Philippines - First National Roads Improvement and Management Program Project (Phase 1NRIMP) : environmental assessment (Vol. 2 of 5)

E-287 VOL. 2 National Roads Improvement Management Program PUBLIC PARTICIPATION AND CONSULTATION An Operational FRAMEWORK June 1999 1  4  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 not the end of the participatory process but is the start of the whole participatory process in the project cycle. In its Operational Directive No. 4.30 (Para. 3c), the World Bank states that "Community participation in planning and implementing resettlement should be encouraged." Paragraph 8 of the same OD provides that the "... involvement of involuntary resettlers and hosts in planning prior to the move is critical ...(and) the affected hosts and resettlers need to be systematically informed and consulted during preparation of the resettlement plan about their options and rights They should also be able to choose from a number of acceptable resettlement alternatives." The Bank believes that "Successful resettlement requires a timely transfer of responsibility from settlement agencies to the settlers themselves..." (Para 10) In line with its continuing effort to upgrade its operation and services, the Department of Public Works and highways (DPWH) is forrnulating a Social Policy which includes: 1) a policy framework on land acquisition and the resettlement and rehabilitation of project- affected persons (PAPs); and 2) a framework on public participation and consultation. The frameworks aim to provide clear guidance and direction to the personnel of the Department in the implementation of the various projects DPWH is undertaking. They underscore the importance of getting PAPs informed about the project and, more importantly, getting their actual and active involvement in the planning and implementation of resettlement action plans (RAPs). 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). Information 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. 2  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. Experiences show that consultation yields many of the best resettlement alternatives, fruitful procedures for continued participation, and independent information regarding actual implementation. Through discussions the project technical team and the affected groups come to a better understanding of issues. Adopting this approach in all stages of the project means integrating "popular wisdom" with technical know-how. This means that project personnel and the communities engage in a continuing discussion of the community situations and dynanics and technically viable activities. A key element in the discussion processes is listening. No matter how good popular knowledge is, if this is not carefully listened to by the program sponsors and project team, discussions as a participatory process does not have any value, since what will prevail is what the program sponsors and project team want. Though collaboration and participation are often used interchangeably, collaboration refers more narrowly to mechanism for joint decision-making (e.g., committees, and tribunals), whereas participation includes more broadly the transfer of decision-making power to those affected (e.g., providing options). Proposal and decision are therefore, the next stage in the process that enables the project team and the communities to reach an agreement on the final project design that is best suited to the community's needs. Participation, in this sense, represents a step by which PAPs assume responsibility over their lives. 'Responsibility' is the end-objective of the participatory process. This is where the project team and the communities make a commitment to work for the project. C. The Importance of Consultation and Participation in Resettlement 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 restored living standards. It is now widely recognized that restoration of incomes and living standards requires the active participation of those adversely affected. Therefore, participation is important because the success of resettlement, like the success of most of the projects that cause it, depends to a great extent on the responsiveness of those affected. This statement may be true for the following reasons: 1. Affected people know their economic, social and physical surroundings better than outside agencies. Therefore, their participation is essential in understanding their priorities and needs and forrnulating resettlement options that balance their needs and capabilities, and in capitalizing upon existing human resources including the models of social organization. 2. Acquisition of assets and displacement of people often generate a wide variety of impacts, even within a single project. Participation helps to identify these impacts and the people likely to be vulnerable to these impacts. 3  3. Participation helps to verify empirical facts - e.g., the identity of those affected or the volume of assets to be acquired, and helps to make delivery of entitlements and services more transparent. 4. Participation is essential in reaching consensus on issues not subject to technical solution - 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. 5. Participation per se can have a powerful impact upon perceptions and behaviors. In the context of resettlement, active PAPs' (i.e., project-affected persons) participation in decisions affecting their lives helps to diminish risk aversion and perception of acute vulnerability, thereby reducing dependency or mal-adaptation to new surroundings. 6. Similarly, 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 processess 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 resettlement. These are summarized as follows: 1. Participatory processes can be time-intensive, expensive, and logistically cumbersome. The project processes in DPWH, on the other hand, require streamlining the planning, design and implementation activities. 2. The participation process is often designed to be minimal and formal. Due to inherent qualitative nature of participation is not ritualistic and is carried out in right eamest. 3. Participation ultimately involves decision-making and responsibility for decisions. However, the project processes may be affected if the PAPs fail to participate according to plans. Best laid resettlement plans may get jeoperdized if PAPs keep on changing their minds about resettlement options. Similarly, the consequences of a poor decision on income restoration or maintenance of living standards may not fully achieve the policy objectives that put emphasis upon income restoration. 4. Participation is frequently constrained by issues of representation. It is difficult to establish who can legitimately represent others. On the other hand, the desire to represent others may heighten conflict or impede compromise. Alternatively, compromise, as part of project participation, may lead to claims of false representation or new demands from others. There is always a risk in a project of people with vested interests claiming to be representing the PAPs. In many instances these "representatives" may not actually have any stake in the project. 4  5. Any attempt by civil society to promote collaborative decision-making in a project may be seen as political interference by project authorities, sometimes tugging against such attempts to spur greater ownership or commitment to projects. Despite these limitations, however, experience suggests that participatory approaches are vital to the success of resettlement. It is, however, 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, steps may required (including establishing cut-off date, video documentation, site selection and census taking) to prevent land speculation, in-migration, or various forms of rent seeking. In other words, 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 and political context. '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. In the absence of an open and somewhat flexible process of communication, resettlement design is likely to be inadequate. 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 process. The Consultation and Participation Matrix at the end of this framework provides the general guidelines for incorporating participation in resettlement planning and implementation. The sections that now follow provide additional elaboration, relating participation to the project cycle. It must be noted that, in practice, the stages of participation often overlap, coming together at different times in project preparation and imnplementation. It is also important to remember that the specific form, sequence, and content of participatory processes vary significantly by project, and by a myriad of local environmental and social factors. Accordingly, the time funding required for participatory resettlement processes also vary substantially. 5  II. 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: 1. when and where participation is required 2. who should be participating 3. how they should participate, and 4. 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 DPWH. 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. III. LEGAL AND INSTITUTIONAL FRAMEWORK FOR PARTICIPATION A. Provisions for Public Participation in DPWH The legal bases for public participation in the operations of DPWH are provided by: 1. EO 1035, Series of 1985 of former President Marcos provides the Procedures and Guidelines for the Expeditious Acquisition by the Government of Private Real Properties or Rigths- Thereon for Infrastructure and Other Government Development Project'. 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 by Gregorio R. Vigilar and entitled "Inclusion of Preparation of Parcellary Plans and Cost Estimates for ROW Acquisition in Detailed Engineering of Infrastructure Projects". Point No. 7 of the DO provides that the procedures in the acquisition of private real properties for ROW shall still be EO 1035 dated June, 25, 1985. 3. DENR Department Administrative Order (DAO) 96-37. DAO 96-37, which was signed by DENR Secretary Victor Ramos in December 1996, took effect on 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 public and private sectors. Thus, in 6  the preparation of 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 project, 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 DPWH. The types of projects that which require consultation, including the extent and depth of the said consultation, however, still remain a grey area. To be more specific, most of infrastructure projects of DPWH where consultations have been undertaken by the Department were those requiring environmental compliance certificates from the DENR. These are foreign-assisted projects that are being implemented by the various project management offices (PMOs) of the Department. C. Limitations of Current Procedures As noted in another report' prepared in connection with preparations for NRIMP 1, the Environmental Impact Assessment Project Office (EIAPO) and other units of the Department that may conduct environmental impact studies are guided principally by DENR's DAO 96- 37. However, DAO 96-37 is short of providing the framework and basic guidelines to address social issues that may crop up in the implementation of development projects, such as just and fair compensation to project-affected persons (PAPs). In other words, social impact assessment, resettlement action plan, and related concepts have yet to gain ground in the Departrnent. This is what the setting-up of a regular environmental and social concerns office at DPWH hopes to institutionalize in the Department. IV. APPLICATION OF THE PARTICIPATION PROCESS TO THE PROJECT CYCLE The following provides step-by-step application guidelines of the participatory process throughout the project cycle, i.e., during project preparation, project implementation, project operation and maintenance. A. Project Preparation Stage There are 3 main stages in project preparation, namely: 1. Project identification and pre-feasibility; 2. Feasibility; and 3. Detailed engineering design. ' See Institutional Analysis: Towards Strengthening the Environmental and Social Capabilities of DPWH, June 1999. 7  f Each main activity has a series of sequential activities where participation is required. Project Identification and Pre-Feasibility Step 1: DPWH contacts Regional and District Engineering Offices about the project and its components. Step 2: Concerned Local Government Units (LGUs) and DPWH office hold a preliminary meeting. The objectives of this meeting are to: a) explain the general concept of the project b) discuss/explain the requirements of the project and its likely impacts c) present tentative schedule of activities d) create awareness and appreciation among the LGUs about the project e) identify the various project stakeholders f) set general orientation meetings of stakeholders at the barangay level The target participants to the meeting with the LGUs are: a) the Municipal Mayor (s) b) Municipal Planning and Development Coordinators (MPDC) c) the Sangguniang Bayan, especially the members of the Infrastructure Committee, and d) Barangay Captains of the communities that are most likely to be affected by the projects. Step 3: Preliminary barangay-level meeting with communities that are likely to be affected by the project. The objectives of the meeting are to: 1. Disseminate information on: a) the over-all objectives and merits of the projects to the stakeholders; b) benefits of the project and likely adverse impacts; c) the need for detailed field investigation .(land acquisition assessment, Social Impact Assessment and EIA,); and 2. Assess the attitude of the people towards the projects and listen to their concerns. 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 meeting to orient, listen and inform the community about the nature and extent of the proposed project. Awareness of the project will facilitate the data-gathering process and ensure the quality of data provided by the community to the project team. 8  The community orientation should be facilitated by official 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 Infrastructure 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) question and answer session c) activities to be undertaken and their schedule, such as the technical surveys, water resources assessment, social impact study, environmental impact assessment, etc. d) expected roles of the community during the conduct of the above-mentioned technical studies. Step 5: EIA/Social Impact Assessment/Land Acquisition Assessment: 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.; Identify ethnic minority community affected, if any, and the impact on them; and Assessment of attitude, preferences and priorities of the affected community that may have influence project design parameters. Feasibility Step 6: Orientation of LGUs Prior to the start-up of RAP preparation, DPWH will hold consultation with and provide information to, the 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 Step 7A: Field Work for RAP preparation Based on the results of the Land Acquisition Assessment and/or SIA, a census and full-blown socio economic survey of PAPs' including among others, an inventory of affected assets, will ' Census will be undertaken for all types of PAPs. Census covers general information on the PAP, such as demographic information and properties affected. Socio-economic surveys will cover only those who are severely affected by the project. Information to be gathered includes household income, expenditures, skills, etc. These information will serve as benchmark data for those preparing, implementing, and evaluating the RAP designed for the sub-project. 9  be conducted as an important step in drafting an appropriate 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 businesses. Step 7B: Consultation with and Participation by LGUs in RAP preparation. The RAP preparation activities will also require consultations with 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: Consultation with the Community Still part of the process to finalize the RAP, consultation(s) with affected communities at the barangay level will be undertaken. For this purpose, the project team (and proponent) must have a prepared Public Information Booklet, which contains a brief 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 suggestion regarding relocation site(s)2 will be solicited, and, where warranted, its preference 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. 2 Another important objective of this meeting is to gather suggestions on the technical design of the water supply and sanitation facilities, and on what is more practical in terms of location for the structures that will ease or lessen possible problems of resettlement. 10  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 projects, and c) possible mitigation measures of adverse impacts. Step 9: Finalization of the RAP and, if warranted, Indigenous People Action Plan. 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 the project's detailed engineering (technical) design. The first meeting with the LGUs will include the following objectives: a) to present the resultsof the feasibility study, the preliminary engineering designs and the environmental impact assessment, including the tentative environmental management plan (EMP) and the RAP b) to get the reactions, comments, suggestions and concurrence of the LGUs. The agenda of the second meeting will include: a) Presentation of the results of the project's final technical designs, and b) Concurrence of the final version of the EMP and the RAP B. Project Implementation Stage Step 12: Setting-up of various Committees as required by the project and the RAP, such as RAP Implementation Committees, Appraisal Committee, Grievance Redress Committee, etc. 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 13: 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. 11  i Step 14: Participation in Implementation Whenever feasible, PAPs will be contracted in the implementation of the various activities of the project, such as reconstruction of damaged dwelling units, building of small infrastructure units (like ripraps and retaining walls), etc. PAPs may also be mobilized in the maintenance of community services and facilities, such as schools, water and sanitation facilities, and irrigation works. Step 15: Monitoring of RAP Implementation The project team/proponent should enlist the participation of PAPs in the monitoring of RAP implementation.3 Representation of the PAPs in the internal monitoring of the implementation of the RAP will provide a more accurate reading of the local community's feelings and reactions. C. Post Project Implementation Stage Step 16: Evaluation of RAP Implementation A composite body of representative from the project team, concerned LGUs, the various committees forned, and PAPs will be formed to conduct an evaluation of the RAP upon completion of its implementation. The coverage of the evaluation will include RAP preparation and actual implementation. Strengths and weakness 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. 3 This is in addition to the external monitoring of RAP implementation as required by the Bank. 13  V. Roles and Responsibilities of the LGU and the Communities There are three key stakeholders: DPWH regional office, LGUs and the communities. The roles and responsibilities of these stakeholders are summarized below. Project Stage Participatory Activities and Participants Responsible Institutions Preparation 1. Briefing of DPWH Regional and DPWH ESS4 Central District Offices regarding proposed Office Pre-feasibility infrastructure project 2. Meeting with concerned LGUs notably ESS Central Office, mayors, planning and development with reps from regional coordinators, members of the and district offices municipality/city council, barangay captains, to give them an overview of the ESS offices with LGU proposed infrastructure project reps 3. Preliminary barangay-level public LGUs as lead, supported meeting on the proposed infra project by ESS reps from regional and district offices 4. Follow-up meeting (second ESS reps, with consultation) with stakeholders in the community participation barangay preparatory to the conduct of technical, environmental and social impact assessment studies relative to the proposed infrastructure project 5. Conduct of EIA and/or SIA Feasibility 1. RAP preparation, specifically the ESS Central, assisted by conduct of a census and socio-economic regional/district and survey of PAPs LGUs 2. Orientation of LGUs on the draft RAP ESS reps, with community participation 3. Consultation with the community on ESS Central Office, the draft RAP with reps from regional and district offices 4 DPWH ESS - DPWH Environment and Social Service 14  Project Stage Participatory Activities and Participants Responsible Institutions 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 infrastructure project, the result of the EIA/JIEE and the draft EMP Implementation 1. Setting-up of various working ESS reps, with LGU & committees, such as the appraisal community participation committee, grievance redressal committes, etc. 2. LGU and community participation in ESS Central, assisted by the implementation of the RAP and EMP regional/district 3. Internal monitoring of RAP ESS reps, with LGU & implementation community participation Post- 1. Summing-up evaluation of the RAP, to ESS Central assisted by Implementation cover its preparation and implementation regional/district ESS reps, with LGU & community participation 15