the Project. ESS 10: STAKEHOLDER ENGAGEMENT AND INFORMATION DISCLOSURE 10.1 STAKEHOLDER ENGAGEMENT PLAN PREPARATION AND IMPLEMENTATION Disclose and adopt the SEP within 10 PMU days of Project effectiveness and Adopt and implement a Stakeholder Engagement Plan (SEP) for the Project, consistent subsequently implement it throughout with ESS10, which shall include measures to, inter alia, provide stakeholders with timely, Project implementation. relevant, understandable and accessible information, and consult with them in a culturally appropriate manner, which is free of manipulation, interference, coercion, discrimination and intimidation. 10.2 PROJECT GRIEVANCE MECHANISM Establish the grievance mechanism by PMU Establish, publicize, maintain, and operate an accessible grievance mechanism, to 10 days after the Project Effectiveness, receive and facilitate resolution of concerns and grievances in relation to the Project, and subsequently maintain and operate promptly and effectively, in a transparent manner that is culturally appropriate and the mechanism throughout Project readily accessible to all Project-affected parties, at no cost and without retribution, implementation. including concerns and grievances filed anonymously, in a manner consistent with ESS10. The grievance mechanism shall be equipped to receive, register, and facilitate the resolution of SEA/SH complaints, including through the referral of survivors to relevant gender-based violence service providers, all in a safe, confidential, and survivor-centered manner. CAPACITY SUPPORT CS1 Provide training to the environmental and social staff of the PMU and the focal points in Periodically, throughout Project PMU / AGERH/ SEAMA/ the partners implementing agencies on: implementation. First session within 60 DER/ CEPDEC • Aspects to be considered on the environmental and social assessment of specific days of project effectiveness. subprojects and the elaboration and implementation of ESMPs (whenever required); • Aspects to be consider in the elaboration and implementation of Resettlement Action Plans; 9|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Espirito Santo Water Security Management Project (P176982) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY • Aspects to be considered in the implementation of the activities proposed in the SEP during the implementation of each specific subproject. CS2 Provide to Project Workers guidance on: Occupational Health and Safety; measures to Periodically, throughout Project PMU / AGERH/ SEAMA/ prevent SEA/SH; and the proper code of conduct for relationships with the population of implementation. First session within 60 DER/ CEPDEC local communities in the area of intervention of the Project. days of project effectiveness. 10 | P á g i n a