ANNEXES

ANNEX A: Guide on the Identification of Applicable Safeguard Systems

This Annex is provided to help the IA identify applicable safeguard requirements in laws,
decrees, orders, issuances, rules and regulations. It also provides a menu of safeguard
systems that should be considered in the context of proposed PPP projects (Column 1),
the statutes these systems are based on (Column 2), and the applicable references which
may provide further details on the particular safeguard system (Column 3).

The matrix below is sub-divided into: (a) general safeguard requirements applicable to all
PPP projects; and (b) safeguard requirements based on project location. The list is not
exhaustive, but serves to outline the statutory requirements which the IA and private
proponent should consider.

Safeguard System Statutes References

a) General requirements applicable to all projects
Environmental Impact Presidential Decree (PD) No.  Department of Environment and
Assessment (EIA) 1586 (Philippine EIS System) Natural Resources (DENR)
Process (e.g. summary flowchart of the EIA
Environmental Process
Clearance Certificate, (http://eia.emb.gov.ph/wp-
Certificate of No content/uploads/2016/07/EIA-
Coverage) Process-Figure-1-2-of-
RPM.pdf#new_tab)
Alignment with Republic Act (R.A.) 9729  National manuals on climate
National and/or Local (Climate Change Act) change (e.g. greenhouse gas
Climate Change Action emissions)
Plan as consideration (http://climate.gov.ph/knowledge-
in project development bank/knowledge-
products/national-manuals)
Alignment with the R.A. 10221 (Philippine  DRRM plans (e.g. National
National and/or Local Disaster Risk Reduction and DRRM Plan 2011-2028, National
DRRM Plan as Management [DRRM] Act) Disaster Response Plan for
consideration in Hydro-Meteorological Hazards)
project development (http://121.127.9.136:81/drrmkc/p
lans/)
 Department of the Interior and
Local Governance (DILG)
Memorandum Circular (MC) No.
2012-52: Inventory of Population
at Risk in Vulnerable Areas,
Identification of Mitigation
Measures, and Preparation of
Mitigation and Rehabilitation
Plans
(https://docs.google.com/file/d/0B
06WbaGFBZuPSFFBWHRMMH
ZzYjg/edit)
 DILG MC 2012-02: Promoting
the Construction of Rainwater
Collectors in all Barangays in the
Philippines to Mitigate the

Page 1 of 19
Safeguard System Statutes References
Adverse Impacts of Climate
Change
(https://docs.google.com/file/d/0B
06WbaGFBZuPeF9sbW9sSnJD
Rkk/edit)
 DILG MC No. 2011-187:
Availability of Geo-Hazard Maps
in the DILG Website
(https://docs.google.com/file/d/0B
06WbaGFBZuPUVNFcmpOWUw
zYWs/edit)
 DILG MC 2011-80: Active Faults,
Liquefaction Susceptibility Maps,
and Earthquake-Triggered
Landslide Susceptibility Maps
Available in PHIVOLCS Website
(https://docs.google.com/file/d/0B
06WbaGFBZuPTm05UEVITmc2
dzg/edit)
Conduct of public R.A. 7160 (Local  PPP Governing Board
consultation Government Code); Resolution No. 2016-06-02,
Philippine EIS System Guidelines on Public
Consultation and Engagement of
PPP Projects
(https://ppp.gov.ph/wp-
content/uploads/2018/07/PPPC_
GUIDE_Public-Consultation-
Engagement-20160621.pdf)
Management of Solid R.A. 9003 (Ecological Solid  R.A. 9003 and its IRR
Wastes Waste Management Act) (http://nswmc.emb.gov.ph/wp-
content/uploads/2016/07/RA-
IRR-2012-NEW-SEND-FILE-
sept-10.pdf)
 Annotated Outline 10-Year Solid
Waste Management Plan for
LGUs/Provinces
(http://nswmc.emb.gov.ph/?page
_id=50)
Management of toxic R.A. 6969 (Toxic  R.A. 6969, IRR, Chemical
substances and Substances, Hazardous and Control Orders and related
hazardous wastes Nuclear Waste Control Act) issuances
including those from (http://chemical.emb.gov.ph/?pag
hospitals and facilities e_id=121)
with laboratory  Revised Procedures and
Standards for the Management
of Hazardous Wastes and other
related issuances
(https://emb.gov.ph/9482-2/)
Water Pollution R.A. 9275 (Philippine Clean  DENR Administrative Order
Control Water Act) 2016-08 Water Quality
Guidelines and Effluent
Standards

Page 2 of 19
Safeguard System Statutes References
(http://denr.gov.ph/laws-and-
policies.html)
PD 979 (Marine Pollution  PD979
Control Decree) (http://www.coastguard.gov.ph/in
dex.php/related-laws/29-auxiliary-
menu/related-laws/191-
presidential-decree-no-979)
 Marine Environmental Protection
Handbook
(https://drive.google.com/file/d/1F
ogyiDN-
giLVAvnLzLZ6HVuuO3BUtGU5/v
iew)
PD 1067 (Water Code of the  Water Permit Application
Philippines) (http://www.nwrb.gov.ph/index.ph
p/products-and-services/water-
permit-application)
R.A. 8749 (Philippine Clean  Laws and Policies for Air Quality
Air Act) Management
(http://air.emb.gov.ph/?page_id=
27)
Gender mainstreaming R.A. 7192 (Women in  Harmonized Gender and
Development and Nation- Development Guidelines
Building Act) (www.pcw.gov.ph/publication/har
RA 9710 (Magna Carta of monized-gender-and-
Women); R.A. 10028 (An Act development-guidelines-project-
Expanding the Promotion of development-implementation-
Breastfeeding) monitoring-and-evaluation-0)
 NEDA-ICC Project Evaluation
Form on Gender-
Responsiveness Checklist for
PPP Projects
(http://www.neda.gov.ph/investm
ent-coordination-committee/)
Integration of persons R.A. 7277 (An Act Providing  Batas Pambansa Blg. 344 or
with disability into the for the Rehabilitation, Self- “Accessibility Law”
mainstream society Development and Self- (http://www.ncda.gov.ph/disabilit
Reliance of Disabled y-laws/implementing-rules-and-
Persons and their Integration regulations-irr/)
into the Mainstream Society);
R.A. 10754 (An Act
Expanding the Benefits and
Privileges of Persons with
Disability)
Right-of-Way R.A. 10752 (Right-of-Way  Department of Public Works and
(ROW)/Resettlement [ROW] Act) Highways DPWH) ROW
Action Plan Acquisition Manual
(www.dpwh.gov.ph/dpwh/sites/d
efault/files/issuances/DO_124_s
2017_1.pdf)
Observance of proper R.A. 7279 (An Act to Provide  National Housing Authority
and humane relocation for a Comprehensive and (NHA) MC 2561 Guidelines for
and resettlement Continuing Urban Relocation and Resettlement

Page 3 of 19
Safeguard System Statutes References
procedures in urban Development and Housing Under the Housing Program for
development and Program) Informal Settler Families (ISFs)
housing in Danger Areas in Metro Manila
 NHA MC No. 2015-0015
Guidelines for Site Selection,
Site Suitability, and Site Planning
for NHA Housing Development
Projects
(https://www.nha.gov.ph/corpgov
seal/pdf_files/Corporate-Social-
Responsibility/Guidelines_for_Sit
e_Selection_Site_Suitabability_S
ite_Planning.pdf)
b) Requirements based on project location
Safeguards on the use C.A. 141 (Public Land Act)  Issuances on lease of lands of
of foreshore areas: public domain
Management and o (http://lmb.gov.ph/index.php/
Disposition 87-programs-and-projects/ii-
land-disposition/146-ld-
lease-2016)
o (http://lmb.gov.ph/index.php/r
esources/laws-and-
policies/policies-
regulations#commonwealth-
act-ca) and
o (https://drive.google.com/file/
d/0B0ZnT4SsFJM6WDZTZEl
jbVZuVDQ/view)
Safeguards on the use R.A. 1899 (An Act to  DENR Administrative Order
of foreshore areas: Authorize the Reclamation of 2018-14 – Guidelines on the
Reclamation Projects Foreshore Lands by Issuance of Area Clearance for
Chartered Cities and Reclamation Projects and
Municipalities) Proclamation / Special Patents
over reclaimed lands
(https://server2.denr.gov.ph/uplo
ads/rmdd/dao-2018-14.pdf)
 Consistency with R.A. 11038 (Expanded  NIPAS Act
the National and National Integrated Protected (http://www.bmb.gov.ph/elibrary/
Local Biodiversity Areas System Act [NIPAS] of mainmenu-policies-
Strategy and 2018, Amending R.A. 7586 52359/republic-acts/ra-2018)
action plan NIPAS Act); RA 9147
(Wildlife Conservation and
 Special use Protection Act); R.A 9072
agreement within (Caves and Cave Resources
Protected Areas Management and Protection
(SAPA) Act)
 Integrated
Protected Area
Fund (IPAF) for
use of ecosystem
services

Page 4 of 19
Safeguard System Statutes References
Free, prior and R.A. 8371 (Indigenous  National Commission on
informed consent Peoples Rights Act) Indigenous Peoples (NCIP)
(FPIC) from Administrative Order No. 3
Indigenous Peoples Series of 2012 Revised
groups Guidelines on FPIC and Related
Processes
(http://www.ncipro67.com.ph/res
Restrictions and ources/downloads/)
processes for project  Joint DENR-NCIP Memorandum
areas within those Circular No. 2007-01
issued Certificates for Management of Overlapping
Ancestral Domain, Protected Areas and/or Their
Ancestral Land, Buffer Zones and Ancestral
Ancestral Land Claim Domains/Lands
(http://ncipcar.ph/index.php/issua
nces/joint-memo-circulars)
Issuance of tree- R.A. 3571 (An Act to Prohibit  DPWH Department Order No.
cutting permits the Cutting, Destroying or 116, Tree-Cutting and Earth-
Injuring of Planted or Balling Application process and
Growing Trees, Flowering requirements for DPWH
Plants and Shrubs or Plants Infrastructure Projects
of Scenic Value Along Public (www.dpwh.gov.ph/dpwh/sites/d
Roads, in Plazas, Parks, efault/files/issuances/DO_116_s
School Premises or in Any 2018.pdf)
Other Public Pleasure  DENR DAO 2004-16 Prescribing
Ground); RA 10593 (An Act the Revised Schedule of Forestry
Providing Regulations on the Administrative Fees
Cutting of Coconut Trees) (http://policy.denr.gov.ph/dao200
4/dao2004-16.pdf)
 Philippine Coconut Authority
Application to Cut Coconut Trees
(www.pca.da.gov.ph/pdf/disclosu
re/permitcut.pdf)
Minimizing negative R.A. 10066 (National Cultural  Cultural heritage as specific type
impact on culture and Heritage Act) of risk identified in the ICC
cultural heritage Generic Preferred Risk Allocation
including management Matrix
of chance finds (https://ppp.gov.ph/press_releas
es/generic-preferred-risks-
allocation-matrix-gpram/)
Alignment of activities PD 1559 (Further Amending  Revised Forestry Code
with the watershed PD No. 705, Forestry (http://policy.denr.gov.ph/basicpo
management plan Reform Code) l/forcode/pd1559.pdf)
Alignment of R.A. 6657 (Comprehensive  Comprehensive Agrarian Reform
development plans Agrarian Reform Law) Program
(http://www.dar.gov.ph/ra-6657-
what-is-carp-comprehensive-
agrarian-reform-program)
Equal access to R.A. 8550 (The Philippine  Fisheries-related legislation
fishery resources Fisheries Code) (https://www.bfar.da.gov.ph/lawA
ndRegulation.jsp)

Page 5 of 19
ANNEX B: Common Safeguard Requirements

Based on the applicable safeguard systems as identified using Annex A, this Annex
provides a menu of the typical safeguard requirements that should be considered in
project costing. Items I to IV identify common safeguards: during the preparation of the
project site, during project construction, and for the O&M component of PPP projects,
respectively; while item IV outlines a typology of PPP projects and their common
safeguards requirements.

The list is not exhaustive, but is intended to help the IA identify project-specific aspects
which may have additional cost components, such as the requirement of technical
equipment and/or assistance, and which the IA should consider in developing a PPP
project.

I. Pre-Construction Safeguards

During preparation of the project site, safeguards should include:

a) The project site free and clear of legal encumbrances (i.e. authority over the area
to be developed including title, lease agreement [foreshore lease agreements,
special use agreements in special area, as applicable], ROW, etc.);

b) All other permits and clearances required prior to construction have been secured
from various government agencies, including permits from the LGUs; and

c) Validation of the RAP based on the detailed engineering design, as applicable.

II. Safeguards During Construction

For most projects, construction activities are similar, thus necessitating similar
safeguards. The following areas should be considered in crafting safeguards-related
provisions for construction activities in the contract:

a) Minimization of the level of dust pollution and vibration;

b) Minimization of noise pollution especially on sensitive receptors taking note of

appropriate standards;

c) Minimization of the cutting of trees;

d) Implementation of erosion prevention measures;

e) Prevention of habitat disruption and distraction;

f) Implementation of appropriate protocols for archeological chance finds, as

necessary;

g) Proper storage methods for construction materials, fuel, grease, waste oils, and
other wastes and proper management of equipment washings to avoid siltation/
contamination of water bodies through runoff into drains, canals, waterways;

Page 6 of 19
 h) Collection and disposal of construction wastes in appropriate manner especially
for hazardous building materials (e.g. Polychlorinated biphenyls [PCBs] materials
and asbestos containing materials from old buildings to be dismantled, if any);

i) Maintenance of sanitary conditions at the construction site by providing appropriate

facilities like toilets, potable water supply, etc.;

j) Implementation of traffic control procedures to prevent traffic hazard or

inconveniences to surrounding residents (e.g. giving reasonable prior notice and
suitable alternative access to surrounding community, as necessary); and

k) Priority in hiring local residents and compliance with applicable labor laws,
ordinances and similar issuances including gender equality related policies.

III. Common Safeguard Requirements for Purely O&M PPP Projects and PPP
Projects with O&M Components

Projects that are purely O&M in nature are eligible for Certificates of Non-Coverage
for ECC. While the conduct of EIA is optional, other applicable requirements should
be complied with. The following are typical safeguards requirements that should be
considered in the drafting of the contract of: (1) purely O&M projects; and (2) PPP
projects with O&M components:

a) Optimal design of a management system for solid wastes and sewage

considering the detailed assessment of the projected generation;

b) Consideration of gender, cultural and vulnerable sectors including persons with

disabilities’ concerns in the design of the O&M System, including employment and
livelihood opportunities;

c) Implementation of water and energy conservation measures and of sustainability-

based procurement standards for materials and services as part of the O&M
Systems;

d) Integration of health and safety considerations into the design of the O&M
System;

e) Proper maintenance of drainage, pollution control systems (e.g. oil-water

separator) and storage and disposal systems for waste oils, chemicals and other
hazardous wastes (e.g. busted lamps) as part the O&M; and

f) Integration in the O&M design of appropriate disaster preparedness and risk

management plan to address specific geologic hazards in the project site.

Page 7 of 19
 IV. Other Common Safeguard Requirements by Project Type

PPP Project Types Minimum/Common Safeguards Requirements

1. Construction of Considerations for detailed engineering design:
Highways/ Roads and - adequate consultation on the access needs and concerns of
Railways with O&M various sectors for the alignment alternatives being considered
- extent of displacement
- baseline data on the environmental sensitivity (e.g. natural
habitats where nesting and breeding patterns could be disrupted)
and geologic hazards in the proposed alignment alternatives

Compliance with the ROW Acquisition Standard Requirements

Livelihood impact assessment and management especially for

vulnerable sectors and adequate compensation and/or
resettlement of physically and economically displaced people

Drainage study and management plan to prevent flooding hazards

that may be caused by the project or could affect the project

Detailed study on the traffic baseline, assessment of impact of the

project on traffic and corresponding management plan

2. Construction of Transport Input to site selection:

Terminals (land, sea, air) - Adequate consultation on the transport terminal needs and
with O&M concerns of various sectors for the alternative sites being
considered
- Extent of the displacement
- Baseline data on natural hazards and on the environmental
sensitivity of the proposed alternatives

Water pollution control system through the installation of

appropriate management systems such as oil-water separator,
treatment system for bilge water from ships for port projects,
proper storage facility for waste oils, chemicals and other
hazardous wastes (e.g. busted lamps) prior to collection for
disposal and the appropriate design of drainage system
connecting to centralized treatment facility, as appropriate

Optimal design for the location of waste bins and temporary

storage for solid wastes based on a detailed assessment of the
projected generation and collection system

Optimal design for the sewage system based on a detailed

assessment of the projected generation and the existing common
sewage system in the project area

Adequate Risk Management to address natural hazards in the final

project site including tsunami or storm surge risks especially of
seaport projects shall be integrated in the project design

Detailed study on the traffic baseline, assessment of impact of the

project on traffic and corresponding management plan

Page 8 of 19
 PPP Project Types Minimum/Common Safeguards Requirements
Livelihood impact assessment and management especially for
vulnerable sectors and adequate compensation and/or
resettlement of physically and economically displaced people

3. Construction of Buildings Input to site selection

with O&M - Baseline data on the actual use / land use plan, environmental
sensitivity, current environmental issues (especially for tourism
projects) and geologic hazards in the proposed project site
alternatives
- Space requirement, access and compatibility with adjacent land
uses
- For schools, hospitals and other similar facilities, projected
number of users and accessibility (especially for vulnerable
sectors) shall be considered

Consideration in the project design of the geologic and other

natural hazards including climate change risks in the proposed
project site

Drainage study and management plan to prevent flooding hazards

that may be caused by the project or could affect the project

Optimal design for the location of waste bins and temporary

storage for solid wastes based on a detailed assessment of the
projected generation and collection system

Optimal design for the sewage system based on a detailed

assessment of the projected generation and the existing common
sewage system in the project area

Adequate parking space allocation considering the assessment of

the projected users and existing local ordinances, if any

Detailed study on the traffic baseline, assessment of impact of the

project on traffic and corresponding management plan

Consideration of energy efficiency (and other green architecture

concepts) and concerns on gender, cultural and vulnerable
sectors, including persons with disabilities, in the design of the
building

4. Water Supply and Input to site selection:

Septage Management - Water quality of the alternative sources of water being
Project (Construction, considered
O&M) - Availability and competition with existing users for the alternative
sources of water being considered – to be shown in a map or
plan of possible extraction points indicating sustainable yield to
cover the projected demand of the service coverage area
- Water supply and septage needs (current and future projections)
assessment including adequate consultations with stakeholders
- Land use compatibility

Consideration of the following as key design criteria for the water

treatment facility, as may be necessary for water supply projects:

Page 9 of 19
 PPP Project Types Minimum/Common Safeguards Requirements
- Amount of water to be treated
- Existing use and quality of the water source
- Appropriate water quality standards (e.g. drinking water
standard, etc.)

Adequate consultations / IEC with the surrounding communities on

the identified water source especially for surface water, so as to
protect headwaters from contamination caused by dumping of
wastes, run-off from farm operations, etc.

Consideration of the existing land-use and adjacent communities

on the specific design and layout of the septage management
facility with special consideration on odor management

Sludge management system for septage management projects.

5. Solid Waste Management Input to the selection of the specific project site:
Project - Type of facility being considered and the type and projected
amount of wastes to be handled, including among of waste
generated daily and quality of the waste
- Space requirement for the specific type of facility and
corresponding buffer requirements for adjacent communities
- Minimal disruption / inconvenience to existing users of access
routes
- Avoid infringing on critical habitats and areas with significant
biodiversity (e.g. wetlands)
- Site should not be prone to flooding
- For sanitary landfills, the soil should be relatively impermeable
and have a high capability of containing contaminants (e.g. clay),
the bottom of the landfill should be significantly above the water
table and the site should be away from groundwater recharge
area sources and not draining to surface waters
- Land use compatibility
- Involvement of the community is recommended

For sanitary landfills, use of appropriate liner (e.g. clay, synthetic

depending on the waste characterization and geological structure)

Maintain erosion and surface drainage control measures to avoid

runoff to nearby bodies of water and avoid creating stagnant
waters that could breed disease carriers

Proper management of odor

Traffic management plan for truck routes

Management measures in cases of storms so as to contain waste

materials

6. Renewable Energy Input to the selection of project site for wind mills and solar power
Projects (solar, wind, facilities:
waste to energy, hydro) - Adequate consultations on competing land-uses in proposed
project sites as windmills solar facilities take-up a lot of space
- Renewable energy sites identified by the Department of Energy

Page 10 of 19
 PPP Project Types Minimum/Common Safeguards Requirements
- Optimum solar, hydro and wind energy resources that can be
harnessed all year round for the proposed alternative sites
- Locating dams for hydropower projects away from fault line and
other geological hazards that might cause its failure
- Compatibility with existing land-uses in adjacent areas for the
sites being considered so as to minimize nuisance especially for
waste to energy projects

Proper disposal of solar panels (usually containing hazardous

materials) at the end of its life

Proper management of the re-injection process in geothermal

power plants so as not to cause contamination in groundwater or
surface water

Proper management of hydrogen sulfide emissions in geothermal

power plants so as not to trigger acid rain

Proper management of odor and air emissions for waste to energy

projects

Minimize flooding land for hydroelectric reservoir especially in

critical habitats

Management of risk of dam failure that may cause flooding of

communities

7. Reclamation Projects Input to site selection:

- Adequate consultation on the concerns of existing users of
alternative water bodies being considered to be reclaimed
- Ecological state of the water bodies to be reclaimed
- Compliance with land use plan and survey analysis
- Other data relevant to requirements from the Philippine
Reclamation Authority, such as geotechnical analysis and hydro
technical analysis

Proper choice of reclamation methods and equipment (for

dredging and dumping) to ensure minimum seabed disruption and
dispersion of sand thereby minimizing habitat damage and impact
on aquatic ecology

Construction of proper containment structure during reclamation

such as silt curtains and sheet piles and permanent structures
after reclamation works

Reclamation should be designed in such a way as not to block the

natural flow of rivers, streams and other natural outlets to the sea

Adequate compensation / livelihood opportunities for existing

users of the area to be reclaimed who will be displaced as a result
of the project

Page 11 of 19
PPP Project Types Minimum/Common Safeguards Requirements
Management of the dispersion of water pollutants which can
include heavy metals and other hazardous materials due to
seabed disturbance

Other specific management measures depending on the use of the

reclaimed land

Page 12 of 19
ANNEX C: Prescribed Contents of the Safeguards Chapter of the FS

This Annex outlines the prescribed contents of the FS with regard to safeguards in PPP
projects, including environmental, displacement, social and gender concerns.

I. Scope and Objectives of Safeguards Study

This should describe an overview on how the safeguards study was used in planning
the different components/aspects of the project detailed in the other chapters of the
report.

II. Process Documentation

This section should describe documentation of methodologies, stakeholder studies,

schedules of reconnaissance survey/baseline data gathering, social preparation/IEC,
Public consultations, scoping, etc. The documentation should include a sex-
disaggregated listing of stakeholder groups consulted, including Indigenous People (if
any), women and other marginalized groups, like fisher folks, farmers, etc.

III. Summary of Safeguard Considerations in Project Identification and Preparation

1. Safeguard considerations in the planning and identification of the project location

(may include hazard/risk analysis)

2. Summary of relevant safeguard requirements, standards and coordination needs

that apply specifically to the proposed PPP project at various stages of development
and corresponding compliance plan.

IV. Summary of Environmental Impact Assessment (EIA) and Proposed

Management Measures

This shall be based on the EIA Report prepared which should be compliant with the
requirements of the Philippine Government as well as that of the funding institutions.
The report shall be submitted separately or annexed to the FS Report. Only the
following shall be included in the safeguards chapter of the FS:

1. The key findings in the assessment of the environmental impacts of the project
including the ECC conditions and EIA review recommendations that should be
integrated into the project design; and

2. Summary of the management/mitigation and monitoring plan for identified project

environmental impacts including project-specific occupational health and safety
considerations and other recommendations contained in the EIA (i.e. EIS, IEE,
EPRMP, etc.)

V. Climate Change and Natural Hazards Resiliency Considerations

1. Report on disaster risk assessment based on climate and natural hazards

identification shall be undertaken for consideration in project risk allocation matrix;

Page 13 of 19
 2. Summary of the adaptation and risk management plan based on the identification
of climate risks and natural hazards in proposed project location. It should cover
both the identified risks to the project and risks to the surrounding environment that
could be triggered by the proposed project (this can be detailed in the technical
design section);

3. Summary of climate change mitigation contribution (e.g. energy/water conservation

measures, green building, etc.)

VI. Safeguards for Displacement (as may be applicable)

1. Summary assessment of the extent of physical and economic displacement

highlighting how it affected/influenced the project design based on the analysis of
the following:

 Number of project affected persons (PAPs) and assets (land and improvements)
they will lose due to the acquisition of Infrastructure Right of Way (IROW);

 Socio-economic profile of the PAPs; and

 Extent of impacts of the IROW on the PAPs and their assets and the measures
to mitigate these impacts;

2. Summary of the ROW action plan including identification of appropriate standards

and requirements for dismantling of structures, relocation of informal settlers,
compensation and livelihood restoration.

VII. Gender Considerations1

1. Process documentation of the involvement of women and men in project

identification and design, collection of sex-disaggregated data and gender related
information and the conduct of gender analysis and identification of gender issues

2. Summary of the Results of Gender Analysis considering the gaps and inequalities
related to gender roles, perspectives, and needs, or access to and control of
resources and the constraints and opportunities related to women’s and men’s
participation in the project

3. Goals, objectives, outcomes and outputs that include GAD statements that will
address gender issues identified in the gender analysis, including the following:

a. the inclusion of women and girl children among the direct or indirect
beneficiaries; and

b. consideration of long-term impact on women’s socioeconomic status and

empowerment and strategies for avoiding or minimizing negative impacts on
women’s status and welfare.

1 Based on the Harmonized Gender and Development Guidelines Tool

Page 14 of 19
 4. Identification of activities that respond to identified gender issues, including
constraints to women’s participation and corresponding budgets for these activities.

VIII. Other Social Safeguards

The social impact assessment and management, although currently a part of the EIA
requirements in the Philippines, need to be expounded to cover other social safeguard
requirements of the government and funding institutions. The report on this shall be
reflected in the FS, at the minimum, including the following:

1. List of identified priority social, cultural and economic issues, management

strategies (general) and further study requirements identified, as part of the EIA
Report and for consideration in the project design. This shall be based on the
assessment of the baseline social, cultural and economic conditions and issues in
project impact areas using a sex-disaggregated baseline demographic and socio-
economic data, including baseline information on persons with disabilities, senior
citizens, and Indigenous Peoples (IP).

2. Potential positive social impacts at the minimum, on:

a. local and regional employment (direct and indirect) opportunities and

associated increases in the living standards and community well-being

b. business and procurement opportunities for local and regional small and
medium-sized enterprises

c. contributions towards, or development of, shared infrastructures

d. for projects intended to address specific social issues, like sewage treatment,
flood control, solid waste management, the corresponding impacts on the well-
being of the people shall be discussed

3. Potential negative social impacts at the minimum, on:

a. Communities of the identified key environmental stressors (identified in the EIA)

including health impacts.

b. Indigenous Peoples (if present or have collective attachment to the project

location) - Rapid assessment of IP issues, management strategies (general)
and further study requirements based on the IRR of RA 8371 (The Indigenous
People’s Rights) shall be identified as part of the EIA Report for consideration
in the project costing

c. Existing culture and cultural resources including physical cultural resources and
heritage sites that could be affected based on information from the National
Historical Commission of the Philippines, the National Museum, the LGUs and
other relevant sources of information.

4. Inclusive Social and Economic Development plan for host community and project
impact areas which addresses barriers to inclusion and opportunities for

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 participation for marginalized sectors including women, persons with disabilities,
indigenous peoples and/or IP organizations and senior citizens to enable them to
benefit equally from the development

IX. Implementation, Monitoring and Evaluation of Safeguards

1. Recommendation on the integration of safeguards in the work program

2. Recommended aspects for MPSS formulation to ensure that necessary

environmental and social safeguards are incorporated in the project
implementation

3. Recommended parameters for KPIs which shall be subject to regular monitoring

as basis for evaluation of safeguards implementation

4. Identification of safeguards-related project risks and mitigating measures

X. Summary and Conclusions

1. Summary of Environmental and Social Safeguards requirements recommended

for inclusion in the Project Plan and Design and the corresponding estimated
compliance cost including CAPEX and savings

2. Summary of environmental and social safeguards requirements during project

implementation stage with estimated OPEX and savings

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ANNEX D: Sample Minimum Performance Standards and Specifications (MPSS) and
Key Performance Indicators (KPIs) for Safeguards in PPP

In PPP contracts, there are primary and secondary MPSS, which serve to differentiate
standards and specifications between core services and auxiliary services related to a
PPP project. For example, in rail projects, the MPSS for the service level of the train
system (e.g. high reliability of the train system to commuters) is considered a primary
MPSS, while train and station cleanliness may be identified as a secondary MPSS.

Below is a list of safeguard-related MPSS and KPIs, which may vary according to the
nature of a project. These sample MPSS and KPIs were formulated based on the type of
safeguards identified in Section 4: Safeguards Scope (e.g. environmental safeguards),
and which the IA may consider in drafting their PPP contracts.

Type of Sample MPSS

Safeguard

Environmental  Buildings designed to withstand a minimum wind speed of 250

kilometers per hour (using a Wind Importance Factor of 1.15
based on the National Structural Code of the Philippines)
 Submission by the Concessionaire of the Environmental
Management and Monitoring Plan (EMMP) for the Works, in
accordance with the Concession Agreement. EMMP shall
conform to all appropriate laws and requirements and shall take
into account of the ECC, and other associated submissions,
which the Concessionaire shall obtain prior to commencement of
the Works

Social and  Separate toilet for boys and girls in school buildings, in
Gender accordance with Department of Education standards. The
specific types and numbers of fixtures shall depend on the
school type. For boys’ toilets, the main fixtures shall include:
urinal, water closet, counter sink (with 2 faucets shared with
girls), and facial mirror. For girls’ toilet, the main fixtures shall
include: water closet, lavatory (with 1 faucet), facial mirror, and
grab bar. Special facilities for differently-abled persons shall be
provided
 Design public transport infrastructure with gender-responsive
physical design features as contextually appropriate, which meet
women’s specific needs and promote universal access. For
example, lower height of steps for entry into public buses,
installation of handrails at appropriate height levels, and
allocated space for parked baby carriages and shopping carts
 Roads designed for all: pedestrians, cyclists, mass transit users,
as well as private vehicle users bring benefits to all, especially
the poor, of which women make up the majority

Sample KPIs

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Environmental  For water quality, 100% of water samples that meet or exceed
the specified potable water standards, as defined by the
Philippine National Standards for Drinking Water (PNSDW)
 For water pressure, daily (24-hour) water pressure at each water
service provider interconnection point equal to or more than 14
meters or 20 pounds per square inch (psi) of head (14 meters
head approximately corresponds to the ability to supply to a two-
storey building)
 Based on the United States Environment Protection Agency Air
Quality Standards, dust concentration for total dust particulates
should not exceed 0.26 milligram per cubic meter (mg/m3), and
for respirable dust should not exceed 0.15 mg/m3
 For train stations, Concessionaire requirement to clean
paid/unpaid areas, including male/female toilets, following
minimum standards. For daily cleaning: wash all visible interior
hard surfaces except ceilings; sweep platforms at least four
times daily; clean ticket window glass; wipe passenger
information display screen; wipe ticket machine screens and
buttons check legibility of timetable and fare information; and
inspect for graffiti and general. For monthly cleaning, as for daily
cleaning and additionally: clean all Station furniture (seats,
cabinets, bins, ticket machine housings); and all cleaning work
shall be recorded in a Station cleaning log

Social and  During operation and maintenance phase, consider fare system
Gender that benefits men or women performing specific gender roles
such as time-based fare: usually for systems that have transfers
between the different parts. Time based fares incorporate trip-
chaining more easily, allowing people to leave the system for a
short period (e.g. to drop children off at school) and re-enter
without paying again to continue the trip;
 Collection of sex and disability-disaggregated data specially for
social PPP projects

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ANNEX E: Safeguards Implementation Report
The following items may be integrated in the required reports that project proponents
submit to IAs, the basis of which are usually found in the annex/es of the PPP contract.
This Annex supplements PPP Governing Board Resolution No. 2015-09-01 “PPP Projects
Monitoring Framework and Protocols.”
Safeguard Areas MPSS and KPIs Implementation Status /
(to be formulated during procurement Other Remarks
phase based on the identified areas during
the FS Stage)
Safeguards from
Environmental
Impacts

Climate Change and

Natural Hazards
Resiliency
Considerations

Safeguards for
Displacement

Integrating gender
considerations
based on the
Harmonized Gender
and Development
Guidelines (HGDG)
Other Social
Safeguards

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