INTEGRATED SAFEGUARDS DATA SHEET CONCEPT STAGE Public Disclosure Copy Report No.: ISDSC3712 Date ISDS Prepared/Updated: 14-May-2013 Date ISDS Approved/Disclosed: 09-Apr-2013, 30-Apr-2013 I. BASIC INFORMATION A. Basic Project Data Country: Dominica Project ID: P129992 Project Name: Third Phase Disaster Vuln.Reduction APL for Dominica (P129992) Task Team Zoe Elena Trohanis Leader: Estimated 24-Jun-2013 Estimated 26-Sep-2013 Appraisal Date: Board Date: Managing Unit: LCSDU Lending Adaptable Program Loan Instrument: Sector(s): Flood protection (50%), Public administration- Water, sanitation and flood protection (20%), Central government administration (15%) , Other social services (15%) Theme(s): Natural disaster management (50%), Climate change (50%) Financing (In USD Million) Total Project Cost: 39.00 Total Bank Financing: 18.00 Public Disclosure Copy Total Cofinancing: Financing Gap: 0.00 Financing Source Amount BORROWER/RECIPIENT 0.00 International Development Association (IDA) 18.00 Climate Investment Funds 21.00 Total 39.00 Environmental B - Partial Assessment Category: Is this a No Repeater project? B. Project Objectives C. Project Description The proposed Project would consist of the following four components: (1) Prevention and Adaptation Investments; (2) Regional Platforms for Spatial Data Management, Hazard and Risk Evaluation, and Applications for Improved Decision-Making; (3) Natural Disaster Response Investments; and (4) Project Management and Implementation Support. The Project would address Public Disclosure Copy risks associated with, among others, flood, landslides, and, to some extent, seismic risks. Component 1: Prevention and Adaptation Investments (TBD). This component would be designed to reduce physical vulnerability and pilot adaptive measures to build resilience to current and future hydro-meteorological shocks. Activities under this component would include a suite of civil works to improve infrastructure resilience to disaster events and climate change adaptation measures. Activities to be financed are expected to include, but would not be limited to, the following: (a) Construction of community multi-purpose emergency shelters; (b) Retrofitting and rehabilitation of water infrastructure; (c) Slope stabilization interventions (geotechnical as well as re-vegetation); (d) Climate resilient rehabilitation of primary and secondary roads and bridges; (e) Improved climate resilient drainage systems, including maintenance of storm water drainage; (f) Construction of coastal and river defenses. In addition to the urgent repair and retrofitting investments identified above, a prioritization of further vulnerability reduction and adaptation investments based on a multi-criteria evaluation would be carried out. Baseline information on critical facilities (primarily in the education sector), and emergency shelters would be gathered as well as information regarding characteristics and current condition. Information on hazards, risks and potential climate change impacts along with geospatial information would also be collected. The relative importance of specific infrastructure (i.e. schools, emergency shelters) as well as the projected number of individuals expected to benefit from project activities would further inform the prioritization of investments. Component 2: Regional Platforms for Spatial Data Management, Hazard and Risk Evaluation, and Applications for Improved Decision-Making (TBD). This component would finance a series of capacity-building and technical assistance in Dominica to support disaster risk management and Public Disclosure Copy climate change adaptation. Activities for strengthening spatial data management and the information sharing platform in Dominica, as well as linking it to a regional platform, could include: (i) adoption of standards on spatial data, metadata and data quality; (ii) collection of spatial data relevant to disaster risk management activities; and (iii) capacity building and knowledge exchange on spatial data management. Additionally, for the agriculture sector, crop diversification studies and technical assistance would be included to support the Ministry of Agriculture and Forestry with its diversification and food security program. Activities to be performed at the regional level, in collaboration with other OECS countries and regional institutions would include, inter alia: (i) creation of a regional backbone technology infrastructure and collaboration mechanisms that would allow countries and regional technical entities to share geospatial data for DRM and other purposes, including the establishment of data sharing protocols for the region; (ii) knowledge sharing and learning process to develop and enforce harmonized infrastructure codes, standards and methods for critical public infrastructure; and (iii) improving physical/territorial planning practices. Component 3: Natural Disaster Response Investments (TBD). Due to the high risk of a catastrophic event in Dominica, a provisional component would be added under this project designed as a mechanism that would allow for rapid response in the event of an emergency. Following an adverse natural event and the Government’s declaration of emergency in accordance with its national law, and subject to the Bank’s satisfaction that a situation of national emergency exists, the contingent component would be activated and implemented following the rapid response procedures governed by OP/BP 8.00. The component facilitates rapid re-categorization of financing and additional Public Disclosure Copy financing request under streamlined procedures during an emergency, should the Government so request. Preparatory work would be undertaken for the design of the component, including i) preparation of an agreed preliminary emergency recovery Action Plan of activities; ii) compilation of a positive list of eligible critical imports/needs; iii) ToRs and contracts for technical services to support the scoping and design of the emergency recovery and reconstruction subprojects; and iv) a list of firms (national & regional) that have a demonstrable track record in emergency response activities related to the anticipated nature and scope of those required. Component 4: Project Management and Implementation Support (TBD). Activities under this component relate to the institutional support and capacity development for project management and execution. Specifically, this component will finance: (i) the establishment of a new Project Coordination Unit (PCU), including staffing (fiduciary, safeguards, financial sector specialist, etc.), training, and operating costs; (ii) project audits and project studies, including performance reviews and impact evaluations; and (iii) the hiring of a Climate Change Coordinator for the Environmental Coordinating Unit within the Ministry of Environment, Natural Resources, Physical Planning and Fisheries which will be the Project’s technical advisory department on climate change issues. D. Project location and salient physical characteristics relevant to the safeguard analysis (if known) Project works would be undertaken throughout the island of Dominica, including on the Carib Territory where Dominica’s indigenous population resides. Works being considered relate, but are not limited to, the repair and rehabilitation of existing infrastructure, possible new emergency facility construction, limited application of erosion control and sea defense structures to protect critical infrastructure, rehabilitation of road and drainage systems as well as water infrastructure, and possible support for slope stabilization interventions, including through re-vegetation. Public Disclosure Copy The types of projects being considered have been scoped and are being further defined during the project preparation process in coordination with the relevant Ministries. A sample of proposals under development with physical works having environmental safeguard implications include: • Installation and construction of water storage tanks and system for nationwide water inventory and monitoring. Water tanks on the west coast and east coast will link supply systems for numerous communities currently relying on vulnerable individual systems and hydrometric stations will provide continuous data as to water quality/quantity as well as rainfall and groundwater levels. These projects will have small environmental footprints and will not involve exploitation of new water resources. • Enhancement and integration of hydrometeorological and seismic monitoring networks. Retrofitting or replacement of existing stations will involve potential waste management issues, while installation of new monitoring stations will be screened for potential natural habitat impacts (particularly in highland areas where forest areas occur) and land acquisition issues. • Highway improvements. One of two main roads connecting the capitol to the international airport (Bois Diables - Hatton Garden) is vulnerable to landslides and washouts due to geotechnical and climatological factors. These works may involve land acquisition for benching and terracing, waste management issues, clearing of sensitive areas, or other impacts. • Carib Territory Subprojects. Small scale civil works have been proposed in the Carib Territory, which present minimal environmental impacts. Artisanal agricultural enhancement (planting of larouma reed, gomiere trees, and Bois Bande trees) and reforestation efforts (stabilization of deforested slopes and degraded lands) do not appear to include harvesting of forest resources or destruction of natural habitat, but will require diligent screening of subprojects to ensure Public Disclosure Copy they do not. • Sustainable Fisheries Development. This subproject is focused on improving the efficiency of artisanal fishermen, and may include cold chain facilities and processing areas on boats and on shore, provision of radios and early warning systems, renovation of a fish hatchery facility, and supplies and equipment for the monitoring and management of Marine Protected Areas. An associated subproject is the restoration of the Soufriere / Scotts Head Marine Reserve, which will be screened for potential impacts to sensitive habitat and other possible safeguards implications during project preparation • Agro-Forestry Development. Subprojects under consideration generally involve limited scale of activities, such as replanting of crop orchards or root crops (coffee, cocoa, cashew) in areas deforested by banana plantations, establishment of tamarind tree stands to serve as coastal buffer zones, and development of agouti rearing facilities. Further screening and definition of potential subprojects will occur during project preparation. • Disaster Response. Activities related to emergency response and disaster mitigation could include debris clearing, refuse removal, spill cleanup, or other works. Screening to exclude Category A activities as well as to ensure the proper application of environmental and social safeguards will be accomplished by laying out clear safeguards guidelines for emergency investments and works including types of activities, responsibilities for screening and environmental/social management, and for preparation of any safeguards studies prior to works. The scale of the subprojects, their locations and physical settings, and the anticipated activities indicate they are Category B, for which minimal environmental impacts occur and which are mitigable through standard management techniques and safeguards instruments, as described further in Section II. Additional screening, research and subproject definition will take place during project preparation to provide greater detail of specific works and their safeguards implications. E. Borrowers Institutional Capacity for Safeguard Policies Public Disclosure Copy The Project would establish a Project Coordination Unit (PCU) to lead project management and monitoring activities for investments financed under the operation. Coordination of all safeguard requirements will be managed through the PCU. A review of past safeguards management will be conducted during project preparation, upon establishment of a PCU, and addressed in the appraisal- stage ISDS. F. Environmental and Social Safeguards Specialists on the Team M. Yaa Pokua Afriyie Oppong (LCSSO) Michael J. Darr (LCSEN) II. SAFEGUARD POLICIES THAT MIGHT APPLY Safeguard Policies Triggered? Explanation (Optional) Environmental Assessment OP/ Yes The Environmental Assessment Policy is BP 4.01 triggered because civil works from subprojects may create negative environmental effects. These are expected to be small works with relatively minor environmental impacts that can be readily mitigated with standard construction environmental mitigation and monitoring procedures. Environmental Management Plans (EMPs) will be prepared prior to appraisal for Public Disclosure Copy any project works fully identified by the appraisal date. For those works not identified by the project appraisal date, the ESMF will provide the framework within which specific EMPs will eventually be developed. The positive environmental impacts of the program derive from improved planning capabilities and increased resilience to natural disasters. A project-level ESA (Environmental and Social Assessment) will be prepared to encompass and evaluate the potential environmental and social impacts of the program as a whole. An ESMF (Environmental and Social Management Framework) will also be prepared to set out the principles, rules, guidelines and procedures to assess the environmental and social impacts of future individual subprojects once they have been defined with sufficient detail to be specifically evaluated, and provide for conducting ESAs of individual subprojects if required. The ESMF will also include a section with clear safeguards guidelines for emergency investments and works including types of activities, responsibilities for screening and Public Disclosure Copy environmental/social management, and for preparation of any safeguards studies prior to works as pertinent under OP 8.00 and consistent with the project category. The ESMF will reflect the types of projects/ subprojects under specifically components 1 and 2. Natural Habitats OP/BP 4.04 Yes The Natural Habitats policy has been triggered as a precaution. Potential project activities may occur in highland forest areas, on coastlines, or in other areas where the policy could be triggered owing to the richness of Dominican natural habitat. The ESMF and ESA would consider natural habitats in screening known works and in screening procedures for any demand-driven or undefined activities Forests OP/BP 4.36 TBD Harvesting of forest resources is not anticipated in any of the project interventions. Agro- forestry and food security / soil stability interventions are likely to focus on planting of select tree varieties, and reforestation efforts in Public Disclosure Copy the Carib Territory may involve stabilization of deforested, eroded and degraded slopes and riverbanks. However, additional research and verification will be required during project preparation to insure the Forests Policy is not triggered, so in the interim it is considered TBD (to be determined). Pest Management OP 4.09 Yes The Pest Management policy is triggered since some subproject activities may require the use of pesticides for termite control, road maintenance activities, crop recovery or other emergency activities. Physical Cultural Resources OP/ Yes The project activities may potentially include BP 4.11 retrofitting of historical buildings, restoration of culturally important sites, and chance finds of historically or culturally important resources during construction of works; accordingly, the Physical Cultural Resources Policy is triggered as a precaution. The ESA and ESMF will include screening for historical structures, as well as a "chance-find" procedure. Indigenous Peoples OP/BP 4.10 Yes The Indigenous Peoples Policy is triggered as the project will be implemented in the Carib Territories. Consultations have been held with Public Disclosure Copy the Ministry of Carib Affairs, Members of the Carib Council, including the Carib Chief, and members of the Carib community. Appreciation was expressed for the project, and the application of OP/BP 4.10. An Indigenous People’s Plan will be prepared; prior and informed consultations with indigenous peoples will be undertaken during project preparation to inform the plan. Involuntary Resettlement OP/BP Yes The Involuntary Resettlement Policy is being 4.12 triggered as a precaution as it is possible that works planned under the project, including rehabilitation of primary and secondary roads and bridges, and construction of structures and monitoring stations, might encroach upon private lands therefore necessitating compensation. All works requiring private land acquisition will be subject to prior review. Any voluntary concession of land by the indigenous community will be monitored and legal documentation obtained prior to any transactions. In addition, populations would Public Disclosure Copy only be resettled in the event of an emergency, as per component 3. The project will prepare a Resettlement Policy Framework (RPF), which will be consulted and disclosed in country and at the Bank’s InfoShop prior to appraisal. Specific projects identified during project preparation will be screened for potential resettlement impacts, with abbreviated or full- scale resettlement action plans prepared as appropriate. Safety of Dams OP/BP 4.37 No There are no project activities which support the construction or rehabilitation of dams, nor which rely on the services of existing dams. Projects on International No There are no project activities which will affect Waterways OP/BP 7.50 international waterways. Projects in Disputed Areas OP/BP No There are no project activities which will take 7.60 place in disputed areas. III. SAFEGUARD PREPARATION PLAN A. Tentative target date for preparing the PAD Stage ISDS: 01-Jul-2013 B. Time frame for launching and completing the safeguard-related studies that may be needed. The specific studies and their timing1 should be specified in the PAD-stage ISDS: An Environmental and Social Assessment (ESA) will be prepared for known investments and an Public Disclosure Copy Environmental and Social Management Framework (ESMF) will be prepared for those works to be identified during implementation. The ESMF will include a section with clear safeguards guidelines for emergency investments. In addition, a Resettlement Policy Framework (RPF) and an Indigenous Peoples Plan will be prepared for the project. The studies and accompanying documents are expected to be completed no later than June 2013. Finding details will be provided in the PAD-stage ISDS. Given that this project is in its third phase, a review of past safeguards instruments used in Bank projects in APL1 and 2 will be undertaken to glean best practices and lessons learned from safeguards management within these projects; this process will be conducted during project preparation and addressed in the appraisal stage ISDS. The ESMF would be developed taking into consideration lessons learned from environmental and social safeguard instruments in previous Bank projects in the APL1 and APL2 projects in Grenada/St Vincent and the Grenadines and St Lucia, respectively, by attempting to integrate them in the preparation of the social and environmental safeguards instruments and so improve their efficiency and consistency. IV. APPROVALS Task Team Leader: Name: Zoe Elena Trohanis Approved By: 1 Reminder: The Bank's Disclosure Policy requires that safeguard-related documents be disclosed before appraisal (i) at the InfoShop and (ii) in country, at publicly accessible locations and in a form and language that are accessible to potentially affected persons. Regional Safeguards Name: Date: Coordinator: Sector Manager: Name: Anna Wellenstein (SM) Date: 30-Apr-2013 Public Disclosure Copy Public Disclosure Copy