Halafononga Ki Ha Ngatai Tu’uloa Tonga: Pathway to Sustainable Oceans (TongaFish Pathway) Project World Bank: P164941 Environmental and Social Management Framework VERSION: Final, March 2019 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Table of Contents 1 Introduction .......................................................................................................................................... 6 2 Purpose and Scope of the ESMF ........................................................................................................... 7 3 Description of the Project Components and Typology of Sub-Projects ............................................... 8 3.1 Project Subcomponents ................................................................................................................ 8 3.2 Types of Subproject Activities ..................................................................................................... 11 4 Environmental and Social Context...................................................................................................... 12 4.1 Economy...................................................................................................................................... 12 4.2 Coastal and Marine Ecosystems ................................................................................................. 12 4.3 Fisheries ...................................................................................................................................... 12 4.4 Aquaculture................................................................................................................................. 13 4.5 Marine Protected Areas .............................................................................................................. 13 4.6 Special Management Areas (SMAs) ............................................................................................ 13 4.7 Gender Roles in Fishing ............................................................................................................... 16 4.8 Climate Change and Natural Hazards ......................................................................................... 17 5 Legal, Policy Framework and Regulatory Requirements .................................................................... 19 5.1 World Bank Policies..................................................................................................................... 19 5.2 Applicable Legislation, Policies and Regulations......................................................................... 20 5.2.1 International Institutional Context ..................................................................................... 20 5.2.2 National context.................................................................................................................. 21 5.3 Gap Analysis ................................................................................................................................ 27 6 Potential Environmental and Social Impacts and Measures to Mitigate ........................................... 29 6.1 Cumulative Impacts .................................................................................................................... 39 7 Environmental and Social Screening of Subprojects .......................................................................... 41 7.1 Overview of Screening Process ................................................................................................... 41 7.2 Screening of Subprojects ............................................................................................................ 41 8 Land Access and Resettlement Policy Framework ............................................................................. 45 8.1 Introduction ................................................................................................................................ 45 8.2 Background ................................................................................................................................. 45 8.3 Word Bank Requirements ........................................................................................................... 45 8.4 Relevant Tongan Legal Framework ............................................................................................. 46 8.5 Country Context .......................................................................................................................... 47 8.6 TongaFish Pathway Project Land Requirements......................................................................... 50 8.6.1 Project Subcomponent Activities ........................................................................................ 50 Page 2 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 8.7 Responsibilities ........................................................................................................................... 51 8.8 Mitigation Measures ................................................................................................................... 52 8.9 Summary ..................................................................................................................................... 55 9 Responsibilities for Safeguards Implementation ................................................................................ 56 9.1 Key Responsibilities..................................................................................................................... 56 9.2 Capacity Building ......................................................................................................................... 58 10 Consultation and Disclosure ............................................................................................................... 59 11 Grievance Redress Mechanism........................................................................................................... 60 12 Annexes............................................................................................................................................... 61 Annex I TongaFish Pathway Project Stakeholder Engagement Plan ...................................................... 62 Annex II Tongan Environmental Approvals Framework ......................................................................... 70 Annex III Voluntary Land Donation Procedures ...................................................................................... 71 Annex IV MEIDECC Environmental Approval Process ............................................................................. 76 Annex V Ministry of Fisheries Safeguards Officer Position Terms of Reference .................................... 78 Annex VI Checklist 1 – Screening Process ............................................................................................... 83 Annex VII Checklist 2 - Construction and Renovation Screening Checklist ............................................ 84 Annex VIII Checklist 3 – All Other Projects Screening Checklist.............................................................. 87 Annex IX Terms of Reference for Technical Advisory ............................................................................. 92 Annex X Guideline 1 - ESIA for Aquaculture ........................................................................................... 93 Annex XI Guideline 2 - MoF Vessels ........................................................................................................ 94 Annex XII Guideline 3- SMA Community Investments ............................................................................ 95 Annex XIII Summary of Pre-Appraisal Consultations .............................................................................. 99 Annex XIV Grievance Mechanism ......................................................................................................... 123 Annex XV Physical and Cultural Chance Find Procedure ...................................................................... 126 Page 3 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 List of Abbreviations CBD Convention on Biological Diversity CCMP Coastal Community Management Plans CEO Chief Executive Officer CMS Convention on the Conservation of Migratory Species of Wild Animals CSU Central Services Unit EA Environmental Assessment ECOP Environmental Codes of Practice EEZ Exclusive Economic Zone EHS Environment, Health and Safety EIA Environmental Impact Assessment EMP Environmental Management Plan ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESSIP Environmental and Social Safeguard Instruments for Pacific Island Countries FFA Pacific Islands Forum Fisheries Agency FMAC Fisheries Management Advisory Committee FPIC Free, prior and informed consultation GDP Gross Domestic Product GRM Grievance Redress Mechanism GoT Government of Tonga IDA International Development Association IUU Illegal, unregulated and unreported (fishing) MAFFF Ministry of Agriculture and Food, Forests and Fisheries MEIDECC Ministry of Meteorology, Energy, Information, Disaster Management, Environment, Climate Change and Communications MFNP Ministry of Finance and National Planning MLNR Ministry of Lands and Natural Resources MoF Ministry of Fisheries MOF Ministry of Finance MOI Ministry of Infrastructure MPA Marine Protected Area NBSAP National Biodiversity Strategies and Action NFC National Fisheries Council NGO Non-government Organisation OP Operational Policy (of the World Bank) PDO Project Development Objective PIC Pacific Island Countries PMU Project Management Unit RPF Resettlement Policy Framework SEP Stakeholder Engagement Plan SMA Special Management Area SPC Pacific Community SPREP Secretariat of the Pacific Regional Environment Programme TAC Total Allowable Catch TFSP Tonga Fisheries Sector Plan TKA Tokelau Arrangement TOR Terms of Reference WB World Bank Page 4 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 List of Figures Figure 1 - Eua SMAs .................................................................................................................................... 14 Figure 2 - Ha’apai SMAs .............................................................................................................................. 15 Figure 3 - Tongatapu SMAs ......................................................................................................................... 15 Figure 4 - Vava’u SMAs ............................................................................................................................... 16 Figure 5 - Key Subproject Screening Steps.................................................................................................. 41 Figure 6 - Land Acquisition Process ............................................................................................................ 49 Figure 7 - Ministry of Fisheries Organizational Chart ................................................................................. 56 List of Tables Table 1 - Proposed Subproject Activities under TongaFish Pathway.......................................................... 11 Table 2 - Ineligible Activity List.................................................................................................................... 44 Table 3 - List of relevant Tongan legislations .............................................................................................. 46 Table 4 - Component Activities: Land Requirements and Potential Risks .................................................. 54 Page 5 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 1 Introduction The Government of Tonga (GoT) is seeking funding from the World Bank for the Tonga: Pathway to Sustainable Oceans project (TongaFish Pathway) (World Bank P164941) to improve management of selected fisheries and aquaculture in the Recipient’s territory. The TongaFish Pathway program is structured with an implementation period of six years, which may be followed by a second project of six years depending on the success of this Project, government priorities, and the availability of financing. The two-phased program design is expected to provide sustained investment in Tonga’s fisheries sector needed to comprehensively support fisheries management policy and legislation, capacity building, strategic resource management and development efforts as well as inclusive stakeholder collaboration across the selected fisheries. Specifically, the Project supports priority activities of the Tonga Fisheries Sector Plan (TFSP). The TongaFish Pathway project is proposed to be financed through International Development Association (IDA) grant resources: USD 10 million in National IDA and Regional IDA. Page 6 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 2 Purpose and Scope of the ESMF This Environmental and Social Management Framework (ESMF) sets out the principles, policies and procedures for environmental and social protection that the GoT will employ in the context of TongaFish Pathway. The rationale of using an ESMF is that specific activities for all projects/phases of the project were not identified during the project preparation and therefore, not all of the environmental and social impacts are known. The Environmental and Social Safeguard Instruments for Pacific Island Countries (ESSIP) were used to guide the development of this ESMF. The purpose of this ESMF is to provide a framework to guide the environmental and social screening of project activities during project preparation and implementation. This is to ensure that potential adverse environmental and social impacts that may be generated as a result of each project activity are identified, and appropriate safeguard instruments are prepared to avoid, minimize, mitigate and, in such cases where there are residual impacts, offset adverse environmental and social impacts. The ESMF outlines the project, its components, the environmental and social context, possible environmental and social impacts, and their management. It provides an overview of the types of subproject activities to be assessed, the environmental and social screening process and the subproject- specific safeguard instruments that will be prepared once the project locations and other details are known. Monitoring and reporting is also addressed to ensure ongoing adherence to environmental and social safeguards. Annexes include a Stakeholder Engagement Plan (Annex I), Screening Forms and Guidelines for Activities (Annexes VI-XII), and a Voluntary Land Donation process (Annex III). The Ministry of Fisheries (MoF) has the overall responsibility for ensuring that environmental and social issues are adequately addressed within the project cycle. The ESMF meets the requirements of the relevant World Bank Operational Policies and laws of Tonga to describe the procedural responses to identifying and managing impacts throughout the project. The World Bank safeguard policies are available at www.worldbank.org/safeguards. Page 7 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 3 Description of the Project Components and Typology of Sub-Projects The Project Development Objective (PDO) of TongaFish Pathway is to improve management of selected fisheries and aquaculture in the Recipient’s territory. 3.1 Project Subcomponents The Project is designed in two six-year phases and organized in the following four components which mirror the organizational structure of MoF. The proposed TongaFish Pathway components and Sub- components are: Component 1: Strengthening Fisheries Governance The objective of this component is to improve fisheries governance in Tonga’s tuna longline, deepwater snapper and inshore commercial fisheries through priority interventions, including licensing and registration, and implementing fishing rights frameworks. This will ensure that Tonga meets its regional and international obligations and commitments as well as improves compliance with Tonga’s domestic legislation. The component focuses on achievement of two strategic priorities for the three selected fisheries: (i) improving fisheries compliance, and (ii) strengthening licensing and rights-based management. This component is organized into two sub-components to support the two strategic priorities, as follows: a) Sub-component 1.1: Strengthening Fisheries Compliance Capacity. This sub-component will support MoF to improve fisheries compliance and strengthen licensing and rights-based management for inshore fisheries and fisheries in the Recipient’s territorial sea, by: (i) reviewing and updating the Recipient’s Operational Compliance Strategy; (ii) reviewing and updating the Recipient’s national plan of action for illegal, unreported and unregulated fishing; (iii) undertaking a scoping study into the use of electronic monitoring and electronic reporting in fisheries; (iv) undertaking a review of the Recipient’s fisheries observer program including updating the Recipient’s observer manual; (v) undertaking an assessment of options for community engagement in SMA compliance activities; (vi) establishing a program to identify and register commercial fishers; (vii) developing a rights-based fisheries management framework to support the aforementioned commercial fisher registration program; and (viii) providing equipment and facilities to the Ministry of Fisheries to undertake inshore fisheries compliance activities. b) Sub-component 1.2: Monitoring, Control and Surveillance in Tonga’s Exclusive Economic Zone. This sub-component will support fisheries monitoring, control and surveillance activities in the Recipient’s exclusive economic zone through the provision of fuel for joint patrols by MoF. Component 2: Strengthening the Knowledge Base for Fisheries and Aquaculture. The objective of this component is to improve fisheries science for informed management decision-making to underpin the three selected fisheries and two aquaculture species supported by the Project. The component is organized in three sub-components: a) Sub-Component 2.1: Improving Fisheries Science for Decision-making of the Selected Fisheries. This sub-component will support MoF to improve fulfillment of its obligations in fisheries monitoring and stock assessment to FFA, SPC and WCPFC. Specific work includes Page 8 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 conducting monitoring and assessment studies for improving fisheries science for decision making in offshore and inshore commercial fisheries. It is expected that by the end of the Project, the tuna longline, deepwater snapper and inshore commercial fisheries will have their catch and effort data systematically recorded annually. b) Sub-Component 2.2: Developing High Potential Aquaculture Technologies. This sub- component will support Tonga’s small aquaculture industry, prioritizing two well established aquaculture products - mabé pearls and giant clams - to expand their positive economic impacts. Specific activities will include developing high potential aquaculture technology for mabé pearls and giant clams, by: (i) reviewing and updating the mabé pearl industry development plan; (ii) supporting development of the Mabé Pearl Industry Association including strengthening governance, and providing operational support, training, and tools and equipment; (iii) upgrading equipment and facilities at the Sopu Mariculture Centre; and, (iv) providing training and capacity building of Ministry of Fisheries staff. The Project will specifically target women for extension services. The Project will support MoF and the Mabé Pearl Industry Association to recruit and support at least eight new women-owned mabé pearl businesses (out of 30 total producers). Increasing women owned portion of this sector from 0% to 25% will be a considerable contribution of the Project. c) Sub-Component 2.3: Strengthening Tonga’s Special Management Area Program. The objective of this sub-component is to support MoF in strengthening and expanding the SMA program. The Project will specifically support the Ministry of Fisheries in strengthening its SMA program, by: (i) reviewing and updating SMA management plans; (ii) providing training and capacity building activities to Ministry of Fisheries staff to support improved SMA management and compliance with SMA management plans; (iii) providing training and equipment to Coastal Community SMA Management Committees to strengthen SMA management; (iv) providing training and support to Ministry of Fisheries staff to improve SMA monitoring and evaluation developing a community based SMA monitoring program; and (v) reviewing and strengthening SMA establishment procedures. Component 3: Component 3: Investing in Sustainable Fisheries Management and Development. The objective of this component is to strengthen sustainable fisheries management and development of the selected fisheries. Currently, there is strong legislation for management of the tuna longline and deepwater snapper fisheries. However, an effective policy and regulatory framework to support aquaculture development, specifically for mabé pearl and giant clam, does not yet exist nor is there an inshore commercial fishery management plan. The latter is identified as a priority activity in the TFSP, and acknowledged at the highest levels of government, with Cabinet recently approving development of an inshore commercial fishery management plan which the Project will finance. This component will support sustainable commercial fishery and aquaculture management and development, by: a) Fisheries Management: (i) reviewing and updating existing commercial fisheries management plans; (ii) developing and implementing an inshore commercial fishery management plan; (iii) developing a code of conduct for responsible fisheries; b) Aquaculture Development: To advance on priority work in aquaculture development identified in the TFSP, the Project will support the following key activities for mabé pearl and giant clam: (i) undertaking a review of aquaculture development plans; (ii) developing Page 9 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 aquaculture biosecurity measures; and, (iii) conducting aquaculture market analysis to understand requirements and opportunities for growth. c) Fisheries Development: (i) developing marketing strategies for domestic operators for offshore tuna longline and deep water snapper fisheries; and (ii) developing a master plan and conducting a feasibility study to identify specific fisheries infrastructure needs. The prioritized public infrastructure identified would not be financed under this Project, rather the Project would seek to crowd in private sector financing to develop these assets in tandem to implementation of phase I of the Project as well as consider key infrastructure to be financed under the proposed second phase of the Project to further complement private sector support. Component 4: Supporting Effective Project Management. This component will ensure effective and efficient Project management through supporting the Project Management Unit (PMU). These funds will provide needed resources for Project management, financial management, procurement, monitoring and evaluation, and safeguards. Specifically, this component will provide technical and operational assistance to: (a) the PMU on Project management and implementation; and (b) MoF and MOF to facilitate inter-agency engagement and cooperation, development partner coordination, and coordination of training and capacity development activities under components 1, 2 and 3 of the Project. Page 10 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 3.2 Types of Subproject Activities The general types of Subcomponent activities can be summarized into the following general activities which will be assessed and screened for their environmental and social risks: Table 1 - Proposed Subproject Activities under TongaFish Pathway Project Subtype Description Technical Advisory These may include regulatory reviews, feasibility studies, fisheries management plans, fisheries science and ecosystem monitoring, capacity building, and a Fisheries Sector Master Plan and Feasibility Study. MoF assets These may include small scale construction and/or renovation activities, such as: • Maintenance of fisheries infrastructure. • Upgrade of aquaculture facilities. • Compliance operations sheds. • Building/office renovations. Purchase of patrol and compliance vessels. Development of new small scale aquaculture facilities. Special Management Area Strengthening and expansion of the existing SMA program. (SMA) strengthening and Expansion of the SMA network with a goal to implement 5 more implementation SMAs in 6 years taking the total to 46. Small scale infrastructure Construction e.g. community meeting halls. development/assets for SMA communities. Community assets - Vessels. Community assets - Buoys, ropes and anchors for SMA boundaries. Community assets - Fish Aggregating Devices (FADs). Page 11 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 4 Environmental and Social Context 4.1 Economy Given the scarcity of natural resources, Tonga’s development hinges predominantly on the utilization of its biodiversity both in the marine and terrestrial environment1. Agriculture remains the mainstay of the economy employing various technologies for subsistence and commercial farming. Fisheries development has increasingly become important given the need for foreign earnings and development of the local economy. Tourism is a rising sector utilizing the pristine nature of the local environment as its main attraction. In common with many other Pacific Island Countries (PICs), Tonga is heavily dependent on its fisheries and ocean resources for food, transport, economic development and culture. Like other PICs, Tonga’s economy is characterised by a lack of economies of scale due to its small size, costly market access due to its distance from markets, a weak manufacturing base and limited labour pool. Rural communities are particularly dependent on agriculture and fisheries and many are highly vulnerable to extreme weather events and market changes. Isolation and scale also means that Tonga and rural communities face challenges in access to markets, high costs of transport and energy. About 25% of households in Tonga are estimated to currently live below the basic needs poverty line and poverty is most prevalent in the more isolated island communities heavily reliant on subsistence and cash fishing and farming. 4.2 Coastal and Marine Ecosystems Coastal and marine ecosystems such as mangroves, coral reefs, seabed grasses and lagoon areas serve important functions in Tonga, such as spawning and feeding areas for many species, habitats for others and offer coastal protection from storm surges and tidal activities. The ability of Tongan coastal and marine ecosystems to perform these functions have been severely impaired by poorly planned development activities including infrastructure, land reclamation, sand mining, waste disposal and settlements. Pollution from land-based activities including residues of agricultural chemicals threatens not only soil micro-organisms but also coastal and marine habitats and species. Discharges of ballast water from ships not only pollute coastal environments but also often introduce new species that often become invasive2. 4.3 Fisheries In 1875, the constitution became effective which declared that all land and sea belonged to the King. Tonga's sea areas were defined by Royal Proclamation in 1887 to be all islands, rocks, reefs, foreshores and water lying between 15 and 23.5 degrees south latitude and between 173 and 177 degrees west longitude. In other words, Tonga was defined as being all that inside a boxed area and that all geographic features are owned by the King. The Land Act of 1927 further reinforced this ownership. With respect to fishing, this has resulted in two consequences: (1) all Tongans have equal fishing access to all Tongan waters and (2) any traditional claim of local control or management authority over fishing areas was abolished3. 1 Department of Environment. 2006. The Kingdom of Tonga, 2003. First National Report. 2 Tonga Department of the Environment, 2006. Kingdom of Tonga, National biodiversity Strategy and Action Plan 3 Gillett, R. 2017. A Review of Special Management Areas in Tonga. FAO Fisheries and Aquaculture Circular No. 1137 Page 12 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Both commercial and subsistence fishing is undertaken in Tonga. Overall commercial fisheries jobs represent a modest 2% of national employment, however like other PICs, subsistence fishing is critical for large portions of the population. The commercial fishery targets tuna, deepwater snapper, commercial sport, seaweed and the aquarium trade. Subsistence fisheries common throughout Tonga target mostly reef fish by a variety of methods such as night spearfishing, gillnetting, hand-line fishing and the use of fish fences. Small boats of various types are used including canoes, and both outboard and inboard engine-powered small vessels. In the past, mullet, beche-de-mer (sea cucumber), lobster and giant clam have had commercial value but severe population declines have resulted in these species being mostly absent from both commercial and subsistence fishing. Some commercial fisheries have virtually collapsed while some species are close to extinction. Fishery exports are dominated by tuna and deep-water snappers (red snapper (Etelis coruscans) and pink snapper (Pristopomoides filamentosus)) which are air-freighted fresh mainly to Hawaii. The inshore fishery is dominated by four main methods: diving/spear fishing, gill netting, bottom fishing and reef gleaning. Spear fishing targets reef fish while the registered bottom fishing vessels in Tonga target deep water snappers, groupers, trevallies, jacks and jobfish. Reef gleaning is traditionally undertaken by the women of the community and surveyed coastal households showed that most women carried out some form of gleaning. 4.4 Aquaculture Currently Tonga has aquaculture programs focusing on pearl-wing oyster (Pteria penguin) farming, giant clam (Tridacna derasa) cultivation, live rock and coral cultivation and the cultivation of other edible species such as urchins (Tripneustes sp.) and seaweed (‘Limufuofua’). Mozuku (Cladosiphon sp.). The Ministry of Fisheries has developed an aquaculture program in Vava’u primarily focusing on the customary significance and improvement of livelihood that this program can bring. Mabé pearl farming is currently the most promising aquaculture activity in Tonga. 4.5 Marine Protected Areas A number of marine parks and reserves have been established under the Parks and Reserves Act and are managed by the Environment Department. They include Hakaumama’o Reef, Pangaimotu Reef, Monuafe Island Park and Reef, Ha’atafu Beach, Malinoa Island. ‘Eua National Park has also been established on ‘Eua Island. 4.6 Special Management Areas (SMAs) Unlike the situation in other Pacific Island countries, coastal communities in Tonga have no preferential access to adjacent resources. This open-access situation may have worked reasonably well in the era of subsistence fisheries, but more recently has collided with commercial pressures and the carrying capacity of inshore resources. In the mid-1990s the idea arose that coastal communities should be given powers to regulate fisheries in their nearby marine areas. That concept gained momentum and in the early 2000’s a change in Tonga’s fisheries legislation allowed for fisheries management by local communities, through Special Management Areas (SMAs). Since that time the Ministry of Fisheries has worked with coastal communities to establish 41 SMAs in Vava’u, Ha’apai, and Tongatapu4. 4 Gillett, R. 2017. A Review of Special Management Areas in Tonga. FAO Fisheries and Aquaculture Circular No. 1137 Page 13 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Key features of SMAs include: (i) only registered persons and fishing vessels are authorized to fish in an SMA; (ii) no harvesting of any marine organisms for the aquarium industry (e.g., coral, small invertebrates, fish); (iii) no-take zones; and (iv) prohibition of destructive fishing methods. Communities request the establishment of an SMA and after the necessary planning, mapping, survey and consultations, ministerial approval is given and the community establishes its SMA management committee to implement an agreed SMA plan. SMA committees are required to have women and youth representatives on them. Consultations take place with neighbouring communities to discuss and mitigate impacts, for example allowing them to continue to fish in the SMA but only for home consumption. National consultation and awareness raising also takes place through TV and newspaper campaigns. Once approved, the SMA community is responsible for managing compliance and enforcement. The Ministry of Fisheries provides capacity building, training and technical assistance such as research. Maps of SMAs The following maps depict the extent of the existing SMA network. Red are the existing SMAs, yellow are current SMAs being established, green are SMAs that have expressed interest in joining the SMA program and white are coastal communities that have not yet formally expressed interest to join. Figure 1 - Eua SMAs Page 14 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Figure 2 - Ha’apai SMAs Figure 3 - Tongatapu SMAs Page 15 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Figure 4 - Vava’u SMAs Overall, the program appears to have been very successful. Outcomes have been found to include fostering a sense of stewardship in the community, excluding fishing practices of ‘outsiders’ and potentially preventing the introduction or increase in the use of destructive fishing methods5. However, studies have found that depletion of fish stocks might be exacerbated initially as fishers move to less harvested areas, with long-term benefits accruing only when areas build up standing populations of large, spawning fish. In addition, changes in fish biomass are not always predictable and the impact of no-take reserves on fish stocks can be limited by large-scale chronic impacts such as habitat degradation, pollution, and climate change6. Furthermore, while the community approach and the SMA plans are based on sound principles, preliminary analyses suggest that the measures taken under the SMA plans are insufficient to prevent further deterioration of the community’s fisheries resources. Overfishing is prevalent within SMAs on all species groups: finfish, invertebrates and particularly with regard to high value sessile invertebrates such as beche-de-mer and giant clams (two species already depleted). In some cases, the SMA ‘fishing rules’ are simply inadequate for rebuilding fish stocks as communities’ market increasing proportions of their catches to generate cash income. In other cases, the SMA’s ability to control illegal fishing both by community members or outsiders is weak and needs strengthening7. 4.7 Gender Roles in Fishing As identified in the Fisheries Sector Plan, women have virtually no role in the large-scale fisheries. However, women (and children) account for a substantial proportion of the gleaning (hand collection on reef top) of which the surplus to auto-consumption is marketed by women. Giant clam, octopus and 5 Webster, Cohen, Malimali, Tauati, Vidler, Mailau, Vaipuna, Fatongiatau, 2017. Detecting fisheries trends in a co- managed area in the Kingdom of Tonga. Fisheries Research, 186(P1), 168-176. 6 Smallhorn-West PF, Bridge TCL, Malimali S, Pressey RL, Jones GP. 2018. Predicting impact to assess the efficacy of community-based marine reserve design. Conservation Letters. 2018;e12602. 7 The Kingdom of Tonga: Fisheries Sector Plan 2016-2024. Page 16 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 cockles form a significant part of the subsistence diet and are of particular importance for women fishers, for example, in some areas women account for over 75% of invertebrate harvests8. There is provision for women's representation on the SMA committees and women have a voice with respect to their allotted SMA task. 4.8 Climate Change and Natural Hazards Over the course of the 21st century Tonga’s surface air temperature and sea surface temperature are projected to continue to increase (very high confidence); wet season rainfall is projected to increase (moderate confidence); the intensity and frequency of days of extreme heat are projected to increase (very high confidence); the intensity and frequency of days of extreme rainfall are projected to increase (high confidence); and mean sea-level rise is projected to continue (very high confidence)9 . Changes to the ocean currents (including an increase in strength of the South Pacific gyre) and reductions in nutrient supply are also expected to occur (due to increased stratification and shallower mixed layer)10. The fisheries sectors will be significantly affected by climate change. The projected changes in average and extreme temperature and precipitation, are slightly offset by the fact that Tonga has the potential to diversify oceanic fisheries, coastal fisheries (nearshore) and aquaculture. However, the combination of increased sea temperature and ocean acidification will result in a gradual deterioration of the coral reefs, altered reef ecology, a likely reduction in the abundance and diversity of reef species and a change in the fish catch composition. Some effects could be positive, but the scientific consensus favors a reduction in reef productivity with respect to most commercial and food fish species. It is possible that tuna migration patterns could alter to either benefit or disadvantage Tonga. The main risk to the marine environment is the loss of a high proportion of Tonga’s coral reefs due to a combination of rising ocean temperatures, ocean acidification, overfishing exploration for deep sea minerals and pollution. Over a third of Tonga’s coral reefs are already threatened by overfishing (moderate risk or higher)11. Climate change is also likely to negatively impacts aquaculture. Commodities grown in coastal waters, such as pearls and clams, are projected to shown declines by 210012. Furthermore, inshore flooding is likely to increase and increasing intensity of storm surges will adversely affect coastal communities, as well as fisheries sector infrastructure. Tonga and its fishing communities are also in the front line of climate change - threatened by erratic rainfall, extreme weather events, sea-level rise, and loss of coral reefs from rising oceans temperatures, ocean acidification and local environmental degradation. In 2014, Tropical Cyclone Ian hit Tonga, mainly affecting the Ha’apai group and causing economic and physical losses estimated to be US$49.5 million (or about 11% of Tonga’s GDP). Models suggest that, on average, Tonga may incur losses of US$15 million per year (4% of GDP) due to natural disasters, including earthquakes and cyclones. In February 2016, tropical cyclone Winston was the most intense tropical cyclone in the southern hemisphere on record, as well as the strongest to make landfall in the southern hemisphere, hitting Tonga’s north twice in one week. In February 2018, severe tropical cyclone Gita was the most intense tropical cyclone to 8 The Kingdom of Tonga: Fisheries Sector Plan 2016-2024. 9 The Kingdom of Tonga: Fisheries Sector Plan 2016-2024. 10 Pacific Community (SPC), 2011. Vulnerability of Tropical Pacific Fisheries and Aquaculture to Climate Change. Summary for Pacific Island Countries and Territories. 11 The Kingdom of Tonga: Fisheries Sector Plan 2016-2024. 12 Pacific Community (SPC), 2011. Vulnerability of Tropical Pacific Fisheries and Aquaculture to Climate Change. Summary for Pacific Island Countries and Territories. Page 17 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 impact Tonga since reliable records began. Tonga was the hardest-hit country in Gita’s path, with severe damage occurring on the islands of Tongatapu and ʻEua; two fatalities and forty-one injuries occurred in the kingdom. At least 171 homes were destroyed and more than 1,100 suffered damage. Page 18 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 5 Legal, Policy Framework and Regulatory Requirements 5.1 World Bank Policies The Project will help improve environmental and natural resource quality in Tonga that will in turn increase economic benefits generated by the goods and services drawn from healthy fisheries and related ecosystems. As such, the overall impacts of the Project are expected to be positive and the Project is classified as Category B. Relevant Bank policies triggered for the TongaFish Pathway program include OP 4.01 Environmental Assessment; OP 4.04 Natural Habitats; OP 4.36 Forests; OP 4.10 Indigenous Peoples; and OP 4.12 Involuntary Resettlement. Detailed information on Bank safeguard policies are available at http://go.worldbank.org/4D2JSWFIW0. The safeguard operational policies (OPs) that are triggered by the program are: • OP 4.01 Environmental Assessment – This policy requires the conduct of an environmental assessment (EA) of projects/programs proposed for Bank financing to help ensure that they are environmentally and socially sound and sustainable. This is the umbrella policy for the Bank's environmental and social safeguard policies. The aim of the TongaFish Pathway project is to help improve environmental and resource quality in Tonga in order to increase the economic benefits generated by the goods and services from healthy coastal and ocean ecosystems. As such, the overall impacts are expected to be highly positive. None of the proposed physical investments or technical advisory include activities that would generate significant risk or irreversible impacts. Some investments may generate moderate, site-specific and time bound adverse impacts which can be readily mitigated through standard mitigation measures, if screened and managed properly. • OP 4.04 Natural Habitats - This policy aims to support the protection, maintenance and rehabilitation of natural habitats and promotes the conservation of natural habitats for long-term sustainable development through a precautionary approach. The project aims to strengthen the shared management of oceanic and coastal fisheries and the habitats upon which they depend. Most of the program activities will be in the marine areas (coastal and ocean) of Tonga, with variable states of modification and exploitation, but overall will have high biodiversity. The ESMF contains measures to properly screen and manage the risk of any unforeseen adverse environmental impact on natural habitats, including critical natural habitats, as well as measures to enhance positive environmental impacts. • OP 4.36 Forests - The policy aims to reduce deforestation, enhance the environmental contribution of forested areas, promote afforestation, reduce poverty and encourage economic development. For Tonga, communities who engage in the SMA programme may choose to conserve or manage mangroves as part of their resource management plan. Specific sites and activities in Tonga, if any, will be identified during the project implementation. The ESMF includes a screening form to ensure that the negative impacts on mangrove forests of any downstream activities are addressed, and any positive impacts are enhanced. TOR for the studies proposed will integrate policy requirements of OP 4.36. • OP 4.10 Indigenous Peoples - This policy aims to protect the rights and culture of Indigenous Peoples who may live in the project area. In Tonga, the population is almost entirely homogenous and indigenous. The policy is triggered but a separate instrument will not be required as the Page 19 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 beneficiaries are overwhelmingly Tongan. The key elements of an Indigenous Peoples’ Policy Framework have been integrated into the ESMF, Stakeholder Engagement Plan and project design. Key for this project is the consultation processes and integration of community level knowledge and cultural norms into the design process. • OP-4.12 Involuntary Resettlement - This policy aims to restrict the involuntary taking of land or any form of economic displacement of populations affected by or participating in World Bank financed activities; and where displacement is unavoidable, to assist persons to improve (or at least restore) their incomes and standards of living; and to identify and accommodate the needs of vulnerable groups. Section 8 concluded that OP4.12 is triggered as a precautionary measure to ensure land issues are addressed in all future studies under Components 1, 2 and 3. for the following reasons: no land will be involuntarily acquired for the project; crown land will be allocated for Project use where possible; and where this is not possible, a voluntary lease arrangement will be sought with the land owner, or, for community asset purposes (such as community halls or jetties), land may be voluntarily donated by the owner. To manage this issue, the ESMF includes a process for screening land impacts at each site, in consultation with all affected parties. Any livelihood impacts not related to land acquisition will be managed through the existing SMA implementation process which includes consultation within the community and with neighboring communities. 5.2 Applicable Legislation, Policies and Regulations 5.2.1 International Institutional Context Tokelau Arrangement. Tonga is a signatory of the Tokelau Arrangement (TKA). The TKA provides a framework for development of cooperative zone-based management of the South Pacific Albacore Tuna fishery, including wider implementation of the Harvest Strategy agreed in 2013. The purpose of the TKA is to foster agreement on and implementation of stock management measures for South Pacific Albacore Tuna, whether targeted or as bycatch, within the EEZ of participant countries, based on the framework of the species Harvest Strategy. The TKA came into effect in October 2014. Convention on Biological Diversity (CBD) (1998). The CBD has three main goals: conservation of biodiversity; sustainable use of biodiversity; and the fair and equitable sharing of benefits arising from the use of genetic resources. The CBD was opened for signature at the Earth Summit in Rio de Janeiro in 1994 and was ratified by Tonga in 1998. As part of its obligations to the CBD, Tonga has developed a National Biodiversity Strategies and Action Plan (NBSAP) in which Tonga identifies several actions under the CBD in respect to the protection of marine ecosystems. Convention on the Conservation of Migratory Species of Wild Animals (CMS). The CMS aims to conserve terrestrial, marine and avian migratory species throughout their range. It is an intergovernmental treaty under the United Nations Environment Program concerned with conservation of wildlife and habitats on a global scale. Tonga is not yet a party to the CMS, however it has signed a Memorandum of Understanding (2010) with regard to Pacific Island Cetaceans. Within Tongan waters there are 14 species that are related to the CMS, including the humpback whales, and several shark and turtle species. Convention for the Protection of the World Cultural and Natural Heritage (2004). This convention founded the UNESCO World Heritage Site List (the List). To be a site on this List, it must be a place of special cultural or physical significance. The programme catalogues names and conserves sites of outstanding cultural or natural importance to the common heritage of humanity. Tonga became a Page 20 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 signatory to this convention in 2004. It does not have any approved sites on the List but does have two tentative items for consideration for the List. Forum Fisheries Agency Convention (1979). The FFA Convention is the founding document of the Pacific Islands Forum Fisheries Agency, which was established and signed by 12 countries in 1979 in Honiara, Solomon Islands. Since its inception, this membership has increased to 17 countries. The FFA consists of the governing body - the Forum Fisheries Committee (FFC), which meets annually to approve the budget and work programme, and the FFA Secretariat. Tonga plays an active role in the FFA, and the current Director General is a Tongan citizen and a former Ministry of Fisheries employee. The central function of the FFA is to enable member countries to manage, conserve and use the tuna resource through enhancing national capacity and strengthening regional solidarity. United Nations Convention on the Law of the Sea (UNCLOS). The convention lays down a comprehensive regime of law and order in the world’s oceans and seas establishing rules governing all uses of the oceans and their resources. It enshrines the notion that all problems of ocean space are closely interrelated and need to be addressed as a whole. With specific regard to the protection and preservation of the marine environment, Part XII includes the following Articles: • 192: a general obligation of States to protect and preserve the marine environment. • 204: requires States to endeavour, as far as possible to monitor the effects of any activities that they permit in order to determine whether these activities are likely to pollute the marine environment. • 206: provides for States to conduct Environmental Impact Assessments of planned activities that have the potential to cause substantial pollution or significant and harmful changes to the marine environment. Western and Central Pacific Fisheries Convention (WCPFC). The WCPFC entered into force on 19 June 2004 and is based on the 1995 UN Fish Stocks Agreement. It addresses the specific characteristics of the western and central Pacific Ocean tuna fisheries and established conservation and management measures by consensus of if members. Tonga is an original signatory of the convention and is an active participant in the Commission and its scientific and technical committees. 5.2.2 National context Tonga has a well-established regulatory framework that provides measures to protect and preserve the environment from abuse, pollution and degradation, to manage the environment for sustainable development, and to promote environmental awareness. There is no stand-alone policy on Environment. Instead, policies are fragmented amongst different sectors for coordinating implementation and reporting. This includes the national biodiversity action plan, waste management strategy, land use policy, forest management policy, an energy roadmap, environmental impact assessment (EIA) process and a consolidated climate change adaptation and disaster management13 initiative, all of which addresses key environmental challenges. Legislation concerning the protection and preservation of the environment is found in a number of Acts and is the responsibility of a number of different Ministries according to their focus. Amongst these, are the following key legislations: 13 The Kingdom of Tonga: Fisheries Sector Plan 2016-2024. Page 21 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 • Environmental Impact Assessment Act 2003 and Environmental Impact Assessment (EIA) Regulations 2010 • Environmental Management Act 2010 • Fisheries Management Act 2002 • Aquaculture Management Act 2003 • Marine Pollution Prevention Act 2002 • Parks and Reserves Act 1976 (revised 1988) • Bird and Fish Preservation Act 1988 • Public Health Act 2008 The Ministry of Meteorology, Energy, Information, Disaster Management, Environment, Climate Change and Communications (MEIDECC) is the principal agency responsible for the management of the environment, and in administering environmental-related legislation in Tonga. It provides environmental assessments, reports and recommendations to the responsible Ministry, as well as being mandated under the Environmental Impact Assessment Act 2003 and the EIA Regulations 2010 to require environmental impact assessments and impose conditions for development projects within Tonga. Activities funded under the TongaFish Pathway project will follow the GoT’s established procedures and associated guidelines established under the Environmental Assessment Act 2003, and environmental legislation of the relevant Ministry. 5.2.2.1 Environmental Approvals Framework In broad terms, the environmental approval framework in Tonga involves: • Land acquisition and lease approval (Ministry of Lands and Natural Resources “MLNR”); • Building Permit approval (Ministry of Infrastructure “MOI”); and • Environmental approval (“MEIDECC”). The Environmental Approvals Framework is detailed in Annex II. 5.2.2.1.1 Land Acquisition and Lease Approvals Section 8 contains a land access review and resettlement policy framework; a voluntary land donation process is included in Annex III. 5.2.2.1.2 Building Permit Applications The “Building Control and Standards Act No.39 of 2002” Section 10 requires every person intending to erect a building to obtain a building permit, which in this context, means applying to the MOI. Minor structural repairs are exempt from building permits. 5.2.2.1.3 Environmental Approvals Proposals for all development activities must be notified to the MEIDECC for approval under the Environmental Impact Assessment Act 2003 and Environmental Impact Assessment Regulations 2010. The Secretariat and the Minister determine whether the proposed development is a “minor” or a “major” project, and this determination is to be advised to the proponent within 30 days. Proponents of major projects are required to submit a full Environmental Impact Assessment for review by the Secretariat. If the Project is deemed to be a minor project, approval is granted usually under the provisions of an Environmental Management Plan and the Project may proceed. The environmental approval process is summarised in Annex II. Page 22 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 5.2.2.2 Special Management Area’s (SMAs) Coastal Community Management Plans. Coastal Community Management Plans (CCMP) are made under the Fisheries Management Act 2002 and Fisheries (Coastal Communities) Regulations 2009. Tonga’s Fisheries Management Act 2002 gives the power to the Minister responsible for fisheries to declare any area of the fisheries waters and corresponding subjacent area to be a SMA for purposes of coastal community management, application of certain conservation and management measures, subsistence fishing operations or other specified purpose. That declaration specifies: • The persons or groups of persons or types or classes of vessels that may be allowed to fish or carry out a related activity; • The methods of fishing that may be used; • The terms and conditions of fishing or a related activity; • Any activity that may be prohibited, regulated, exempted from regulation, subject to specified terms and conditions; • Any other necessary conservation or management measure that apply; • The Minister shall, in designating a community to be a coastal community, take into account the concerns of communities living adjacent to the Special Management Area; • Any person who fishes or carries out a related activity in any Special Management Area in contravention of any Order made under this section shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. • The Secretary of the ministry is to maintain a record of Special Management Areas and any coastal community responsible for such Special Management Area or parts thereof. Fisheries Management (Conservation) Regulations 2008 have one regulation concerning SMAs, specifically the SMA boundaries: • The boundary of a special management area is to be measured seaward from the high-water mark of a coastal community; and not exceed a distance of 2500 metres from the high-water mark or a depth of 50 metres. • Where the boundaries of any two coastal communities will overlap, the boundary is to be the equidistance between such communities. • The Minister may, in consultation with that community’s Coastal Community Management Committee and the Fisheries Management may alter the boundary for the purposes of ensuring habitat, conservation, management, sustainable utilisation and development of fisheries resources. The Fisheries (Coastal Communities) Regulations 2009 includes provisions for: • Establishing SMA boundaries. • The SMA-related responsibilities of the Ministry. • Functions of the Coastal Community Management Committee. • The requirement that the Committee prepare a plan prepare a for the conservation, management, sustainable utilisation and development of fisheries resources for the SMA. • Fish habitat reserves within the SMA. Page 23 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 • The establishment and maintenance of a Fishing Vessels Register and a Fishers Register, the latter containing the names and details of persons authorised by the Committee to fish in the SMA. • Authorisations to fish in the SMA (subsistence fishing permit, small scale fishing permit, cladosiphon seaweed harvesting permit, yacht fishing permit). • Fish Habitat Reserve. • Giant clam and Lobster Protective Zone • Conditions of fishing in the SMA. 5.2.2.3 Other relevant legislation: Act of the Constitution of Tonga. The Act establishes the Crown’s ownership of the beach frontage including all the area from fifty feet above high-water mark, to allow for the government to lease any portion of the beach frontage for erecting a store, jetty or wharf. Aquaculture Management Act 2003. This Act provides for the control (including authorisations) for aquaculture, management and development of aquaculture and related activities, whether on land or in any aquatic area including marine areas of the Kingdom. Bird and Fish Preservation Act 1988. This Act defines species of birds and fish (including turtles) that are protected from being killed, shot, captured, taken or destroyed within their defined protected time period. The Act also defines protected areas within which it is prohibited to: • Discharge or cause to be discharged into the protected area any effluent or noxious or toxic liquid or substance. • Erect any harbour, wharf, pier, jetty or other building works, temporary or permanent. • Cut, damage, remove or destroy any mangrove. Fisheries Management Act 2002. This Act provides for the sustainable management and extraction of fisheries resources and governs all aspects of the fishery industry within Tonga. It recognizes the importance of protecting marine ecosystems as a whole. This Act also governs the creation and management of SMAs within the Kingdom. Regulations for the provision of this Act include those for local fisheries, for processing and export of fisheries resources, for the conservation of fisheries resources and the designation of SMAs. Marine Pollution Prevention Act 2002. This Act provides for the prevention of and response to marine pollution and the dumping of wastes and other matter and to give effect to international marine pollution conventions. The Act, as a whole provides, for marine pollution prevention, marine pollution response, marine casualties, liability and compensation for oil pollution damage and regulates dumping and incineration of waste at sea. Parks and Reserves Acts 1976 (revised 1988) (CAP 89). This Act provides for the establishment of a Parks and Reserves Authority and for the establishment, preservation and administration of parks and reserves. It enables the Parks and Reserves Authority to seek permission to declare any area or land or sea to be a protected area. The attached schedules to this Act define five marine reserves: Hakaumama’o Reef, Pangaimotu Reef, Monuafe Island Park and Reef, Ha’atafu Beach and Malinoa Island. The Parks and Reserves Declaration Amendment (1992) established the ‘Eua National Park on ‘Eua Island. Page 24 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Public Health Act 2008. This act deals with public health services in Tonga. It outlines controls and functions of the Minister of Health in regard to the control of air pollution, noise pollution and health and safety at work. Waste Management Act 2005. Tonga had established a Waste Authority (under the Waste Management Act 2005) to address the problem of solid waste collected under a tariff scheme. Sewage is handled by septic tank systems. Of particular note is the effort to arrest the degradation of Fanga’uta Lagoon. 5.2.2.4 Other relevant plans and policies: Tonga Fisheries Sector Plan. The Tonga Fisheries Sector Plan (TFSP) for 2016 - 2024 presents the strategic direction and guides investment planning for Tonga’s commercial and coastal community fisheries. The TFSP identifies three long-term goals for the sector: (i) sustainable community fisheries and use of coastal marine ecosystems; (ii) profitable, sustainable and responsible commercial fisheries and aquaculture; and (iii) efficient, knowledge-based government services that collaborate effectively with industry and civil society. The TFSP has secured strong government ownership and will require firm coordination by the MoF to effectively implement priority investments in the prescribed multi-phased approach. The Tonga Strategic Development Framework 2015–2025 (TSDFII). The Tongan Strategic Development Framework 2015-2025: A more progressive Tonga: Enhancing Our Inheritance (TSDFII), presents the Kingdom’s new development framework. TSDF II provides an overarching framework for the long-term development of Tonga. Sector plans, ministry corporate plans and annual management plans detail actions to deliver these strategies and their respective budget allocations. The preparation of the Fisheries Sector Plan was a contribution to the TSDFI. Oceans Management and Planning. On 22 July 2015, Tonga’s Cabinet decided to initiate a project to develop a holistic spatial plan for Tonga’s ocean (Cabinet Decision 716). It was decided that the relevant ministries would collaborate to implement the marine spatial plan. The National Environment Coordinating Committee (NECC) was identified to oversee the process and the Department of Environment has established a Marine Spatial Planning Technical Working Group, comprised of technical experts within relevant ministries of the NECC, to progress the Cabinet decision. Marine Spatial Planning. The Government of Tonga is taking an Integrated Marine Spatial Planning approach, which will use and bolster existing consultative and coordination structures to limit the additional burden upon both the government and her people of this new planning process. The Marine Spatial Planning Technical Working Group (Oceans 7) was established as Tonga’s marine spatial planning technical working group. It is co-chaired by three ministries (MEIDECC, MNLR and MAFFF) that prepared the original cabinet paper and also includes four other ministries. The Ocean’s 7 group has been preparing a Marine Spatial Plan for Tonga. The plan includes waters from the high-tide mark out to the Exclusive Economic Zone. It is a process that goes beyond the traditional ways of planning and managing activities on an individual sectoral basis. Integrated marine spatial planning is the only way that Tonga can achieve both its economic and social goals alongside its aspirations for retention of the cultural and traditional values and uses tied to her ocean resources. Integrated marine spatial planning will support sustainable and environmentally sensitive development and shall provide the Kingdom of Tonga, for the first time, a framework that facilitates integrated strategic and holistic planning in relation to all activities within its coastal and marine area. Page 25 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 In partnership with Macbio, the Oceans 7 have prepared a draft Marine Spatial Plan for the Kingdom of Tonga and will consult with communities during the latter part of 2018. The plan is scheduled to be in place by 2020. Tonga Deepwater Fisheries Management Plan 2017–2019. The Tonga Deepwater Fishery Management Plan (TDFMP) 2017-2019 is the third plan for this fishery and is based on the Tonga Deepwater Fisheries Management Plan 2014 -2016 and the previous Snapper Fisheries Management Plan (SFMP) 2007. The Tonga Deepwater Fishery Management Plan guides the management and development of the deep slope resources of snapper, grouper and emperors in Tonga fisheries waters. The plan covers the fisheries activities and entities that engage in the Tongan drop line bottom, deep-water drop line and deepwater snapper fisheries and includes exploratory and test fishing and marine scientific research. Tonga National Tuna Fisheries Management and Development Plan (2018–2022). The National Tuna Fisheries Management and Development Plan meets the requirements of the Fisheries Management Act, which provides for the conservation, management and sustainable use and development of the fisheries resources in Tongan fisheries waters and ensures the implementation of management and development. The plan’s goal is to manage Tonga’s tuna fisheries resources through an ecosystem- based, precautionary and rights-based approach to maximise the benefits to Tonga people while ensuring the biological and economic sustainability of the fishery. Tonga National Sea Cucumber Fishery Management and Development Plan (undated). The Sea Cucumber Plan relates to the sea cucumber fishery in Tonga and is comprised of three components – fishing activities, processing activities and exporting industries including the export product that is known as bêche-de-mer. Tonga National Aquaculture Management and Development Plan (2014–2019). The plan was designed to be used as a guideline for the Ministry of Fisheries and future stakeholders to establish commercial aquaculture in Tonga. The plan establishes mechanisms for the development of a licensing procedure and selection, licensing criteria and establishment of committees. Environmental Management Plan for Fanga’uta Lagoon System. The Environmental Management Plan (EMP) for Fanga’uta Lagoon System was prepared following local community concerns raised over the future of the lagoon system: catching smaller and fewer fish; rubbish and litter; loss of mangroves and erosion that threatens properties; loss of seagrass; sedimentation; pollution; and loss of species and habitats. The EMP was developed to manage these impacts by regulating use through zoning. The EMP was designed to improve existing conditions in the lagoon and to ensure that the lagoon provides the maximum goods and services in the future. Joint Action Plan on Climate Change Adaptation and Disaster Risk Management (JNAP). Tonga has a combined climate change and disaster risk management action plan. The Joint Action Plan on Climate Change Adaptation and Disaster Risk Management (JNAP) consolidates the climate change and disaster management activities and focuses on several key actions: (i) improved governance, including decision- making and policy frameworks; (ii) improved technical knowledge and popular education; (iii) vulnerability assessments; (iv) efficient, renewable energy; and (v) strong national and international partnerships. Implementation of the TongaFish Pathway project will need to contribute to and be closely coordinated with these activities through existing arrangements. Page 26 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Climate Change Policy 2016 – A Resilient Tonga by 2035. The purpose of the Tonga Climate Change Policy is to provide a clear vision, goal and objectives to direct responses to climate change and disaster risk reduction over the next five years. The policy and associated revised Joint National Action Plan for Climate Change Adaptation and Disaster Risk Management are not intended to replace or duplicate sector-specific policies and plans. Rather, the policy is intended to provide an overarching context and guiding framework with policy objectives that for the most part will require multisector coordination. This recognises that climate change is the single biggest issue that will determine the future of Tonga over coming decades and will require a ‘whole of Tonga’ level of cooperation and coordination. National Biodiversity Strategies and Action Plan (NBSAP). Tonga has developed a National Biodiversity Strategies and Action Plan (NBSAP) in which Tonga identifies several actions in respect to the protection of marine ecosystems. The biodiversity action plan targets healthy and sustainably managed priority marine ecosystems and habitats including coral reefs, slope and seamount fisheries areas, priority spawning and feeding sites. Each objective is supported by a range of strategies and actions. Actions include: • Increasing the number of marine conservation areas • Promoting sustainable management of marine biodiversity. 5.3 Gap Analysis The gap analysis presents the gaps between the applicable Bank safeguard policies and Tonga’s laws, standards and regulations and how the gaps will be filled on this project. In current general development practice in Tonga there are no operative social safeguards. The absence of operative social safeguard mechanisms in general development practice means that the focus of current social safeguards capacity is normally at the project level. Customary and formal grievance mechanisms are approved on a project-by project basis. A GRM is a requirement of World Bank Policies. To fill this gap a Grievance Redress Mechanism (GRM) has been developed and is included in Annex XIV of the ESMF to enable issues to be addressed in a transparent and responsive manner. Neither the EIA Act nor the EIA Regulations make any specific reference to public consultation. Public involvement at the review stage is a requirement of a major project EIA under the Environmental Impact Assessment Regulations 2010. However, the mechanisms are not defined. Public consultation including formal consultation with affected persons is not compulsory in the environmental assessment process for minor projects. Further, there is no specific policy in Tongan law on consultation with affected peoples. However, customary practice is to consult with all affected and potentially affected people. The disclosure of all documents is required under the Bank’s safeguards policies. Activities under the TongaFish Pathway project will require participation and consultation of affected persons for prepared safeguard instruments and disclosure of documents as set out in the Stakeholder Engagement Plan (SEP) found in Annex I. There are no specific provisions for vulnerable people in Tongan law. However, such practice is embedded in the customs and traditions of Tonga. Under World Bank Safeguards, particular attention is paid to the needs of vulnerable groups. Activities will require participation and consultation of vulnerable groups as set out in the SEP found in Annex I. Projects assessed to be minor projects under Tongan law are not required to provide an EIA. Approval is granted with or without conditions and the Project may proceed, usually under the provisions of an Page 27 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Environmental Management Plan (“EMP”) which is binding on the Proponent. The EMP addresses environmental management and protection measures and will be specific to the development under consideration. Farms for the propagation of marine, estuarine or freshwater organisms are listed as major projects under the EIA Act 2003 and would require the development of an environmental impact assessment. Under World Bank OP4.01, there is flexibility as to the instrument required, depending on the nature and the scale of risks. The project will complete an ESIA where Tonga law requires it, and incorporate any World Bank documents as required, such as an ESMP. The processes will be harmonized as much as possible, so that the requirements of Tonga and the World Bank will be met with any safeguard instrument that is prepared. The minimum will be that Tongan law will be adhered to and then any gap filling for World Bank policies and processes will be done. The greatest requirement in terms of safeguards instruments will prevail. For example, where EIA is required under Tongan law, and ESMP for the World Bank, the EIA would prevail and an ESMP integrated in the ESIA. Page 28 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 6 Potential Environmental and Social Impacts and Measures to Mitigate The overall impact of the TongaFish Pathway program is expected to be highly positive and none of the eligible investments on the menu of options include activities that would generate significant risk or irreversible adverse environmental or social impacts. Project typologies that have been identified as requiring environmental and social screening and management during implementation include 1) Technical Advisory (regulatory reviews, feasibility studies, fisheries management plans, fisheries science and ecosystems monitoring, capacity building, and a Fisheries Sector Master Plan and Feasibility Study); 2) MoF assets (maintenance of fisheries infrastructure, upgrade of aquaculture facilities, compliance operations sheds, building/office refurbishment, vessels, new aquaculture facilities); 3) Special Management Area (SMA) strengthening and implementation; and 4) small scale infrastructure/assets for SMA communities (community meeting halls, vessels, buoys, fish aggregating devices (FADs)). The impacts of these activities can be readily mitigated through standard mitigation measures, if they are screened and managed properly. The following tables provide a preliminary analysis of the type of project activities identified, potential social and environmental impacts that may result from the project activities, key mitigation methods for residual impacts, and safeguard tools that may need to be required. Page 29 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Activity Significant Potential Impacts Key Mitigation Methods Safeguard Tools Technical Advisory General policy, Lack of citizen / stakeholder engagement Sub-component 1.1(iv) include health N/A regulatory and leading to ill-informed policy not meeting the and safety measures and stakeholder management advice: needs of the industry or communities. engagement in the TA. regulatory reviews, market analysis, Longer term issues of unfair outcomes or Sub-component 3(a)(iii) include health feasibility studies, loss of livelihoods or subsistence and safety guidelines. fisheries management opportunities for vulnerable plans/frameworks. people/communities if no integrated social Sub-component 3(b)(ii) to develop impact assessment or socio-economic biosecurity management strategies to assessment. avoid / minimize future incursions. Longer term issues such as biosecurity Sub-component 3(c)(i) environmental incursions or ecosystem changes/impacts if and social management guidelines to there is no integrated environmental impact be prepared to influence future assessment. investments in aquaculture. Recommendations for future investments in As a minimum, include environmental physical infrastructure (e.g. small or large- and social safeguards clauses and the scale aquaculture) that could: change land requirement for meaningful ownership and land use requiring stakeholder and citizen engagement resettlement, create ongoing water into the consultants Terms of pollution, increase safety risks to water Reference (TOR) and activities and users, change foreshore environments, affect review the approaches and outcomes livelihoods and subsistence lifestyles. for compliance with the ESMF and the World Bank policies. Changes to livelihood opportunities and subsistence sources of protein from changes For TA influencing downstream in fisheries management. physical investments: Include environmental and social screening and scoping processes or preliminary impact assessments in the TOR, to be prepared by specialists. Page 30 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Activity Significant Potential Impacts Key Mitigation Methods Safeguard Tools For fisheries management plans, aquaculture development etc., include ecological impact assessment (particularly of new species) and socio- economic impact analysis (particularly of vulnerable groups) and citizen engagement in the TOR, to be prepared by specialists. Aquaculture extension Downstream impacts that are contrary to Best practice and environmental and N/A projects good environmental management and social management included in community well-being. process. Ensure extension projects are gender-equitable and involve Aquaculture facilities such as pilot farms may stakeholder engagement principles / need an EIA under Tongan law. consistent with SEP. Aquaculture capacity Downstream impacts that are contrary to Include health and safety, and N/A building projects good environmental management and environmental and social best community well-being. practices into training. Citizen engagement, using Tongan cultural norms, when developing the program. Training and capacity Downstream impacts that are contrary to Include health and safety, and N/A building programs for good environmental management and environmental and social best SMA Committee community well-being. practices into training. Citizen members and engagement, using Tongan cultural communities. norms, when developing the program. Page 31 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Activity Significant Potential Impacts Key Mitigation Methods Safeguard Tools Investigations into Downstream investments in infrastructure. Include Environmental and Social N/A future developments: Specialist on the Master Plan team. Fisheries Sector Master Include Environmental and Social Plan and Feasibility assessment in the Fisheries Sector Study Master Plan and Feasibility Study and in recommendations for future investments. Safeguards Officer contributes to writing of the TOR and review of deliverables to check for compliance with ESMF and World Bank Policies. Page 32 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Activity Significant Potential Impacts Key Mitigation Methods Safeguard Tools MoF Assets Small scale construction General construction impacts such as Waste minimization and management Construction and/or renovation of pollution from improperly stored and measures detailed in Waste EIA or ESMP (WB) as defined existing buildings, such disposed waste, pollution from discharge of Management Plan. through the screening as: sediment, nuisances from dust and noise, process. hazardous substance spills e.g. oil, health, Health and Safety management plan - Maintenance of safety risks for workers and/or community will be required. Renovation fisheries infrastructure. ECOP as defined through the - Upgrade of Asbestos may be present in old buildings. Building inspection that identifies screening process. aquaculture facilities. whether asbestos is present prior to - Compliance operations demolition/ construction. Asbestos sheds. containing materials to be - Building/office wrapped/contained to avoid creating refurbishment. dust and buried in a demarcated area in an approved landfill. Purchase of patrol and Health and safety risks for vessel operators Project design contains strategies to EHS Plan compliance vessels and users, especially those who work in improve safety in the sector for remote areas. example, the communication system identified and safety equipment for Specifications of vessels are inadequate for observers and fisheries officers. purpose. Vessels meet all requirement including Vessel operators are not properly trained. safety specifications and are operated by trained, and where required, qualified persons. Vessels are maintained and stocked with safety equipment to international standards. All users are trained to operate safety equipment, and safety procedures are followed every outing. Page 33 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Activity Significant Potential Impacts Key Mitigation Methods Safeguard Tools Development of small Discharges from aquaculture facilities. Treatment prior to discharge. EIA (Tonga) incorporating an scale aquaculture associated ESMP (WB). facilities. Community safety issues e.g. drowning from Fence all facilities. unfenced ponds. Identify Crown Land as a priority Land acquisition. (consult with Lands Dept). Otherwise identify land owner willing to enter into a lease. Page 34 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Activity Significant Potential Impacts Key Mitigation Methods Safeguard Tools Special Management Area (SMA) Strengthening and Implementation Strengthening and Negative reaction to perceived fairness of The SMA manuals to be prepared will Stakeholder Engagement Plan implementation of the funding allocations for the 20 selected SMAs manage the impacts of the SMA existing SMA program: who will receive a kit of equipment from expansions. The manuals will include Grievance Redress Mechanism MOF under the Project. consultations, engagement, GRM, (complaints handling process). environmental monitoring, safeguards Changes to livelihood opportunities and monitoring and oversight etc. Special disruption of subsistence sources from consideration should be given for changes in fisheries in SMA community and gender equity, landlocked in non-SMA communities. communities, vulnerable groups, non- take users, tourism and commercial Conflict between communities. operators. Changes to access for commercial fishers and Continue the existing regular adjacent communities. consultation and meaningful engagement approaches of MoF, using Transfer of overfishing to new areas e.g. Tongan cultural norms of deliberation overexploitation of unprotected areas and consensus (Refer to the SEP). adjacent to SMA’s. Provide an acceptable grievance Community lack resources to police SMA. mechanism (complaints handling process) for affected groups. Cumulative social impacts from many SMA eventually occupying large areas of the Fish surveys and habitat monitoring on inshore areas, closing out fishing SMA and adjacent areas. opportunities to land-locked (or non-SMA) communities and possibly non-take activities Support, equipment and training (whale watching, diving). provided to participating communities for management, monitoring and surveillance activities. The review of SMA should include a risk assessment of the social and Page 35 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 environmental impacts of each SMA, and cumulative impacts where this may be an issue within or beyond the lifetime of the project (more detail in Section 6.1). The regulations and policies will need to address these issues. Any technical outputs need to ensure these impacts are addressed. Strategic Environmental Assessment as part of future SMA planning is also discussed in Section 6.1. Page 36 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Activity Significant Potential Impacts Key Mitigation Methods Safeguard Tools Small Scale Infrastructure Development/Assets for SMA Communities Minor infrastructure for General construction impacts such as Consult with land owner to confirm EIA or ESMP (WB) as defined SMA communities e.g. pollution from improperly stored and land lease or voluntary land donation through the screening community meeting disposed waste, pollution from discharge of for community land use purposes. VLD process. halls sediment, nuisances from dust and noise, is common in Tonga for small hazardous substance spills e.g. oil, health community assets, through Chance find procedure (Annex and safety risks for workers and/or consultation and agreement. VLD XV) as defined through the community. agreement or land lease to be in place screening. prior to works commencing. Damage to physical cultural resources, including graves. Waste minimization and management measures detailed in Waste Unable to find suitable land or get Management Plan. agreement from land owners, causing delays or conflict. Consult with land owners and occupiers regarding the potential for existing PCR and ensuring these are avoided, and otherwise follow chance find procedure. Minor assets for SMA Health and safety risks for vessel operators Vessels meet all requirement including EHS Plan communities: and users, especially those who work in safety specifications and are operated Vessels remote areas. by qualified persons. Specifications of vessels are inadequate for Vessels are maintained and stocked purpose. with international standard safety equipment e.g. flares and lifejackets. Vessel operators are not properly trained. All users are trained to operate safety equipment, and safety procedures are followed every outing. Page 37 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Activity Significant Potential Impacts Key Mitigation Methods Safeguard Tools Minor assets for SMA Death or drowning or near drowning during Health and Safety training for all EHS Plan communities: installation or maintenance. personnel including divers. Divers have Buoys, ropes and appropriate qualifications. anchors for SMA Disturbances to sea bed / coral from Locate buoy moorings on sand, not live boundaries mooring / anchor and marine debris. coral. Regular maintenance of FADs. Minor assets for SMA Death or drowning or near drowning during Health and Safety training for all EHS Plan communities: installation or maintenance. personnel including vessel operators FADs and FAD deployers. FADs get lost or break their moorings causing damage to reefs, or ocean debris. FADs are community asset and are managed as part of the SMA. If not managed properly can lead to Community are trained in fish stock overfishing. management as part of SMA Planning. Regular maintenance of FADs. Page 38 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 6.1 Cumulative Impacts Cumulative impacts are changes in the environment resulting from the combined, incremental effects of human development activities, environmental change processes and/or physical events. The activity that is most likely to result in cumulative impacts that need to be managed is the expansion of the SMA program. Under this component, the number of SMAs will increase from 41 currently, to 46 over 6 years under this project, with possibly more funded under separate projects. The scheme is the primary policy approach of the Government to manage fish stocks and fishing activities and has also proven to be popular in coastal communities. Most of the current SMAs are individual and not located next to another SMA. The recent hotspots for SMA establishment are in Ha’apai and Vava’u as a number of communities have already established SMAs, have SMAs in the pipeline or have expressed an interest in having an SMA. However, new SMAs are mostly being proposed in Tongatapu. The main cumulative impacts that may result from increasing the number of SMAs and need to be considered include: • The continued transfer of overfishing to new areas outside of the SMA’s, leading to overexploitation of unprotected areas adjacent to SMA’s. This will become more of a problem as the number of SMA’s continues to increase and less unprotected area exists. • The cumulative impact of restricting access to resources to commercial fishers who may then overfish other areas. Because fishing for commercial purposes is not allowed in the SMA, this may cause commercial fishers to accumulate in areas not protected, increasing the risk that those increasingly smaller areas become overfished. Options will become more and more limited as the SMA program expands. • The cumulative impacts of restricting access to resources on adjacent communities e.g. land- locked communities who do not have their own SMA. Land-locked communities will have less and less access or more restricted access to coastal fishing areas as the number of SMAs increases and may cease fishing for subsistence or commercial activity as a result. The SMA system already has in place some methods for managing the cumulative impacts of the SMA network. For example, the Fisheries Management (Conservation) Regulations 2008 include regulations regarding the SMA boundaries, and mapping and consultations with neighboring communities are already an integral part of the SMA implementation process. During consultations affected adjacent communities have the opportunity to be involved in the process and discuss their concerns, such as no longer being able to fish in the SMA. Communities can, and regularly do, adopt mitigation measures which accommodate consultation feedback, for example allowing non SMA community members (e.g. in adjacent community) to access the SMA for personal consumption, but not for commercial purposes. Furthermore, proposed revisions to the legislation to be developed under this project would allow 3-4 communities, including land-locked communities, to join and establish one SMA. This will give the opportunity for land-locked communities to join the SMA program. MoF also works with communities who ask for alternative livelihood opportunities such as aquaculture, in order to assist them to access necessary advice and skills, including connecting them to other relevant ministries. Specific actions that may be adopted by SMA communities to mitigate the impacts on landlocked and/or neighboring non-SMA communities in terms of restriction of access to fisheries resources in SMA areas, would include, among others: Page 39 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 • Non-SMA communities can be allowed to fish in the SMA but will be charged for the privilege. This approach is how the Felemea SMA community is addressing this issue. • Non-SMA communities can carry out subsistence fishing but not commercial fishing. This method works well in Fiji. In Samoa, coastal communities cannot exclude outsiders from traditional fishing areas, but they can make rules that are applicable to both residents and outsiders. The same approach could be applied in Tonga’s SMA program. • MOF could consider establishing a “District SMA” in which several communities (including landlocked and non-SMA communities neighboring SMA community areas) have access to an extended SMA areas managed directly by MOF. Precedent has already been set with three existing SMAs that are on uninhabited islands and are not managed by a coastal community SMA Committee, rather they are managed directly by MOF. Ongoing monitoring of biological resources and fishing will provide insights into medium/longer term impacts and will inform any necessary management measures as they emerge. Monitoring and assessment studies of coastal and deepwater fisheries proposed under the TongaFish Pathway project should include fishing impacts e.g. how are people catching fish and the socio-economic impact of the expanded SMA system. A specific cumulative impact assessment study and/or a strategic environmental assessment should be part of this study. These could be aligned to significant milestones, such as every five new SMA established, and could begin in the areas with many established SMAs such as Vava’u and Ha’apai. Strategic environmental assessments and / or cumulative impact assessments should be integrated into SMA planning as necessary for the outer Islands (Ha’apai and Vava’u). Any cumulative assessments and ongoing monitoring will need to be a MoF responsibility, rather than a responsibility of the SMA communities. A key action under the sector plan and the TongaFish Pathway project is the establishment of a coastal fishery management plan. This plan will aim to regulate and control fishing pressure in non-SMA coastal waters, will encompass an overarching regulatory framework of size limits and fishing gear controls that applies to all coastal waters, including SMAs. It is recognised that fishing activity will be reduced both within and outside SMAs and that there will be short term impacts on both individuals and communities. Extensive consultations and awareness raising with communities will be carried out by MoF in order to provide plenty of time for individuals and communities to understand the proposed changes, have their say in the process and find alternative livelihoods if necessary. Page 40 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 7 Environmental and Social Screening of Subprojects 7.1 Overview of Screening Process The screening process will be used to screen all subproject activities for risks and then identify the safeguard instruments that need to be prepared. The screening process may include completing a screening form, undertaking a site visit, and consulting with stakeholders. Responsibilities for implementing these procedures are outlined in Section 9 of this ESMF. The screening process and checklist should be reviewed after 18 months of project implementation to ensure that the process is appropriate. The project typologies identified as requiring environmental and social screening and management during implementation of TongaFish Pathway include 1) Technical Advisory; 2) MoF assets; 3) SMA strengthening and implementation; and 4) small scale infrastructure and assets for SMA communities. Screening templates for specific activities have been developed and are included in the Annexes. 7.2 Screening of Subprojects The following provides the steps in the assessment of subprojects that will be undertaken. The screening of subprojects will take place either during the annual work plan or on an ad hoc basis as subprojects and activities are defined by the Project Team/s. The screening process will follow the key steps shown in Figure 5: Figure 5 - Key Subproject Screening Steps Page 41 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Step 1 - Determine Subproject Category The first step of screening is to determine what type of subproject or activity is being proposed and determine the immediate next step. To determine the subproject category, refer to Checklist 1 in Annex VI. Checklist 1 will determine whether a subproject screening checklist needs to be completed or whether a subproject guideline needs to be followed. Step 2- Screening of Risks The next step is to complete the subproject screening checklist or refer to the appropriate subproject guidelines, as determined in Step 1. The checklists will determine what safeguard tool/s are required (if any) under World Bank and GoT safeguards requirements (e.g. ESMP, EIA). Note: If Checklist 3 – All Other Projects Screening Checklist in Annex VIII is completed, also check Table 2 - Ineligible Activity List. Step 3 – Determine Safeguards Tool/s The third step is to determine what safeguards tool/s are required, if any, under World Bank and GoT safeguards requirements (e.g. ESMP, EIA) as a result of the risk screening. The subtype screening forms will assist in determining the safeguard tools need to be prepared. Step 4: Consultation with Project Team If required, the screening outcomes will be discussed with the project team and design personnel to identify ways to reduce or avoid any adverse impacts. Any adjustments to the subproject design, categorisation or safeguard instrument can be refined following this process. Step 5: Preparation and Disclosure of Safeguard Tools If required, the next step is to prepare the relevant instruments, both for GoT and the WB processes. This process may include site visits and data gathering, consultation, and public disclosure of the documents in accordance with the SEP (Annex I). Instruments that cover groups of subprojects by geographical area or procurement may be used where appropriate e.g. EHS plans for SMA investments. Step 6: Implementation of Mitigation Measures The implementation of the safeguards tools and conditions of any environmental approvals will need to be implemented, monitored and enforced. For MoF assets and infrastructure, training of other fisheries staff may be needed to ensure that conditions of the safeguard instruments are met. For contractors, monitoring and supervision will be needed to ensure that conditions of the safeguard instruments are met. For SMA community infrastructure and assets, training will be needed to ensure that conditions of safeguard instruments are met. Step 7: Monitoring and Reporting Monitoring is required to gather information to determine the effectiveness of implemented mitigation and management measures and to ensure compliance with the approved safeguard tools. Environmental indicators will be defined in the safeguards tools and compliance with these indicators will need to be monitored. Monitoring methods must provide assurance that safeguard measures are undertaken effectively. Page 42 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Regular reports on environmental indicators and any incidents that may have adversely impacted on the environment arising from subproject activities will need to be prepared. These will be included into semi-annual safeguard monitoring reports to the World Bank. The reports to the Bank will include: (i) the status of the implementation of mitigation measures; and (ii) the findings of monitoring programs. Page 43 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Table 2 - Ineligible Activity List Activities will be deemed ineligible for TongaFish Pathway project funding if they: 1. Are not aligned to the objectives of the TongaFish Pathway project. 2. Are large-scale infrastructure projects, or studies that will lead to large-scale infrastructure projects that would trigger Category A under World Bank Policy OP4.01. 3. Involve the conversion, clearance or degradation of critical natural habitats forests, environmentally sensitive areas, significant biodiversity and/or protected conservation zones. 4. Will cause, or have the potential to result in, permanent and/or significantly damage non-replicable cultural property, irreplaceable cultural relics, historical buildings and/or archaeological sites. 5. Will result in involuntary land acquisition or physical displacement of affected communities. 6. Require or involve: • Political campaign materials or donations in any form; • Weapons including, but not limited to, guns and ammunition (e.g. for maritime police or fisheries surveillance); • Purchase, application or storage of pesticides or hazardous materials (e.g. asbestos); • Building structures that will alter coastal processes or disrupt breeding sites including sand mining, land reclamation or seawalls; • Any activity on land or coastal areas that has disputed ownership (private, communal or customary). • Trade in wildlife or wildlife products regulated under CITES (Convention on International Trade in Endangered Species of Wild Fauna and Flora) unless by appropriate permit or exemption; • Fishing in the marine environment using electric shocks and explosive materials; • Production or activities involving harmful or exploitative forms of forced labor / harmful child labor. Page 44 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 8 Land Access and Resettlement Policy Framework 8.1 Introduction The Government of Tonga (GoT) is seeking funding from the World Bank for the TongaFish Pathway Project to improve management of selected fisheries and aquaculture in the Recipient’s territory. The Project is organized in four components reflecting MOF’s organizational structure. The purpose of this section is to assess and report on the impact of the project’s subcomponent activities with regards to people’s lands, and associated assets. It is focused on determining the applicability of the Bank’s policy on involuntary resettlement (OP4.12), particularly in relation to para 3(a) (involuntary taking of land); and if so, recommend additional documents or plans that will be required to manage the associated issues. Regardless of whether OP4.12 is triggered, this report aims to make sure that impacts associated with changes in access to land or assets (including natural resources) are appropriated minimized and mitigated. 8.2 Background The land and tenure system in Tonga is complex and Tonga’s land tenure system has unique features relative to other Pacific countries. Key aspects of the land and tenure system are: • All land in Tonga belongs to the Crown. • Sale of land is prohibited. • The rights or interests are individualised and life interest only. • The Land Act forbids land holders (registered allotments) from entering into any agreement for profit or benefit from the use of his holding other than that prescribed by the Act. • Non-Tongans can only obtain land under leasehold tenure, subject to the approval of the Cabinet. • Estate-holders and individual landholders are allowed to lease out all or part of their estates or allotment respectively. • If there is no male heir, then the unmarried daughter(s) may inherit or jointly inherit their father's land until they all get married. If there is no heir at all, then the land reverts to the estate holder for re-granting. Land and land ownership is multifaceted within the Tongan societal context. Land is perceived to have many different values (political, economic, social and cultural, and religious). Consequently, land may be a sensitive subject for some people. Generally, the relationship between people and land has two primary dimensions in Tonga namely, spiritual and material. 8.3 Word Bank Requirements World Bank Operational Policy 4.12 – Involuntary Resettlement. This policy covers direct economic and social impacts that both result from Bank-assisted investment projects, and are caused by (a) the involuntary taking of land resulting in (i) relocation or loss of shelter; (ii) loss of assets or access to assets; or (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location. This policy requires siting of project infrastructure to be so chosen as to avoid these impacts altogether or to minimise them to the extent possible. Where these cannot be avoided, the policy requires the Page 45 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 preparation of either or both of these instruments: (i) Resettlement Policy Framework, (ii) Resettlement Action Plan, and for meaningful consultations with potentially affected people. 8.4 Relevant Tongan Legal Framework The following table provides a list of legislations that are relevant for the purpose of the TongaFish Pathway project. Table 3 - List of relevant Tongan legislations14 Tongan Legislations Brief Description of the Legislation Constitution The Tongan Constitution states in its Declaration of Freedom (Section 1) that “…all men may use their lives and persons and time to acquire and possess property and to dispose of their labour and fruit of their hands and to use their own property as they will.” Land Act Prescribes the nature and size of land tenure; permissible land use (for public purposes, utilities and services) such as roads, public ways, use by Government Departments or for other public purposes; permissible use on Crown land (timber cutting and sand and limestone quarrying with permit); prescribed use like the responsibility of a landholder to plant coconut trees on his tax allotment. Environmental The Act defines the Government’s role in relation to all environmental Management Act management and decision-making processes. It also defines the functions and powers of the Ministry in relation to its obligations towards environmental management. EIA Act The EIA Act is administered by the Environment Department (MEIDECC). It empowers the ministry to form the Environmental Assessment Committee (EAC) and defines the conditions under which an EIA is required. National Spatial Tongan land tenure is complemented by the National Spatial Planning and Management Act Management Act, which establishes the National Planning Authority, which is the Minister for Lands. The Act is a landmark progression towards integrated land use in Tonga Park and Reserves Provides for the establishment of parks and reserves both on land and marine Act reserve. The authority rests with the Minister of Lands, with consent of Privy Council. Fishing Management This Act provides for the sustainable management and extraction of fisheries Act resources and governs all aspects of the fishery industry within Tonga waters. Further, it recognises the protecting of marine ecosystems as a whole. 14 Landcare Solutions Limited 2018. Land Due Diligence Report. Tonga Climate Resilient Transport Project. August 2018. Page 46 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Bird and Fish The Act defines species of birds and fish (including turtles) that are protected Preservation Act from being killed, shot, captured, taken or destroyed within their protected time period. It also defines the protected areas. 8.5 Country Context Land Use in Tonga People use land for various purposes mainly for food production and residential use, and to lesser extent, commercial and services such as public utilities, recreation, etc. Categorisation of land use in Tonga is loose. There is no zoning in Tonga partly due to the individual land rights in Tonga. However, these are characterised by arrangements with regards to ownership, access, and use, for a particular land allotment. The rights to use and/or access land allotments rests on the landholder, either allowing other people to use and/or access his allotment. This is either through formal contractual arrangements, like a leasing agreement, or informal arrangements, such as customary agreement. Associated payment, if required, is by mutual agreement between the owner and the user. Land Tenure in Tonga Land tenure refers to the terms and mode under which land and natural resources are held or occupied by individuals or groups. These are rules, usually formal, but informal arrangements are common, these define the nature and content of property rights in land or other resources and the conditions under which those rights are to be held and enjoyed. In respect of any crown lands in Tonga, the authorized landholder is the Minister of Lands who may grant any portion of land to a person or entity by way of a lease or permit. Such Crown Land includes the Foreshore and Beach Frontage. The foreshore15 in Tonga belongs to the Crown, and the Minister of Lands may, with the consent of the Cabinet, grant permits or a lease to erect “stores or wharves or jetties.” Although the purposes are specified or restricted, there have been town allotment and commercial leases in Tonga allocated or granted on these areas. Land Leases in Tonga Lease terms are summarised as follows16: Crown land Generally, the Minister, with consent of Cabinet may grant a lease of a crown land to a person or entity for a period not exceeding 99 years or a renewal of a lease provided the period not exceeding 99 years from the original lease. Noble’s estates Generally, a Noble may grant leases provided it does not exceed 5% of his total area of that estate. However, it may exceed if such lease is for 15 The Foreshore Area is defined as the land adjacent to the sea alternately covered and left dry by the ordinary flow and ebb of the tides and all land adjoining thereunto lying within 15.24 metres of the high-water mark of the ordinary tides. 16 Landcare Solutions Limited 2018. Land Due Diligence Report. Tonga Climate Resilient Transport Project. August 2018. Page 47 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 religious bodies, charitable institutions, and the Tonga Electric Power Board/Tonga Power Limited. Tax and Town allotments The landholder of the allotment may grant a lease of his registered allotment or part of it, with consent of Cabinet. Leaseholders The Lessee may grant a sublease of his or her leased property, either in whole or part of it, for sublease. Otherwise, he or she may elect to sell the lease outright for the purpose of the development project. Any request in writing for a new lease must be served on the Landholder not less than six months before the expiration of the lease. Tonga’s Land Acquisition Process Land acquisition and lease approval is done by Ministry of Lands and Natural Resources (MLNR). The Minister of Lands is the representative of the Crown in all matters concerning land in the Kingdom of Tonga. The Land Acquisition process is detailed in Figure 6. Page 48 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Figure 6 - Land Acquisition Process17 Involuntary Resettlement Compulsory land acquisition in Tonga is governed by the Constitution of Tonga, Government Act, and the Land Act, all of which provide the fundamental basis for acquiring land for public purposes, and compensation. In general, the King or the Minister of Lands can compel a landholder to relinquish his allotment or part of his allotment for public use. In fact, the Minister of Lands, with consent of Cabinet, has the power to acquire Crown Land for public purposes. In such cases, the Minister shall provide compensation in respect of the crops being grown on the land; provide other land in its place or pay compensation; and/or pay compensation in respect of any buildings erected. Although not specifically expressed in the Tongan legal framework, high priority is assigned in practice to the principle of avoiding or minimising involuntary resettlement. In the context of resettlement, it is the first preference to avoid involuntary resettlement if possible, through alternative project location or design. Secondly, focus is given to restoring or enhancing affected people’s livelihoods. In effect, individualised land rights in Tonga means that resettlement also means loss of land ownership so that suitable compensation arrangement must be considered for all parties subject to a need for relocation 17 Landcare Solutions Limited 2018. Land Due Diligence Report. Tonga Climate Resilient Transport Project. August 2018. Page 49 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 or disruption18. Furthermore, while there is not specific policy that requires consultation with affected peoples, it is customary practice to consult with all potentially affected people. 8.6 TongaFish Pathway Project Land Requirements The TongaFish Pathway project will not involve any major civil works, though small-scale development activities may be included. Project activities may require small-scale land acquisition to establish fisheries-related facilities. Usual practice in Tonga means that there are a number of options for how land can be accessed: either via voluntary land donations, negotiated land lease arrangement under Tongan law, and use of existing government land. Preference would be to locate developments on government land. Using the existing decision-making structures is fundamental to the implementation of this project. Any voluntary land acquisition will also need to meet World Bank requirements. 8.6.1 Project Subcomponent Activities In order to assess the applicability of OP4.12 on Involuntary Land Acquisition, a number of project typologies have been identified. Project typologies identified include 1) Technical Advisory 2) MoF assets; 3) Special Management Area (SMA) strengthening and implementation; 4) small scale infrastructure for SMA communities (community halls, markers, buoys, Fish Aggregating Devices). These project typologies and their associated land needs are discussed in detail next. Technical Advisory These include feasibility studies, options studies, fisheries management plans, ecosystem monitoring, and the Fisheries Infrastructure Master Plan and Feasibility Study (to investigate a range of fisheries infrastructure and asset activities). No land will be required for these activities. However, there is the risk that studies set up a future scenario or state where land access becomes a project delivery risk, and/or the Technical Advisory does not minimize or avoid involuntary land acquisition or resettlement, causing greater impacts in future. In particular, the Fisheries Infrastructure Master Plan and Feasibility Study which may indicate future expansion and land requirements. Studies must consider the implications of their recommendations on land acquisition in accordance with OP4.12 and must minimize or avoid involuntary land acquisition or resettlement or involuntary restriction of access to assets. Any potential for future land acquisition as a result of the Technical Advisory must involve relevant stakeholder consultation. If necessary, the Technical Advisory must require the preparation of a Resettlement Policy Framework (RPF)/Resettlement Action Plan (RAP) for the implementation of any relevant recommendations. These requirements will be included as clauses in the Terms of References for Technical Advisory. Terms of Reference safeguard clauses are included as Annex IX of Environmental and Social Management Framework (ESMF). MoF assets These may include small scale infrastructure developments such as compliance operations sheds, maintenance to fisheries infrastructure, small-scale aquaculture facilities and building/office refurbishments to be owned and operated by MoF. Land may be needed for the development of these activities. 18 Landcare Solutions Limited 2018. Land Due Diligence Report. Tonga Climate Resilient Transport Project. August 2018. Page 50 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Based on discussions with MLNR and MoF, these developments will be preferentially located on government land and the MLNR will facilitate this process by finding suitable government land. Early consultation with MLNR will help identify suitable sites. If there is no appropriate government land, then the government will negotiate an appropriate voluntary lease arrangement. No involuntary land acquisition will be required. Land clearance for construction may involve the loss of trees or existing structures. As Government land is preferred, private assets are considered unlikely. In the event that any private assets are located on the land subject to a negotiated lease, removal, relocation and compensation will be discussed as part of the lease arrangements and agreement with affected asset owners will be reached for how such arrangements will be implemented. Special Management Area (SMA) strengthening and implementation This activity is the strengthening and expansion of the existing network of SMAs. This is a voluntary, community driven process. Communities request the establishment of an SMA and after the necessary mapping, survey and consultations, ministerial approval is given, and the community establishes its SMA management committee to implement an agreed SMA management plan. No land acquisition is required in the SMA implementation process and so this activity can be excluded from this assessment. Livelihood impacts are addressed in Section 6. Small scale infrastructure development for SMA communities MoF may provide assistance to existing SMA communities for a range of assets. This may include small- scale infrastructure such as local community meeting halls. It may also include markers, buoys, and Fish Aggregating Devices. However, these can be excluded as they will not require any land acquisition or result in restriction of access to resources. Based on discussions with MLNR and MoF, land for meeting halls or other small scale assets will be obtained through negotiated voluntary land donations or voluntary lease arrangements to an entity such as a community group. Signed agreements are made between parties before works are carried out. All lease arrangements will be entered into voluntarily, as outlined in Annex III. If acceptable arrangements are not met, alternatives sites will be sought. No involuntary land acquisition will be undertaken. Land clearance for construction may involve the loss of trees, crops or existing structures. Sites where significant clearance needs to take place or removal of crops or trees will be avoided, where possible. As this is a community driven process, the community will be involved in negotiating the location of the SMA infrastructure. 8.7 Responsibilities In respect of the TongaFish Pathway project, MoF will be responsible for negotiating land access for any physical investments for the MoF and will work collaboratively with the Lands Department (MLNR). MoF will assist the communities to obtain voluntary land donations or leases for the Special Management Areas (SMA) infrastructure. MoF will work with communities to ensure that they negotiate what they need early (in terms of land through a voluntary land agreement) to avoid future challenges. Page 51 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 8.8 Mitigation Measures In order to manage the impacts associated with accessing land required for project activities and to ensure compliance with Tongan law and with OP4.12, the following mitigation measures will be implemented through the life of the Project. Technical Advisory Terms of Reference for TA must include the following clause: “Recommendations must consider the impacts on land acquisition and access and where necessary, include a requirement for minimizing or avoid involuntary land acquisition, involuntary resettlement or involuntary restriction of access to assets. If necessary, the Technical Advisory must require the preparation of a Resettlement Policy Framework (RPF)/Resettlement Action Plan (RAP) for the implementation of any relevant recommendations.” Terms of Reference safeguard clauses are included as Annex IX of the ESMF. MoF assets The following mitigation measures will need to be implemented by MoF to ensure compliance with OP4.12 and Tongan law: • Consult with MLNR regarding land that will be needed for small scale infrastructure. • Identify possible sites and screen for resettlement impacts before finalizing the chosen location. • Preferentially locate the small-scale infrastructure on Government land. • Avoid sites where significance clearance needs to take place. • Avoid any land where private assets are present, but if this is not possible then relocation and compensation will be discussed as part of the lease arrangements and agreement with affected asset owners will be reached for how such arrangements will be implemented. • If government land is not available, all lease arrangements will be entered into voluntarily. If acceptable arrangements are not met, alternatives will be sought. • Consult with all affected communities, members of the community, and vulnerable groups who may be displaced and/or lose access to resources. • Provide an acceptable grievance mechanism for affected groups. Small scale infrastructure development for SMA communities The following mitigation measures will need to be implemented to ensure compliance with OP4.12 and Tongan law: • Land donation process will be facilitated by the Lands Department, MLNR and documented prior to works staring. The process and documentation will be in line with the Bank’s Voluntary Land Donation guidelines (see Annex III). • Identify possible sites and screen for impacts before finalizing the chosen location. • If acceptable voluntary land donation or voluntary lease arrangements are not met, alternative sites will be sought. • Avoid sites that require significant clearance. Page 52 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 • Consult with all affected communities, members of the community, and vulnerable groups who may be displaced and/or lose access to resources. Compensate for any lost resources such as crops or small structures at replacement value. • Provide an acceptable grievance mechanism for affected groups. Table 4 summarizes the types of subprojects and identifies the land acquisition and resettlement processes, risks, and mitigations/actions in accordance with Tongan law and with OP4.12, and identifies whether OP4.12 is triggered. Page 53 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Table 4 - Component Activities: Land Requirements and Potential Risks Project Typology Description Land Acquisition and Land Acquisition and Action OP4.12 Policy triggered Resettlement Resettlement Risks Processes Technical Regulatory reviews, No land acquisition Studies could set up a Include safeguard clauses (Annex IX of Yes. OP4.12 is triggered Advisory feasibility studies, will be required. future scenario or state the ESMF) into Terms of Reference for as a precautionary fisheries management However, studies where land access Technical Advisory. measure to ensure land plans, ecosystem must consider the becomes a project issues are addressed in monitoring, and a implications of their delivery risk, and / or the all future studies Fisheries Infrastructure recommendations on TA does not minimize or Master Plan and land acquisition in avoid involuntary land Feasibility Study. accordance with acquisition or OP4.12. resettlement, causing greater impacts in future. MoF assets These may include small Government land will Land clearance for Avoid sites where significance No. Infrastructure will scale construction and/or be prioritized. construction may involve clearance needs to take place. Any be preferentially renovation activities. the loss of trees or private assets on the land, if present, located on government existing structures. It is will be relocated in negotiation with land. If suitable unlikely that these will be affected people with adequate notice government land is not private assets as this is and consultation. Compensation for available a lease existing government land. lost assets at replacement value. agreement will be Early consultation with MLNR to negotiated in The suitable government identify potential sites. If there is not accordance with land cannot be found. appropriate government land, then the Tongan legislation. government will negotiate an appropriate lease arrangement. Small scale These may include small Negotiated lease Land clearance for Avoid sites where significance No. All land will be infrastructure scale infrastructure such arrangements or construction may involve clearance needs to take place. Avoid obtained through development for as local meeting halls. voluntary land loss of trees, crops or impacts to trees and crops wherever voluntarily negotiated SMA donations will be existing structures. possible, otherwise compensate at land lease or voluntary communities. made. replacement value. land donation negotiated by the SMA All lease arrangements will be entered community and into voluntarily. (see Annex x). If facilitated by MLNR, in acceptable arrangements are not met, line with Annex III. alternatives will be sought. Page 54 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 8.9 Summary At this stage, the exact nature and locations of activities that will be undertaken as part of the TongaFish Pathway project is unknown, though involuntary land acquisition can be avoided. The exact impacts associated with land acquisition and changes in access to assets can therefore also not be identified but are considered unlikely to be significant, since the location of assets is flexible to some extent and the footprints of infrastructure will be small. In summary, OP4.12 is triggered as a precautionary measure to ensure land issues are addressed in all future studies under the Components 1, 2, and 3. Where land is required for the project activities, it will be subject to a negotiated lease arrangement, be voluntarily donated land or will be crown land allocated for this use. Land impacts will be screened at each site and this screening will be covered by the ESMF. Consultation with all affected parties will be undertaken and no one (including vulnerable groups) will be worse off. Page 55 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 9 Responsibilities for Safeguards Implementation The Tonga Fish Pathway program is being implemented at the national level by the MoF. A Project Management Unit (PMU) has been established in MoF to implement the project and comply with safeguard policies. In addition, a central project support unit within the Ministry of Finance and National Planning (MFNP) will provide additional general oversight and backstopping services for all Bank projects in Tonga in the areas of safeguards compliance. 9.1 Key Responsibilities Ministry of Fisheries The Ministry of Fisheries will have the overall responsibility for ensuring that environmental and social issues are adequately addressed within the project. Arrangements for implementing the project are outlined in Figure 7. Figure 7 - Ministry of Fisheries Organizational Chart Page 56 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Deputy CEOs The subcomponent structure mirrors the organization structure of the MoF. Each Deputy CEO will have oversight of the implementation of one of the four project sub-components. PMU (Project Management Unit) The PMU will have a full-time safeguards and stakeholder engagement specialist (Safeguards Officer). Safeguards Officer The Environment and Social Safeguards and Stakeholder Liaison and Engagement Officer (Safeguards Officer) is a full-time position (20% safeguards, 80% stakeholder liaison) located in the PMU and reporting to the Project Manager. This person will ensure implementation, monitoring, review, and update of the ESMF, and any other instruments prepared under the ESMF such as Environmental and Social Management Plans. This person will be responsible for ensuring that Project safeguards comply with the Financing Agreement, Tonga’s laws, and the World Bank’s Safeguard Policies, and for implementing the SEP and the GRM. Specifically, the Safeguards Officer will undertake: (i) Contribution to the development of the project’s annual planning processes; (ii) Contribution to project documents (including tenders, bids, Terms of References, and contracts) to ensure they have requisite safeguard documentation applied and attached as required; (iii) Screening of subproject activities for environmental and social risks; (iv) Preparation of safeguard instruments such as ESMPs; (v) Stakeholder consultation on draft safeguard instruments; (vi) Update of safeguard instruments to reflect stakeholder input; (vii) Public disclosure of final safeguards instruments; (viii) Implementing and documenting the implementation of safeguard measures; (ix) Monitoring and enforcement of safeguards compliance; (x) Monitoring and Evaluation Reports for both safeguards work and stakeholder engagement work; and (xi) Grievance redress management; and (xii) Updates to the ESMF, as required. The Safeguards Officer will also ensure Project staff receive appropriate safeguards and stakeholder engagement training and capacity building. For example, other fisheries branches may need to be trained to be able to liaise if stakeholder consultation meetings need to be conducted in Vava’u and Ha’apai. The Terms of Reference for the Safeguards Officer position are attached as Annex V. CSU (Central Support Unit) A Central Services Unit (CSU) overseen by the Ministry of Finance and National Planning (MFNP), will provide additional support services to this project. The CSU will have a full-time safeguards specialist. They will provide advisory services and safeguards support for the TongaFish Pathway program on an as needed basis. Page 57 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 World Bank Safeguards Specialists The Bank’s Safeguard team will provide regular safeguards compliance support remote and during missions to Tonga, and to build capacity for ESMF implementation and stakeholder engagement. 9.2 Capacity Building The PMU Safeguards Officer and the CSU Safeguards Specialist may have differing level of familiarity with WB Safeguard Policies and Procedures. Furthermore, the PMU Safeguards Officer may need support and training to implement the ESMF and prepare safeguard instruments, such as ESMPs and EIAs, during project implementation. The WB will provide ongoing support, as well as training sessions and technical assistance, to build MoF and MFNP capacity during missions to Tonga. The WB will also maintain a close dialogue with the PMU Safeguards Officer and ensure implementation support for Safeguards when needed. Furthermore, the CSU will play a central role in capacity building of staff in MOF and other ministries engaged in World Bank financed operations. Page 58 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 10 Consultation and Disclosure A Stakeholder Engagement Plan (SEP) for TongaFish Pathway has been developed and is included as Annex I. The SEP includes an analysis of the main stakeholders of the TongaFish Pathway project, consultation and engagement methods, the schedule of key activities, and records keeping and reporting requirements. A summary of the pre-appraisal consultations is included in Annex XIII. The main points raised by stakeholders during the consultation meetings regarded the capacity of MoF to implement the TongaFish Pathway program and ESMF, SMAs implementation and assets, vessel purchasing and health and safety, voluntary land donations, and fisheries compliance. Most stakeholders already had a good understanding of the project and its components due to the Fisheries Sector Plan consultations and SMA consultations. There were no changes made to the ESMF as a result of the consultations with respect to the mitigation and monitoring strategies. The Land Access and Resettlement Policy Framework was updated to reflect MLNR’s comments regarding the need for town and community officers to ask for what they need through a voluntary land agreement early, in order to avoid future challenges. The ESMF was first publicly disclosed on the MoF website19 on 15 January 2019. Any updates to the ESMF undertaken during the project will also be publicly disclosed on the MoF website. Furthermore, any instruments prepared under the ESMF, for example ESIAs and ESMPs, will also be publicly disclosed on the MoF website. 19 http://tongafish.gov.to/index.php/2-uncategorised/84-esmf-tonga-pathway-to-sustainable-oceans-tongafish- pathway-project-world-bank-p164941 Page 59 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 11 Grievance Redress Mechanism The Grievance Redress Mechanism (process for managing complaints) for the TongaFish Pathway program is included as Annex XIV. Page 60 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 12 Annexes Page 61 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Annex I TongaFish Pathway Project Stakeholder Engagement Plan Introduction This Stakeholder Engagement Plan (SEP) forms part of the Environmental and Social Framework (ESMF) for the TongaFish Pathway project. A key delivery principle for the TongaFish Pathway project is to provide opportunities for constant and ongoing engagement with the National Fisheries Council, coastal communities, industry and, interest groups, civil society, and non-governmental organisations to the fullest extent practical in all TongaFish Pathway project activities that are not inherently governmental functions so related to public interest that they require performance by government staff. The purpose of the SEP is to identify stakeholders who may be interested in or affected by the project and identify the methods for engaging these stakeholders throughout the project lifecycle. The SEP has been prepared to ensure ongoing consultations and engagement in the project, and provides details on how to enable women, youth and other groups to effectively participate. Stakeholder liaison, consultation, and communication involves ensuring effective engagement with all stakeholders with respect to the project, including individuals, local communities, industry groups, committees, media, and schools, through the development and implementation of the SEP, and the development of strong relationships with key stakeholders. A key role is the effective planning of stakeholder engagement for the duration of the project. This will involve a hands-on approach to the establishment of consultative forums, developing terms of reference and meeting procedures, organising meetings, reporting on outcomes, and maintaining records. The SEP will be updated as and when specific subproject details are decided, for example the specific locations, stakeholders, and schedule of activities. The Ministry of Fisheries (MoF) is responsible for updating and implementing the SEP. Stakeholder Analysis Stakeholders with an interest in the TongaFish Pathway project were identified through discussions with MoF and are aligned with the Fisheries Sector Plan stakeholders. Key stakeholders and their interest/involvement in the TongaFish Pathway project include the following: Stakeholder Involvement/Interest in project Ministry of Environment, Information, Involved in Marine spatial planning and fisheries Disaster Management, Energy and Climate science. Involved in environmental approvals. Change Interested in 1) coordination of community engagement and outreach for biodiversity and ecosystem health; 2) coordination of ecological and environmental monitoring effort for SMA and MPA, and the Kingdom of Tonga’s commitments to international conventions and State of the Environment monitoring and 3) support to prepare public resources to improve outreach and awareness raising on biodiversity and ecosystem health Page 62 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Ministry of Infrastructure Involved in Building permit approval process. Will process building permits. Ministry of Lands and Natural Resources Involved in Marine spatial planning. Will assist with land acquisition and lease approval. Ministry of Marine and Ports Interested in marine health and economic growth of fisheries. Local Government authorities Interested in SMA establishment. Civil Society organisations Interest in outcomes of technical reports and economic growth The National Fisheries Council Representative of fisheries sector stakeholders. Interest in fisheries compliance, outcomes of technical reports and economic growth. Small and large scale commercial fishers Interest in licensing, infrastructure design and and support services improved fisheries management Aquaculture industry (including Mabé Pearl Interest in outcomes of technical reports and producers) opportunities to develop high potential aquaculture technologies. SMA communities May be interested in new infrastructure and assets. Non-SMA coastal communities May be interested in SMA process Landlocked communities Interest in effects of increased number of SMAs. Tourism Department Interest in increased number of SMAs. Sector specific associations e.g. the Infrastructure, finance mechanisms, and economic Aquaculture Advisory Committee, Coastal growth Community Management Committees and other management committees for specific fisheries. The Mabé Pearl Farmers Association Interest in infrastructure, finance mechanisms, and economic growth Tonga International Game Fish Association Interest in infrastructure, finance mechanisms, and (TIGFA) economic growth Tonga Export Fisheries Association (TEFA) Interest in infrastructure, finance mechanisms, and economic growth Sport fishing clubs Interest in infrastructure, finance mechanisms, and economic growth Page 63 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Local fishing associations Interest in increased number of SMAs and how this might restrict access. Women’s organizations Interest in increased number of SMAs and what this may mean in terms of fishing access. Vulnerable group. Youth organizations and groups Interest in increased number of SMAs. Vulnerable group. General public Consumer of commercial and subsistence fisheries. Interest in increased number of SMAs. The MoF already has well-established relationships with many of the identified stakeholders through various working groups and committees. Good Practice Principles for Effective Stakeholder Engagement The SEP will ensure that the following key stakeholder engagement principles are applied to all consultation and engagement activities: • Timing and number of engagement events are designed to maximise stakeholder involvement and to avoid disruption to the ‘daily business’ of local stakeholders and stakeholder ‘fatigue’; • Considers the needs of different groups within the community including gender, age and those with any form of disability; • A senior MoF staff member is to be present and participate actively at all engagement events; • Engagement events occur in line with the SEP schedule so that there is clear linkage between engagement activities and the key stages in the project; • Ensure that engagement is managed so that it is culturally appropriate, adequate and timely information and opportunities are provided to all stakeholders to be involved/contribute; and • Ensure that engagement is free from coercion, undertaken prior to key decisions and informed by provision of objective and meaningful information, and that feedback is provided to stakeholders after engagement has concluded. • Stakeholders can participate in the engagement process at any time, even if they had not previously been identified as stakeholders. Consultation and Engagement Methods When selecting an appropriate consultation technique, culturally appropriate consultation methods, and the purpose for engaging with a stakeholder group should be considered. The following table summarizes the engagement technique that will be used during the project and when they will be applied: Engagement Technique How and when they will be applied Correspondences (Phone, Emails) Distribute information to Government officials, NGOs, Local Government, and organisations/agencies. Invite stakeholders to meetings and follow-up. One-on-one meetings Seeking views and opinions. Enable stakeholder to speak freely about sensitive issues. Build personal relationships. Page 64 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Record meetings. Formal Meetings/Workshops Present the Project information to a group of stakeholders. Allow group to comment – opinions and views. Disseminate technical information. Inclusive discussions. Record discussions. Village Council meetings Present Project information to a large group of stakeholders, (Fono)/Public Meetings especially communities. Allow the group to provide their views and opinions. Build relationship with the communities, especially those impacted. Distribute non-technical information. Facilitate meetings with presentations, PowerPoint, posters etc. Record discussions, comments, questions. Focus group meetings Present Project information to a group of stakeholders. Allow stakeholders to provide their views on targeted baseline Information. Build relationships with communities. Record responses. MoF communication and outreach Present project information and progress updates. programmes e.g. website and radio Brief updates on project. broadcasts Disclose ESMF and other relevant safeguards documentation. Direct communication with Share information on nature of impacts. affected persons Project leaflet Brief project information to provide regular update. Site specific project information. Signs Share information on project activities. Gender and Youth Considerations The proposed information sharing and participation mechanisms will be gender-and youth sensitive in their design. The MoF Officers undertaking the consultations will ensure they facilitate the active participation of women, youth and marginalized groups in project planning, implementation and evaluation. Some other aspects to consider during the consultation design: • Consultations should allow for separate consultations with men and women where necessary to ensure that they can freely express their views. • Ensure there are male/female facilitators who can disseminate information and collect feedback. Training of area coordinators and community facilitators shall include gender training and awareness raising information and materials. • Ensure equal participation of women during project implementation including encouraging women’s equal participation in decision-making, for example by establishing targets or specific initiatives (such as skills training). Core leaders and members of the various community- decision making committees should include a significant number of women. Page 65 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 • Youth groups will be included in consultations (where appropriate) and through outreach and engagement activities. Key messages The key messages that need to be delivered include: (a) The purpose, nature and scale of the project activities; (b) The duration of proposed project activities; (c) Potential risks and impacts of the project on local communities, and the proposals for mitigating these; (d) The proposed stakeholder engagement process highlighting the ways in which stakeholders can participate; (e) The time and venue of any proposed public consultation meetings, and the process by which meetings will be notified, summarized, and reported; and (f) Their rights and the process and means by which grievances can be raised and will be addressed. Schedule of Key Activities Before pre-appraisal Engagement and consultation before pre-appraisal included the following: a. Stakeholder consultations on proposed project design, including explanations of intended project benefits, potential environmental and social risks and impacts, proposed mitigation measures, the proposed SEP, draft ESMF and GRM. b. A summary of the TongaFish Pathway project and the draft ESMF was provided on the MoF website in both English and Tongan. Stakeholder consultations were held during the third project preparation mission in Nuku’alofa in September 2018 with various Line Ministries. Pre-appraisal stakeholder consultations were also held in Nuku’alofa, Vava’u and Ha’apai for the project and the ESMF in November 2018. Presentations were held in English and/or Tongan (as was appropriate for the audience), were non-technical and included visual content. The purpose was to ensure that the attendees understand the legal framework within which the project will operate, their rights, and how to make comments or register grievances about any project activities using the GRM. Ample time was given for questions and discussion during and after the presentations. The format was conducive to participation by all parties (men and women). A summary of the pre-appraisal consultation meetings is included as an Annex of the ESMF. After pre-appraisal Engagement after pre-appraisal should include the following: a. Disclosure of information on how stakeholder feedback was incorporated into project design and environmental and social risk management instruments; b. Stakeholder consultations on implementation and supervision issues, consultations on any new project characteristics or environmental and social risks, and consultations on progress of environmental and social risk mitigation measures; c. Regular efforts to keep stakeholders informed on project implementation; d. Review of the adequacy of stakeholder identification in light of project implementation and related revisions to the SEP. Page 66 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 A summary of the ESMF is provided on the MoF website in both English and Tongan. A summary description of the grievance mechanism; and contact information and process for seeking further information should also be provided in Tongan. The ESMF remained draft until public disclosure and consultation was completed. The ESMF was first publicly disclosed on the MoF website on 15 January 2019. Any updates to the ESMF undertaken during the project will also be publicly disclosed on the MoF website. Furthermore, any instruments prepared under the ESMF, for example ESIAs and ESMPs, will be publicly disclosed on the MoF website. During project implementation The TongaFish Pathway project will require the ongoing engagement of communities and other stakeholders at the national and community (village) level during project implementation. Extensive engagement will be carried out using customary protocols, inclusive of women and youth. Consultation sessions will include special outreach efforts and be tailored to the need of vulnerable groups such as women, elderly and disabled persons so that the process is socially inclusive, and a range of stakeholder views and perspectives are adequately represented. Consultation methods will be designed in consideration of the different sociocultural norms that inhibit the participation and input into decision-making from vulnerable groups and persons, particularly women. Engagement of communities and interested parties will be a key approach to ensuring that there is support for the projects and the projects meet the needs of the end users, with appropriate mitigation in place. Where possible, stakeholder engagement will utilize engagement structures within the national system e.g. community meetings (Fono). Timing of engagement/consultations Stakeholder engagement will begin once sub-projects have been identified, but before detailed design has been completed. Following the development of the subprojects and after safeguards instruments have been drafted, formal and documented public consultation and information disclosure will be required in accordance with the World Bank requirements for public consultations with project beneficiaries, affected persons and key stakeholders on safeguard documents; and consultation and information disclosure requirements required by Tongan law and custom. Safeguard instruments will be disclosed by MoF so that they are accessible to the public and civil society who may be interested in, or affected by, program activities Methods of engagement/consultations A review of stakeholder engagement was carried out by the Forum Fisheries Agency (FFA) in 2017 which made several recommendations about the best way to engage MoF stakeholders. This SEP includes and builds upon those identified strategies and recommendations. Engagement methods will include the following: • Utilize the Ocean’s 7 group as advisory panels or to collaborate on Government stakeholder liaison during implementation of the project. • Continued MoF participation in regional tuna fora. • Continue to engage with SMA communities through SMA committees. • Develop initiatives to empower youth and women in fisheries such as inclusion on SMA committees. Page 67 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 • SMA consultations that include adjacent landlocked communities, tourism operators and commercial fisheries. • EIA and other safeguard consultations, with particular regard for vulnerable groups, as required. • Provide information to commercial users e.g. through annual/quarterly reports. • Continue dialogue with Management Advisory committees. • Continue dialogue with Line Ministries on how to collaborate to integrate SMA engagement into other programs e.g. with Dept. of Climate Change and Dept of Environment programmes where possible and practicable. • Use the MoF communications and outreach programmes such as the website and radio broadcasts to communicate key aspects of the project. • Notices/posters/brochures posted and documents available to the public in suitable locations close to project sites (for example school offices). • Outreach to students to increase interest in commercial fisheries. Grievance Redress Mechanism A Grievance Redress Mechanism (complaints process) was developed for the TongaFish Pathway project and is included as an Annex to the ESMF. The purpose of a Grievance Redress Mechanism (GRM) is to provide a centralized mechanism for the TongaFish Pathway project. The GRM is for people seeking satisfactory resolution of their complaints on the environmental and social performance of the project. The mechanism will ensure that (i) the basic rights and interests of every affected person by poor environmental performance or social management of the project are protected; and (ii) their concerns arising from the poor performance of the project are effectively and timely addressed. The GRM is designed to address concerns and complaints promptly and transparently with no impacts (cost, discrimination) on project affected people (APs). The GRM is a standalone document that is publicly disclosed and widely circulated to ensure all stakeholders are aware of the process for documenting and resolving grievances arising from project works. Record Keeping and Reporting Requirements. Pre-appraisal consultations Pre-appraisal community consultation and engagement activities were well documented and are the minutes of the meetings are included as annexes to the ESMF. The minutes of the meetings record the engagement activities conducted; the meeting attendees; the levels of stakeholder involvement; the issues discussed and proposed outcomes; and the extent to which stakeholder issues, priorities and concerns were reflected in the ESMF. Project implementation consultations Consultations held during the project will be well-documented to ensure the views of stakeholders are captured and incorporated into project design, addressed where necessary, and summarized in progress and/or monitoring reports. MoF staff will keep records of attendance, comments and any resolutions or agreements adopted at meetings of all kinds. The information will be summarized, and the document attached as an annex to the safeguard instrument e.g. EIA. These will be promptly fed back to technical team members as appropriate, reflected in project design and in reports on consultations that will form part of the regular project reporting structure. Budget provisions will be Page 68 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 made to ensure follow-up with communities on the outcome/s of consultation and participatory activities and management decisions can occur where it is due. SEP Updates Because project circumstances and stakeholder concerns can change, or new ones may emerge, stakeholder engagement will continue throughout the project cycle. The SEP may need to be updated during project implementation. This allows improvement to project implementation based on stakeholder feedback, and proactive management of concerns. As implementation of a project progresses, new impacts may arise, while other impacts may be eliminated. MoF shall provide regular updates to stakeholders on project performance and changes in scope or schedule, following the procedures agreed upon in the SEP. Page 69 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework |March 2019 Annex II Tongan Environmental Approvals Framework20 20 Source: Tonga Climate Resilient Transport Project (TCRP). August 2018. Port Infrastructure Environmental & Social Impact Assessment Page 70 of 126 TongaFish Pathway Program (P164941) – Environmental and Social Management Framework | March 2019 Annex III Voluntary Land Donation Procedures 1. Background This Voluntary Land Donation Protocol (VLDP) has been prepared by the World Bank for the purpose of due diligence. For cases where communities and/or individual landholders have offered to donate their land for the project because it is of benefit to the broader community, the World Bank’s Voluntary Land Donation Protocol (VLDP) should be followed. The project team is to exercise their best judgment where voluntary land is offered and conduct due diligence to avoid adverse impacts and reputational risks. Donations are based on the premise that the project benefit will offset or outweigh the loss of the land donated. VLD is only suitable for projects where the landowner and/or community wish to ‘gift’ land parcels or small areas for small-scale community infrastructure that will be of direct benefit to the donor’s community. 2. When VLD is Applicable Voluntary donation of land by beneficiary households is acceptable where: • It has been verified the donation did not result from any form of coercion or manipulation and is offered in good faith; • The donation does not severely affect the living standards of the community and/or individual landholder responsible for the donation (i.e. impacts are marginal based on percentage of loss and minimum size of remaining assets); • Alternatives and the viability of other locations or sites have been considered; • The donation does not result in the displacement of households or cause loss of income or livelihood; • The landholder/s making the donation will directly benefit from the project; • Consultation has been conducted in an open and transparent manner and to a degree that the landholder/s can make an informed choice; • The land is free from disputes regarding ownership or tenure; • Land transactions are supported through the transfer of titles; • Full and proper documentation of all consultations, meetings, grievances and actions taken to address grievances has been reviewed and made available; • Where impacts are minor and other alternative sites are not viable. 3. When VLD is NOT Applicable VLD is not applicable under the following scenarios: • Medium/large-scale infrastructure particularly in cases where a government agency or entity that has a statutory obligation to provide the infrastructure and/or services for which the land is required • Where inadequate consultation with donors results in lack of understanding about the terms and conditions of the donation; • In lieu of formal procedures for land acquisition where these do not exist; Page 71 of 126 TongaFish Pathway Program (P164941) – Environmental and Social Management Framework | March 2019 • Where donor property owners, landowners or customary rights holders do not support, or will not directly benefit from, the Project; • Where conflicts over land exist, including customary collective ownership; • Conflicting land titling that make it difficult to establish with certainty who has a right to own, donate and use a specific parcel of land; • Where donors did not provide their informed consent and were subject to political or social pressure and coerced into making the donation. 4. Process for Voluntary Land Donation This section outlines the process that should be followed once the threshold considerations set out in Section 2 and 3 above have been considered, and it has been determined that it is appropriate for the land to be provided to the project by voluntary donation. It is necessary to follow a clear process for the donation, and to prepare and maintain documents that demonstrate such process. Each step set out below should be addressed in the context of the specific project, and fully documented. (i) Determine and document that VLD is appropriate in the circumstances of the project. The team should record the reasons why it thinks that the donation of land is appropriate for the project. In certain cases, only some of the land the project requires will be donated or alternatives to land donation exist. The project team should identify (in as much detail as possible): • What the land will be used for; • How much land the project will require on both a permanent and temporary basis; • How much of the land will be donated; • What alternatives to donation exist (e.g., right of use, right of way); • The terms of the donation; • The identities of the parties who intend to donate; • The beneficiary of the donation; and • Any details that are relevant to why donation may be appropriate. (ii) Verify the requirements to transfer, and formalize the transfer of, the land It is important to understand the process that should be followed to transfer the land, and appropriate ways to formalize the transfer so as to achieve certainty for both the transferee of the land and the project. In many countries this will require consideration of the legal and administrative requirements but also, particularly in the case of customary land, local and community processes. In some cases these will constitute two different but parallel (and overlapping) systems and a process will have to be established to ensure that the requirements of each system are satisfied. An important consideration will be how transparent the process and the decision making process actually is, and what can be done to enhance the process. (iii) Conduct due diligence on who owns and uses the land Page 72 of 126 TongaFish Pathway Program (P164941) – Environmental and Social Management Framework | March 2019 Given the specific issues surrounding land ownership and use in the PICs, it is important that the project team carries out careful due diligence to understand the type of land rights that exist in the project area, and to identify any particular issues relating to land ownership and use. Thereafter, a more specific due diligence must be conducted on each parcel of land proposed for donation to identify: • The owner or owners of the land; • The users of the land, or any parties that occupy the land (either physically or through ownership of an asset or conduct of livelihood or business activities on the land); • Any competing claims of ownership or use; • Structures and assets on the land; • Any encumbrances on the land. It is important to: (a) identify the right that is being transferred (an ownership right, a use right, a right of way, etc.); and (ii) check whether the transferee actually has the right s/he claims to have. In many circumstances where careful due diligence has not been carried out, significant conflict has arisen at a later stage when another party claims that they have the same or a competing right. In some circumstances – but not all – the transferee will have documentary evidence of such right. Where no such evidence exists, the due diligence can establish rights by speaking with local community officials and neighbours. (iv) Disclosure and Consultation The decision to donate must be taken on the basis of a full understanding of the project and the consequences of agreeing to donate the land. Accordingly, the parties that will be affected by the donation (the owners and users of the land) must be provided with accurate and accessible information regarding what the land will be used for, for how long, and the impact the donation will have on them and their families. It is important that prior written notification indicating the location and amount of land that is sought be provided and that its intended use for the project is disclosed. Where the intention is to deprive the parties affected by the donation of the land permanently, or for a significant length of time, this must be made clear. It should be noted that in many communities the concept of alienation of land is uncommon and difficult to understand, and care needs to be taken to ensure that the implications of this are fully understood. It is also important to decide who else should be consulted about the proposed donation; for example, spouses and older children. There should be a clear agreement as to which party will pay the costs associated with the donated land. This could include measurement costs, documentation and notarial fees, transfer taxes, registration fees. It should also include the costs of re-measuring/re-titling the transferee’s remaining land and any new documentation relating to it. (v) Establishing Informed Consent It is crucial that the project team is confident that the decision to donate was taken in circumstances of informed consent or power of choice. As discussed earlier, this means being confident that the owner(s) or user(s) of the land understand: • What the land is going to be used for, by whom and for how long; Page 73 of 126 TongaFish Pathway Program (P164941) – Environmental and Social Management Framework | March 2019 • That they will be deprived of the ownership or right to use the land, and what this really means; • That they have a right to refuse to donate the land; • Whether there are alternatives to using this land; • What they will need to do to donate the land (e.g., execute documents, get spousal consents, pay taxes); • The effect of the donation on their family, and what they can do if they (or their family or heirs) want the land back. • The exact demarcation of land boundary for the project’s use; • Whether there are proposals which would allow other land to be used; • What they will need to do to donate the land; • The intergenerational effect of the donation on their family, what they can do if they (or their family or heirs) want the land back. The terms and conditions of the land donation must be mutually agreed upon and detailing in a written agreement. (vi) Documentation It is necessary to distinguish between: (a) the agreement to donate the land; and (b) the document that carries out and evidences the legal transfer of the land. While it is important to have evidence of an intention and agreement to donate the land, it is equally important to ensure, where required and appropriate, that the land is legally transferred. While the process relating to the legal transfer of the land is frequently complicated and time consuming, it must be addressed. [In specific circumstances, for example where the land is being transferred to the community, it may not be necessary to legally transfer the land. However, experience indicates that lack of formal transfer can create significant uncertainty in the future, which impacts on the sustainability of the infrastructure and services, and can have a negative effect on community relations.] To ensure that any land provided for the siting of subprojects is contributed voluntarily, in accordance with the requirements of the ESMF, two representatives of the landowners (family or clan) are asked to sign a Land Commitment Letter (see below). This certifies that the land is voluntarily donated for the purposes of the subproject and for the benefit of the community. The signature of the Letter is witnessed (as attested by their signature) by a suitable project representative. The project team should: • Identify the appropriate documentation, including the agreement to make the transfer and any legal documentation that may be required; • Ensure that the agreement: • Refers to the consultation has taken place; • Sets out the terms of the transfer; • Confirms that the decision to transfer was freely made, and was not subject to coercion, manipulation, or any form of pressure; • Attaches an accurate map of the land being transferred (boundaries, coordinates); Page 74 of 126 TongaFish Pathway Program (P164941) – Environmental and Social Management Framework | March 2019 • Sets out who will bear the costs of the transfer (e.g., notarial fees, taxes, title issues) and documenting the residual land rights. • Ensure that all necessary parties sign the documents, including obtaining consent from spouses and children over a certain age; • Ensure that the transfer and title is registered or recorded; and • Ensure that the land remaining after the donated land is excised is properly titled, registered or recorded. It is also important to maintain a record of the process that has been followed. Such documents could include the following: • The notification indicating the location and amount of land that is sought and its intended use for the project, with a record of when and where this was made public; • Records of the consultations that were held and what was discussed; • A copy of the due diligence that was conducted; • Copies of each of the formal statements of donation, establishing informed consent as described above, and signed by each owner or user involved; • Copies of all documents, registrations or records evidencing the legal transfer of the land; and • A map, showing each parcel of land. The Project implementing agency should maintain a record with documentation for each parcel of land donated. Such documentation must be available for World Bank review, and for review in relation to any grievances that may arise. (vii) Grievance Arrangements Grievances may be referred to customary conflict mediation arrangements where they are not directly affiliated with traditional leaders who are a party to the donation process. Page 75 of 126 TongaFish Pathway Program (P164941) – Environmental and Social Management Framework | March 2019 Annex IV MEIDECC Environmental Approval Process Application and Initial Evaluation Phase Submission of Application to EIA Unit Proposals for all development activities when notified to MEIDECC must include a completed “Form 1” as set out in Schedule 1 of the Regulations. The Secretariat and the Minister use Form 1 to determine whether the proposed development is a “minor” or a “major” project, and they are required to advise the proponent of this determination within 30 days. If Proponents don’t need any other permits the completed Form 1 may be delivered directly to the EIA Unit at the Environment Office of MEIDECC21. The EIA Unit will check that the correct form has been used. However, most construction development activities would require a building permit from the Ministry of Infrastructure (MOI) in which case the Form 1 would also be lodged with MOI. Delivering the application to the EIA Unit involves two steps. 1) Delivering the application to the EIA Unit at the Environment Office. The EIA Unit will check that a Form 1 is attached to the building permit application. 2) Paying the registration fee to the EIA Unit at the Environment Office. They will issue a receipt and keep a photocopy of the receipt for their records. MEIDECC will not process the application until the fee has been paid. Initial Screening Phase – MEIDECC EIA Unit An initial screening evaluation is undertaken during consideration of the completed Form 1 provided pursuant to Schedule 1 of the EIA Regulations 2010. The main purpose of Form 1 is to help the Minister determine whether a project should be dealt with as a Minor or Major Project. Determination of Major or Minor Project Status Once the EIA Unit has received the completed Form 1 it is assessed against the criteria in the EIA Act and EIA Regulations to determine whether the development activity is a minor or major project. The Schedule in the EIA Act classifies a range of activities as Major Projects including the following that are relevant for this project: (n) farms for the propagation of marine, estuarine or freshwater organisms; (q) the removal of trees (including mangroves) or natural vegetation of any area in excess of half a hectare; (r) construction of roads, wharfs, barrages, embankments or levees which affect the flow of tidal waters; 21 Vuna Rd, Nuku'alofa, Tonga Page 76 of 126 TongaFish Pathway Program (P164941) – Environmental and Social Management Framework | March 2019 If the project is a Major Project, MEIDECC will issue a Form 3 and explain the next steps of the EIA process to the Proponent. If it is a minor project, the Minister will issue a Form 2 – Minor Environmental Impact Assessment. For a major project, the proponent is required to submit a full Environmental Impact Assessment for review. The Minister subsequently issues an approval (with or without conditions), a request for further information, or a rejection. For a minor project, approval is granted with or without conditions and the Project may proceed, usually under the provisions of an Environmental Management Plan (“EMP”) which is binding on the Proponent. The EMP will address environmental management and protection measures and will be specific to the development under consideration. EIA Preparation Phase - Major Projects If the Project is defined as a major project or if the Minister otherwise so directs based on a risk assessment, the proponent will need to conduct an EIA in accordance with Form 3 (Major Projects) of the Regulations. The purpose of the EIA is to assess potential significant environmental issues associated with a project, and to develop appropriate methods to resolve those issues. Preparation of the EIA is the responsibility of the Project Proponent. The EIA element of the process involves a Scoping Phase and a Preparation phase both undertaken by the proponent in collaboration with regulators and other parties as necessary. The comprehensive initial screening undertaken during preparation of the Form 1 appraisal will inform this Scoping exercise and will greatly streamline this stage of the process. Scoping identifies existing sources of data, key individual contacts and important areas of field study. It increases local, regional and national awareness of the project, its environmental concerns and facilitates rapid data collection and analysis. The findings of the scoping exercise (i.e. information recorded in the scoping checklist) provide a list of potential environmental issues, which should be considered and assessed in detail in the subsequent EIA. EIA Regulation 12 sets out factors to be considered by the Minister and the Secretariat when considering the likely impact of an activity upon the environment. Page 77 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex V Ministry of Fisheries Safeguards Officer Position Terms of Reference Tongafish Pathways Environment and Social Safeguards and Stakeholder Liaison and Engagement Officer Position Terms of Reference Background The Ministry of Fisheries is responsible for ensuring sustainable management of fisheries resources. The Ministry is led by the Hon Semisi Fakahau, Minister for Agriculture, Food, Forests, and Fisheries. The Ministries Chief Executive leads the activities of four divisions, i) Fishery Management, ii) Fishery Science, iii) Fishery Compliance, and iv) Corporate Services, each of which is led by a Deputy Chief Executive. A key activity for the Ministry is the delivery of the Tonga Fishery Sector Plan (TFSP), a long-term plan to maximise the sustainable contribution of the fisheries sector to food security and economic growth. The TFSP will be implemented with the support of development partner funding. A key source of funding will be from the World Bank, through the Halafononga Ki Ha Ngatai Tu’uloa | Pathway to Sustainable Oceans (Tongafish Pathways) Project. A Project Management Unit (PMU) is being established under the Pathways project. The PMU will be responsible for the implementation of the overall Pathways project as well as having a broader role to oversee the implementation of other TFSP activities including securing funding from other development partners. The PMU will be a fully integrated part of the Ministry’s structure forming a new division that provides services to the other divisions, as well as providing planning, monitoring and evaluation, Safeguard evaluation and monitoring, progress reports, and financial reporting, in accordance with both World Bank and Tonga government requirements. The PMU will include resources to deliver Pathways services and activities, including work planning, reporting, budgeting and financial management, procurement, monitoring and evaluation, Safeguards, training and capacity building, and communication. Key tasks and responsibilities Safeguards refers to the evaluation, and management or mitigation of the potential biophysical and socio- economic impacts of the project. Stakeholder liaison, consultation, and communication involves ensuring effective engagement with all stakeholders with respect to the project, including individuals, local communities, industry groups, committees, media, and schools, through the development and implementation of an engagement strategy, and the development of strong relationships with key stakeholders. A key role is the effective planning of stakeholder engagement for the duration of the project. This will involve a hands-on approach to the establishment of consultative forums, developing terms of reference and meeting procedures, organising meetings, reporting on outcomes, and maintaining records. Under the general control and direction of the Project Manager, and in liaison with the Ministry for Finance and National Planning’s World Bank Central Services Unit: Page 78 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Project establishment and Stakeholder engagement task • Support the establishment of the Pathways project during its initial stages specifically with respect to project Safeguards, including the establishment of the Grievance Redress Mechanism (GRM), policies, procedures, manuals, and systems. • Identify appropriate software to support Safeguards activities including assisting with the design of a custom project database. Planning and Management • Contribute to the development of the project’s annual planning processes. • Ensure the implementation, monitoring, review, and update of the Environmental and Social Management Framework (ESMF), and any instruments prepared under the ESMF such as Environmental and Social Management Plans (ESMP) for project activities. • Develop a comprehensive stakeholder engagement strategy and work plan and implementation schedule for the project including timeline and key deliverables. Safeguards • Ensure project Safeguards comply with the Financing Agreement, Tonga’s laws, and the World Bank’s Safeguard Policies. • Monitor legislation and policy requirements of both the Tongan government, and the World Bank for compliance and updates/changes. • Implement the ESMF including providing support for project implementation consultations, monitoring projects to ensure staff are supported and have the necessary skills to comply with ESMF requirements, and ensuring project documents (including tenders, bids and contracts) have requisite Safeguard documentation applied and attached as required. Safeguards Reporting • Develop and maintain a Safeguard Reporting System for monitoring all Safeguard activities (including handling of grievances), evaluation, tracking and reporting progress. • Provide Safeguard information and data as requested for management and review purposes. • Contribute to the delivery of quarterly monitoring and evaluation reports. • Contribute to the preparation of the six-monthly Progress Reports, for submission to the World Bank and the Project Steering Committee. • Provide details on project Safeguards for the Ministry of Fisheries Annual Report. Leading and supporting • Lead the management of all project Safeguard activities. • Maintain Safeguard records electronically and in hard copy. • Ensure compliance in relation to the provisions of World Bank safeguard requirements, including with respect to Environmental Assessment (OP/BP 4.01), Natural Habitats (OP4.04), and Physical Cultural Resources (OP4.11). • Lead the implementation of the stakeholder engagement strategy across all project activities. Design and deliver stakeholder engagement activities, interventions and outreach materials and manage reporting and monitoring of progress with delivery and impact of the engagement strategy and implementation plan across all project components. • Ensure continuous media outreach and community engagement at the local level to promote the Tongafish Pathways project activities and benefits to project stakeholders. • Design and lead engagement workshops and other outreach activities • Design and track stakeholder engagement management and monitoring plan. • Manage project grievances including maintaining the grievance database to track the progress of formal grievances for the duration of projects. Page 79 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 • Assist the Monitoring and Evaluation Specialist with respect to gathering data with respect Safeguards performance indicators. • Support the development of the project risk management plan. Organizing • Ensure project staff receives appropriate Safeguards and stakeholder engagement training. • Manage internal and external communications with respect to project Safeguards and all other project aspects related to stakeholder outreach and engagement. • Manage internal and external communications with respect to the project. Advice • Provide strategic and operational level Safeguards and stakeholder engagement advice to the Minister, CEO and Deputy CEOs and Project Manager Technical • Maintain the necessary level of technical and operational skills to fulfil the duties outlined. Other Duties • Perform other relevant and related duties reasonably requested by the Project Manager. Reporting The position reports to the Project Manager and receives guidance and control with respect to the Ministry’s operations and reporting requirements from the Ministry’s Heads of Divisions. Key deliverables Activity Timing Screen environmental and social risks, and prepare As required for each project activity Environmental and Social Management Plans, Resettlement Action Plans or other safeguards instruments. Prepare Stakeholder Engagement Strategy, Upon commencement, prior to project implementation work plan and timeline including key appraisal deliverables and activities Prepare GRM Upon commencement, prior to project appraisal Contribute (c) to project documentation Upon commencement and as required Pathways Stakeholder Engagement and Safeguards Upon commencement and annually Work Plan (c) Pathways Stakeholder Engagement and Safeguards Every six months Progress Reports (c) Pathways Monitoring and Evaluation Report for both Quarterly safeguards work and stakeholder engagement work (c) Contract duration and conditions • The contract will be for an initial period of up to three years, and may be extended for up to a further three years, subject to satisfactory performance. • The contract is subject to a probationary period of six months and may be subject to satisfactory achievement of initial training goals. • Performance will initially be reviewed at one month, three months, and six months, and thereafter to six monthly and annual reviews. Page 80 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 • This is a full-time position based in Nuku’alofa, Tonga but will involve extensive travel to Outer Islands for both aspects of the job (safeguards and stakeholder engagement). • The position attracts a total financial package of around TOP $ per annum. • The position is open to Tongan citizens or those eligible for a work permit in Tonga. • Current Tongan public servants may apply, but appointment will be subject to approval under World Bank procurement regulations. Essential criteria Safeguards • Graduate degree in sociology, anthropology, environmental management and/or science, planning or similar. • Extensive skills and experience in the evaluation, management, mitigation, and reporting of environmental (biophysical) and socio-economic impacts. • Significant experience in developing and implementing stakeholder engagement / consultation / outreach programs • Demonstrated ability to prepare comprehensive and accurate reports, planning stakeholder engagement strategies, work plans and workshops and training courses as well as media outreach experience, and extensive experience with relevant software packages such as Microsoft Office Suite. General • Strong ethics, personal organizational skills, and ability to manage own workload. • Excellent communication and interpersonal skills with the ability to design and deliver presentations to a broad range of audiences and stakeholders, with superior writing and multi- media skills and the ability to prepare accurate reports, and fluency (oral and written) in English. • Ability and willingness to travel to Outer Islands. Qualifications • Relevant degree in environmental assessment, social management, and communications and/or similar equivalent qualification. Desirable criteria • Experience with donor-funded projects, especially projects involving international financial institutions such as the World Bank. • Oral and written Tongan language skills. • Relevant post graduate qualifications. • Membership of a relevant professional organization. Applying for this post. Applications for the post should be made to: Dr Tu’ikolongahau Halafihi Chief Executive Officer Ministry of Fisheries Tonga By email to: pathways@tongafish.gov.to Applications must include 3 parts with the following format and content: 1. A brief covering letter introducing yourself, and explaining why you are interested in this post (maximum 1 page). Page 81 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 2. A resume (CV) showing personal details, work experience, and education, along with the names of three work related references (maximum 3 pages). 3. A claim for the position (with each essential and desirable criteria as a sub-heading) that addresses how your experience is applicable to each criterion, and providing examples relevant to the post’s key tasks and responsibilities (maximum 4 pages). Page 82 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex VI Checklist 1 – Screening Process Is the project a new Use Checklist 2 Construction Yes and Renovation Screening building or renovation? Checklist No Is the project an Prepare ESIA and ESMP. aquaculture facility? Yes Refer to Guideline 1 ESIA for Aquaculture No Is it a Technical Advisory, Refer Section 6 – TA Table Policy Review, Fisheries Yes in the ESMF. Include E&S in Management Plan etc.? the TOR No Include E&S in the TOR. Is it the Master Plan? Include E&S specialist on Yes the Master Plan team No Refer to Guideline 2 Is it a MOF vessel? Yes MoF Vessels No Is it a new SMA Use SMA manual* or an SMA review? Yes No Is it a new SMA Refer to Guideline 3 - community investment? SMA Community Yes Investments No Use Checklist 3. All other projects Check Ineligible Activity Yes List (Table 2 in ESMF) *For new SMA or SMA Reviews, this has been screened as a Category B. The SMA manuals to be prepared under Component 2.3 will manage the impacts. The manuals will include consultations, engagement, GRM, environmental monitoring, safeguards monitoring and oversight etc. No separate safeguard instrument needs to be prepared. Page 83 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex VII Checklist 2 - Construction and Renovation Screening Checklist Name of the Subproject: Screening Date: Locality: Description of the area: Step 1. Screen for Renovation or New Build Is the project a Category C. Low Risk. renovation? Yes Prepare ECOP: • Screen for asbestos. • Prepare and follow Waste Management No Plan. • Prepare Health and Safety Plan for Contractors. Is the project a new Complete EIA Form 1. Lodge build? Yes with MOI and MEIDECC EIA Unit. Proceed to Step 2 Step 2: Land Acquisition 1. Is the land required government land or private land? ❑ Government land. Work with MLNR to acquire land. ❑ Private land. Must be voluntary land donation or private land lease only. Involuntary land acquisition is prohibited. Exclude land with private assets or that needs significant clearance. Step 3: Environmental Risks 2. Will this activity require clearance of trees, including mangroves, or natural vegetation in excess of half a hectare? ❑ Yes – Category B and Major project under Tongan Law ❑ No 3. Will this activity require any clearance of native vegetation? ❑ Yes – Category B ❑ No 4. Will there be any negative impact on any natural habitats? ❑ Yes – Category B ❑ No Page 84 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 5. Will there be any significant impact on any ecosystems of importance (especially those supporting rare, threatened or endangered species of flora or fauna)? ❑ Yes – Category B and Major project under Tongan Law ❑ No 6. Will this project result in the introduction of species of types not previously present that might adversely affect the environment and biodiversity? ❑ Yes – Major project under Tongan Law ❑ No 7. Will this activity require any land reclamation? ❑ Yes – Category B ❑ No 8. Will this activity result in any significant increase in pollution? ❑ Yes – Category B and Major project under Tongan Law ❑ No 9. Will this activity result in the occurrence, or increase the chances of occurrence, of natural hazards such as soil erosion, flooding, tidal inundation or hazardous substances? ❑ Yes – Category B and Major project under Tongan Law ❑ No 10. Are utility services unavailable and/or inadequate for the activity? ❑ Yes – Category B and Major project under Tongan Law ❑ No 11. Will this project result in the allocation or depletion of any natural and physical resources in a way or at a rate that will prevent the renewal by natural processes of the resources or will not enable an orderly transition to other materials? ❑ Yes – Major project under Tongan Law ❑ No 12. Will this project have features, the environmental effects of which are not certain, and the potential impact of which is such as to warrant further investigation? ❑ Yes – Major project under Tongan Law ❑ No Page 85 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Step 4: Social Risks 13. Will this activity require compensation for crops and/or assets? ❑ Yes – Category B ❑ No 14. Will this activity significantly impact areas, landscapes and structures of aesthetic, archeological, cultural, historical, recreational, scenic or scientific value? ❑ Yes – Category B and Major project under Tongan Law ❑ No – ensure chance find procedures are in place (Annex XV of the ESMF). 15. Will this activity significantly impact any land, water, sites, fishing grounds, or physical or cultural resources, or interests associated with such areas, which are a part of the heritage of the people of Tonga and which contribute to their well-being? ❑ Yes – Major project under Tongan Law ❑ No 16. Will this activity significantly impact the social and the economic well-being of communities? ❑ Yes – Major project under Tongan Law ❑ No Step 5. World Bank and Tongan Risk Categorisation and Safeguards Instrument Major Project (Tongan). If identified in Step 3 or Step 4, prepare a full Environmental Impact Assessment (EIA Form 3) incorporating an ESMP (WB). Category B. If yes to any of the questions in Step 3 or Step 4, but not identified as a major project under Tongan Law, ESMP required (WB). Minor project. If no’s to all questions in Step 3 and Step 4. Minor risks. Prepare an EIA Form 2. Prepare Waste Management Plan. Prepare Health and Safety Plan for Contractors. Step 6: Preparation of safeguard instruments Before developing safeguard instruments, discuss design with Project Team (Step 4 of Screening of Subprojects Process, see Section 7 of the ESMF). The subproject located has been assessed and the following safeguard documents/instruments will be prepared: ❑ EIA incorporating ESMP (Tonga & WB) Date Complete: ❑ ESMP (WB) Date Complete: ❑ EIA Form 2 (Tonga) Date Complete: ❑ Waste Management Plan Date Complete: ❑ Health and Safety Plan Date Complete: Page 86 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex VIII Checklist 3 – All Other Projects Screening Checklist This form is to be used by the Ministry of Fisheries to screen potential environmental and social safeguards issues in subprojects, determine the level of risk, and the type instrument to be prepared or follow-up action to be taken. This form is for all ‘other’ activities not already screened in the ESMF. Before screening, check that the activity is not listed in Table 2 - Ineligible Activity List of the ESMF. Subproject Name Subproject Location(s) Subproject Type Start/Completion Date Confirm the activity is not on the prohibited list (Table 2 in ESMF) Screening Questions for Subproject Answer If Yes Actions and Yes No WB Category Safeguards of Risk and Documents Policy Required if triggered Yes Is the subproject likely to have significant OP 4.01 Ineligible for adverse social or environmental impacts Environmental funding. This that are sensitive, diverse or Assessment subproject is unprecedented? Category A Category B and E.g. cannot fund Removal, reclamation, damage or Category A destruction of >10ha of Forest, mangrove or projects. sensitive habitat – wetland, foreshore, etc. Could the Removal, damage or destruction of any subproject be critical habitat (as per OP4.04). redesigned to avoid or Will cause significant health and safety reduce issues for 10’s or 100’s of people. impacts? This includes ‘downstream’ or future impacts from Technical Advisory studies. Provide brief description and attach supporting documentation: Page 87 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Screening Questions for Subproject Answer If Yes Actions and Yes No WB Category Safeguards of Risk and Documents Policy Required if triggered Yes Is the proposed subproject likely to have OP 4.01 No action minimal or no adverse environmental or Environmental needed impacts? Please provide brief justification. Assessment beyond Category C screening E.g. Providing goods (software, computers, tools, fishing rods), training, simple repairs to structures, signage). Is the subproject neither a Category A nor OP 4.01 Further Category C as defined above?22 This Environmental scoping includes Technical Advisory. Please provide Assessment required to brief justification. Category B determine actual scale of E.g. Removal, reclamation or destruction of risk and <10ha of Forest, mangrove or sensitive identify habitat – wetland, foreshore, etc. opportunities to reduce Compensation required for loss of assets or risks. ESIA or access to access from land users (but no ESMP, or physical relocation), related to voluntary mitigated land donation or land leasing. through subproject Affecting livelihoods from the restriction of design such as access to protected areas. Technical Advisory TOR. 22 Projects that do not fall under Category A or Category C can be considered as Category B. Examples of Category B subprojects include small scale in-situ reconstruction of infrastructure projects such as road rehabilitation and rural water supply and sanitation, small schools, rural health clinics, etc. Page 88 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Screening Questions for Subproject Answer If Yes Actions and Yes No WB Category Safeguards of Risk and Documents Policy Required if triggered Yes Will the subproject desecrate, destroy or OP 4.11 Ineligible as damage physical cultural resources?23 Physical OP4.11 is not Please provide brief justification. Cultural triggered for Resources this subproject. Recommend redesigning the subproject to avoid these impacts. Will the subproject involve the conversion OP 4.04 or degradation of natural habitats (not Natural defined as ‘critical habitat’ in the policy)? Habitats Please provide brief justification. Will the subproject involve the significant OP 4.04 Not eligible for conversion or degradation of critical natural Natural financing habitats?24 Habitats under the Policy. Recommend redesigning the subproject to avoid these significant impacts. 23 Examples of physical cultural resources are archaeological or historical sites, including historic urban areas, religious monuments, structures and/or cemeteries, sacred locations (trees, rocks, landscapes), particularly sites recognized by the government or community. 24 Subprojects that significantly convert or degrade critical natural habitats such as legally protected, officially proposed for protection, identified by authoritative sources for their high conservation value, or recognized as protected by traditional local communities, are ineligible for Bank financing. Page 89 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Screening Questions for Subproject Answer If Yes Actions and Yes No WB Category Safeguards of Risk and Documents Policy Required if triggered Yes Will the subproject involve involuntary land OP4.12 Ineligible for acquisition, or the loss of assets or access Involuntary funding as to assets, or loss of income sources or Resettlement OP4.12 is not means of livelihood as a result of triggered. involuntary land acquisition? Please Recommend provide brief justification. redesigning the subproject to avoid involuntary land acquisition. Will the subproject have the potential to OP4.36 Addressed in have impacts on the health and quality of Forestry ESIA or forests >1ha or the rights and welfare of Technical people and their level of dependence upon Advisory TOR. or interaction with forests >1ha (including mangroves); or does it aim to bring about changes in the management, protection or utilization of natural forests and mangroves? Please provide brief justification. Questions for Tongan Regulation Answer Actions and Yes No Documents Required if Yes Is the subproject a major project under EIA Permit regulations? application form and EIA incorporating an ESMP Is the subproject a minor project under EIA Permit regulations application form and ESMP Page 90 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Conclusion and Safeguards Instruments Required The subproject is classified as a Category ________ project as per World Bank OP 4.01, a Major/Minor (circle) project under Tongan EIA regulations and the following safeguard instruments will be prepared and / or actions taken: 1. _______________________________________________________________________ 2. _______________________________________________________________________ 3. _______________________________________________________________________ 4. _______________________________________________________________________ 5. _______________________________________________________________________ Page 91 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex IX Terms of Reference for Technical Advisory The Terms of Reference for any Technical Advisory contracts should contain the following safeguard clauses as a minimum: 1. Analysis should include the environmental and social aspects and impacts, consistent with the safeguard policies of the World Bank and the Environmental and Social Management Framework (ESMF) of the TongaFish Pathway Project. 2. Outcomes and outputs (such as design, construction methods, training materials, recommendations and advice) should be consistent with the safeguard policies of the World Bank and the Environmental and Social Management Framework (ESMF) of the TongaFish Pathway project. 3. Recommendations must minimize or avoid negative impacts of any downstream activities on forests, including mangroves. 4. Recommendations must consider the impacts on land acquisition and access and where necessary, include a requirement for minimizing or avoid involuntary land acquisition, involuntary resettlement or involuntary restriction of access to assets. If necessary, the Technical Advisory must require the preparation of a Resettlement Policy Framework (RPF)/Resettlement Action Plan (RAP) for the implementation of any relevant recommendations. 5. Free, prior and informed consultation of potentially affected people, stakeholders and vulnerable groups shall be adequately delivered, gender and youth inclusive, and well documented and in compliance with the Stakeholder Engagement Plan. Outputs of this contract must be screened by the Ministry of Fisheries Safeguards Officer. Page 92 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex X Guideline 1 - ESIA for Aquaculture Farms for the propagation of marine, estuarine or freshwater organisms are listed on the Schedule of Major Projects under the Environmental Impact Assessment Act 2003 and would require the development of an appropriate environmental and social impact assessment (ESIA). Under World Bank Policy OP4.01, aquaculture facilities are a category B and will require the development of an Environmental and Social Management Plan (ESMP) as part of a limited assessment. The ESIA developed under Tongan law would incorporate the ESMP that is required by the World Bank. This combined document can be submitted both to Tonga Department of Environment and the World Bank for approval. No further screening is required. This guideline details how to prepare an ESIA that meets Tonga and World Bank requirements: Guideline for ESIA for Aquaculture 1. Prepare Terms of Reference for a consultant to prepare an ESIA and ESMP for Tonga and World Bank Approval. 2. Prepare ESIA and ESMP. As a minimum, the document must follow the format listed on Form 3: Major Environmental Impact Assessment in Schedule 1 of the Environmental Impact Assessment Regulations 2010. Specific Risks to Assess Specific risks to include and assess in an ESIA study that includes an ESMP: • Land and building location and ownership (refer to Checklist 2 - Construction and Renovation Screening Checklist). • Ecosystem impacts. • Any introduction of species not previously present in Tonga. • Permit requirements for any CITES listed species. • Water intake information such location of intake, rate of flow, and volume. • Wastewater discharge information such as location of discharge, nature of discharge (contaminants), treatment required, rate of discharge, volume and testing regime. • Any long-term effects upon the environment and any identified cumulative effects. • Solid waste handling, storage and disposal procedures. • Storage, handling and disposal of chemicals. • Methods to ensure construction materials and equipment are clean to avoid the transmission of pest plants and invasive species. • Health and safety procedures for construction workers. • Health and safety procedures for operation. Including safety for workers and the community. • Hours of operation. • Nuisance e.g. odor or noise. • Increases in traffic flow. • Emergency procedures e.g. in the event of plant failure or natural disaster. • Inspection and maintenance procedures. • Consultation requirements, including special consideration for vulnerable groups (women, youth). • Complaints process (grievance redress mechanism). • Disclosure of safeguard documents. Page 93 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex XI Guideline 2 - MoF Vessels Under World Bank Policy OP4.01, vessels have been screened as a Category C. The activity is likely to have minimal or no adverse environmental impacts. No further safeguard documents are required. However, the design and purchase of vessels by Ministry of Fisheries will need to follow this guideline to mitigate the health and safety risks identified through the environmental and risk screening process. Design, procurement and operation process must ensure that: • The vessel is appropriate for its intended use. • Vessels meet all requirement including safety specifications and are operated by trained, and where required, qualified persons. • Vessels are maintained and stocked with international standard safety equipment. • A Health and Safety Plan is developed and shared with vessel operators. • Safety equipment, such as life jackets and flares, are provided to all operators and users. • All users are trained to operate safety equipment, and safety procedures are followed at every outing. • Vessel inspection and maintenance records are kept and made available upon request. Page 94 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex XII Guideline 3- SMA Community Investments Guidelines for Boats and Boating Activities EHS plans EHS guidelines will be prepared by the Ministry of Fisheries for purchasing of small boats and boating activities under the TongaFish Pathway project. The guidelines for preparing the EHS’s are as follows. EHS Plan Guideline for Purchasing Small Boats Under World Bank Policy OP4.01, vessels have been screened as a Category C. The activity is likely to have minimal or no adverse environmental impacts. No further safeguard documents are required. However, the design and purchase of vessels by communities will need to follow a standard EHS plan for purchasing small boats, developed by Ministry of Fisheries. The standard EHS plan for purchasing small boats should include the following: • That the vessel is appropriate for its intended use. • Vessels meet all requirements including safety specifications and are operated by qualified persons. • Vessels are maintained and stocked with international standard safety equipment. • Safety equipment, such as life jackets and flares, are provided to all operators and users. • All users are trained to operate safety equipment, and safety procedures are followed at every outing. • Vessel inspection and maintenance records are kept and made available upon request. EHS Plan Guideline for Boating Activities (including FAD Installation) The use of vessels by communities will need to follow a standard EHS plan for boating activities developed by Ministry of Fisheries for the project. The standard EHS plan for boating activities should include the following: • Vessels meet all requirements including safety specifications and are operated by qualified persons. • Vessels are maintained and stocked with international standard safety equipment. • Safety equipment, such as life jackets and flares, are provided to all operators and users. • All users are trained to operate safety equipment, and safety procedures are followed at every outing. • Vessel inspection and maintenance records are kept and made available upon request. Page 95 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 SMA Investment Screening Checklists Applications for investment funding from the SMA communities will need to be screened as they are received by Ministry of Fisheries prior to allocation of the funding. Each time an SMA community applies to Ministry of Fisheries, the following SMA Investment Screening Checklist will need to be completed: Page 96 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 SMA Investment Screening Checklist Name of the SMA community: Screening Date: Locality: Description of investment: 1. Is the Investment in the SMA Plan for the community? ❑ Yes – proceed to question 2. ❑ No – update the SMA plan and undertake consultations on the updated plan. 2. Is the Investment already identified and screened in Section Error! Reference source not found. - Error! Reference source not found. of the ESMF? ❑ Yes – proceed to question 3. ❑ No – complete Error! Reference source not found.. 3. Which of the following investment is it? ❑ Building – compete Error! Reference source not found. in the ESMF. ❑ Vessel – Screened as a Category C. Use standard EHS Plan for Purchasing Small Boats. ❑ Buoys/markers – Screened as a Category C. Use standard EHS Plan for Boating Activities. ❑ FAD – Screened as a Category C. Use standard EHS Plan for Boating Activities. Also, continue to the next page and complete FAD Screening Checklist. Page 97 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 FAD Screening Checklist Name of the SMA community: Screening Date: Locality: Description of the FAD location: 1. Is the FAD in the SMA Plan for the community? ❑ Yes – proceed to question 2. ❑ No – not eligible for funding unless the Plan is updated and community consultation completed. 2. Have consultations been undertaken with affected people outside of the SMA community? ❑ Yes – proceed to question 3. ❑ No - undertake consultations per the SEP or the SMA Manual. 3. Do affected people know about the project complaints process (GRM) and how to make complaints or provide feedback? ❑ Yes - proceed to question 4. ❑ No – share the GRM details as per the ESMF and inform affected people how it works. 4. Has the FAD location been surveyed? ❑ Yes - enter date of location survey: then proceed to question 5. ❑ No – ensure the location is surveyed prior to installation. 5. Is the FAD being located where it is safely accessible to canoe fishers (<1km from shore)? ❑ Yes - proceed to question 6. ❑ No – discuss FAD location with community to confirm a safe location to access FAD. 6. Have all vessel operators and FAD deployers undertaken health and safety training as per EHS Plan for boating activities? ❑ Yes – proceed under EHS Plan. ❑ No – ensure training is given first before FAD installation. The FAD located has been assessed as Category C few, unlikely environmental and social risks that can be readily mitigated through training and operational procedures under a standard EHS Plan for Boating Activities to be prepared during project implementation, prior to any FAD installations. Page 98 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex XIII Summary of Pre-Appraisal Consultations Third Project Preparation Mission Consultations - September 2018 The Safeguards team met with stakeholders during the third Project Preparation mission to Tonga in September 2018. A summary of findings on Inter-Ministerial engagement and SMA research is below: Biodiversity and Ecosystem Management Division, Department of Environment. The mission met with the Principal Assistant Secretary of the Biodiversity and Ecosystem Management Division to provide a brief introduction to the project and to identify synergies with the Division’s work program. The Division is responsible for the management and enforcement of Marine Protected Areas (MPA) and is managing the Tongan Marine and Coastal Biodiversity Management in Pacific Island Countries ‘Macbio’ project (www.macbio-pacific.info), responsible for preparing five new SMA and five new Marine Protected Areas (MPA). The Department of Environment, Ministry of Fisheries, Ministry of Lands and Natural Resources and other Government Ministries have formed the Marine Spatial Planning Technical Working Group (called Oceans 7). In partnership with Macbio, the Oceans 7 have prepared a draft Marine Spatial Plan for the Kingdom of Tonga and will consult with communities during the next three months. The interests of the Division in TongaFish Pathway include: 1) coordination of community engagement and outreach for biodiversity and ecosystem health; 2) coordination of ecological and environmental monitoring effort for SMA and MPA, and the Kingdom of Tonga’s commitments to international conventions and State of the Environment monitoring and 3) support to prepare public resources to improve outreach and awareness raising on biodiversity and ecosystem health. Ministry of Lands and Natural Resources The mission met with the CEO of the Ministry of Lands and Natural Resources. The Ministry is responsible for leading the Marine Spatial Planning Project and a broader umbrella legislative framework for Sustainable Ocean Planning and Management, providing a consistent and strategic vision for the coastal and oceanic environment: spatial planning, Exclusive Economic Zone (EEZ) management, maritime boundary, seabed minerals, coastal and oceanic fisheries and biodiversity management. National Geographic Information Systems (GIS) capability is centralised in the Ministry as a service for all government agencies. The team stores and shares data and provides mapping and data analysis services. GIS requirements for monitoring and evaluation under the Project would be coordinated by the Ministry and both the Ministry of Lands and Ministry of Fisheries should ensure there’s sufficient resources to service the project. Regarding land use requirements for TongaFish Pathway it was noted that, 1) land for operations sheds and other foreshore / fisheries related assets to be owned and operated by MoF, and Ministry of Lands will assist to find suitable government land (no land acquisition is required), and 2) community assets (such as jetties, community halls) will require a Voluntary Land Donation from the land owner, where no payment is required. This requires a legal entity (such as a SMA committee) to enter into the agreement with the land owner. SMA Research Page 99 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 The mission met with Patrick Smallhorn-West, a PhD candidate with MoF, to discuss findings on the SMA program. Some possible areas for consideration to improve the SMA program include 1) greater feedback to communities to celebrate success and define areas for improvement, 2) introduction of a minimum size for no-take zones and/or certain species that must be included (to avoid selection of dead zones), 3) greater use of available data to identify preferred SMA sites, 4) awareness raising about SMAs, including success stories and benefits to encourage support, 5) improving data collection methods and equipment, 6) improving demarcation of SMA boundaries, 7) identifying measures to improve safety of fishers forced to venture further out to sea in depleted areas, 8) enhancing opportunities for alternative livelihoods from SMA (non-fishing activities) and 9) identifying control sites (difficult as the number of SMAs has grown rapidly). Page 100 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Pre-Appraisal Mission Consultations - November 2018 Ministry of Fisheries staff and the Safeguards Specialists held stakeholder consultation workshops in Tongatapu, Vava’u and Ha’apai during the week of November 12-16th, 2018. The minutes of the meetings are included below: Tongatapu Stakeholder Consultation Meeting On November 13th, 2018, Ministry of Fisheries (MoF) held a stakeholder consultation meeting in Nuku’alofa, with representatives of key Government Agencies, SMA community representatives, community officers, and town officers. The meeting was chaired by the CEO of the Ministry of Fisheries, Tuikolongahau Halafihi (Hau). The consultation team also comprised Poasi Ngaluafe (Deputy CEO, Fisheries Compliance Division), Lupe Fe’iloaki (Senior Fisheries Officer, Corporate Service Division and Acting Project Coordinator), Sarah Hendrikx (World Bank Safeguards Consultant), and Rachelle Marburg (World Bank Social Development Specialist). Welcome and Introductions CEO Hau began the meeting by welcoming the attendees and the consultation team. Introductions were made, and all the meeting attendees were given a project flyer and slides of the ESMF presentation. Both the project flyer and the presentation slides were available in English and in Tongan and are included at the end of the meeting notes. The consultation was conducted both in English and in Tongan. Presentations CEO Hau began the meeting by presenting an overview of the TongaFish Pathway project, the project components and the project length. This presentation was given first in Tongan and then in English. Sarah Hendrikx, Safeguards Consultant, then presented on the draft Environmental and Social Management Framework (ESMF), Stakeholder Engagement Plan (SEP) and Grievance Redress Mechanism (GRM). The presentation was also given in Tongan by Poasi Ngaluafe who translated Sarah’s presentation after each slide. Opportunities for questions and comments were given during the presentations. At the end of the presentations, the meeting was opened for questions and comments. Discussion and Stakeholder Feedback The discussion was conducted in both English and Tongan. Key points of the discussion with stakeholders included: • Risks. Participants asked for clarification of the main risks of the project sub-component activities. The main risks for the subproject activities were explained and how they would be screened and then either mitigated or avoided. • Land. There was concern about what would happen to the land for SMA assets and whether it would be taken back at the end of the TongaFish Pathway project. It was discussed that land access will be negotiated through the voluntary leasing process that both parties would agree to and an MOU would be signed. The length of the lease will be mutually agreed to, and it will not simply cease at the end of the projects life. The Ministry for Lands and Natural Resources (MLNR) also emphasized to the town and community officers that they should ask for what they need in terms of land through a voluntary land agreement early to avoid future challenges. Page 101 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 General comments from the participants were that they appreciate MoF undertaking these initiatives to get funding for project activities and that the project will strengthen and expand the SMA network. Especially, existing SMA communities are interested in and appreciative of the opportunity to apply for SMA assets. Conclusion CEO Hau concluded the meeting with thanks to all the participants and presenters. List of Participants Name Organization or Community Taaniela Kula Deputy CEO - Ministry of Lands and Natural Resources Sione Nuku Kata District Officer - Nukunuku Viuami Sisifa District Officer - Vaini Sitiveni Fea’o District Officer - Lapaha Saimone T. Toutai Town Officer - Lapaha Mataiasi Holani District Officer – Kolomotue Taniela Fe’ao Haveluloto Mosese Taunaholo ‘Atata Island Hemaloto Tupua Ministry of Infrastructure (Marine/Ports) Sinipata Muli ‘Eu’eiki Island Tai Lau Kolonga Tevita Piukana Ha’atafu Telefoni Laume Town Officer – Fua’amotu Yumi Nafe Ministry of Lands and Natural Resources Jake Atienza Artist Dr. Vita Thomas Pangaimotu Island Page 102 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Donor Groups Consultation Meeting On November 14th, 2018, MoF held a stakeholder consultation meeting in Nuku’alofa with key donor groups. The meeting was chaired by the CEO of the Ministry of Fisheries, Tuikolongahau Halafihi (Hau). The consultation team also comprised Lupe Fe’iloaki (Senior Fisheries Officer, Corporate Service Division and Acting Project Coordinator), Sarah Hendrikx (World Bank Safeguards Consultant), and Rachelle Marburg (World Bank Social Development Specialist). Welcome and Introductions CEO Hau began the meeting by welcoming all the attendees and the consultation team. Introductions were made, and all meeting attendees were given a project flyer and slides of the ESMF presentation in English. The consultation was conducted in English. Presentations Rachelle Marburg presented an overview of the TongaFish Pathway project description, project length and the project components. Opportunities for questions and comments were given during this presentation. Sarah Hendrikx, Safeguards Consultant, then presented on the draft ESMF, SEP and GRM. Opportunities for questions and comments were given during the presentation. At the end of the presentations, the meeting was opened for questions and comments. Discussion and Stakeholder Feedback The discussion was conducted in English. Key points of the discussion included: • Capacity. Participants were interested in whether MoF has the staff to implement the program and where the gaps in the Ministry of Fisheries exist. The NZ High Commission (NZHC) also asked where they can support in terms of capacity. Lupe explained that the Project Management Unit (PMU) doesn’t exist yet. However, when it is established the resources to implement the ESMF, SEP and GRM will be there. Rachelle also explained that some of the project activities are already part of MoF’s core business. The World Bank (WB) will also continue to provide capacity building and training for the PMU. Rachelle also explained that there would be a 3-year trust fund for capacity building in the Pacific and she would connect attendees with the person in the Sydney office doing the training. • Overlap. The NZHC shared that they will do a scoping next year (2019) to ensure there are no overlaps or duplications of projects. NZHC would like to understand the WB project better to ensure they don’t duplicate. The outcome of this is to ensure that the work that is being done compliments each other and does not overlap. • Climate change. NZHC have made changes so that considering climate change impacts is now mainstreamed. Furthermore, they are interested in strengthening their involvement with Fisheries sector. Rachelle explained that under current safeguards climate change impacts are not mainstreamed, but that the process does consider the impacts of climate change. • IUU. The Japan International Cooperation Agency (JICA) is interested in Component 1, IUU. There is a Pacific Island Countries (PIC) training in Japan in 2020. 20 participants will travel to Japan for this training. Page 103 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 • SMAs. There was interest in where the name SMA and the process for setting up came from. CEO Hau explained that it came from Samoa, but the system in Tonga is quite different. Other countries have Community Managed Areas and other similar types of managed areas. NZ is interested to see SMAs become district level and include landlocked communities. Hau explained that there are very few landlocked communities and there has been some interest, e.g. from Eu’a Island, to have an island wide SMA rather than individual community SMA. There will also be opportunity for more than one community to come together to form an SMA through upcoming legislation changes. • Health and safety for vessels. Discussion focused on what kind of vessels were needed. It was explained that the vessels will either be for compliance or for SMA communities. A JICA funded vessel maintenance and safety expert will be based in Fiji starting next April. Focus is on larger vessels, such as ferries, however they may be able to support training for smaller boats e.g. a half day workshop that would be useful for MoF. NZ will also provide health and safety grab bags for boats in the outer islands and small fishing boats. This project should be rolled out by the end of the year. • Tracking fish migration. JICA enquired if there is a need for fish studies for tracking changes due to fish aggregating devices (FADs). Hau explained that they already monitor stock assessments and send this data to the Pacific Community (SPC) who do analysis and then share the information. He also explained that project FADs are different from those used for tuna. FADs are being used to move fish from coral reefs that are impoverished and work as an artificial reef for tuna species. • Land use issues. JICA mentioned that there is aerial data available that can be used to identify land use types. MoF confirmed that they will work with MLNR on this. MNLR already use GIS mapping to identify sites. • ESMF process. JICA were interested to know if this process can be used in other countries and projects. Rachelle explained that the structure and process can be, however it depends on the country and the activities. This ESMF is specific for Tonga and for the TongaFish Pathway project. Conclusion CEO Hau concluded the meeting with thanks to all the participants and presenters for their contribution and discussion. List of Participants Name Organization or Community Yasushi Hayashi Japan International Cooperation Agency (JICA) Alfred Vaka Japan International Cooperation Agency (JICA) ‘Olivia Fukoguka New Zealand High Commission Page 104 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Vava’u Stakeholder Consultation Meeting On November 15th, 2018, MoF held a stakeholder consultation meeting in Vava’u with representatives of key Government Agencies, Civil Society members, commercial interest groups, NGOs and community groups. The meeting was chaired by Poasi Ngaluafe (Deputy CEO, Fisheries Compliance Division). The consultation team also comprised Lupe Fe’iloaki (Senior Fisheries Officer, Corporate Service Division and Acting Project Coordinator) and Sarah Hendrikx (World Bank Safeguards Consultant). Angelica Mafile’o, Officer in Charge (OIC) at the Vava’u Ministry of Fisheries was also in attendance. Welcome and Introductions Angelica began the meeting by welcoming the attendees and the consultation team. All meeting attendees were given a project flyer and slides of the ESMF presentation. Both the project flyer and the presentation slides were available in English and in Tongan. The consultation was conducted both in English and in Tongan. Presentations Poasi Ngaluafe presented an overview of the TongaFish Pathway project description, the project components and project length. This presentation was given in Tongan. Sarah Hendrikx, Safeguards Consultant then presented on the draft ESMF, SEP and GRM. The presentation was also given in Tongan by Poasi Ngaluafe who translated after Sarah’s presentation of each slide. At the end of the presentations, the meeting was opened for questions and comments. Discussion and Stakeholder Feedback The discussion was conducted in Tongan. Key points of the discussion included: • Vessels. There was interest in many vessels would be available to the community. Poasi advised that one vessel would be needed for MoF compliance in each Tongatapu, Vava’u and Ha’apai. MoF are yet to confirm the specifics of this. Other vessels will be for the SMA communities, but this will not be until later in the project after consultation with SMA team. There is work that still needs to be done to confirm the project budget over the 6-12 years. • Compliance. Attendees commented that they are pleased to see that compliance is included as part of the project as they have ongoing minor non-compliance in Vava’u. This will help them to strengthen their compliance program. • Land. There was interest in what happens to the land accessed through the project when project finishes. Poasi advised that there is the need to prioritize government land to fast track land access processes and to ensure the ongoing security of the land. Some projects will require voluntary land donations e.g. in SMA communities. It is important for those considering voluntary land donation to speak up early if they are thinking of any compensation. • SMA implementation. Attendees were very glad that the SMA program is successful. They can see that it is successful as the World Bank is considering it for further funding. Challenges they have been trying to overcome include community resistance. However, now they see that communities are hungry for the program as communities can see that it benefits the whole community. They have also noticed an increase in marine species availability in SMA e.g. octopus found close to shore where they weren’t before. This shows that the ocean is healthier. Page 105 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 • SMA in Koloa. It was raised that soil erosion into ocean is a challenge in Koloa. The community is seeking support for soil stabilization. Lupe answered that as their need is urgent, there are grants under NZHC that they could apply for. Information will be given to Angelica so that she can have available for interested communities. Conclusion Poasi concluded the meeting with thanks to all the participants and presenters for their contribution and discussion. List of Participants Name Organization or Community Loleine Tuinea Administration Assistant - Waste Authority Ltd. Tuihoua Lautaha District Officer – Hihifo Tevita Manuofetoa District Officer Mena’ati Fifita District Officer – Hahake Mikaele Saipa’ia Acting Officer in Charge - Ministry of Agriculture, Food and Forestry (MAFF) Karen Stone Director – VEPA Mapa Hafoka Hahake Sua Kaufusi District Officer - Neiafu Page 106 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Ha’apai Stakeholder Consultation Meeting On November 16th, 2018, MoF held a stakeholder consultation meeting in Ha’apai with representatives of key Government agencies, Civil Society members, commercial interest groups, youth and community members. The meeting was chaired by Poasi Ngaluafe (Deputy CEO, Fisheries Compliance Division). The consultation team also comprised Lupe Fe’iloaki (Senior Fisheries Officer, Corporate Service Division and Acting Project Coordinator) and Sarah Hendrikx (World Bank Safeguards Consultant). Taufa Fainganuku, Officer in Charge at the Ha’apai Ministry of Fisheries was also in attendance. Welcome and Introductions Taufa began the meeting by welcoming the attendees and the consultation team. All meeting attendees were given a project flyer and slides of the ESMF presentation in Tongan. The consultation was conducted in Tongan. Presentations Poasi Ngaluafe presented an overview of the TongaFish Pathway project description, the project components and the project length. Poasi then presented on the draft ESMF, SEP and GRM. This presentation was given in Tongan. Opportunities for questions and comments were given during the presentation. At the end of the presentations, the meeting was opened for questions and comments. Discussion and Stakeholder Feedback The discussion was conducted in Tongan. Key points of the discussion included: • Location of ‘Uiha SMA. MoF were asked by one of the ‘Uiha community to follow up on the location of ‘Uiha SMA. He wants to ensure that the new SMA location will not impact his pearl farming location. MoF will follow up with the SMA team and the legal officer. • Aquaculture activities. A ‘Uiha community member is interested in being involved in a Mabé pearl workshop, like the one held in Vava’u the day before. Poasi indicated that under Component 2 of the project, aquaculture extension activities are included and emphasised that there will be opportunities for communities to participate in these. • Consultation process. The Officer in Charge of Ministry of Agriculture, Food and Forestry in Ha’apai reinforced to the attendees the importance of attendance when they are invited to consultation meetings such as this consultation and SMA consultations. He reinforced that it is important for all of Tonga that they attend and have their voice heard. He was appreciative that the consultation and consultation materials were in Tongan so that the community could understand and participate. Conclusion Poasi concluded the meeting with thanks to all the participants and presenters for their contribution and discussion. Page 107 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 List of Participants Name Organization or Community Sunia Napa’a Ministry of Agriculture, Food and Forestry (MAFF) Mosee Moala Ministry of Fisheries (MoF) Tuatalatau Tonga’onevai Ministry of Fisheries (MoF) Tu’ifua Vaikona ‘Uiha Island Mele ‘Elenga Tongile’o ‘Uiha Island Neomai Vaikona ‘Uiha Island Matafolau Moala Youth Tevita Taufalele Ministry of Agriculture, Food and Forestry (MAFF) ‘Inoke Fono Holopeka Viliami Tukoumoe’atu Ministry of Infrastructure Sitaleki Pahulu Koulo Simote Mahe Land and Survey Siola’a Liuaki Hihifo Sione Mei Ha’amoa Hihifo ‘Aki Telusa Ministry of Agriculture, Food and Forestry (MAFF) Summary of TongaFish Pathway Pre-Appraisal Mission Consultations In summary, the main points raised by stakeholders during the consultation meetings regarded the capacity of MoF to implement the TongaFish Pathway program and ESMF, SMAs implementation and assets, vessel purchasing and health and safety, voluntary land donations, and fisheries compliance. Most stakeholders already had a good understanding of the project and its components due to the Fisheries Sector Plan consultations and SMA consultations. There were no changes made to the ESMF as a result of the consultations with respect to the mitigation and monitoring strategies. The Land Access and Resettlement Policy Framework was updated to reflect MLNR’s comments regarding the need for town and community officers to ask for what they need through a voluntary land agreement early, in order to avoid future challenges. Page 108 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 ESMF Presentation Slides (English) Page 109 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Page 110 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Page 111 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Page 112 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Page 113 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Page 114 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 ESMF Presentation Slides (Tongan) Page 115 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Page 116 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Page 117 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Page 118 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Page 119 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Page 120 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Project Flyer (English) Page 121 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Project Flyer (Tongan) Page 122 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex XIV Grievance Mechanism COMPLAINTS PROCESS for the Tongafish Pathway Project (aka Grievance Redress Mechanism (GRM)) 1. Principles of the Complaints Process • The Complaints process is for people seeking satisfactory resolution of their complaints on the environmental and social performance of the Tongafish Pathway project by the Ministry of Fisheries (MoF) in Tonga. • This Process is consistent with the Project’s Environmental and Social Management Framework (ESMF). • The mechanism will ensure the following: o the basic rights and interests of every person affected by poor environmental performance or social management of the project are protected; and o their concerns arising from the poor performance of the project during the phases of design, construction and operation activities are effectively and timely addressed. 2. How to get in touch: Anyone can make a complaint or grievance, ask for information on the project or get in touch for any reason. Complaints can be anonymous. The various ways to get in touch are: 1) By Phone: +676 21-399 (MoF offices) 2) By email: complaints@tongafish.gov.to 3) By mail or in person to: Ministry of Fisheries Head Office, Vuna Rd, Sopu, Tongatapu, Tonga 4) Website: www.tongfish.gov.to This information, and a brief summary of the process for answering queries and managing grievances, will be published on the Ministry website or can be provided in person upon request, by email, or by mail. 3. Roles and responsibilities: The following are persons involved in the complaints process and their supporting roles and responsibilities. 1) Focal Point for managing the TONGAFISH PATHWAY Complaints Process: Project Coordinator for the Pathway Project. 2) The person who will manage the database and record keeping: Ms. Lavinia Vaipuna, ICT Manager, MoF Head Office. 3) Person who will answer simple queries and manage simple complaints: Project Coordinator for the Pathway Project. 4) Person who will manage difficult complaints or grievances: Mr Vilimo Fakalolo, Deputy CEO Corporate Services. Page 123 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 5) Person who will prepare report for World Bank reporting: Project Coordinator for the Pathway Project. 6) Grievance Committee will be formed on an ad hoc basis for complex or significant grievance management. This will be made up of appropriate senior officials (Assistant Secretary level or above) from the following: a. Department of Finance and National Planning with support from CSU Safeguards Specialist. b. Division representative (Head of Division) managing the project at which the complaint is aimed. c. Representative appointed by the Minister for Agriculture, Forestry, Food and Fisheries. 4. The complaints process: 1) All complaints or grievances are entered into an assigned database that tracks progress of each complaint/grievance. Complaints records (letter, email, record of conversation) are stored together, electronically or in hard copy. Each record has a unique number reflecting year and sequence of received complaint (i.e. 2018-01, 2018-02 etc.). 2) Each complaint/grievance is assigned a specific person responsible for close out. a. Note: The Project Coordinator will provide a monthly report of all complaints received to the CEO, including details of their resolution or on-going action to resolve the complaint. All notifications of potential legal action will be immediately notified to the CEO. 3) Each complaint or grievance will have a plan for addressing and closing out: a. Contractor or Fisheries Officer or similar project person can address issues on site as required. b. If it relates to Contractor activities, Project should ensure the Contractor remedies any damage, pays compensation for damage or loss, etc. c. Use of community leaders and customary methods of conflict resolution is encouraged if necessary and appropriate when an issue emerges. d. If an issue/complaint cannot be resolved on site, it is elevated to the Project Manager for resolution (with support from the Safeguards Specialist in the CIU). If the Project Coordinator and Safeguards Specialist cannot resolve the issue, it is referred to the ad hoc Grievance Committee. e. If a resolution cannot be found through the Grievance Committee, the final course of action is the Tonga court system after the mandatory investigation of the use of an independent mediator. 4) All simple complaints and grievances must aim to be closed out within 1 month. Complex complaints should aim to be closed out within 3 months or deferred to the Grievance Committee. 5) All complainants have the right to use the Tonga court system at any time to seek resolution. 6) The Project Coordinator will make adjustments to consultations, the GRM, community engagement, project implementation and other aspects as necessary to avoid future complaints and grievances. Page 124 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 5. Reporting and Evaluation 1) Complaints shall be reported in the regular project reporting to the World Bank. It should contain: a. Total number of complaints / grievances received b. Total number resolved. c. Total number under investigation / not yet resolved. d. Total number not yet resolved and also exceeds the recommended close out time of 1 month or 3 months. e. Short paragraph on any significant grievances currently not yet resolved and any risks to project implementation. 2) If there are more than 30 complaints / grievances recorded, the Project Coordinator may decide to investigate any patterns or repetition of issues that need addressing. The Project Coordinator may decide to get an independent consultant to review and provide advice. __________END__________ Page 125 of 126 Tonga: Pathway to Sustainable Oceans (P164941) – Environmental and Social Management Framework | March 2019 Annex XV Physical and Cultural Chance Find Procedure Cultural property include monuments, structures, works of art, or sites of significance points of view, and are defined as sites and structures having archaeological, historical, architectural, or religious significance, and natural sites with cultural values. This includes cemeteries, graveyards and graves. The list of negative subproject attributes which would make a subproject ineligible for support includes any activity that would adversely impact cultural property. In the event that during reconstruction or construction sites of cultural value are found, the following procedures for identification, protection from theft, and treatment of discovered artifacts should be followed and included in standard bidding documents. Chance find procedures will be used as follows: (a) Stop the earthworks, construction or land clearing activities in the area of the chance find; (b) Delineate the discovered site or area; (c) Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be present until the responsible local authorities and the relevant Ministry take over; (d) Notify the supervisory Engineer who in turn will notify the responsible local authorities and the relevant immediately; (e) Responsible local authorities and the relevant Ministry would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures; (f) Decisions on how to handle the finding shall be taken by the responsible authorities and the relevant Ministry; (g) Implementation for the authority decision concerning the management of the finding shall be communicated in writing by the relevant Ministry; and (h) Construction work could resume only after permission is given from the responsible local authorities and the relevant Ministry concerning safeguard of the heritage. These procedures must be referred to as standard provisions in construction contracts. During project supervision, the Site Engineer shall monitor the above regulations relating to the treatment of any chance find encountered are observed. Relevant findings will be recorded in World Bank Supervision Reports and Implementation Completion Reports will assess the overall effectiveness of the project’s cultural property mitigation, management, and activities. Page 126 of 126