Republic of Ecuador Ministry of Transportation and Public Works Ecuador: Emergency Resilient Reconstruction Project (P181079) Negotiated ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) May 16, 2023 1|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN 1. The Republic of Ecuador (the Borrower) will implement the Ecuador: Emergency Resilient Reconstruction Project (the Project), with the involvement of the Ministry of Transportation and Public Works (MTOP), as set out in the Loan Agreement. The International Bank for Reconstruction and Development (the Bank) has agreed to provide financing for the Project, as set out in the referred agreement. 2. The Borrower, through MTOP, 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 limitation to the foregoing, this ESCP sets out material measures and actions that the Borrower shall carry out or cause to be carried out, including, as applicable, the timeframes of the actions and measures, institutional, staffing, training, monitoring, and reporting arrangements, and grievance management. The ESCP also sets out the environmental and social (E&S) instruments that shall be adopted and implemented under the Project, all of which shall be subject to prior consultation and disclosure, consistent with the ESS, and in form and substance, and in a manner acceptable to the Bank. Once adopted, said E&S instruments may be revised from time to time with prior written agreement by 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 MTOP and the Bank agree to update the ESCP to reflect these changes through an exchange of letters signed between the Bank and the Administrative and Financial Coordination of the MTOP. The Borrower, through MTOP, shall promptly disclose the updated ESCP. 2|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Ecuador: Emergency Resilient Reconstruction Project (P181079) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY MONITORING AND REPORTING Semiannual reports to the Bank REGULAR REPORTING throughout Project implementation, Prepare and submit to the Bank regular monitoring reports on the environmental, social, commencing after the Effective Date. health and safety (ESHS) performance of the Project, including but not limited to the A MTOP 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 45 days after the end of each functioning of the grievance mechanism(s). reporting period. INCIDENTS AND ACCIDENTS Promptly notify the Bank of any incident or accident related to the Project which has, or is likely to have, a significant adverse effect on the environment, the affected Notify the Bank no later than 48 hours communities, the public or workers, including, inter alia, cases of sexual exploitation and after learning of the incident or abuse (SEA), sexual harassment (SH), and accidents that result in death, serious or accident. multiple injury. Provide sufficient detail regarding the scope, severity, and possible B MTOP causes of the incident or accident, indicating immediate measures taken or that are Provide subsequent report to the Bank planned to be taken to address it, and any information provided by any contractor within a timeframe acceptable to the and/or supervising firm, as appropriate. Bank. 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. CONTRACTORS’ MONTHLY REPORTS Require contractors and supervision firms to provide monthly monitoring reports on ESHS performance in accordance with the metrics specified in the respective bidding documents and contracts and submit such reports to the Bank. The reports shall cover, Require contractors and/or supervision inter alia: firms to prepare and submit monthly  Environmental and social performance reports reports to the PIT. C  Status of implementation of Contractor’s ESMP (C-ESMP) MTOP Submit the reports to the Bank upon  ESHS incidents request, and in any case, as annexes to  ESHS supervision the reports to be submitted under  Usage of Personal Protective Equipment (PPE) action A above.  Training conducted, and workers participation  Workers’ grievances log  Community grievances log ESS 1: ASSESSMENT AND MANAGEMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND IMPACTS 1.1 ORGANIZATIONAL STRUCTURE MTOP 3|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Ecuador: Emergency Resilient Reconstruction Project (P181079) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY a) Establish and maintain a Project Implementation Team (PIT) with qualified staff a) Establish and maintain the PIT and resources to support management of ESHS risks and impacts of the Project, as set out in the Loan including, at a minimum, one dedicated environmental specialist, one dedicated Agreement. The environmental social specialist, and one E&S coordinator. specialist, the social specialist, and the E&S coordinator shall be hired or assigned for the Project to the PIT no later than 30 days after the Effective Date and shall be maintained throughout Project implementation. b) Hire and maintain the Environmental and Social Framework Support Firm (ESFS) b) Hire the ESFS no later than 90 with qualifications and experience acceptable to the Bank to support the MTOP days after Effective Date. The in managing E&S risks and impacts, including, inter alia, to: (i) design and firm shall be maintained delivery of E&S instruments in accordance with ESSs requirements; (ii) provide throughout Project close operational support and capacity building for E&S risk management and implementation. supervision during Project implementation; (iii) develop and deliver a E&S risk management capacity building plan, including the relevant ESCP aspects, essentially on the development, implementation and monitoring of E&S instruments; (iv) support MTOP in carrying out consultations and monitoring; and (v) support MTOP for complaints management. c) MTOP shall include the TORs for the hiring of the ESFS on the Operational Manual. c) The Operational Manual is an Additional Condition of Effectiveness. ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK, ASSESSSMENTS AND PLANS 1.2 a) Develop, consult on, disclose, adopt, and implement an Environmental and MTOP Social Management Framework (ESMF) for the Project, consistent with the relevant ESSs. 4|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Ecuador: Emergency Resilient Reconstruction Project (P181079) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY The ESMF shall include an E&S risk classification methodology for site-specific a) Adopt the ESMF no later than Project activities, which shall set forth the requirements for site-specific five months after the Effective Environmental and Social Impact Assessments (ESIAs), if required, and Date, and as a condition to any Environmental and Social Management Plans (ESMPs). disbursement under Category 1 (which relates to Part 1 of the Project) or to launching any bidding process for Project activities referenced in paragraph (b) below, and thereafter implement the ESMF throughout Project implementation. b) For each site-specific Project activity for which the ESMF requires such b) Each site-specific ESIA and instruments to be developed, develop, consult on, disclose, and implement a ESMP must be finalized either site specific Environmental and Social Impact Assessment ESIA, and an ESMP, as prior to the launching of the required in accordance with the ESMF and the relevant ESSs. respective bidding process, or prior to the commencement of the respective Project activity, as applicable in accordance with the ESMF. Implement these instruments throughout implementation of the respective Project activity. MANAGEMENT OF CONTRACTORS Incorporate the relevant aspects of the ESCP, including, inter alia, the relevant E&S As part of the preparation of instruments, the Labor Management Procedures, and code of conduct, into the ESHS procurement documents and respective 1.3 specifications of the procurement documents, and contracts with contractors, MTOP contracts. subcontractors, and supervising firms. Thereafter ensure that the contractors and Supervise throughout Project supervising firms comply and cause subcontractors to comply with the ESHS implementation specifications of their respective contracts. 1.4 TECHNICAL ASSISTANCE Throughout Project implementation. MTOP 5|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Ecuador: Emergency Resilient Reconstruction Project (P181079) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY Ensure that the consultancies, studies (including feasibility studies, if applicable), capacity building, training, and any other technical assistance activities under the Project are carried out in accordance with terms of reference acceptable to Bank, that are consistent with the ESSs. Thereafter ensure that the outputs of such activities comply with the terms of reference. As applicable, to be obtained prior to PERMIT, CONSENTS AND AUTHORIZATIONS initiating activities that require permits, Obtain, or assist in obtaining, as appropriate, the environmental and social permits, consents, and authorizations, and 1.5 consents and authorizations that are applicable to the Project from relevant national MTOP ensure compliance with the respective authorities. Ensure that all terms and conditions established in these permits, consents, terms and conditions throughout and authorizations are complied with throughout Project implementation. Project implementation. a) Submitting the environmental and ACTIVITIES SUBJECT TO RETROACTIVE FINANCING social compliance assessment report in a manner acceptable to the Bank, as a condition of a) Carry out an environmental and social compliance assessment report to confirm disbursement to access retroactive that activities subject to retroactive financing have been implemented in financing. The corrective action accordance with the relevant ESSs, in a manner acceptable to the Bank. The plan, if required, shall be part of results of the compliance assessment shall be used to inform the preparation of 1.6 the compliance assessment, and MTOP a corrective action plan, if necessary, and also shall determine whether an activity shall be implemented in is eligible to be financed with Loan proceeds. accordance with its terms, within a timeframe to be agreed with the b) The Terms of Reference for this environmental and social compliance assessment Bank. shall be part of the ESMF. b) Same timeframe as action 1.2.a ESS 2: LABOR AND WORKING CONDITIONS Adopt the LMP no later than 60 days LABOR MANAGEMENT PROCEDURES after the Effective Date and in any case, Adopt and implement the Labor Management Procedures (LMP) for the Project, before engaging project workers. The including, inter alia, provisions on working conditions, management of workers LMP is also a condition to any 2.1 relationships, child labor, forced labor, code of conduct (including relating to SEA and MTOP disbursement under Category 1 (which SH), occupational health and safety, and applicable requirements for contractors, relates to Part 1 of the Project). Once subcontractors, and supervising firms. The LMP shall also include a description of the adopted, implement the LMP GRM available to Project workers. throughout Project implementation. 6|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Ecuador: Emergency Resilient Reconstruction Project (P181079) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY Establish grievance mechanism prior to GRIEVANCE MECHANISM FOR PROJECT WORKERS engaging Project workers and 2.2 Establish and operate a grievance mechanism for Project workers, as described in the thereafter maintain and operate it LMP and consistent with ESS2. throughout Project implementation. ESS 3: RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT WASTE MANAGEMENT PLAN Ensure full implementation of guidelines/codes to be specified in the ESMF related to the Waste Management Plan (WMP), to manage hazardous and non-hazardous wastes, Same timeframe as action 1.2.a and 3.1 consistent with ESS3, as may be further specified in site-specific ESMPs. The WMP shall MTOP 1.2.b include measures for, inter alia:  Management of hazardous and non-hazardous wastes  Wastewater management. RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT Same timeframe as action 1.2.a and 3.2 Incorporate resource efficiency and pollution prevention and management measures in MTOP 1.2.b the ESMF and site-specific ESIAs/ESMPs. ESS 4: COMMUNITY HEALTH AND SAFETY TRAFFIC AND ROAD SAFETY Same timeframe as action 1.2.a and 4.1 Adopt and implement measures and actions to assess and manage traffic and road MTOP 1.2.b safety risks as required in the ESMF, and site-specific ESIAs and ESMPs. COMMUNITY HEALTH AND SAFETY Prepare, adopt, and implement measures and actions to assess and manage specific risks and impacts to the community arising from Project activities, including, inter alia, Same timeframe as action 1.2.a and MTOP 4.2 community risk of exposure to infectious diseases as dengue, malaria, cholera and other, 1.2.b behavior of Project workers, risks related to labor influx, response to emergency situations, and informal waste-picking, and include these measures in site-specific ESIAs and ESMPs to be prepared in accordance with the ESMF. SEA AND SH RISKS Adopt and implement a SEA/SH Action Plan as part of the ESMF to assess and manage Same timeframe as action 1.2.a and 4.3 MTOP the risks of SEA and SH. The measures set out in said plan shall be included in relevant 1.2.b site-specific ESMPs. Same timeframe as action 1.2.a and 4.4 SECURITY MANAGEMENT MTOP 1.2.b 7|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Ecuador: Emergency Resilient Reconstruction Project (P181079) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY Assess and implement measures to manage the security risks of the Project, including the risks of engaging security personnel to safeguard project workers, sites, assets, and activities, as set out in the ESMF and site-specific ESMPs, guided by the principles of proportionality and GIIP, and by applicable law, in relation to hiring, rules of conduct, training, equipping, and monitoring of such personnel. EMERGENCY RESPONSE MEASURES Same timeframe as action 1.2.a and 4.5 Measures shall be defined in the ESMF and disseminated as part of the SEP. MTOP 1.2.b Measures shall be updated and detailed with site specificity in subsequent ESMPs ESS 5: LAND ACQUISITION, RESTRICTIONS ON LAND USE AND INVOLUNTARY RESETTLEMENT RPF adopted no later than five months RESETTLEMENT POLICY FRAMEWORK after the Effective Date and in any case, Develop, consult on, disclose, adopt and implement and implement a Resettlement as condition to any disbursement under 5.1 Policy Framework (RPF) for the Project, consistent with ESS5, and subject to the non- Category 1 (which relates to Part 1 of MTOP objection from the Bank. the Project) and thereafter implement the RPF throughout Project implementation. RAPs submitted for the Bank’s approval RESETTLEMENT PLANS and, once approved, implemented prior Prepare, consult, disclose, adopt and implement the respective Resettlement Action 5.2 to commencing Project activities that MTOP Plans (RAPs) when required before carrying out the corresponding Project activities, involve land acquisition and consistent with ESS5 resettlement, in accordance with paragraph 15 of ESS5. GRIEVANCE MECHANISM Same timeframe as for action 5.1 and 5.3 The GM to address resettlement related complaints shall be described in the RPF, RAPs 5.2 above and 1.2(c) above/10 below in MTOP and the SEP. relation to the SEP. ESS 6: BIODIVERSITY CONSERVATION AND SUSTAINABLE MANAGEMENT OF LIVING NATURAL RESOURCES BIODIVERSITY RISKS AND IMPACTS Incorporate and implement measures and procedures to avoid and mitigate negative impacts on biodiversity and environmentally sensitive areas, especially in natural or Same timeframe as action 1.2.a and 6.1 critical habitats, in line with ESS6 requirements. These measures and procedures will be MTOP 1.2.b specified in the ESMF and further detailed where necessary in site-specific ESIAs and ESMPs. 8|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Ecuador: Emergency Resilient Reconstruction Project (P181079) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY If an ESIA and ESMP identifies the need to develop, adopt and implement a Biodiversity Management Plan (BMP), this shall be developed as part of site-specific ESMPs and in accordance with the requirements of ESS 6. ESS 7: INDIGENOUS PEOPLES/SUB-SAHARAN AFRICAN HISTORICALLY UNDERSERVED TRADITIONAL LOCAL COMMUNITIES IPPF prepared, consulted, disclosed and adopted no later than five months after INDIGENOUS PEOPLES PLANNING FRAMEWORK the Effective Date and in any case, as condition to any disbursement under 7.1 Adopt and implement an Indigenous Peoples Planning Framework (IPPF) for the Project, Category 1 (which relates to Part 1 of MTOP consistent with ESS7 and in a manner acceptable to the Bank. the Project), and thereafter implement the IPPF throughout Project implementation. INDIGENOUS PEOPLES PLAN Adopt each site-specific IPP prior to launching any bidding process for the 7.2 Adopt and implement an Indigenous Peoples Plan (IPP) for each activity under the relevant Project activity. Once adopted, MTOP Project for which the IPPF requires such IPP, as set out in the IPPF and consistent with implement the respective IPP ESS7 and in a manner acceptable to the Bank. throughout Project implementation. GRIEVANCE MECHANISM Prepare, adopt, and implement the arrangements for the grievance mechanism for Same timeframe as for the preparation 7.3 indigenous people and afro-descendants, as required under the IPP and further describe and implementation of the IPP or the MTOP such arrangements (if the grievance mechanism is distinctive from the one established SEP, as the case may be. under ESS10). ESS 8: CULTURAL HERITAGE CULTURAL HERITAGE RISKS AND IMPACTS As part of site-specific ESIAs and ESMPs, carry out an assessment of tangible and intangible cultural heritage present in areas which may be affected by Project activities Same timeframe as action 1.2.a and 8.1 MTOP in accordance with requirements to be specified in the ESMF. If an ESIA and ESMP 1.2.b identifies the need to develop, adopt and implement a Cultural Heritage Management Plan (CHMP), this shall be developed in accordance with the requirements of ESS 8. CHANCE FINDS The ESMF, and all future site specific ESMPs as needed, shall furthermore include Chance Finds Procedures for the construction areas, and construction contracts shall include Same timeframe as action 1.2.a and 8.2 MTOP clauses requiring civil contractors to take proper protective measures in case cultural 1.2.b heritage sites are discovered, including to stop construction activities if archaeological or cultural sites are encountered during construction activities. ESS 10: STAKEHOLDER ENGAGEMENT AND INFORMATION DISCLOSURE 9|Page ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Ecuador: Emergency Resilient Reconstruction Project (P181079) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY a) Initial draft SEP prepared and disclosed prior to appraisal. b) Definitive SEP shall be consulted, disclosed, and adopted no later than five STAKEHOLDER ENGAGEMENT PLAN PREPARATION AND IMPLEMENTATION months after the Effective Date a) Prepare, disclose, and adopt the initial draft Stakeholder Engagement Plan (SEP) and in any case, as condition to for the Project, consistent with ESS10, which shall include measures to, inter any disbursement under alia, provide stakeholders with timely, relevant, understandable, and accessible Category 1 (which relates to 10.1 information, and consult with them in a culturally appropriate manner, which is Part 1 of the Project). MTOP free of manipulation, interference, coercion, discrimination, and intimidation. SEP to be implemented b) Update, adopt and implement the SEP for the Project. throughout Project implementation. c) Before start of activities for each specific Project activity, as needed. PROJECT GRIEVANCE MECHANISM Develop, adopt, maintain, and operate an accessible grievance mechanism, to receive and facilitate resolution of concerns and grievances in relation to the Project, promptly and effectively, in a transparent manner that is culturally appropriate and readily accessible to all Project-affected parties, at no cost and without retribution, including The GRM shall be operational and concerns and grievances filed anonymously, in a manner consistent with ESS10 and as 10.2 adequately resourced in the same MTOP described in the SEP. timeframe as 10.1 and maintained throughout Project implementation. 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 MTOP shall develop a capacity building plan to ensure adequate capacity of the PIT and As early as feasible during Project CS1 the ESFS firm in the preparation and implementation of the Project. MTOP will be preparation and during the first 60 days MTOP assisted by the Bank in this process. The plan may include, inter alia, the following: after the Effective Date. 10 | P a g e ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Ecuador: Emergency Resilient Reconstruction Project (P181079) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY  The Environmental and Social Framework  Preparation of ESF instruments according to the relevant ESSs (ESMF, ESMP, SEP, IPPF, RAP, LMP)  E&S assessments according to the ESF and local legislation  Addressing incidents and accidents  Periodicity and elaboration of E&S reports  Addressing community health and safety according to the ESS4 Develop and implement an environmental and social training plan to ensure the required capacity for environmental and social implementation of the Project. The plan shall include a schedule, budget, goals, and indicators. The training shall be focused on project workers (PIT staff), contractors, local implementing actors, and community- based organizations. The ESSF shall be required to prepare a detailed plan for capacity building. The plan may include, inter alia, the following: The detailed plan shall be presented no later than 60 days after hiring the ESSF. • The Environmental and Social Framework • Elaboration, implementation, and follow up of the E&S management Trainings shall be provided during instruments for the Project (ESMF, ESMP, SEP, IPPF, RAP, LMP). CS2 Project implementation by the PIT MTOP • Overview and awareness raising for incident and accident reporting (aka ESIRT) and/or their supervision consultants or • EHS requirements for the contractors other consultants retained for Project • Integrated waste management for hazardous and non-hazardous waste support, in accordance with an agreed • Occupation health and safety according to the LMP timeline as per the plan. • Infectious disease prevention and response, according to ESS4 • Traffic Safety, according to ESS4 • Participatory monitoring and evaluation • Community health and safety, according to ESS4 • SEA/SH risk mitigation • Prevention and response measures and the development and implementation of SEA/SH measures (including among contractors, workers and civil servants involved in the Project) 11 | P a g e ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Ecuador: Emergency Resilient Reconstruction Project (P181079) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY • Inclusion training to ensure non-discrimination of socially vulnerable populations including poor, illiterate, disabled, sexual and gender minorities • Grievance Mechanisms Management • ESF provisions within bidding processes 12 | P a g e