Expanding Community Approaches

Expanding Community Approaches in Conflict Situation in


Three Southernmost Provinces in Thailand

The Environment and Social Management Framework

and Operational Guidance of Environmental Safeguards

1. Introduction

1.1 Project Overview



The Proposed Expanding Community Approaches in Conflict Situations in Three Southernmost Provinces in Thailand (ECACS) would seek to respond to communities and sub-districts demand by contributing to responsive service delivery in the conflict affected areas of Southern Thailand through participatory approaches and by further enhancing the capacity of local governments and selected civil society organizations.







1.2 Project Objectives:



The project development objective is to contribute to confidence-building between communities and sub-district authorities in southern Thailand through participatory local development approaches in six sub-districts, and through capacity building of selected local government officials as well as selected civil society networks and organizations.

To this end, the Project will seek to:

  1. expand participatory community development planning in six sub-districts to cover sub-district development planning in partnership with local government agencies;
  2. enhance the capacity of local authorities to undertake participatory local development activities; and
  3. strengthen civil society organizations and civil society networks to engage in dialogue on policy issues and in activities related to a peaceful resolution of the conflict.

1.3 Project Description:



The proposed project will consist of four components.




Component 1: Community and Tambon Block Grants (US$2,290,000, Recipient Executed)


The project will expand the coverage of Village Development Grants (VDGs) from 27 villages in six sub-districts (tambons) that received grant support in the pilot phase to cover all 43 villages in these sub-districts. Three cycles of block grants will be provided to 43 villages and six sub-districts (tambons) to finance priority needs identified by local communities at the communities and at the sub-district levels.


Village level grants


All villages in the six selected sub-districts will receive Village Development Grants (VDGs, approx. US$8,000 -10,000 per year), the use of which will be determined by community-level participatory processes. The Village Development Planning (VDP) and sub-project prioritization processes will emphasize the inclusion of the poor and vulnerable (women and men). Trained village facilitators will work closely with villagers to help them develop proposals for consideration at a village meeting for sub-project selection. Planning, prioritization and execution of sub-projects would be undertaken by villagers. Proposals would be prioritized through a voting process, drawing on criteria that would encourage inclusion of conflict-affected households, youth and unemployed. Special capacity building will be provided for poor and vulnerable groups to effectively participate in planning, prioritization and implementation processes


Sub-district level grants


The Project would also provide three rounds of grants at the sub-district level (US$30,000 per grant) that would help six target tambons to implement cross-village activities. These grants would be based on Tambon Development Plans (TDPs), which would be developed through inclusive processes in which village representatives would participate at the sub-district level. Plans would take into consideration village-level development plans developed under the Project, and would seek to encourage inter-village activities that would also foster local authorities’ engagement with communities.


Component 2: Peace-building Partnership Fund (US$800,000, Recipient Executed)


Strengthening civil society organizations and networks for building trust and peace. Building directly on the accomplishments and lessons of the pilot phase, the Project would focus strategically and in a sustained manner on strengthening the capacity of (i) four networks (40,000 per year for the Civil Society Council of the Southernmost Thailand (CSCS), and The Women Network of the Three Southern Provinces, the Youth Network and the Natural Resource Management Network), and (ii) approximately ten civil society organizations (10,000 USD per grant), of which five would be organizations that have demonstrated potential during the pilot phase, all of whom are working on issues related to peace-building, addressing grievances and aspirations of the local population, and demand for good governance.

This component would also provide financing for the four networks to undertake “peace dialogue” events on key issues such as decentralization, education, role of women and peace, youth and peace, and justice. This support for peace dialogues would aim to strengthen the voice of civil society and social accountability in the conflict-affected areas.




Component 3: Project Management and Learning (US$1,110,000, Recipient Executed)


This component would finance project management costs of LDI, including administration and logistical support for project implementation, consultants, monitoring, reporting and communications.

LDI will maintain a project office in Pattani, with a dedicated team working full time on Project activities. This will include a Project manager, coordinators for each of the components, provincial coordinators, village facilitators, M&E personnel and administrative staff.

In addition, this component will support learning exchange among communities and local government. An annual south-south learning visit on key issues to other conflict-affected areas in the region, such as Aceh, Mindanao and relevant areas of Myanmar, will also be organized.

Based on lessons from the pilot phase, LDI will strengthen its communication, publications and information dissemination efforts. In this regard, LDI will conduct a series of lessons learned workshops, and will produce a number of publications, as well as videos (in collaboration with the national Thai Public Broadcasting Service), with a view to increasing awareness in other parts of Thailand of the challenges confronting communities and development projects in the conflict-affected areas.






Component 4: Implementation Support, Technical Assistance, Evaluation and Knowledge Management (US$490,000)


As during the pilot phase, the World Bank would continue to provide enhanced supervision, select technical assistance, and evaluation support to the Project. Activities would include:

a) Provision of technical assistance to stakeholders, including with respect to conflict-sensitive participatory methods, conflict monitoring, fiduciary capacity, M&E, and communications;;

b) Conduct rigorous applied research and project evaluation efforts;

c) Facilitate access to and linkages with relevant international experience;

d) Financial management, procurement and safeguards supervision;

e) Information dissemination among interested stakeholders and awareness raising of key policy issues and project lessons. This would include a series of semi-annual reflection workshops with policymakers and interested development partners arranged through the Institute of Security and International Studies of Chulalongkorn University in Bangkok.




2. Policy and Regulations





2.1 World Bank’s Safeguard Policies


The World Bank has a number of safeguard policies, which includes among others environmental protection. The objective of these policies is to prevent and mitigate undue harm to people and their environment in the development process. These policies provide guidelines for the World Bank and the implementing agency staff in the identification, preparation, and implementation of programs and projects. A safeguard screening for this project shows that the World Bank’s Operational Policy (OP)/Bank Procedure (BP) 4.01 – Environmental Assessment (EA) is triggered. EA is a process whose breadth, depth, and type of analysis depend on the nature, scale, and potential environmental impact of the proposed project. EA evaluates a project’s potential environmental risks and impacts in its area of influence; examines project alternatives; identifies ways of improving project selection, siting, planning, design, and implementation by preventing, minimizing, mitigating, or compensating for adverse environmental impacts and enhancing positive impacts; and includes the process of mitigating and managing adverse environmental impacts throughout project implementation.[1]

The project will provide support for small-scale basic infrastructure construction and livelihood project, which impacts cannot be determined until the details have been identified and may result in temporary, minor and site-specific impacts on environment. Due to the small scale infrastructure/activities, the project has, therefore, been assigned an Environmental Assessment Category B. Similar to other CDD type projects, location and design of the eventual sub-projects are not known at project appraisal. As a result, framework approach has been adopted and Environmental and Social Management Framework (ESMF) has been prepared as safeguard instrument for an effective management of environmental and social issues inline with OP/BP 4.01. The negative list and environmental screening mechanism of sub-projects has been designed to ensure that activities with environmental impacts are made ineligible.


2.2 Environmental Regulations


The project will finance small-scale basic infrastructure construction and livelihood project. It is highly unlikely that regulatory full Environmental Impact Assessment (EIA) and Initial Environmental Evaluation (IEE) would be required. Activities carried out in sub-project infrastructure/ construction and/or rehabilitation shall comply with applicable domestic laws and regulations.


3. Experience under the pilot phase


During the pilot phase, 107 sub-projects were implemented of which 15 concerned simple and small scale rehabilitation or repair of existing community infrastructure. No negative environmental or social impacts were identified during the pilot phase. Facilitators and the Village Implementing Committees used the safeguards screening forms and collected all required/ relevant documents for private and government land donations. In addition, relevant information including on entitlements of affected people was provided to the communities, and discussions held and agreements reached at community meetings were properly documented. With regard to environmental safeguards, the Project consulted and worked with WB safeguards specialists in identified possible environmental risks for small scale sub-projects. Where necessary, mitigation measures were identified and implemented, e.g., providing the oil trap containers for income generating activities of women’s cooking groups, relocation of organic fertilizer production area to a distance away from the public water way to avoid the adverse impact to surface water quality.


A beneficiary assessment was carried out at the end of the pilot phase including consultations with beneficiary communities to identify key project achievements, challenges faced and lessons learnt, including about implementation and effectiveness of safeguard measures. The findings of the beneficiary assessment were used in the design of this phase of the project. Beneficiary communities confirmed that no significant negative impacts occurred or remain unaddressed.



While overall safeguard performance under the pilot phase is positive, some issues were found of the pilot that should be improved. They include:

· Disclosure of all key documents at the community and sub-district levels. Under the pilot phase, potential impacts of subprojects were discussed and mitigation measures identified at the Community Implementation Committee in presence of affected people. Although minutes were taken and attached to the subproject proposals, they were not disclosed to community members. Under this phase, minutes of all discussion with regard to subproject impacts and mitigation measures will also be displayed at the community centers and sub-district office to improve transparency.

· More safeguards training for the village implementing committee members and local technical specialist team. During the last pilot phase, the safeguards training were provided to the PMO staff including facilitators to implement and monitor safeguards issues. The project would like to expand the safeguards training for all village implementing committee members and sub-district implementing committee members, and the local technical specialists who provide technical support to all the sub-projects.

This ESMF continues to apply the approach that was found to be adequate under the pilot phase but will also employ additional measures to address the minor gaps identified as lessons learnt.




4. Objectives of the Environment and Social Management Framework (ESMF)


It is anticipated that there will be no significant impacts under this project as sub-grant amount is small (about 10,000 USD for village level sub-projects and 17,000 USD for sub-district level sub-projects) and will support only small scale infrastructure such as small health care center, child care center, drainage system, etc. Nonetheless, under this project, as experience in the last phase of the Project, it is difficult to identify the sub-projects in advance. The Project, therefore, has developed the ESMF in order to:

i) establish procedures for screening all proposed sub-projects for their potential adverse

environmental and social impacts;

ii) identify and disqualify subprojects that are likely to cause significant environmental or social impacts;

iii) specify measures for managing, mitigating and monitoring those minor environmental and social impacts that may occur during project operation; and

iv) outline training and capacity-building arrangements needed to implement the EMF provisions.


5. Guiding Principles


  • The Project should comply with World Bank environmental and social safeguard policies.
  • The Proponent should cover the subproject environmental and social costs.
  • The Project Office should assign competent staff and consultants that shall ensure Project environmental and social concerns are addressed.
  • All Project staff/facilitators/consultants are oriented/trained in the various environmental and social safeguard procedures.
  • All Project staff/facilitators/consultants work closely with local government units in charge of local regulations, environment and social issues to ensure that the project comply with government regulations and have no adverse environmental and social impacts.
  • Maximum participation of all stakeholders in the environmental assessment and compliance monitoring is encouraged.
  • Complementation with other projects of the government especially in environmental protection and institutional strengthening should be pursued.
  • Periodic Project progress reports should also contain the status of compliance with environmental conditionality.
  • Beneficiary communities would be assisted so all negative impact on the livelihood of beneficiary community members or anyone who may be affected by the project, without regard to the scope of OP 4.10 and 4.12, will be addressed under the project Operational Manual or Resettlement Policy Framework.

5. Sub-Project Environmental and Social Safeguards Screening and Review Process

In order to avoid that significant environmental or social impacts occur that beneficiary communities cannot adequately manage and mitigate, the project developed a list of prohibited activities/items (Negative List) that cannot be financed by the project has been developed as presented in Annex 1. This will be integrated in the full list of negative projects to be developed as part of the project’s Operations Manual.

Environmental and social safeguards requirements have been integrated into the overall sub-project planning and approval process to minimize adverse impacts. This is to ensure that screening and assessing the potential impacts of a proposed sub-project will be undertaken before sub-project approval and that measures are in place to mitigate possible negative impacts. Key steps in the process are described below:


Step 1: Sub-project identification


Presentation of negative list: Before a sub-project’s approval, trained facilitators will inform the communities of potential environmental and social risks associate with the sub-project, raise awareness of communities about the need for protection of the environment and social, and gather information on areas where the sub-project will be implemented. In particular, it will be emphasized that no subprojects that may result in significant environmental or social impacts would be supported under the Project. If the sub-project is found to include activities that may result in large-scale, significant and irreversible impact on environment and income streams of any people, as specified and amended from time to time in the negative list, it will not be implemented.


Step 2: Sub-project design



Sub-project proposals will be developed by beneficiary community with the technical support of local technical specialists and project facilitators. The environmental and social screening or environmental assessment (EA) (if required) will be carried out to identify potential negative environmental and social impacts, which will be described in sub-project proposals together with mitigation measures. Environmental and social screening checklists for the typical small-scale infrastructure and building rehabilitation sub-projects are provided in Annex 2.



The environmental and social screening shall be done as part of the sub-project proposal development. The Project Review Committee that comprises PMO staff and local technical specialists will review the filled screening sheet together with subproject proposals. Once subproject proposals are approved, the trained facilitator will brief the community as to the condition attached to the approved proposal as well as measured to address them, including regarding mitigation of environmental and social impacts, if relevant.

If needed, an Environmental Management Plan (EMP) shall be developed by the beneficiary communities which will be attached to sub-project proposals. This EMP should include costs of the mitigation measures to be applied as well as the staff responsible for its implementation. The items and cost of the EMP should be included as part of the total project cost and cost items in the sub-project proposals and any subsequent contracts for works (where relevant). Construction works shall be in accordance with the plans and specifications, and requirement of the regulatory units of the government including construction permit or operation permit (if required). The EMP shall be followed strictly. The Project facilitator and village implementing committee will conduct regular monitoring during the project implementation.

This EMP should include measures to address issues that may not be covered under OP 4.10 or OP 4.12 – indeed, an EMP may be developed even where no environmental impacts are anticipated if social impacts not covered or addressed by RPF or participatory measures described in OM to address OP 4.10 occur. Where land need to be acquired or private assets will be damaged or lost, communities will be assisted to develop mitigation measures as per provisions under Resettlement Policy Framework (RPF) of the Project.


Step 3: Sub-project implementation


The implementation of mitigation measures as well as the monitoring and inspection of potential environmental risks is the responsibility of the PMO staff and the village implementing committee. Training and awareness raising activities will be conducted to ensure that communities are aware of sub-projects environmental and social risks and to ensure they will take actions to mitigate these risks and to increase their capacity to ensure that contractors comply with obligations in terms of environmental and social protection under subproject EMPs. Training sessions on environmental and social protection will be conducted for the PMO and facilitators by the World Bank social and environmental specialist. In addition, safeguards training will also be provided to the village implementing committee prior to the implementation of the sub-projects.

Monitoring of EMP will be conducted by PMO and village implementing committee on a regular basis according to the project’s Operations Manual.


7. Requirements for Clearance Issuance


Environmental clearances will have to be secured from the sub-district administrative office prior to all construction works. Potential negative impact on livelihood as described in the sub grant proposals should be reviewed and the adequacy of mitigation measures be confirmed, before sub grants are approved.


8. Coordination, Supervision and Monitoring


LDI will coordinate with all concerned agencies with regard to safeguards related issues and clearance.

The project technical working group will monitor the project every six months. Because the Technical Working Group comprises of representatives from relevant agencies working in the conflict affected provinces, this technical working group will provide support and guidance throughout the project timeframe.

The World Bank will conduct the Project Implementing Support Mission (supervision) every six months.


9. Capacity Building



The World Bank safeguards staff will provide training and refreshing training for LDI staff and VICs and Sub-district Implementing Committees at the initial stage of the project as well as at the mid-term review mission.





Annex 1



Negative list of prohibited subproject investments


1. Purchase of weapons.

2. Purchase of chainsaws and explosives.

3. Financing of sawmills.

4. Purchase of pesticides, insecticides, herbicides, asbestos and other potentially and dangerous materials and equipment.

5. Purchase of motorized fishing boats and other related equipment.

6. Road rehabilitation, road surfacing, track upgrading or construction of new road into natural habitats, protected areas or tiger/ wildlife breeding areas.

7. Use of funds for purchase or compensation of land.

8. Consumption items or events.

9. Financing activities that have an alternative prior source of committed funding.

10. Purchase or repair of vehicles.

11. Financing of recurrent government expenditures (salaries for government and LGU staff).

12. Construction or repair and buying of equipment for government offices and places of worship.

13. Financing of political and activities.

14. Salaried activities that employ children younger than 16 years.

15. Financing activities that unfairly exploit women or men at any age.

16. Financing international travel.

17. Use of mangrove or coral reefs as building materials.



18. Projects requiring physical relocation of people.

19. Projects requiring land acquisition or asset loss greater than 10% of total land owned or assets owned.

20. Infrastructure building inside natural habitats and existing or proposed protected areas, buffer zones, wetland or expected to lead to significant negative environmental or social impacts.

21. Likely to create loss or damage to cultural property, including sites having archeological, historical, religious, cultural and unique natural and aesthetic value.

22. Likely to create adverse impact on physical resources such as air quality, water resources, water quality, ground water resources/ quality without mitigation measures for the sustainable use of the resources.

23. Forestry operation, including logging, harvesting or processing of timber products

24. Likely to create adverse impacts on biological resources, human use value and quality of life values.





Annex 2: Environmental and Social Screening Checklist



Environmental and Social Safeguard Form S.1


Name of the Sub-Project: ___________________________________________________

Organization: _____________________________________________________________




(For use of pedestrians and light vehicles including motor bikes)


Potential Impacts



Assessment {Put only one tick (√) in each row}




Mitigation Plans


NO Negative Impact;

Mitigation Measures NOT Required


Minor Impact; Minor Mitigation Measures Required


Need for land acquired through (i) donation, (ii) purchase, (iii) govt.




Loss of homes, other assets or land




Damage to cultural/archaeological sites/properties




Increased landslides during and after construction




Pollution during construction activities




Risk of accidents involving construction materials, pollution of water courses and agricultural lands




Pollution from ancillary activities like preparation of asphalt, crushing of aggregate, concrete mixing, etc.




Increased erosion downstream of channels being crossed




Obstruction of natural flow of water




Disruption of aquatic ecosystem during construction due to excessive sediment, discharge of waste concrete or accidental spillage of oil & grease to nearby water bodies




Noise due to increased traffic




Increased risk of accidents due to increased and faster traffic




Loss of wildlife habitat which may have established during years of neglect




Uncontrolled increase and improper location of micro economic activities




Entry of migrants




Impact to Indigenous people; effect on food gathering and other domestic work during construction and operation.




Design is sensitive to gender needs




Negative reaction to public due to poor information.




Risks of occupational health and safety of workers




Impact on social cohesion, cultural values and other social issues that are not covered under OP 4.10 or OP 4.12






Environmental and Social Safeguard Form S.2


Name of the Sub-Project: ___________________________________________________

Organization: ____________________________________________________________




(School, Market Sheds, Village Multi-Purpose Centers, Grain Drier and Warehouse, etc.)




Potential Impacts



Assessment {Put only one tick (√) in each row}






Mitigation Plans


NO Negative Impact;

Mitigation Measures NOT Required


Minor Impact; Minor Mitigation Measures Required


Need for land acquired through (i) donation, (ii) purchase, (iii) govt.




Loss of homes, other assets or land




Removal of vegetation




Damage to cultural/archaeological sites/properties




Dust generation during construction activities




Increased noise due to construction activities







Potential for spread of water-borne diseases due to improper siting of ancillary facilities







Public and property damage due to structural damage caused by substandard materials, nonconformance to project design

or damages due to wrong siting (prone to landslides, floods, ,etc.)







Generation of solid waste during operation







Uncontrolled increase and improper location of micro economic activities







Impact to indigenous peoples







Building design is sensitive to gender needs







Negative reaction to public due to poor information.







Risks of occupational health and safety of workers







Impact on social cohesion, cultural values and other social issues that are not covered under OP 4.10 or OP 4.12









Environmental and Social Safeguard Form S.3


Name of the Sub-Project: ___________________________________________________

Organization: ____________________________________________________________


(Community ponds, open wells, piped supply or gravity schemes, etc.)


Potential Impacts



Assessment {Put only one tick (√) in each row}




Mitigation Plans


NO Negative Impact;

Mitigation Measures NOT Required


Minor Impact; Minor Mitigation Measures Required


Need for land acquired through (i) donation, (ii) purchase, (iii) govt.




Loss of homes, other assets or land




Submergence of new areas




Damage to cultural/archaeological sites/properties




Safety hazards during construction




Visual blight and dirt due to improper disposal of material




Increased breeding of mosquito in case of inadequate drainage near water abstraction point / locations




Pollution of water from leaves, dust and other nuisance due to open surface




Unnoticed contamination by wastes in case of faulty layout




Obstruction of natural flow of water




Uncontrolled increase of micro economic activities




Impact to women from construction works and inconvenience in the use of river downstream for domestic work.




Impact to indigenous peoples from construction works and inconvenience in the use of river downstream for domestic work.




Benefits will be shared by all community members




Design is gender, age and ability sensitive




Negative reaction to public due to poor information.




Risks of occupational health and safety of workers




Impact on social cohesion, cultural values and other social issues that are not covered under OP 4.10 or OP 4.12








Environmental and Social Safeguard Form S.4


Name of the Sub-Project: ___________________________________________________

Organization: ____________________________________________________________




(Rehabilitation/construction of water retaining structures, rehabilitation/construction of new drains, erosion protection, etc.)


Potential Impacts



Assessment {Put only one tick () in each row}









NO Negative Impact;

Mitigation Measures NOT Required


Minor Impact; Minor Mitigation Measures Required


Need for land acquired through (i) donation, (ii) purchase, (iii) govt.




Loss of homes, other assets or land




Reduced downstream water availability




Flood regime change




Water logging




Pesticide/Toxic compound presence




Excess nutrient concentration / Eutrophication




Increased Salinity




Changes in Structure of soil




Saline drainage




Increase in Local erosion close to construction site




Stream morphology and regime change




Pollution from disposal of sediment accumulated in channels/structures








Damage to cultural/archaeological sites/properties




Drainage of water bodies




Use of water channels as wastewater drains




Incidence of diseases such as Dengue, Malaria, etc.




Obstruction of natural flow of water




Impact to women from construction works and inconvenience in the use of river downstream for domestic work.




Benefits will be gender equitable




Impact to indigenous peoples from construction works and inconvenience in the use of river downstream for domestic work.




Public and crop damage due to improper siting of project




Negative reaction to public due to poor information.




Risks of occupational health and safety of workers




Impact on social cohesion, cultural values and other social issues that are not covered under OP 4.10 or OP 4.12






Attachment for all Sub-Project Proposal



Social and Environmental Impacts



Type of Impact











1. Land – Does the Sub-Project require land?




1.1 If “Yes”, state how much land



1.2 Was an alternative design explored to decrease/avoid land take




1.3 If yes, how much land was required in the alternative design?



1.4 How is this land provided:








Long-term lease








Available government land




Involuntary acquisition




1.5 Is documentation attached in case of donation,

purchase, or use of Government land





2. Involuntary Resettlement





2.1 Are there losses of shelter?




2.2 Are there losses of income sources and other assets? How many households are affected?



List no. of households affected:

2.3 Are there available resources to compensate them at replacement value? Source of funds?



Describe source of funds:

2.4 What other resettlement benefits are committed to the affected families?



Briefly describe other benefits:

2.5 Have the affected household agreed to the relocation?





3. Cultural Property





Any negative impacts on cultural property such as sites, historical buildings etc





4. Environmental Impacts





Attach sub-project specific check-list with

– Possible negative impacts and

– Proposed mitigation measures


Safeguard Forms for specific checklists to complete











Chance Find Procedures for Culturally Significant Artifacts


In case culturally valuable materials are uncovered during excavation, the following Chance Find Procedures shall be followed:

  • Stop work immediately following the discovery of any materials with possible archeological, historical, paleontological, or other cultural value, announce findings to LDI representative and notify relevant authorities;
  • Protect artifacts as well as possible using plastic covers, and implement measures to stabilize the area, if necessary, to properly protect artifacts;
  • Prevent and penalize any unauthorized access to the artifacts; and

· Restart construction works only upon the authorization of the relevant authorities.


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