RP47 Vol. 4 Republika ng¶'ilipinas KAGAWARAN NG PAGAWAIN AT LANSANGANG PAMBAYAN TANGOAPAN NC KALIHIM Maynila 30 April 2001 MR. JITENDRA N. BA3PAI Sector Manager Transport Division East Asia and the Pacific The World Bank 13 y Washington, D.C. USA Dear Mr. Bajpai: Subject: Metro Manila Urban Transport Integration Proiect (MMIJRTRIP) We are pleased to submnit herewith the following documents in connection with the MMURTRIP: 1. Policy Framework for Land Acquisition, Resettlement and Rehabilitation, 2. Operational Framework for Public Participation and Consultation, and 3. Resettlement Action Plan and Review of the Resettlement Activities for the Marikina Bridge and Access Road Component. These documents consider the latest comments of the World Bank as conveyed in the communications on March and April 2001 from Ms. Sally Burningham, Team Leader. With this submnission, we consider the conditions of negotiations related to the Resettlement Policy as having been meet. Thank you and best regards. SCANNED FILE COPY t j Acession No. e i Vcry truly yours. ion 5 FILE (Co/a /haiPrmmr.e or #) LVCXr GR, i ISW C Aui0i P;uc 0 t..., _;>,___ _WNPR__ , |Received( Si rN N)ATUM NONG C ( m Secrelary Cc: Secretary Dante B. Canlas, NEDA Secretary Alberto Romnulo, DOI' FL COPY Chairman Benjamin Abalos, MMDA I ANNEX A OPERATIONAL FRAMEWORK FOR PUBLIC PARTICIPATION AND CONSULTATION Department of Public Works and Highways Manila, Philippinles April 2001 DPWH Operational Frarmework for Public Participation and Consultation INTRODUCTION TO THE FRAMEWORK Based on the Project Concept's definition of participation, an operational framework has been written to guide the project implementors on how the participatory process should be undertaken throughout the project cycle, from project preparation to implementation, up to operation and maintenance. The framework is written in a way that describes a step-by-step progression of activities, identifying: * When and where participation is required * Who should be participating * How they should participate, and * What results are expected of their participation. The suggested processes in this framework are based on the project process cycle used in the operations of DPWIH. It is understood that lessons will be learned during actual use of this framework, particularly the weaknesses of the participatory processes. Such lessons will ultimately lead to an improved implementation of succeeding projects. DPWH Operational Framework for Public Participation and Consultation 1. INTRODUCTION A. Rationale for Community Participation Participation is a process, through which stakeholders influence and share control over development initiatives and the decisions and resources, which affect them. The decision to participate is the start of the whole participatory process in the project cycle. In line with its continuing efforts to upgrade its operations and services. DPWH has recently formulated a new policy framework on land acquisition, compensation and resettlement, herein after called "Resettlement Policy". Said framework aims to provide clear guidance and direction to the personnel of the Department in planning, design and implementation of the projects DPWH undertakes. Specifically, the resettlement policy underscores the importance of getting PAPs informed about the project and, more importantly, getting their actual and active involvement in the planning and implementation. B. Consultation and Participation as a Structured Process Participation is an active and continuous process of interaction among the key stakeholders, including the communities directly affected (whether positively or adversely), national agencies such as DPWH, DENR, the Project Consultant, civil society and international donor agencies. Participation as a generic term usually encompasses two distinct dimensions: information exchange (i.e., dissemination and consultation) and varying forms of joint decision-making (i.e., collaboration or participation): Dissemination refers to the transfer of information from project officials to the affected population. Providing early and accurate information to PAPs allays fears, dispels misconceptions and builds trust, thus providing the foundation for collaboration between PAP and project authorities. Information dissemination takes place in all stages of the project cycle, implying a continuous feedback process through which the communities learn about potential activities in the area, and the project team learns about community dynamics. Consultation refers to joint discussion between project officials and the affected population, serving as the conduit for the transfer of information from the latter to the former. Systematic consultation also implies sharing of ideas. Discussions help in better understanding of issues and in integrating "popular wisdom" with technical know-how. Through collaboration and participation are often used interchangeably, collaboration refcrs morc narrowly to mcchlanlisnm for joint decisioni-miiakinig (c.g., commllunlities , and tribunals), whereas participation includes more broadly the transfer of decisioni-miiakinlg power to thlosc affectcd (c.g., providinig optiolns). IParticipation, in this sCensC, rcpresesnts a step by wlich I'Al's assumc responisibility over thleir lives. "Rlesponsibility" is tihc end-objective of the participatory process. TIhis is where thie project teanm and thlc commIunaiLies make a commllitmiienit to work for thie project. C. Thc Importance of Consultation and l'articip-ation in Rcsettlemciit fi, DPWH Operational Framewvork for Public Participation and Consultation Experience shows that mechanistic or paternalistic plans may at times be appropriate in protecting people from immediate impoverishment. However, such plans are not likely to be appropriate in accelerating the dynamic transition to renewed productivity and restores living standards. Participation is important because the success of resettlement depends to a great extent on the responsiveness of those affected for the following reasons: * Participation of affected persons is essential in understanding their priorities and needs and formulating resettlement options that balance their needs and capabilities, and in capitalizing upon existing human resources including the modes of social organization. * Participation helps to identify the wide river variety of impacts that acquisition of assets and displacement may generate in a project, and the people likely to be vulnerable to these impacts. * Participation helps to verify empirical facts and to make delivery of entitlements and services more transparent. * Participation is essential in reaching consensus on issues not subject to technical solutions e.g., negotiated valuation standards in the absence of markets, acceptability of substitute sites or other assets, bases for social integration of those displaced into host communities, and legitimization of the project itself * Active participation by PAPs, (i.e., project-affected persons) in decisions affecting their lives helps to diminish risk aversion and perception of acute vulnerability, thereby Ireducing dependency or mal-adaptation to new surroundings. • Participation engenders commitment or ownership, increasing the likelihood that resettlement resources and programs will operate satisfactorily and sustainably. D. Limitations of Consultation and Public Participation This framework provides operational guidance for realizing the potential of participatory processes in resettlement planning and implementation. However, it also identifies some of the limitations of participation, and confronts some issues likely to accompany participatory approaches in resettlemnent. These are summarized as follows: * Participatory process can be timc -initetnsive, extensive, and logistically cumbersome. * I)ue to inlcrenit qualitative nature of participationi, therc is a necd to cnsure that the participaitioni is not ritualistic ancl is carricd out in righlt earnest. * Participa)ltion ultilmlately involves clecisioii-lnmaiking and responsibility for decisions. IHlo\Nc cr the project processes may be affected if the I'AI's fail to participate accorHing to plans. * Participaition is frequently constrainecd by issues of represenltationl. It is difficult to establisil who can legitimately represellt othlers. There is always a risk in a project of DPWH Operational Framework for Public Participation and Consultation people with vested interests claiming to be representing the PAPs. In many instances. these '"representatives" may not actually have any stake in the project. Any attempt by civil society to promote collaborative decision-making in a project may be seen as political interference by project authorities, sometime s tugging against such attempts to spur greater ownership or commitment to projects. Despite these limitatioOns, however, experience suggests that participatory approaches are vital to the success of resettlement. However, it is essential to take note of the following: • It may be essential to undertake some project-related activities and agenda-setting functions before inviting public involvement. Potential projects must be identified beforehand, usually with an initial emphasis upon technical criteria. However, some degree of confidential feasibility assessment of plans is warranted, especially if disclosure is likely to provoke unrest or high level of uncertainty long before necessary. * In some projects, step may be required (including establishing cut-off date, video documentation, site selection and census taking ) to prevent land speculation. immigration, or various formns of rent seeking . [ It is equally important to emphasize that participation cannot be entirely structured, thoroughly planned, or politically stage-managed. It has often been proven erroneous to assume that people could not or would not find alternatives if denied formnal channels for participation. Furthermore, even otherwise proficient project plans may fall victim to delays, overruns, or outright cancellation when the venue for participation shifts to the courts or the streets. * It is often useful to identify stakeholders in a project and, while the access to participation is not denied to all, the focus can be placed on the key stakeholders in their participation and collaboration in the project process. * The structure of participation influences the quality of participation. Thus, project agencies must be encouraged to devise dissemination, consultation, and participation approaches that are appropriate to the local cultural an political context. The sections that now follow provide additional elaboration, relating participation to the projcct cycle. It must be noted that in practicc, the stages of participation often overlap. comring togcther at differcnt timcs in project preparation and implemcentationi. It is also importanit to rcmicemiber that the specific form, scqucnice, and contenlt of participatory processes vary significant by projcct, and by a myriad of local cnvir-onmcnctal andc social factors. Accordingly, thc time and fundinig rcquiLCd fiol participatory resettlclllemet processes also vary substantially. DPWH Operational Framewvork for Public Participation and Consultation II. LEGAL AND INSTITUTIONAL FRAMEWORK FOR PARTICIPATION A. Provision for Public Participation in DPWH The legal bases for public participation in the operation of DPWH are provided by: 1. EO 1035, Series of 1985. Section 3 of the said EO mandates that "local government officials and representatives of the office of Media Affairs shall conduct an extensive public information campaign among the local inhabitants (on the) objectives and benefits to be derived from the project and thus avoid any resistance to or objection against the acquisition of (private) property for the project. . . " (Underscoring provided). 2. Department Order 142, Series of 1995. Para 7 of the DO provides that the Procedures in the acquisition of private properties for ROW shall still be EO 1035 dated June 25, 1985. 3. DENR Department Administrative Order (DAO) 96-37. DAO 96-37, dated January 6, 1997. The present Environmental Impact Statement (EIS) System of the country, which applies to both public and private development projects, puts great emphasis on the social acceptability of socio-economic projects of both the private sectors. Thus, in the preparation of environmental examinations as a requisite in securing environmental compliance certificate (ECC) from DENR, consultations with project stakeholders and the general public are required. These consultations serve as a venue for informing the public about the projett, and for identifying adverse impacts that the project may have to both the physical and social environment, including measures aimed to mitigate or preclude such negative impacts. B. Current Practices in Public Participation and Consultation in DPWH With the promulgation of the country's EIS System in the 1978 and the subsequent issuance of Department Administrative Orders (DAO) from the DENR , notably DAO 96-37, public consultation is becoming a regular activity of DPWVH. Most of the infrastructure projects of DPWH where the Department has undertaken consultations were those requiring environmental compliance certificates from the DENR . These are foreign-assisted projects that are being implemented by the project management offices (PMO's) of the Department. C. Limitation of Current Procedurcs As noted in anothler report prepared in connlectionl witil thc prcparationis for NRIMIP 1, the E'nvironmental Impact Assessmcnt Project Officc (I,IAI'O) and othcr units of the Departnmet that may conduct environmental impact stLudies arc guid(led prinlcipally by DENR's D)AO 96- 37. 1[oxwcver, I)AO 96-37 is slhort of' providinlg thlc frameicwoIk and balsic guideiines to address social issuCs that mlay crop up in the implementation of development projects, such as just and fair compenisationi to project-affected personis (I'Al's). In order words, social impact ' See Itnstituitiona4il ,AaSl)'sis.: Towards St-etngdlweniitng ul'e Enviromnnental andSocitl Capabblities of' DPWH71 May 1999. DPWH Operational Framework for Public Participation and Consultation assessment. resettlement action plan, and related concepts have yet to gain grounds in the Department. III. APPLICATION OF THE PARTICIPATORY PROCESS TO THE PROJECT CYCLE The following shows the step-by-step application of the participatory process through the project cycle, i.e., project preparation, project implementation, project operation and maintenance. A. Project Preparation Stage There are 3 main stages in project preparation, namely: - Project identification and pre-feasibility; - Feasibility; and * Detailed engineering design; Each main activity has a series of sequential activities where participation is required. Stage 1: Project Identification and Pre-feasibility Step 1: DPWH contacts Regional and District Engineering Offices about the projects and its components. Step 2: Concerned Local Governmnent Units (LGUs) and DPWH office hold a preliminary meeting. The objectives of this meeting are to: i. Explain the general concept of the project ii. Discuss/explain the requirements of the project and its likely impacts iii. Present tentative schedule of activities iv. Create awareness and appreciation among the LGUs about the Project v. Identify the various project stakeholders vi. Set general orientation meetings of stakieholders at the barangay level. The target participants to the meeting with the LGUs are: a) TIlic Municipal Mayor(s) b) Municipal Planninlg and Development Coordinators (Ml'DC) c) Ihc Sallggullianig 13ayan, especially thc mleimibcrs of the Infrastructure (ConmmitteC, and d ) i ;arangay Captains of tihC coiimuitics thia-t arc miost likcly to be affectecd by the project. Step 3: P'relimllinary barangay-level meetling withi commnuniities th.it are likely to be affected by the project. TIhc objectives of tlhe meetinig are to: DPWH Operational Framework for Public Participation and Consultation a) Disseminate information on: The over-all objectives and merits of the projects to the stak}eholders; Benefits of the project and likely adverse impacts; * The need for detailed field investigations ( Land Acquisition Assessment. EIA, and Social Assessment); and b) Assess the attitudes of the people towards the projects. Step 4: General Orientation of the Community Immediately before undertaking any survey activity in the community and upon entry to the community, the project team should conduct a more thorough barangay meetings to orient, and to ensure that, the community understand the nature and extent of the proposed projects. Awareness of the project will facilitate the data-gathering process and ensure the quality of data provided by the community to the project team. The community orientation should be facilitate by officials of the barangay who attended the orientation meeting conducted earlier at the municipal office . Support to these barangay officials shall be provided by representatives from the Infra Committee of the Sangguniang Bayan, the MPDC, and the project team. The suggested agenda for the General Community Orientation are: a) Description of the project b) Activities to be undertaken and their schedule, such as the technical surveys, water resources assessment, social impact study, environmental impact assessment, etc. c) Expected roles of the community during the conduct of the above-mentioned technical studies. Step 5: EIA / Social Assessment / Land Acquisition Assessment a) Assess positive and adverse impacts, number of households likely to be affected. types of impacts, tenure status, impacts on public infrastructure, need for acquisition of private assets and relocation, etc.; b) Identify cthnic minority community affected, if any; and; c) Asscssmcnt of attitLudc, preferences and prioritics of the affccted conmmunity that may liavc influcence project designi parameters. Stage 2: Feasibility Studics Stcp 6: Orienitationi of l GUs DPWH Operational Framework for Public Participation and Consultation Prior to the start-up of RAP preparation, DPWH will hold consultation with, and provide information to, concerned LGUs (i.e., municipal and barangay level as necessary) on the following: a) Resettlement policy b) Availability of development assistance c) Role of LGUs in RAP planning and implementation d) Grievance Redress Mechanism Step 7A: Field Work for RAP preparation Based on the results of the Land Acquisition Assessment and / or SIA, a census and a full-blown socio-economic survey of PAPs2 including among others, an inventory of affected assets, will be conducted as an important step in drafting an appropriate resettlement action plan (RAP). Said RAP will include the amount and the process to be employed in the payment of compensation and other kinds of assistance to PAPs. LGUs are expected to play dominant role in carrying out the necessary surveys for RAP preparation. A separate socio-economic survey of affected indigenous people communities will be undertaken as part of the preparation of an indigenous people action plan (IPAP), especially if the said indigenous group is not integrated into the mainstream society. Baseline socio-economic survey of affected households, especially those affected by the severe loss of productive assets, incomes and business. Step 7B. Consultation with and Participation by LGUs in RAP preparation. The RAP preparation activities will also require consultations the LGUs on the prevailing rates for different types of affected assets and procedures for valuation of assets. LGUs will also be actively involved in identifying suitable relocation sites for resettlement of displaced PAPs. The census, inventory of affected assets and baseline socio-economic surveys will also include the host community. Step 8: Consultationi with the Commiunity Still part of thc process to finalize the RAP, consultation(s) witlh affectcd commilunitics at thic barangay lcvcl will be untdertakein. For this purposc, the project tcamll (and propoonent) must have a prepared P'ublic Infor-mation 13Booklet, wlhichi contains a brief Ceilsus will be ulidertaken for all types of l'AI's. Cetisus covers general inforiiiaitionl on thc I'Al', suchi as demographic intorimiationi and properties aflfected. Socio-econornic surveys will cover only thiose who are severely affected by the project. Inforimiationi to be gathered includes houselhold incomiie, expenlditLl-es, skills, etc. These information will serve as bencihmark data for those preparing, implemnenting, and evaluating the RAP designed for them. d6A & DPWH Operational Framework for Public Participation and Consultation description of the project, including compensation policy for affected private properties. The affected communities will also be informed on the mechanics and procedures for public participation and consultation of the RAP, grievance redressal mechanism, resettlement and rehabilitation programs. Likewise, the community's suggestions regarding relocation site(s)'3 will be solicited, and, where warranted, its preferences for: a) Cash or land-for-land compensation for affected fixed assets; b) Types of development assistance; c) Viability of remaining assets; d) Reorganization and relocation of dwelling units; and e) Preference for the types of rehabilitation assistance measures. In case an indigenous community will be affected by the project, the consultation will also touch on: a) Existing income-generating activities b) Cultural practices likely to be affected by the project, and c) Possible mitigation measures of adverse impacts. Step 9: Finalization of the RAP and, if warranted, Indigenous People Action Plan Stage 3: Finalization of Technical Design Step 10: Orientation meeting with LGUs (municipal and barangay, as applicable) and affected communities on the final version of the RAP and its implementation. Step 11: Meetings at the municipal and barangay levels regarding thie project's detailed engineering (technical) designs. The first meeting with the LGUs will include the following objectives: a) -T-o present the results of the feasibility study, the preliminary engineering designs and the environmental impact assessment, including thle tentative etnviroiinmental managemncjt plan (EMP). b) Io get the reactions, commielCnts, suggestions, and concurrenice of thlc LGUs. IhllC a"CendZa of thc SeCOICI mlleCtillg Will includc: M i'resCntatiol of thc rcsults of tllc project's final teclcical cdcsignis, anidl h) (Cnc1CUrrence of tlhc final version of thc ENMI) 3 Anothier imporiant objective of this meetinig is to gatlher suggestions on thc techniical design of the water supply and saniultio:n facilities, and on what is more practical in terimis of locations for the structures that will ease or lessern powible problems of resettlemenl. DPWH Operational Framework for Public Participation and Consultation B. Project Implementation Stage Step 12: Setting-up of various Committees as required by the project and the RAP: a) RAP Implementation Committees; b) Appraisal Committee; and c) Grievance Redress Committee. The participation and representation of the community members, including their informal leaders in the committees will ensure an affective consultation and infornation dissemination in the project. As previously agreed upon (see preceding steps), PAPs will be represented in these committees. ESS (DPWH) through its district office will provide copies of the final RAP to each municipality for its information. The RAP would be accessible to all the PAPs in the municipality. Step 1'3: Participation of PAPs in Grievance Redress Committees In order to ensure that peoples grievances and complaints on any aspect of the land acquisition, compensation, and resettlement are addressed in a timely and satisfactory manner and that all possible avenues are available to PAPs to air grievances, a well defined grievance redress mechanism need to be established in the Project. Grievance Redressal Committee (GRC) DPWH will establish Grievance Redressal Committee in each barangay / municipality. The members of the committee will include: One senior staff of DPWH provincial office (ESS staff); One staff of the respective municipal office; and One official of the respective barangay; and One representative of the PAPs in thie respective barangay. Grievancc Proccdures: A thrce stage procedure for redressal of gricvanices is proposed. Illis includes: Stagec 1: Comiiplainlts of the Al's on1 anly aspect of rcsettlement program11, or uLladdressed losses shall in first instance be lodlged verbally or in writteni form to the Grievance Redressal Committee. The complainit can be discussed in aln infornmal mleeting witlh the PAP and the GRC. TIhe GRC will be responsible to resolve the issue withill 15 days fronm the day it is received. DPWH Operational Frarnework for Public Participation and Consultation Stage 2: If no understanding or amicable solution can be reached or PAPs do not receive response from the GRC within 15 days of registrv of complaint, he/she can appeal to the respective municipal authorities of the mayor. PAPs will be invited to produce documents, which support his/her claim. The local government authority will be responsible to address the complaints within 20 days from the day of its filing. Stage 3: If the PAP is not satisfied with the decision of the local government or the mayor, or in the absence of any response from the municipal authorities / mayor, he/she, as a last resort, can submit its case to the District Court. The complaints by the PAPs can be lodged verbally or in written fonn but in case it is lodged verbally, the GRC to which it is lodged will wTite it down in the first instance of its meeting with the PAPs. All records of the meetings and complaints with the GRC will be documented. PAPs who will present their case to GRC, municipality or the court of law at the district or provincial level will be exonerated from paying any fee. In addition, PAPs lodging complaints and appeals to District Courts will be provided with free legal representation. Step 14: Consultation with PAPs PAPs will be consulted again for reconfirmation of their selected options for (i) cash and land-for-land; (ii) types of rehabilitation assistance; and (iii) relocation sites. Additionally, PAPs will be requested to confirm their agreement with the inventory results and provided with detailed information on their specific entitlements for compensation and rehabilitation measures. Step 15: Participation in Implementation Whelnever feasible, PAPs will be contracted in the implementation of the various activities of thie project, such as reconstruction of damaged dwelling units, building of small infrastructure uniits (like ripraps and retaininig walls), ctc. PAIPs may also be mobilized in the maintenanice of comllmlunity services and facilities, such as schools. water and sanitationi facilities, and ir-igation works. Step 16: Monlitorilg of RZAI' Imzplemlinciitaitioni I1hc project teamn/proponieint should cnlist thie participationi of I'AI's in thic maonitor-ing of RAII implementation. R Representative of the PAPs in the internal mzonitoringg of the implementation of the RAII will providle a more acCurate reading of thc local commiunity's f'eclings andl reactions. DPWH Operational Framework for Public Participation and Consultation C. Post Project Implementation Stage Stage 17: Evaluation of RAP Implementation A composite body of representatives from the project team, concemed LGUs, the various committees formed, and PAPs will be formed to conduct an evaluation of the RAP upon completion of its implementation. The coverage of the evaluation w'ill include RAP preparation and actual implementation. Strengths and weaknesses of the whole process of the RAP will be identified with the end in view of drawing lessons from them. Said lessons ought to guide DPWH in future projects. IV. Roles and Responsibilities of the LGU and the Communities There are three key stakeholders: DPWH regional office, LGU and the communities. The roles and responsibilities of the stakeholders are summarized below. Project Process Stage Participatory Activities and Participants Responsible Institutions Preparation Pre-feasibili 1. Briefing of DPWH Regional and District DPWH ESS Central Offices re proposed infra project Office 2. Meeting with concerned LGUs, notably ESS Central Office, mayors, planning and development with reps from regional coordinators, members of the municipality and district offices Council, barangay captains, to give them an overview of the proposed infra project 3. Preliminary barangay-level public meeting ESS offices with LGU on the proposed infra project reps 4. Follow-up meeting (second consultation) LGUs as lead, with stakeholders in the barangay supported by ESS reps preparatory to the conduct of technical, from regional and cnvironmellcntal and social studics relative to district offices thc pioposed infra projcct 5. Conduct of'l IS and/or SIA ESS reps, with commllunity participation DPWH Operational Framew ork for Public Participation and Consultation Project Process Stage Participatorv Activities and Participants Responsible Institutions Preparation Feasibility 1. RAP preparation, specifically the conduct ESS Central, assisted of a census and socio-economic survey of by regional/district and PAPs LGUs 2. Orientation of LGUs on the draft RAP ESS reps, with community participation 3. Consultation with the community on the ESS Central Office, draft RAP with reps from regional and district offices 4. Finalization of RAP/IPAP ESS offices with LGU reps from regional and district offices Finalization of 1. Orientation of LGUs and affected ESS Central Office, Technical Design communities regarding the final version of with reps from regional the RAP, including the mechanics of its and district offices implementation 2. Initial meeting with LGUs and other ESS Central Office, stakeholders to present, and get feedback with reps from regional on the preliminary detailed engineering and district offices design of the infra project, the results of the EIA/IEE and the draft EMP Implementation I. Setting-up of various working committees, ESS reps, with LGU such as the appraisal committee, grievance and community redressal committee, etc. participation 2. LGU and community participation in the ESS Ccntral, assisted implementationl of the RAIP and EMP by regional/district 3. Internial monitoring of RAP ESS reps, with LGU implemneztatio n anld comilm. partllicipatioln l'ost-Implementation 1. Summing-up evaluatioll of the IAI, to ESS Central, assiste(d cover its preparation and implemenntation by regional/district ESS reps, with LGU and comm. participation