Consortium of Municipalities of the Foz do Rio Itajaí Region (CIM-AMFRI) Integrated Sustainable Mobility Project in the Foz do Rio Itajaí Metropolitan Region (P178557) For Negotiations ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) March 30, 2023 1|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN 1. The Foz do Rio Itajaí Region Consortium of Municipalities (CIM-AMFRI) (the Borrower) will implement the Integrated Sustainable Mobility Project in the Foz do Rio Itajaí Metropolitan Region – P178557 (the Project), with the involvement of the Participating Municipalities, 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 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 and the Bank agree to update the ESCP to reflect these changes through an exchange of letters signed between the Bank and the CIM-AMFRI’s President. The Borrower shall promptly disclose the updated ESCP. 2|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Integrated Sustainable Mobility Project in the Foz do Rio Itajaí Metropolitan Region (P178557) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY MONITORING AND REPORTING A REGULAR REPORTING Submit semiannual reports to the Bank CIM-AMFRI – Project Prepare and submit to the Bank regular monitoring reports on the environmental, social, throughout Project implementation, Coordination Unit (PCU) 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 45 days after the end of each functioning of the grievance mechanism, and a summary of activities and main outcomes reporting period. of the ESHS management of contractors (please see action C, below). B INCIDENTS AND ACCIDENTS Notify the Bank no later than 48 hours CIM-AMFRI 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 CIM-AMFRI Require contractors and supervising firms to provide monthly monitoring reports on as requested or, ordinarily, as annexes ESHS performance in accordance with the metrics specified in the respective bidding of the Semiannual Progress Reports documents and contracts. (according to action A above). ESS 1: ASSESSMENT AND MANAGEMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND IMPACTS 1.1 ORGANIZATIONAL STRUCTURE – PCU Establish and maintain the PCU, with CIM-AMFRI Establish and maintain a Project Coordination Unit (PCU) that is tasked with ESHS the required specialists, as set out in management, with qualified staff and resources to support management of ESHS risks the Loan Agreement by the Effective and impacts of the Project, including an Environmental Specialist, a Social Development Date, and thereafter maintain these Specialist, and a Communication and Stakeholder Engagement Specialist. positions throughout Project implementation. 1.2 FEASIBILITY LEVEL ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT Adopt the FLEISA (final version) no later CIM-AMFRI Adopt and implement a Feasibility Level Environmental and Social Impact Assessment than 30 days after the Effective Date, (FLESIA) for the Project, consistent with the relevant ESSs. and thereafter implement the FLESIA throughout Project implementation. 3|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Integrated Sustainable Mobility Project in the Foz do Rio Itajaí Metropolitan Region (P178557) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 1.3 ENVIRONMENTAL & SOCIAL IMPACT ASSESSMENT AND MANAGEMENT PLANS Adopt the ESIAs and ESMPs prior to the CIM-AMFRI Prepare, adopt, implement, and cause the relevant Project contractors to adopt and carrying out of Project works that implement Environmental and Social Impact Assessments (ESIAs) and Environmental and require the adoption of such Social Management Plans (ESMPs) for works under Parts 1 and 3 of the Project, as instruments. Once adopted, implement applicable, proportionate to the environmental and social risk level of relevant Project the respective ESIAs/ESMPs throughout works, as set out in the FLESIA. the respective Project works implementation. 1.4 MANAGEMENT OF CONTRACTORS As part of the preparation of CIM-AMFRI Incorporate the relevant aspects of the ESCP, including, inter alia, the relevant E&S procurement documents and respective 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 contractors throughout and cause subcontractors to comply with the ESHS specifications of their respective Project implementation. contracts. 1.5 TECHNICAL ASSISTANCE Throughout Project implementation CIM-AMFRI Ensure that the consultancies, studies, capacity building, training, and any other technical assistance activities under the Project, including, inter alia, to design the proposed Immersed Tunnel, 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. ESS 2: LABOR AND WORKING CONDITIONS 2.1 LABOR MANAGEMENT PROCEDURES Adopt the LMP no later than 30 days CIM-AMFRI Develop, adopt and implement the Labor Management Procedures (LMP) for the after the Effective Date, and thereafter Project, including, inter alia, provisions on working conditions, management of workers implement it 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 the grievance mechanism CIM-AMFRI Establish and operate a grievance mechanism for Project workers, as described in the prior to engaging Project workers and LMP and consistent with ESS2. thereafter maintain and operate it throughout Project implementation. 4|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Integrated Sustainable Mobility Project in the Foz do Rio Itajaí Metropolitan Region (P178557) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY ESS 3: RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT 3.1 ENVIRONMENTAL AND SOCIAL CONSTRUCTION PLAN Same timeframe as action 1.3 CIM-AMFRI Establish and implement an Environmental and Social Construction Plan as part of each ESMP (as relevant), that defines the preventive, mitigating and corrective measures to be adopted by the Contractor(s) or other executors to prevent and control socio- environmental impacts associated with the execution of civil works (as relevant), in a manner consistent with the FLESIA and ESS 3. 3.2 WASTE MANAGEMENT PLAN Same timeframe as action 1.3 CIM-AMFRI Adopt and implement a Waste Management Plan, to manage hazardous and non- hazardous wastes as part of each ESMP (as relevant), consistent with the Project’s FLESIA and ESS 3. 3.3 WASTEWATER MANAGEMENT PLAN Same timeframe as action 1.3 CIM-AMFRI Adopt and implement a Wastewater Management Plan for domestic and industrial wastewater management as part of each ESMP (as relevant), consistent with the Project’s FLESIA and ESS 3. 3.4 RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT Same timeframe as action 1.3 CIM-AMFRI Incorporate resource efficiency, pollution prevention, and management measures in the ESMP (where relevant, technically, and financially feasible) to be prepared under action 1.3 above. ESS 4: COMMUNITY HEALTH AND SAFETY 4.1 VECTOR, PEST AND HARMFUL FAUNA CONTROL PLAN Same timeframe as action 1.3 CIM-AMFRI Ensure adoption and implementation of a Vector, Pest, and Synanthropic Fauna Control Plan as part of each ESMP (as relevant), consistent with the Project's FLESIA and ESS 4. 4.2 DEGRADED AREAS RECOVERY PLAN Same timeframe as action 1.3 CIM-AMFRI Ensure adoption and implementation of a Degraded Areas Recovery Plan as part of each ESMP (as relevant), consistent with the Project's FLESIA and ESS 4. 4.3 EROSIVE PROCESS CONTROL, SLOPE CONTAINMENT AND SOIL REMEDIATION PLAN Same timeframe as action 1.3 CIM-AMFRI Ensure adoption and implementation of an Erosive Process Control, Slope Containment and Soil Remediation Plan as part of each s ESMP (as relevant), consistent with the Project's FLESIA and ESS 4. 5|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Integrated Sustainable Mobility Project in the Foz do Rio Itajaí Metropolitan Region (P178557) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 4.4 COMMUNICATION, SIGNALING AND ALERT PLAN Same timeframe as action 1.3 CIM-AMFRI Ensure the adoption and implementation of a Communication, Signaling, and Alerting Plan as part of each ESMP (as relevant) to manage and implement actions aimed at ensuring safety conditions for the workers and the population around the work sites, in a manner consistent with the Project's FLESIA and ESS 4. 4.5 EMERGENCY ACTION PLAN Same timeframe as action 1.3 CIM-AMFRI Ensure the adoption and implementation of an Emergency Action Plan as part of each ESMP (as relevant), consistent with the Project's FLESIA and ESS 4. 4.6 TRAFFIC AND ROAD SAFETY – BASIC DESIGN Prior to finalization of the basic designs CIM-AMFRI Conduct road safety assessments of the basic designs of Parts 1, 2, and 3 of the Project, for Parts 1, 2, and 3 of the Project, as and incorporate measures to manage traffic and road safety risks, as applicable, in a pertinent. manner consistent with ESS 4. 4.7 TRAFFIC AND ROAD SAFETY – EXECUTIVE DESIGN Road safety assessment and measures CIM-AMFRI Conduct road safety assessments of the executive designs of Parts 1, 2, and 3, and incorporated into the executive designs, incorporate measures to manage traffic and road safety risks, as applicable, in a manner as relevant. consistent with ESS 4. 4.8 TRAFFIC AND ROAD SAFETY – BEFORE THE FINAL DELIVERY At the end of the works and before the CIM-AMFRI Conduct road safety assessments of implemented projects from Parts 1 and 3, and final delivery / start-up of each incorporate corrective measures to manage traffic and road safety risks, as applicable, subproject, as pertinent. consistent with ESS 4. 4.9 SEA AND SH RISKS Same timeframe as for action 2.1 CIM-AMFRI Establish under the Code of Conduct for project workers (to be developed as part of the Labor Management Procedures envisaged under action 2.1, above) measures to prevent, control and penalize SEA/SH. Disseminate, adopt, and implement the Code of Conduct and the Labor Management Procedures in all works supported by the Project. ESS 5: LAND ACQUISITION, RESTRICTIONS ON LAND USE AND INVOLUNTARY RESETTLEMENT 5.1 RESETTLEMENT POLICY FRAMEWORK Adopt the RPF no later than 30 days CIM-AMFRI Adopt and implement a Resettlement Policy Framework (RPF) for the Project, consistent after the Effective Date, and thereafter with ESS5. implement the RPF throughout Project implementation. 6|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Integrated Sustainable Mobility Project in the Foz do Rio Itajaí Metropolitan Region (P178557) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY 5.2 RESETTLEMENT PLANS Adopt and implement the respective CIM-AMFRI in collaboration Adopt and implement a Resettlement Action Plan (RAP) and/or a Livelihood Plan (LP) for RAP or LP, ensuring that full with Participant each activity under the Project for which the RPF requires such RAP/LP, as set out in the compensation for physical and Municipalities RPF, and consistent with ESS5. economic losses has been provided and (as applicable), displaced people have been resettled and moving allowances have been provided before taking possession of the land and related assets. 5.3 GRIEVANCE REDRESS MECHANISM Establish the grievance mechanism CIM-AMFRI Establish and operate the grievance redress mechanism (GRM) to address resettlement prior to starting the implementation of related complaints as described in the RPF, LP and as needed. the RAPs and LPs. ESS 6: BIODIVERSITY CONSERVATION AND SUSTAINABLE MANAGEMENT OF LIVING NATURAL RESOURCES 6.1 NATURAL AND CRITICAL HABITATS The final report of the study shall be CIM-AMFRI Conduct a specific study to assess the potential risks and residual impacts on remnants completed prior to the completion of of natural and/or critical habitats under Part 1 of the Project (BRT), including the the BRT executive designs, in order to feasibility analysis of the implementation of mitigation/compensatory measures (e.g., inform the preparation process of the wildlife crossings) in accordance with the mitigation hierarchy, and in compliance with said designs. the requirements set out in FLESIA and in a manner consistent with ESS 6. The Terms of Reference (ToR) for the study shall reviewed by and be acceptable to the Bank. 6.2 VEGETATION CLEARING PLAN Same timeframe as action 1.3 CIM-AMFRI Adopt and implement a Vegetation Clearing Plan, as provided in the FLESIA, as part of each ESMP (as relevant and applicable), in a manner consistent with ESS 6. 6.3 FOREST RESTORATION PLAN Same timeframe as action 1.3 CIM-AMFRI Adopt and implement a Forest Restoration Plan as provided in the FLESIA as part of each ESMP (as relevant and applicable), in a manner consistent with ESS 6. 6.4 FLORA AND FAUNA DISPERSING AND RESCUE PLAN Same timeframe as action 1.3 CIM-AMFRI Adopt and implement a Flora and Fauna Dispersing and Rescue Plan, as provided in the FLESIA, as part of each ESMP (as relevant and applicable), in a manner consistent with ESS 6. ESS 7: INDIGENOUS PEOPLES/SUB-SAHARAN AFRICAN HISTORICALLY UNDERSERVED TRADITIONAL LOCAL COMMUNITIES This standard is not relevant for the Project. 7|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Integrated Sustainable Mobility Project in the Foz do Rio Itajaí Metropolitan Region (P178557) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY ESS 8: CULTURAL HERITAGE 8.1 CULTURAL HERITAGE PROTECTION PLAN AND CHANCE FIND PROCEDURES Same timeframe as action 1.3 CIM-AMFRI Ensure that cultural heritage protection procedures (including those for chance find) are incorporated as part of the ESMPs of each works under the Project involving excavation and earthworks, in accordance with the principles and requirements set out in the FLESIA and in a manner consistent with ESS 8. 8.2 IMPLEMENTATION SUPERVISION OF THE CULTURAL HERITAGE PROTECTION PLAN AND Same timeframe as action 1.3 CIM-AMFRI CHANCE FIND PROCEDURES Supervise the implementation of the ESMPs, ensuring the implementation of cultural 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 Adopt and disclose the SEP (final CIM-AMFRI Adopt and implement a Stakeholder Engagement Plan (SEP) for the Project, consistent version) no later than 30 days after the with ESS 10, which shall include measures to, inter alia, provide stakeholders with Effective Date, and thereafter timely, relevant, understandable, and accessible information, and consult with them in a implement the SEP throughout Project culturally appropriate manner, which is free of manipulation, interference, coercion, implementation. discrimination, and intimidation. 10.2 PROJECT GRIEVANCE MECHANISM Adopt the grievance mechanism no CIM-AMFRI Adopt, publicize, maintain, and operate a Project’s accessible grievance mechanism, to later than 30 days after the Effective receive and facilitate resolution of concerns and grievances in relation to the Project, Date, and thereafter maintain and promptly and effectively, in a transparent manner that is culturally appropriate and operate the mechanism throughout readily accessible to all Project-affected parties, at no cost and without retribution, Project implementation. including concerns and grievances filed anonymously, in a manner consistent with ESS 10. 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. 8|Página ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN (ESCP) – Integrated Sustainable Mobility Project in the Foz do Rio Itajaí Metropolitan Region (P178557) MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBLE ENTITY CAPACITY SUPPORT CS1 Provide training to the environmental and social staff of the PCU and other partner Periodically, throughout Project CIM-AMFRI implementing agencies, contractors, on the aspects to be considered as part of: implementation. First session within 60 • The environmental and social assessment of specific subprojects and the days of the Effective Date. elaboration and implementation of ESMPs (whenever required). • The elaboration and implementation of Resettlement Action Plans. • 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 CIM-AMFRI prevent SEA/SH; and the code of conduct for relationships with the population of local implementation. First sessions prior to communities in the area of intervention of the Project. the start of construction works under the Project. 9|Página