environmental and social management framework … · pmu - project management unit ra - republic...

ENVIRONMENTALANDSOCIALMANAGEMENTFRAMEWORK

(ESMF)

CONTRIBUTION TOWARDS THE ELIMINATION OF MERCURY IN THE ASGM SECTOR:

FROM MINERS TO REFINERS

VERSION: 20 SEPTEMBER 2017

TableofContents1. PROJECTCONTEXT 11.1. Background 11.2. DevelopmentObjectives 11.3. ComponentsandActivities 21.4. SubprojectSitesandPrimaryStakeholders 3

2. ENVIRONMENTALANDSOCIALSAFEGUARDSPOLICIES 52.1. ScreeningofUNIDO,UNEnvironmentandGEFGuidanceandDirectives 52.2. SafeguardStandardsandPoliciesApplicabletotheProject 72.3. PhilippineEnvironmentImpactAssessment 82.4. SpecificEnvironmentalLawsandRegulationsApplicabletotheProject 9

3. ENVIRONMENTALANDSOCIALMANAGEMENTFRAMEWORK 113.1. ProjectandSubprojectRiskCategoryRating 113.2. SafeguardProcedures 123.3. SpecificSubprojectEnvironmentalRequirements 153.4. PotentialEnvironmentandSocialImpacts 153.5. MitigatingMeasures 16

4. SUSTAINABILITYMONITORINGFRAMEWORK 184.1. MonitoringandEvaluation 18

5. INSTITUTIONALFRAMEWORK 195.1. CapacityDevelopment 195.2. CommunicationPlanandStakeholders’Engagement 195.3. GenderandDevelopment(GAD) 20

6. GRIEVANCEREDRESSSYSTEM 22

ListofTablesTable1:ProjectStakeholdersinthePhilippines..........................................................................................3

Table2:ScreeningofApplicableOperationalSafeguards/StandardstotheSub-Projects..........................5

Table3:SummaryofEnvironmentalandSocialImpactsandMitigatingMeasures..................................16

Table4:MonitoringandEvaluationPlan...................................................................................................18

ListofFiguresFigure1:ProposedProjectSafeguardProcess...........................................................................................14

Figure2:StructureofUNIDOGrievanceMechanism.................................................................................23

ANNEXESAnnex1:InspectionChecklists:EnvironmentalandSocialSiteScreeningandDueDiligenceAuditFormsAnnex2:EnvironmentalandSocialManagementPlan&E&SRiskMonitoringPlan

ACRONYMS

ASGM - ArtisanalGoldMiningCCO - ChemicalControlOrderDAO - DENRAdministrativeOrderDENR - DepartmentofEnvironmentandNaturalResourcesEIS - EnvironmentalImpactSystemEMB - EnvironmentalManagementBureauESESF - Environmental,SocialandEconomicSustainabilityFrameworkESMF - EnvironmentalandSocialManagementFrameworkESMP - EnvironmentalandSocialManagementPlanESSP - EnvironmentalandSocialSafeguardPoliciesandProceduresGEF - GlobalEnvironmentFacilityIPP - IndigenousPeoples’PlanLGU - LocalGovernmentUnitMC - MemorandumCircularNGO - Non-governmentalOrganizationNCIP - NationalCommissionforIndigenousPeopleNIP - NationalImplementationPlanOS - OperationalSafeguardPMU - ProjectManagementUnitRA - RepublicActTSD - Treatment,Storage,DisposalUNEP - UnitedNationsEnvironmentUNIDO - UnitedNationsIndustrialDevelopmentOrganization

PurposeandUseoftheEnvironmentalandSocialManagementFramework(ESMF)

PurposeofESMF

The Environmental and Social Management Framework (ESMF) provides generalpolicies,guidelines,codesofpracticeandproceduresfortheproject–ContributiontowardstheEliminationofMercuryintheASGMSector:fromMinerstoRefiners.ThisESMFwasdevelopedtoensurethecomplianceoftheprojectwiththeUNIDOsafeguard policies, UN Environment’s environmental, social and economicsustainabilityframework,andapplicableenvironmentalrulesandregulationsofthegovernmentofthePhilippines.

More specifically, the ESMF serves as a guidance instrument to ensure thatenvironmentalandsocialimpactsareidentifiedandassessed,andthatappropriatemitigation,management,andmonitoringmeasuresareincorporatedandappliedinimplementation to achieve the desired environmental and social sustainabilityoutcomes. It sets out the institutional and organizational arrangements,procedures,andimplementationarrangementsforidentification,managementandmonitoring of environmental and social impacts and mitigating measures. Itaddresses mechanisms for public consultation, stakeholders’ engagement, anddisclosure of project documents aswell as for redress of possible grievances andmanagementofproject-relatedissues,whichmayariseduringimplementation.

UseoftheESMF

The ESMF presents a detailed approach on environmental compliance that willensure that the project and all its subproject sites are compliant with both thedonor’sandpartner-country’senvironmentalrequirement.TheESMFwillserveasaguidefortheprojectimplementerinthePhilippines,in:• assessing and screening all the subprojects and activities for their possible

socialandenvironmentalimpacts;• identifyingsafeguardsdocumentationandpreparingrequirements;• suggestingmitigatingmeasuresfortheidentifiedimpacts,and;• monitorcomplianceofthesubprojects.

The ESMF is consistent to the environmental and social safeguards of UNIDO, UNEnvironment, GEF and of the Philippines EIS System to support environmentalprotectionandpromotesustainabledevelopment,whilemitigatingrisksarisingfromadverseenvironmentalandsocialimpactsonsubprojects.

TheESMFisdividedintotwo(2)parts:

• PartA:MainText-summarizingtheoverallenvironmentalandsocialsafeguardproceduresandarrangements.o Project Context: Presents the background, objectives and description of

theprojectanditscomponents.


o Environmental and Social Safeguard Policies: This section reviews thepolicies of UNIDO and UN Environment on environmental and socialsafeguards as well as the specific Philippines environmental laws andregulationsapplicabletotheproject.

o Environmental and Social Management Framework: This sectionsprovides more detailed guidance on conducting the environmental andsocialsafeguardproceduresoftheproject,identificationofenvironmentaland social impacts of the project and its components and developingpropermitigatingmeasures.

o Sustainability Monitoring Plan: This section presents the activities thatwillbedonetomonitorandevaluatetheproject’sprogress.

o Institutional Plan: This section presents the activities for the capacitydevelopment,thecommunicationplanandthegrievanceredress.

• PartB:Annexeso Annex A: Checklists for environmental and social site screening of

proposedASGMproject siteand in conductingduediligenceauditofanexistingprojectsite.

o Annex B: Presents an environmental and social management plantemplate.


ProposedProjectSafeguardProcess

IdentificationofSubprojects/Sites

ScreeningofSubprojects

ScreeningclearedbyDENR?

PreparationofRequiredSafeguardsDocuments

• SiteScreeningChecklist(SeeAnnex1)• ESMP(SeeAnnex2)

ReviewandapprovalbyPMU

Implementation&monitoringofthe

ESMP

No:Subprojectisdisapproved.

Yes:Subprojectisendorsed.

ENVIRONMENTALANDSOCIALMANAGEMENTFRAMEWORKCONTRIBUTIONTOWARDSTHEELIMINATIONOFMERCURYINTHEASGMSECTOR:FROMMINERSTOREFINERS

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1. PROJECTCONTEXT

1.1. Background

1. UNIDO and UNEP, in association with theMinistry of Environment, Green Development andTourism of Mongolia and the Department of Environment and Natural Resources of thePhilippines are currently co-implementing a GEF child project (under the programme: GlobalOpportunities for Long-term Development of ASGM Sector: GEF GOLD) entitled Contributiontowards the elimination of mercury in the ASGM sector: from miners to refiners. Theprogramme’s objective is to reduce the use of mercury in the ASGM sector through (a)facilitation of access to finance for the introduction of low and non-mercury technologies toartisanalminersandminingcommunitiesandthrough(b)thedevelopmentofsustainableASGMgold supply chains. TheMongolia-Philippines childproject isoneof theeight childprojects intheprogrammewithitsspecificobjectivetocontributetotheeliminationofmercuryinASGMbyapplyingavaluechainapproachfromtheminerstotherefiners.

2. Overaperiodoffiveyears,theprojectshallimplementthefollowingfourcomponents:

a. Legal framework and formalization: Review of policy and legal framework supportingformalizationofthesector;

b. Financing: Introduction of financing schemes allowingminers to adopt and subsequentlyinvest inmercury-freetechnologies inasustainablemannerandaccess internationalgoldmarketsmoredirectly;

c. Technology transfer:Upscalemercury-free technologiesand support thedevelopmentofhealthprogrammefortheASGMsector;and

d. Knowledge management: Develop a communication strategy in order to replicate theproject activities in the participating countries and contributing to the global knowledgemanagementplatformestablishedundertheglobalchildoftheGEFGOLDprogramme.

3. Based on UNIDO’s Environmental and Social Safeguards Policies and Procedures and the UN

Environment - Environmental, Social and Economic Sustainability Framework, the project hasbeencategorizedasrisklevelB(moderaterisk)whereanenvironmentalandsocialmanagementplan(ESMP) isneededduringthepreparatoryphaseoftheprojectto integrateenvironmentaland social sustainability elements into project design. Likely impacts will be site-specific, andfew, if any, will be irreversible. It is expected that appropriate management and mitigationmeasures will be defined and/or internationally-recognized design criteria and standardsincorporated.Theprojectisexpectedtobuildnecessaryhumanandinstitutionalcapacitiesatalllevelsinordertoachievetheexpectedoutputs.

1.2. DevelopmentObjectives

4. In the Philippines, ASGMoccurs inmore than40of the 79provinces andprovides importantsubsistence-level income for about 300,000 miners including at least 18,000 women andchildren. It supports the livelihoodof about twomillionpeopleand comprises traditional andgold rushminersmostofwhomoperatewithout legalmining titles. It is the largest sourceofmercury emission in the country. For the past years, ASGMactivities havebeenproducing atleast 80% of the Philippines’ yearly gold supply (representing 28 tons).With that comes the


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annualreleaseofanestimated70to140metrictonsofmercury,whichisapproximately5-10%ofthecurrentestimatedglobalmercuryemissionsfromthesector.

5. AUN health study in 2006 found significantmercury contamination at levels up to 50 timesWorldHealthOrganizationstandardsamongsurveyedgoldminers.Goldrushesareoccurringinvarious places, including Diwalwalwhere UNIDO implemented a project aiming to assess thehealthimpactofmercuryonmininganddownstreampopulationin1998-2000andasoneofthemercury-free pilot demonstration sites of an existing GEF5 project. The health projectunderlined the need formore awareness raising as it appeared that both study groupswereheavilyaffected.TheGovernmentofthePhilippineshastakenproactivestepstoformalizethesector.Althoughtheuseofmercuryistechnicallybanned,mercuryisstillbeingsoldandusedinsomepartsofthePhilippines(asevidentintheUNIDOGEF5project).

6. TheeffortsofDENRhavebeenrelentlesstryingtoimprovetheworkingandlivingconditionsoftheir mining communities. Therefore, assistance is needed in the area of formalization,financingschemefor longtermsustainability, technologytransferandawareness raising. It isalso important to continue the existing efforts that are already made in the Philippines bykeepingthemomentumandtheengagementofrelevantstakeholders.

1.3. ComponentsandActivities

7. Therearefourmaincomponentstothisprojectasdiscussedbelow:

a) Component 1: Reviewof the policy and legal framework supporting formalization of thesector. The first project component will focus on reviewing the current policies andlegislation in both countries in order to ensure conducive conditions are in place to fullysupporttheminers,theircommunitiesandformalizationofthesector.

b) Component 2: Introduction of financing schemes allowing miners to adopt and

subsequently invest in mercury-free technologies in a sustainable manner and accessinternational gold markets more directly. The second component will focus on financialschemesthatcansupporttheminersintheirtransitionintolowmercuryandmercury-freeminingandprocessing.

c) Component3:Upscalemercuryfreetechnologiesandsupportthedevelopmentofhealth

programmes for the ASGM sector. The third componentwill focus on several aspects ofArticle7aswellastheMinamataConventionasawhole. Itwillalsobecomplementarytothe NAP process. In particular, component 3 will contribute towards a) taking steps toreduce,andwherefeasibleeliminatetheuseofmercuryandmercurycompounds,andtheemissions and releases to the environment of mercury from mining and processing, b)raising awareness of the general public and the mining communities on the dangers ofmercury uses and releases, c) supporting the early implementation of the public healthstrategyforthesectortobedevelopedundertheNAP.

d) Component 4: Knowledge management and communication. The final and fourth

componentconcernsthedisseminationoftheprojectsuccessesandlessonslearnedbothatthenationalandinternationallevel,establishingstronglinkswiththeglobalcomponenton


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knowledgemanagementoftheGOLDprogramme.ThiscomponentconsistsoftwoseparateoutcomesandwillbetechnicallysupportedbyNRDC,usingtheestablishedexperienceandexpertiseoftheGlobalMercuryPartnership.

1.4. SubprojectSitesandPrimaryStakeholders

SubprojectSites

8. For the introduction and demonstration of mercury-free gold extraction techniques for theminers, theexecutionpartnerswill select sitesgeographically representativeof thegeologicaland social conditions of the Philippines and identify appropriate mercury-free extractiontechniques to be used. The selection process will build upon the experience gained by BanToxics in the Philippines. One of the issues preventing the adoption of low and non-mercurytechniquesisthelackofawarenessoftheminersonthedangersofmercury.Inadditiontotheintervention on technology, awareness raising campaigns targetingminers based onAGC andBanToxicsexperiencewillbedevelopedandimplemented.

Stakeholders

9. Theprojectenvisagescollaborationwithcivilsocietyonitsactivitiesincludingtheparticipationof indigenous people in the potential areas in the Philippines. The key stakeholders of theprojectthatwillbeincludedarepresentedintheTable1.

Table1:ProjectStakeholdersinthePhilippinesStakeholders Roles

DepartmentofEnvironmentandNaturalResources(DENR)-EnvironmentalManagementBureau&theMinesandGeosciencesBureau

AsmainagencyresponsibleforASGMregulationinthecountry,theDENRhasrepresentedthePhilippinesatallINCfortheMinamataConvention.DENRhasalsobeeninvolvedinthedevelopmentoftheNationalStrategicPlanofthePhilippinesandtherecentlycompletedGEF-fundedprojectinthecountry.DENRisalsotheexecutingagencyundertheNationalActionPlanforASGMprojectunderUNEnvironmentimplementation.

ArtisanalGoldCouncil(AGC) AGCispreparingtheprojectpreparationdocumentforthisGEFchildproject.IthasbeenworkingontheASGMissueformanyyearsandhasbeenakeypartnersintheGlobalMercuryPartnership.AGCiscurrentlyimplementingtwolargeprojectsonASGMfinancedbytheGovernmentofCanada.

TheInternationalLabourOrganization(ILO)

ILOhasalongstandingprogrammeontheeliminationofchildandforcedlabourglobally.WiththesupportoftheUSDepartmentofLabour,ILOhasrecentlystartedtheimplementationofa3.5-yearprojectinGhanaandthePhilippinesdealingspecificallywithchildlabourintheminingsector.Collaborationwiththisprojectwillbeveryvaluableinthecomponent1ofthischildproject.


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Stakeholders RolesNaturalResourcesDefenseCouncil(NRDC) NRDCisagloballeaderintheenvironmentalmovement.

Forthelastdecade,NRDChasbeenattheforefrontofnationalandglobalactivitiestoreducemercurypollutionaroundtheworld.NRDC’sexperiencedlawyersandscientiststooktheleadinpreparingcriticaltextproposalsandpositionpapersfortheMinamataConventionnegotiations.

UnitedNationsEnvironmentProgramme UNEPhasbeeninvolvedinASGMformanyyears.ItisthehostinstitutionoftheGlobalMercuryPartnershipaswellastheInterimSecretariatoftheMinamataConventionforwhichitconvenedalloftheINCs.UNEPmanagedtheSAICMQSPprojectinthePhilippineswhichledtotheNationalStrategicPlan.UNEPiscurrentlyworkingwiththePhilippinesonthedevelopmentofitsNationalActionPlanforASGMundertheMinamataConvention.

UnitedNationsIndustrialDevelopmentOrganization

UNIDOhasbeeninvolvedintheASGMsectorformorethan20years.AsaGEFimplementingagency,UNIDOworkstoreduceglobalpovertyandachievetheSustainableDevelopmentGoalsthroughdevelopmentofsustainableandinclusiveindustrialgrowth.BasedonUNIDO’spreviousandexistingexperienceinpromotingenvironmentallysoundmanagementofmercuryintheASGMsector,theorganizationplaysanimportantroleasthetri-lead(alongwithUNEPandNRDC)ofthesectorundertheGlobalMercuryPartnership.

LocalstakeholdersinthePhilippines • Minersandminersgroups–engagingminersaspartners/advocatesinreducingpollutionintheASGMareaandleadersofthecommunity;

• ASGMcommunitygroups;• Indigenouspeopleinandaroundtheminingsites;• NCIP–leadagencyforIPaffairs;• Women–engagingwomenasleaders,change

agents,peereducators,recognitionoftheircontributioninthefamilyincome;

• Childrenandyouth–engagingchildrenandyouthaspartnersandchangeagentsinraisingawarenessoffamily,schoolandpeersonthehazardsofmercuryandimpactstohealthandtheenvironment;

• Localgovernmentunits(provincial,municipal,andbarangay)–aspolicymakers,changeagents,serviceproviderforwelfareanddevelopmentofthecommunity.


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2. ENVIRONMENTALANDSOCIALSAFEGUARDSPOLICIES

2.1. ScreeningofUNIDO,UNEnvironmentandGEFGuidanceandDirectives

10. UNIDOhasadoptedasetofEnvironmentalandSocialSafeguardPoliciesandProcedures(ESSPP)thatwillbeapplicabletoallUNIDOprojectsstarting2016.TheESSPPaimstoprovidetheprojectdevelopment team with a set of tools and guidance to be able to strategically design andimplement environmentally and socially sustainable projects that support the achievement,equitabilityandsustainabilityofdevelopmentresults.UNEnvironmentsimilarlyadoptsaPolicyFramework for Environmental, Social, and Economic Sustainability or the “ESES Framework.”TheframeworkisadirectresponseofUNEnvironmenttotheUNsystem-wideefforttoadvancetheprinciplesofenvironmentalandsocialsustainability.

11. TheESSPPhasnineOperational Safeguards requirements (OSs), sevenprogrammaticand twoframework safeguards that the project development team is expected to follow whenaddressingsocialandenvironmentalimpactsandrisks.TheESESFramework,ontheotherhand,alsohaveninesafeguardstandards.Table2 showsUNIDOOSalongwiththeUNEnvironmentsafeguards standards.Fromthese,applicable safeguardstandards for theproject componentswereidentified.

Table2:ScreeningofApplicableOperationalSafeguards/StandardstotheProjectUNIDOOperational

Safeguard/UNEnvironmentSafeguardStandards

Objectives ApplicabletotheProject

OS1.EnvironmentalandSocialAssessment

Thissafeguardgovernstheprocessofdeterminingtheproject’senvironmentalandsocialcategoryandtheresultingenvironmentalandsocialassessmentrequirementsbyscreeningtheproject,assigninganappropriatecategory,undertakingpublicscopingwithkeystakeholdersanddeterminingtheneedforanyenvironmentalandsocialimpactassessment(ESIA)orenvironmentalandsocialmanagementplan(ESMPs).

Yes

SS2.Resourceefficiency,pollutionpreventionandmanagementofchemicalsandwastes

Thisistopromotemoresustainableusesofresources,includingenergyandwaterandtoreduceproject-relatedgreenhousegas(GHG)emissions.Thisstandardalsoaimstoavoidorminimizeadverseimpactsonhumanhealthandtheenvironmentoriginatingfromprojectactivitiesthroughtheuseormanagementofhazardouschemicalsandwastematerials,includingpesticides.

Yes


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UNIDOOperationalSafeguard/UNEnvironment

SafeguardStandards


OS2.ProtectionofNaturalHabitats/SS1.Biodiversityconservation,naturalhabitats,andsustainablemanagementoflivingresources

Theobjectiveofthissafeguardistoconservebiologicaldiversityandpromotethesustainableuseofnaturalresources.UNIDOorUNEnvironmentdoesnotengageinanyprojectsthatdealwithcriticalhabitats.

No

OS3/SS4.InvoluntaryResettlement

Theobjectiveofthissafeguardistoensurethatprojectsthatcouldresultininvoluntaryresettlementareeitherre-designedorarenotapprovedforfurtherdevelopment.

No

OS4/SS5.IndigenousPeople Thissafeguardensuresthatprojectsfosterfullrespectforindigenouspeopleandtheirdignity,humanrightsandculturaluniqueness.

Yes(PotentialareashaveIP

communities.)

OS5.PestManagement Theobjectiveofthissafeguardistoensurethattheenvironmentalandhealthrisksassociatedwithpesticideuseareminimizedandmanaged,andthatsafe,effective,andenvironmentallysoundpestmanagementispromotedandsupported.

No

OS6/SS7.PhysicalCulturalResources

ThissafeguardcommitsUNIDO/UNEnvironmenttobanningprojectsthatadverselyimpactanycriticalphysicalorculturalheritage.

No

OS7/SS3.SafetyofDams ThisOSappliestoallprojectsthatinvolvetheconstruction,operation,andmaintenanceofnewdamsortherehabilitationofexistingdams.Also,thissafeguardensuresthatUNIDOorUNEnvironmentdoesnotengagetoanylarge-scalewatermanagementinfrastructureinvestmentprojects.

No

FrameworkOperationalSafeguardsOS8.InformationDisclosure ThisOSrecognizestheimportanceof

openandtransparentengagementamongUNIDO,theprojectdevelopmentteam,localcommunitiesdirectlyaffectedbytheprojectandotherstakeholders.ThisensuresthatanyinformationconcerningUNIDOprojectsisavailabletothepublic,intheabsenceofacompellingreasonforconfidentiality.

Yes


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UNIDOOperationalSafeguard/UNEnvironment

SafeguardStandards


OS9.AccountabilityandGrievanceSystems

ThissafeguardensuresthatUNIDOhasamechanismfordisputeresolutionandforensuringaccountabilityandcompliancewithitsenvironmentalandsocialsafeguards.

Yes

SS6.LaborandWorkingConditions

ThissafeguardstandardensuresthatprojectssupportedbyUNEnvironmentcomplywithnationallaborlawsandwiththeobjectivesoftheInternationalLabourOrganization(ILO)Standards.

Yes

SS8.GenderEquality ThisistoensuretheintegrationofgenderperspectivesinallUNEnvironmentprojects,andtopromotegenderequalityandtheempowermentofwomeninsustainabledevelopment.

Yes

SS9.EconomicSustainability ThisstandardistoensurethatUNEnvironmentprojectsavoidnegativeeconomicconsequencesduringandafterprojectimplementation,especiallyforvulnerableandmarginalizedsocialgroupsintargetedcommunitiesandthatbenefitsaresocially-inclusiveandsustainable.

Yes

2.2. SafeguardStandardsandPoliciesApplicabletotheProject

12. Environmental and Social Assessment (OS1). This policy was triggered since the project willinvolvethehandlingandtreatingofmercury-containingsubstancesandwasteswhichcanhavepotential impacts to human health and environment. The subprojects will be screened andassessed for possible health and environmental impacts. Proper mitigating measures will beimplementedtoavoidorreducetheimpactsidentifiedwhichwillbereflectedinanESMP.

13. Resourceefficiency,pollutionpreventionandmanagementofchemicalsandwastes(SS2).UNEnvironment will avoid or minimize the potential for community exposure to hazardousmaterialsandsubstancesthatmaybereleasedbyaproject.Wherethere isapotential forthepublic tobeexposed tohazards, projectswill exercise special care to avoidorminimize theirexposure by modifying, substituting, or eliminating the condition or material causing thepotentialhazards.

14. IndigenousPeople(OS4/SS5).Dependingonthesitestobeincludedintheproject,thispolicymaybe triggeredwhen theproject site is located in anareawith indigenouspeople (IP). ThesubprojectswillbescreenedandassessedforimpactsontheculturalpracticesoftheIPsinthearea.Insuchcases,indigenouspeoples’plan(IPP)willberequiredfromtheproponentandmustbecoordinatedwiththeNationalCommissionforIndigenousPeople(NCIP).


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15. InformationDisclosure(OS8).ThefinalESMFwillbedisclosedtothepublic,mostespeciallytothe project stakeholders, through the UNIDO’swebsite (www.unido.org). A consultationwiththe stakeholderswill take place before the ESMF is finalized. The draft of the ESMFmust beuploaded to the website 10 days before the consultation. A communication plan will bedevelopedforthisproject.

16. Accountability andGrievance Systems (OS9).ThisOS applies to allUNIDOprojectswhere anaffectedpartyhasmadeacomplaintfocusedeitheronperceivednon-compliancewithUNIDOpolicies and procedures, or where the complainant claims to have been affected by theimplementationofaUNIDOproject.

17. Labor andWorking Conditions (SS6).All implementing/executing partners will have in placehumanresourcespoliciesandproceduresappropriate to their sizeandworkforce thatsetouttheirapproachtocomplywiththesestandardsandnationallaws.

18. GenderEquality (SS8).UNEnvironmentwill assesspotential roles,benefits, impactsand risksfor women and men in the preparation and implementation of projects undertaken orsupported, with the aim of supporting equality of opportunity and treatment ofwomen andmen.Inthiscontext,UNEnvironmentwillavoid,minimize,and/ormitigateanyadversegenderimpactsorrisksfromitsprojects,asidentifiedthroughtheenvironmental,socialandeconomicsafeguardscreeningprocesses.

19. Economic Sustainability (SS9). Projects will promote, as part of their design, planning,implementationandmonitoring, the financialsustainabilityof theactivities implemented,alsoincludingthosethatwilloccurbeyondtheprojectinterventionperiod.Projectsshouldconsidervarious project modality options and undertake approaches that do not generate welfaredisparities,especiallyforthepoor,duringorbeyondtheprojectinterventionperiod.

2.3. PhilippineEnvironmentImpactAssessment

20. ThePhilippine Environmental ImpactAssessment (EIA) System, also referred as thePhilippineEIS System (PEISS), was established under Presidential Decree (PD) 1586 on June 11, 1978.Section 4 of PD 1586 provides that no person, partnership or corporation shall undertake oroperate any such declared environmentally critical project or area without first securing anEnvironmentalComplianceCertificate(ECC).

21. The DENR issued a DENR Administrative Order (DAO) No. 2003-30 last June 30, 2003establishingtheimplementingrulesandregulationsfortheEISSystem.Itisconcernedprimarilywithassessingthedirectandindirectimpactsofaprojectorundertakingonthebiophysicalandhumanenvironmentensuring that these impactsareaddressedbyappropriateenvironmentalprotectionandenhancementmeasures.ThisDAO issupplementedfurtherwithMC2015-005,whichprovidedguidelinesforcoveragescreeningandstandardizedrequirementsundertheEISSystem.


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2.4. SpecificEnvironmentalLawsandRegulationsApplicabletotheProject

R.A6969:ToxicSubstancesandHazardousandNuclearWastesControlActof1990

22. RepublicActNo. (RA)6969 isalsoknownas theToxicSubstancesandHazardousandNuclearWastes Control Act was enacted by the Philippine Congress in 1990. This law empowers theDepartmentofEnvironmentandNaturalResources(DENR),amongothers,tomonitor,regulate,restrict, or prohibit the importation, manufacture, processing, sale, distribution, use, anddisposal of toxic substances and hazardous wastes in the country. The Act seeks to protectpublichealth and theenvironment fromunreasonable risksposedby these substances in thePhilippines.

23. This law also encompasses handling, storage, transportation, sale, use and disposal of allmercury and mercury compounds (including wastes) in the Philippines as well as thegenerationorstorageanddisposalofthesematerials.Althoughtheprojectwillnotinvolvethepurchase and use of mercury, residual wastes containing mercury may be encountered inmanaging the project sites as the ASGM sector migrates from mercury to mercury-freetechnologies.

DAO92-29:ImplementingRulesandRegulations(IRR)ofRA6969

24. DENR Administrative Order (DAO 92-29) is also known as the Implementing Rules andRegulations(IRR)ofRA6969.Throughthisadministrativeorder,theDENRsoughttoputinplacepoliciesandguidelinestoregulatetheimportation,manufacture,sale,transfer,distribution,anduse — as well as to establish the responsibilities for the management and handling — ofmercury,mercurycompoundandmercury-containingwastesandcontainers.

DAO2013-22:RevisedProceduresandStandardsfortheManagementofHazardousWaste

25. DENRAdministrativeOrderNo.2013-22revisedtheDENRAdministrativeOrderNo.2004-36orknown as the Procedural Manual for the Title 3 of DAO 92-29, the Hazardous WasteManagement.Thisrevisedproceduralmanualseekstocollateandstreamlinetheexistingrulesand regulations of the hazardous waste management. And also, the DAO ensures that theimportant aspects of the Title 3 of DAO 92-29, particularly the requirements for hazardouswaste generators, transporters and treaters are developed and presented in usefulinformation/referencedocumentforvariousstakeholders.

DAO1997-38:ChemicalControlOrder(CCO)forMercury

26. Through the DAO 1997-38, the DENR has implementedmonitoring and inventory ofmercuryandmercurycompounds.TheCCOappliedtotheimportation,manufacture,processing,useanddistributionofmercuryandmercurycompounds.Italsoaddressesthetreatment,storage,anddisposalofmercury-bearingormercury-contaminatedwastesinthePhilippines.

RA7076:People’sSmall-ScaleMiningActof1991

27. RA7076aimsforthePhilippineGovernmenttopromote,develop,protectandrationalizeviablesmall-scaleminingactivities inordertogeneratemoreemploymentopportunitiesandprovide


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anequitablesharingofthenation'swealthandnaturalresources,givingdueregardtoexistingrights.

28. DENRAO2015-03providestherevisedimplementingrulesandregulationsofRA7076.ThisAOprescribes the government’s procedure in implementing the People’s Small-Scale MiningProgram (also knownasMinahangBayan). It stipulates guidelineson theadministrationanddispositionofsmall-scaleminingareasandontheregulationofthesmall-scaleminingindustry(including ASGM) with a view of enhancing its growth and productivity, as well as ensuringenvironmental protection. The AO also provided guidelines for technical, financial andmarketingassistanceandadoptionofbestpractices.

RA7942:PhilippineMiningAct

29. ThePhilippineMiningActof1995isthegoverninglawthatregulatestheuseanddevelopmentofmineralresourcesinthePhilippinesincludingASGM.Thelawdefinesthevariousrolesofthenationalgovernmentaswellasthelocalgovernmentunitsintheequitablesharingofbenefitsofnaturalwealth.WithitsIRR,ithascoveredseveralprovisionsintheprotectionandsustainablemanagementofminingareasinthePhilippines.

30. Executive Order 79 and DAO 2012-07A aim to strengthen environmental protection andpromote responsible mining and provide a more equitable revenue-sharing scheme in themining sector. These issuances provided mechanisms to increase the revenue of thegovernment frommining while enhancing environmental standards inmining and harmonizenationalandlocalregulationspertainingtomining.

RA8371:TheIndigenousPeoples’RightsAct(IPRA)of1997

31. IPRA aims to recognize, protect and promote the rights of indigenous culturalcommunities/indigenous people including rights to their ancestral domains to ensure theireconomic, social and cultural well-being. It recognizes the applicability of customary lawsgoverning property rights or relations in determining the ownership and extent of ancestraldomain. Since most of the mining sites of ASGM in the Philippines overlap with ancestraldomain, there isaneed tohavea freeandprior informedconsent (FPIC) foranyactivity thatmayhaveimpactontheeconomic,socialandculturalactivitiesoftheIPs.

32. AllactivitiesmustbecoordinatedwiththeNCIPwhoisprimaryresponsible intheformulationand implementation of policies, plans and programs to recognize, protect and promote therightsofIPs.ActivitiesinIPareas,especiallythoseawardedwithCertificateofAncestralDomainTitle(CADT),mustbecoordinatedwiththeIPcommunityandcouncilofelders.


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3. ENVIRONMENTALANDSOCIALMANAGEMENTFRAMEWORK

3.1. ProjectandSubprojectRiskCategoryRating

33. Theidentifiedsub-projectswillbescreenedandwillbecategorizedbasedonthetypeandscaleof theproject, its location,and thenatureandmagnitudeof thepotentialenvironmentalandsocialimpacts.Projectcategorizationisdeterminedbythesignificanceofpotentialimpacts.

34. Based on UNIDO and UN Environment sustainability guidelines, the sub-projects will bescreenedforpotentialenvironmentalandsocialimpactsindicatedintheUNIDOESSPPandUNEnvironment Framework. Using the screening checklist, a category of the sub-project will beproposedwhichcanbeoneofthefollowingshownbelow:

CategoryA:Asub-projectofthistype is likelyto inducesignificantand/or irreversibleadverseenvironmentaland/orsocialimpactsthataresensitive,diverse,orunprecedented,orthataffectan area broader than the sites or facilities subject to physicalworks. CategoryA projectswillrequire an ESIA to be conducted, which should examine the project’s potential negative andpositiveenvironmental impacts, compare themwith feasiblealternativesand recommendanymeasurestoprevent,minimizeormitigatetheidentifiedimpacts.

CategoryB:CategoryBprojectsoftendifferfromcategoryAprojectsofthesametypeonly inscale. They are likely to have less adverse impacts on human populations or environmentallyimportant areas than those of Category A projects. In most cases, impacts can be readilyminimized by applying appropriate management and mitigation measures or incorporationinternationallyrecognizeddesigncriteriaandstandards.AnESIAisnotrequiredforthiscategorybut an ESMP must be developed to integrate the environmental and social sustainabilityelementsintotheprojectdesign.

CategoryC:Asub-project is classifiedasCategoryCeither if it is likely tohaveminimalornoadverse social and/or environmental impacts or because sufficient environmental and socialreview has already have been conducted and environmental and social managementrecommendations had been incorporated into the sub-project. Beyond screening, no furtherspecificenvironmentaland/orsocialassessmentifrequiredforaCategoryCproject.

Category NO PROJECT:A sub-project of this type is likely to (i) infringe on the protection ofcriticalhabitatsorphysicalculturalresources(ii)usebannedpesticideand/orchemicalsand(iii)causesinvoluntaryresettlement.

35. BasedfromtheUNIDOandUNEnvironmentscreening,theprojectwasdeterminedtofallunderCategoryB(moderaterisk).

36. UsingthePhilippinesEISSystem,thesub-projectswillalsobescreenedbasedonthefollowingcategorization:

Category A: A project of this category is classified as environmentally critical project (ECP)declared under Presidential Proclamation No. 2146 (1981), Proclamation No. 803 (1996) andotherprojectsthatmaylaterbedeclared.AnEnvironmentalComplianceCertificate(ECC)mustbesecuredforthistypeofproject.


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CategoryB:TheseareprojectsthatarenotclassifiedasECPbutareprojectsthatwillbelocatedin an environmentally critical area (ECA) that is declared under Proclamation No. 2146 andaccordingtotheparametersintheguidelines.AnECCisalsorequiredinthistypeofproject.

CategoryC:A sub-project of this typedoes not fall under CategoryAor B but is intended todirectly enhance the quality of the environment or directly address existing environmentalproblems.

CategoryD:CategoryDprojectsareunlikelytocausesignificantadverseimpactonthequalityoftheenvironment.TheseprojectsarenotcoveredbythePEISSandthere’snoneedtosecureanECC.

37. Fromtheinitiallistingofthesubprojectscope,thisprojectmaybeclassifiedasCategoryCorD.

3.2. SafeguardProcedures

38. This section provides guidance on environmental and social safeguards and the associatedprojectdevelopmentprocedurestoensurethatthesub-projectsaresustainable.Thisguidanceservestoensurethatpotentialimpactsandpracticalmitigationmeasuresareidentifiedearlyonintheplanningandselectionprocessforthisproject.

39. Figure1showstheproposedProjectSafeguardProcess.

Step1:Identificationofcandidatesub-projects.

40. The first stepwill involve the identificationandselectionof sub-projectsbasedon theagreedcriteria.

Step2:ScreeningofSub-projects

41. Project staff will screen subprojects early in the identification stage determining the projectboundaries and possible safeguard issues thatmay be encountered. Potential environmentaland social risks must be identified at the beginning to facilitate the proper selection ofmitigatingmeasures.Thescreeningwillensurethatthesub-projectisalignedwiththeprocessundertaken by the UNIDO/UNEP for its potential environmental and social impacts and todetermine the nature and extent of the environmental and social duediligence thatmust beconductedbeforetheapprovalofthesub-project.

42. The screening results will be validated using the Philippines EIS System to determine theadditionaldocumentsthatmayberequiredbythePhilippineenvironmentregulators.Therearethreepossibleinstrumentsinthisregulation:a.EnvironmentalImpactAssessment(EIA)report,b. InitialEnvironmentalExamination(IEE)Checklistandc.ProjectDescriptionforCertificateofNon-Coveragewheneverrequired.

Step3:SubprojectPreparationandDocumentation

43. Anenvironmentalduediligence(EDD)maybeconductedtotheexistingactivitieswhichwillbeconsidered as a subproject, if needed, to check its compliance with national regulations.


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AttachedinAnnex1areinspectioncheckliststhatcanbeusedinconductingaduediligencetoexistingASGMsite,wastestoragefacilities,and/orwastetreatmentfacilities.

44. Once the screening and documentation requirements are completed, the project staffs willprepare the required site- and project-specific environmental and social management plan(ESMP)whichwillcontaintheimpactorriskanalysisandwiththeproposedmitigatingmeasuresbasedontheidentifiedimpacts.SampleESMPtemplateispresentedinAnnex2.

45. ForsubprojectsorsitewithIPs,aconsultationwiththeprojectstakeholdersisrequired.Inthiscase,coordinationmustbemadewith theNCIP for thepossible formulationofan indigenouspeoples’plan(IPP).

46. All safeguard documents (checklist, ESMPs, and IPPs) will be subjected to consultation anddisclosureinanaccessibleplace,inatimelymanner,inaformandlanguageunderstandabletokeystakeholders,priortothefinalizationofthedocuments.Particularattentionwillbegiventoensure project-affected persons have adequate time and ready access to draft documentsbefore consultation takes place. These specific documents will be prepared during projectimplementation.

Step4:ReviewandApproval

47. All the safeguard documents submittedwill be reviewed by theUNIDO/UNEP technical teambefore the PMU clears the documents for its final appraisal and approval. Once the projectdocument has been cleared by PMU, the proposed project goes through a number ofcomplianceverificationsystems.

Step5:Implementation,MonitoringandEvaluation

48. UNIDO/UNEP and DENR will regularly monitor the sub-projects to ensure the safeguardinstrumentsarebeingimplementedandtoevaluatethecomplianceofthesub-projectswiththepolicy requirements. The PMUwill prepare annual project implementation reports,mid-termreviewsandterminalevaluations.

49. All the projects covered by the PEISS which have been issued an ECC shall be subjected toperiodicmonitoringbytheDENR.Theresponsibilitiesofmonitoringtheprojectsarelodgedwiththe EMB regional offices. The DENR must evaluate the compliance of the project and theeffectiveness of the committed ESMP in mitigating the identified environmental impacts.


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Figure1:ProposedProjectSafeguardProcess

Step1IdentificationofSubprojects/Sites

Step2ScreeningofSubprojects

ScreeningclearedbyDENR?

Step3PreparationofRequiredSafeguardsDocuments

• SiteScreeningChecklist(SeeAnnex1)• ESMP(SeeAnnex2)• IPP(forsubprojectswithIPcommunities)

Step4ReviewandapprovalbyPMU

Step5Implementation&monitoringofthe

ESMP

No:Subprojectisdisapproved.

Yes:Subprojectisendorsed.


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3.3. SpecificSubprojectEnvironmentalRequirements

50. Thissectionprovidestherequirementsforthehazardouswastemanagement,whichwillincludethetransportation,storageandtreatmentofthewastes.WastesmustonlybetransportedandtreatedbywastetransportedandTSDfacilitiesthataredulyregisteredbyEMBCentralOffice.ThefollowingaretherequirementsstatedinDAO2013-22.

StorageRequirements

51. Storagereferstocontainmentofahazardouswastefortransport,orwhileawaitingtreatmentanddisposal.Exceptunderextraordinarycircumstances,storageshouldalwaysbeconsideredasatemporarymeasureandisnotacceptableforthelong-termmanagementofhazardouswaste.Themaximumhazardouswasteaccumulationtimeisone(1)year,exceptforwastesthathavenoexistinginfrastructureforpropertreatmentanddisposal.

52. ThestorageareaforthewastesmustcomplywithstorageandhandlingrequirementsstatedinChapter6ofDAO2013-22.

WasteTransporter

53. Transportation isoneof themost importantareasof concernassociatedwith thehandlingofhazardouswaste.Waste transport has to be planned in such away that thiswaste does notcause danger to health or environment, when handled individually or when in contact withotherwastesorsubstancesduringtransportation.

54. Hazardous wastes can only be transported by waste transporters who meet the followingcriteria:

• awastetransporterwhoisregisteredwithbytheDENR;and• atransporterwhohasanapprovedManifestFormtoconveythehazardouswastefromthe

wastegenerator’spremisestothedesignatedTSDfacility.

TSDFacility

55. A person who wishes to operate a TSD facility is required to register with EMB prior tocommencementofoperation inconjunctionwithEnvironmentalComplianceCertificate issuedunderDAO96-37.TheTSDFacilityPermitshallbevalidforone(1)year.

3.4. PotentialEnvironmentandSocialImpacts

56. Environmental and social impactsmay be encountered during project implementation. Suchrisksmayariseduringminingandoreprocessing.Incaseswheremercuryisstillbeingusedbytheprojectbeneficiaries,propermanagementofmercurywastesmustbeensured.

57. Thepossibleenvironmentalandsocialimpactsrelatedtotheoperationsofasmall-scalemining,processing including waste storage and disposal are listed in an Environmental and SocialManagementPlan(ESMP)templatepresentedinAnnex2.


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EnvironmentalImpacts

58. Therearetworeceptorgroupsthatmaybeaffectedasaresultgoldminingandprocessingandintheuseorhandlingofmercuryandmercury-compoundandwastes-(1)theworkersinvolvedand(2)theneighborhoodaroundtheareas.Thesepeopleareexposedtophysical,chemicalorbiological hazards of mining and processing. In areas where mercury is still used prior toconversion to mercury-free processing, exposure to mercury can be direct (skin contact,inhalation, ingestion)or indirect (intakeofpollutedwaterorcontaminated food, inhalationofcontaminatedair).

59. More than the impacts mentioned, the project is expected to have positive long termimprovements in the environment. Soil, water and air pollution that may result from themismanagement and improper disposal of the mercury and mercury compounds could beeliminatedoncetheprojectisimplemented.

SocialandEconomicImpacts

60. Negativesocialimpactsareexpectedtobeminimalandlimited.Resettlementisnotexpectedtohappen unless a new facility will be constructed. Direct effects on ecosystems, sites witharcheological,historicalorculturalvaluearenotlikelytooccur. InIPareas,theimpactoftheprojecttothesocioandeconomicactivitiesofthecommunitymustbecarefullyassessed.

3.5. MitigatingMeasures

61. Propermitigatingmeasuresmustbedevelopedtoaddresstheimpactsthatwereidentified.Theobjectiveistominimizeorreducetheeffectoftheimpacts.TheESMPconsistsofthemitigationand monitoring commitments during the implementation to eliminate the adverseenvironmentalandsocialimpactsortoreducetheeffectstoacceptablelevels.

62. The summary of the potential impacts as well as the corresponding mitigating measures ispresentedinTable3.

Table3:SummaryofEnvironmentalandSocialImpactsandMitigatingMeasuresEnvironmental&SocialImpacts Mitigating/EnhancementMeasures

MiningandProcessingofGoldinsmall-scaleminingAccidentalreleaseofhazardouswastes(spill or leaks) which may lead to air,waterandsoilcontamination

• SpillcontainmentSysteminthestorageareatopreventleakageoftotheenvironment

• Regularinspectionofcontainerandequipmentusedinhandlingwastes

• EmergencyandPreparedness&ResponsePlan/ContingencyProgram

Exposureofworkerstophysical,chemicalandbiologicalhazards

• PPEProgram• Signagemustbeavailableonworkingareas• FirstAidStations

Indirectexposureofresidentsnearby • ConductInformationandEducation(IEC)toraiseawarenesstothetoxicityofmercury


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Environmental&SocialImpacts Mitigating/EnhancementMeasures

GenerationofsolidwastesfromASGMactivities

• SolidWasteManagementProgram

Reducedhealthrisksfortheworkers • PPEProgram• IEC

EnhancedcapacityofASGMworkersonmercury-freetechnologies

• IEC• Trainings/workshops

WasteTransportAccidentalreleaseofhazardouswaste(spillorleakage)

• Checkwastecontainerspriortotransfer• Vehiclesmustbeequippedwithspillclean-upkit• EmergencyandPreparedness&ResponsePlan

/ContingencyProgramVehiclebreakdownandaccidents • Properandregularmaintenanceofvehicles

• Alldriversmustbeproperlytrained• Vehiclesmusthavehazardwarningpanels

Exposureofworkerstophysicalandchemicalhazards

• FirstAidKitmustbeavailableinthevehicle• PPEandIECPrograms


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4. SUSTAINABILITYMONITORINGFRAMEWORK

4.1. MonitoringandEvaluation

63. ThePMUwillbeinchargeoftheregularmonitoringoftheproject,bothfromthetechnicalandfinancial standpoint, and for the day by day planning and coordinating of project activities.UNIDO and UNEP, through regular mission to the country, and regular conference calls withPMUstaffwillalsoplayimportantroleinprojectmonitoringandsupervision.

64. Project monitoring will be documented by quarterly progress reports (QPR), annual progressreports (APR), and Project Implementation Reports. Project planning will be documented byquarterlyandannualworkplans.TheTable4showsthemonitoringandevaluationplanoftheproject.

Table4:MonitoringandEvaluationPlan

TypeofM&Eactivity ResponsibleParties GEFBudget(USD) TimeFrame

Regularmonitoringandanalysisofperformanceindicators

PMU,DENRandconsultantsasrequired

Forvalidation RegularlytofeedintoprojectmanagementandAnnualProjectReview

AnnualProjectReviewtoassessprojectprogressandperformance

PMU,andProjectSteeringCommitteetoreviewtheprojectperformanceandmakecorrectivedecision

Forvalidation AnnuallypriortothefinalizationofAPR/PIRandtothedefinitionofannualworkplans

Mid-termEvaluation PMU,independentevaluationconsultants

Forvalidation Midofproject

TerminalProjectEvaluation

PMU,independentevaluationconsultants

Forvalidation Evaluationatleastonemonthbeforetheendoftheproject;reportattheendofprojectimplementation

Visitstofieldsitestomonitorprogressandassessproject

PMU,DENR,NDRC,consultantsasrequired

Forvalidation Twiceayear;asnecessaryforPMU

TotalIndicativeCost Forvalidation


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5. INSTITUTIONALFRAMEWORK

65. UNIDOandUNEnvironment are theGEF ImplementingAgency (IA) for theproject. A projectofficerwillbeappointedfromUNIDOand/orUNEnvironmenttooverseetheimplementationoftheproject,assistedbyasupportstaffandsupervisedbyaseniorprofessionalstaffengagedinthe coordination ofMinamata Convention commitments andmilestones. TheUNIDOCountryOffice inthePhilippineswillalsoplaysignificantrole inthe implementationandmonitoringoftheproject.Country-levelmonitoringwillbeprovidedaspartofthein-kindcontributionoftheorganizationtotheproject.

66. The Department of Environmental Resource through its Environmental Management BureauandtheMinesGeosciencesBureauwillbethemainexecutingpartnerfortheproject.

5.1. CapacityDevelopment

67. Institutionalneedsassessmentwillbeundertakentodeterminecapacitygapsindevelopingandimplementingtheproject.Theresultsoftheneedsassessmentwillbeusedincraftingacapacitybuildingprogramthatwilladdresstheseneeds.

68. The needs assessment will also be considered in IEC activities for the awareness raisingcomponentoftheprojectandthesettingupofaknowledgemanagementinfrastructureontheareasofthemercury,mercurycompoundandwastes.

5.2. CommunicationPlanandStakeholders’Engagement

69. The project information and final ESMF will be disclosed to the public and key stakeholdersthrough the UNIDO’s and UN Environment’s websites. UNIDO and UN Environment will alsoensurethattheactivities,achievementsandlessonslearnedfromtheprojectwillbesharedtoall itsrelevantpartnersandinappropriateregionalandglobalforums.AconsultationwiththestakeholdersshouldtakeplacebeforetheESMFisfinalized.

70. Theknowledgemanagementplatformtobecreatedwillbeusedtodisseminateprojectresults.For thispurpose,aprojectwebsitewillbebuilt. Thewebsitewillbeestablishedusingablog-typeplatform,allowingPMUandotherprojectoperatorstoupdatethewebsitecontentinrealtime. The website will be initially built with the support of a professional web-site builder.Subsequently, thewebsitewillbeupdated regularlyby thePMU–byassigningapersonwiththespecific taskof resultdissemination.Even for thewebsite,different levelofaccesswillbegranteddependingonthetargetedstakeholders.

71. Although based on simple activities and systems, the knowledge management will be theresponsibilityof thePMUbutmay requireassistance froma staffwhomaybe recruitedonapart-timebasisdedicatedtomaintainingthesystem,andpromptingPMUstaffonthedeadlineforuploadingM&Ereportsintothesystem.


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5.3. GenderandDevelopment(GAD)

72. TheToxic Substances andHazardous andNuclearWastesControlAct (RA6969,which coversmercury)hasgenderawarenesspoliciesinplace,dailytasksandresponsibilitiesareconsidered,and the increasingawarenessofwomen to toxic substances inhazardouswastemanagementarehighlighted.

73. Gender and Development (GAD) considerations will be made an integral part of the projectstrategy in consideration of theGender policies of theGEF,UNIDO,UNEnvironment and theDENR. During the project implementation, women and children who are often involved inmercury handling and use (to be validated via surveys and ocular inspections) will be therecipientsofIECandtrainingsonhealthimpactofmercuryuse.

74. In addition, the projectwill take into considerationUNIDO,UNEnvironment andGEFGenderpoliciesduringitsformulationandimplementation.Activeparticipationofwomeninproposedactivitieswillbe supported.Genderneutralpublicationswillbedesigned.GEFandUNgendermarkers will be applied, and that the project shall be rated for gender relevance. Gendermarkingentailsinclusioninprojectreportingofthefollowingdata:(i)Totalnumberoffull-timeprojectstaff thataremen/women; (ii)Numberof jobscreatedbytheproject thatareheldbymen/women;(iii)Numberofgendersensitivepublicationsproduced

75. In the implementationof theproject, the followingshallbedone inorder to integrategenderdimensioninthewholescopeofprojectmanagement.Thesestepsmaybedistinctactivitiesormaybeincorporatedinthedifferentactivitycomponentsoftheproject.

• Assess and categorize the potential of the project to integrate gender dimension andcontributeintheadvancementofwomenempowermentandgenderequality.

• Collectionandanalysisofsex-disaggregateddataandqualitative informationtounderstandrolesandneedsofwomenandmenintheproject.Thiscanbedonebothattheprojectteamlevelandprojectimplementationlevel.

• Theprojectmust ensure that theproject activitiesmeet the specific needsofwomenandmen. Example for capacity building activities, ensure training curricula and tools aredeveloped to accommodate the different education/skill levels that may exist betweenwomenandmen.

• Incorporate mechanisms to ensure gender balanced representation and participation inproject activities and decision-making processes (target at least 40% of whichever sex isunderrepresented). Example activity: Targeted awareness outreach activity to increasewomen’sparticipationinprojectactivities.

• Develop gender-specific targets or performance indicators that track gender results andimpact. Example target/indicator:Numberof gender sensitivepublicationproducedby theproject.

• Take into account any adverse impacts or risks thatmay affect the equal access to, equalparticipationinand/orequalbenefitfromprojectactivitiesamongwomenandmen.Exampleactivity: Identify if there are any cultural/ religious/legal restrictions that would not allowwomenormentoaccessorparticipateinprojectactivities.

• Ensure equal opportunity for women and men in the management and implementationarrangementsofproject.Exampleactivities:Createtermsofreferenceforprojectstaffthat


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includegendersensitivity/respectfordiversityasacompetencyand/orincludeincentivesforwomentoapply.

• Allocate sufficient financial resources for gender equality and women’s empowermentactivities.TheProjectManagershouldcompleteabasicgendercourse.Also,thereisaneedto hire gender expert consultant to ensure gender issues are addressed duringimplementation; conduct gender equality training; undertake a comprehensive genderanalysis and baseline exercise in the field at project inception. Ensure that at least onememberoftheprojectmanagementteamisknowledgeableaboutgenderissuesandgendermainstreaming.

• Monitor access, participation, and benefits among women and men and incorporateremedial action that redresses any gender inequalities in project implementation. Submitreport regularly on how gender is mainstreamed and ensure that mid-term reviews,assessments,audits,etc.includegenderasspecificcriteria/component.


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6. GRIEVANCEREDRESSSYSTEM

76. Agrievanceredressmechanismfortheproject isnecessaryforaddressing legitimateconcernsofaffected individualsandgroupswhoraise issuesofconcernduringproject implementation.UNIDOhasestablishedmechanismfordealingwithvariouskindsofcomplaints.Figure3showsthe structure of the grievance mechanism of UNIDO which is consistent with the UNEnvironmentrequirements.

77. WhenapproachingUNwithacomplaint,itisacceptedthatthecomplaint“entrypoint”couldbeanyoneofthefollowing:

• UNofficeinthegivencountry;

• UNIDO/UNEnvironmentrepresentativeatcountryorregionallevel;

• RelevantProjectManageratUNIDO/UNEnvironmentHQ;and,

• GEFConflictResolutionCommissionersinWashington,D.C.

78. All complaints through theentrypointsmentionedarechanneled toUNIDOOfficeof InternalOversight Services (IOS), which plays the role of official repository. All complaints will beregisteredinIOS’intakeregisterfortrackinguntilresolution.IOSwillforwardallcomplaintstothe UNIDO Compliance Officer to screen and determine the nature of the complaints. TheComplianceOfficermaintainsrecordsonallcasesandissuesbroughtforward,withdueregardforconfidentialityofinformation.


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Figure2:StructureofUNIDOGrievanceMechanism

Annexes:ENVIRONMENTALANDSOCIALMANAGEMENTFRAMEWORK

ANNEX1INSPECTIONCHECKLISTS• SITESCREENINGCHECKLIST

• ENVIRONMENTALANDSOCIALDUEDILIGENCEFOREXISTINGASGMSITES


PotentialSubprojectSiteScreening:EnvironmentalSiteRiskAssessment

Instruction:Aspartofenvironmentalscreening,vulnerabilityoftheproposedsubprojectsiteaswell as the communities around it to specific environmental hazardswill be assessed. A risk-screeningtemplateisshownbelowwhichmaybeusedtoevaluatetheexistingconditionoftheareas.

Location/Area DateInspected

ContactPerson Inspectedby

LandUseandClassificationoftheArea:

Hazard

ResultofScreeningBasedonHazardandVulnerabilityMap

(RefertoPSR)InformationRequiredfor

HazardAssessment

None LowRisk HighRisk

Earthquakes Earthquakesusceptibility

map(PHILVOCSorMGB)

Liquefaction Liquefactionpotentialmaps

(PHIVOLCSorMGB)

Rain-InducedLandslides

RILsusceptibilitymaps(MGB)

GroundShaking GroundShakingPotential

Map(PHIVOLCS)

GroundRupture Faultlinemaps(PHIVOLCS)

Tsunami TsunamiHazardMap

(PHIVOLCS)

StormSurges Stormsurgeshazardmaps

(MGB)

Typhoons Historicaltyphoonthathit

thearea(PAGASA)

Flooding Floodsusceptibilitymap

(MinesandGeoscienceBureau)


EnvironmentalandSocialDueDiligenceforanExistingASGMSite

Instruction: Below is the checklist of required documents that will be needed in conducting theenvironmentalandsocialduediligenceforanexisting/activeASGMsitewhichwillbeproposedforinclusion as a subproject. The applicable documents will be reviewed to check the existingenvironmentalandsocialissues/risksatthesite.



Information/DocumentRequirement

Specifics Observations/Remarks

(Ticko,whencompleted)

A.InformationonSmall-ScaleMiningSite/Activity

1. Descriptionofsmall-scaleminingsite/activity

• Indicateprocessandtechnologyusedintheminingandprocessingactivities

o

2. Wastesgenerated • Observethetypeofwastesgenerated(i.e.,tailings,emissions,solidwastes)

o

3. Location • Identifyspecificaddress o

B.1EnvironmentalAspects

1.Existingmanagementplans

• Reviewtheproject’senvironmentalmanagementplan(EMP)andenvironmentalmonitoringplan(EMoP)

o

2.Pollutioncontrolsystem

• Describethepollutionpreventionandcontrolfeaturesofthesite(waterpollution,airpollution,solidandhazardouswastes)

• Indicateequipmentinstalledwithspecifications(if,any)

o

3.Environmentalandsocio-economicbenefitoftheproject

• Indicateandquantifyanticipatedbenefitsoftheprojecttotheenvironmentandsurroundingcommunities(i.e.,amountofmercuryusethatwillbeavoided)

o

4.Personnelprotectionequipment

• Indicateexistingpersonnelprotectiveequipmentusedbyworkers

o





5.Training • Listanyformal/informaltrainingtheworkershadonwastemanagement

o

6.ProperWasteManagementPlan

• Reviewifthereisanexistingmethod/procedureonwastehandling,treatmentanddisposal

o

B.2SocialAspects

1.Socialsafeguardsdocumentation

• Indicatethestatusofownershipofthesubprojectarea(miningandprocessingsites)

o

2.Culturalpropertyscreening

• Arethereorweretherecultural,heritage,historicalsitesaffectedbytheminingandprocessingactivities?

o

3.Indigenouspeoplescreening

• ArethereIPsdirectlyandindirectlyaffectedbytheproject?

• IfthereareIPsdirectlyaffected,reviewifthereisanexistingIPdevelopmentplanconsistentwiththerequirementsofNCIP

o

4.GenderandDevelopment

• Indicatenumberofwomen,PWDandchildrendirectlyaffectedbytheproject

o

B.3ProperManagementPlanofHazardousWaste

1. StorageManagementPlan

• Reviewtheplanforthestorageforrawmaterials,residues,by-productsandend-products

o

2. ContingencyPlan • Reviewifthereisacontingencyplanforaccidentalspillsorspillage

o

3. MercuryDisposalManagementPlan

• Reviewifthereisanexistingmercurywastedisposalplan

o

C.ScreeningofPermits

1.Miningpermits • Forsmall-scalemining,reviewexistingpermitgrantedbythePLGU

• For‘minahangbayan’,reviewpermitgrantedbyMGB

o





2.TSDPermit(ifthereisaformalTSDfacility)

• IndicateTSDPermitNo.andvalidity

o

3.PermittoOperateAirPollutionControlDevices

• ThisP/Owillberequiredforgeneratorsexceedingthecut-offforexemptions.

• IndicateValidity

o

4.HazardouswasteregistrationID

• Whenthefacilitygenerateshazardouswastes(i.e.,usedoil),aHWregistrationIDmustbesecuredfromtheEMBregionaloffice)

• ProvideIDNo.andvalidity

o

5.CADCifapplicable • Thiswillberequirediftheproposedprojectsareaisinancestraldomain.

o

6.DischargePermit • Indicatevalidityofthepermit• Indicatelocationand

classificationofdischargingbodyofwater

o

D.OtherDocuments

1.LGUEndorsementorOrdinance

• Thismaybeinaformofmunicipalresolutionsorordinancesupportingtheproject

o

2.Others • Indicatedetails. o


EnvironmentalandSocialDueDiligencefortheWasteStorageFacility



WasteStorageFacility Yes No Remarks

Isthestorageareaaccessible,secured,enclosedbutproperlyventilated?

Are the floors impermeable to liquids, resistantto attack by chemicals, not slippery, andconstructedtoretainspillages?

Doesthestorageareahaveapropersignage?

Are Safety Data Sheets available at the storagefacility?

Are the containers used compatible with theircontents?

Are incompatible waste containers separatedandsegregated?

Arethecontainersproperlylabeledandlegible?

Arethelabelsaccompaniedbyproperplacards?

Areallcontainersproperlyclosed?

Are all containers in good condition withoutleakageordamage?

Have wastes been disposed of within theallowableaccumulationtime?


EnvironmentalandSocialDueDiligenceforWasteTransporter(includingcontractedparty)



Information/DocumentsRequired Available? Status/Remarks

Yes No

DENRTransporterRegistration

*Specify Transporter registration ID no. andvalidityoftheregistration

ContingencyandEmergencyPlan

EmergencyResponse Plan specific to thewastesbeingtransported

ValidcontractwithregisteredTSDFacility

*Specifyvalidityofthecontract

Aretheemergencyresponseequipment(i.e.,Fireextinguishers, PPE, spill kit, etc.) available in thevehicle?

Are the communication equipment available inthevehicle?

Does the transportation vehicle have propersignage,markingsandplacards?

Does the transportation vehicle have sealedflooringinthecargocompartments?

Arethevehiclesingoodmechanicalcondition?


ANNEX2

• ENVIRONMENTALANDSOCIALMANAGEMENTPLAN(ESMP)FOR

PROPOSEDASGMSITE• E&SRISKMONITORING


ENVIRONMENTALANDSOCIALMANAGEMENTPLANforSmall-ScaleMiningActivitiesunderASGMProject

Instruction:Foreachprojectphase,componentoractivity,potentialimpact/risksshouldbelistedandprovidedwithproposedmitigatingmeasuresandtheresponsibilities.

EnvironmentalandSocialRisks

MitigatingMeasures TechnicalDetails Location Timeline Responsibility $CostofMitigation

Workers’safetyduringminingandprocessingofore

Provisionandwearingofappropriatepersonalprotectiveequipment(PPEs)

Dustmask,andeyeprotectionagainstfugitivedustanddebris;safetyharness;provisionoftrainingonoccupationalhazard

Atthesubprojectsitebothforminingandprocessing

Mustbeensuredallthetimeevenbeforemercury-interventionisintroduced

Workers’group $500persite(dependson#ofworkers)

Noisegenerationduringminingandprocessingoforefromuseofdrillers,blastersandmillingequipmentcouldposedirecthazardtoworkersandsurroundingcommunities

ProvisionandwearingofappropriatePPEs

Useofappropriateearmuffsorplugs(forworkers)especiallywhendoingactivitiesgeneratingnoise>60dB

Miningandprocessingareasespeciallythosewithnoiselevelsexceedingprescribedstandards

Mustbeensuredallthetimeevenbeforemercury-interventionisintroduced

Workers’group $50persiteforpurchaseofearmuffs/earplugs

Considernoisesuppressioninequipment

Preferuseorpurchaseofequipmentfittedwithmufflersorsilencers

Miningandprocessingareas

Wheneverapplicableandpossible

Workers’group Forvalidation

Maintainequipmentonaregularbasistoreducenoisegeneration

Well-maintainedequipmenttendtoproducelessnoise



Workers’group Includedinoperatingexpenses

Considerregulatingscheduleofactivitiestolessenimpacttosurroundingcommunities

Limitworkinghoursandoperationofequipmentemitting>80dBonlyatdaytimetolessennuisancetocommunity



Workers’groupinconsultationwithcommunityandbarangayleaders

Minimal




Dustgeneratedduringminingandprocessing(includingduetovehiclemovement)mayimpacthealthofworkersandsurroundingcommunities

Controlofsourceandfugitiveemissionsaroundworkareas

Regularwatersprayinginworkareasgeneratingdustandprovisionofcoverstostockpiledsoils

Miningandprocessingareasincludingroadsusedbytransportvehicles

Allthetimeofoperations

Workers’group Minimal

Installappropriatedustcollectionandcontrolequipment

Ifnecessary,provisionofscrubbers,filtersanddustcollectors




WearingofappropriatePPEsforworkers

Dustmasksandgogglesmaybeprovidedtoworkers




Generationofsmokeandothergaseouspollutantsfromtheoperationofminingandprocessingequipmentandvehicles

Installappropriateemissioncontrolforequipment

Installappropriatescrubberstoequipmentgeneratinggaseousemissions;regularmaintenanceofequipmentandvehiclestolessenemissions

Miningandprocessingareasincludingaccessroads



WearingofappropriatePPEsforworkers

Appropriatemasksandgogglesmaybeprovidedtoworkers




Wastewater(bothprocessanddomestic)whennotproperlytreatedandmanagedmayaffectwaterqualityofsurroundingwaterresources

Provisionofappropriatesanitationfacilitiesforworkers

Adequatetoiletfacilitieswithseptictanksmustbeprovided

Miningandprocessingareasincludingworkers’camp


Workers’groupincoordinationwithbarangayofficials

~$500persite

Provisionofappropriatewastewatercollection,storageandtreatment

RunoffandprocesswatermustbecollectedandtreatedtocontrolBOD,oilandgreaseandsuspendedsolids



Workers’groupincoordinationwithbarangayofficials

~$1,000persite




Generationofwasteproductsfromtheuseofmercuryinoreprocessingespeciallyduringprojecttransitiontomercury-freetechnologies

Immediatelydiscouragetheuseofinappropriateprocessingofmercury;forresidualwastesalreadygeneratedpriortheproject–maintainappropriatestorageandrecommendprocessingbyaccreditedTSDcontractors

Theprojectwillpromotemercury-freeprocessingtechnologies;forresidualactivitieswhichproducemercurywastes,thewastesmustbehandledaccordingtoDENRguidelines(i.e.,CCOofmercury).

Processingareas Attheonsetoftheprojectafterengagementwiththebeneficiaries

Workers’groupwithUNIDO,UNEnvironment

Forvalidation

Generationofsolidwastesfromtheoperationofminingandextractionactivitiesbothcomingfromworkers’andtheprocesses

Theremustbeasolidwastemanagementplanagreeduponbytheworkersforhandlingminingandprocessingsolidwastesincludinggarbage.

Solidwastemanagementplanwilldefinestorage,collection,segregation,recycling,reuseanddisposalproceduresforalltypesofwastesgeneratedinthearea.

Miningandprocessingareasincludingworkers’camp

Attheonsetoftheprojectafterengagementwiththebeneficiaries

Workers’groupwithUNIDO,UNEnvironmentandthehostcommunity

~$2,000persite

Potentialimpactofthesubprojecttoindigenouspeoplewhoaredirectlyandindirectlyinvolvedintheminingandprocessingofore

ConsultationwiththeIPinstrictcoordinationwithNCIP;potentialdevelopmentofindigenouspeoples’plan(IPP)

TheIPPmustbeconsistentwiththeNCIPguidelinesandmustcomplementanyexistingIPPinthearea.


Priortotheimplementationofanyinterventionwhichwouldaffectthesocio,economicandculturalconditionsoftheIP

ProponentinconsultationwithNCIP,IPgroupsandthehostcommunity

Forvalidation

Note:Risksandmitigatingmeasureswereidentifiedduringtheearlypartoftheprojectpreparationwhenthespecificprojectsiteshavenotyetidentified.ThesemeasureswillhavetobevalidatedtowardstheendofthePPGorontheearlypartofprojectimplementation.


ENVIRONMENTALANDSOCIALRISKMONITORINGPLANforSmall-ScaleMiningActivitiesunderASGMProject

Instruction:Foreachprojectphase,componentoractivity,potentialimpact/risksshouldbelistedandprovidedwithappropriatemonitoringprocedures.


Parameterstobemeasured

MonitoringMethods Frequency DetectionLimit&Thresholds

Location Responsibility

Workers’safetyduringminingandprocessingofore

#ofreportedaccidentsorman-hourslostduringaccidentsincludingnear-missincidents

Reviewofrecords Daily 0loss Miningandprocessingarea

Workers’group

Noisegenerationduringminingandprocessingoforefromuseofdrillers,blastersandmillingequipmentcouldposedirecthazardtoworkersandsurroundingcommunities

NoiselevelsindB(A)scale

UseofnoisemeterandcomparewithexistingoccupationalandsafetyguidelinesinthePhilippines

Weekly 0.5dBordependingontheavailablenoisemetertobeused

Miningandprocessingarea

Workers’group

Dustgeneratedduringminingandprocessing(includingduetovehiclemovement)mayimpacthealthofworkersandsurroundingcommunities

ConcentrationofTSPorwheneverpossiblePM10

Useofhigh-volumesampler;laboratoryanalysisandcomparingwithexistingprescribedambientTSPorPM10levels

Wheneverpossible Dependingonthemethodofanalysisusedbutmustbeconsistentwithappropriatestandards

Miningandprocessingareaandworkers’camp

Workers’group

Generationofsmokeandothergaseouspollutantsfromtheoperationofminingandprocessingequipmentandvehicles

Concentrationofgaseousemissions(suchasCO,SO2andNOx)

Useofhigh-volumesampler;laboratoryanalysisandcomparingwithexistingprescribedambientandsource-specificstandards

Wheneverpossible Dependingonthemethodofanalysisusedbutmustbeconsistentwithappropriatestandards

Miningandprocessingarea

Workers’group



Parameterstobemeasured

MonitoringMethods Frequency DetectionLimit&Thresholds

Location Responsibility

Wastewater(bothprocessanddomestic)whennotproperlytreatedandmanagedmayaffectwaterqualityofsurroundingwaterresources

LevelsofBOD,TSS,oilandgrease,andtotalandfecalcoliform

Watersamplingateffluentdischarges;laboratoryanalysis;andcomparisontoexistingeffluentstandards

Wheneverpossible DependingonthelimitsoftheequipmentbutmustbewithintheprescribedlimitsoftheStandardMethodsorequivalentASTM


Workers’group

Generationofwasteproductsfromtheuseofmercuryinoreprocessingespeciallyduringprojecttransitiontomercury-freetechnologies

Mercuryinwaterdischargedandsediments

Watersampling;laboratoryanalysisandcomparisonwithexistinglimitsonmercurybothforenvironmentalandhealthprotection

Atleastonceeveryquarterformonitoringpurposes

DependingonthelimitsoftheequipmentbutmustbewithintheprescribedlimitsoftheStandardMethodsorequivalentASTM


Workers’group

Generationofsolidwastesfromtheoperationofminingandextractionactivitiesbothcomingfromworkers’andtheprocesses

Kgofwastesgeneratedorsegregated

Segregation;inspection Everyweek Noresidualsleftundisposed


Workers’group

Potentialimpactofthesubprojecttoindigenouspeoplewhoaredirectlyandindirectlyinvolvedintheminingandprocessingofore

#ofIPsaffectedorwhowouldbenefitfromtheproject

ConsultationusingNCIPguidelines

Annual - Miningandprocessingareaandworkers’camp

Workers’grouptogetherwithNCIP,IPgroupsandhostcommunity