E3069 v3 PRIME MINISTER'S OFFICE REGIONAL ADMINISTRATION AND LOCAL GOVERNMENT - URBAN LOCAL GOVERNMENT STRENGTHENING PROGRAM TECHNICAL MANUAL FOR ENVIRONMENTAL AND SOCIAL MANAGEMENT IN URBAN LOCAL GOVERNMENT AUTHORITIES i PREAMBLE By PMO RALG ii ACKNOWLEDGEMENTS This Manual was developed with input and guidance from the following: PMO RALG: ULGSP Program Coordination Unit *** PMO RALG to insert names*** World Bank *** WB to insert names**** Consultant's Project Team  Saada Juma-Team Leader  Kisakka Huruma- Institutional Assessment  Navonaeli Kaniki-Environmentalist& Project Manager  Eke Mwaipopo- Institutional Assessment  Ignatius Ngamesha- Sociologist  Karen Marie Baek – D by D backstopping Consultant Contact details ADDRESS: COWI Tanzania Ltd. 398, Kawawa Road P.O.Box 1007 Dar es Salaam Tanzania TEL: +255 22 266 6161 FAX: +255 22 266 6094 WWW: www.cowi-africa.com EMAIL: cowi@cowi.co.tz iii TABLE OF CONTENT PREAMBLE ............................................................................................................................... i ACKNOWLEDGEMENTS ...................................................................................................... ii List of Figures ....................................................................................................................... v List of Tables ......................................................................................................................... v ACRONYMS AND ABBREVIATIONS .................................................................................. 1 PART I: INTRODUCTION AND CONTEXT ......................................................................... 2 1 INTRODUCTION ............................................................................................................. 3 1.1 Purpose of the Manual .................................................................................................. 3 1.2 Objectives of the Manual ............................................................................................. 4 1.3 Users of the Manual ..................................................................................................... 4 1.4 Layout of the Manual ................................................................................................... 5 2 URBAN LOCAL GOVERNMENT SUPPORT PROGRAM DESCRIPTION ................ 7 2.1 Program Background .................................................................................................... 7 2.2 Anticipated ULGSP sub-project types ......................................................................... 8 2.3 ULGSP target areas .................................................................................................... 10 2.4 ULGSP Project coordination and implementation ..................................................... 10 3 GENERAL ENVIRONMENTAL AND SOCIAL MANAGEMENT PRINCIPLES AND REQUIREMENTS .................................................................................................................. 13 3.1 Introduction ................................................................................................................ 13 3.2 General Principles of Environmental and Social Management .................................. 13 3.3 Relevant Legislature for Environmental and Social Management and Infrastructure development. ....................................................................................................................... 15 3.4 Relevant Authorities ................................................................................................... 18 PART II: URBAN LOCAL GOVERNMENT ENVIRONMENTAL AND SOCIAL MANAGEMENT SYSTEM GUIDE ...................................................................................... 24 4 ENVIRONMENTAL AND SOCIAL ASSESSMENT AND MANAGEMENT ARRANGEMENTS FOR ULGAs .......................................................................................... 26 4.1 Introduction ................................................................................................................ 26 4.2 ULGA Environmental and Social Authorization Process .......................................... 26 4.3 Summary of steps ....................................................................................................... 36 5 SCREENING AND ENVIRONMENTAL CATEGORIZATION OF PROJECTS ....... 38 5.1 Introduction ................................................................................................................ 38 5.2 Screening process ....................................................................................................... 38 6 URBAN LGA INFRASTRUCTURE ENVIRONMENTAL AND SOCIAL IMPACTS 43 6.1 Introduction ................................................................................................................ 43 6.2 Impacts Identification Method ................................................................................... 43 6.3 Land Take ................................................................................................................... 46 iv 6.4 Effects of External Factors and Processes on Project................................................. 48 6.5 Public Concerns and Views about the Project ............................................................ 49 6.6 Project Implementation .............................................................................................. 49 6.7 Project Decommissioning........................................................................................... 54 7 ENVIRONMENTAL MANAGEMENT CONTROLS AND MITIGATION MEASURES............................................................................................................................ 55 7.1 Introduction ................................................................................................................ 55 7.2 Guidance on mitigation measures .............................................................................. 55 7.3 Environmental and Social Management Plan (ESMP)............................................... 63 7.4 Integration of Mitigation Measures into Sub-Project Design ..................................... 64 8 Resettlement and Compensation ..................................................................................... 65 8.1 Introduction ................................................................................................................ 65 8.2 RAP Preparation Process............................................................................................ 65 9 Guidelines for review, approval, disclosure of reports and plans.................................... 80 9.1 Introduction ................................................................................................................ 80 9.2 Review and Approval Process .................................................................................... 80 10 Monitoring of Environmental and Social issues during project implementation ....... 83 10.1 Introduction ............................................................................................................ 83 10.2 Project implementation process ............................................................................. 83 11 Guidance on Report Contents..................................................................................... 87 PART III: FORMS AND TEMPLATES ................................................................................ 92 FORM No1- ESIA REGISTRATION FORM ..................................................................... 93 TEMPLATE No 1: Terms of References for Environmental Impact Assessment .............. 97 FORM No 2: Screening Checklist ..................................................................................... 104 TEMPLATE No 2: Environmental and Social Management Plan..................................... 107 TEMPLATE NO 3: RAP Implementation Schedule .......................................................... 108 TEMPLATE NO 4: Table of cost/budget estimates for RAP ............................................ 109 TEMPLATE NO 5: Grievance Record Form ..................................................................... 110 Form No 3: EIA Certificate Form ...................................................................................... 111 TEMPLATE NO 6: Environmental and Social Monitoring Plan ....................................... 113 TEMPLATE NO 7: ESMP Compliance Record ................................................................ 114 PART IV: MANUAL IMPLEMENTATION ....................................................................... 115 12 CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE .......... 116 12.1 Institutional Capacity Building ............................................................................ 116 12.2 Training ................................................................................................................ 122 12.3 Budgets and expenditures Template .................................................................... 125 GLOSSARY OF TERMS ..................................................................................................... 127 REFERENCES ...................................................................................................................... 129 v APPENDIX A: Detailed Legislative Requirements .............................................................. 131 1. FRAMEWORK POLICIES AND LEGISLATION ................................................. 131 2. LAND AND LANDUSE LAWS ............................................................................. 139 3. OTHER RELEVANT ENVIRONMENTAL AND SOCIAL LAWS ...................... 152 4. URBAN LOCAL GOVERNMENT ......................................................................... 154 5. LAWS RELEVANT TO INFRASTRUCTURE DEVELOPMENT........................ 155 APPENDIX B: World Bank's Programme for Results Financing ......................................... 156 Aim of Program for Results .............................................................................................. 156 Key performance areas under Programme for Results Financing ..................................... 156 Environmental and Social Performance Indicators ........................................................... 157 APPENDIX C: Project Specific Guidance ............................................................................ 159 City roads and related infrastructure ................................................................................. 160 Markets and Trade ............................................................................................................. 166 Solid Waste management .................................................................................................. 169 List of Figures Figure 1: Key Actors in implementing and coordinating the ULGSP ......................... 12 Figure 2. Institutions in the National ESIA process .................................................. 118 Figure 3. Institutional structure for LGA ESIA process ............................................ 119 List of Tables Table 1: Types of eligible urban infrastructure sub-projects that can be financed by the UPG.......................................................................................................................... 9 Table 2: List of ULGAs participating in the ULGSP .................................................. 10 Table 3 ULGA Roles and Responsibilities in implementing ULGSP ......................... 11 Table 4 Guiding Principles for Environmental and Social Management in ULGSP .. 14 Table 5 Summary of relevant legislation ..................................................................... 16 Table 6 Institutional Structure for Environmental and Social Management ............... 19 Table 7 Institutional Structure for Land and Land Use at national level ..................... 21 Table 8 Relevant Sectoral Authorities ......................................................................... 22 Table 9 : Leopold's Matrix of impact identification .................................................... 44 Table 10 Sample of Environmental and Social Management Plan – Abattoir /slaughter-house ........................................................................................................... 63 Table 11 Example of an Entitlement Matrix from the Road Sector ............................ 72 Table 12 Example of an Environmental and Social Monitoring Plan (ESMoP) ......... 85 Table 13 Content of a Scoping Report ......................................................................... 87 Table 14 Content of a PESA Report ............................................................................ 88 Table 15 Content of an ESIS ....................................................................................... 89 Table 16 Content of a RAP report ............................................................................... 90 Table 17 Content of an Environmental and Social Monitoring Report ....................... 91 Table 18. Example of implementation budget for a Five-Year Project ..................... 126 1 ACRONYMS AND ABBREVIATIONS CBG Capacity Building Grant CDG Capacity Development Grant DAS District Administrative Secretary DbyD Decentralisation by Devolution DoE Division of Environment EMA Environmental Management Act EIAA Regulations Environmental Impact Assessment and Audit Regulations EIS Environmental Impact Statement ESD Environmentally Sound Design ESIA Environmental and Social Impact Assessment ESM Environmental and Social Management ESMM Environmental and Social Management Manual ESMP Environmental and Social Management Plan ESMoP Environmental and Social Monitoring Plan ESMS Environmental and Social Management System IPS Infrastructure Proponent Section GoT Government of Tanzania LGA Local Government Authority LGDG Local Government Development Grant LGRP Local Government Reform Program MEO Mtaa Executive Officer MLHHSD Ministry of Lands Housing and Human Settlement Development NEMC National Environmental Management Council PAP Project Affected Person PESA Preliminary Environmental and Social Assessment PESAR Preliminary Environmental and Social Assessment Report PMO-RALG Prime Minister's Office- Regional Administration and Local Government PPE Personal Protective Equipment RAP Resettlement Action Plan TA Technical Assistance TSCP Tanzania Strategic Cities Program ULGA Urban Local Government Authority ULGSP Urban Local Government Strengthening Program WEO Ward Executive Officer 2 PART I: INTRODUCTION AND CONTEXT 3 1 INTRODUCTION This manual has been developed for the preparation for the Government of Tanzania (GoT) Urban Local Government Strengthening Programme (ULGSP) which the World Bank is funding under its Programme for Results financing instrument. Tanzania laws and regulations require GOT and World Bank to ensure that the ULGSP is implemented in an environmentally and socially sustainable manner. An appraisal of institutional arrangement and capacity for the 18 urban Local Government Authorities (ULGAs) which will receive funds from the ULGSP under PMO-RALG in April, 20121) concluded that:  Currently, the ULGAs have poor level of understanding of the principles and practices of sound and responsible social and environmental management. Particularly, they have no sound experience and knowhow in carrying out Environmental and Social Impact Assessments (ESIA) and, handling of environmental compliance, monitoring and auditing of infrastructure projects.  The ULGAs use several concurrent management practices for environmental and social aspects mostly in the form of frameworks and checklists.  Powers for social, environmental and resettlement oriented authorization of planned projects have not been devolved to the LGAs. However, in Tanzania there exists an enabling policy and legal framework (Environmental Policy, 1997; Environmental Management Act, Cap 191 (of 2004) and Environmental Impact Assessment and Audit Regulations, 2005; Land Policy, 1996; Land Act, 1999; Local Government (Urban Authorities) Act, 1982) that ULGAs can harness to ensure correct environmental and social management during planning and implementation of infrastructure sub-projects funded by the UPG and in LGA’s operations at large. Experience and capacity existing at national level: National Environmental Management Council (NEMC), Division of Environment (DoE), Ministry of Land and Human Settlement Development (MLHHSD) and among some of the key technical staff at urban LGA level (Environmental Management Officers, Land Officers) to enforce many of the above policy and legal requirements. The appraisal report recommended a LGA-specific Environmental and Social Management Procedure be established. This Manual is tailored for ULGAs under the ULGSP to help them improve their environmental understanding and capacity. 1.1 Purpose of the Manual The purpose of the Environmental and Social Management Manual (ESMM) is to build the understanding and capacity for application of the principles of sound and responsible social and environmental management to all its users. It provides tools and information to build capacity for social and environmental management integration in LGAs. Since the details of the sub-projects under the ULGSP in terms of exact locations, sizes, etc are not known, the Manual will act as a reference guide for identifying, assessing, mitigating, monitoring and evaluating the key environmental, social and land acquisition problems that may arise in the course of development and operation of urban infrastructure. The manual 1 Institutional Assessment Report for Environmental and Social Management for Urban Local Government Authorities. 4 provides simple methods of identifying adverse social and environmental impacts, the continuum of mitigation approaches that ULGAs can implement and the costs-benefits of the preferred mitigation strategy. The Manual provides step by step guidelines for assessing the environmental and social suitability of the ULGA infrastructure investments in line with national requirements and international obligations. It complements environmental and social assessment procedures set out in the national EIA Regulations, 2005 managed by the NEMC. Even though impacts of individual infrastructure are likely to be limited given their size and number, their cumulative impacts over time would tend to be significant. The Environmental impacts screening, assessment and mitigation guidelines are designed to manage such eventualities. The Manual also provides its users with a strategy for screening high-priority infrastructure for possible problems with regulatory compliance as well as opportunities to introduce best management practices. 1.2 Objectives of the Manual In terms of specific objectives this ESMM:  Establish clear procedures and methodologies for the environmental and social planning, review, approval and implementation of subprojects to be financed under the ULGSP;  Specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to subprojects;  Determine the training, capacity building and technical assistance needed by LGAs to successfully implement the provisions of the ESMM;  Establish the project funding required to implement the ESMM requirements;  Provide practical resources for implementing the ESMM. 1.3 Users of the Manual The main users of the manual are envisaged to include, but not limited to:  Staff both at the 18 ULGAs under ULGSP and potentially at other LGAs who are responsible for application/planning, review, approval, and supervision of the infrastructure and other projects;  Relevant LGA Committees overseeing Environmental and Social aspects;  Leaders and representatives from project host communities;  Environmental and social assessment consultants and development services providers who provide services to LGAs in non-core functions such as management training or Technical Assistance (TA) support;  Consulting engineers and contractors.  Regional Secretariat and PMO-RALG Officials responsible for developing support programmes of implementation and for undertaking the initial financing support;  Media and other supporters/facilitators inclined on urban development initiatives. In the longer-term, the Manual is intended to build capacity of LGA staff in the LGAs (133 country-wide) and at PMO-RALG for those directly involved with LGAs operations to manage and coordinate an LGA specific Environmental and Social Management System (ESMS); and in the process improve the social and environmental performance of LGA’s development investments. 5 1.4 Layout of the Manual The manual is divided into the Introduction and Context (Part I), the main ESMS technical guidance (Part II), Templates and Forms (Part III), Manual Implementation (Part IV) and finally the Appendices. PART I: INTRODUCTION AND CONTEXT Part I has 3 main chapters that sets out the purpose of the manual, the users of the manual, the program for which the manual has been developed and the legislative and institutional context. Specifically: Chapter 1 is the introduction outlining the purpose and objectives of the manual; and potential users of the manual. Chapter 2 gives a description of the program, its scope and types of urban infrastructure investments. Chapter 3 presents an overview of Tanzania's environmental and social management principles and requirements PART II: URBAN LOCAL GOVERNMENT ENVIRONMENTAL AND SOCIAL MANAGEMENT SYSTEM GUIDE Part II firstly presents the key actors, steps and procedures in the proposed Environmental and Social Management System (ESMS) in Chapter 4. Secondly, detailed guidance on implementing these procedures are presented in Chapters 5-10 according to the main steps in the ESMS. Lastly the capacity building, training and TA needed is presented. Specifically: Chapter 4 is an overview chapter that describes the overall step-by-step procedure for environmental and social planning, review, approval, implementation, monitoring and evaluation of sub-projects financed under the ULGSP. Each of these steps are futher elaborated in the subsequent chapters.  Chapter 5 are Screening Criteria for determining need for and level of environmental assessment for individual infrastructure sub-project.  Chapter 6 presents the approach and guidance for urban infrastructure environmental and social impacts identification  Chapter 7 presents the approach and guidance for impacts mitigation, integration into project designs/proposals and preparation of requisite reports and management plans  Chapter 8 presents the approach and guidance for executing a Resettlement and Compensation Plan (RAP) emanating from land acquisition, access to resources and compensation.  Chapter 9 presents the approach and guidance for review, approval and disclosure of reports (EIS/PEAR) and plans (ESMP/RAP)  Chapter 10 presents the approach and guidance monitoring of mitigation measures and management plans (ESMP/RAP) during project implementation  Chapter 11 presents guidance on the contents of the various reports in the ESMS 6 PART III : FORMS AND TEMPLATES Part III provides relevant templates and forms that have been referred to in the previous chapters. These have been presented in chronological order of when they have been referred to in the guidance chapters. The templates and forms have chapter reference numbers to give the user easy reference to the specific chapter it refers to. These templates and forms include: Description Chapter Reference o Form N 1: ESIA Registration Form Chapter 4 o Template N 1: Terms Of References for Environmental Impact Chapter 4 Assessment o Form N 2: Screening Checklist Chapter 5 o Template N 2: Environmental and Social Management Plan Chapter 7 o Template N 3: Rap Implementation Schedule Chapter 8 o Template N 4: Table Oo Cost/Budget Estimates for RAP Chapter 8 o Template N 5: Grievance Record Form Chapter 8 o Form N 3: EIA Certificate Form Chapter 9 o Template N 6: Environmental and Social Monitoring Plan Chapter 10 o Template N 7: ESMP Compliance Record Chapter 10 PART IV: MANUAL IMPLEMENTATION Chapter 11 outlines the capacity building, training and technical assistance required for effective implementation of the ESM Manual APPENDICES The appendices give more detailed information for the projects under the ULGSP. A. Detailed legislative requirements outlining specific section in relevant legislation and policies that are applicable to ESM and the implementation of infrastructure development projects. B. The World Bank's OP 9.00 Program for Results that is the financing instrument for the ULGSP C. Specific project guidelines on typical impacts and mitigation measures for ULGSP sub-projects that are eligible for funding. 7 2 URBAN LOCAL GOVERNMENT SUPPORT PROGRAM DESCRIPTION This chapter provides the programme context which this manual has been developed for. The background of how and why the ULGSP was developed and its objectives are presented. The chapter also describes the scope of the program in terms of the relevant components, the programme target areas and key people involved in implementing the programme. 2.1 Program Background The ULGSP is one of the various instruments supporting the Decentralization by Devolution (D by D) efforts that have been underway in Tanzania as part of the Local Government Reform Program (LGRP) since 1999. The aim of D by D is to anchor decision-making on service delivery closer to the people, and ensure that the government becomes more responsive, efficient and effective in providing and enabling service delivery to the public. As part of fiscal decentralization, LGAs are allocated discretionary grants through the Local Government Development Grant2 (LGDG) system that has been underway since 2004. The LGDG system provides Council Development Grants (CDG) and Capacity Building Grants (CBG) on a formula basis. CDG aims at enabling LGAs to implement sub-projects formulated in a participatory bottom-up planning approach while CBG is provided to enable LGAs to meet the costs of O&M interventions that will enhance their performance. The LGDG system of grants is funded by Government of Tanzania (GoT) from its own sources, seven bilateral partners3, and the World Bank. However, the World Bank contributed to the LGDG system of grants up to December 2011. A challenge faced by the LGAs amongst many others is that the current local governments’ fiscal framework including the LGDG and the Tanzania Strategic Cities Project (TSCP4.) do not accommodate the needs to cover both the backlog of urban infrastructure investments and the constantly increasing demand for such financing. The Tanzania’s population growth and urbanization rate is high and so, the country’s urban areas have significant institutional and infrastructure needs. Nevertheless, the existing LGDG system does not also categorize between urban and non-urban LGAs, therefore, the only discretionary funds within LGDG provided to ULGAs to address their infrastructure needs is through the CDG and CBG windows, amounting to only $2/capita/annum which is far below their actual demand. It is not sufficient and a new sub-programme is required to be established within the overall LGDG to meet the specific institutional and development needs of ULGAs. Thus, the GoT via PMO-RALG intends to introduce a new window within the LGDG System to focus specifically on meeting the investment needs and leveraging the improved institutional performance of Tanzania’s rapidly growing secondary cities. The GoT has requested the World Bank’s continued support to the LGRP with a focus on 2 Previously known as the Local Government Capital Development Grant (LGCDG) 3 Belgium, Finland, Germany, Ireland, Japan, Netherlands, and Sweden 4 The Tanzania Strategic Cities Project (TSCP), which recently became effective, is designed as an investment operation to provide finance for critical infrastructure in key urban LGAs: Arusha, Dodoma, Kigoma, Mbeya, Mtwara, Mwanza and Tanga. 8 the 18 ULGAs with the objective to strengthen their institutional capacity and improve service delivery under the ULGSP. The 18 participating ULGAs in the ULGSP will receive financing under an Urban Performance Grant (UPG) based on the World Bank's Performance for Results financing instrument. Their performance will be assessed against agreed disbursement-linked indicators which will measure the enhancement of institutional systems. The exact amount of funds that the ULGAs will receive, will depend on the score of an annual performance assessment for each ULGA. ULGA performance under ULGSP will be assessed in the following results areas: 1. Improved urban planning systems, 2. Enhanced revenue enhancement (with a particular focus on property taxation); Increased efficiency in fiduciary systems management (financial management and procurement); 3. Improved service delivery systems; and 4. Enhanced accountability and oversight mechanisms (including environmental and social management). The main objective of the ULGSP is "to improve institutional performance for service delivery in the participating urban LGAs" 2.1.1 Components of ULGSP ** to be confirmed by PMORALG and WB** 1. Enhanced institutional capacity of 18 urban LGAs: ULGSP will help 18 selected Urban Local Government Authorities to strengthen their institutional capacity and improve local governance defined in terms of improved urban planning systems, increased own source revenue generation and collection (with a particular focus on improved property taxation), enhanced fiduciary systems management, improved service delivery systems and enhanced accountability and oversight mechanisms; 2. Infrastructure Investments: A set of urban infrastructure investments which will be financed by the Programme’s UPG. The ULGAs will have the opportunity of prioritizing which infrastructure projects to implement from the menu of eligible projects to be financed; and 3. Capacity enhancement and implementation support to the PMO-RALG: Enhanced central government mechanisms that can support decentralization including on- time disbursement of ULGSP funds from the central government to ULGAs. 2.2 Anticipated ULGSP sub-project types Table 1contains a list of anticipated sub-project types that may be funded under the UPG. Municipal and Town Councils that qualify will access the fund for capital investments mainly for infrastructure such as road, market, municipal waste disposal site facilities, etc. 9 Table 1: Types of eligible urban infrastructure sub-projects that can be financed by the UPG. Sector Eligible Sub-project Expenditures City roads and related  Road rehabilitation: Grading, graveling, brick paving, tarmac, upgrading or rehabilitation for which the ULGA is responsible infrastructure (maximum 15 km per year)  Road side and Stand-alone open storm-water drains  Street lights  Culverts  Small Bridges: 6m span or less  Minibus stands and bus stops (e.g. minibus parking areas for approximately 25 vehicles)  Taxi stands  Truck stands  Public car parking  Other road-related infrastructure (street furniture, vending platforms, signage) Markets and Trade  Abattoir (maximum capacity of 100 head of cattle per day)  Commercial market infrastructure Public Space  Public green space  Sports fields and facilities  Tree planting Solid waste management  Dumpsite rehabilitation  Community waste collection points  Equipment Project preparation  Expenditures related to preparation of infrastructure projects (design, supervision etc) Equipment  Equipment related to enhancement of relevant capacities for urban planning and OSR management, etc. 2.2.1 Sub-Project Activities Ineligible under UPG The types of subprojects listed under Box 1 cannot be financed under ULGSP: Box 2-1 Sub-project Activities Ineligible for Funding under UPG o Road works outside existing right of way o Works involving the relocation of more than 20 households o New Landfills o Subprojects that involve the significant conversion or degradation of critical natural habitats or significantly alter potentially important biodiversity and/or cultural resource areas; The types of subprojects listed under Box 2 cannot be financed under World Bank Group regulations: ** to be confirmed by PMORALG and WB** Box 2-2 Sub-project Activities Ineligible for Funding o Subprojects that involve the significant conversion or degradation of critical natural habitats; o Religious infrastructure; o Headquarters for cooperatives, groups, or executing organizations; o Acquisition of equipment for government services. o Administrative buildings (except accommodations for health workers, and primary school teachers); o Activities already covered by other sources of financing or are already included in other national, regional public development programs and where financing has been secured; o Purchase of mechanical equipment (e.g. trucks, tractors, etc.); o Growing or purchase of tobacco or drugs; and o Investment in bars or establishments serving alcohol. 10 Also, during the first year of the UPG and until experience demonstrates that the local capacity exists to adequately manage their environmental and social impacts, the types of subprojects listed below (Box 3) will not be financed by the UPG. This list will be reviewed annually to determine if subproject types should be removed from, or added to, the list. ** to be confirmed by PMORALG and WB** Box 2-3 Subproject Activities that May or May Not Be Financed Under UPG o Secondary roads o Subprojects involving the use of pesticides or agrochemicals, including tick dips o Animal vaccination yards and slaughterhouses o Dams and weirs o Subprojects in locations that are ecologically sensitive such as forests, wetlands, and other unique habitats. 2.3 ULGSP target areas The ULGSP is being implemented in 18 ULGAs across mainland Tanzania. These are located in 18 of the 25 regions as in Table 2 below. Table 2: List of ULGAs participating in the ULGSP Region Municipal Councils Town Councils 1 Iringa Iringa MC 2 Geita Geita TC* 3 Kagera Bukoba MC 4 Katavi Mpanda TC 5 Kilimanjaro Moshi MC 6 Lindi Lindi MC 7 Manyara Babati TC 8 Mara Musoma MC 9 Morogoro Morogoro MC 10 Njombe Njombe TC 11 Pwani Kibaha TC 12 Rukwa Sumbawanga MC 13 Ruvuma Songea MC 14 Shinyanga Shinyanga MC 15 Singida Singida MC 16 Simiyu Bariadi TC 17 Tabora Tabora MC 18 Tanga Korogwe TC * Geita TC in the process of being upgraded to Geita MC as Geita has been designated a new region in 2012. 2.4 ULGSP Project coordination and implementation Implementation of ULGSP will use existing staff structures and government systems. The key implementers are PMO-RALG and the ULGAs: 1. PMO-RALG will be responsible for the overall management of Programme activities, providing overall coordination and technical support to ULGAs. The Programme will be coordinated and managed by PMO-RALG who has established a dedicated 11 Programme Team consisting of its own personnel for the implementation of all World Bank supported projects and programmes, including ULGSP, within the Directorate of Urban Development. 2. The participating ULGAs will take the primary responsibility for implementing their own sub-projects including fiduciary, environmental and social management, and reporting requirements. Specific roles and responsibilities in implementing the sub- projects are described in Table 3 below. Table 3 ULGA Roles and Responsibilities in implementing ULGSP Department/Unit/Committee Roles and Responsibilities Full Council  Sub-project approvals Standing Committees  Review of budgets  Review of project implementation reports Finance Department  ULGA budget planning Economic Planning Department  ULGSP project planning and budgeting in ULGA  Overseeing sub-project implementation  ULGSP reporting to PMO RALG Infrastructure Proponent Section  Sub-project concept and design  Sub-project implementation Environmental and Social  Environmental and Social Management of Sub- Management Unit projects: ESIA, monitoring and reporting Procurement Management Unit  Procurement of services and supplies for sub-projects Urban Planning/Lands  Sector specific management and coordination Department, Health Department, Community Development Section and, Works Department Environmental and Social Management issues are currently managed under various departments5 and are not well anchored in the ULGAs. This manual presents an ESMS that establishes the responsibility of each actor in the LGA in Environmental and Social management (ESM) for ULGSP under specific departments/teams. 5 Environment is currently placed in different departments depending on the LGA e.g. in Lands and Natural Resources, Urban Planning, Lands and Environment Department or Cleaning and Environment Department. 12 PMO RALG Permanent Secretary Respective Regional Secretariats Oversight, Advisory and Mentoring PMO-RALG Urban Program Unit Program Coordinator ULGSP Sub-Coordinator Financial Management Specialist Procurement Specialist Environmental and Social Specialist Monitoring and Evaluation Specialist 18 ULGAs Full Council Standing Committees Finance Department Economic Planning Department Infrastructure Proponent Section Environmental and Social Unit Procurement Unit Other sectoral departments Figure 1: Key Actors in implementing and coordinating the ULGSP 13 3 GENERAL ENVIRONMENTAL AND SOCIAL MANAGEMENT PRINCIPLES AND REQUIREMENTS 3.1 Introduction This chapter presents the policy, legislative and institutional context within which the manual has been developed and will be used. The key principles for environmental and social management pinned by various relevant policies are presented and are applied throughout the manual. The legislative requirements and institutions relevant to environmental, social and resettlement management are then presented in order for the users of the manual to know the minimal legislative requirements and key actors involved in either approving, enforcing, implementing or coordinating the requirements. 3.2 General Principles of Environmental and Social Management In Table 4 below are some of general principles and practices of sound environmental and social management relevant to infrastructure development projects. The key principles drawn from various national and international environmental and social requirements (Appendix A) will guide Urban LGAs in relation to any decision, order, exercise of any power or performance of any function they will make. 14 Table 4 Guiding Principles for Environmental and Social Management in ULGSP Principle Definition/ Explanation Sustainable Development Development that meets the needs of the present without compromising the ability of future generations to meet their own needs. The following shall be done to ensure sustainable development:  Protection of biodiversity;  Duty not to transfer, directly or indirectly, damage or hazards from one area to another;  Promotion of best available techniques and best environmental practices;  Maximising sustainable benefits of neighbouring communities;  The duty to co-operate on a district, regional and national level for the protection and preservation of the environment; Precautionary Approach The precautionary approach require that where there are potential threats of serious or irreversible adverse effect, lack of full scientific certainty shall not be used as a reason for postponing cost-effective measures to prevent environmental degradation or adverse social effects. LGAs shall strive to adopt Prior Assessment Principle i.e. assess environmental impacts before starting a new activity or project and before decommissioning a facility or leaving a site. Polluter Pays Principle / User Pays Polluters shall in principle bear the cost of causing adverse effect on the environment and is required to pay in full social and environmental Principle costs of avoiding, mitigating and or remedying those adverse effects. This should be done with due regard to public interest and without distorting the practical value of the investment to an unreasonable extent. Similarly, users of resources e.g. water, land, and natural resources etc. It follows from this that environmental costs of developments shall be internalised into the financial planning of any development undertaken be LGAs, especially through mitigation measures, monitoring and evaluation. Stakeholder Participation and It is recognised that as stakeholder participation is essential component in the planning and implementation of environmental management and Transparency social safeguarding (policies, plans, and processes). This extends to stakeholders representation on decision making bodies, timely disclose of relevant information to stakeholders in accessible format and regular ad hoc consultation with them as and when issues arise. The Principle of Access to Justice The principle gives individuals, the public and interest groups of persons the opportunity to protect their rights to participation and to contest decisions that do not take their interest into account. Access to Information This enables citizens to make informed personal choices and encourages improved performance by government and industry. Minimization of Waste Where practicable, waste should in order of priority, be re-used, recycled, recovered and disposed of safely in a manner that avoids / is least likely to creating adverse effects. Resettlement measures planned For infrastructure sub-projects requiring land acquisition, people and livelihoods would be impacted, and resettlement cannot be avoided in all and implemented according to cases. The implementation of individual sub-project resettlement and compensation plans (RAPs) shall be a prerequisite for any investment Resettlement Action Plans (RAPs) activity causing resettlement, to ensure that displacement (relocation or loss of shelter) or restriction to access does not occur before necessary measures for resettlement and compensation are in place including assistance to the displaced persons. Other good practice principles Continuous Monitoring and It is necessary for the responsible stakeholders to maintain regular monitoring and evaluation for continuous improvement of environmental Evaluation performance in order to preserve the integrity of environment Employee Education and capacity LGAs and Contractors shall have programmes to educate, train and motivate employees to conduct their activities in an environmentally building responsible and socially acceptable manner. Facilities and Operations LGAs and Contractors shall select technologies/facilities and operate facilities and conduct activities taking into consideration the efficient use of energy and materials, the sustainable use of renewable resources, the minimisation of adverse environmental impact and waste generation, and the safe and responsible disposal of residual wastes. Compliance and Reporting LGAs and Contractors shall comply with national policies, legislation relevant to environmental and social management. 15 3.3 Relevant Legislature for Environmental and Social Management and Infrastructure development. All sub-projects that will be implemented under ULGA shall comply with relevant national environmental and social management requirements as well as the World Bank Core Principles applicable to UPG and its infrastructure sub-projects. These tools provide enabling environment within which the Manual will be developed and get used. Infrastructure investments under the UPG programme may be established in all sectors of economy. As such, several sectoral legislations will have bearing on the development and operations of the individual project. The majority of the sectoral legislations require the project proponent to respect the environmental integrity and recommend that environmental impact assessments should be carried out in order to achieve that. The following table (Table 5) is a summary of the key legislature summarised from the various relevant Acts (see Appendix A for detailed legislative requirements). For particular reference to the ULGSP, the World Bank's Operational Policy 9.00 Program for Results is attached as Appendix B. 16 Table 5 Summary of relevant legislation Legislation/Policy Description The Constitution of the United This revised edition of the Constitution of United Republic of Tanzania of 1977 incorporates and consolidates all amendments made therein by Republic of Tanzania Cap 2 (1977) the Constituent Assembly in 1977 up to 31st December 2008, and it is printed and published under section 4 of the Law Revision Act, chapter 4.). The constitution is the mother law in the sense that all laws should get legitimacy from it. It is the supreme law in such that all other laws must not be construed to be held to be repugnant or inconsistent with its provisions and principles. It is the tool that guarantees basic rights and ensuring that all human rights are preserved and that the duties of every person are faithfully discharged. National Environmental Policy The NEP recognizes investments as the major source of income and employment in Tanzania but also source of environmental challenges. (1997) Paragraph 62 states that “…. As a means of exploiting resources, direction of investment and orientation of technological development shall be in harmony and enhance both the current and future potential to satisfy human needs and aspirations". NEP recognizes Environmental Impact Assessment as a strategic tool to achieve that and directs the establishment of a legal regime requiring EIA to be mandatory for all development projects. The Environmental Management The Act was enacted with a view of providing for legal and institutional management of environment. It provides basics for implementation of Act (EMA), Cap 191 (2004) the National Environmental Policy. It further outlines principles and best practices for management of environment, impact and risk assessment, environmental quality standards, public participation, compliance and enforcement. The Acts outlines rights, duties, and powers to individuals and institutions at all administrative levels. It repealed the National Environment Management Act, 1983 to provide for continued existence of the National Environmental Management Council. EMA provides for establishment/or delegation to officers and committees at urban LGAs for environmental management within area of jurisdiction and provides for other environment related matters. Environmental Impact Assessment The Regulations have been promulgated as response to implementation of the Environmental Management Act Cap 191 as per Section 82 (1) and Audit (EIAA) Regulations and 230 (2) which conferred the Minister to make regulations and guidelines on how Environmental Impact Assessment shall be conducted. (2005) Therefore they are regulations to give effect to the provisions of the EMA. Environmental (Registration of The Regulations have been promulgated as response to implementation of the Environmental Management Act Cap 191 as per Section 83 (2) Environmental Experts) Regulations which conferred the Minister to prescribe in the regulations qualifications of a person who may conduct Environmental Impact Assessment. (2005) Therefore they are regulations to give effect to the provisions of the EMA. The National Land Policy Due to changes in land uses and increase in human population, growth of livestock, increased awareness on value of land, adaption of political pluralism and affirming customary tenure the National Land Policy is introduced to bring about land dispensation in a responsible and orderly fashion to cater for various needs in land tenure, landuse management and administration. The Land Policy provides key guiding policy directives on land tenure; land allocation, access, and protection; value to land; compensation; dispute settlements; and urban land use. Land Act, Cap 113 (R.E 2002) The Act provides for the basic law in relation to land other than village land, management of land, settlement of disputes and matters incidental thereto. Provisions of the Act include classification and tenure of land, land administration procedures, rights and incidents of land occupation, granted rights of occupancy, conversion of interests in land, dispositions affecting land, land leases, mortgaging of land, easements and analogous rights, co-occupation and partitioning and settlement of land disputes. The Land Acquisition Act, Cap. 118 The Land Acquisition Act is the principal legislation governing compulsory acquisition of land in Tanzania. It repealed and replaced the Land (R.E 2002) Acquisition Ordinance (1923), and empowers the President to acquire land for public purposes (i.e. in connection with housing schemes) and provide the procedures to be followed when doing so. Urban Planning Act (2007) The Act gives the relevant authorities mandate to provide for the orderly and sustainable development of land in urban areas, to preserve and improve amenities; to provide for the grant of consent to develop land and powers of control over the use of land to provide for the other related matters. It also recognises value of land for purpose of compensation. Land Use Planning Act (2007) The Act provides procedures for the preparation, administration and enforcement of land use plans and matters incidental to. The primary requirement of the act is development projects should take into consideration and understand the strategic planning of the other land surrounding the project. The Land (Assessment of the Value The Regulation were made under section 179 of the Land Act No. 4 of 1999 to set standard methods for valuation of land and properties; of Land for Compensation) responsible authorities and elements that should be included in a compensation package including methods for calculating their values. Regulations (2001) The Land (Compensation Claims) The regulations provide the basis for eligibility for compensation. It sets out the rights and entitlement for the one claiming compensation. It also regulations (2001) provides that compensation takes the form of monetary compensations, or may, at the option of the Government, take the form of all, a combination or any of the following;  A plot of land of comparable quality, extent and productive potential the land loss;  A building or buildings of comparable quality extent and use comparable to the building or buildings lost;  Plant and seedlings; and 17  Regular supplies of grain and other basic foodstuffs for a specified period. Courts (Land Disputes Settlements) Subject to section 167 of the Land Act, 1999, and section 62 of the Village Land Act, 1999, the Act provides for every dispute or complaint Act (2002) concerning land shall be instituted in the Court having jurisdiction to determine land disputes in a given area. Urban Planning Act (2007) The Act provides for the orderly and sustainable development of land in urban areas, to preserve and improve amenities and to provide for the grand of consent to develop land and the power of control over the use of land The Local Government (Urban The Act establishes urban authorities for the purposes of local government, provides for the functions of those authorities and for other matters Authorities) Act No. 8 (1982) connected with or incidental to those authorities. The act makes provisions for the road financing, development, maintenance, management and other related matters. It also provides for road Road Act (2007) classification and declaration as well as provisions for road management where it assigns responsibilities to different authorities at national to LGA level. Occupational Health And Safety OHS Act makes provision for the safety, health and welfare of persons at work. Also it provides for the protection of persons other than at work (OHS) Act (2003) against hazards to health and safety arising out of or in connection with activities of persons at work. The Act provides for sustainable management and adequate operation and transparent regulation of water supply and sanitation services; provides for establishment of water supply and sanitation authorities as well as community owned water supply organizations; and provides for The Water Supply And Sanitation appointment for service providers. The main aim of this law is to ensure the right of every tanzanian to have access to efficient, effective and Act (2009) sustainable water supply and sanitation services for all purposes by taking into account among others protection and conservation of water resources and development and promotion of public health and sanitation; and protection of the interest of customers. The Act provides for the institutional and legal framework for sustainable management and development of water resources. It outlines The Water Resource Management principles for water resource management, prevents and controls water pollution and provides for public participation of stakeholders and the Act (2009) general public. National Parks Ordinance The Ordinance establishes the mechanism whereby the president can declare, with the consent of Parliament, a National Park. The Act also creates a management authority of trustees for the National Parks of Tanzania, the Tanzania National Parks Authority (TANAPA). The Wildlife Conservation Act The Act provides for the conservation, management, protection and sustainable utilisation of wildlife and wildlife products. (2009) Marine Parks And Reserves Act The Act provides for the establishment, management and monitoring of marine parks and reserves and establishes a Park and Marine (1994) Reserves Unit Act provides for the management of forests: National Forests (forest reserves or nature forest reserves); Local Authority Forests; Village Forest Act (2002) Forests; and Private Forests. National Gender Policy (1999) The key objective of the policy is to provide guidelines that will ensure that gender sensitive plans and strategies in all sectors and institutions are developed. While the policy aims at establishing strategies to eradicate poverty, it puts emphasis on gender quality and equally opportunity of both men and women to participate in development undertakings and to value the role-played by each member of the society. The purpose of the public health act is, amongst other things, for the improvement in the health habits and lifestyles of people living in Public Health Act (2009) Tanzania; securing environmental sanitation and hygiene; and preventing and controlling living infectious or communicable and other diseases. The Employment and Labour The Act provides for core labour rights, establishes basic employment standards, provides a framework for collective bargaining, provides for Relation Act Cap 366 (2004) the prevention and settlement of disputes, and other related matters. The Act requires 'every ministry, department, agency, local government authority, parastatal organization, institution whether public or private, The HIV and Aids (Prevention And shall design and implement gender and disability responsive HIV& Aids plans in its respective area, and such plans will be mainstreamed and Control) Act (2008) implemented within the activities of such sector.’ therefore attention needs to be paid to any existing HIV and aids plans in any area where projects will be implemented. Law of the Child Act (2009) The Act provides for reform and consolidation of laws relating to children, stipulates the rights of the child and provides for the promotion, protection and maintenance of the welfare of a child with a view to giving effect to international and regional conventions on the rights of the child. The Act also regulate employment and apprenticeship of children and makes provisions with respect to a child in conflict with law and to provide for related matters. Disabilities Act (2010) The Act provides for the health care, social support, accessibility, rehabilitation, education and vocational training, communication, employment or work protection and promotion of basic rights for the persons with disabilities and other related matters. Community Development Policy The policy objective is to enable Tanzanians as individuals or in their families and/or groups/associations to contribute more to the government (1996) objectives of self-reliance and therefore bring about development at all levels and finally the nation as a whole. National Strategy for Growth and The goals of the National Strategy for Growth and Reduction of Poverty or MKUKUTA are grouped into 3 main clusters: growth and reduction Reduction of Poverty (2005) of income poverty, improvement of quality of life and social well-being and good governance and accountability. 18 3.4 Relevant Authorities The Tanzania Environmental Management Act (EMA), Cap 191 (2004) is the principle Act that establishes and sets out roles and responsibilities for institutions and bodies for the management of environmental and social issues of concern. EMA supersede other Acts in this regard with the exception of the National Constitution. Authorities relevant to Environmental and Social Management as prescribed in the EMA and in the Environmental Impact Assessment and Audit Regulations of 2005 for carrying out ESIAs are presented overleaf ( Table 6). The Relevant Authorities for Land and Land use as provided for in the various Acts and Regulations are presented in Table 7 below. Other Sectoral Authorities relevant for the implementation of infrastructure development projects are presented in Table 8 below. 19 Table 6 Institutional Structure for Environmental and Social Management Name of Authority/Entity Respective Role and Responsibility Established under EMA, Cap. 191 Section 11to advise the Minister Responsible for Environment on issues pertaining to the National Environmental Advisory Committee protection and management of the environment and to review and advise on any environmental standards, guidelines and regulations Established under EMA, Cap. 191, Section 13 to issue guidelines and designate duties. Minister Responsible for Environment6 Under the EIA and Audit Regulations, 2005 the Minister is responsible for approval by issuing of decision letter / EIA Certificate for development projects. The Minister may delegate responsibility for EIA authorization to Director of Environment, LGAs and Sector Ministries. Established under EMA, Cap. 191 Section 14 to coordinate, advise, assess, monitor and report environmental related aspects and activities. Division of Environment is responsible for policy and legal formulation and implementation; promoting the integration of Director of Environment environmental considerations into development policies, plans, programmes, strategies and projects; undertaking strategic environmental assessment. Under the EIA and Audit Regulations, 2005, it is the Director who provide advice to Minister for approval of Environmental Impact Assessment report (EIS) of development projects. Established under EMA, Cap. 191 Section 16 to undertake enforcement, compliance, review and monitoring of environmental impact assessment. Specifically section 18(2)(d) review and recommend for approval of Environment Impact Statement. The EIA and Audit Regulations, 2005, provide specific roles and responsibilities to NEMC in the undertaking EIA / PEA for new development projects (Part III – XI); Environmental Audit for existing development projects (Part X); and Environmental Monitoring and Reporting (Part XI):  Registration/ application  Screening (assigning the appropriate level of environmental assessment to project  Facilitates public/ stakeholders participation in environmental decision making  Review of Environmental Assessment reports : constitutes multidisciplinary, multi-sectoral committees to review the adequacy of EIS  Issuing of decision letters: screening results, approval of TOR and scoping report; approval of PEA reports, approval of National Environment Management Council (NEMC)7 ESMP, (a body corporate)  Disclosure of EIS / EA report.  Recommendations to the government for approval and clearance of EIA Certificates for projects.  Monitoring environmental phenomena, operations of any industry, project or activity (Regulation 57(1)(a))  Monitoring on-going projects on a continuous basis in consultation with Sector Ministry, Government Department, Agency or Institution  Undertaking Control Audits to check compliance or verify Self Audit reports (Regulation 49)  Issuing Post Audit Orders: an improvement order for corrective measures for mitigating the environmental degradation revealed during audit study (Regulation 5 Under the EMA, NEMC is empowered to establish specific offices or to appoint or designate officers to effectively perform its functions. Section 26: “NEMC may delegate to any sector Ministry, environmental body, employee or agent of the Council, the exercise of any of the powers or the performance of any of the functions or duties of the Council under the Act� 6 Vice President's Office- Division of Environment 7 NEMCs structure is comprised of five directorates of i) Compliance; ii) Environmental impact assessment; iii) Research and planning; iv) Environmental Information Communication and outreach; and Finance and administration. Also it has support units of corporate planning, internal audit and procurement. NEMC's target to have 7 regional offices namely: Lake Zone (Mwanza (center), Geita, Kagera, Mara and Shinyanga); North Zone (Arusha (center), Tanga, Kilimanjaro, Manyara,); Southern Zone (Mbeya (center), Iringa, Rukwa, Nkasi, Ruvuma); South-Coast Zone (Mtwara, Lindi); Central Zone (Tabora, Dodoma, Singida); and Coast Zone (Dar es Salaam, Pwani, Morogoro) 20 Name of Authority/Entity Respective Role and Responsibility The zonal offices headed by Environmental Management Coordinators replicate all functions and departments at regional level i.e. NEMC zonal offices overseeing Compliance and Enforcement; EIA; Research and Planning; and Environmental Information, Communication and Outreach Inspectors are empowered under the EIA and Audit Regulations, 2005 to enter on any land, premise or facility of the project for the Environmental Inspector (Appointed or Designated) purpose of inspection, to examine records and to make enquiries on the project (Regulation 55) or for the purpose of monitoring the effects of activity carried out on that land, premise or facility upon the environment (Regulation 58) Established under EMA, Cap. 191 Section 30 to be responsible for all sector–specific environmental matters within the Ministry. The EIA and Audit Regulations, 2005 stipulates specific functions for relevant sector Ministries, Government Departments, Agency Sector (Ministries) Environmental Sections or Institutions including participation in Cross-Sectoral Advisory Committee for review of EIA Reports; review and verification of (Established under EMA, Cap. 191 Section 30) Environmental Audit Reports (Regulation: 53); monitoring on-going projects on a continuous basis (Regulation:58 (1); and to prepare and submit Monitoring reports to NEMC. EMA, Cap. 191 Section 34 confers additional roles to the Regional Secretariat to coordinate all environmental matters within Regional Secretariat respective region. Established under Section 5(1) of the Local Government (Urban Authorities) Act, 1982 to perform basic functions provided under Section 54 (1) and (2) of the Act including promoting social and economic wellbeing and development of its area and people within jurisdiction. Section 55 (1) specify several duties of urban LGA and Schedule to Section 55 (2) lists over 100 duties which urban LGA may perform most of which are relevant to environmental and social management Local Government Authority EMA, Cap. 191 Section 37 directs that additional functions for the environment committee include any that are prescribed under EMA or assigned by Minister for Environment. Section 41 confer General Powers to the LGAs including to undertake inquiries and investigations, summon any person, resolve conflicts among various parties, inspect and examine any premise, order to remove substance or article harmful to the environment and prosecute or sue any violator. City, Municipal, Town designated / appointed Established under EMA, Cap. 191 Section 36 in Cities, Municipalities, and Towns to enforce, advise the Environment Management Environment Management Officer Committee, gather/ manage information, and report on state of local environment. Specifically section (36 (3) (f), EMO are tasked to monitor the preparation, review and approval of environmental impact assessment for local investments. The Committee is established under Section 42 (1) of the Local Government (Urban Authorities) Act, 1982 as a standing LGA Standing Committee on Urban Planning and committee responsible for urban planning. Functions of the standing committee are determined by respective urban LGAs for Environment better performance of its functions and efficient management of its duties. Established under Section 96(1) of the Local Government (District Authorities) Act, 1982 to perform functions provided determined LGA Standing Committees of Economic Affairs, Works by the respective township authority. EMA, Cap. 191 Section 38 directs that additional functions for the environment committee and Environment of a Township include overseeing proper management of environment within Township. Established under EMA, Cap. 191, Section 39 to coordinate all functions and activities for protection of environment within the Township Environmental Management Officer township. This is the promoter of the project or undertaking subject of any environmental assessment requiring authorization. The Project Proponent is required to:  Oversee and meet costs of Environmental assessment and implementation of EMP/EMoP (Regulations: 46 (3) and (4) Investor/ Developer / Project Proponent  Undertake Initial Environmental Audits and Environmental Control Audit, Self auditing during implementation of EMP (Regulation: 50/57 (1) (c)  Undertake Baseline Survey before project implementation as basis for undertaking effective monitoring Established under the Environmental (Registration of Environmental Experts) Regulations, 2005 these are qualified Registered EIA Expert /Firm of Experts /Environmental firms/individuals authorized to offer services in undertaking EIA, Initial and Control Environmental Audit Environmental Inspection, Auditor/Environmental Inspectors EIA training and other technical support. The General public is empowered by EMA Cap. 191 and EIA and Audit Regulations, 2005 to participate in all environmental management matters concerning them and at all stages of the EIA process specifically to raise issues and concerns and to appeal General Public when dissatisfied. 21 Table 7 Institutional Structure for Land and Land Use at national level Name of Authority/Entity Key Role and Responsibility Established under the Land Policy and the Land Act (Section 8) as the sole authority over all land matters. The Land Act poses to Minister Minister Responsible for Lands the duty of policy formulation and implementation of Land Policy and Act. The Minister is directed to perform a number of functions (delegated to the Commissioner for Lands) including issuing permit for using land (other than village or reserved land). Established under the Urban Planning Act (Section 5) to ensure incorporation of principles of urban planning in planning processes and Minister responsible for Land Use Planning use and development of land. The Minister is empowered to designate any Body or Organ as a planning authority (Section 7 (4)) and to declare any area of land to be a planning area (Section 8(1)). Established under the Land Policy and Land Act as sole authority responsible for land administration. Land Act (Section 9-11) impose the Commissioner for land as the principal administrative officer and professional officer and advisor to the government in land matters at all Commissioner of Lands levels. The Commissioner may appoint officers at the appropriate levels of government to administer land other than village land. Has power to delegate the powers to Deputy, Assistant Commissioners and Officers and officers at Local Authority or public organization all who work and comply to directives of the Commissioners. Established under Land Act (Section 17 to advice Minister on Land Policy and institutional framework and organizational structure for land National Land Advisory Council matters Established under Section 6 &7 of the Land Use Planning Act, as the principal advisory organ of the Government on all matters related to National Land Use Planning Commission land use. The Commission is comprised of various environmental stakeholder to ensure oversee the best use of land use planning. Established under the Urban Planning Act (Section 6) to advise to Minister, issue guidelines, set standards, coordinate and approval of Director of Urban Planning matters related to urban planning Under the Land Act (Section 12) Land Allocation Committees are to be established at central, urban and district authorities to perform Land Allocations Committee duties related to advise of application of Rights of Occupancy. Established under Section 5(1) of the Local Government (Urban Authorities) Act, 1982 to perform basic functions provided under Section 54 (1) and (2) of the Act. The Land policy directs LGAs (working with Minister) as being responsible for land administration in respective areas of jurisdiction. Local Government Authorities According to Land Act (Section 14): LGAs (unless authorized) do NOT make an offer or grant or sign any Right of Occupancy to any individual or organization; any such purported offer shall be void; any application is forwarded (with comments and recommendations) to the Commissioner. LGAs only make representation, provide advice or guidance of land matters in respective areas of jurisdiction not contrary to directive or circular issued by the Commissioner. Land (Assessment of the Value of Land for Compensation) Regulations, 2001 (Regulation 5) directs that every assessment of the value of Qualified Valuer land and unexhausted improvement is done by a qualified Valuer Land (Assessment of the Value of Land for Compensation) Regulations, 2001 (Regulation 6) directs that every assessment of the value of Chief Valuer land and unexhausted improvement is verified by the Chief Valuer of the Government or Representative 22 Table 8 Relevant Sectoral Authorities Name of Authority/Entity Key Role and Responsibilities WATER AND EFFLUENT DISCHARGE Established under the Water Supply and Sanitation Act (2009), Section 9 and is responsible to provide a secured and continuous supply of Water Supply and Sanitation Authority water; develop and maintain water works and sanitation works (includes treatment and monitoring of water quality; liaise with LGAs and (body corporate) collect fees and levies for services supplied. Established under the Energy and Water Utilities Rgulatory Act Cap 414 responsible for  Licencing and regulating water supply and sanitation services Energy and Water Utilities Regulatory Authority  Establishing standards, guidelines and tarrifs chargeable in relation to water supply and sanitation services  Monitoring water quality Established under Water Resource Management Act (2009) section 22 and are responsible for the general planning, coordination, management and reporting on water resource management and water resource structures a in a basin. Also responsible to  Approve, issue and revoke water use permits for any person who diverts, dams, stores, abstracts or uses water from surface or underground water source. Water Basin Board  Approve, issue and revoke ground water permits for any person who intends to construct, sink, enlarge or deepen a well or borehole in a Groundwater Controlled Area declared by the Minister  Approve, issue and revoke discharge permits for any person who wants to discharge effluents from any commercial, industrial or agricultural source, from any sewerage works or any other source.  Monitor, enforce and report on environmental compliance by water use and discharge permit holders NATURAL HABITATS AND PROTECTED AREAS DESIGNATED BY LAW Established under Forest Act (2002), Section 5 who appoints licensing and registration officers, enforcement officers and inspectors who ensure the efficient, effective and economical management and supervision of forests. Also responsible for approving permit applications for Director of forestry (appointed)8 and relevant forest  the felling and extraction of timber, manager  gathering, removing, export of forest produce,  human activities in the forest: research, construction, tourism, industry, hunting, fishing  planting, sowing and cultivation of trees, crops or other vegetation  livestock rearing Established under Wildlife Conservation Act, Section 7 who is the principle advisor to the government on all matters related to the conservation and management of wildlife and wildlife products and is responsible for 9  Issuing permits/licenses to hunt, burn, capture, kill, wound or molest any animal or fish found in a game reserve, game controlled Director of Wildlife area or wetland reserve.  Authorizing entry into game reserves  Authorizing livestock grazing in game controlled areas Established under Marine Parks and Reserves Act Section 3 under the Division of Fisheries to establish and develop marine parks and Marine Parks and Reserves Unit reserves and to implement and enforce provisions in the Act; to provide public education and awareness; to provide services to visitors and establish, operate or manage or grant concession or licenses to other persons to operate of manage on their behalf any facilities for visitors traveling to or from any marine park . Established under the National Parks Ordinance Section 8 who has general powers, duties and functions to control, manage, administer Tanzania National Parks Authority (TANAPA) and maintain National Parks INFRASTRUCTURE DEVELOPMENT Established under the Local Government (urban authorities) Act section 5 that have the authority to Urban Councils  Regulate any trade or business which may be noxious, injurious to the public health or a source of public danger, or 8 Ministry of Natural Resource Management- Division of Forestry and Beekeeping and relevant Forest Reserve Management Authority 9 Ministry of Natural Resource Management Wildlife-Division and designated wildlife officers 23  Provide, maintain, supervise and control public markets and pounds, and cold-storage depots, mineral water factories and public or private slaughter- houses,  Provide for and maintain a supply of electric lighting or other means of lighting the streets and trunk roads  Keep and maintain in good order and repair all public waste and sanitation facilities and services so as to prevent injury to health  Make, keep and maintain clean and in-good order and repair all streets, sewers, buildings,machinery, works, surface water drainage and things belonging or shall become vested in the authority,  Regulate the use and conduct of public vehicles and to appropriate particular routes, roads, streets and parking places to specified classes of traffic plying Established under the Road Act Section 5 responsible for the development, maintenance and management of public roads and related facilities and have the authority to  Enter land owned by any person to survey for the purpose ofa road  Collect stones, sand, gravel or any material required for opening, making or preparing any public road Road Authority (TANROAD)  Acquire quarries for developing and maintaining a road  Remove and cut trees that overhangs, obstructs or interferes with light, endangers or obstructs the pathway or interferes with road performance or maintenance.  Notify any person obstructing or encroaching on any public road to remove or abate such obstruction OCCUPATIONAL AND PUBLIC HEALTH AND SAFETY Empowered under the Public Health Act Section 5 to Urban Authorities  Prevent the occurrence of or deal with the prevalence of any disease (infectious, communicable and non-communicable)  Safeguard, promote, implement and enforce public health standards, including notifying any breach of the standards Established under OHS Act Section 5 to enter, inspect and examine a factory, workplace, building, machinery or appliance to ensure Designated OHS Inspectors compliance with the provisions of the Act and in doing so may obtain and examine relevant documentation and/or direct an employer, employee or user to appear before them or to be examined. Established under the Executive Agencies Act No. 30 of 1997 and is the custodian of Occupational Health and Safety Act No.5 of 2003 to make provision for the safety, health and welfare of persons at work in the workplaces and to provide for the protection of persons other Occupational Health and Safety Authority (OSHA) than persons at work against hazards to health and safety arising out of or in connections with other activities of persons at work. OSHA also provides Occupational Health & Safety Compliance Licensing. Established under the Fire and Rescue Services Act (1985) Section 4 for protection against fire hazards, to enter a premise to ensure Fire and Rescue Services Force adequate fire safety provisions are available and to supervise, instruct and monitor all fire and rescue activities of all fire brigades 24 PART II: URBAN LOCAL GOVERNMENT ENVIRONMENTAL AND SOCIAL MANAGEMENT SYSTEM GUIDE Part II of this manual describes the LGA-specific ESMS. It is divided into 7 chapters as follows: Chapter 4 is an overview chapter that presents the overall ESMS describing step-by-step procedures for environmental and social planning, review, approval, implementation, monitoring and evaluation of sub- projects financed under the ULGSP. Further guidance on implementing the procedures in the ESMS are provided in the following chapters:  Chapter 5 are Screening Criteria for determining need for and level of environmental assessment for individual infrastructure sub-project.  Chapter 6 presents the approach (guidelines) for urban infrastructure environmental and social impacts identification  Chapter 7 presents the approach (guidelines) for impacts mitigation, integration into project designs/proposals and preparation of requisite reports and management plans  Chapter 8 presents the approach (guidelines) for executing a Resettlement and Compensation Plan (RAP) emanating from land acquisition, access to resources and compensation.  Chapter 9 presents the approach (guidelines) for review, approval, disclosure and authorization of reports (EIS/PEAR) and plans (ESMP/RAP)  Chapter 10 presents the approach (guidelines) for implementation i.e. supervision, monitoring and reporting of mitigation measures and management plans (ESMP/RAP).  Chapter 11 outlines the capacity building, training and technical assistance required for effective implementation of the ESM Manual These chapters are to be read while referring to the LGA ESMS flow diagram provided for overleaf. It is advised that this page is printed as a separate insert that is not bound to the manual document. This allows for for easy reference while reading the chapters. 25 Overview of Part II in relation to the LGA-specific ESMS Key Sub-project pre-design ESMU Action by IPS Screening: Chapter 5 IPS Action Sub-project registration with ESMU Decision Sub-project ESIA at National level Screening Project not acceptable ESIA at Local Government level No & Impact Identification ESIA required Preliminary Environmental and Full ESIA mitigation: Chapter 6, 7, 8 Social Assessment (PESA) PESAR ESIS, RAP ESMP Incorporation of ESMP, PESAR, RAP, EIS into project design ESMU recommendation on EIS and RAP Review & Approval: Chapter 9 Review ESMU recommendation on ESM,PESAR, EIS and RAP Project not acceptable EIS and RAP Decision EIS not by person delegated by approved Incorporation of ESMP, PESA VPO-E report, EIS, RAP for EIS certificate Revise EIS project approval EIS and RAP report disclosure Incorporation of ESMP in  Contractor tendering ESMP implementation  Construction works Environmental and Social Monitoring: Chapter10 monitoring Environmental and Social Management Report External Annual Review/ Audit Report on Environmental and Social Management Report 26 4 ENVIRONMENTAL AND SOCIAL ASSESSMENT AND MANAGEMENT ARRANGEMENTS FOR ULGAs 4.1 Introduction The following describes a LGA - specific Environmental and Social Management System (ESMS) linked to the national process. The ESMS is based on a simple screening and approval procedure including linkages with national institutions and other LGA-level entities. For the process to be effective, each participating ULGA will need to establish an Environmental and Social Management Unit (ESMU)10 headed by the Environmental Management Officer (EMO) anchored in the ULGA Economic Planning Department. It must be ensured that key staffs are adequately qualified and registered as ESIA Experts under the Environmental (Registration of Environmental Experts) Regulations, 2005. To become qualified for the tasks, the LGA officials and other actors will receive training (Part IV). 4.2 ULGA Environmental and Social Authorization Process The sections below illustrate the steps involved in the environmental and social authorization process leading towards review and approval of infrastructure sub-projects under the UPG programme. The purpose of this environmental and social assessment process is:  To determine whether future infrastructure investments are likely to have potential negative environmental and social impacts;  To determine appropriate mitigation measures for activities with adverse impacts;  To incorporate mitigation measures into infrastructure design;  To review and approve proposed activities or infrastructure; and  To monitor environmental parameters during sub-project implementation. The extent of environmental and social work that might be required for sub-project prior to implementation will depend on the outcome of the screening process described below. Main steps (that follow the national legislative procedure as stipulated in the EIAA Regulations, 2005) include: 1. Preparation and Application 2. Screening 3. Impact Assessment 4. Incorporation into project designs 5. Appraisal 6. Approval 7. Disclosure of Sub-Project Information 8. Project Implementation 9. Monitoring and Evaluation 10. Reporting 11. Annual Review/Audit 10 ESMU key members: Environmental Management Officer (EMO) and Sociologist. Other opted specialists appointed by the Council Director on need basis depending on nature of project e.g.Town Planner ,Land Officer/Valuer,Social Welfare Officer etc. 27 Step 1: Application for ESIA Certificate & Project Registration The relevant Infrastructure Proponent Section (IPS) (i.e. the LGA department/section responsible for the design and/or implementation of the proposed infrastructure) shall register the infrastructure sub-project by submitting a dully filled in special application form (Form No 1 Part III) to the LGA ESMU together with a Project Brief and prescribed fee11 for the ESMU to assess whether or not an ESIA is required and the level of assessment for the particular infrastructure. Project Brief shall be in a format prescribed under EIAA Regulations No.6, prepared by a registered ESIA expert12 (IPS official). IPS shall make use of the Impacts Identification and Mitigation Guidelines13 (Chapter 6 and 7) to make preliminary description of potential environmental and social impacts and mitigations when filling both the registration form and project brief. IPS shall submit 2 copies of the Registration Form and 2 copies of the Project Brief (Form No 1 Part III). ESMU shall then disseminate the Project Brief14 for comments to relevant LGA Departments15. Box 4-1 Content of the Project Brief for the Application for an Environmental and Social Impact Assessment Certificate 1. Title Page: Name of Project, Proponent and Date 2. Table of Contents: with list of tables, figures and Acronyms where applicable. 3. Introduction: brief background to the project, need for the project and structure of the report. 4. Nature of the Project: type of project and main activities of the project during construction, operation and decommissioning phases. 5. Location of the project: actual location, maps, general geographical, biological and socio-economic description of the project area. 6. Design of the project and materials to be used and generated: products and by-products, including waste to be generated by the project and the methods of their disposal. 7. Potential environmental and social impacts and the mitigation measures to be taken during and after implementation of the project (use chapter 6 and 7 of the Technical Manual for guidance) 8. Potential economic and socio-cultural impacts and the mitigation measures to be taken during and after implementation of the project (use chapter 6 and 7 of the Technical Manual for guidance) 9. A plan for the prevention and management of possible accidents during the project cycle 10. A plan to ensure the health and safety of the workers and neighbouring communities; 11. The project Budget Step 2: Screening and assigning the appropriate Environmental and Social Assessment Category 11 Proposed fee amount of 10% project costs to cover monitoring, allowances, review costs, fuel and stationary 12 Registered EIA Expert 13 Environmental and Social Guidelines are based on conventional environmental and social impacts and mitigation measures associated with infrastructure development activities 14 The project brief is also an information awareness tool that allows for other sectoral departments to know that a certain project is underway. 15 Dissemination should follow LGA structure: economics, works, community development, town planning, health and legal department, Ward committees, RAS and Central government (PMO RALG) 28 A qualified staff of ESMU shall carry out initial environmental and social screening of the Project Brief through the use of the Environmental and Social Screening Guidelines (Chapter 5) and the screening criteria (Form No 2 Part III). Screening is the classification stage to determine the level at which an ESIA will be carried out. The screening takes consideration of key factors specifically sensitivity of the environment, location of a project, technology used, concerns of the public, land use considerations, magnitude/scale of environmental impacts and any other relevant factors. After reviewing the results of the environmental and social screening process, ESMU will then determine the extent of environmental work required and assign a category to the sub-project. A proposed infrastructure sub-project can be classified as:  “No ESIA� Required: If the environmental and social screening results indicate the potential impacts and application of mitigation measures in sub-project design described in Project Brief are sufficient the sub-project will not require further environmental work . The preparation of an ESMP (described in Chapter 7) suffices.  "ESIA List 2: LGA to carry out Preliminary Environmental and Social Assessment (PESA)" : Tanzania’s EIA and Audit Regulations categories small-scale development activities as projects that may or may not cause adverse environmental and social impacts (First Schedule of the EIA and Audit regulations), and therefore should be subject to PEA to ascertain this.  "ESIA List 1: LGA to carry out Full-scale ESIA" : In some cases, the results of the environmental and social screening process may indicate the need to carry out a full-scale ESIA. The IPS will have to carry out the ESIA using the guidance provided in Chapter 6 and 7 and will have to pay particular attention to subprojects involving hazardous wastes and those that can deplete scarce resources.  "ESIA follow national process": In some cases the results of the environmental and social screening process may indicate the need for the sub-project to undergo and assessment at the national level.  "Not acceptable": No further consideration at all for a project contravening the program's or government policies and other global obligations. ESMU then submits the screening results to the IPS within 14 days of submission of project brief. Step 3: Carrying out environmental work The IPS will initiate environmental work according to the category the sub-project has been assigned in the screening process. Detailed guidelines for Impact Assessment and Mitigation Measures are provided for in Chapter 6 and 7 respectively. “No ESIA� Required If the environmental and social screening results recommend no further environmental work, the IPS will prepare an ESMP and proceed to Step 4- incorporate the mitigation measures into the proposals or designs of the infrastructure development activities. The ESMP and project proposal documentation will be submitted by the IPS official to the ESMU for review and approval (step 5 a-c, step 6 and step 7). ESIA List 2: Preliminary Environmental and Social Assessment Should any subproject fall under ESIA List 2 a PESA needs to be carried out. The steps (Box 4-2) are very similar in all aspects as provisions in the EIAA Regulations, 2005 Part III, Section 11(2). 29 Box 4-2 Preliminary Environmental and Social Assessment A preliminary assessment shall proceed along the following steps: a) description of the project characteristics and the affected environment; b) identification of impacts on the local environment; c) assessment or evaluation of the significance of the impacts in terms of energy flow, transformation of matter, effects on sensitive ecosystems relative to the baseline state and socio-economic impacts; d) identification of mitigation measures The IPS will constitute an Environmental and Social Assessment Team (ESIA Team) of LGA staff certified as ESIA experts for the environmental assessment work drawn from relevant sectoral departments at the LGA. Minimally, this conventionally includes16 a sector specialist (i.e. Civil Engineer), Ecologists/Natural Resource specialist and Sociologist. If necessary, the IPS can provide funds to hire environmental assessment experts/consultants to carry out the environmental work as needed with LGA input and participation. IPS shall make use of the Impacts Identification and Mitigation Guidelines (Chapter 6 & 7) to make description of potential environmental and social impacts and mitigations. The outcome shall be a PESA Report (PESAR). A fully described PESA report constitutes duly filled sections (as per report guidelines chapter 10) shown in Box 4-3 below. Box 4-3 Main Content of Preliminary Environmental and Social Assessment Report Part A: brief description of infrastructure project; Part B: brief description of the environmental and social situation; Part C: environmental and social impacts and significance; Part D: mitigation measures; and Part E: Environmental and Social Management Plan. IPS will then proceed to step 4 - incorporate the mitigation measures into the proposals or designs of the infrastructure development activities. The PESAR and project proposal documentation will be submitted by the IPS official to the EMU for review and approval (step 5 a-c, step 6 and step 7). ESIA List 1: Full-Scale ESIA Should any subproject fall under EIA List 1 and full-scale EIA needs to be carried out, the procedures (Box 4-4) shall be followed. The steps are very similar in all aspects as provisions in the EIA and Audit Regulations, 2005. The steps for carrying out an environmental impact assessment are outlined in Figure ** (to add). Box 4-4 General steps for a Full-scale Environmental and Social Impact Assessment (ESIA) A full scale ESIA shall proceed along the following steps: a) Scoping and preparation of Terms of Reference b) Preparation of Environmental Impact Statement / EMPs c) Review, d) Approval and e) Issuing of an EIA certificate 16 The number and type of team members will depend on the nature and scope of the sub-project under consideration. 30 Such full-fledged ESIA requires inputs from teams of specialists (ESIA Team) as well as from other stakeholders. Minimally, this conventionally include 4 specialists: a sector specialist (i.e. Civil Engineer), Ecologists, Sociologist and Environmental Impact Assessment specialist17. The IPS will constitute an ESIA Team of LGA staff certified as ESIA experts for the environmental assessment work drawn from relevant sectoral departments at the LGA. Minimally, this conventionally includes a sector specialist (i.e. Civil Engineer), Ecologists/Natural Resource specialist and Sociologist. Other common specialists include Environmental Engineer, Health and Safety Specialist, Land/Urban Planner, etc. OR The IPS will have to seek and pay for the services for environmental assessment by Certified EIA experts / Consultants as needed with LGA input and participation. The ESIA Team shall undertake the environmental assessment in accordance to the Environmental and Social Impact Identification and Mitigation Guidelines (Chapter 6 & 7) as appropriate. Use of the guidelines should be complimented by other measures applicable to the particular sector/situation. The ESMU in consultation by NEMC Zonal Officer / NEMC will assist the process as necessary. a) Undertaking Scoping & preparation of ESIA Terms of Reference The ESIA Team shall identify main issues of concern through scoping by consulting all the relevant concerned parties. The Team shall prepare a scoping report constituting sections (as per report guidelines chapter 10) shown in Box 4-5 and draft Terms of References (TOR) (Template No 1, Part III) to guide the impact assessment study. Box 4-5 Main Content of Scoping Report Part A: brief description of infrastructure project; Part B: brief description of the environmental and social situation; Part C: Outline of relevant policy, legal and institutional framework Part D: Stakeholder participation Part E: Outline of preliminary environmental and social impacts Part F: Strategies and Approach to the ESIA study Part G: Terms of Reference for the ESIA study The IPS then submits the scoping report with TOR to ESMU for approval. Approval should be granted within 14 days of submission, failure of which approval is assumed. b) Public Participation Public consultation is mandatory when conducting an ESIA and at a minimum the proponent (IPS) must meet key stakeholders to solicit their views. The Proponent (IPS) must extensively publicize the project: post posters in strategic public places; publish notices in newspapers; announce notice in radio; and conduct public meetings (as appropriate) with affected parties and communities. A public consultation programme (see Box 4-6) shall be submitted (attached to Scoping report / EIA report) for verification of issues raised by concerned parties. Box 4-6 Content of the public consultation programme A public consultation programme shall include  the minutes of the public consultation meetings indicating when and where meetings were held, who attended  how stakeholders were informed and selected,  local opinions and proposals presented, the major concerns raised and how they were addressed 17 31 c) Impact Assessment The ESIA Team shall undertake the ESIA study following the approval of the TOR. The Team will make use of impacts identification and mitigation measures guide (Chapter 6 & 7) to identify likely impacts, to assess and evaluate their severity and magnitude and propose mitigation measures to minimize potential negative impacts and enhance positive benefits. Box 4-7 Requirements on impacts Impact identification to pay attention to specific impacts / mitigate on i.e. if sub projects result in  resettlement of people/property and access to resources;  change access to resources in park or protected area;  affect protected area or natural/sensitive habitat;  affect cultural property;  involve use of pesticides;  safety of dams  affect vulnerable and indigenous peoples/groups If the impact identification process determines that the taking of land for the establishment of the sub-project will result in resettlement (displacement of people or property, or restriction of access to resources) as a significant impact, the IPS should prepare a Resettlement Action Plan (RAP) to guide resettlement and compensation activities for the process. The IPS shall constitute a RAP Team to prepare the RAP. d) Environmental and Social Impact Assessment Report (ESIS) The outcome shall be an Environmental and Social Impact Assessment Statement (ESIS) with format and constituting contents prescribed in the reporting guidelines (chapter 10) and signed by each expert.The content of the ESIS is summarised in Box 4-8 below. 18 Box 4-8 Main Content of EIS Report Part A: Executive Summary (Kiswahili and English) Part B: Description of infrastructure project; Part C: Description of the environmental and social situation; Part D: Description of relevant policy, legal and institutional framework Part E:Stakeholder participation Part F:Assessment of environmental and social impacts and identification of alternatives Part G: Environmental mitigation measures Part F: Environmental and Social Management Plan Part G: Environmental and Social Monitoring Plan The ESIS shall include drafts of the Environmental and Social Management Plan (ESMP), an Environmental and Social Monitoring Plan (ESMoP) and a RAP (where applicable). A non-technical executive summary in English and Kiswahili is mandatory. IPS will then proceed to step 4 - incorporate the mitigation measures into the proposals or designs of the infrastructure development activities. IPS shall submit to ESMU 2 original copies and an electronic copy of the EIS and project proposal documentation for review and approval (step 5 a-h, step 6 and step 7). 18 EIS include sections for Resource evaluation or Cost Benefit Analysis and Decommissioning Plan (as appropriate) 32 Box 4-9 Requirements on additional planning reports  Resettlement Action Plan – if there is land acquisition / changes in access to resources  Indigenous People Plan (IPP) – if adverse effect /benefit to Indigenous Peoples  Other specific mitigation plans e.g. Environmental and Social Management Plan Step 4: Incorporating mitigation measures into project proposals / designs IPS will incorporate the mitigation measures recommended in the ESMP, PESA Report, EIS or RAP into the proposals or designs of the infrastructure development activities. Once satisfied that the infrastructure designs/proposals are environmentally and socially compliant, IPS will prepare a final ESMP and ESMoP. The IPS shall submit the revised proposal/designs to the ESMU as appropriate for review and approval. The proposal documentation must be accompanied by the approved EIA report and final ESMP/ESMoP/RAP. Step 5: Review Review of environmental assessment reports and project application documents shall follow the steps in Box 4-10 (Chapter 9): Box 4-10 Review and Approval The review and approval process shall proceed along the following steps: a) Desk appraisal by ESMU and Relevant Sectors; b) Field appraisal c) Environmental decision of ESMU on ESMP / PESA Report d) Cross-sectoral Technical Advisory Committee (TAC) Meeting e) Public Review f) ESMU recommendations g) Environmental decision on EIS h) Approval (conditions and implementation supervision) i) Disclosure of sub-project information 1. Desk Appraisal ESMU shall disseminate the documents to relevant LGA Departments/sections19 and Authorities. The Review Team (ESMU and other Sector staff that were not members of the ESIA Team) will undertake desk appraisal of the ESMP / PESA Report / ESIS /RAP and sub-project designs/proposals to ascertain relevancy, and adequacy of information. The review shall ensure that all environmental and social impacts and resettlement issues have been identified and successfully mitigated and mitigation measures integrated in the project designs. The ESIA reports and project proposal documents shall be reviewed by the Review Team making use of Review Guidelines (Chapter 9). The application shall need to adequately explain and demonstrate from its design that the issues of concern have been addressed appropriately. The Reviewers shall ensure that the sub- project designs include monitoring and institutional measures to be taken during implementation and operation. The Review Team shall produce a desk appraisal report 2. Field Appraisal 19 See LGA departments defined in step 1 33 The review of the report shall include field appraisal - a site visit coordinated by ESMU, conducted to verify information provided in the PESA / ESIS report. The Review Team shall produce a field appraisal report. 3. Environmental decision of ESMU on ESMP/PESA Report For the ESMP / PESA Report, the ESMU shall give decision within 14 days of receiving ESMP/ PESA Report.  For the ESMP the outcome of the review could be "ESMP approved" or "ESMP to be improved".  For the PESA Report the outcome of the review could be “PESA approval� or “PESA approval subject to specified conditions� or “Upgrade PESA to full ESIA� or could be “PESA not approved�. The proponent sector (IPS) is issued with a decision letter signed by the LGA Environmental Management Officer (MEMO) 4. Cross-sectoral Technical Advisory Committee (TAC) Meeting For ESIS, ESMU shall coordinate a TAC meeting constituting one-to-one discussions with IPS (Sector which is proponent of the infrastructure sub-project) to get feedback on various aspects of the report and to recommend improvements on it. The TAC shall be composed of not less than 7 multi-disciplinary specialists from sectors responsible for environment and resource management, and those that are currently the focus for the infrastructure investment and relevant LGA Authorities. TAC is crucial in enhancing required technical credibility, institutional and interagency coordination, accountability and transparency in deciding the fate of a project. Box 4-11 Cross-sectoral Technical Advisory Committee (TAC) Members Agenda of TAC meeting a) ESMU – Chair / Secretary 1. Discussion and acceptance of b) Sector specialist (road, waste Desk Appraisal Report facility, etc) recommendations c) Land / Town Planning Department 2. Discussion and acceptance of d) Community Development Field Appraisal Report Department recommendations e) Health Department 3. Approval of project f) OSHA documentations and ESIA g) Host community representative(s) report/management plans. 5. Public review of (ESMP, PESA Report, ESIS / RAPs, IPP etc) The public are invited to present their views and comments on the reports and plans. The ESMU shall publicize the project via posters, notices and media and make available the environmental assessment reports and management plans to any interested member of the public to consult and submit written comments within 7 days. The reports should be accessible in a public place and in an understandable form, manner and language. The ESMU may hold a public hearing/meeting if deemed necessary (further guidance in Chapter 9). 6. ESMU recommendations If the application has satisfactorily addressed all key issues, the ESMU will then clear the proposal and recommend approval of the infrastructure sub-project to the ULGA Urban Planning and Environment Committee20. If the ESMU finds that the submitted proposal is not consistent with the requirements of the EIAA regulations, 2005 then the IPS would be requested to re-design (e.g. make additional modifications and/or choose other sites) and re-screen the sub-project until it is consistent and then re-submit it for review. The ESMU will then review again the revised application, if now acceptable, will recommend for consideration for approval. If it is not acceptable for the second time, it would be referred back to the preparer for more 20 Person delegated by minister to approve ESIA certificate 34 work e.g. carry out a sub-component ESIA in cases where one was not done before or deny clearance altogether. Any proposed infrastructure project that does not comply with the requirements of Tanzania environmental policies and legislation and WB Core Principles will not be cleared for approval. This process is designed to ensure that the environmental and social assessment process is part of and conducted during the design process thereby ensuring that the infrastructure development activities are environmentally and socially sound and sustainable. ESMU submits a report of ESIS review to the ULGA Urban Planning and Environment Committee. Step 6: Approval Environmental decision of the ESIS The ULGA Urban Planning and Environment Committee, after receiving ESMU recommendations and advice shall give decision within 14 days of receiving report of ESIS review. The outcome of the review could be “EIS approval� or “EIS approval subject to specified conditions� or could be “EIS not approved�. For the later two cases the proponent is issued with a decision letter signed by the Environmental Management Officer. Approval (with conditions) For approved ESIS / cleared proposals, the IPS shall be issued an EIA Certificate (Form No 3 Part III) by the District Administrative Secretary (DAS). DAS will give a conditional approval for detailed planning, implementation of the infrastructure sub-project. These conditions may include, for example, such measures as siting or routing restrictions, construction and operation practices, restoration of disturbed areas and construction/implementation supervision to ensure the approval conditions are being followed. If no development has started within 3 years, the certificate is deemed invalid and the IPS shall have to re-register the sub-project. Step 7: Disclosure of sub-project information (ESMP, PEA, EIS, RAP etc) The IPS will disclose sub-project information to the public. This information shall include the sub-project design, timeframe and key findings of the ESIA report (and RAP where applicable). More than one avenue can be used as most suitable to the ULGA however at the minimum the IPS shall ensure that the key findings of the ESIA report (and RAP where applicable) are:  Discussed in at least one ULGA public meeting and is recorded in meeting minutes  Discusses at Ward or mtaa meetings  Accessible in a public place i.e. notice board, public library, educational institution, ward/village offices, Local newspapers, Government gazette, etc.  Presented in an understandable form, manner and language by using the non-technical executive summaries that are in both Kiswahili and English Step 8: Project Implementation The IPS will ensure that all relevant project approvals (i.e. project proposal, ESIA and RAP approvals, budgets) are complete before initiating project implementation. During implementation the IPS is responsible for: 1. Ensuring that the RAP (if applicable to the sub-project) is implemented and completed before the commencement of any construction works. RAP implementation will be supervised by the Urban 35 Planner/appointed Land Officer. This includes the procurement of a Land Valuer and the preparation of a RAP report. 2. Ensuring that the implementation of the ESMP is part of the Contractor's contractual obligations. The LGA procurement section will supervise the tendering process for all service providers. 3. Ensuring that the ESMP is implemented during the mobilization, construction and operation of the sub-project. Step 9: Monitoring and evaluation Environmental monitoring needs to be carried out during the mobilisation, construction as well as operation and maintenance of the infrastructure in order to measure the success of the mitigation measures implemented earlier. The IPS is responsible for the day to day monitoring of the ESMP implementation by the contractor during mobilisation and construction. The IPS submits a report based on the ESMoP to the ESMU where the appointed EMO has a supervisory monitoring role. During operation, the EMO is responsible for monitoring the implementation of the ESMP by the IPS. Therefore EMO has the overall responsibility for monitoring the project implementation to ensure that the mitigation measures indicated in the approved ESMP are actually being implemented. Step 10: Reporting The EMO is responsible for reporting on all ESM issues within the ULGA and to NEMC throughout the project life-cycle. The Council Economic Planning Officer will incorporate the reports from EMO to prepare the overall project report and submit to PMO-RALG quarterly, bi-annually and yearly as required. Step 11: Annual Reviews/Audits Annual Reviews of the ULGSP projects will be carried out as commissioned by PMO-RALG. These are to be Third Party audits which will also review the implementation environmental and social systems management in the LGAs. These reviews and audits are part of the Assessment of the participating LGAs in ULGSP and, their reports are submitted to the Review Mission for information and appropriate actions for improvement or correction. 36 4.3 Summary of steps The key actions and people responsible in the LGA-specific ESMS are summarised below and illustrated in the figure overleaf: Step Action Responsible party 1 Preparation and Application IPS 2 Screening to determine level of assessment ESMU 3 Carrying out environmental and social assessment (including RAP ESIA Team/RAP Team where applicable) 4 Incorporation into project designs IPS 5 Appraisal and ESMU 6 Approval Urban Planning and Environment Committee and DAS 7 Disclosure of Sub-Project Information IPS 8 Project Implementation IPS 9 Monitoring IPS and ESMU 10 Environmental and Social Management Reporting ESMU 11 Annual Review/Audit Third Party The figure highlights the main roles for the IPS and the ESMU and where key decisions are made. Proposed LGA-specific Environmental and Social Management System 37 Key Sub-project pre-design by IPS IPS Action ESMU Sub-project registration Action with ESMU Decision Sub-project ESIA at National level Screening Project not acceptable ESIA at Local Government level No ESIA required Preliminary Environmental and Full ESIA Social Assessment (PESA) PESAR ESIS, RAP ESMP Incorporation of ESMP, PESAR, RAP, EIS into project design ESMU recommendation on EIS and RAP Review ESMU recommendation on ESM,PESAR, EIS and RAP Project not acceptable EIS and RAP Decision EIS not by person delegated by approved Incorporation of ESMP, PESA VPO-E report, EIS, RAP EIS certificate Revise EIS for project approval EIS and RAP report disclosure Incorporation of ESMP in ESMP  Contractor tendering implementation  Construction works Environmental and Social monitoring Environmental and Social Management Report External Annual Review/ Audit Report on Environmental and Social Management Report 38 5 SCREENING AND ENVIRONMENTAL CATEGORIZATION OF PROJECTS 5.1 Introduction In order to determine the need for an ESIA and to identify the level of assessment required individual development projects undergo a screening process. This is both a national requirement and international best practice. The chapter provides step by step guidance on how to carry out the screening exercise and should be read referring to Form 2 on Screening Criteria. Snapshot: Screening Process Users of the chapter Qualifications Purpose  A person with overall  To determine if an ESIA is ESMU Staff knowledge of different sectors required or not responsible to carry OR staff knowledgeable in  To determine the level of specific thematic areas assessment required out screening (specific sector)  To determine if a full scale  Registered expert with NEMC ESIA will follow the  Trained in screening as part of national or LGA process the LGA-specific ESMS 5.2 Screening process The screening process in the LGA ESMS firstly determines whether the project will undergo an assessment at the LGA or under NEMC. Secondly the process determines the level of assessment required. The process has 6 main steps: 1. Determining whether the project will follow the LGA or national ESIA process 2. Disseminating the project brief for comment 3. Determining whether an ESIA is required 4. Determining the level of ESIA required 5. Consolidating the screening results 6. Communicating the screening decision Step 1: Determine whether the project will follow the LGA or national ESIA process Upon receiving the project registration form the ESMU staff will screen the project based on information provided in the project brief submitted by the IPS. The Screener is to use the screening criteria below to determine whether the ESIA will be carried out at the LGA or it is to be registered with NEMC for the national process. The ESMU staff is to determine the threshold applicable for the sub-project and is to tick a "yes" or "no" against each criteria. If any of the following criteria have a score of "yes" on the column for national ESIA process then the project is to proceed with the national ESIA process. 39 Screening criteria to determine whether to follow LGA and National ESIA processes Criteria Threshold value to follow Threshold value to follow LGA ESIA Process National ESIA Process Land Jurisdiction The project area is within one LGA The project area overlaps more than one (both linear or non-linear jurisdiction boundaries LGA's jurisdiction boundary projects) [YES] [NO] [YES] [NO] Geographical location of a The project is not located in a Sensitive The project is located in a Sensitive Area project in an Area [YES] [NO] Environmental21, Social22 or [YES] [NO] Economic23 Sensitive Area Land use categorisation The project is located in Village or The project is located on Reserved land General land [YES] [NO] [YES] [NO] Hazardous materials 24 The project will not use hazardous The project will use hazardous materials materials or produce hazardous or produce hazardous substances substances [YES] [NO] [YES] [NO] Technology used The project will use standard technology The project will use specialized known/previously used to the LGA technology neither known or previously used in the LGA [YES] [NO] [YES] [NO] Concerns of the public25 The project has not caused major public The project has major public concerns concern [YES] [NO] [YES] [NO] Experience in Tanzania Available None (Human Resource, case [YES] [NO] [YES] [NO] studies, mitigation measures exist and are known) Impact on Policy26 The project will not result in policy The project will result in policy initiatives initiatives which may affect the which may affect the environment environment [YES] [NO] [YES] [NO] Most likely majority of sub-projects will be categorized for the LGA ESIA process and national ESIA process will not apply to most of infrastructure sub-project. Box 5-1 below gives a tentative list of projects that would most likely follow the national ESIA process (to discuss with stakeholders). 21 Environmental sensitive areas: national park, wetland, productive agricultural land, archaeological/historical/cultural site, protected area, areas containing rare or endangered flora or fauna, areas containing unique or outstanding scenery, mountains or developments on or near steep hill-slopes, dry tropical forests, near Lakes or beaches, damage to wildlife and natural habitats, prime ground-water re-charge areas or areas of importance for surface run off of water, areas prone to natural hazard e.g flooding, landslides, strong winds. 22 Social Sensitive areas: area providing important resources, livelihood or income for vulnerable groups and indigenous peoples; area that will displace significant numbers of people, families or communities. 23 Economic Sensitive Areas: high population concentrations or industrial activities where further development could create significant environmental problems 24 Hazardous products such as by-products, residual or waste materials which require handling and disposal in a manner that is not regulated. 25 Public concern due to impacts that: are politicaly controversial, vary depending on gender or social group 26 Impact on Policy such as changes in agricultural pricing subsidies or the tobacco liberation, land tenure, taxes on social services, etc 40 Box 5-1 Tentative list of projects for national ESIA process  Market infrastructure  Abattoir For project subject to the national ESIA process, the Screener will proceed to step 6. For projects subject to the LGA ESIA process the Screener will proceed to step 2. Step 2: Disseminate the project brief to other LGA departments for comment For projects subject to the LGA ESIA process the Screener will disseminate the project brief to relevant LGA departments. The relevant LGA departments will review the project brief and recommend whether an ESIA is required and the level of assessment based on the criteria given in steps 3 to 5 below. Step 3: Determine whether an ESIA is required or not The Screener is to use the screening criteria below to determine whether an ESIA is required or not. The ESMU staff is to determine the threshold applicable for the sub-project and is to tick a "yes" or "no" against each criteria. If all the criteria score "no" then an ESIA is not required. If any of the following criteria have a score of "yes" on the column for ESIA required then the project is to proceed with the LGA ESIA process. Screening Criteria to determine whether an ESIA is required Criteria Threshold value for ESIA Land use and acquisition The project type will not result in changes in land use or require land acquisition [YES] [NO] Pollution The project will not cause air, land or water pollution [YES] [NO] Land degradation The project will not require off-site locations for sourcing materials The project will not require [YES] [NO] off-site locations for sourcing materials27 Access to Natural Resources The project will not substantially use a natural resources in a way that pre-empts the use, or potential use, of that resource for any other purpose [YES] [NO] Box 5-2 below give a tentative list of projects that would most likely not require an ESIA. Box 5-2 Tentative list of sub-projects that may not require an ESIA Sector Eligible Sub-Project Expenditure Solid Waste Management Equipment e.g Front loader Garbage truck (flatbed), Cesspit Emptying Truck etc Project preparation Expenditures related to preparation of infrastructure projects (deign, supervision etc) 27 Materials such as water, soil, gravel, wood, etc 41 If the screening score determines that an ESIA is not required the Screener will proceed to step 5. If the screening score determines that an ESIA is required the Screener will proceed to step 4. Step 4: Determine level of ESIA required If screening score in step 3 determines that the sub-project requires an ESIA, the Screener determines the level of ESIA is required by referring to the screening criteria below. If any of the following criteria have a score of "yes" on the column for "List 1-Full ESIA" then the project is to proceed with a full ESIA process. If all of the following criteria score "yes" on List 2- PESA" then the project proceeds with a preliminary assessment i.e. PESA. Screening Criteria to determine whether the sub-project will undergo a preliminary or full ESIA following the LGA ESIA process Criteria Threshold value to follow Threshold value to follow List 2- List 1- FULL ESIA PESA Magnitude of environmental Large to very large portion of VRs Small to moderate portion of VRs impacts on Valued Receptors affected affected (VRs)28 [YES] [NO] [YES] [NO] Spatial scale of impacts Project impacts are not site specific Project impacts are site-specific [YES] [NO] [YES] [NO] Temporal scale of impacts Project impacts are medium to long Project impacts are short term and few term, may cause residual impacts and if any are irreversible many are irreversible [YES] [NO] [YES] [NO] Land (size) requirement Large buildings / Floor area Small buildings / Floor area [YES] [NO] [YES] [NO] Volume of materials (construction, The project requires large volumes of The project requires small quantity or raw materials, etc) required materials materials [YES] [NO] [YES] [NO] Support facilities and services to Various off-site facilities and services The project uses on-site or nearby support project (water sources, [YES] [NO] facilities and services quarry, power, etc) [YES] [NO] Human Resource within ULGA May need support from external Available Management Team sources [YES] [NO] [YES] [NO] Water use29 The project type will result in changes The project type will not result in in water use changes in water use [YES] [NO] A tentative list of project that may require a full ESIA versus a preliminary assessment is provided in Box 5-3 below. The Screener will proceed to step 5. 28 Human populations (i.e. vulnerable groups) or environmentally / socially important areas and sensitive natural habitats (chapter 6) 29 Changes in water use through irrigation, drainage promotion or dams, changes in fishing practices 42 Box 5-3 Tentative list of projects that may require a full ESIA vs PEA under the LGA ESIA process Type of urban Possible sub-projects under Possible sub-projects under infrastructure ESIA list 1-FULL ESIA ESIA list 2-PESA City Roads and o Road rehabilitation o Road side and stand alone related (grading, gravelling, brick open stormwater drains Infrastructure paving, tarmac, upgrading o Culverts or rehabilitation for o Street lights maximum of 15km per o Minibus stands and bus stops year) o Taxi stands o Small Bridges: 6m span or o Truck stands less o Public car parking o Other road infrastructure (Street furniture, vending platforms, signage) Solid Waste o Dumpsite Rehabilitation o Community waste collection Management points Parks and o Sports field / facilities o Public green space recreation o Tree planting (wood lot) o Tree planting (aesthetic) Step 5: Consolidate screening results / final screening decision The Screener consolidates results from the scoring from Part A, Part B and Part C of the screening checklist. The Screener then collects any comments from other relevant LGA departments and comes up with the final screening decision. Step 6: Communication of screening decision to IPS The Screener will notify the IPS on the screening decision within 14 days upon receiving the project brief. The Screener writes an official notification of the screening decision in the format presented in the Screening Results Form (Form No 2 Part III). The screener is to provide comments on the results which include the reason behind each scoring. 43 6 URBAN LGA INFRASTRUCTURE ENVIRONMENTAL AND SOCIAL IMPACTS 6.1 Introduction Identification of the potential impacts of a proposed activity and remediation are critical aspects in the establishment and continuity of an effective LGA-specific environmental management system. The approach for environmental and social impact identification in this Manual has been simplified such that the process can be used for individual infrastructure or its components and by various actors within the LGA environmental management system. The below sections provide background and insight to enable all users identify the environmental impacts relevant to the particular stage in the EIA process for each sub-project. The main steps leading to the identification of impacts are explained followed by further guidance on the main project aspects causing the potential impacts. Snapshot: Environmental and Social Impact Guidance Users of the Qualifications Purpose chapter ESIA Team  Registered ESIA experts  To identify potential under NEMC environmental and  Trained in impact identification social impacts of under the LGA-specific ESMS development projects to determine significance of the impacts Screener  A person with overall  To identify potential knowledge of different sectors environmental and OR staff knowledgeable in social impacts of specific thematic areas development projects (specific sector) to determine the level  Registered expert with NEMC of ESIA required  Trained in screening as part of the LGA-specific ESMS Review Team  Trained in review process as  To ensure that all (ESMU) part of the LGA-specific ESMS potential impacts have been identified 6.2 Impacts Identification Method Environmental and social impacts results from superimposing project activities on to the existing environment (Table 9). The complete impact assessment procedure is comprised of four stages: 1. Determining project activities / aspects causing impacts 2. Establishing affected environmental and human components (valued receptors) 3. Determining potential environmental and social impacts 4. Impact Evaluation 5. Impact Assessment Results Step 1: Determine project activities / aspects causing impacts 44 The Assessor makes scrutiny of proposed project activities and determine aspects likely to interact with and to have effect on the existing valued environmental and social components at project primary impact area and off-site locations (if any)30. The Assessor also determines specific legal and procedural requirements the project needs to meet throughout its life i.e. permits, licenses, standards etc. Step 2: Establish affected environmental and human components (valued receptors) The Assessor establishes environmental and human components of value at the location of the sub-project, covering existing data and information on climate, physical, biological, economic, social, health, safety and cultural aspects considered important by stakeholders at household and community levels and where relevant at Municipality levels. The data collected should be socially stratified. The Assessor also determines existing capacities and procedures at community and Municipal levels for management of key environmental and social aspects (i.e. wastes management procedures, valuation and compensation procedures, community and occupational health and safety procedures etc.). Step 3: Determine potential environmental and social impacts The Assessor undertakes impacts prediction by linking project/ activities and the existing environmental and social conditions (valued receptors) by developing and filling the sub-project Impact Identification Matrix. Examples of project activities include raw materials consumption, water supply, energy supply, construction work, atmospheric emissions, liquid effluents and solid wastes. Examples of the components of the environment include air, water, soil, fauna, flora, population, economy. An environmental or social impact results whenever there is a significant physical, biological or social interaction between a project activity and an environmental component. Table 9 : Leopold's Matrix of impact identification 30 Off-site project location include areas such as sites for sourcing construction materials and other resources – water, energy, labour, consumables etc., access road; construction and/or sanitation sites (base camps); storage areas, maintenance sites and disposal sites for construction wastes and operations outputs etc. 45 Valued Receptor (VR) Project Physical Ecological Socio-economic component / environment environment setting Project Climate Land / Fauna Flora Other Comm Occupation Cultural aspect / Air water ecosystem unity al health quality quality components health and safety and safety Site Selection Phase Land take ! ! ! Mobilization / Construction Phase, Civil works ! ! ! ! Labour Operation Phase etc… NB: ! illustrates a potential impact Important Considerations 1. The impacts are best identified following the entire project cycle i.e. site selection phase, mobilization / construction phase, operation phase and demobilization; and possible decommissioning. 2. The identification considers the full range of potential impacts on the natural and human environment - ecological, economic and social changes and health and safety risks together with the strategic and socio�economic implications of the effects. 3. Social impact identification entails socio�economic and cultural analysis in relation to social stratification in the society and to differences in living conditions. Identification of impacts takes into consideration gender, poverty, geographical habitation pattern and vulnerability of all social�economic groups and specific groups, such as men, women, boys, girls, persons with disabilities, poor populations etc. 4. The Assessor identifies both impacts of planned and spontaneous events (i.e. immigration to the areas, accidental spills) and risks and hazards from external factors i.e. related to occupational health and safety for the workers including HIV/AIDS and extremes of climatic conditions. 5. The assessments also identify project impacts on, or contribution to, climate change and adaptation to predicted shift associated with climate change. Step 4: Impact Evaluation Impacts are estimated in either qualitative or quantitative terms, according to their inherent nature and the availability of adequate data to enable predictive analysis to be undertaken. These predicted changes (impacts) are then evaluated using a significance ranking based on a set of criteria: magnitude, extent, duration and reversibility of the impact. 46 The evaluation is comprehensive providing detailed delineation of positive / negative impacts, direct / indirect impacts, immediate / long term impacts, permanent / temporary and cumulative impacts (considering other development). Step 5: Impact Assessment Results The Assessor then proceeds to chapter 7 to ascribe mitigation measures to identified environmental and social impacts. The Assessor consolidates the results from the impact identification process into the applicable reports with format and constituting contents depending on the level of assessment i.e. PESA report or ESIS. 6.3 Land Take This is the first stage in the identification and analysis of environmental and social impacts associated with infrastructure project. It involves assessment of the general environmental suitability and social acceptability of the sub-project at the specific site(s) or premise(s) at which the project will be established including sites for support structures/facilities. 6.3.1 Project Component(s) Requiring Land Taking land is the first project aspect considered as a likely impacts source. Infrastructures envisaged under UPG programme such as roads, market places, municipal waste disposal sites etc. are mostly small to medium scale activities in terms of land or size of total building floor area required for their establishment. Nevertheless, the Assessor determines project components that require taking of land (temporarily or permanently); and describes size of land required and layout of structures on the land (i.e. site plan). 6.3.2 Siting Requirements For suitably placement project, the Assessor first checks conformity of sub-project to land acquisition and land use requirements with reference or guidance from the relevant documents specifically the fit of the sub- project with:  The Urban Land Use Strategic Plan for the urban area;  Town Plan (drawings) for the location;  Rights of Occupancy (Title Deeds, Right of Way etc.) for the type of sub-project. 6.3.3 Affected Environment and Social Components The Assessor undertakes review of available literature on the area, consultation with stakeholders, visual inspection of the site and surveys to determine: General natural settings at the project area Undertake ecological survey or observation to determine presence of key natural features and species of ecological value within the land and adjacent area required for all project components  Main habitats (type, cover, contained species, productivity and use)  Habitat of species of concern: rare, endangered, vulnerable (under Tanzania law, CITES, IUCN lists)  Sensitive ecosystems and habitats: natural forested areas; protected areas (designated by community, government or World Heritage); animal / birds migration routes; wetlands (swamps, seasonally inundated areas); aquatic habitats (rivers/stream); geological/ soil unstable areas (prone to or at risk of erosion, landslides, subsidence, leaching etc).  Aesthetically attractive landscape 47 General socio-economic settings at the project area Undertake socio-economic survey or observations to determine existing land uses, activities and features (assets and properties) of social, economic, cultural values within project site boundary and sites required for all project components including support structures/facilities.  Land characteristics (size and value)  Population and demographic profile  Housing structures, infrastructure and including vulnerable groups residing, using immovable properties (sizes and value) or depending on the land  Farms: food/cash crops,  Social capital: shared norms and values that  Grazing areas /pasture promotes social cooperation  Natural capital: natural forest, planted  Health conditions trees, fruit trees, wooded areas etc.  Local institutions within or near the site: schools, health centers, religious  Social and economic infrastructure and services: water supply, power transmission lines, roads/footpaths, burial sites, recreational etc  Cultural properties: cultural heritage sites, ruins, ancient / historical structures, archeological sites Important management aspects Determine existing management procedures and practices on:  Local experience with valuation and compensation procedures  Availability and suitability of alternative sites and livelihoods  Needs of vulnerable groups 6.3.4 Key Environmental and Social Impacts Assessor links infrastructure activities requiring land take (temporary or permanently) to relevant baseline aspects (valued receptors) to determine direct impacts applicable to a particular infrastructure sub-project: Environmental impacts Socio-economic impacts  Change / loss of habitats and/or  Resettlement of existing inhabitants contained biodiversity  Loss of properties and community facilities  Loss of livelihoods (crops, fruit trees, pasture)  Change /loss of recreation;  Change /loss of cultural property and heritage;  Induced development Physical presence and landscape Impacts on rights for the affected impacts population  Change of land use pattern:  Loss of land rights; agriculture, residential, industrial  Loss of access to resources (water,  Change of natural settings: loss of pasture, wildlife, forests, fishing areas, aesthetic value, attraction of an etc) area, tourism value etc.  Loss of social and economic rights;  Visual effects: contrast to  Impendent to children rights; surrounding in terms of colours,  Impendent to women rights and gender height, shape and size equality  Division of communities (i.e. linear developments such as roads) 48 6.4 Effects of External Factors and Processes on Project These are risk factors that relate to possibilities of natural processes and neighbouring anthropogenic activities and developments to have effects on the sub-project or its components. 6.4.1 External Factors and Processes that pose risk to Project The Assessor undertakes surveys of area in immediate vicinity of project site (about 500 meters radius) to determine: Potential natural factors and processes that might affect the project  Extremes of climatic elements: winds,  Hydro-geological conditions: rains, storms, hurricanes, lightening underground water resources (height  Extreme oceanic conditions: waves, of water table, tides, currents  Soil: soil movements (soil erosion,  Topography (terrain)of the area landslides), rock dislodging  Local hydrological patterns: surface  Geology: seismic activities drainage (streams, rivers) (earthquakes etc.), land subsidence  Storm water drainage – causing  Nearby Environmental Sensitive flooding and overflows. Areas: protected areas, wetlands, areas of high biodiversity, erosion prone area. Potential socio-economic factors that might affect the project  Land disturbances activities: cultivation (slash and burn), bulldozing, livestock keeping  Occupation, economic and social status of nearby residences  Nearby Social Sensitive Areas: burial/ritual sites etc.  Deforestation, bush fires practices  Securitycondition in neighbourhood to the project site  Boundary fence and buffer zone separating project from neighbouring features Important management aspects  Governance  Grievance redress mechanisms 6.4.2 Siting/ Placement Requirements The Assessor determines conformity of sub-project in terms of:  Compatibility / co-existence with nearby natural or social features  Safe distance from neighbouring features  Buffer zone 6.4.3 Impacts and Risks to Project Assessor links natural factors and anthropogenic activities in project vicinity to determine direct impacts applicable to a particular infrastructure sub-project or component: 49 Environmental impacts Risks to project  Discharges into project site  Damage to project structures  Vandalism of structures / equipments Socio-economic impacts  Theft of materials and portable items with  Conflicts related to trespassing / illegal ready-made market or for home use. practices on the project site  Disruption of project operations and schedules  Conflicts related to blocked access to  Injuries and fatalities to project personnel local resources present on the site working on the site or visitors. 6.5 Public Concerns and Views about the Project At very early stage in the impact identification process for the sub-project, the Team of Assessors make arrangements for public consultations with the affected people; interested people / groups or organizations; community leaders and civil society organizations and other relevant stakeholders to identify issues the consider important regarding the project. The consultations with and information to the affected population should use accessible participatory methods and deliberately target groups that have difficulties in getting information and voice, such a non�readers, women, children, elderly, widows/widowers, orphans and persons with disabilities. The outcomes of these public consultations are to be recorded and made accessible to the relevant stakeholders, including potentially affected persons. Stakeholders’ consultation methods:  One-to-one interviews and discussions  Focus group discussions  Community / public meetings  Publicize the project: post posters in strategic public places; publish notices in newspapers; announce notice in radio etc. The Assessment Team produce a public consultation programme which is a the record of the public consultation process indicating aspects shown in box below: Public consultation programme  When and where consultation took place;  Who participated (indicating involvement of social/vulnerable groups);  How participants were informed and selected;  Local opinions and proposals presented,  The major concerns raised and how they were addressed and included in decision making  How social/vulnerable groups will benefit from the sub-project. 6.6 Project Implementation Project implementation proceeds through phases: mobilization, construction, operation and decommissioning of components or whole project. However, activities in each phase tend to be repetitive and associated recurring during the entire project cycle. Mobilization entails delivery of materials, equipments and crew/staff to the project location with activities tending to be high prior to construction phase and wane off and become routine during operation phase. Construction is the erection or laying down of structures on the project site. Project operations entail long term activities related to the use of the infrastructure with interspersed mobilisation of resources and construction works constituting maintenance, rehabilitation and upgrading activities. 6.6.1 Activities causing impacts during project implementation 1. Resources utilization 50 Infrastructures cut across most sectors of economy or services and distinctively vary in terms of resources required to construct and operate them e.g. sufficient supply of good-quality raw materials, available technologies, qualified human resource and financial sufficiency. The majority of urban infrastructure development activities do not involve primary production in agriculture, livestock, fisheries or forestry. However, some of infrastructure may directly utilize natural resources in these sectors e.g. charcoal, lime etc.; or constitute processing facilities that require operational raw materials and natural resources inputs e.g. water, biomass fuel etc. Depending on the number of infrastructure in a given locality and the resources uses, there could be potential to deplete such resources. The Assessor determine sourcing of and availability of adequate resources and identify activities that may cause impacts to valued receptors at project location; at off-site locations (sources of resources) and along transportation routes to the project location(s). Exploitation of construction materials (type, Exploitation of local natural resources quantity, distance from source, ownership and  Water (source, quantity, quality, distance current prices) from source  Quarry or site for excavation  Biomass energy (source, quantity, quality,  Borrow material (aggregates, sand, distance from source stones, gravel etc),  Raw materials (take note of open access mode of resource utilizations) Human resource (staffing) Procurement of local supplies and services  Type of labour force (skilled, semi-skilled,  Domestic supplies (food, consumables casual labourers) accommodation, medicals)  Number  Industrial supplies (cement, wood, metal,  Source (local, national, expatriate) chemicals, equipments  Fuel, oils and lubricants 2. Support services Infrastructure being located already developed urban areas invariably will operate using existing support facilities /services. Roads Water supply  Connections to local sourcing points Electricity Base camp  Connections to local sourcing points  Installation and operation Waste management Transportation  Collection systems and disposal sites  Transportation means: road, rail, sea  Transportation route  Type of vehicle or vessel ( trucks, barge etc)  Number of truck journeys 3. Construction works Some of the infrastructures (e.g. waste collection points, bus stands/stop etc.) may require small to medium sized sheds or concrete buildings. These are envisaged not to require extensive construction works. However, construction of infrastructure such as feeder roads, bridges, market infrastructure, administrative buildings, and recreational facilities may require more works and for longer periods. Site preparation Civil works  Site / vegetation clearance  Excavation, trenching for foundations, drainage spatial and temporal channel, new fence, laying pipes/lines to connect to considerations (size / extent of energy or water sources area cleared, duration, time of  Spatial and temporal considerations (size / extent of year) area excavated; duration, time of year)  Demolition of existing  Completion: resurfacing and compaction, landscaping 51 structures and restoration 4. Management practices Infrastructures development exhibit variation in management techniques and practices. Generation and disposal of wastes (type, Technologies, technique and practices - sources, quantities) sources of:  Overburden,  Atmospheric emissions (CO2, NOx, SOx,  Demolition (rubble, roofing materials particulate matters and hydrocarbons): (asbestos) (motored equipments, compressors,  Landscaping and cleaning (sweeping, generator, mixing machinery, vehicles etc.) housekeeping)  Noise / vibrations: motored / heavy powered  Excavated materials equipments and tools and engines, vehicles  Domestic solid waste: biodegradable grinding, cranking, etc. (food, paper etc); non-biodegradable  Dust emissions (including fugitive (plastic, metal parts, glass etc); hazardous (unavoidable, residual) (batteries etc);  Change in microclimate: heat, low  Waste water (grey water, sewerage) from temperature amenities and/or accommodation, food and refreshment centers, offices / business centers31.  Storm water drainage  Fuel and oils, lubricants (accidental spills and leakages from equipments, minor repairs, maintenance workshops, fueling points.  Process solid wastes (ash, sludge, wood / metal works), effluents and discharges 5. Risk to workers and neighbouring community The Assessor determine sourcing of and availability of adequate resources, transportation activities and operation activities that may cause impacts to valued receptors at project location and locations for support facilities; at off-site locations (sources of resources) and along transportation routes to the project location(s). Public Health and Safety Working Conditions (Occupation Health  Site hazards: falling objects,open pitsetc &Safety)  Air pollution from emissions of exhausts of  Lack of /inadequacies in use of Personal vehicles, equipments, dust and odours Protective Equipment (PPE)  Noise pollutionfrom equipments,  Use of hazardous technology and practices processes vehicles and people(distance e.g. motored / sharp edged equipments, from local residents and institutions) explosives, noise-emitting, emissions-  Contamination of water by wastes and emittingnoxious /poisonous, dust, gases32; chemicals (catchment, groundwater) hazardous chemicals, corrosive  Waste scavenging by people, animals, substances, disease agents, birds bioaccumulation heavy metals etc.  Fires hazards: building materials (tents or  Technique or practices exposing workers to thatch-roofed), flammable substances extreme / risky working conditions: low/high (gases and liquids), electricity faults temperatures, excess heat/cold, ventilation  Social interactions among workers and for hazardous fumes, drinking water 31 Per capita solid waste generation is about 0.5 kg per day. A person use 20 litres of water/day, and 80% of this amount is discharged as waste. 32 Consider emission factors and permitted / tolerance levels. 52 local communities(at construction areas,  Exposure to disease agents / vectors transportation routes)  Procedures prone to negligence at work i.e.  Bleached security understaffing and long working hours,  Lack of / inadequate emergency response employing wrong people on particular jobs, equipments low morale, etc.  Lack of instituted code of practices in the working place.  Distribution of responsibility and accountability to all employees at all levels 6.6.2 Legal and standards requirements The Assessor checks conformity of project to the following resources utilization, design / engineering, construction and operation methodology, management planning requirements: Mobilization requirements:  Permit to utilize construction materials  Design / drawings connection to support services  User rights or permits for connection to services (water, energy)  Transportation requirements(procedures, conducts / practices /conditions for transporters)  Material Data Sheets (MDS) for chemicals  Equipments specifications(potential sources of emissions, noise, vibrations, land degradation):  Health & safety procedures and rights to work and safe working condition; Construction requirements:  Design / drawings connection to support services  Building permit  Handling and disposal of wastes  Health & safety procedures  Consultants / Contractors supervision (construction procedures /practices, conducts, conditions Operations requirements  Management of waste  Housekeeping, sanitation and hygiene  Public and Occupation Health and Safety  Periodic maintenance /repairs of equipment (of waste treatment /disposal facilities, storm water drainageetc).  Emergency response procedures  Sector management standards and technical information  User rights or permits for connection to services (water, energy, solid waste collection/disposal, effluent discharge)  Supervision of Consultants / Contractors (procedures, conducts, conditions for operation’s NB: more specific details of the requirements to be determined and included in the technical manual for each sub project category. 6.6.3 Affected environment and social components The Assessor undertakes review of project designs and undertakes survey of project primary impact area and area of influence(points of extraction (borrow bits/ quarries, water supply, energy supply) and transportation routes to determine environmental and social features and aspects that may interact with / be affected by sub- project mobilization, construction and operations activities. Land uses on the project site and offsite locations Site biological characteristics  Settlement: people and settlement features  Vegetation type, cover  Socially, economically and culturally valuable  Biodiversity: flora, fauna, avifauna vegetation: type and value (crops, (birds) (species composition and grazing/animal feed, medicinal, aesthetic) – distribution), consider food crops / food security; cash crops /  Species of special concern - rare income; local genetic pool species or endangered species or  Existing surface and underground infrastructure species of economic significance and and services: water supply system, electricity species of special interest transmission and supplies, communications 53 cables Sites physical characteristics Availability of alternatives  Rain fall: average quantities, seasonality  Alternative materials  Topography (terrain)  Alternative sources  Soils: types, properties, quality  Alternative routes  Geology: rock type  Surface drainage : water quantities / flow rates, quality  Storm water drainage  Ambient air quality  Ambient noise 6.6.4 Key environmental and social impacts Assessor link project activities to relevant baseline aspects (valued receptors) to determine direct impacts applicable to a particular infrastructure sub-project: Environmental (physical) impacts Environmental (biological / ecological) impacts  Impair air quality by emissions of  Impairment / lossof flora, fauna, sub-surface significant amounts of acid gases (sulphur- organisms, biological diversity and dioxide - SO2, and nitrogen-oxides - NOx) ecosystemsdue to physical damage or release and dust emissions of pollutants (BOD, COD, heavy metals etc.)  Climatological changes by emissions of onto land or into water bodies significant amounts of Green-House  Reduction / loss of vegetation cover, forest Gases (carbon-dioxide – CO2 and cover (by clearance, trampling) methane)  Depletion of local natural capital / endowment.  Noise pollution (levels exceed allowable  Disturbances / flight of fauna from noise, decibel level for the zone)causing gaseous and dust emissions nuisance and disturbances to onsite and  Degradation of protected areas, swamps / offsite receptors wetlands, and other natural and critical  Impair of water qualities, quantities & habitats. contained resources from direct / runoffs  Sprout and spread of invasive plant species discharge of pollutants (wastes, chemicals, (along feeder roads) oily substancesetc)  Impair of land qualities and contained resources from discharge of pollutants (chemicals, wastes, oily substances, oxygen demanding substances, heavy metals)  Land disturbances / soil erosion  Flooding and overflows. Occupational health and safety risks Public Health and safety hazards  Disturbances / nuisance and discomfort  Disturbances / nuisance  Serious injuries  Serious injuries  Fatalities  Fatalities  Sickness and ill-health  Risks of human-human transmission of  Negligence due to fatigue diseases (STD, HIV)  Loss of morale  Creation of new water bodies (pits) asbreeding  Loss of property habitats for agents / vectors of water-borne diseases (malaria, bilharzias etc)  Infections from putrceable wastes with disease pathogens  People of different social background immigrate to project area  Attitudes and behaviour change to indigenous people. Relative wealth of the project workerslead to exploitative behaviour on the hosts' side  Water / food contamination with heavy metals (mercury, lead, cadmium etc.) transmitted through food chain  Excavations accidents  Transport hazards: vehicles causing accidents, 54 congested traffic, material spillage  Conflicts, damage/loss of properties from bleached security  Effects to nearby buildings by vibrations from heavy equipments Change of land use, landscape and cultural Positive Socio-economic impacts properties  Employment opportunities and generation of  Increased resource demand / depletion of income local natural resources.  Income to local suppliers and service providers  Change of land use and land cover,  Increased Government revenue  Change landscape and visual amenity  Improved services and service delivery. from cleared areas,haphazardly disposed  Increased operations and products waste  Stimulation of various economic, commercial  Alteration of historical, archeological or and social activities(increased business cultural heritage cites opportunities  Induced development in other sectors: tourism, natural resources (fisheries, forestry, wildlife), energy, agriculture, industry, and urban development. 6.7 Project Decommissioning At one point in the far future, the urban LGA may decide to undertake major rehabilitation or upgrading of the infrastructure, or completely demolish or abandon the infrastructures 6.7.1 Project decommissioning activities causing impacts - Demolition waste - Termination of employment 6.7.2 Decommissioning requirements The Assessor determine requirement that needs to be met before decommissioning a facility or leaving a site: - Restoration of site to original state - End-of-project life standards and practices - Supervision of Contractors 6.7.3 Affected environment and social components ** to add content** 6.7.4 Key environmental and social impacts At the end of its life an infrastructure may involve demolition of structures with consequent impacts including: - Air pollution and particulate dust. - Loss of employment - Disrupted livelihoods 55 7 ENVIRONMENTAL MANAGEMENT CONTROLS AND MITIGATION MEASURES 7.1 Introduction Chapter 6 identified the potential impacts and their significance. This chapter provides mitigation measures for impacts considered to be common for most, if not all sub-project types. The Assessment Team shall identify cost effective mitigation measures to reduce or avoid adverse impacts, or to enhance and stimulate the potential beneficial impacts. The IPS will be responsible for implementation of the identified mitigation measures. If no viable solution is found, the proposed project is stopped. The general and specific measures will be incorporated in the Environmental and Social Management Plan (ESMP). Users of the manual refer to this chapter when particular attention is necessary to manage potential adverse environmental effects of subprojects. Snapshot: Environmental and Social Mitigation Measures Users of the Qualifications Purpose chapter ESIA Team  Registered ESIA experts  To identify suitable under NEMC mitigation measures to  Undergone impact avoid, minimise, reduce identification training under the the effects of the LGA-specific ESMS identified environmental and social impacts 7.2 Guidance on mitigation measures The following are mitigation measures that can be applied based on the relevance of the issue identified during impact identification. 7.2.1 Landtake Measures to mitigate impacts from land take include the following. Stakeholders Information, Education and Communication (IEC) Development of a plan for continuous engagement with project affected individuals and groups and other stakeholders prior to project. The IEC plan includes early formal notification to relevant authorities of the scope and schedules of the intended project activities. Land Acquisition and Compensation Plan (LACP) / Resettlement Action Plan (RAP) Acquisition of land or user rights from current land, property or natural resource owners / users following laid down procedures, guided by existing legislation: Land Act No. 4 of 1999 (Part V) and Land (Amendment) Act. No. 2 of 2004 (Part II). 56 First step is to determine PAPs with land rights or property or crops etc. and undertake compensation (where necessary) calculated and paid through a LACP / RAP the content of which depend on the degree of resettlement impact33. A subproject RAP will cover, at minimum:  The nature of the subproject and the required resettlement;  A census of the affected people and a valuation of their assets;  A matrix that shows – the entitlements of the categories of affected people;  The resettlement sites and programs for improvement or restoration of livelihoods and standards of living;  The responsibilities and arrangements for implementation, grievance redress, and monitoring;  The resettlement timetable and budget. Chapter 8 is a RAP preparation guide that provides a step-by-step procedure for completing a subproject RAP. Resources Mapping Carry out resource mapping entailing identification and mapping of any ecologically sensitive habitats and species or human settlement features. First step is baseline survey of the project locations prior to the commencement of project operations followed by sustain communications with relevant affected / interested parties to avoid (where possible) sensitive natural, social, economic and cultural resources and/or to use alternative resources and routes. Project Area Layout/Plan Reviewing layouts of landuse at project site and immediate vicinity enables:  Restriction of project activities to the project primary areas of impact;  Choice of access/transportation routes that cause minimum impact (i.e. use existing routes);  Marking of exclusion zone around project site / activities. Initiating and Maintaining Good Neighbourliness  Incorporate in the IEC plan information dissemination, public awareness on potential dangers of project activities to humans and properties.  Engage communities in the running of project: employment opportunities, project benefits sharing etc.  Engage individuals or private company or Government agencies offering security services 7.2.2 Legal Compliance Measures to mitigate impacts regarding non-compliance include the following. Project-specific Environmental and Social Legal Assessment and Compliance Procedure  Collection and interpretation for compliance of all relevant pieces of legislation, standards, sector best practices and procedures (safety, management) to avoid collision or interference with other operations.  Engagement with Regulatory Authorities by undertaking early consultations and Procedure for maintaining adequate communication with institutions and stakeholders custodian of legal requirements.  Apply for user rights (i.e. Water Right) following procedures. 33 No needed for RAP - where impacts are minor (no physical displacement and less than 10% of productive assets are lost) or fewer that 200 people are displaced ........ DISCUSS AND AGREE! 57 7.2.3 Choice and use of Materials and Technologies Measures to mitigate impacts from materials and technologies include the following. Procurement procedures  Procure materials and fresh water from licensed suppliers to minimize cumulative impacts associated with extracting materials from unauthorised /degraded areas.  Maximize procurement of supplies from locals e.g. food, water, construction materials, etc. to increase income to local suppliers and business.  Choice of materials and designs resilient to extremes of natural events i.e. able to with stand pressures/forces i.e. welded and seamless wrought steel pipes; valves, end closures, connectors and swivels made of corrosive-resistant materials. Project-specific Good Housekeeping Procedure (GHP)  Develop and institutionalize Good Housekeeping Procedure outlining action aimed at:  Rationalising the use of materials, water, and energy inputs, reducing the loss of valuable material inputs and therefore reducing operational costs  Reducing the volume and/or toxicity of waste, waste water, and emissions  Reusing and/or recycling the maximum of primary inputs and packaging materials  Improving working conditions and occupational safety Specific aspects for the GHP Efficient Use of Materials Storage and Handling of Materials  Monitoring material consumption - performing  Monitoring the quality of materials regular loss assessments through all  Ensuring proper handling and storage and processing/use steps transport of materials and products  Avoiding losses due to spillage and leakage  Applying the first-in-first-out principle  Establishing preventive maintenance  Establishing adequate, secure, and controlled programmes storage for hazardous materials  Substituting and/or reducing the use of  Handling dangerous substances with care materials harmful to the environment (e.g.  Properly cleaning and disposing of packaging (cleaning agents, disinfectants, leaded fuel) materials  Use materials formulated with internationally acceptable benign (non toxic) / low toxicity / ingredients  Adopt closed circulation system to recycle the use of the material  Minimize residue through processing by solids control equipment.  Use of high standard personnel and equipment. Water Use Energy Use Institute measures for reduction of water Institute measures for reduction of energy consumption, waste water, and pollution by: consumption and use of waste heat and  Monitoring water consumption and quality environmentally- sound sources of energy  Reducing water consumption in processes and  Monitoring energy consumption other areas  Reducing energy consumption and costs  Avoiding spillage and leakage  Avoiding energy losses and optimizing  Reusing and/or recycling suitable water electrical installations sources  Recuperating and reusing energy  Reducing waste water pollution  Operating electrical equipment (for lighting,  Treating waste water in an environmentally- heating, cooling, freezing, air-conditioning) in sound way (see WMP) an energy-efficient way  Implementing a preventive maintenance programme for equipment  Purchasing energy-efficient equipment  Dealing adequately with black-outs 58 7.2.4 EMPLOYMENT Measures to mitigate impacts regarding employment include the following. Institute Employment Procedures that:  Optimize local employment  Allocate jobs fairly /equally (gender, marginalized groups) among community members: set criteria for allocation: number of laborers needed, number of communities, population and availability of workers.  Involve community leaders/ committees to identify suitable/able people for the jobs: review to avoid bias or favoritism  Deliver skills / literacy training to locals particularly youth.  Ensure the Contractors and workers observe national / and international labour standards.  Establish a system to manage local expectations. 7.2.5 Traffic and Transportation Measures to mitigate impacts regarding traffic and transportation include the following. Traffic Management and Safety Procedure (TMSP) Prepared by Contractor with provision / procedures to guide: 1. Choice of Appropriate Transportation route  Proper selection of transport route avoiding large agglomerations. 2. Good Site Practices  Informing locals of transportation proposals.  Signage and signal personnel where appropriate; vehicle lighting (front and back).  Training and testing of heavy equipment operators and drivers, including vision tests with records kept of all trainings; Requirements that all companies and drivers have licenses and insurance.  Transportation restrictions: vehicle movement restricted to routes determined with consultations with stakeholders; maximum load restrictions; restrictions on movement of vehicles and speed limits (zoned according to sensitivity of the area); day time movements if desired; and parking and on-site traffic movement.  Noise control measures: provisions for properly maintained silencers and mufflers.  Dust control measures: watering of roads, speed restrictions etc.  Compliance with all Tanzanian transportation laws/standards 7.2.6 Site Clearance and Civil Works Measures to mitigate impacts from site clearance and civil works include the following. Pre-construction surveys and mapping Site route / adjustments and avoidance  Survey / line walk to identify any measures significant ecological or social, economic Adjustments at site or route to avoid sensitive or high or cultural features – i.e. specimen tree or valued features/habitats – rare/endangered species;  Avoid cutting large trees (≥ 20cm diameter),  Prepare Environmental and Social areas with dense vegetation, slow growing areas, Sensitivities Map. settled areas etc.  Minimize removal of trees and shrubs  Open minimal width of access, develop/widen existing tracks/roads for access,  Use existing clearings;  Construct linear developments alongside existing ones (e.g. within road reserves) 59  Double use of site  Protect single trees within or adjacent to work site Design and engineering techniques On final completion  Minimize “footprint� (size, or number of All land (work areas, depot, material storage site) developments); restored to original condition  Clear cut above ground to promote  Ongoing restoration: close unnecessary recovery temporarily cleared areas  Use low ground pressure equipments  Removal of machines/plant and waste materials  Protect project site by digging ditches or  Spread of topsoils, building berms; rip up bridges or roads  Vegetation removed reinstated (seed or replant)  Open short sections of trench at a time; or compensated by replanting at other suitable  Physical protection against damage (by location. fencing). Restoration /reinstatement of pits Contractor undertake reinstatement of disturbed sites to original state:  Proper grading and draining of terrain,  Allow in-situ regeneration,  Replant as necessary: grass seeding and planting of original vegetation 7.2.7 Waste Management Measures to mitigate impacts regarding waste include the following. Project- specific Waste Management Plan WMP prepared and implemented based on the following principles:  Avoid / reduce wastes  Segregate waste streams on site and collecting according to different categories  Reuse of waste materials and by-products back in production process  Recycle / sale of certain wastes where possible. (e.g. paper, glass, plastic, aluminum, steel, livestock manure, mowed grass / cleared vegetation etc.)  Treatment before disposal using technically relevant method.  Dispose of waste that cannot be reused or recycled appropriately at authorized / certified sites (i.e. incineration, macerators, centrifuge/separation systems, landfill).  Management and disposal methods undertaken in accordance with legislation and standards, Urban Local Government Authority by-laws, and international agreements i.e. Basel Convention.  Monitoring waste quantities and qualities Specific aspects for the WMP: Organic (putrecible) wastes Maintenance and Packaging Wastes  Volume reduction - maceration, compaction  Maintenance wastes (i.e. paint sweepings, etc. prior to discharge. rags, floor sweepings, oil soaks, machinery  Prohibit discharge of untreated putricible deposits etc) and packaging wastes (pallets, waste directly into water or onto land. cardboard boxes, drums) collected,  Domestic solid wastes i.e. glass, paper, and compacted (if possible), segregated using cans segregated using clearly marked bins clearly marked skips, labelled, stored in for correct disposal or recycling. designated areas prior to disposal or  Record kept in Garbage Record Book. recycling.  Ashes collected and disposed in accordance with requirements. Sewerage and grey water Wash down waters  Collected and treated by biological Recovery and recycling of drainage water: (anaerobic digester / septic tanks) or  No wastes routinely discharged via drains. chemical processes: resultant effluent  An oil/water separator to which all drainage leached or released percolation areas / tile from areas likely to have significant oil bed system. contamination (e.g. workshop floor) are sent  Waste water treatment plant (UASB, waste  The oily water treated to permitted levels in stabilization ponds). accordance set requirements and the oil 60  Construct berms /ditches to prevent runoffs recovered stored for recycling or appropriate of operational waste water disposal.  Install fencing around water pits.  Sediments trap  Capping inert waste in lined pits with soil to allow re-vegetation.  Sludge properly dried / dewater using evaporator – resulting semi-solid deposed in landfill, or for land application (as fill for road works or building or as farm soil enhancement.)  Recovered fluid reconditioned / recycled.  Ensure regular maintenance. Incidental Spillages and/or Leakages Hazardous materials (waste oils and  Supply of materials and transfers of chemicals) materials undertaken in accordance to  Used or stored not routinely discharged but Materials Transfer Procedures developed by managed in accordance with strict the Contractor. procedures  Provide training/instruction to workers on  Handled according to their Materials Safety proper handling and clean up of Data Sheets held on site, and imported in contaminating spills. accordance with Tanzania regulations  Limit re-fuelling and storage activities to  Waste oils collected, stored in bunded areas bunded areas. and transported to location where they are  Conduct regular inspection of equipments. sold/or given for free to industries with  Maintain machinery and vehicles in good furnaces - used as fuel. running conditions by ensuring that all equipment undergoes weekly preventive maintenance. 7.2.8 Atmospheric Emissions Measures to mitigate impacts from air emissions include the following. To minimize the volume of atmospheric emissions from machinery and vessels / vehicles powered by internal combustion engines:  Use Best Available Technology to minimize continuous and fugitive emissions.  Regular Inspection and Maintenance Procedures that shall require and guide Operators to ensure all engines of machinery and vessels are tuned to maximum efficiency.  Maintain machinery and vessels in good running conditions by ensuring that all equipment undergoes weekly preventive maintenance. 7.2.9 Dust Emissions Measures to mitigate dust pollution from mobilisation and construction activities include the following. Site Access Road Stockpiling of Dusty Materials  The main haul road kept clear of dusty  Any stockpile of dusty materials covered materials or sprayed with water. entirely by impervious sheeting or placed in an  The main haul road paved with aggregate or area sheltered on the top and three sides or gravel. sprayed with water so as to ensure that the  Vehicle speed will be limited to 10kph. entire surface is wet. Loading, unloading or transfer of dusty materials Excavation Works  All dusty materials sprayed with water  Working area of any excavation or earth immediately prior to any loading, unloading or moving operation sprayed with water transfer operation so as to prevent dust from immediately before, during and immediately being released. after the operation so as to ensure that the entire surface is wet. Building Demolition Construction of the Superstructure of Building  The area where the demolition works are  Effective dust screens, sheeting or netting will planned to take place will be sprayed with be provided to enclose the scaffolding from the water immediately prior to, during and ground level up to the highest level of the 61 immediately after the demolition activities. scaffolding.  Any dusty material remaining after a stockpile is removed will be wetted with water and cleared from the site. 7.2.10 Noise Measures to mitigate noise pollution from various sources include the following. Noisy equipments and processes People and anthropogenic activities  Inspection and maintained of equipments and  Education to people about noise sensitive life. machinery in good running conditions.  Soft start technique Transportation noise Avoidance strategies  Transportation path selected to minimize  Monitor and record movements of noise- potential for disturbances. sensitive fauna and avifauna  Minimal low speed; no passing close to  Visual checks made for the presence of breeding, resting etc (bird nesting areas). sensitive life  Shortest route taken over land.  Undertake monitoring and all sightings recorded and reported according to set procedures  Maintain caution/ separation distances. Artificial lighting  Lighting minimum necessary to fulfil operational and safety requirements. 7.2.11 Workers Health and Safety Measures to mitigate impacts regarding workers health and safety include the following. Occupational Health & Safety Procedure Workplace safety and health protection; protection against accident, hazardous substances, odours, noise and injury Specific aspects for the OH&S Procedure: Use of faulty equipment, tools, harmful substances Personal Protective Equipment (PPE) and and risk practices safe working conditions Measures to prevent the occurrence of incidents and  Provision and properly maintaining of accidents associated with operation of risk equipments: appropriate equipments  Equipment operating according to good international  Strict enforcement of use of PPEs. industry practice and by qualified and experienced  Fall prevention systems instated where professionals. appropriate (ladder and stairwells);  Set and follow standards for operations and  Undercover or shaded work areas and equipment use such as lifting, mobile plant, electrical accessible water throughout work zones;. isolation / installation, working at heights, manual  Reasonable working hours, handling, fitness for work, hand tools, housekeeping,  Signage: post warning signs with building and office, vehicle and driving, hazardous appropriate text (in appropriate language) substances etc. and graphics.  Engage human resource only of trained /qualified  Appropriate and adequate storage (i.e. and competent personnel as operators and security of PPE equipment). mechanics, with supervisors and specialists on site  Secure equipment and clearly label and at all times during specific operations. demarcate any hazardous areas.  Implement measures to control, minimise sources of and disturbances from noise, air emissions and odours.  Modification, substitution or elimination of hazardous conditions or substances Code of practices at the work place Water and sanitation provisions  Comply with relevant Tanzania (OSHA, 2003) /  Make a proper assessment of water International Performance Standards on health and needs. safety requirements.  Increase water extraction (desalinated 62  In-house health and safety procedures / guidelines / sea water, underground wells, rainwater manual: general and for specific operations; certified harvesting) and storage capacity. operation equipment; inspections and maintenance  Establish water saving measures system; traffic management; emergency response including an Education, Information, and equipment Communication (EIC) package with “ DOs and DON’Ts�. Risk of infection / exposure to disease vectors Security, rowdiness /disorderliness  Provide vector protection to workers.  Project personnel accommodated at  Institute a malaria protection programme: information locations away from local communities about recommended measures to limit exposure to and residential areas. disease: use of anti-malarial drugs, insect repellents,  Alcohol-free; if not discourage use of and clothing. alcohol within base camp  Provide medical personnel to test workers for  Conduct proper screening of security potential infections and provide treatment to those personnel. infected.  Monitor and maintain records of infections - supplemental anti-malarial indoctrination for an unusual number of infections  Strategy for HIV/AIDS awareness and prevention Fire risk from accidental events Institutional OH&S management  Minimizing the risk of fire capabilities  Fire fighting equipments and procedures.  Training of workers; documentation and  Training to personnel and fire drills. reporting of occupational accidents,  Establish a First Aid and ER facility at project diseases and incidents; location taking into considerations treatment and ER  Emergence prevention, preparedness capabilities of local medical services providers and and response arrangements. hospitals. 7.2.12 Public Health and Safety Procedures (Ph&S) Specific aspects for the PH&S Procedure include: Good Construction Site Practices: Nuisance and disturbances  Secure equipment and demarcate any  Establish measures to minimise sources of excavations noise, air emissions (odours, hazardous fumes)  Use barriers and security officers  Post warning signs with appropriate text, language and graphics.  Education program in schools and communities. Transmission of communicable diseases: Exposure to diseases vectors  Cooperate with and support local CSOs, public Community health and safety programmes health offices in undertaking awareness / undertaken at three intervention levels: education programmes to workers and communities  Pathogens: immunization, prophylactic or curative drugs;  Establish worker’s / community health protection procedures (e.g. make available free  Reducing vector lifespan: chemical, biological condoms to workers). and environmental controls;  Reduce human/pathogen contact: health  In close cooperation with the relevant LGA education, personal protection measures and Department make preparation of a strategy for mosquito proofing of houses. HIV/AIDS awareness and prevention among staff/workers and communities 7.2.13 Supervision/Management Practice Simply put best management practices is the integration of good housekeeping practices, engineering practices and human ware to achieve the desired environmental performance. Provision of resources (human as well as financial), provision of requisite skills to the workers, provision of policies and guidelines, adherence to national laws, regulations and standards, are key elements of the best management practices.  Provide adequate resource for maintenance.  Establish regular maintenance schedule. 63  Proper operational and monitoring procedures. 7.2.14 Employment Termination Measures to mitigate impacts regarding the termination of employed staff include the following.  Issue certificates of employment and acquired skills to enable workers to be employed elsewhere  Ensure long term employed workers (contract of more than one year) are members of the National Social Security Fund (NSSF) and ensure that company contributions are paid. 7.3 Environmental and Social Management Plan (ESMP). Subproject planning should strive for designs and management measures that avoid creating adverse environmental and social impacts that have to be explicitly managed. Where explicit impact mitigation measures are required for a subproject, an environmental and social management plan (ESMP) is required. An ESMP should fit the needs of a subproject and be easy to use. There is no standard format or length. For many small-scale subprojects, it may be no more than a few paragraphs or perhaps just a table (see below sample). On sub-projects with more significant environmental and/or social concerns (e.g. waste management), a more substantive ESMP may be warranted to highlight its importance. The basic elements of an ESMP are:  A description of exact sub-project activities likely to cause potential negative / positive impacts  A description of the possible adverse effects that the EMP is intended to deal with;  A description of planned mitigation measures, and how and when they will be implemented;  A program for monitoring the environmental effects of the project -- both positive and negative including relevant monitoring indicators;  A description of who will be responsible for implementing the ESMP (institutional arrangements); and  A cost estimate and source of funds. Community participation in preparing an ESMP is paramount consideration since local knowledge is important in identifying, designing and planning the implementation of practical mitigation measures and the success of an ESMP depends on community support and action, both in implementing mitigation measures and in monitoring their success. Table 10 Sample of Environmental and Social Management Plan – Abattoir /slaughter-house Anticipated Mitigation Monitoring Parameter Responsibility Schedule Cost and Effect Measure(s) Source of Funds Possible Construct Inspect channel Infrastructure Construction Included in contamination of drainage channels construction Proponent Sector; period project grant water sources to divert cleaning / EMO from livestock runoff water manure Check condition of EMO; Ongoing Nil drainage channel ULGA Environment Committee Waste water Inspect bio-digester EMO; Construction Included in collected and construction period project grant treated by Check efficiency of bio- EMO; Ongoing Nil biological digester Infrastructure anaerobic digester Proponent Sector; Proper collection Farmers, ULGA Ongoing Nil and use of manure Departments for from abattoir public green space, tree planting etc. 64 Early warning of Check water quality at EMO; Every 6 months $100 a year -- reduced water water sources ULGA Water until EMO quality Engineer effectiveness of mitigation measures is proven 7.4 Integration of Mitigation Measures into Sub-Project Design Majority of environmental and social problems could be solved at this stage, i.e. through environmentally sound design (ESD) and planning of implementation procedures. The IPS reviews the sub-project preliminary design against the recommended mitigation measures and identifies gaps in the design and operating procedures requiring modification. Such modifications would include addition of waste-treatment systems (if not already in the design) and consideration of other process, technology or siting alternatives. Impact mitigation measures have intrinsic costs therefore the IPS should prepare a separate bill of quantities for mitigation measures and supervision costs and incorporate into the overall project budget. The outcome of the integration of mitigation measures is a full project proposal document. 65 8 Resettlement and Compensation 8.1 Introduction If the impact identification process (Chapter 6) determines that the taking of land for the establishment of the sub-project will result in resettlement (displacement of people or property, or restriction of access to resources) as a significant impact, the IPS should prepare a Resettlement Action Plan (RAP) to guide resettlement and compensation activities for the process. Whether the land take involves land acquisition from current owners or not (in case the land already belongs to the ULGA), a RAP is a prerequisite to resettlement and compensation. The purpose of this chapter is to guide the development of the Resettlement Action Plan (RAP) which will guide the implementation of resettlement and compensation activities. Snapshot: RAP Development and implementation Users of the Qualifications  Purpose chapter  Persons appointed to the  To identify PAPs RAP team responsible for RAP Team the preparation and  To define eligibility criteria and implementation of RAP entitlements;  Trained in developing a  To plan the consultation RAP as part of the LGS- procedures and participatory specific ESMS approaches involving PAPs and other key stakeholders; and  To plan procedures for filing grievances and resolving disputes.  To ensure that the RAP implementation is in accordance to the plan Review Team  Trained in reviewing  To use as reference during review (ESMU) processes as part of the of RAP for approval to ensure key LGA-specific ESMS aspects and principles have been followed. 8.2 RAP Preparation Process The RAP is to be prepared before the project is approved by the LGA. This is to ensure that the extent of resettlement and compensation required is identified and planned before decisions are made on the project. The process in which the RAP is prepared, reviewed and implemented is carried out in 7 main steps: 1. Forming a RAP Team 2. Reviewing the Project Design 3. Preparing a RAP 4. Submission of the RAP for Review 5. Decision on the RAP 6. Decision on the proposed sub-project 7. Implementation of the RAP 66 Step 1: Forming a RAP Team The IPS constitutes a RAP Team which will be responsible for coordinating the development and implementation and coordinating the RAP. Member of the ULGA RAP Team includes the land officer, surveyor, valuer, CDO, Ward/Mtaa Executive Officer (WEO/MEO), and representatives of Project Affected Persons (PAPs). Box 8-1 Members of the RAP Team Staff Responsibilities Land officer  Overall responsible for the development of the RAP  To identify and document affected persons, properties and areas  To review project design and plan to avoid or minimize resettlement and compensation  To ensure that Tanzanian laws and World Bank standards are upheld  To submit the RAP for review and approval for implementation  To ensure RAP is implemented before project commencement Surveyor  To identify area for relocation sites and to survey plots to delineate areas. Land Valuer  To conduct a detailed survey of land and assets affected  To prepare valuation report of costs of land and assets affected CDO  To assist in identifying affected persons, properties and areas  To ensure public participation/consultation is carried out and incorporated into RAP  Ensure eligibility criteria are non-discriminatory against vulnerable and indigenous groups WEO/MEO  To assist in identifying affected persons, properties and areas PAP representatives  Gender balanced representation of the PAPs to ensure that their views and concerns are considered in RAP and promote fairness, equity and transparency Step 2: Reviewing the Project Design The RAP team works with the respective project designer (e.g. engineer) to review the design and location of the project in order to: i. Identify activities that will cause resettlement as defined (e.g. re-alignment of an existing road during rehabilitation, changing the landuse of a plot used for urban agriculture as an open space). ii. Carry out a spot valuation of project area to give rough estimation of costs. iii. Propose ways to avoid or minimize displacement and compensation (e.g. keeping existing alignment design and landuse plans). iv. Propose ways to avoid removal or minimize damage to existing infrastructure, social services, cultural properties and historic/archaeological sites 67 NB: If there is an opportunity for the design to be revised to avoid and minimize land acquisition and displacement of people then the design is to be revised and finalised before proceeding to prepare a RAP. Step 3: Preparing a RAP The Team is to prepare a RAP that will be implemented after approval. The sections of the RAP are listed in Box 8-2 below. Box 8-2 Content of a Resettlement Action Plan (RAP) A Resettlement Action Plan includes the following key chapters: i. Description of the Project ii. Objectives iii. Potential Impacts iv. Identification of Affected Populations v. Legal and Policy Framework vi. Institutional Framework vii. Eligibility viii. Valuation and Compensation for Losses ix. Resettlement Measures x. Site Selection, Site Preparation, and Relocation xi. Housing, Infrastructure, and Social Services xii. Environmental Protection and Management xiii. Community Participation xiv. Integration with Host Populations xv. Grievance Procedures xvi. Organizational Responsibilities xvii. Implementation Schedule xviii. Costs and Budget xix. Monitoring and Evaluation The RAP should contain the following: i. Description of the project Provide a general description of the project and identification of the project area. Project maps are also useful to include. ii. Objectives Outline the main objectives of the resettlement program in relation to the subprojects (Box 8-3 below). Box 8-3 World Bank Objectives of preparing a RAP  Establish the Program's resettlement and compensation principles and implementation arrangements;  Describe the legal and institutional framework underlying Tanzanian approaches for resettlement, compensation and rehabilitation;  Define the eligibility criteria for identification of project affected persons (PAPs) and entitlements;  Describe the consultation procedures and participatory approaches involving PAPs and other key stakeholders; and  Provide procedures for filing grievances and resolving disputes. iii. Potential Impact The RAP Team identifies: a. The project component or activities that give rise to resettlement e.g. widening road's right of way resulting in displacing roadside businesses b. The zone of impact of such component or activities; c. The alternatives considered to avoid or minimize resettlement; and 68 d. The mechanisms established to minimize resettlement, to the extent possible, during project implementation. Efforts made to minimize displacement and results of such efforts including mechanisms used to minimize displacement during implementation should also be described. iv. Identifying Affected Populations The RAP Team is to collect the socio-economic information in order to use the information to identify potential PAPs, identify potential properties that will be affected by land acquisition for the project and understand the PAPs socio-economic status. The RAP team and IPS is to hold a public meeting to gather some of this information and to create awareness of the RAP and to hear the public's views on the project. At the public meeting the RAP team will provide information on:  The project description: project type, area of influence and impact, project activities, project financier, duration etc.  Inform them that properties and assets may be affected. An explanation of the RAP procedures should also be given i.e. how the properties will be identified and how they will conduct the household inventory and measurement.  Explanation of the cutoff date notification of the removal of assets: the public is to be informed that no further development is to take place on any property identified after the date of physical Land/Property Assessment Survey. In addition the PAPs are to be given a notice period of when all their assets have to be removed prior to construction.  How the PAPs will be identified: to explain eligibility criteria, entitlements and how the valuation will be done.  Explain options of compensation versus resettlement to the public and implications on method of payment are to be agreed upon with the PAPs at this meeting i.e. cash, in kind, relocation etc. The public should also be allowed to share their views and concerns that are to be recorded in meeting minutes that are signed by the MEO. Carrying out the public sensitization in this way is designed to give it the integrity and transparency it needs to allow all stakeholders to have confidence in the process. The various socio-economic studies to be conducted are explained in Box8-4 below. Box 8-4 Information to be collected from various socio-economic studies 34 Socio-economic information Household information should PAP Census information should can include: include: include:  Household Head and  The PAP’s valuation reference  Information on vulnerable Structure: number (indicating the groups or indigenous  Household Size: proponent-location-sequential persons number);  Gender structure  Patterns of social interaction  The PAP’s name;  Age structure in the affected communities,  The date of the census; social supporting systems  Ethnicity and Religion  Location of affected property:  Public infrastructure and  Migratory status plot number (or Land services that will be affected  Occupation Registration No.), house  Social and cultural  Income and expenditure number, street name, village or characteristics of displaced levels town; community and host  Education level  A sketch is drawn of the community property, indicating affected  Land tenure, property and  Health Status portions, cropped area, fallow transfer systems  Marital Status land, open and covered  Common property natural buildings, etc. resources that people use for  A photograph of the property is 34 Ministry Valuation Form No 1 69 their livelihoods and taken with the PAP in the sustenance foreground holding a large piece  Social norms and non-title of paper indicating his reference based land tenure systems number. used. An inventory of affected assets is also carried out by a registered Land Valuer35 based on the Town Planning and Engineering Design Drawings of particular sites and the entitlement matrix prepared for the specific sub- project. The Valuer produces a Valuation Report36 which is detailed enough to tally with rightful affected owners, types of properties/assets as well as relative realistic costs at current market values37. The inventory of affected assets should also include losses of public resources such as: 1. Cultural property: burial grounds, buildings or areas of religious significance, historical and archaeological sites, monuments and artifacts. 2. Public facilities: meeting halls, places of worship, schools, clinics, bus shelters, open spaces, public washrooms, community water points, markets, etc. 3. Infrastructure that may be damaged or disrupted during construction: roads, culverts, bridges, power lines, water lines, sanitation facilities, drainage channels, communications, etc. Content of the survey of affected property is given in Box 8-5 below. Box 8-5 Key content of the Land/Property Assessment Survey Implementer Valuer in collaboration with the surveyor, MEO or VEO and land owner (or representative) Information to be 1. Type of property (eg. single storey commercial building, recorded (Ministry double storey residential house, row of single storey Valuation Form No 1) shops, etc); 2. Details of construction (type of roof, ceiling, walls, windows, doors, floor); 3. Accommodation characteristics: number of bedrooms, sitting room, dining room, and outhouses (bandas); 4. Condition of the property (ie. state of repair); 5. Purpose/use of property (whether residential, commercial, institutional, religious, agricultural or a combination of two or more of these categories); 6. Area of affected buildings/structures (built-up area); 7. Types of crops grown; 8. Area of cultivated land affected; 9. Total area of the land. Approval of surveys MEO and VEO are to sign the form as verification of details collected Special conditions Announcement of the Cut-off Date: PAP to be informed that no further development or occupation of the property is to take place from this date. The Team should also identify the need for updates to census, assets inventories, resource assessments, and socioeconomic surveys, if necessary, as part of RAP monitoring and evaluation at regular intervals so that the latest information is available at the time of their displacement. 35 private consultant or government Valuer 36 The valuation report (Ministry Valuation Form No 2) includes the compensation schedule which has 2 main parts: Part 1: Summary of reference number, name and total compensation cost for each PAP and Part 2: Itemised valuation of each property/asset and each allowance entitled for each PAP with their picture 37 Valuation Report is currently approved by the Chief Government Valuer at Central Ministry. Consultations revealed the preparation of a Resettlement Policy which will consider decentralising the role of approving valuation reports to regional offices. 70 v. Legal, Policy and Institutional Framework Describe the legal and institutional context for the RAP implementation (Box 8-6). Details of relevant legal requirements and institutions are attached in Appendix A. Box 8-6 Content of Legal and Institutional chapter in a RAP Legislative context should cover the Institutional context should cover the following: following:  All relevant local laws and customs that  Agencies and offices responsible for apply to land take: resettlement, resettlement activities that may have a compensation, property laws, valuation role in project implementation; methods, mode and timing of  An assessment of the institutional payments,etc; capacity of such agencies;  Identification of gaps between local  Any steps that are proposed to enhance laws and World Bank Group policies the institutional capacity of agencies  Description of project-specific responsible for resettlement mechanisms to address conflicts; implementation.  Entitlement policies for each category  Coordination of the activities associated of impact and specification of the fact with and described in the resettlement that resettlement implementation will be action plan based on specific provisions of agreed  Mechanisms for ensuring independent RAP; monitoring, evaluation, and financial audit  Description of the method of valuation of the RAP and for ensuring that used for affected structures, land, trees, corrective measures are carried out in a and other assets; entitlement matrix. timely manner.  Any legal steps necessary to ensure the effective implementation of resettlement activities under the project, including, as appropriate, a process for recognizing claims to legal rights to land—including claims that derive from customary law and traditional usage. vi. Eligibility Define criteria for determining the PAPs38 eligibility for compensation and other resettlement assistance, including relevant cut-off dates39. The various eligibility criteria are listed in Box 8-7 below. 38 In some informal sectors it is not easy to determine exactly who is affected or what the long-term impacts are likely to be. Many markets and ‘squatter’ businesses’, such as roadside kiosks and small workshops, are not formally organized and have few, if any, records of ownership, tenancy, income, or length of occupancy. 39 Cut-off date refers to an agreed set date after which claims for compensation within a specified location will not be considered. It is a date of the completion of census of the project affected persons and parties. The survey team should be looking for signs of recent invaders who may have moved into the area once it has become public that some assistance with improved conditions may be available. 71 Box 8-7 Eligibility Criteria for PAPs in a RAP process for ULGSP Based on the Land Act Cap113 (1999) and World Bank's Resettlement Policy (OP 4.12), a person is eligible for compensation if they are:  the holder of a formal granted right to land/assests  the holder of land under customary law  land users i.e. those physically not living at the place but will suffer loss of access to land and livelihood  Have spiritual and ancestral ties to the land  40 Sharecroppers , tenants and seasonal migrants.  Illegal occupants of land (entitled to resettlement assistance) NB: The holder of the right of occupancy can be owner of a piece of land, house and crops. *** to insert groups of indigineous peoples if WB's Dr Mvungi finds any in his research*** vii. Valuation and Compensation for Losses Describe the methodology to be used in valuing losses to determine their replacement cost; and a description of the proposed types and levels of compensation under local law and such supplementary measures as are necessary to achieve replacement cost for lost assets. For World Bank funded projects, the valuation is to consider full replacement costs and not depreciated market values. Compensation can be in the form of cash or in kind as defined in Box 8-8 below. Box 8-8 Types of Compensation  Compensation in cash: monetary payments made to replace the cost of an asset or resource that is acquired or affected by the project.  Compensation in kind: means payment in lieu of money. This may apply where a portion of land is permanently taken from an individual for the purposes of construction. The land owner may accept another piece of land as compensation, provided the new plot of land is of the same value as the land he has had to relinquish in terms of market value and productivity levels viii. Resettlement Measures Describe the packages of compensation and other resettlement measures that will assist each category of eligible displaced persons to achieve the objectives of the policy. In addition to being technically and economically feasible, the resettlement packages should be compatible with the cultural preferences of the displaced persons, and prepared in consultation with them. An example of an entitlement matrix made for the road sector is illustrated in Table 11. The RAP team is to use the entitlements from the national legislation and entitlements that are eligible for compensation from the World Bank presented in Appendix A for ULGSP projects. These options include in-kind (e.g. replacement housing) and cash compensation. 40 Sharecropping is a system of agriculture in which a landowner allows a tenant to use the land in return for a share of the crop produced on the land 72 Table 11 Example of an Entitlement Matrix from the Road Sector CATEGORY TYPE OF LOSS ENTITLEMENTS of Project Affected Compensation for Compensation for Compensation for Loss Moving Other Assistance People (PAP) Loss of Structures Loss of Assets of Income Allowance S OF LAND --- Replace land / pay Crops at market cost in None Land replacement at compensation at scarce season new site (for land- market value; based income and Property livelihood). Owners Disturbance Allowance Loss of structure Compensation at full Permanent crops or For lost rental income Actual cost of Disturbance residential or replacement value trees at market cost Lump sum cash payment transporting 12t of Allowance business; standing not depreciated – in scarce season of 6 months rent per goods by road for crops and trees41 WB policy tenant 20km Accommodation allowance Loss of business income: payment of half of turnover for 6 months Loss of rental No loss of structure, Replacement cost for No loss of income Free moving if 6 months rent Residential accommodation no entitlement to non-movables if notification before equivalent for Tenant housing at new site installation was deadline disturbance agreed with owner Actual cost of transporting 12t of goods by road for 20km Business Loss of rental No loss Replacement cost for For loss of business Free moving if Tenant business premises facilities that cannot income, payment of half notification before be moved of turnover for 6 months deadline Actual cost of transporting 12t of goods by road for 20km Encroachers Loss of land --- Relocation to --- --- Food from (using land) resettlement site of Government during choice, with payment construction of new of rental fee for land. site For crops, fences and wells, as above for owners Squatters Loss of shelter Compensation at full None Payments in lieu of Disturbance (living on site) replacement value wages while rebuilding Allowance for structure Source: Road Sector Resettlement and compensation guidelines, 2009 ix. Resettlement Sites The RAP Team describes the institutional and technical arrangements for identifying and preparing relocation sites. This should be a participatory process where PAPs are involved to identify sites, assess of advantages and disadvantages of each site, select preferred sites and develop an acceptable strategy for housing replacement. This section also includes detail plans to provide (or to finance resettlers' provision of) housing, infrastructure (e.g., water supply, feeder roads), and social services (e.g., schools, health services); plans to ensure comparable services to host populations; any necessary site development, engineering, and architectural designs for these facilities. The Team also estimates the time and budget needed to acquire, prepare and transfer land and ancillary resources. This needs to be determined before moving forward in order to decide if PAPs will be offered alternative sites during the RAP implementation. Other consideration in planning for relocation are on Box 8-9 below. 41 Compensation on unexhausted improvements on land and developments on the land 73 Box 8-9 Key Issues to consider in determining alternative relocation sites  Plots vs. bare land: are the sites surveyed and in an area that has been demarcated for that particular land use; land that is not already occupied.  Site location: rural or urban; location which has advantages at least equivalent to the advantages lost.  Access to adequate social services: road access, water, electricity, waste collection, schools, etc.  Natural resource and environmental impact assessments: adequacy of soils and land use capability, vegetation and livestock carrying capacity, water and forest resource surveys; site not located in environmental sensitive areas that will increase pressure on natural resources.  Agricultural land: equivalent agricultural productive potential, allocation of agricultural land or pasture/rangeland; arrangements for site development for agriculture, etc  Any measures necessary to prevent land speculation or influx of ineligible persons at the selected sites;  Legal arrangements for regularizing tenure and transferring titles to resettlers x. Livelihood Restoration It is encouraged that resettlement is looked at as a sustainable development intitiative that leads to the improvement of the standard of living for PAPs. Therefore the ULGAs should identify restoration strategies for each category of impact including description of institutional, financial, and technical aspects. The team should consult PAPs and seek their participation in finalizing strategies for income restoration. Some livelihood restoration activities to be considered include:  Provision to dependable access to resources e.g water  Job placement or skills development programs  Financing start up enterprises through small scale credits schemes  Entrepreneurship training to expand businesses or generate local employment  Compensation in kind The team should also consider:  Main institutional and other risks for the smooth implementation of the resettlement programs;  How to monitor the effectiveness of the income restoration measures;  Development programs currently operating in or around the project area that PAPs can benefit from. Box 8-10 Special assistance for women and vulnerable groups Special assistance for Women:  provide separate and confidential consultations  Women should not be discriminated against access for vulnerable groups to resources, opportunities and public services  prioritise vulnerable groups in site selection in  Community and informal social networks are to be the host area; preserved  relocate vulnerable groups to near to kin and  Provides means to improve women's mobility to find former neighbours; ways to earn an income  Assist vulnerable groups with dismantling  Ensure entitlements and land titles are issues in the salvageable materials from their original home; name of both spouses  Prioritise vulnerable groups access to all other  Provide low cost locally available tools to reduce mitigation and development assistance workloads e.g hand pumps, fuel efficient stoves provided  Improve health and family services  Monitor integration into the resettled community xi. Environmental Protection and Management Describe the boundaries of the relocation area, an assessment of the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement). 74 xii. Community Participation The RAP Team is to provide:  A description of the various stakeholders and the process of consulting and promoting participation of PAPs and hosts in the design and implementation of the resettlement activities;  A summary of the views expressed and how these views were taken into account in preparing the resettlement plan;  A review of the resettlement alternatives presented and the choices made by displaced persons regarding options available to them, including choices related to forms of compensation and resettlement assistance, to relocating as individuals families or as parts of pre-existing communities or kinship groups, to sustaining existing patterns of group organization, and to retaining access to cultural property (e.g. places of worship, pilgrimage centers, cemeteries); and  Institutionalized arrangements by which displaced people can communicate their concerns to project authorities throughout planning, implementation and monitoring  Measures to ensure that such vulnerable groups as indigenous people, ethnic minorities, the landless, and women are adequately represented.  A Plan to disseminate the RAP including entitlements, eligibility, resettlement assistance and grievance redress xiii. Integration with Host Populations Measures to mitigate the impact of resettlement on any host communities should be elaborated. These include:  Consultations with host communities and local governments;  Arrangements for prompt tendering of any payment due the hosts for land or other assets provided to resettlers;  Arrangements for addressing any conflict that may arise between resettlers and host communities; and  Any measures necessary to provide/expand services in host communities (e.g. education, water, health, and production services) to make them at least comparable to services available to resettlers. xiv. Grievance Procedures There should be put in place affordable and accessible procedures for third-party settlement of disputes arising from resettlement preferably through mediation and negotiation and the ULGA level. Such grievance mechanisms should take into account the availability of community and traditional dispute settlement mechanisms prior to resorting to judicial solutions. xv. RAP Implementation Responsibilities This section outlines the organizational framework for implementing resettlement, including:  identification of agencies responsible for delivery of resettlement measures and provision of services;  arrangements to ensure appropriate coordination between agencies and jurisdictions involved in implementation. This includes identification of roles and responsibilities for all stakeholders involved in the implementation of the compensation and resettlement process;  external (non-project) institutions involved in the process of income restoration (land development/land allocation/training/credit, etc)  responsibility for managing facilities and services provided under the project and for transferring other such responsibilities from the resettlement implementing agencies, when appropriate.  Mechanisms for ensuring independent monitoring, evaluation and financial audit of the RAP and reviewing and revising the RAP if necessary. xvi. Implementation Schedule This is an outline of the chronological steps covering all resettlement activities from preparation through implementation of a RAP and agencies responsible for each activity (Template No 3 Part II). The schedule should indicate how the resettlement activities are linked to the implementation of the overall project. The 75 schedule should also include target dates for the achievement of expected benefits to PAPs and hosts and terminating the various forms of assistance. The RAP is to be completed and implemented before Construction works begin as illustrated in the sample implementation schedule below. **to insert example of implementation schedule*** xvii. Costs and Budget This includes the costs for resettlement and compensation that forms part of the overall project budget (Template No4 Part III). Costs of affected land/property and assets are provided in the valuation report. There should be a clear statement of financial responsibility and authority, sources of funds for resettlement, flow of funds and the mechanisms that will be established to ensure coordination of disbursements with the RAP and the project schedule. Where applicable financial arrangements for external monitoring, evaluation, procurement and maintenance of contracts for the entire duration of resettlement should be included. xviii. Monitoring and Evaluation A monitoring plan should be developed for monitoring the implementation of resettlement activities in the ULGAs. The key components of the monitoring plan should be performance monitoring indicators to measure the progress of resettlement activities against milestones; and impact monitoring to evaluate the effectiveness of the RAP and its implementation with respect to meeting the needs of the PAPs. Box 8-11 Abbreviated RAPs for smaller projects Since the ULGSP projects eligible for funding are not to displace more than 20 households, an abbreviated RAP can be prepared that has the following information: 1. A PAP census of the displaced persons; 2. A valuation of all the assets affected; 3. Details of types of compensation and other resettlement assistance to be provided for each PAP; 4. A listing of acceptable alternatives, based on consultations held with persons to be displaced; 5. Defined and agreed roles and responsibility of institutions involved the implementation process; 6. Mechanisms for grievance redress; 7. Defined and agreed arrangements for monitoring and implementation; 8. An implementation schedule for the Compensation and resettlement process; 9. A budget for implementation and monitoring the C&R process. Step 4: Submission of the RAP for Review The RAP Team submits the RAP as part of the final ESIA report (Environmental Impact Statement) to the ESMU for review (Refer to Chapter 9 for the review process). Step 5: Decision on the RAP After review of the RAP the ESMU will submit the RAP with the ESIS and recommendations to the LGA Urban Planning and Environment Committee for a decision on approval. If the decision is "not approved", the IPS will be instructed whether the RAP is to be revised or if it is not acceptable due to the severity of the impact of land take. If the decision is "approved", the IPS will combine the RAP with the ESIS and submit for sub-project approval. 76 Step 6: Decision on the proposed sub-project The sub-project proposal documents which will include the ESIS and RAP reports are submitted to the LGA Full Council for a final decision on the proposed sub-project. The decision should consider the estimated costs identified in the RAP i.e. does the LGA have the financial resources to cover the estimated costs for any resettlement and compensation activities. If the sub-project is approved then the IPS will implement the RAP. Step 7: Implementing the Resettlement Action Plan After the RAP has been approved, the implementation of the RAP includes 6 main activities: i. Awareness raising meeting ii. Mobilisation iii. Preparation of plots for resettlement iv. Compensation payments v. Addressing Grievances and Dispute Resolution vi. Monitoring of RAP implementation i. Awareness raising meeting RAP Team members (CDO, MEO) should raise awareness through consultations with the PAPs to  Inform them of the RAP implementation.  Provide them with a timeframe for the implementation process i.e. the implementation schedule (Template No3 Part III).  Confirm the acceptability of the sites that have been identified for relocation  Assure them that they will be compensated and/or resettled  Resolve concerns they may have  Sensitize them with regard to further concerns they may have and general procedures that will be followed. ii. Mobilisation The RAP Team mobilises and confirms the commitment of implementing staff, organisations, agencies and entities identified in the RAP that will oversee and follow up on all compensation and resettlement matters during and after the RAP implementation. The RAP Team confirms the planning process for implementation and logistical arrangements compensation and carrying out resettlement activities. iii. Preparation of plots for resettlement The Team prepares the plots for relocating PAPs including:  The preparation of land: clearing of grass and bush may be necessary for the construction of houses at relocation sites, and in the case of new fields for cultivation, the soil may have to be tilled and sowed.  Construction of new houses and structures (if approved as part of project budget and was agreed as method of payment): once the site has been allocated and the area cleared, the new houses and structures will be built. This again has an implication on the timing of physical relocation. iv. Compensation payments The actual disbursement of payment is carried out at the LGA level and is not the responsibility of the Ministry of Lands to ensure that all PAPs have been compensated. The valuation report and compensation schedule is counter-signed by relevant authorities before implementation, including: 77  Ward or Mtaa Executive Officers (WEO/MEO)  Authorized land officer (informing the Director of the LGA)  District Commissioner  Regional Commissioner The LGA is responsible to ensure that the payments have been issued to the respective PAP and the PAPs to be relocated have been given their alternative land. The following key activities are to be undertaken to ensure that compensation payments are conducted justly42:  The LGA has again to ascertain to itself on the real individual identity of PAPs to be compensated. LGA/CDA land valuation experts have to go back to the field and re-gather or review information and data on previously valuated assets belonging to each PAP recorded in the List of Valuation Schedule per Sub-Project area. That is aimed at gap-filling in any unforeseen omissions so as to get a realistic situation and accurate figures that will help the LGA/CDA to effect just compensation payment to affected individuals. Ward Executive Officers (WEO), Mtaa Chairpersons well understanding individual PAPs and having their records in offices books will assist to correct any additions or non-inclusions so far made in the Valuation Schedules at hand.  WEO and Mtaa Chairperson have to inform and assist each PAP to have an Identity Card that will be a proof in the course of the PAP being called for payment and/or any other related matters.  Mtaa Chairperson and WEO have to notify and issue each PAP a formal Letter of Introduction signed by WEO for the purpose of Compensation payment. That will be followed by each PAP preparing a set of ‘identical or resembling’ passport size photos to be affixed on the List of Valuation Schedule, Letter of Introduction and on the Identity Card; all pressed by one and the same WEO’s office stamp. Also, each PAP has to be informed to come with the ministry's valuation form which was issued to each PAP during verification of assets to be compensated, for official scrutiny.  LGA should re-confirm the correctness of the names in the list of PAPs by Mtaa/Settlement well in advance. That list(s) will then be posted to the Notice Boards in all areas visible and accessible to all targeted PAPs. Quite carefully, each PAP has to go through the list of schedules and affirm whether the written names are correct as they belong to him/her and, what is written in the list as his/her assets earmarked for compensation is really what he/she deserves. By doing so, it is meant to amicably resolve any doubts which can be raised by PAPs early enough, before effecting such payments.  LGA have to inform PAPs to open Bank Accounts where needed, or else it has to prepare honoured Open Cheques.  LGA has to inform targeted PAPs through public Notice Boards and the media on the date of payment of Compensation money clearly stating the venue and time range. When making payments, respective Mtaa Chairpersons and WEOs should be present to assist the LGA/CDA paying staff in ensuring that payments are made to true or correct PAPs according to the approved Schedule(s) of Valuation. At that juncture, PAPs receiving their cheques have to individually sign in a dispatch book in acknowledgement of having collected the cheques.  LGA Accounts and Valuation/Land Offices should then properly keep original transaction and payment records/documents for future office use. The Land Officer has to keep track of who among the PAPs deserved relocation to an alternative plot or otherwise decided so as to resolve any possible grievances from PAPs. Other considerations during compensation payments are in Box 8-12. 42 Procedure adopted from current practice under TSCP 78 Box 8-12 Considerations during compensation payments  Spouses or female members of the affected households should be present when compensation is being paid so that they are aware of the compensation amount or assets received as compensation in kind (Road sector guidelines, 2009).  Witnesses of the payments to PAPs should include the MEO, ULGA Land Officer and ULGA CDO (the VEO should be involved for PAPs in their jurisdiction). Compensation is to be paid within 6 months from time the valuation report was signed by the Regional Commissioner. If compensation is not paid within the 6 months the Tanzanian legislation provides for an interest rate of 5% compound interest or the average rate offered by commercial banks "fixed deposit" to be applied. The PAPs are given notice to vacate from the identified project site within a time stipulated by the LGA. Construction is not to begin until the PAPs are fully compensated. v. Addressing Grievances and Dispute Resolution The IPS should strive to ensure that any grievance and disputes are resolved through mediation at the ULGA level. If an agreement is not reached then the grievance is to follow the formal system through tribunals and the courts. The following steps are proposed with respect to the ULGSP projects: 1. PAPs with a grievance or dispute should register their complaints and grievances to their respective MEO who is part of the RAP Team. MEO in collaboration with the ULGA RAP Team should be the first stage of mediation. 2. If the PAP is not satisfied then the grievance should be forwarded to the ULGA's Ward Executive Committee for mediation. 3. If the PAP is still not satisfied then the grievance should be directed to the Regional Administrative Secretary for mediation before entering the formal legal system. 4. If the PAP is not satisfied then the grievance is logged formally into the legal system with the Ward Tribunal. 5. If the grievance is not solved at the Ward Tribunal it will be forwarded to the District Land and Housing Tribunal. 6. If the grievance is still not resolved then it will be forwarded to the High Court (Land Division). Grievances that are addressed through mediation are to be recorded by the RAP Team in the Template N o 5 (Part III). The PAP is to be given a copy of the same for their own follow up. vi. Monitoring of RAP implementation The purpose of monitoring is to assess the performance of the RAP implementation in terms of  disbursement of the compensation payments,  progress of resettlement and rehabilitation activities including construction of structures and houses and assistance during rebuilding  public consultation process.  PAPs use of the compensation payments for rebuilding or livelihood restoration.  Types of grievance issues and effectiveness of the grievance redress mechanism to resolve them. Box 8-13 Examples of indicators used when monitoring RAP implementation  The number of meetings held with the PAPs;  The number of complaints lodged, how many complaints are being addressed, how 79  many have been resolved;  The number of compensation payments made, and the number of pending payments;  The number of houses/structures constructed, and the number pending;  The number of PAPs relocated to their new houses/structures, and the number that  still have to be relocated;  The number of vulnerable people assisted. The RAP implementation committee is responsible for monitoring the implementation of the RAP and to complete a RAP implementation report. The content of the RAP report is outlined in chapter 11. 80 9 Guidelines for review, approval, disclosure of reports and plans 9.1 Introduction Upon completion of the various environmental works, the reports and plans are reviewed for approval for the purpose of issuing an environmental certificate. The LGA-specific ESMS proposes this process to take place at the LGA level for projects which were screened to follow the LGA ESIA process. This chapter provides guidance on how the review should be conducted, describes the approval process and public disclosure requirements. Snapshot: Review and Approvals Users of the Qualifications Purpose chapter Review Team  Trained in reviewing  To use as reference during review processes as part of the for approval to ensure key aspects (ESMU) LGA-specific ESMS and principles have been followed. 9.2 Review and Approval Process The review and approval process has general stages in project implementation are as follows: 1. Appraisal 2. Recommendations 3. Decision 4. Disclosure of sub-project information Step 1: Appraisal The Review Team (ESMU and other Sector staff that were not members of the ESIA Team) will review the ESMP / PESA Report / EIS /RAP and sub-project designs/proposals. The review process will include a desk appraisal, a site visit and a Cross-sectoral Technical Advisory Committee (TAC) meeting described in the ESMS procedure (Chapter 4). An invitation to the public to submit written comments on the reports is also given. The public is to be invited to submit their views on the ESIS report via: 1. posters in strategic public places in the vicinity of the site of the proposed project 2. publishing a notice in a newspaper that has a nationwide circulation 3. making an announcement of the notice in both Kiswahili and English languages in a radio with a nationwide coverage The review shall ensure that all environmental and social impacts and resettlement issues have been identified and successfully mitigated and mitigation measures integrated in the project designs. Box 9-1 Review criteria 81 (based on the EIAA regulations, 2005) Review Area 1  Description of the Development  Description of the local environmental baseline conditions. Review Area 2 Identification and Evaluation of key impacts:  identification and evaluation of key impacts;  residual impacts;  cumulative impacts;  prediction of impact magnitude; and  assessment of impact significance. Review Area 3 Alternatives, mitigations, EMP, and commitment Review Area 4 Stakeholder participation and communication of results:  stakeholder participation  stakeholder representation and balance  non-technical summary The ESMU may hold a public hearing on the environmental statement if as a result of the comments received it is of the opinion that a public hearing shall enable it to make a fair and just decision or it considers it necessary for the protection of the environment. Box 9-2 Public Hearing Preparations General format 1. The date and venue of the public 1. IPS shall be given an opportunity hearing shall publicized at least one to make a presentation week prior to the meeting by notice in 2. ESMU and public shall ask at least one daily newspaper of questions and seek answers national circulation, one newspaper of respecting the environmental local circulation, television and other impacts means of mass communication in 3. Presented questions shall be Kiswahili and English responded 2. Information and copies of the reports 4. Comments from any interested will be made available party shall be received 3. A presiding officer shall be identified 5. The presiding officer shall compile 4. Presiding officer shall determine the a report of the views presented at rules of procedure at the public hearing the public hearing and submit the in consultation with the ESMU. report to the Review Team. Step 2: Recommendations If the application has satisfactorily addressed all key issues, the ESMU will then clear the proposal and recommend approval of the infrastructure sub-project to the ULGA Urban Planning and Environment Committee. If the ESMU finds that the submitted proposal is not consistent with the requirements or contravenes the EMA and it's regulations then the IPS would be requested to re-design (e.g. make additional modifications and/or choose other sites) and re-screen the sub-project until it is consistent and then re-submit it for review. Step 3: Decision of approval The ULGA Urban Planning and Environment Committee shall make a decision on the ESIA for the sub- project while taking into account 1. the validity of the environmental impact assessment statement with emphasis on the environmental, economic, social and cultural impacts of the project; 2. the comments made by relevant ULGA departments and other interested parties 82 3. the report from the public hearing (where applicable) 4. the recommendations from the ESMU The EMO shall prepare a decision letter to the IPS on the decision of approval which could be either “EIS not approved�, “EIS approved� or “EIS approved subject to specified conditions�. The decision letter shall include the reasons for the decision and will specify conditions attached on the approval based on the environmental management plan provided in the environmental impact assessment statement including schedule of activities that governs implementation of activities. For projects that are approved, or approved with conditions, the decision letter and project documents are submitted to the DAS43 who will issue an EIS Certificate in the format prescribed in the environmental regulations of 2005 ( Form No 3 Part III) Step 4: Disclosure of sub-project information (ESMP, PEA, EIS, RAP, etc) The IPS will disclose sub-project information to the public through various avenues such as ward/mtaa meetings, public spaces, media, notice boards, libraries, government gazette, etc. In addition the IPS will make available any of the following documents to any person who desires to review them:  Sub-project design  Project brief  Terms of reference for ESIA  Environmental and Social Impact Statement (including the RAP where applicable)  Public comments  Decision letter 43 Person proposed to be delegated by minister to issue the ESIA certificate 83 10 Monitoring of Environmental and Social issues during project implementation 10.1 Introduction During project implementation the implementation of ESMP and RAP (where applicable) and monitoring are important with respect to ESM. The project implementation process is contingent on various project documents being approved. These documents include:  Project plan and design  ESIA and RAP reports where applicable  Project budget (that includes ESMP and RAP implementation costs) This chapter presents the specific ESM activities to be carried out during project implementation which includes the implementation of the RAP (where applicable), implementation of the ESMP and monitoring. Snapshot: Project Implementation Users of the chapter Purpose IPS  To understand their key supervisory roles in project implementation  To ensure that the proposed mitigation measures are implemented ESMU  To understand their monitoring responsibilities to ensure that ESMP is implemented according to the plan  To guide preparation of environmental and social monitoring report 10.2 Project implementation process The general stages in project implementation are as follows: 1. Implementing the RAP 2. Incorporating the ESMP in procurement 3. Supervising the implementation of the ESMP 4. Monitoring the ESMP 5. Reporting on the ESMP and RAP Step 1: Implementation of the RAP Construction of the project cannot commence before the implementation of the RAP and the completion of compensation payments (chapter 8). The authorized/appointed Land officer is to monitor the implementation of the RAP and report it's completion to the IPS in a RAP report The IPS will share the RAP report with the ESMU. Step 2: Procurement of a Contractor 84 The IPS prepares tender documents for the procurement of a contractor for project construction works. These are to follow the general procurement principles outlined by the Public Procurement Regulatory Authority (PPRA). The IPS ensures that the ESMP is included into the project design (Chapter 7) and contractor's contractual obligations before construction. The IPS ensures that all contracts and financial approvals are complete before the contractor begins construction. The IPS is overall responsible for supervising the contractor and the implementation of the project. Step 3: Supervision of ESMP implementation The contractor is responsible for implementing the relevant components of ESMP related to mobilisation and construction works i.e. ensuring that each mitigation measure identified in the ESMP is carried out during mobilisation and construction works. The IPS in collaboration with the ESMU is responsible for supervising and monitoring the implementation of the ESMP by contractor. The IPS is responsible for implementing the relevant components of ESMP related to project operation monitored by the ESMU. Step 4: Monitoring of ESMP The principle stages of a development project life cycle to be checked and monitored are during design, implementation, operation and decommissioning. Carrying out an ESIA acts as a check during design and an ESMP includes monitoring activities to be done during the implementation (construction) stage of a project. Monitoring ESMP implementation During mobilisation and construction, the IPS is responsible for the day to day monitoring of the implementation of the ESMP). The IPS uses an ESMoP developed based on the approved ESMP (Template No 6, Part III) that the IPS fills during monitoring. The ESMoP is a tool that the IPS will use to monitor the implementation of the ESMP by the contractor. Box 10-1 Content of an Environmental and Social Monitoring Plan (ESMoP) The ESMoP is presented in a table format that includes the following information: 1. Potential impact 2. Proposed mitigation measure 3. Monitoring indicator/parameter 4. Monitoring frequency 5. Target level/Standard 6. Progress/status and comments 1. Monitoring parameters: The monitoring parameters are derived from the potential impacts. The parameter is the object/area/persons that were identified to have a potential impact during the different phases of the projects. 2. Monitoring frequency: This refers to the number of times the parameter is to be measured during specified period in which the mitigation measure is to be implemented. The frequency in which each parameter is monitored varies depending on the nature of the parameter. 3. Target level/standard: This refers to environmental or social condition that the proposed mitigation measure aims to restore or enhance. It could also include legal standards that have to be observed. 4. Progress/status: This is completed by the IPS either through reports submitted by the contractor implementing the ESMP, or by observations made during site visits to the construction area(s). The status could be "completed", "on track", "not on track- review ESMP" or "to be implemented (date/month)". This should be accompanied by comments for followup. 85 Table 12 Example of an Environmental and Social Monitoring Plan (ESMoP) Potential Proposed mitigation Monitoring Target Monitoring Status Comments impact measure Parameter level/Standard frequency Use dust boozers to Dust particles Every day On track Dust spray water before Air pollution less than *** during large pollution large earth work from excavation/earthworks activities excavation works Destroyed Re-planting of fruit Planting of Fruit trees Every week to be Construction fruit trees trees after major fruit trees restored after major implemented works still used by construction works construction (October underway local works 2013) residents completed due to vegetation clearance Death due Build speed humps Traffic No traffic Every month On track to near construction accidents accident during accidents areas to reduce speed incidences construction recorded Increased Provide free clinic and HIV/AIDS No new Every 3 Not on track- Staff incidence counselling for infection HIV/AIDS months review reluctant to in construction staff rate infections during ESMP attend free HIV/AIDS during construction clinic- to construction conduct awareness campaign Compliance (Supervisory) monitoring The appointed EMO in the ESMU conducts compliance monitoring to ensure that the ESMP is actually implemented and that impacts are no greater than predicted44. If the ESMoP is submitted quarterly by the IPS and there is close coordination between them, then the ESMU will only have to conduct small number of spot-check visits to complete a compliance monitoring form (Template No 7 Part III). The EMO conducts spot-check visits at critical points in the construction/implementation programme when key actions and construction impacts can be inspected. Examples of project elements to be monitored include: • Implementation and effectiveness of erosion and sedimentation control measures (e.g., prompt re-grassing of disturbed areas); • Water management issues (e.g., water logging, flooding, and drainage issues); • Waste disposal issues (e.g., disposal of demolition debris, spoil, used oil, old tires, and scrap metal, and the management of liquid and solid wastes); • Management and reclamation of borrow pits and quarries or other sources or natural resources; • Social impacts (e.g., related to compensation issues, resource use conflicts, communicable diseases); • Public health and safety (e.g., accidents and accident risks during construction); • Noise and dust problems during construction works (e.g. close to schools, hospitals and other sensitive human activities); and • Occupational health and safety (e.g., the safe handling and storage of hazardous materials and safe operating procedures). • Vulnerability of the project to natural hazards e.g flooding, landslides, earthquakes, tsunamis, strong hurricane like winds etc 44 In the national ESIA process this role is carried out by NEMC 86 Step 5: Reporting on the ESMP The IPS submits completed ESMoP on a quarterly basis (i.e. every 3 months) to the ESMU where the appointed EMO will prepare an Environmental and Social Monitoring Report in collaboration with the CDO/sociologist. The EMO may also conduct site visits in the preparation of the Environmental and Social Monitoring Report. The monitoring report should be made available to the public and to other LGA departments to encourage feedback on the ESMP for continuous improvement. The information in the monitoring report in conjunction with the other reports and plans (ESMP/PSEA/RAP/ESIS) are used to compile an Environmental and Social Management Report for PMO RALG that is combined with the other project reports documents. The same can be used to report to NEMC when required. 87 11 Guidance on Report Contents The following section provides guidance on the reporting structure and contents for the various reports in the LGA-specific ESMS. These reports include the Scoping, PESA, EIS, RAP and Monitoring reports. 11.1.1 Scoping Report The ESIA Team prepares a Scoping Report as part of the scoping exercise that is done after the project has been screened. The scoping report includes the key issues to be assessed and evaluated and provides a ToR (Template No 1 Part III) for carrying out the impact assessment. The report is submitted to the ESMU for review and approval. The content of a Scoping report is outlined in Table 13 below. Table 13 Content of a Scoping Report Chapter Description Introduction  Brief description of the project i.e. nature, location scale etc  Description of how the scoping exercise was carried out Environmental and social  Description of the spatial and temporal boundaries Context  Description of project alternatives  Description of the environmental and social situation in the identified boundaries Policy, legal and  Description of relevant policies and legislation institutional Context  Description of institutions involved in the project planning and implementation,  Description of institutions involved in the management of environmental and social issue. Stakeholder Participation  Description of the stakeholder groups identified  Description of how they were involved in the scoping exercise  Stakeholder views and concerns that are to be considered during impact assessment Preliminary Impacts  Description of potential environmental impacts  Description of potential socio-economic impacts  Description of other impacts: public health, OHS, etc Impact Assessment  General approach and methodology to be taken Approach  Description of particular studies/investigations to be conducted e.g. water analysis, survey of waste collection points/facilities Terms of Reference  Terms of reference to guide the impact assessment including the scope, objectives, tasks and duration 11.1.2 PESA Report The ESIA Team prepares a PESA Report if the screening process determined that the project falls under the ESIA List 2. The aim of a PESA is to determine whether a full ESIA is required due to the uncertainty of the impacts or the lack of information provided in the project brief. The PESA report is submitted to the ESMU for review and approval. The content of a PESA report is outlined in Table 14below. 88 Table 14 Content of a PESA Report Chapter Description Introduction  Brief description of the project i.e. nature, location scale etc  Description of how the PESA exercise was carried out Environmental and social  Description of the spatial and temporal boundaries Context  Description of project alternatives  Description of the environmental and social situation in the identified boundaries Policy, legal and  Description of relevant policies and legislation institutional Context  Description of institutions involved in the project planning and implementation,  Description of institutions involved in the management of environmental and social issue. Environmental and Social  Description of potential environmental impacts and their Impacts significance  Description of potential socio-economic impacts and their significance  Description of other impacts: public health, OHS, etc, and their significance Mitigation Measures  Description of mitigation measures for each of the impacts identified Environmental and Social  Description of activities likely to cause potential impacts Management Plan  Description of the impacts (negative and positive)  Description of planned mitigation measures  Monitoring plan including relevant monitoring indicators;  Institutional arrangements of who will be responsible for implementing the ESMP  Cost estimates and source of funds 11.1.3 ESIA Report The ESIA Team prepares an EIS if the screening process determined that the project falls under the ESIA List 1. The ESIA shall take into account environmental, social, cultural, economic, and legal considerations, and shall:  identify the anticipated environmental impacts of the project and the scale of the impacts  identify and analyse alternatives to the proposed project  develop an environmental management plan with mechanisms for monitoring and evaluating the compliance and environmental performance which shall include the cost of mitigation measures and the time frame of implementing the measures  propose mitigation measures to be taken during and after the implementation of the project The ESIA Team will prepare an ESIA report (referred to as an Environmental Impact Statement or EIS) is submitted to the ESMU for review and approval. The content of an EIS report is outlined in Table 15 below. 89 Table 15 Content of an ESIS Chapter Description Executive Summary  Brief description of the project environment (English and Swahili)  Project stakeholders and their involvement in the EIA process  Explanation on why some impacts are not addressed  Stakeholder participation: list of people consulted and their views and concerns  Description of the major significant impacts  Project alternatives considered  Mitigation measures for the impacts  ESMP with monitoring plan  Resource evaluation or cost benefit analysis  Decommissioning Acknowledgements, acronyms, etc Introduction  Background to the ESIA  Description of how the ESIA exercise was carried out  Assumptions made, gaps and uncertainties encountered during the ESIA  Layout of the report Project Description  Brief description of the project i.e. objective, nature, location scale etc  Project activities, technologies, procedures and processes that will be used in project implementation  Materials to be used in construction and operation of project  Product and by-products to be generated Policy, legal and  Description of relevant policies and legislation institutional Context  Description of institutions involved in the project planning and implementation,  Description of institutions involved in the management of environmental and social issue. Environmental and social  Description of the spatial and temporal boundaries Context  Description of project alternatives  Description of the environmental and social situation in the identified boundaries Environmental and Social  Description of potential environmental impacts and their Impacts significance  Description of potential socio-economic impacts and their significance  Description of other impacts: public health, OHS, etc, and their significance Mitigation Measures  Identification of alternatives: project site, design, technologies etc and reasons of preference  Description of mitigation measures for each of the impacts identified Environmental and Social  Description of activities likely to cause potential impacts Management Plan  Description of the impacts (negative and positive)  Description of planned mitigation measures  Monitoring plan including relevant monitoring indicators;  Institutional arrangements of who will be responsible for 90 implementing the ESMP  Cost estimates and source of funds  Other management plans i.e. hazardous materials management plan, OHS plan Cost Benefit Analysis  Available resources to implement the project: human and financial OR  Analysis of the benefits and costs for implementing the project (qualitative and quantitative as appropriate) Decommissioning  Plan on how the project infrastructure will be demolished or re- used after the life-span of the project Summary and Conclusions  Summary of key stakeholder issues and impacts  Conclusion based on the findings (not to be subjective) References  List of any documents, reports or websites used Appendices  List of people consulted with names, organisation and contacts  Meeting minutes  Picture library  ESIA Terms of Reference  RAP report ( if applicable) 11.1.4 RAP Report The authorized/appointed land officer is responsible for monitoring the implementation of the RAP prepares a RAP report. The RAP report is submitted to the IPS and is to be included as part of the EIS for review and approval by the ESMU. The content of the RAP report is outline in Table 16 below. Table 16 Content of a RAP report Chapter Description of content Introduction  Project background, objectives of the RAP, methodology, entitlement cut-off date, structure of the report RAP zone of influence  Description of activities and areas leading to resettlement and compensation  predicted impacts on human settlements, livelihoods, community and property  proposed mitigation measures Organisational  Inter-agency coordination responsibilities  Implementation procedure Legal and institutional  Relevant policies and legislative requirements observed and framework applicable institutions involved. Socio-economic studies  Findings of the socio-economic study and household survey Eligibility and resettlement  Eligibility criteria used measures  Entitlements provided: compensation, relocation, income restoration etc Public consultation  Methods used to consult the public, views and concerns from PAPs  Measures taken to mitigate the impact of resettlement on any host communities Valuation of assets  Method used in valuing losses to determine their replacement 91 cost; and a description of the proposed types and levels of compensation under local law  Brief description of grievances received and resolved Implementation schedule  Description of process used and an indication of duration taken during implementation Costs  Report of costs for compensation from valuation report  Report of payments made  Report of relocation and income restoration activities Appendix 1: Summary of  PAP reference number, Name, location, compensation amount, compensation summary: cheque number and date paid Appendix 2: Detailed items  PAP reference number, picture, name, location, general compensated comments, entitlements, total compensation cost. Appendix 3: Public  Meeting minutes from public consultations consultation documents  List of people consulted 11.1.5 Environmental and Social Monitoring Report The appointed EMO is responsible for preparing an Environmental and Social Monitoring Report (ESMR) that forms part of the ULGA project implementation report. The EMO shall make use of the ESMoP submitted by the IPS and site visits to prepare the report. The content of the ESMR is outlined in Table 17 below. Table 17 Content of an Environmental and Social Monitoring Report Chapter Description of content Introduction  Purpose and objective of the report  Layout of the report Project Background and  Describes project background Description  Description of the project area and baseline conditions  Main design features of the project and key project data  Summary of approved esia: identified impacts and stakeholder concerns; when esia was carried out and approved. Major Work Progress  Current major work in progress: major earthworks, drainage works and obstacles faced during implementation  Maps Monitoring Observation  Methodology which was used to gather and report findings  Observation of environmental impacts related to construction activities  Changes which might have occurred on surrounding environment caused by ongoing construction activities Environmental Monitoring  List of proposed environmental mitigation measures to be Compliance applied during construction  Contractor's compliance to environmental mitigation measures (Template No 7 Part III) Conclusion  Discusses contractor's compliance status  Guidance/expectations on applying proper mitigation measures Recommendations  Recommendation (to the contractor) in order to enhance safeguard environmental measures during construction and operation phases  Legal measures to enforce implementation and protection of the environment 92 PART III: FORMS AND TEMPLATES The various Forms and Templates referred to in the previous chapters are presented here in the following order: o Description Chapter Reference Page N o Form N 1: ESIA Registration Form Chapter 4 91 o Template N 1: Terms Of References for Environmental Chapter 4 95 Impact Assessment o Form N 2: Screening Checklist Chapter 5 102 o Template N 2: Environmental and Social Management Plan Chapter 7 104 o Template N 3: RAP Implementation Schedule Chapter 8 105 o Template N 4: Table Oo Cost/Budget Estimates for RAP Chapter 8 106 o Template N 5: Grievance Record Form Chapter 8 107 o Form N 3: EIA Certificate Form Chapter 9 108 o Template N 6: Environmental and Social Monitoring Plan Chapter 10 110 o Template N 7: ESMP Compliance Record Chapter 10 111 93 FORM No1- ESIA REGISTRATION FORM (Reference : Chapter 4) Prime Minister's Office - Regional Administration and Local Government Authority Urban Infrastructure Investments APPLICATION FOR ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT CERTIFICATE LGA/NEMC Application Reference No:……………………… Fee Amount: ……………………………… Date:…………………………………. PART A: DETAILS OF PROPONENT PROPONENT ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT EXPERTS LGA / Firm / Organisation/ Donor Contact Person Name Address Telephone No Fax No E-mail: PART B: DETAILS OF THE PROJECT Title of the Project (general classification of undertaking) Description of the Project (Nature of undertaking, unit processes [flow diagram], raw materials list of chemicals [source, types & quantities], storage facilities, wastes / by-products [solid, liquid and gaseous]) Scope of the Project/Works 94 (size of labour force, equipment and machinery, installed / production capacity, product type, area covered facility / proposal, market) Project Location A map/site plan; indicate the geographic co-ordinates of the site elevation and slope; any nearby area of the environmental significance (e.g. proposed or declared reserves, water courses, wetlands); general vegetation; adjacent land uses, current zoning Infrastructure and Utilities Structures (buildings and other facilities); Land required; Water (sources, quantity required); Power (type, source & quantity required); Road (access, conditions); Other major utilities (e.g. sewerage facility and quantity produced, solid waste produced and management, health risks and facilities occupational health and safety provisions, etc) Materials (Locations of where natural materials will be sourced for the construction) Required Permits/Approvals Type of permit Required (Yes/No) Permit obtained (if applicable) Building Water Extraction Water Use Burrow pit /Quarry Abattoir/slaughterhouse registration Liquid / Solid Waste Disposal Zoning/land use change PART C: ENVIRONMENTAL IMPACTS Identify activities of proposed project that may result in potential environmental and social impacts. Impact Category List of activities that may result in potential environmental and social impacts (Use chapter 6 of the Technical Manual to identify potential 95 impacts) Activities requiring land External natural factors and processes that could have potential impact External socio-economic factors that could have potential impact Management aspects that may cause potential impact Activities related to mobilisation, construction and operation of project that may result in potential physical and biological impacts Activities related to mobilisation, construction and operation of project that could have potential socio- economic impact (positive and negative) Activities related to mobilisation, construction and operation of project that could have potential land use and cultural property impacts 5. OTHER ENVIRONMENTAL AND SOCIAL ISSUES Potential significant risks and hazards associated with the Project (including occupational health and safety). State briefly relevant environmental studies already done and attach copies as appropriate. Impact Category List of activities that may result in potential environmental and social impacts (Use chapter 6 of the Technical Manual to identify potential impacts) Activities related to mobilisation, construction and operation of project that could have potential public health impacts Activities related to mobilisation, construction and operation of project that could have potential occupational health and safety impacts. PART D: PROJECT BRIEF Detailed project brief to be attached. Content of the Project Brief for the Application for an Environmental and Social Impact Assessment Certificate A registered Environmental and Social Impact Assessment Expert is to complete a Project Brief that is attached to Form 1 (the Application for Environmental and Social Impact Assessment Certificate). The Content of the Project Brief will include: 1. Title Page: Name of Project, Proponent and Date 2. Table of Contents: with list of tables, figures and Acronyms where applicable. 96 3. Introduction: brief background to the project, need for the project and structure of the report. 4. Nature of the Project: type of project and main activities of the project during construction, operation and decommissioning phases. 5. Location of the project: actual location, maps, general geographical, biological and socio-economic description of the project area. 6. Design of the project and materials to be used and generated: products and by-products, including waste to be generated by the project and the methods of their disposal. 7. Potential environmental impacts and the mitigation measures to be taken during and after implementation of the project (use chapter 6 and 7 of the Technical Manual for guidance) 8. Potential economic and socio-cultural impacts and the mitigation measures to be taken during and after implementation of the project (use chapter 6 and 7 of the Technical Manual for guidance) 9. A plan for the prevention and management of possible accidents during the project cycle 10. A plan to ensure the health and safety of the workers and neighbouring communities; 11. The project Budget PART E: DECLARATION BY THE PROPONENT I hereby certify that the particulars given above are correct and true to the best of my knowledge and shall provide any additional information that shall come to my notice in the course of processing this application Name: __________________________________________ Position: ___________________________________________ Signature: __________________________________________ Date: _____________________________________________ 97 TEMPLATE No 1: Terms of References for Environmental Impact Assessment (Reference: Chapter 1 and 10) Introduction [State the purpose of the ToRs, identify the development project to be assessed, and explain the executing arrangements for the environmental assessment.] 2. Background Information [Describe the pertinent background. This should include a brief description of the major components of the proposed project, a statement of the need for the project, the objectives it is intended to meet, the implementing agency, a brief history of the project (including alternatives considered), its status and timetable, and a list any associated projects. If there are other projects in progress or planned within the region that may compete for the same resources, they should also be identified here.] 3. Objectives [Summarise the general scope of the environmental assessment and discuss its timing in relation to the project preparation, design, and execution processes.] 4. EIA Requirements [The EIA requirements are determined by the Environmental Assessment and Audit Regulations made under the Environmental Management Act. Identify any other regulations and guidelines that govern the conduct of the assessment or specify the content of the report, including e.g. the following: • International treaties, national laws and/ or regulations and/ or guidelines on environmental reviews and impact assessments; • World Bank Operational Directive (OD) 4.00, Annex A: "Environmental Assessment" and other pertinent ODs, Operational Manuals (OMs), Operational Notices (OPNs), and Guidelines.] 5. Study area [Specify the boundaries of the study area for the assessment (e.g., water catchment area and land use), as well as any adjacent or remote areas that should be considered with respect to specific impacts (temporary infrastructure). The project could have different study areas corresponding to the level of impact.] 6. Scope of work [Define the tasks. In some cases, the tasks to be carried out by a consultant will be known with sufficient certainty to be specified completely in the terms of reference. In other cases, specialised field studies or modelling activities will need to be performed to assess impacts. In that case, the consultant will define particular tasks in more detail after some period of assessment and will submit 98 the detailed scope of work to the contracting agency for approval at a later date. Task 4 in the Scope of Work (below) is an example of the latter.] • • • • • • • • • • • • • 99 • • • • 100 101 7. Reporting [State the reporting requirements] • • • • • • 102 • • • • • • • • • 8. Consulting team [Identify the expertise to include on the EIA team. Environmental assessment requires interdisciplinary analysis. Members of the team could consist of people with the following specialisations: rural sociology (in the case of rural roads); human geography; and/or terrestrial ecology (e.g., wildlife, plant, and conservation ecology). Depending on the location of the project, some issues may have higher priority than others.] 9. Schedule [Specify dates for progress reviews, interim and final reports, and other significant events.] 10. Activity/time schedule [Specify the duration of the assignment and include a time/activity schedule for the assignment.] 11. Other pieces of information [Include here lists of data sources, project background reports and studies, relevant publications, and other items to which the consultant’s attention should be directed.] 12. Quality assurance [Include requirements to the environmental expert’s quality assurance system and procedures, including the nomination of a qualified person who will be responsible for the quality assurance of the standard of work and performance of the vironmental expert.] 103 13. Confidentiality and intellectual property rights [Include conditions on confidentiality and intellectual property rights, as required.] 104 FORM No 2: Screening Checklist (Reference: Chapter 4 and 5) Prime Minister's Office - Regional Administration and Local Government Authority SCREENING CHECKLIST FOR URBAN INFRASTRUCTURE INVESTMENTS A registered expert in the Local Government's Environmental Management Unit is to screen the project brief submitted against the following criteria to determine the significance of the potential impacts and the level of assessment required for the proposed project. PART A: DETERMINING WHETHER TO FOLLOW LGA OR NATIONAL ESIA PROCESSES The Screener is to tick "Yes" or "No" on only one column. If any of the answers is "Yes" under the column to follow the national ESIA process, the project will automatically follow the national or LGA ESIA process. *** to insert final checklist***** Definition of Terms Sensitive Areas (ESIA regulations, Vulnerable groups Indigenous groups 2005)  Widows To be defined from Dr Environmental sensitive areas:  Children Mvungi's report national park, wetland, productive  People with disabilities agricultural land,  Elderly archaeological/historical/cultural  Dependents on a natural site, protected area, areas resource for income e.g. containing rare or endangered flora fishers, miners or fauna, areas containing unique or outstanding scenery, mountains or developments on or near steep hill- slopes, dry tropical forests, near Lakes or beaches, damage to wildlife and natural habitats, prime ground-water re-charge areas or areas of importance for surface run off of water, areas vulnerable to natural hazards e.g flooding, landslides, tsunami, etc. Social Sensitive areas: area providing important resources, livelihood or income for vulnerable groups and indigenous peoples; area that will displace significant numbers of people, families or communities. Economic Sensitive Areas: high 105 population concentrations or industrial activities where further development could create significant environmental problems PART B: DETERMINING WHETHER ESIA IS REQUIRED OR NOT AT THE LGA The Screener is to refer to chapter 6 (sections 6.3) on impact identification to guide them in completing this section. The Screener is to tick "Yes" or "No" for each question. The project has to score "Yes" for all the following questions for the Screener to determine that an ESIA is not required. *** to insert final checklist***** PART C: DETERMINING WHETHER THE PROJECT WILL UNDERGO A PRELIMINARY OR FULL ESIA FOLLOWING THE LGA ESIA PROCESS *** to insert final checklist***** Screening Results Form Name of infrastructure project Implementing ULGA department Sub-Project Location Mtaa: Ward: Town: Municipality: Screening Results Final scores to determine whether sub- project follows national or LGA ESIA process. Final Score to determine if an ESIA is required or not Final score to determine whether sub- project undergoes a PEA or full ESIA process Responsible EMU staff: Name: Title: Phone Number: Email: 106 Signature: 107 TEMPLATE No 2: Environmental and Social Management Plan (Reference: Chapter 7) Anticipated Effect Mitigation Measure(s) Monitoring Responsibility Schedule Cost and Source of Funds Environmental impacts Socio-economic impacts 108 TEMPLATE NO 3: RAP Implementation Schedule (Reference: Chapter 8) [RAP team to add more rows and columns to the various actions to be undertaken and months for the timeframe as applicable. The month (s) a particular action is to be implemented is highlighted by shading it a colour or by an "X"] No Action Time frame Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec 1 RAP Implementation 1.1 Awareness raising meeting 1.2 Mobilisation 1.3 Preparation of plots for resettlement 1.4 Compensation payments 1.5 Addressing Grievances and Dispute Resolution 1.6 Monitoring of RAP implementation 2 Procurement of Contractor 2.1 Etc 2.2 etc 3 Construction Works 3.1 etc 3.2 etc 3.2 etc 109 TEMPLATE NO 4: Table of cost/budget estimates for RAP (Reference: Chapter 8) Resettlement Unit cost Quantity Contigency Activity Cost Source of fund Responsibility Timeline/Deadlines Activity (inflation. population Planning (RAP) growth,etc)  Public awareness  Socio- economic study  household survey  etc…… Implementation  Compensation costs  Resettlement sites  Etc……  Management & administration,  Monitoring & evaluation TOTAL COST 110 TEMPLATE NO 5: Grievance Record Form (Reference: Chapter 8) No PAP Ref. PAP Detail of Responsible ULGA Grievance solution Date Grievance forwarded to? Date No name grievance staff grievance forwarded resolved 111 Form No 3: EIA Certificate Form (Reference: Chapter 9) Based on an approved EIS, the Minister Responsible for the Environment or any other person delegated by the Minister will issue an EIA certificate following Form no. 3 in schedule 3 of the Environmental Assessment and Audit Regulations, 2005 Application Reference No…………………………… Registration No………………………………………. FOR OFFICIAL USE THE ENVIRONMENTAL MANAGEMENT ACT, 2004 ENVIRONMENTAL IMPACT ASSESSEMENT CERTIFICATE This is to certify that Ms ………………………………………………………………………………………………………… ………………………………………………………………………………………………………… ………………………………………………..of address………………………………………………………………………………………………… …………………………………………………………………….has this day been granted an Environmental Impact Assessment Certificate for the proposed project/activity titled: ………………………………………………………………………………………………………… ……………………………………………………………………Which is located at ………………………………………………………………………………………………………… ………………………………………………………………….. This certificate shall remain in force during the whole lifecycle of this specific project unless henceforth revoked or suspended. General and specific conditions and terms attached to this certificate are set out overleaf. ………………………………………………………………………………………. Dated this………………….day ………of 20………. Signature………………………………………….. Minister Responsible for Environment. (OR Title of person delegated by the Minister) 112 Conditions of certificate 1. This certificate is valid for a period of ……………………. time within which the project should commence) from the date thereof. 2. The Minister shall be notified of any transfer/variation/surrender of this certificate. 3. Observe all relevant national policies and legislation that guide this specific project throughout its life cycle. 4. Ensure safe disposal of all types of wastes (solid or liquid) in specified sites. 5. Ensure environmental sustainability by avoiding any form of pollution by using most viable management techniques. 6. Adhere to the Environmental Management Plan (EMP) and Monitoring Plan (MP) and constantly improve and update them by taking into account any new developments. 7. Constantly liaise with relevant authorities and consult stakeholders including local communities in case of any new development or changes as regards to implementation of your project plan or activities 8. Adhere to all proposed mitigation measures as specified in the Environmental Management Plan contained in the Environmental Impact Statement. 9. Abide to all national social and environmental safeguard policies and standards and strive to maintain and constantly improve standards. 10. Prepare an Emergency and Contingency plan and put in place risk and safety measures. 11. Conduct periodic Environmental Audits and facilitate monitoring by relevant authorities. 12. Design and implement an internal Environmental and Safety Policy and Awareness Programme. 13. Prepare Annual Environmental Reports and any other reports requested by competent authorities and the government. 14. Obtain all other relevant permits. 113 TEMPLATE NO 6: Environmental and Social Monitoring Plan (Reference: Chapter 10) Potential impact Proposed mitigation Monitoring Target Monitoring Status Comments measure Parameter level/Standard frequency Environmental impacts Socio-economic impacts Public health and safety impacts 114 TEMPLATE NO 7: ESMP Compliance Record (Reference: Chapter 10) Activity / Impact Proposed Mitigation Previous Compliance Status Current Compliance Remarks Action to be taken and by Measures from Original (insert period last monitored Status whom ESMP e.g. July-Sept)) (insert period for current monitoring e.g. Oct-Dec) E.g Dust / Air E.g. The exposed surface area 3 1 Problem of lack of sufficient Pollution must be watered 2 times a day water when last monitored solved. Source: Adapted & (slightly altered) from Environmental Management Guideline for Road Sector (2004). 1. Activity Comply with Specification 2. Not at a stage of compliance 3. Does not comply with Specification 4. Does not apply 115 PART IV: MANUAL IMPLEMENTATION 116 12 CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE Objective of this chapter is to delineate capacity building, training, and technical assistance required for each ULGA under ULGSP to effectively implement this ESM Manual. As reiterated in chapter 4, to become qualified for the tasks in the LGA-specific ESMS, the LGA officials and other actors need to receive training. This chapter firstly looks at the institutional needs to implement the manual. This is presented by summarising institutional gaps identified for Environmental and Social Management (ESM), followed by recommendations to strengthen the gaps. The chapter secondly presents an approach for training various actors to build individual capacities to implement the manual. Lastly a budget template is presented that can be used to prepare a budget required to provide capacity building, training and Technical Assistance (TA) 12.1 Institutional Capacity Building An Environmental and Social Systems Analysis conducted in preparation for the ULGSP revealed the following institutional gaps in terms of structure, legislature, human resources and budgetary resources: A. Structure i. ULGAs do not have fully fledged department/Unit responsible for ESM for infrastructure projects ii. Insufficient coordination between staff involved in ESM and overall project development and planning. iii. NEMC Zonal offices are underutilised due to lack of staff and have insufficient budgets and equipment to give the ULGAs technical guidance or to conduct monitoring. iv. The officer for physical planning at regional level, who is also responsible for environmental issues, does not have resources to offer technical guidance and monitor the ESIA activities in the ULGAs. v. Zonal offices for the ministry responsible for land and resettlement have only began to be established with staff to easily provide services to ULGAs. vi. Occupational health and safety not regularly enforced and monitored by ULGA staff, rather dependant on Contractor Registration Board. vii. Information disclosure of ESIA documents and public participation in ESM is weak therefore little awareness or involvement of ULGA standing committees, Full Council and the general public in ESM. B. Legislature i. Environmental and Social management is still centralised: ESIA work is carried out by NEMC and approvals at the Ministry responsible for the Environment45. ii. No resettlement policy for Tanzania exists that considers land users or occupiers (i.e. tenants, squatters, mobile vendors, hawkers and encroachers) and that provides for livelihood restoration. 45 Vice-President's Office-Division of Environment (VPO-DoE) 117 iii. Centralised process: Land valuation reports are all approved by the Chief government Valuer at the Ministry responsible for Land46. iv. Not all ULGAs have effective by-laws that can assist them to enforce Environmental Management Act (EMA) and other requirements C. Human resources i. No all ULGAs have EMOs (or other sectoral staff) who are trained or experienced in environmental and social management with respect to infrastructure development. ii. Registered Valuers are not present in all ULGAs and not all valuers have experience in World Bank funded projects to understand the gaps between Tanzanian legislation and World Bank policies. iii. Though EMOs now have a budget code in the scheme of service, the employment of staff at LGAs is still centralised D. Budgetary Resources i. Lack of sufficient ULGA budget resources from own source revenue collections to pay compensations timely. ii. Budgetary resources: funds rarely flow or are inadequate to carry out ESM functions in LGAs 12.1.1 Recommendations Based on the above mentioned gaps, institutional strengthening recommendations are presented in terms of structure, legislature, human resources and budgetary resources. A. The institutional structure for environmental and social management LGAs- specific ESMS requires 2 linked institutional structures to address environmental and social management issues (and implement sub-projects’ ESMP/RAP where applicable) i. The national institutional structure and its authorities at all relevant levels The LGA –specific ESMS does not propose a new institutional structure. If a project has been identified through screening to follow the National ESIA process, the Registration Form and Project Brief are to be submitted to NEMC via the regional secretariat and NEMC zonal offices. NEMC would procure relevant experts to carry out the ESIA, review the report and submit it for approval to the Director of Environment for approval by the Minister (Fig 2 below). PMO RALG and other sector ministries would be involved to submit comments on the ESIA for approval. 46 Ministry of Lands Housing and Human Settlement Development ( MLHHSD) 118 ULGA IPS ULGA ESMU Regional Secretariat NEMC Zonal Office NEMC Head Office for review Sector Ministry Director for Environment PMO RALG Environment Unit for Decision Minister for Environment to issue certificate Figure 2. Institutions in the National ESIA process However the zonal and regional offices need to be strengthened by:  Increasing the staff base to have a team with multi-sectoral staff that either have an educational background or have had training in Environmental Management.  Improving their basic equipment such as vehicles for travelling for monitoring, computers for report writing and record keeping, basic water and air quality measuring equipments.  Allocating more funds for the implementation and enforcement of EMA to the regional and zonal offices.  Involving the ULGAs ESM by giving them more implementation and supervisory responsibilities to complement the gaps (Box 11-4 below). Box 12-1 Proposed ULGA involvement for national ESIA process Application for  Submission of 3 copies of Registration form and 10 copies of ESIA certificate project brief to NEMC Procurement of  Preparing the Terms of Reference for ESIA work and procuring experts expert(s) from NEMC's list of registered experts Reporting  Reviewing reports produced by external expert before submission to NEMC Public  Facilitate external experts conducting ESIA or RAP in consulting participation local residents, institutions etc.  Publicise the project to community and make available documents for public comment  Disclosure of reports and plans after approval Review of ESIS  part of cross-sectoral technical advisory committee to advise it on for decision reviews of environmental impact assessment related reports  Facilitate any site visits done by NEMC Monitoring  Monitoring the implementation and performance of the ESMP during project implementation 119 ii. The Urban LGA institutional structure The LGA-specific ESMS proposes a new institutional structure if a project has been identified through screening to follow the LGA ESIA process. The ESMS requires for a specific Infrastructure Proponent Section to be identified for each project e.g. sector engineer who submits the Registration Form and Project Brief are to be submitted to the ESMU. The ESMU then coordinates the review of ESIA and RAP documents that are submitted with recommendations to the Council Urban Planning and Environment Committee for a decision of approval and the DAS to issue a certificate. The ESMU is suggested so as to establish a central point where ESM issues are handled, rather than each ULGA designate these responsibilities to different departments. The ESMU is to be anchored in the Economic Planning Department until each ULGA is able to increase their staff base and competency to have the unit to stand independently. IPS Economic Planning Department ESMU PMO RALG Council Urban Planning and Environment Committee District Administrative Secretary Figure 3. Institutional structure for LGA ESIA process B. Existing laws, policies and regulations for environmental and social management (including administering permits and licenses) LGA- specific ESMS does not propose any changes to policy or legislation with respect to environmental management, rather it supports the provisions in the Acts. More specifically: i. The ESMS requires the delegation of powers to the LGA. This is provided for in Section 94 of the EMA that empowers the Minister to delegate powers of approval of Environmental Impact Statements to the Director of Environment, Local Government Authorities or to Sector Ministries. The person delegated by the Minister will approve the RAP47. It is recommended that PMO RALG initiates a dialogue with NEMC and the Minister Responsible for Environment to implement the delegation of powers. ii. The establishment or strengthening of ULGA by-laws for ESM. This is provided for in Section 80 of the Local Government Urban Authorities Act that requires for every urban authority to make by- laws to implement the Act and any function described in the Act or any other written law. It is recommended that ULGAs with existing by-laws that emulate ESM principles and 47 The valuation report which forms part of the RAP will still be approved by the Chief Government Valuer. There are currently no legislative provisions for the approval of the valuation report to be delegated to LGAs. 120 practices in this manual to be used as trainers for other ULGAs to prepare of strengthen their by-laws. The LGA- specific ESMS follows the World Bank principles for land acquisition, resettlement and compensation, for which the national legislation does not complement on all aspects. It was however noted during consultations with MLHHSD that the preparation of a Resettlement Policy has been initiated that will consider World Bank practices. It is recommended that PMO RALG is involved in the development of the policy by contacting the MLHHSD to offer their experience and knowledge in the World Bank Resettlement Policy and RAPs from TSCP and UDEM. (b) Human Resource Capacity For each ULGA the following are numbers and qualifications of staff to carry out EMS responsibilities and have relevant knowledge and experience to carry out environmental analyses and designing mitigation measures for UPG infrastructure Actor in the Responsible Number Qualifications Other requirements ULGA ESMS staff Infrastructure Engineer? or Vary depending  Degree in relevant sector Trained in ESMS Proponent Economic on sector e.g  Trained in project Department / Planner? water, roads, management Section waste, etc Environmental & EMO Minimum 1  Degree in Environmental  Trained in ESMS Social Management/ Geography  Registered Expert Management Unit and Environmental under NEMC 48 Studies….  If degree or diploma in other relevant field (Ecology, Natural Resource Assessment, Development Studies) then has to have attended course on ESIA Sociologist Minimum 1  Degree in Sociology/  Trained in ESMS Development Studies…49  Registered Expert under NEMC Other opted staff Vary depending  Vary depending on nature  Trained in ESMS e.g. health, on nature of of project  Registered Expert planner, etc project and EMO's under NEMC need to get specialist input Environmental Sector specialist 1  Degree in engineering in Registered Expert under Assessment (i.e. Engineer) relevant sector NEMC Team Ecologists/Natur 1  Degree/Diploma in Registered Expert under al Resource Ecology/ Natural Resource NEMC specialist Management/ forestry…  Attended course on ESIA (either in degree or short courses) Sociologist 1  Educational Background Registered Expert under (Degree/diploma) in NEMC Sociology/ Development Studies…  Attended course on ESIA (either in degree or short courses) 48 To add other degrees offered that have ESIA or ESM component 49 ibid 121 Other common Will vary  Education background Registered Expert under specialists depending on (degree/diploma) in NEMC include nature and size of specialised sector Environmental project  Attended course on ESIA Engineer, Health (either in degree or short and Safety courses) Specialist, Land/Urban Planner RAP Team Land officer 1  Degree in Land Use  Trained in LGA Management/Urban ESMS Planning/ Development  Trained in RAP Planning Surveyor 1  Degree in Land Use  Trained in LGA Management/Urban ESMS Planning/ Development  Trained in RAP Planning Valuer 1  Degree in Land Valuation  Registered Valuer under Ministry of Lands  Trained in LGA ESMS  Trained in RAP CDO 1  Degree/Diploma in  Registered Expert Community under NEMC Development/Social  Trained in LGA Development ESMS  Trained in RAP Review Team for Council Urban 1 committee  Elected leaders and ULGA Trained in LGA ESMS Decision Planning and staff appointed to the Environment committee Committees  Representatives Councilors, Vary depending  Elected community leaders  Trained in LGA and community WEOs, MEOs on ULGA and ESMS leaders CSOs number of wards/mtaa involved in RAP Service Providers External experts Will vary  Registered Expert or firm  Aware of LGA ESMS in ESIA, RAP depending on of experts under NEMC and other sector ULGA's need specialists Contractors Will vary  Registered by Contractors  Aware of LGA ESMS depending on Registration Board ULGA's need (c) Budgetary resources to support the staff in their work Apart from ULGAs strengthening own source revenue collections, they need to be supported by PMO RALG to ensure that adequate budgets for ESM are allocated and reach ULGAs, and funding opportunities are availed to the ULGAs. The following sources of funds are currently available for ULGAs: i. LGDG system: Council Development Grants (CDG) that aims at enabling LGAs to implement projects formulated in a participatory bottom-up planning approach and Capacity Building Grants (CBG) is provided to enable LGAs to meet the costs of interventions that will enhance their performance. ii. ULGSP capacity building funds *** PMO RALG and WB to advise on any other donor resources available specifically for LGAs*** 122 12.1.2 Institutional Development plan Aspect Action Party Responsible Timeframe Cost (TBD by PMO RALG) Structure Introducing the LGA ESMS to PMO RALG Before ULGSP relevant staff/units/committees implementation Constituting the IPS ULGAs and PMO Before ULGSP RALG implementation and throughout Year 1 Constituting the IPS ULGAs and PMO Before ULGSP RALG implementation and throughout Year 1 Policies/ Meeting with NEMC, MLHSSD PMO RALG Before ULGSP legislation and VPO-DoE to present the implementation LGA ESMS Delegation of powers to LGAs PMO RALG Before ULGSP implementation Development/strengthening of ULGAs Year 1 of ULGSP by-laws Consultation with MLHSSD on PMO RALG  Before ULGSP implementation progress of Resettlement  Year 1 of ULGSP Policy Human Staffing – hiring relevant staff PMO RALG Before ULGSP Resources implementation and throughout ULGSP where applicable Staffing- training relevant staff PMO RALG and Before ULGSP external trainers implementation and throughout ULGSP where applicable Budgetary Capacity Building and World Bank and PMO resources Development Grants to RALG ULGAs 12.2 Training The following training and TA needs for the various participants involved in implementing the ESMM have been identified and a proposed training plan is presented. 12.2.1 Training Objectives The objective of the training under the ESMM is to:  support staff of the various urban LGA departments and sections relevant to infrastructure (IPS) supported under ULGSP to prioritise their needs, and to identify, prepare, implement and manage the environmental and social aspects of their subprojects; 123  ensure that LGA ESMU and Environmental Assessment Team and have the capacity to assist Sector Departments (IPS) in preparing their subproject proposals, and to appraise, approve and supervise the implementation of subprojects; and  strengthen local Service Providers to provide technical support (including ESMPs, RAPs) to LGA Environmental Assessment Team in preparing their subprojects. 12.2.2 Training Needs Assessment As part of ULGSP Project preparation, a Training Needs Assessment (TNA) and training effectiveness needs to be carried out. The TNA will consider all participants (LGA staff, representatives and community leaders who will have responsibilities for implementing the ESMM. The needs assessment will distinguish among their different skills development / training needs in terms of:  Awareness-raising for representatives and community leaders who need to appreciate the significance or relevance of environmental and social issues.  Sensitisation to the issues for approval authorities who need to be familiar enough with the issues that they can make informed and specific requests for technical assistance; and  Detailed technical training for LGA Sector staff and Impact Assessment Teams, who will need to analyze potentially adverse environmental and social impacts, to prescribe mitigation approaches and measures, and to prepare and supervise the implementation of management plans (including community participation methods; environmental analysis; preparing ESMPs, RAPs, etc.; reporting; and subproject supervision and monitoring). Training Requirements for Various Groups of and RAP Teams and Community Leaders/ Approval Authorities Impact Assessment LGA ESMS Government Workers EMSU IPS Linkages between environmental and social T T T S A management and sustainable urban development Local EA legislation and relevant environmental T T T S A policies Potential localized impacts of subprojects and T T T S A suitable mitigation measures Addressing and land acquisition and access to T T T S A resources through resettlement planning and compensation Environmental and social planning and integration in T S S A S project design. The LGA ESM System, its procedures, resources T T T T S and requirements Methods of community involvement T T T S A Grievance Redress T T T T S Preparation of Terms of Reference T T S S A Legend: T = Detailed training, S = Sensitisation to the issues (understanding key issues), A = Awareness-raising (appreciation) 124 12.2.3 Training Plan The following training plan distinguishes among the various participants (e.g. LGA officials, community leaders (Councillors), and between their needs for general awareness raising versus and more specific training. The training plan includes:  Detailed workshops to address the key training needs,  Review workshops to assess the performance of staff and the ESMS and identify additional training/capacity building needs  Refresher training workshops to update the staff on any new aspects in the ESMS and remind of key issues. The review and refresher workshops have been suggested annually to also accommodate for staff turnover in the ULGAs. In addition training materials to be provided should be detailed enough to allow for training-of- trainers (TOT) components i.e. trained staff in the ULGAs can train other staff depending on the needs. Outline of a Training Plan for the various groups in the LGA ESMS Participants Duration and Format Frequency IPS and ESMU 5-day workshop Year1 of the Project 1-day ESMS review workshop Annually after Year 1 and Annual Reviews 2-day refresher workshop Annually after Year 1 Impact Assessment and 5-day workshop Year 1of the Project RAP Teams 1-day ESMS review workshop Annually after Year 1 and Annual Reviews 2-day refresher workshop Annually after Year 1 Local government 1- day workshop Year 1 of the Project approval authorities ½-day refresher workshop After Year 1 as needed Community leaders 1-day workshop As needed throughout the (Councillors, WEO, MEO) project 12.2.4 Technical assistance (service providers) Technical Assistance by external service providers is proposed specifically to 1. Provide on-job training/job-shadow opportunities to LGA staff 2. Update the manual or provide further guidelines for the various groups in the ESMS:  ESMU: Project screening, review, monitoring  IPS: Registration/application, integrating into project design,  LGA Environmental Assessment Team: Impact identification and mitigation, reporting, sub- project guidance  RAP Team: preparing and implementing RAP, relocation and livelihood restoration activities, monitoring and reporting 125 12.3 Budgets and expenditures Template Table 18 overleaf, adopted from the World Bank's Environmental and Social Management Framework, can be used to identify and plan expenditures related to institutional development and training. 126 Table 18. Example of implementation budget for a Five-Year Project Implementation budget for a Five-Year Project (insert currency) Activity Year Total Notes 1 2 3 4 5 Institutional Capacity Building The institutional structure laws, policies and regulations Human Resource Capacity Budgetary resources Training IPS and ESMU Impact Assessment and RAP Teams Local government approval authorities Community Representatives Technical Assistance Updating guidelines for specific groups On job training and job shadows Allowances Annual Reviews 127 GLOSSARY OF TERMS *** to keep updating*** Abattoir A slaughter house designed for the purpose of killing animals, skinning, dressing and cutting up of carcass, wrapping for sale for human consumption with cooler and freezer storage and includes indoor confinement of animals while awaiting slaughter but shall not include any cooking or process related to processing plants such as smoking, curing or the manufacturing of meat by-products or any process related to rendering plants such as the manufacture of tallow, grease, glue, fertilizer or any other inedible product. Compensation: Payment in cash or in kind for an asset or resource that needs to be acquired for the purposes of the project, or is in some way affected by the project. Land clearing Includes tree felling and stump removal works carried out for soil occupation and ground development on land previously covered with woody vegetation. Monitoring Following on activities during mobilisation, construction, and operational phases of project implementation to ensure that the proposed mitigation measures are implemented as required and that project impacts are not greater than those predicted in the impact assessment. Physical displacement: The actual physical relocation of people resulting in loss of shelter productive assets or access to productive assets. Project Affected Person (PAP) A person or institution who loses his/her/their right to own, use or benefit from a structure, property, house, land, crops, trees or any other fixed or moveable assets as a result of the project. This loss may affect an asset in part or in full, and it may be temporary or permanent. Resettlement: A term used to describe the process of physical displacement of project affected persons and properties in order to re-establish lifestyles and livelihoods.  Rural resettlement results when part or all of a farm, pasture or grazing area is to be acquired for the project. In this case the RAP has to address the issue how loss of income due to the loss of assets can be restored.  Urban resettlement occurs when populations in urban and peri-urban areas are physically or economically displaced. Urban resettlement poses more problems because of a general lack of alternative sites for relocation.  Linear resettlement is most common type of resettlement associated with road projects. In urban areas where 128 settlement is dense and located very close to the road or within the construction corridor, upgrading of a road may necessitate the demolition of a large number of houses and structures.  Site specific resettlement refers to a discrete non-linear site that must be acquired for the project. Resettlement Action Plan (RAP) A plan prepared as part of an EIA process to address the issues of involuntary resettlement, compensations and rehabilitation of people and communities affected by a project. It outlines the proposed resettlement, its impacts on the Project Affected Persons and their entitlements and legal issues involved in resettlement. Stump removal Consists of removing stumps to a minimum depth of 300 mm below the surface. Tree felling Consists of entirely removing trees of all dimensions, solitary or not, shrubs, branches, undergrowth, and deadwood Grading Modifying the topography of the ground to give it a form corresponding to the geometrical characteristics of the planned road 129 REFERENCES Reports GOLD, 1999. Improving Dumpsite Operations with Limited Budget. The Local Governance Technical Notes Series by the Governance and Local Democracy (GOLD) Project-USAID. Joseph K and Visvanathan, C., undated. Dumpsite Rehabilitation. www.faculty.ait.ac.th Manuals and Guidelines Environmental Code of Practice for Road Works, 2009, Ministry of Infrastrcuture Development, Government of Tanzania. Farmers Market Guidelines, 2009. Manitoba Agriculture Food and Rural Initiatives. www.gov.mb.ca/health/publichealth/environmentalhealth/index.html Retail Markets Planning Guide, 1995. Rural Infrastructure and Agro-Industries Division, Food and Agriculture Organisation of the United Nations. http://www.fao.org/ag/ags/rural-infrastructure/market- infrastructure-and-management/en/ Road Sector Environmental Assessment and Mangement Guidelines, 2011, Ministry of Works, Government of Tanzania Solid Waste Management Manual: Pilot Development Strategy. The Tanzania Sanitation Project. www.tanzaniasanitation.org Training Modules: Closing of an Open Dumpsite and Shifting from Open Dumping to Controlled Dumping and to Sanitary Landfilling. UNEP-IETC and the Department of Environment and Natural Resources (DENR) of the Philippines. Wholesale Markets Planning and Design Manual, 1991. Rural Infrastructure and Agro-Industries Division, Food and Agriculture Organisation of the United Nations. http://www.fao.org/ag/ags/rural- infrastructure/market-infrastructure-and-management/en/ World Bank References World Bank Environmental and Social Management framework Template World Bank Resettlement Policy Framework World Bank Operational Manual. http://go.worldbank.org/DZDZ9038D0 130 IFC References (www.ifc.org/enviro) Handbook for Preparing a Resettlement Action Plan. IFC Environment and Social Development Department Environmental, Health and Safety General Guidelines. IFC Environment and Social Development Department 131 APPENDIX A: Detailed Legislative Requirements All sub-projects that will be implemented under LGA shall comply with relevant national environmental and social management requirements as well as the World Bank Safeguards Policies applicable to UPG and its infrastructure sub-projects. These provide enabling environment within which the Manual will be developed and will be used. In recognition of the importance of natural resources to Tanzania economy and way of life, the country has a comprehensive body of environmental law. The detail of the law is contained in a number of important Acts and Regulations, many of which have been recently promulgated as older laws in the country are being revised to reflect the relatively new privatization policy and following the general global trend for greater focus on environmental protection, particularly in relation to natural resources utilization and loss of biodiversity; and to energy production and global warming. The environmental legislation has, to date, been limited in effectiveness by the lack of traditional judicial intervention to address environmental issues. Infrastructure investments under the UPG programme may be established in all sectors of economy. As such several sectoral legislations will have bearing on the development and operations of the individual project. The majority of the sectoral legislations require the project proponent to respect the environmental integrity and recommend that environmental impacts should be carried out in order to achieve that. The following are considered to be the principal Acts that need to guide the LGAs presented under 5 main headings: 1. Framework Policies and Legislation 2. Land and Land Use Laws 3. Other Relevant Environmental and Social Laws 4. Urban Local Government 5. Laws Relevant to Infrastructure Development 1. FRAMEWORK POLICIES AND LEGISLATION Environmental management and governance in Tanzania is underpinned by several key legislations that provide the framework for more detailed regulatory instruments. The below are the key framework Acts: 1. The Constitution of the United Republic of Tanzania, of 1977 2. National Environmental Policy (1997) 3. Environmental Management Act, Cap 191 4. Registration of Environmental Experts Regulations, 2005 5. The Environmental Impact Assessment and Audit Regulations, 2005, 132 The Constitution of the United The Constitution does not have a specific Article which defends the right to clean and safe environment directly, but there are Articles which can be construed to fit the Republic of Tanzania of 1977 scenario. The constitution has irrevocable provisions for the rights for a person to own property, for its protection and to fair and adequate compensation when deprived (Cap 2 of the laws) of the property This revised edition of the Constitution of United Republic of Tanzania of 1977 incorporates and consolidates all amendments made therein by the Constituent Assembly in 1977 up to 31st December 2008, and it is printed and published under section 4 of the Law Revision Act, chapter 4.). The constitution is the mother law in the sense that all laws should get legitimacy from it. It is the supreme law in such that all other laws must not be construed to be held to be repugnant or inconsistent with its provisions and principles. It is the tool that guarantees basic rights and ensuring that all human rights are preserved and that the duties of every person are faithfully discharged. Section Applicability Article 13 (1): All persons are  Though it is not directly promulgated in the constitution in respect of environment, any aggrieved person on issues related to environment can take the matter before equal before the law and are the law entitled, without any discrimination, to protection and equality before the law Article 13: Equality before the Law Article 14: Right to Life  By revealing that every person has the right to live and to the protection of his life by the society in accordance with the law. Then a person has right to safe environment. Article 18: Freedom of Expression  Article 18 on Freedom of Expression is a broad concept that may be construed to encompass freedom of expression on all matters related to the environment. (Article 18(a), (b), (d)  Article 18 (b): Every person has a freedom of opinion and expression of his ideas.  Article 18 (b): Every person has a right to seek, receive and, or disseminate information regardless of national boundaries.  Article18 (d): Every person has a right to be informed at all times of various important events of life and activities of the people and also of issues of importance to the society. Article 24: The Right to Own  Article 24(1): Every person is entitled to own property, and has a right to the protection of his property held in accordance with the law. Property  Article 24 (2): Subject to provisions of (1) it is unlawful for any person to be deprived of his property for the purpose of nationalization or any other purposes without  Article 24(1): Entitlement to own the authority which makes provisions for fair and adequate compensation property  Article 24 (2): Compensation to person deprived of property. Authority  Ministry of Ministry of Justice and Constitution Affairs 133 The National Environmental The NEP recognizes investments as the major source of income and employment in Tanzania but also source of environmental challenges. Paragraph 62 states that Policy (1997) “…. As a means of exploiting resources, direction of investment and orientation of technological development shall be in harmony and enhance both the current and future potential to satisfy human needs and aspirations". NEP recognizes Environmental Impact Assessment as a strategic tool to achieve that and directs the establishment of a legal regime requiring EIA to be mandatory for all development projects. Section Applicability      Authority  Ministry responsible for Environment (Vice-President’s Office- Division of Environment) 134 The National Environmental The Act was enacted with a view of providing for legal and institutional management of environment. It provides basics for implementation of the National Management Act Cap 191 (2004) Environmental Policy. It further outlines principles and best practices for management of environment, impact and risk assessment, environmental quality standards, public participation, compliance and enforcement. The Acts outlines rights, duties, and powers to individuals and institutions at all administrative levels. It repealed the National Environment Management Act, 1983 to provide for continued existence of the National Environmental Management Council. EMA provides for establishment/or delegation to officers and committees at urban LGAs for environmental management within area of jurisdiction and provides for other environment related matters. Section Applicability Rights and Duties Section 4(1): Every person living  Every person has the right to live in an environment not detrimental to his/her health and safety and livelihood in Tanzania shall have a right to  Section 4: A person whose rights is violated, or being threatened to seek remedy, to prevent, stop or compel any public officer take measure against such violation clean, safe and healthy environment Section 5: Right to bring an action  Sub-section (5(2): directs that on-going activity or omission be subjected to an environmental audit or monitoring; on environment:  Sub-section (5)(2)(e): directs restoration of degraded area to original state;  Sub-section (5)(2)(f): directs compensation for victims of harm or omission and lost benefits as a result of an activity.  Sub-section (5)(3): outlines the principles of environment and sustainable development to guide Administrators of Justice including: Precautionary Principle, Polluter Pays Principle etc. Section 6. Duty to protect the  Duty to every person to safeguard, enhance and to report harm to the environment. environment  Section 9: Promotion of the  Obligation to all (including LGAs) to have regard and promote the National Environmental Policy. National Environmental Policy Administration and institutional arrangement  Section 11 through to Section The Act provide for administration and institutional arrangements for environmental management in the country by putting clear all bodies responsible for environment 41 from national level to local level (Details see section 3.4 of this Manual)  Section 42- Environmental  Requires the Local Government Authorities to prepare Environmental Action Plan that conforms to the National Environmental Plan and has involved the public. Action Plans Protection of environmentally sensitive areas and habitats Part V (a) and (b):  Provides for area of land which is ecologically fragile or sensitive to be declared as an Environmental Protected Area taking into consideration: natural features, flora Environmental Protected Areas and fauna, unique of special geographical, physiographical, ecological, biodiversity, scientific, historical and cultural features, interests of the community I or around the area, interests of the public and compliance to any international agreements Part V (c): Sections 50 to 79  The Act outlines environmentally sensitive areas and habitats that require special attention. these include: areas declared by the LGA, swamps, erosion prone area, Conservation and Protection landslide areas, steep slopes, semi-arid land, areas closed by Minister for specific activities, rivers, river banks, lake, lakeshores, wetland, environmentally sensitive, coastal shorelines, land declared by an LGA,  The act provide actions for management of dangerous materials and processes, hazardous chemical and pesticides, persistent organic pollutants, atmosphere and climate change, land utilization / use and planning, energy conservation, discharge of sewage, and cleaner production and sustainable consumption of goods and services.  (Details see specific sections … of this Manual) Environmental impact assessment and other assessments Section 81: Obligation to Directs Developers to subject (at own cost) all new development projects and initiatives (including projects funded by the Government) to EIA study. undertake EIA It is an offence to commence, finance, permit or license a project without EIA certificate (Section 81(2 – 4). Sections 83 - 94: EIA process  Section 83 EIA conducted by registered experts: a person or firm offering services to undertake environmental assessments must be registered and certified by the including screening, assessment, Registrar at NEMC. review and approval  Section 84 Determination of scope of the EIS by NEMC in consultation with Developer.  Section 87 - 90 Review of EIS: Require site inspection during review, participation of a Cross-Sectoral Technical Advisory Committee, the public, and public hearing 135 and information disclosure.  Section 92: Approval / disapproval of EIS by Minister  Section 94 Empowers the Minister to delegate powers of approval of EIS to Director of Environment, Local Government Authorities or to Sector Ministries.  Section 95 Appeals to Environmental Appeals Tribunal on approval / disapproval of EIS by Minister Section 97 Minimum Conditions: Confers the power to the Council to conduct, afresh an EIA study at any time. Non compliance can lead to revocation of an on-going Sections 97 - 98: Conditions & project/activity or fine or both. offences Sections 100 – 102: Audits &  Section 100:Requirements for undertaking Audit for existing development projects  Section 101: Requirements for Monitoring for compliance monitoring  Section 102:Requirements for undertaking decommissioning and site rehabilitation Management of wastes and hazardous substances This part stipulates acts that are prohibited e.g. water pollution, discharge of hazardous materials and chemicals. Part VIII: Pollution prevention and control. The sections deals with management of all forms of wastes Part IX: Sections 114, 120, 123, 130 and 133 Solid, litter, liquid, gaseous and hazardous wastes respectively. Part X:Environmental Quality Standards Part XIV: Public Participation in Environmental Decision making Part XV: International Agreements Part XVI: Compliance and Enforcement Authority  Ministry responsible for Environment (Vice-President’s Office- Division of Environment)  National Environment Management Council 136 Environmental (Registration of Environmental Experts) Regulations, 2005 Section Applicability Regulation 14 - 17; 22 - 24 :  Regulation 14 prohibits any person to conduct an environmental impact assessment, audit or related studies unless the person is certified /registered; otherwise the Registration & Certification Council shall not deliberate on such study, statement or audit (Regulation 15 (1)) or project brief (Regulation 15 (2))  Regulation 17 requires qualifications to include: First degree or equivalent in relevant discipline awarded by recognized University or institution; three referees; no professional or disciplinary offense.  Regulation 24(2) allow registered person to use in any communication the title “ Certified Environmental Assessor� or “ Certified Environmental Auditor�  Regulation 26(1) Firms registered under other laws apply as consulting Firm of Environmental Experts comprised of a multi-diciplinary team (Regulation 24(4). Regulation: 5 - 13 & 22 – 23:  Regulation 5 - 13: the Committee of Environmental Experts established to advise the Council on registration, practice, and conduct of Environmental Impact Authorities Assessors and Environmental Auditors; professional standards, ethics and integrity.  Regulation 22 - 23: Registrar of Environmental Experts: designated or appointed Staff of the Council to maintain Register (names, certificates, renewals) Authority  National Environment Management Council 137 Environmental Impact The Regulations have been promulgated as response to implementation of the Environmental Management Act Cap 191 as per Section 82 (1) and 230 (2) which Assessment and Audit conferred the Minister to make regulations and guidelines on how Environmental Impact Assessment shall be conducted. Therefore they are regulations to give effect Regulations, 2005 to the provisions of the EMA. Section Applicability Regulation 4: Requirement to  Prior to the implementation of the project the developer is required to submit a certificate of Environmental Assessment to the licensing Authority. Any Authority is submit a certificate of prohibited to issue license / permit without EIA authorization. Environmental Impact Assessment. (Part III) Regulation 6 - 8:  Developer is tasked with registration of project (Regulation 6,7); while NEMC assign environmental assessment category to the project using set of screening Project Registration and Screening criteria. Project may fall under List A of projects for which ElA is mandatory or List B of projects requiring a Preliminary Environmental Assessment.  Screening requires (Regulation 8) participation of relevant institutions or local government environmental management officer or regional secretariat. (Part IV) Regulation 12-17:  These are requirements for conduct of environmental assessment procedure and steps for undertaking EIA study. Specific requirements include: Environmental Impact Assessment  Scoping and TOR approved by NEMC to guide the EIA study;  EIA conducted by registered experts;  Consideration of social, cultural and economic aspects /impacts of project;  Provision of all opportunities for the public (any person who is likely to be affected or any interested party) to participate. (Part V) Regulation 18 & 19:  Stipulate content and format of EIA reports and requirement for inclusion of a non-technical executive summary in English and Kiswahili languages. Environmental Impact Statement (EIS) (Part VI) Regulation 22 & 28:  Requirements for review of EIA reports by various stakeholders: NEMC / Cross-Sectoral Advisory Committee /relevant Ministries, institutions and general public Review Process of EIS using stipulated review criteria. Regulations 26 – 28 are provisions for public hearing when deemed necessary. (Part VII): Decision of the Minister  Minister Responsible for Environment is the only authority empowered to issuing of decision letter on EIS and EIA Certificate for approved registered projects. (Part VIII): Access to EIS and  Documents that are outputs of the EIA process are deemed to be public documents accessible to all. Information (Part X): Audit  Procedures for undertaking Audit for existing development projects Procedures for environmental monitoring and reporting (Part XI): Monitoring Regulation 60 - 65:  Offences - to conduct project without EIA approval; failure to prepare and submit to NEMC project brief, EIS, Audit or make false statements in the documents. (General Provisions)  Appeals - to Environmental Appeals Tribunal on refusal to grant or transfer EIA certificate, and imposition of other conditions, fees and costs.  Delegation of powers – R. 65 (1) Minister is empowered to delegate powers of approval of EIS to Director of Environment, Local Government Authorities or to Sector Ministries; R. 65 (2) NEM may delegate its powers to any Local Government Authorities or to Sector Ministries. Authority  National Environment Management Council Adequacy  Mitigation of impacts arising from land acquisition and fulfilment of compensation procedures NOT included as key project approval criteria. 138 APPLICATION FOR EIA CERTIFICATE & REGISTRATION PRELIMINARY No EIA required Preliminary EIA SCREENING ASSESSMENT Required EIA required Screening Report (SR) IMPACT ASSESSMENT Preliminary Environmental Report Scoping, ToR, and (PER) PER/SR for full EIA Full EIA study Draft Environmental Impact Statement (EIS) PER/SR Insufficient Public hearing required PUBLIC REVIEW HEARING Revised EIS/PER Public hearing report EIS EIS EIS/PER not approved DECISION REVISION Insufficient EIS/PER approved EIS FINALISED PERMIT PERMIT DECLINE D ISSUED IMPLEMENTATION KEY Environmental Report NEMC action (ER) MONITORING Proponent action Environmental Auditing AUDITING Report (EAR) Public action Decommissioning Report Minister decision DECOMMISSIONG (DR) Figure A-1: Steps in the National ESIA process 139 2. LAND AND LANDUSE LAWS Tanzania has a set of solid policy, legal, and institutional frameworks for management of land and property acquisition and compensation in urban areas. First, basic principles recognizing ownership of lands and resources is enshrined in the National Constitution (Article 24), the Land Policy and Land Acts. These are further defined in local laws and by-laws. Urban LGAs will apply the following laws, legislation, regulations, and local rules governing the use of land and other assets in Tanzania.  National Constitution (Article 24), 1977  Land Acquisition Act, Cap.118 R.E.2002  The National Land Policy, 1997  The Land Act, Cap. 113 (Of 1999)  Land (Assessment of The Value of Land For Compensation) Regulations, 2001  The Land (Compensation Claims) Regulations,2001  Courts (Land Disputes Settlements) Act, 2002,  The Urban Planning Act, 2007  Land Use Planning Act, Cap……………  Provisions on Land and Land Use in Other Acts The acts related to land and land use are collectively address five main aspects: (i) Property and land rights, as defined by statutory and customary practice; (ii) Acquisition of land and other assets, including regulations over the buying and selling of these assets; (iii) Rights and compensation, in particular, the accepted norms influencing peoples’ basic rights to livelihood and social services; (iv) Dispute resolution and grievance mechanisms, specifically the legal and institutional arrangements for filing grievances or complaints and how those grievances are addressed through formal and informal systems of dispute resolution; and (v) Use of land and contained resources 140 THE LAND ACQUISITION ACT The Land Acquisition Act is the principal legislation governing compulsory acquisition of land in Tanzania. It repealed and replaced the Land Acquisition Ordinance Cap. 118 R.E 2002 (1923), and empowers the President to acquire land for public purposes (i.e. in connection with housing schemes) and provide the procedures to be followed when doing so. Section Applicability Compulsory acquisition of land for public purpose Section 3 & 4: Powers of  The President is empowered to acquire any land for any estate or term where such land is required for any public purpose. President to acquire lands for  Section 4 (1) (a-g) defines circumstances in which the land is acquired for public purpose including: exclusive government scheme; development of agricultural, public purpose industrial, commercial, social services or housing, or in connection with sanitary improvement such as reclamations; laying out or extension or improvement of a new city, municipality, township or minor settlement, airfield, port or harbour; mining for minerals or oil. Payment of compensation Section 11: Government to pay  Section 11(1) and (2): the Government is bound to pay monetary compensation to person entitled, interested or claim to be interested after notifying them and with compensation their consent.  President gives a six weeks notice, which can be shortened without explanation; after expiration of the notice period the President is entitled to enter the land even before compensation is paid Section 12 (3): Compensation  Compensation to (i) value of the acquired land (ii) unexhausted improvements on the land; and (iii) land immediately prior to its acquisition was being used as a package cemetery or a crematorium or for any purpose other than for gain or profit or personal occupation.  Section 12 (1) excludes compensation to a vacant ground, or such improvement as land clearing, ploughing, leveling; and fencing or hedged or consisting of a cleared or partially cleared site of some former development; Section 12 (4) )  The government may, with agreement of the person entitled, in addition or in lieu of cash compensation give alternative land – (compelled in cases e.g. where land was used as a cemetery)) of same value, held under same terms, within same LGA as the land acquired (unless affected person consents for elsewhere. Section 13: Disputes as to  Disagreement relating to any of the following matters: (a) amount of compensation (b) the right to acquire land (c) in identify persons entitled (d) the application of compensation Section 12 to the land.  If dispute is not settled within six weeks from the date of publication, the Minister may or any person holding or claiming interest may institute a suit in the court (High Court of Tanzania) for the determination of the dispute. Every suit instituted is governed by the Civil Procedure Code. Decree of the High Court of Tanzania may be appealed against to the Court of Appeal. Valuation for compensation Section 14: Assessment of  Assessing for compensation shall take into account value of such land at the time of publication without regard to any improvement/work made thereon thereafter, compensation  take into account the damage. if any. sustained by the person having an estate or interest in the land by reason of the severance of such land from any other land or lands belonging to the same person or other injurious effect upon such other land or lands;  when part only of the land is acquired, take into account any probable enhancement of the value of the residue of the land by reason of the proximity of any improvements or works made /or to be constructed  not take into account any probable enhancement in the value of the land in future  not take into account the value of the land where a grant of public land has been made in lieu of the land acquired; Section 15: Interest  Where the president has entered the land before compensation has been paid; the Court or the Minister shall pay interest thereon at the rate of 6 % per annum. Adequacy  Other land laws i.e. Village Land Act, Urban Planning Act 2007, Land Use Planning Act 2007 and others50 Roads Act 2007, have provisions related to land acquisition, but they will always refer back to the Land Acquisition Act and the Land Act.  The act (Section 12 (1)) stipulates that no compensation shall be awarded in respect of land which is vacant ground, or such improvement as land clearing and fencing. This has been rectified by the Land Act, Cap. 113 which overrides / clarifies and adds certain aspects to be considered when determining the compensation package for compulsory land acquisition.  Shortening of six weeks notice without explanation and President entitled to enter the land in question even before compensation is paid after the expiration of the notice period.  Where there is a dispute, the government tries to reach an amicable solution through persuasion. 50 The Constitution of the United Republic of Tanzania of 1977 (as amended), the National Land Act (No. 4 of 1999), Village Land Act (No.5 of 1999), Land Regulations 2001 Subsidiary Legislation, Land Acquisition Act (1967), Land Ordinance (1923 Cap. 113) and Town and Country Planning Ordinance (1956 Cap. 378) contain provisions related to land tenure and ownership in Tanzania. 141 THE NATIONAL LAND POLICY Due to changes in land uses and increase in human population, growth of livestock, increased awareness on value of land, adaption of political pluralism and affirming 1997 customary tenure the National Land Policy is introduced to bring about land dispensation in a responsible and orderly fashion to cater for various needs in land tenure, landuse management and administration. The Land Policy provides key guiding policy directives on land tenure; land allocation, access, and protection; value to land; compensation; dispute settlements; and urban land use. Section Applicability Land Tenure Land is graded as a constitutional 4 basic land policy tenets: Land is public and the President is vested power as a trustee on behalf of citizens; Land has value; Land is unalienable; and Full, fair and category prompt compensation to be paid in case of land acquisition. Type and characteristics of land  Right of Occupancy type of land tenure. tenure for public land  Dual system of land tenure: Customary Rights of Occupancy and Statutory Rights of Occupancy, both equal before the law  Three types of Rights of Occupancy: through Direct grant; or through relevant customary procedures; or through legally designated allocating authorities.  Tenure rights to land can be held by individuals and by communities.  Term of tenure: Statutory Right of Occupancy tenure of varying period (33, 66, 99) not exceeding 99 years; Customary rights no term limit.  Confirmation of Right of occupancy Statutory: Right of Occupancy confirmed by Certificate of Title; Customary Right of Occupancy confirmed by “Hati ya Ardhi ya Mila� issued by Village Council;  Communities (Villages) are allowed to hold land and to manage it, although they do not formally own the land. Land Allocation, Access and Protection Access to all citizens All citizens have equal and equitable access to land.  Allocation of land to be done after fully surveyed and approved by the Director of Surveys and Mapping Protective of sensitive areas  Policy prohibits allocation of sensitive areas to individuals including water catchment, small islands, border areas, beaches, mountains, forests, national parks, river, river basins and banks, seasonal migration routes of wildlife, national heritage and areas of biodiversity. Land Value and Compensation Land has values Policy put clear that land value should be recognized in all transactions affecting that land and assessment of land rent. Compensation based on  Compensation of land acquired in the public interest to take account of: market value of the real property; disturbance allowance; transport allowance; loss of profit opportunity cost or accommodation; cost of acquiring or getting the subject land; any other costs or capital expenditure incurred to the development of the subject land; interest at market rate if compensation is not paid promptly in time. Dispute Settlement Machinery Use of and strengthening existing  Start from “Mabaraza ya Wazeeya Ardhi� to quasi-judicial bodies at the district, regional and national levels with appeals at the High Court on points of law. quasi-judicial bodies Urban Land Use Control of lateral expansion of  Promote compact development and vertical extension of buildings. towns  Development of urban land use and development plans aim at more intensive use of urban land  Statutory boundaries of towns set according to needs for additional land for growth; rate of population increase; and financial, technical and organization capacity of urban authority Controlled land uses  Protection of public open spaces and other urban land for public use: all sites set aside for public activities in urban areas including open spaces, sites for schools, public utility easements and other community are protected from encroachers and used for intended purposes only.  Urban agriculture: the government to regulate the conduct of urban agriculture and ensure it does not disrupt planned urban development.  Protection of hazard lands from developments in towns: the policy prevent building on hazard lands and all fragile environments including river valleys, areas of steep slopes, mangrove swamps, and marshland. Strategic planning for urban  Do away with Master Plans and adopt contemporary planning strategies based on Strategic Plans, Rapid Appraisal and Land Use Plans for urban land development development, environmental management, and in the provision of housing, and infrastructure and services.  Issuing of licenses, permits, claims and rights for exploitation of natural resources (mining, water rights, timber harvesting etc.) guided by Land use and land tenure rights and environmental conservation policies. Institutional Responsibilities Authority over land  Minister responsible for Lands is sole authority over all land matters  Commissioner for Lands is sole authority responsible for land administration. The Commissioner may appoint officers at the appropriate levels of government to administer land other than village land.  LGAs (work with Minister) are responsible for land administration in respective areas of jurisdiction. 142 Adequacy  The Land Policy establishes a legal regime that recognises, clarify and secure existing rights in land especially customary rights of small holders.  Assigning value to land including bare land where an occupier has not made any development or improvement)  Compensation paid to any person whose right of occupancy or recognized long standing occupation or customary use of land is revoked or otherwise interfered with to their detriment by the state under any land legislation or written law. 143 THE LAND ACT The Act come into force to provide for the basic law in relation to land other than village land, management of land, settlement of disputes and matters incidental CAP. 113 (OF 1999) thereto. Provisions of the Act include classification and tenure of land, land administration procedures, rights and incidents of land occupation, granted rights of occupancy, conversion of interests in land, dispositions affecting land, land leases, mortgaging of land, easements and analogous rights, co-occupation and partitioning and settlement of land disputes. Section Applicability Fundamental principles of the Act (Sections 3 (1) – (3)  The Act (Section 3 (1) (a)-(l)) recognizes all key guiding statement of the Land Policy that: (a) All land is public land vested in the President as trustee on behalf of all; Fundamental principles of (b) Guarantee security to all rights to land occupancy or use; National Land Policy (c) Access to land by all citizens; (d) Regulation of amount of land one may occupy; (e) Productively use of land; (f) Land has value; (g) Payment of full, fair and prompt compensation to any person whose right of occupancy or recognized long-standing occupation or customary use is revoked or otherwise interfered or acquired to their detriment by the state; (h) Promote effective land administration; (i) Ensure participation of all citizens; (j) Enable operation of a market in land (k) Protect urban smallholders and pastoralists; (l) Rules of land accessible and understood by all.  The Act hold on to the principle that assessment for compensation be based on opportunity cost considering market value of real property, various allowances for costs and losses incurred and interest at market rate.  The Act (Section 3 (3) recognize types of Rights of Occupancy articulated by the Land Policy: A person lawfully occupy land and such land is his/her property under either (i) Granted Right of Occupancy; (ii) Deemed to be Granted Right of Occupancy; (iii) Customary Tenure Right of Occupancy; (iv) Deemed to Occupy Right of Occupancy; (iv) Always Occupied the Land Right of Occupancy. Land Categories (Section 4 - 9)  Tanzanian public land classified into three categories (a) Reserved Land: set aside for wildlife, forests, marine parks; also includes environmental protection areas as well as areas intended and set aside 4 categories of land for spatial planning and (future) infrastructure development. Reserved land is subject to nine listed laws; (b) Village Land: land inside the boundaries of registered villages; (c) General Land: neither reserved land nor village; land is governed by the Land Act, under the control and jurisdiction of the Commissioner for Lands; issued Certificate of Right of Occupancy.  The Act (creates a category of land known as hazardous land, the development of which is likely to pose danger or lead to degradation or environmental destruction. Section 7 (1) (a-f) are types of hazardous land: mangrove swamps and coral reefs, wetlands, offshore islands, land designated or used for dumping of hazardous wastes, land within sixty meters of a river bank, shoreline of an inland lake, beach or coast, land on slopes with a gradient exceeding acceptable angle, land specified by appropriate authority as fragile nature or of environmental significance.  President empowered (Section 5) to exchange or transfer land from one category to another; to direct the Minister to transfer general land or reserved land to village land. Institutional responsibilities Sections 8 - 14  The Act poses to roles and responsibilities to individuals and entities from central government to local level. Minister Responsible for Lands; Commissioner for Lands who have powers to appoint or delegate responsibilities to other actors. LGAs only make representation, provide advice or guidance of land matters in respective areas of jurisdiction as per directive or circular issued by the Commissioner. Information Disclosure (Section 13): On general land  Commissioner or appointed officers provide information orally or in writing. matters Conflicts and Disputes (Section 13) Inquiries  The Act directs the Minister to hold inquiry, open to the public, and according to principles of natural justice on all matters concerning land or Land Act; if serious the High Court Judge may hold inquiry. Rights and Incidents of Land Occupation Rights to Occupy Land: by  Section 19 (1) of the Act stipulate the two types of rights to occupancy land which all citizen – individuals, a group of two or association or a corporate body (right 144 citizens and by non-citizens holders) may enjoy as: Granted Right of Occupancy and Derivative Right (a right derivative of a Granted Right of Occupancy). (Section 19 & 20)  The Act (Section 19 (2) directs non-citizen to obtain Granted Right of Occupancy or Derivative Right only for purpose of investment prescribed under Tanzania Investment Act, 1997.  Under the Act (20(1)) non citizens are excluded from being allocated or granted land unless for investment. Right of Occupancy is granted to TIC who then creates Derivative Rights to Investors. (Section 22 – 35 )  Section 22 (1) (a-j) lists incidents for Granted Right of Occupancy including granted by President; located in general land or reserved land; surveyed and registered; tenure period of 33, 66 or 99 years; confirmed by a Certificate of Title; and liable to other land conditions (premium, rent, disposition, revocation, acquisition by the Characteristics and conditions state for public purposes and compensation). of Granted Right of Occupancy  Section 22 (2) Rights over resources occurring or present on the land: Holder of Granted Right of Occupancy has NO automatic rights over i.e. water rights; rights over foreshore; rights to mines, minerals, gas; or rights to appropriate and remove from country any flora or fauna, palaentological or archeological remains  Section 31 – 35 Right of Occupancy carry conditions including land development and the payment of land rent. Failure to abide with these conditions can lead to the loss of the right.  (Section 45.(1), (2)Revocation for breach of condition The President is empowered by the act to revoke a the granted occupancy for the good cause. The good cause shall include: An attempt to dispose to a non citizen, abandonment, misuse breach of condition contained or implied, breach of regulation. Section 22 -23  Section 22 (1) (a-j) are Incidents of Residential License: (under Derivative Right of Occupancy) Residential License, (Derivative  DRO refer to a residential license, granted by LGAs for a specific period as a right to occupy non-hazardous land, reserved for public utilities, surveyed land, or Right of Occupancy) urban or peri-urban area.  Section 23 (6) Residential license apply to any occupier of the land without official title who has occupied it for not less than 3 years. Adequacy  Other Acts have provisions related to land acquisition but the Land Act is the main reference in all matters related to land acquisition.  All urban land falls under General Land Category, except land which is covered by laws constituting reserved land, or that which is considered hazard land.  By far the majority of land occupiers have no certificates of title, in part because land has to be surveyed before it can be issued with a title. However, there is a lot of “de facto� recognition of property rights for the majority of land occupiers.  From the advent of the Land Acquisition Act, 1967 practice developed that since land belonged to the public, the valuation for compensation excluded the value of bare land. However, among the clarifications made in the Land Act 1999 were:  to take into account that an interest in land has value and that value is taken into consideration in any transaction affecting that interest; and,  that in assessing for compensation, the market value of the real property is taken into consideration.  The question of documented legality is not a key consideration in entitlement to compensation. In practice at least in recent days, compensation has been paid in all cases of people who claim to be landowners and who are adversely affected by the contemplated scheme. However, the definition of beneficiaries has been taken not to include Tenants. 145 LAND (ASSESSMENT OF THE The Regulation were made under section 179 of the Land Act No. 4 of 1999 to set standard methods for valuation of land and properties; responsible authorities and VALUE OF LAND FOR elements that should be included in a compensation package including methods for calculating their values. COMPENSATION) REGULATIONS, 2001 Section Applicability Methods for valuation (Regulation 3): Basis  Market Value is basis for assessment of the value of any land and unexhausted improvement for the purposes of compensation (Regulation 4): Market Value 3 methods used for arriving at the Market Value of any land and unexhausted improvement:  Comparative method evidenced by actual recent, sales of similar properties  Income approach; or  Replacement cost method where the property is of special nature and not saleable i.e. not readily transacted in the market. Responsible authority (Regulation 5) Qualified Valuers  Every assessment of the value of land and unexhausted improvement is done only by a qualified Valuer. (Regulation 6)  Where the government (national and local) is involved, such assessment must be verified by the Chief Valuer of the Government or Representative. Chief Valuer Role of Government  Compensation is paid by or overseen by Government or Local Government Authority. Compensation package (Regulation 7). Compensation for loss of any interest in land include: Compensation elements  Value of unexhausted improvement,  Disturbance allowance;  Transport allowance;  Accommodation allowance;  Loss of profits. (Regulation 8, 9, 10, 11)  Accommodation allowance payable = Market rent for the building x 36 months. Calculation of compensation  Loss of profits payable = Net monthly profit of the business x 36 months ( profit evidenced by audited accounts where necessary and applicable) elements  Disturbance allowance = Value of the land x Average percentage rate of interest offered by Commercial Banks on fixed deposits for 12 months at the time of loss of interest in land  Transport allowance = Actual costs of transporting 12 tones of luggage by rail or road (whichever is cheaper) within 20 kilometers from the point of displacement. (Regulation 12) Elements NOT payable for unoccupied land at the date of loss of interest in land Unoccupied Land  Transport allowance;  Accommodation allowance;  Loss of profits. Delay of compensations (Regulation 13) Interest Interest is paid only in case no prompt payment of compensation is made within six months after land is acquired or revoked. Interest is at the average percentage rate of interest offered by commercial banks on fixed deposits, recoverable until such compensation is paid. Adequacy The Assessment of the Value of Land for Compensation Regulations, 2001, (and the Village Land Regulations, 2001), guide the current practice of valuation. The full and fair compensation is only assessed by including all components of land quality with the market value as the basis for assessment of the value of land and unexhausted improvements (properties) Presently in assessing the value of the unexhausted improvements for compensation purposes, the law emphasizes that the value should be the price that which said improvements can fetch if sold in the open market. But this in normal circumstances is lower than the replacement value but higher than the initial construction cost of the said improvements. The method of determining the market value is claimed to be subjective depending very much on the judgment of the person (Valuer) undertaking the assessment. Compensation for homes, and associated structures These are for example, huts, houses, farm outbuildings, latrines and fences, is paid by replacing at cost. In some cases homes are rebuilt on acquired replacement land, however cash compensation is the preferred option. The going market prices for construction materials is be determined. In some cases compensation may be paid in-kind for the replacement cost without depreciation of the structure. Compensation is sometimes made for structures that are: (i) abandoned because of relocation or resettlement of an individual or household; and (ii) directly damaged by construction activities. 146 Replacement values Replacement value is based on:  Drawings of individual's household and all its related structures and support services;  Average replacement costs of different types of household buildings and structures based on collection of information on the numbers and types of materials used to construct different types of structures (e.g. bricks, rafters, bundles of straw, doors etc.) For vulnerable groups replacement values is based on actual replacement cost.  Prices of these items collected in different local markets;  Costs for transportation and delivery of these items to acquired/replacement land or building site; and  Estimates of construction of new buildings including labor required. Valuing agricultural production The prices for cash crops is determined as the average value over the previous year, corrected for inflation. The prices for subsistence crops is determined as the highest value over the previous year, corrected for inflation. Crop values is determined based on a combination of staple foods and cash crops. Specifically, the 80/20 ratio of land that a farmer typically has in food crops and cash crops is used to determine the chances s/he would lose food crop rather than a cash crop income. Another way of valuing agricultural production is through the value of stable crops to be taken as the highest market price reached during the Year. This is based on three factors: (i) Although most farmers grow staple crops mainly for home consumption, they always have the option of selling these crops to take advantage of the market; (ii) Farmers most often purchase cereals when they have run out, during the "hungry season" when prices are high. Compensating at a lower value might put the individual or household at risk. (iii) Averaging the highest price of stable foods yields a high per hectare value that reimburses for the vegetables and other foods that are commonly inter-cropped with staples, but are almost impossible to measure for compensation. Compensation for agricultural land In the case of agricultural land, compensation is intended to provide a farmer whose land is acquired and used for project purposes to cover the productive values of the land, labor, and crop loss. For this reason, and for transparency, "land" is defined as an area: (i) in cultivation; (ii) being prepared for cultivation; or (iii) cultivated during the last agricultural season. This definition recognizes that the biggest investment a farmer makes in producing a crop is his/her labor. A farmer works on his/her land most of the months of the year. The major input for producing a crop is not seed or fertilizer, but the significant labor put into the land each year by the farmer. As a result, compensation relating to land covers the market price of labor invested times the amount of time spent preparing a plot equivalent to that taken. The market price of the crop lost is considered separately. The other compensation rates cover the labor cost for preparing replacement land based on a calculated value that would cost a farmer to clear and create replacement land. This value is found by adding together the average costs of clearing, plowing, sowing, weeding twice, and harvesting the crop. Labor costs are paid in Tanzania shillings, at the prevailing market rates. All agricultural labor activities are included for two reasons. First, all land labor is compensated at the same rate. Second, it is difficult to forecast the growing season that would define acquisition of the land. The eventual consideration is when land compensation covers all investments that a farmer makes. In certain cases, assistance may be provided to land users in addition to compensation payments, for example, if the farmer is notified that his/her land is needed after the agriculturally critical date. Often, the timing coincides with the time when the farmer no longer has enough time to prepare another land without additional labor. Assistance is provided in the form of labor-intensive village hire, or perhaps mechanized clearing, so that replacement land is be ready by the sowing dates. The farmer will still continue to receive his/her cash compensation so that the compensation can cover the costs for sowing, weeding and harvesting. 147 THE URBAN PLANNING ACT, The Act come into force in order provide for the orderly and sustainable development of land in urban areas, to preserve and improve amenities and to provide for the 2007 grand of consent to develop land and the power of control over the use of land and matters in connection with. Section Applicability Guiding Principles (Section 3). Key principles include: Fundamental Principles of  Availability of serviced land for shelter and human settlement development to ALL sections of community (including women, youth, the elderly, disabled and urban planning disadvantaged);  Improve the level of provision of infrastructure and social services;  Employment creation and eradication of poverty;  Protect environment from pollution, degradation and destruction  planning legislation, building regulations standards and other controls are consistent with the capabilities, needs and aspirations of the various sections of the population. Relevant Authorities (Section 5 - 7): Planning  (Section 5): Minister Responsible for Land use Planning Authorities  Ensure incorporation of principles of urban planning in planning processes and use and development of land.  Designate any Body or Organ as a planning authority (Section 7 (4)).  Declare any area of land to be a planning area (Section 8(1)).  (Section 6): Director of Urban Planning: Advise to Minister, issue guidelines, set standards, coordinate and approval of matters related to urban planning.  (Section 7): empowers every city council, municipals council, town council and township authority to be a planning authority in respect of their jurisdiction.  (Section 28): PA vested with powers to control use of land in accordance with approved planning schemes.  Empowers Minister responsible for LGA to establish, confirm status and expansion of boundaries of LGA Types of Planning Areas (Sections 8 – 24)  Sections 8: Any land with defined boundaries recommended and declared by the Planning Authority, favorable to public, and recommended by respective Regional Secretariat.  (Section 24) Special Planning Area: Area with unique development, potential or problems.  Hazard land (Section 24): as declared under Cap 113.  (Section 26) Changing of land category: transfer of Village or reserved land to general land. Guide to town planning and development (Sections 9 – 23): General  A tool to all persons involved in town to coordinate sustainable development of area to which it relates in order to promote health, safety, good order, amenity, Planning Scheme: planning convenience and general welfare. process, content, review, approval etc. Planning consent and EIA report  No person shall develop any land within a planned area without planning consent from Planning Authority (Section 29)  Activities deemed injurious to environment (i.e. industrial location, dumping site, sewerage treatment, quarries) submit EIA report. Land Acquisition and Compensation Section 60 - 66  (Section 60, 61) Land purchase and acquisition by Planning Authority: empowers planning authority to purchase or acquire an area by giving notice to the land holder  (Section 63) Value of land for purpose of compensation: the holder of the acquired land or outgoing is entitled to a compensation after due valuation in accordance with Land Act, Cap 113.  Section 66 of the Act provided that any landholder whose land is being acquired or whose land is being injured by actions taken under the act should file claims for compensations in accordance with the Land Act Cap113 including recovery of compensation from the planning authority. Adequacy  148 LAND USE PLANNING ACT, The Acts provide procedures for the preparation, administration and enforcement of land use plans and matters incidental to. The CAP……, 2007 primary requirement of the act is development projects should take into consideration and understand the strategic planning of the other land surrounding the project. Section Applicability Section 3 (a-f): Fundamental  Responsible authority have regard to the need to make serviced land available for shelter and human development, improve infrastructure and principles of land use social services, facilitate creation of employment opportunities ,promote participation and balanced development protect environment and ecosystems, promote capacity building.  The Act also require for the authority to ensure planning legislation,, building regulations, standards and other controls which are consisted with capabilities, needs and aspirations of the various sections of the population. Section 4:  Responsible authority to oversee that the objectives are complied to enhance: efficient and orderly management of land use; promote sustainable Land use objectives land use practices; facilitate overall macro-level planning; and ensure the use of political and administrative structures recourses available at all levels for the prevention of land use conflicts Section 6 &7:  Provide for the establishment of Commission comprised of various environmental stakeholder to ensure oversee the best use of land use National Land Use Planning planning. Commission  Section 7 Functions: Commission is the principal advisory organ of the Government on all matters related to land use. Section 8  Confers the commission the powers to take the violators accountable such as requiring compliance, take action in courts of laws. Powers Section 61  Invoke penalty for a person who contravenes by to be liable to a fine not exceeding two million shillings or imprisonment for three years or both. Offences and penalties Adequacy  Provisions on Land and Land Use in Other Acts A number of national laws have provisions requiring for rights of individuals whose property may be acquired and to be compensated according to national laws. Environmental and Social Management Environmental and Social Planning for investments that may cause adverse environmental impacts to the resource and people are required to include mitigation measures for individuals affected by development activities. The Local Government (District Authorities) Act No. 7, 1982 and Local Government (Urban Authorities) Act No. 8, 1982 The Acts stipulate the functions of District/Urban councils. Issues of land are included as objectives of functions and therefore part of the mandates of local government in their respective areas. 149 World Bank Resettlement Entitlements (Source: World Bank Resettlement Policy Framework) Land and Assets Types of Impact Person(s) Affected Compensation/Entitlement/Benefits Agricultural land  Cash compensation for Farmer/ title holder Cash compensation for affected land equivalent to replacement value affected land equivalent to market value Tenant/ lease holder Cash compensation for the harvest or product from the affected land or asset, equivalent to  Less than 20% of land holding average market value of last 3 years, or market value of the crop for the remaining period of affected tenancy/ lease agreement, whichever is greater.  Land remains economically viable.  Greater than 20% of land Farmer/ Title holder  Land for land replacement where feasible, or compensation in cash for the entire landholding holding lost according to PAP’s choice.  Land for land replacement will be in terms of a new parcel of land of equivalent size and productivity with a secure tenure status at an available location which is acceptable to PAPs.  Land does not become Transfer of the land to PAPs shall be free of taxes, registration, and other costs. economically viable.  Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature )  Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature ) Tenant/Lease holder  Cash compensation equivalent to average of last 3 years’ market value for the mature and harvested crop, or market value of the crop for the remaining period of tenancy/ lease agreement, whichever is greater.  Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature  Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature )  Relocation assistance (costs of shifting + allowance). Commercial Land Land used for business partially Title holder/ business owner  Cash compensation for affected land affected  Opportunity cost compensation equivalent to 5% of net annual income based on tax records for previous year (or tax records from comparable business, or estimates where such records do not exist). Limited loss Business owner is lease holder Opportunity cost compensation equivalent to 10% of net annual income based on tax records for previous year (or tax records from comparable business, or estimates where such records do not exist) Assets used for business Title holder/business owner  Land for land replacement or compensation in cash according to PAP’s choice. Land for land severely affected replacement will be provided in terms of a new parcel of land of equivalent size and market potential with a secured tenure status at an available location which is acceptable to the PAP.  Transfer of the land to the PAP shall be free of taxes, registration, and other costs. If partially affected, the remaining  Relocation assistance (costs of shifting + allowance) assets become insufficient for  Opportunity cost compensation equivalent to 2 months net income based on tax records for business purposes previous year (or tax records from comparable business, or estimates) Business person is lease  Opportunity cost compensation equivalent to 2 months net income based on tax records for holder previous year (or tax records from comparable business, or estimates), or the relocation allowance, whichever is higher.  Relocation assistance (costs of shifting)  Assistance in rental/ lease of alternative land/ property (for a maximum of 6 months) to reestablish the business. 150 Land and Assets Types of Impact Person(s) Affected Compensation/Entitlement/Benefits Residential Land Land used for residence partially Title holder Cash compensation for affected land affected, limited loss Remaining land viable for present use. Rental/lease holder Cash compensation equivalent to 10% of lease/ rental fee for the remaining period of rental/ lease agreement (written or verbal) Title holder  Land for land replacement or compensation in cash according to PAP’s choice.  Land for land replacement shall be of minimum plot of acceptable size under the zoning law/ s or a plot of equivalent size, whichever is larger, in either the community or a nearby resettlement area with adequate physical and social infrastructure systems as well as secured tenure status.  When the affected holding is larger than the relocation plot, cash compensation to cover the difference in value.  Transfer of the land to the PAP shall be free of taxes, registration, and other costs.  Relocation assistance (costs of shifting + allowance)  Land and assets used for Rental/lease holder  Refund of any lease/ rental fees paid for time/ use after date of removal residence severely affected  Cash compensation equivalent to 3 months of lease/ rental fee  Remaining area insufficient  Assistance in rental/ lease of alternative land/ property for continued use or  Relocation assistance (costs of shifting + allowance) becomes smaller than minimally accepted under zoning laws Buildings and structures  Structures are partially Owner  Cash compensation for affected building and other fixed assets affected  Cash assistance to cover costs of restoration of the remaining structure  Remaining structures viable Rental/lease holder  Cash compensation for affected assets (verifiable improvements to the property by the for continued use tenant).  Disturbance compensation equivalent to two months rental costs Entire structures are affected or Owner  Cash compensation for entire structure and other fixed assets without depreciation, or partially affected alternative structure of equal or better size and quality in an available location which is acceptable to the PAP.  Right to salvage materials without deduction from compensation Remaining structures not suitable  Relocation assistance (costs of shifting + allowance) for continued use  Rehabilitation assistance if required (assistance with job placement, skills training) Rental/lease holder  Cash compensation for affected assets (verifiable improvements to the property by the tenant)  Relocation assistance (costs of shifting + allowance equivalent to four months rental costs)  Assistance to help find alternative rental arrangements  Rehabilitation assistance if required (assistance with job placement, skills training) Squatter/informal dweller  Cash compensation for affected structure without depreciation  Right to salvage materials without deduction from compensation  Relocation assistance (costs of shifting + assistance to find alternative secure accommodation preferably in the community of residence through involvement of the project  Alternatively, assistance to find accommodation in rental housing or in a squatter settlement scheme, if available) 151 Land and Assets Types of Impact Person(s) Affected Compensation/Entitlement/Benefits  Rehabilitation assistance if required assistance with job placement, skills training) Street vendor (informal without  Opportunity cost compensation equivalent to 2 months net income based on tax records for title or lease to the stall or previous year (or tax records from comparable business, or estimates), or the relocation shop) allowance, whichever is higher.  Relocation assistance (costs of shifting)  Assistance to obtain alternative site to re- establish the business. Standing crops Crops affected by land PAP (whether owner, tenant, Cash compensation equivalent to average of last 3 years market value for the mature and acquisition or temporary or squatter) harvested crop. acquisition or easement Trees Trees lost Title holder Cash compensation based on type, age and productive value of affected trees plus 10% premium Temporary Acquisition Temporary acquisition PAP (whether owner, tenant, Cash compensation for any assets affected (e. g. boundary wall demolished, trees removed) or squatter) 152 3. OTHER RELEVANT ENVIRONMENTAL AND SOCIAL LAWS The detail of important laws which are relevant to Urban LGA infrastructure development activities from environmental, social, economic, cultural perspective is contained in a number of important Acts and Regulations which are described in the below legal register. However, there exists few Acts for specifics environmental aspects. EMA Cap 191 is the guiding Act in most respect. These include laws on: 1. Air emissions and ambient air quality 2. Solid waste management 3. Wastewater and ambient water quality 4. Hazardous / contaminated land 5. Hazardous materials / substances management 6. Noise management 7. Water use / conservation 8. Energy conservation 9. Natural resources (biodiversity, forests, wildlife, aquatic) conservation 10. Natural habitats 11. Cultural resources 12. Workers condition (Occupational Health and Safety) 13. Community health and safety 14. Other social laws: gender, children, people with disabilities etc 153 *** to add more acts*** OCCUPATIONAL HEALTH AND SAFETY The Act come into force make provisions for safety health and welfare of persons at work in factories and other places of work, to provide for the protection of ACT (ACT NO 5), 2003 persons other than persons at work against hazards to health and safety arcing out of or in connection with activities of persons at work; and to provide for connected matters. Section Applicability Section 4(1),(2) (3) and Section 5: The responsible Minister to appoint Chief Inspector who is responsible in working as an Executive Agency to appoint Inspectors in workplace for the Appointment and powers of Chief Inspector purposes of keeping record, inspect and keep the standards of health and safety. Section 6 and 64  The inspector is mandated to enter, inspect, examine, apprehend any related work place. Specifically Section 6(2) he has the power to require the Powers of inspectors occupier to allow entrance, inspection, examination, inquiry take sample and biological monitoring Section 7(1-2). Investigation The inspector is mandated power to investigate, and submit report to the Chief Inspector for further action Section 8. Formal inquires  The Chief Inspector may upon receiving a investigation report has the power to advise accordingly, issue improvement notice, prohibition or refer the matter to court. Section 16 & 17: Registration of factories  The occupier is responsible to register, before commencement such factory or workplace.  Section 17 Procedure for registration The occupier upon registering is issued a certificate to show that the place is suitable for the requested a work. and work places Specifically Section 17(3) compliance certificate is issued every twelve months, upon fulfilling occupational health safety requirements Section 43 Safe means of access and safe  The Act put liability to the occupies to ensure all work placers are contracted of sound material and properly maintained. Likewise to make sure the working place openings are closed and the workplace to be fenced Section 44,45, Precautions in respect to  Occupier to take precautions like ensuring prevention of explosion and give the workers wearing suitable breathing apparatus as the case may be. exposure or inflammable dust gas vapour substance Section 50 Prevention of fire  The employers are bound to take precaution of having fire extinguishers, adequate means of escape ways Section 60 Risk assessment Owners of factory/workplace which involve hazardous process or equipment/ chemical substances likely to harm people or environments are required to do risk assessment. Section 61 Removal of dusts or fumes Duty to the factory owners to protects, persons from inhalation of dust, fume or other impurities. Section 62 Provision of protective equipment The employer in any process involving exposure to any injurious or offensive substance or environment is required to provide them with protective equipments Section 65 Safety or health of agricultural The Employer to protect the workers from hazardous machinery, and equipment, harmful animals/ insects, infectious agents, chemicals and hazardous activities environment Section 73Generaaal precautions in The Act (Section 73 (1) require the employer to ensure preventive, administrative and technical measures to reduce contamination. handling chemicals The law further stipulates for (section 73 (7) the employer to ensure proper disposal of wastes in such a way that do not harm human health and environment. Section 78 Offences The Act prohibit contravention with the requirements in the Act and which attract fine Authority Adequacy  154 4. URBAN LOCAL GOVERNMENT THE LOCAL GOVERNMENT (URBAN The law comes into force to make better provision for the establishment of urban authorities for the purposes of local government, to provide for the functions AUTHORITIES) ACT No. 8 (of 1982) of those authorities and for other matters connected with or incidental to those authorities. Section Applicability Section 4 - 12 The Minister Responsible for Local Government is vested with the powers to establish and issue certificate to various urban area in mainland Tanzania i.e. Establishment of urban authority as Town, Municipal and City and to ensure effective and efficient system of local government. body corporate and to be graded Section12 confers power to LGAs to have perpetual succession and an official seal and acquires the legal status of suing and being sued. Section 14 -17: Ward Committees & Section 14: The Minister vested with powers, after consultation with President to divide the area of jurisdiction of an urban authority. Section15 establish implementation of development projects Ward Committees vested with functions to implement decisions and policies of the urban LGA; economic and social development of the Ward; to formulate and submit proposals for making by-laws; and enforce the procedure for implementation of projects. Section 54 - 55: functions, duties of Promoting social and economic wellbeing and development of its area and people within jurisdiction. Section 55 (1) specify several duties of urban LGA of urban LGAs relevance include:  Take and require the taking of measures for the conservation of natural resources prevention of soil erosion and prohibition and control of cultivation,  Keep and maintain in good order and repair all public waste receptacles (latrines, urinals, cesspits, dustbins); temporary deposit and collection of rubbish and public bathing and washing places; removal of all refuse and filth from any public or private place; removal of night soil and disposal of sewage from all premises and houses in its area so as to prevent injury to health  Provide, maintain, supervise and control public facilities (such as markets and slaughter houses) and public infrastructure and services (street and road lighting).  Prevention and abatement of public nuisance, which may be injurious to the public health or to good order of the area  Make, keep and maintain clean and in good order and repair all streets and sewers (clear of obstruction), buildings, machinery and works etc and to provide for the drainage of surface water.  Regulate trade or business which may be toxious, injurious to public health or source of public danger  Undertake matters and services necessary for conducive public safety, health and convenience. Schedule to Section 55 (2) lists over 100 duties which urban LGA may perform. Section 59 - 63: Powers Section 59 vest powers to undertake new construct works; establish, manage, layout, plant, improve, maintain and regulate places of public resort and of LGAs recreation (i.e. parks and gardens), trees; and provide fire safety implements. Under Section 60 urban LGA has powers (by agreement and approval of the Minister) acquire any land or right over use of any land within or without its area of jurisdiction and pay compensation and expenses incurred of acquisition or revocation (Section 60 (4)), also Urban LGA has powers to let and mortgage land and charge rents (Section 61); power to contract ((Section 63) and powers of entry into any land, building, premise etc.  LGAs are vested with legislative powers – i.e. Section 80 to make by-laws following procedures set under section 81. Section 70 - 60: Powers  Section 70: powers to modification in development plans of LGAs; Section 73: transfer particular functions of urban LGA; Section 77: delegate powers; also under Section 82 Minister is vested with legislative powers – to make uniform by-laws. of Minister Authority 155 Adequacy  5. LAWS RELEVANT TO INFRASTRUCTURE DEVELOPMENT THE ROADS ACT , NO. The law was enacted to make provisions for road financing, development, maintenance, management and other matters incidental thereto. 13 OF 2007 Section Applicability Section 4 Responsibility of Minister The Minister is the custodian of the policies and responsible for various implementation in respect of roads matters. Section.5 & 6  Section 5: The Minister is vested with powers to appoint an authority to in relation to construction, alteration, maintenance, protection and supervision of roads Road Authority  Section.6: The Authority is vested powers to develop, maintain and manage public roads and related facilities; to undertake negotiations, with developers, adopt harmonized approach on technical standards, research maintain inventories and update road management systems. Section.7 & 8 Regional Roads Board  Section.7: the Board which is appointed by the Minister composed of various stakeholders within the area such as Regional Commissioner, Administrative secretary Member of Parliament, nominated members from private sector, Mayor, Regional Engineer, TANROADS Manager  Section.8 Functions: to advise the Minister on any matter relating to the development, maintenance and management within the region.  Go through various report and perform any related functions. Section.10 It is an Executive Agency to advise, monitor, approve, and carry out research, network with other road authorities. Functions of the TANROADS  Specifically (10 (d) advice on the road safety and mechanism to reduce negative environmental impact in the road network control. Section.16  The road authority vested the powers to acquire the land and make considerable negotiation in respect of compensation. Compensation for Acquired land Execution of road Works  The authority is given powers to enter nod survey, take stones and materials, cut and remove trees, make ditches, place stones on public roads, removal of abstractions and encroachments, preventing soil from being washed onto roads Section. 18 – 24 Powers authority Section.30 Protection of environment  The authority is entrusted with the duties of developing, managing and maintaining the public roads and it is required to comply with prescribed guidelines, regulations or any other law relating to environmental protection and waste disposal Authority Adequacy  WASTE MANAGEMENT FACILITIES ? MARKET AND ABBATOIR FACILITIES? 156 APPENDIX B: World Bank's Programme for Results Financing Aim of Program for Results The ULGSP is being implemented under the World Bank's Programme-for-Results (P forR) financing mechanism. P for R aims to promote sustainable development and improve the efficiency, efficacy and effectiveness of expenditures by: a) financing the expenditures of specific borrower development programmes; b) disbursing on the basis of the achievement of key results (including prior results) under such programmes; c) using and, as appropriate, strengthening the programme systems to provide assurance that programme funds are appropriately spent and that environmental and social impacts are adequately addressed by such programs; and d) strengthening, where appropriate, the institutional capacity necessary for such programmes to achieve their intended results. Key performance areas under Programme for Results Financing Under P for R financing, grants in the ULGSP will be disbursed upon the achievement of verified results specified as disbursement-linked indicators (DLIs) linked to the following four key areas:  Technical assessment : considering, among other things, ULGSPs rationale and its development objectives; relevant institutional and implementation arrangements, including governance; ULGSPs activities and expenditures framework; the degree to which the ULGSP aims to achieve specific, measurable, and verifiable results; the monitoring and evaluation arrangements; and the general policy, legal, regulatory, and institutional frameworks relevant to the ULGSP.  Fiduciary systems assessment : considering whether ULGSP's systems provide reasonable assurance that the financing proceeds will be used for intended purposes, with due attention to the principles of economy, efficiency, effectiveness, transparency, and accountability.  Environmental and social systems assessment considering, as may be applicable or relevant , to what degree the ULGSP systems: a) promote environmental and social sustainability in the Programme design; avoid, minimize, or mitigate adverse impacts, and promote informed decision-making relative to the Programme’s environmental and social impacts; b) avoid, minimize, or mitigate adverse impacts on natural habitats and physical cultural resources resulting from the Programme; c) protect public and worker safety against the potential risks associated with: (i) construction and/or operations of facilities or other operational practices under the Programme; (ii) exposure to toxic chemicals, hazardous wastes, and other dangerous materials under the Program; and (iii) reconstruction or rehabilitation of infrastructure located in areas prone to natural hazards; 157 d) manage land acquisition and loss of access to natural resources in a way that avoids or minimizes displacement, and assist the affected people in improving, or at the minimum restoring, their livelihoods and living standards; e) give due consideration to the cultural appropriateness of, and equitable access to, Programme benefits, giving special attention to the rights and interests of the Indigenous Peoples and to the needs or concerns of vulnerable groups; and f) avoid exacerbating social conflict, especially in fragile states, post-conflict areas, or areas subject to territorial disputes. Integrated risk assessment: considers key risks to achieving the ULGSP's results and development objectives informed by the results of the technical, fiduciary, and environmental and social systems assessments Environmental and Social Performance Indicators Programme Minimum Access Criteria 1. LGA environmental and social management system in place and operational whereby:  Council ratifies use of Environmental, Social and Resettlement Manual (ESRM) to guide infrastructure investments. [Year 1]  LGAs designates staff responsibilities for Environmental & Social Management, Compensation and Resettlement. [Year 1 and on]  Verifies that all UPG projects have completed an environmental and social screening checklist as per the ESRM. All projects requiring environmental and social management plans have included them in contracts for civil works. Where required, the Resettlement Action Plan has to be completed for all projects involving resettlement. [Year 2 and on] 2. ULGAs to have a system in place for handling grievances that keeps track of records of all grievances, disputes, conflicts and wrangles related to the Programme social and environmental management and fiduciary issues. Records should be obtained from the designated staff for handling grievances on number of grievances filed, nature of grievances, status, and resolution and the status of grievances included in overall Programme reported to PMO-RALG and verified. [Year 2 and on] Program Performance Indicators The LGAs will have to demonstrate that: 1. Consultative process for Performance Grant Utilization is in place: Performance Grant Utilization Plan for the Programme is developed and discussed by the (a) Full Council; (b) respective Ward Development Committees; and (c) respective Regional Secretariat. (d) Project Affected People to get their inputs on potential impacts and mitigation measures. 2. Records are kept on environmental and social management: As part of overall Programme reporting from LGAs to PMO-RALG, staff with designated responsibilities for environmental & social management and resettlement & compensation report on a quarterly basis according to guidelines provided by PMO-RALG. 3. Environmental and social management is included in participatory processes: LGAs will have to demonstrate satisfactory participation of the public and stakeholders via: Meeting minutes that at least one public meeting for infrastructure projects included environmental and social issues. Making environmental and social impact assessment documents publicly available. Ensuring that public sensitization meeting was held for projects requiring resettlement 158 4. Timely payment of compensation fund: all Project Affected People eligible for compensation are paid prior to relocation and/or initiation of civil works. Therefore, this manual acts as a tool to improve the environmental and social management system for ULGAs implementing the ULGSP. Performance indicators related to environmental and social management will be in line with the key areas where guidance has been provided for in the Manual. 159 APPENDIX C: Project Specific Guidance 160 City roads and related infrastructure Eligible projects under ULGSP  Road rehabilitation: Grading, graveling, brick paving, tarmac, upgrading or  Minibus stands and bus stops (e.g. minibus parking areas for approximately 25 rehabilitation for which the ULGA is responsible (maximum 15 km per year) vehicles)  Road side and Stand-alone open storm-water drains  Taxi stands  Culverts  Truck stands  Small Bridges: 6m span or less  Public car parking  Street lights  Other road-related infrastructure (street furniture, vending platforms, signage) Examples of Typical Impacts Biological a) Damage on vegetation, fauna and its habitats, endangered or vulnerable species, and vital life-cycle functions; b) Impacts on protected areas- increased road access near such areas increases poaching and illegal harvesting of resources in protected areas environment c) Depletion of natural resources due to uncontrolled use or excavation e.g. water depletion, soil deterioration, deforestation, etc Physical d) Perturbation of the aquatic environment (e.g., effects on the integrity of the watercourses, drainage, and sedimentation regime due to erosion, changes in water course, access roads across watercourses, etc); environment e) Effects on landscape features such as escarpments or limestone karsts causing soil erosion, landslides etc; f) Effects on the soil quality and on the quality of surface and underground water sources (especially water sources used for domestic purposes); g) Modifications to air quality (increase or decrease of air pollution from emissions, dust, odours and exhausts), its potential effects on public health, especially on vulnerable groups (e.g., hospital patients, children, and elderly people); h) Modifications to the ambient noise level in the study area; i) Improved drainage system reducing risk of flooding and stagnant pools of water Social j) Effects on the visual environment (e.g., intrusion of new elements in the visual environment and modifications in the quality of the landscape); k) Impacts of the construction activities on the cultural and natural heritage, including effects on archaeological or paleontological sites and heritage environment buildings (damage, removal, demolition, restricting access); l) Impacts on the existing or potential use of the territory, mainly to urban, residential, commercial, industrial, and/or institutional areas, and impacts on agriculture and forestry; m) Effects on residential areas, modifications in the access to buildings, destruction of future residential areas, fragmentation of property, and expropriation of buildings; n) Anticipated effects on the agricultural vocation in the areas adjacent to the project, loss of agricultural areas, modification to the drainage on agricultural land, and consequences to livestock; o) Anticipated effects on the forestry vocation in the areas adjacent to the project and loss of forested areas and economic value; p) Impacts on the existing or proposed public infrastructure, such as roads, electrical installations, water intake, hospital, parks, and other natural sites (negative impacts if damaged or access restricted during construction; positive impacts if upgraded, rehabilitated or access is improved during operation); q) Social impacts including effects on the population and its quality of life [e.g., relocation of the population, of their activities, modification of their habits (severance), and loss or creation of green areas for rest and recreation]; r) Economic impacts of the project, including the construction and maintenance costs as well as the indirect effects on tourism, employment opportunities at the local and regional levels, development of new services, land values, and local government incomes; s) Pollution by noise or dust during the construction period and the inconvenience related to construction traffic (e.g., road deviations, traffic jams); t) Impacts related to floods, movement of the soil onto the road infrastructure, and access to the road network; u) Effects on the travel duration and distance (negative impact during construction; positive impact during operation); v) Effects on traffic safety, including the major consequences and risks for the user and the surrounding population (negative during construction but could greatly improve safety during operation). Specific attention should be given to the transport of dangerous goods. 161 Examples of Environmetnal Management and Mitigation Practices Road Rehabilitation works  Identify erosion prone areas and plan construction works and sites to limit quantity of material likely to be eroded and transported into watercourses. Erosion control  Identify permanent erosion control measures that can be implemented and plan their design and costs into construction e.g o use of vegetation e.g. agricultural plants or any other type of mulch; use of permanent vegetation such as trees, etc o use of mechanical process e.g. stone ripraps, spreading gravel or crushed stone, use nets and matting, etc.  Minimize surface area to be cleared during works  Leaving buffer zones of natural vegetation cover between a cleared area/access roads and water bodies  Avoid and minimize the removal of stumps, trees and natural vegetation  Design slopes and ditches to prevent erosion  Minimize the extent and exposure tie of bare/cleared areas  Topsoil from stripped areas should be put aside for later use in the areas that will be re-vegetated  Divert surface runoff from exposed surfaces  Identify what type of solid or liquid wastes will the project generate o Waste water from concrete works, washing of aggregates, maintenance warehouses and garages, petroleum reservoirs Waste management issues o Solid waste including scrap wood, slags and blast-furnace slags, rubble, non-reusable excavated material, chunks of pavement, pieces of concrete and masonry, non-fermentable crushed or shredded residue not containing dangerous waste  Identify ways to reduce the volume of waste by reusing or recycling initiatives  Prepare waste collection and transportation mechanisms to water treatment facilities and disposal sites provided by local government Grading  Levelling near lakes or rivers must be avoided (i.e., a 30-m limit from the top of the bank’s slope), unless this is the location of the planned work  Removing or moving grave sites, foundations, or other historical or archaeological remnants of interest are to be avoided  materials deposited on the surface of inclined ground must adhere well to the existing ground to avoid sliding  Preserve topsoil stockpiled to a maximum height of 1.5 m to be used to landscape the road slopes and other disturbed surfaces  Excavated material must be immediately piled/temporarily stored either inside the road reserve or an area which is already cleared located more than 60 m from water bodies.  Excavated material not re-used can be deposited, leveled and landscaped to give it a natural and stable form either within the right of way, 35m from the road reserve or 60m from water bodies. Machinery operation and  Machinery maintenance site should Have central disposal point for used fuels, oils, paint, vehicle fluids, and old tires and tubes, household, office, workshop, and other solid wastes maintenance  Machinery maintenance site should Have secure storage area with an impervious surface that can contain fuel, oil, and other fluid spills from servicing of plant, equipment, and vehicles  Spills must be cleaned up by burning in place or collecting the contaminated soil and burning it at the central disposal area that was approved by the Engineer;  Residue deposited on the ground from washing trucks or from any operation must be buried or cleaned up to the satisfaction of the Engineer;  Avoid use of heavy machinery closer that 30m from watercourses or lakes  Avoid use of heavy machinery during rainy season to avoid ground compaction, creation of ruts and loss of organic matter 162  Avoid use of heavy machinery neat properties to prevent damage or cracks  Move heavy machinery outside construction areas during peak traffic times  Re-fuelling, lubrication and cleaning of machinery to be done at maintenance site to avoid and minimize risks of leaks and spills on soil and water courses.  fuel tanks in maintenance sites should be equipped with a reserve basin to prevent soil or water contamination from accidental discharge/spills Bypass and temporary access  To the extent possible, the temporary access roads should be located in the road reserve  should respect the boundary lines and linear measurements already established roads  In general, the width of a temporary access road should not exceed 2.5 times the width of the largest vehicle using it.  Site clearing should be restricted to the width of the road reserve.  crossing/traversing any natural watercourse or draining ditch should be restricted  Restore the landscape after construction to its natural state and remove other infrastructure Management of petroleum  Petroleum products, lubricants, and other hazardous materials must be transported in leak-proof containers that are clearly labelled as containers holding hazardous materials products and hazardous  Petroleum products, lubricants, and other hazardous materials must be stored outside easily flooded zones and more than substances 60m from watercourses or wetlands.  Tanks and filling equipment for petroleum products must be surrounded by a retention dike designed to completely contain the content of each tank inside the basin in the event of an accidental discharge  Workers handling and using hazardous materials must be specifically trained in how to handle and use hazardous materials and in how to avoid any risk of accidental discharge.  Workers must be trained in how to respond in the event of a natural disaster or environmental emergency, including events leading to chain reactions, so as to avoid any accidental discharge  Store materials to control discharges near construction areas(e.g., absorbent material, peat, sand bags, shovels, pumps, machinery, containers, and gloves) Managing air and sound  Contain fine sand, cement and other materials with a firmly fixed cover during avoid dust formation  Installation of dust filters on equipment pollution  Repair and maintain machinery to reduce exhaust fumes  Dust-control agents can be used (e.g., wood shavings, mulch) or water can be sprayed (e.g., near buildings, streams, and wetlands) to reduce dust during activities such as construction, excavation, drilling, blasting etc.  Engines should not be left running unnecessarily to reduce noise, exhaust fumes, smoke, dust or other harmful effects  Carry out blasting, use of jackhammers, pile driving, rock crushing, or other operations generating high-intensity noise during day light hours  Using the noise-suppressing devices available on certain equipment (e.g. mufflers, side panels on compressors, etc).  Installation of noise protection screens e.g. ridge made from excavated material, wall from plywood, mobile trailors, stacked materials, etc) Managing natural resources and  Avoid or minimize removal of trees or plants with economic or food-source functions (e.g., teak wood or fruit and nut trees)  Minimize and avoid access roads that will result in individuals or communities to lose any assets e,g. land used for urban existing land uses agriculture  Avoid siting of new borrow areas that will result in land use conflicts  Avoid locating drainage structures and outlets that will pose problems to land users e.g. a steep ditch that cannot be easily crossed preventing access to services/land across the road.  Informing and involving land users in the design and siting of drainage structures  Use of drainage structures and turnouts to benefit communities in water-deprived areas  Drainage structures can be designed to allow community to harvest water 163  Use of borrow pits converted to some other use to the community after project completion e.g. water collection pond, dumpsite, etc.  Rehabilitation works to maintain the same road alignment to avoid or minimise land and property acquisition.  To avoid removal and/or damage to existing structures and infrastructure during construction Watercourse crossings (bridges and culverts) Choosing the crossing points  Perpendicular to a watercourse;  In places where the banks are stable;  Downstream from spawning sites;  Downstream from sites designated for animal drinking water supplies;  In sections where the banks are straight and well delimited (i.e., not in river bends);  Downstream from junctions;  Upstream from barriers that fish cannot cross;  Downstream from areas where water is used by people (e.g., for drinking water, washing,  and bathing);  In areas where the slope of the bed is constant or inferior to 5 %. Bridges  Preferred choice of crossing if imposing watercourse, the bank is steep/scarp, large amount of debris, watercourse bed is rock, if area known for spawning and fish migration.  Bridge pillars should not significantly reduce the flow of the watercourse  Minimse the number of pillars to avoid modification of the hydraulic regimen  Prevent or recover solids such as metals from the watercourse after construction works Culverts  Avoid obstructing movement of fish where applicable (flow rate inside a culvert should not exceed 1.2 m/s for a culvert < 25 m or 0.9 m/s for a culvert > 25 m.)  Foundation rafts upstream and downstream of a culvert to be laid at least 15 cm below the natural bed of the watercourse or with a depth corresponding to one-fifth the diameter of the culvert.  When it is necessary to install culverts in parallel, place one culvert 15 to 30 cm lower than the others  Plan for floodwater flow to prevent ponds forming upstream from the culvert.  Plan the location and dimension of a culvert in collaboration with herders to ensure the safe passage of herds and reduce the risk of road accidents Construction works  Complete the work as quickly as possible;  Minimise the use of heavy machinery in the cross section of a watercourse  Avoid land clearing and general construction work during periods of flooding and strong rains  Minimize removing nearby vegetation and topsoil without suitable control measures to prevent sedimentation in watercouse  Preserve and store Organic waste and topsoil that is removed from the edge of a watercourse during the work for use during site landscaping  Never use granular material from the bed and banks of a watercourse as fill;  Avoid works during periods critical to fauna e.g. breeding, migration etc.  Carry out all excavation work in the shelter of a cofferdam which isolates the operating area (e.g., the piers, abutments, and foundations of bridges and culverts).  Prevent damaging the banks by installing protection measures before beginning the work (e.g., trees, beams, or metal grids).  If vegetation must be removed, stabilise the banks and restore the vegetation once the work is completed;  Preserve the vegetation blanket along the road for at least 30 m on each side of the watercourse near the water crossing.  Never reduce the stream runoff by more than one-third;  Minimise erosion and sedimentation impacts by using energy dissipators, sand bags, etc Water management (drainage) 164 Drainage ditches  Walls and the bottom of the ditch covered with stable granular materials or vegetation to prevent erosion  Slope minimized or if unavoidable installed with elements to reduce the velocity of water at regular intervals e.g. steps, sand bags, etc.  Constructed with turnouts to divert ditch water towards areas of natural vegetation, avoid residential and commercial areas Gutters  Use gutters to allow surface runoff to the bottom of a slope without causing slope erosion  Installed on undistrurbed soil or well compacted fill  Water is to be directed to stabilised area e.g. with natural vegetation, gravel, etc  Constructed with energy dissipators long the length of the gutter, at the exit or bottom of the slope to minimise erosion Other drainage systems  Gabbions: metal baskets filled with stones wired together to form a uniform and unmovable block. Can be used to line channels, form retaining walls or dams, stabilisation,  Derivation dam or ridge of soil at the top of a fill or excavation slope to divert small surface runoff areas using a narrow channel Residue water  Channel water used for building work into drains and gutters  Use of sedimentation basins where applicable to reduce suspended particles in surface water during construction Public transport and parking Road side bus stops  Provide lay-bys for bus stops and informal trading - they should be generously dimensioned and well-signed  locate lay-bys in safe locations that do not obstruct junctions and that are not far from existing stopping places  Check that pedestrians can get to and from the bus stops using safe paths and crossing points. Stands: buses, taxi, trucks  Direct and safe pedestrian access should be provided *** to search more content***   Public and Workers Health and Safety  Establishing or promote an existing HIV/Aids programme that will o Create awareness among the project managers and leaders of road construction companies; Public Health o Encourage the adoption of a proactive change in behaviour including abstinence and/or fidelity to their spouse, systematic use of condoms, and HIV testing o Provide the necessary support to service providers (i.e., medical personnel, educational peers, and community representatives), as well as clinical and psycho-social support to infected persons; o Ensure that means of prevention or treatment for STIs and HIV/AIDS are available and o accessible to workers and the local community members during the project implementation  Does the design and implementation process take into consideration health risks that are prevalent in the project area (e.g., guinea worm, malaria, or meningitis)  Prevention of mosquito breeding grounds to reduce prevalence of Malaria, gastro-enteritis, and other diarrhoeal illnesses due to the proliferation of mosquitoes; Road safety  Designing safe roads in terms of route location, road geometry, and roadside access  Provision of sealed shoulders (min. 1m wide) has significant safety benefits for motorists, pedestrians and cyclists  Speed management: speed limits, humps, etc  Junctions can be made more safe through careful choice of design (e.g., roundabouts tend to be safer than other types, but are not suitable for all situations); realignment to create better visibility; channelisation of traffic movements by islands (kerbed islands (built-up areas); road markings for high speeds) and priorities (who gives way); advance warning signs; lane markings  Bends with clear warning signs, delineators, lane markings, crash barriers, etc  Cover open drains in built areas for pedestrian safety  Crash barriers to prevent out of control vehicles from leaving the road  Bridges with no sharp bends or steep grades, with adequate visibility, crash barriers, footways for pedestrians, etc. 165  Traffic signals that are upgraded with road improvements, that are manufactured according to standard and are maintained in good condition  Signing and traffic control during construction  Provide adequate sanitation, potable water, and rest areas to workers; Occupational health and safety  Prepare for accidents (e.g., identify nearest doctor and hospital) to ensure a swift response when health issues arise; issues  Provide on-site First Aid kits and that at least 2 persons per worksite have received First Aid training;  Delegate one staff who has been trained in OHS as Safety Officer;  Train employees on health risks, on measures to ensure safety, on how to use Personal Protective Equipment (PPE), on the importance of using safety equipment, and on what to do when accidents occur;  Train workers handling toxic substances and dangerous machinery on elevant ‘best practices’;  Provide all workers with required PPE (i.e., supply safety equipment based on a worker’s responsibilities, e.g., provide dust masks to workers working in dusty conditions);  Enforce the correct use of PPE by workers and apply sanctions to workers who are not compliant;  Ensure that safety measures and procedures are adequate and correctly implemented, particularly with regards to passage of traffic, work procedures, equipment, and materials. 166 Markets and Trade Eligible projects in ULGSP  Abattoir (maximum capacity of 100 head of cattle per day)  Commercial market infrastructure Examples of Typical Impacts  Health impacts from stagnant pools of water due to insufficient surface water drainage. Rehabilitation and maintenance of infrastructure reduces health risks  Negative health impacts from use of water from poor quality source / reduced health impacts from improved water source.  Negative health from improper sanitation and solid waste management facilities / reduced health impacts from improved sanitation and solid waste management.  Fire hazards and odours from improper waste collection  Nuisance, smoke and odour from burning solid waste  Pollution of ground and surface water sources from improper waste management and surface water drainage  Income generation and providing livelihoods for new and rehabilitated market infrastructure.  Recovery of compost material and livestock feed Examples of Environmental Management and Mitigation Practices Markets Selecting a new Wholesale  Decide whether it is necessary to concentrate all wholesaling activities at a single site. Can a new market site be located on government owned land to avoid land acquisition? market site  Multi-market locations may be more suitable if there are many small-scale retailers, with premises scattered throughout the city; if retailers' transport facilities are inadequate and if roads are highly congested  Consider proximity to main road and public transport- near enough for traders to access but not to cause congestion  Location area should be level, with stable soil conditions and not within a flood-plain - optimum range of gradients is 1 - 4 per cent, which should lead to the least-cost construction for roads, services and large-span market buildings.  site should, ideally, already be provided with public services (water, electricity, sanitation, waste collection)  Site should have a regular and compact shape.  The surrounding development should be compatible with the market: avoid residential areas or public hospital, preferably on the edge of a light industrial area, with easy access to existing and future retail areas Whole Sale Market Building  Appropriate arrangement for the buildings will depend on the operations of the market, how produce will flow and how it will be managed design  The planning grid should find the optimum size of sales areas and wholesalers' stalls-If they are over-sized this is likely to lead to a low turnover and an underuse of resources.  Use the minimum of fixed walls so that sale areas and stalls can be defined by moveable partitions  Minimum clear vertical dimensions should consider the use of fork lifts, trucks and other equipment for loading  Buildings in warm, humid climates should be planned to minimize solar heat gain and to maximize air flow- building orientation on an east-west axis; spaced to allow breeze penetration; rooms to allow cross-ventilation with large openings; walls should have a low thermal capacity; roofs will need to be insulated with wide overhangs to prevent sun penetration and to give protection from heavy rains.  Buildings in hot, dry (arid) climates should be planned as compactly as possible in a courtyard form with precautions to prevent entry of hot dry winds.  Planning and location of internal elements: canopies, buyers' walks, display areas, loading ramps (max. 8% grade), doors, fire- fighting equipment, refuse bins, signs.  Planning and location of external elements: fencing and gates, posts and barriers, gantries, fuel and water tanks, temporary 167 shade structures, fire hydrants, solid waste skips, landscaping and drainage  segregate the produce coming in from that going out, usually by adopting a one-way circulation system  Provision of parking that does not obstruct loading areas Retail Market Building design  Decide the type of retail market: covered, open and roadside markets located in traditional city centre and inner city sites; and markets needed for new urban fringe and suburban areas and location  Planning of new market sites will need potential locations which would most strongly support a new market to be identified, and the size for new markets based on what would be most economically feasible to be defined  Location is to balance between the retailers' desire to maximize profit and consumers' desire to have the convenience of a wide range of reasonably priced services and facilities within a short distance of where they live Surface Water Drainage  land filling to bring the site above flood level or to provide a more stable base for construction  drains that will channel water without causing blockage or flooding  frequent cleansing of drains which are easily blocked by produce waste  covering open channels with steel gratings or concrete slabs  paving larger areas of the market with fitted drainage channels Water supply and Sanitation  The operator should ensure that there are compartment sinks that is easily accessible to all producers on the premises, serviced with running water and connected to an approved drainage system.  The operator shall ensure that are toilets and hand basin for each gender that is easily accessible and maintained in a clean condition and in good repair.  The operator shall ensure that the toilets and hand wash basins are provided with water and connected to an approved drainage system.  In areas with unreliable supply of water a pumped supply from a bored tube well can be stored in an on-site storage tower.  Regular water-quality analysis of any existing supply may be required to test for the presence of pollutants, particularly faecal coliform bacteria Solid waste Management  Ideal system is using container interchange based around skip lifting vehicles: skips (3 - 9 cubic metres in volume) located at strategic locations in the market for gradual filling from hand cart loads.  Skips should be collected regularly based on volume of waste produced per day and empty skips left for the next collection  For small secondary wholesale markets the most convenient collection vehicle may be a tractor and trailer combination. In this case refuse would be collected in the market at fixed enclosures (usually constructed of rendered masonry or concrete) and then manually transferred into the trailers  The operator should ensure daily general cleaning of road and floor surfaces within the market  The operator shall ensure that a sufficient number of covered containers are provided to hold all garbage and refuse. Food protection  Food shall be protected at all times from insanitary conditions and from potential contamination, including dust, insects, rodents, animals, unclean equipment and utensils, unnecessary handling, coughs, sneezes, flooding and drainage through the use of clean, new, approved packaging or display cases.  Containers of food should be stored be stored a minimum of 15cm (6 inches) off the ground (floor).  Food shall not be stored in direct contact with water.  Potentially hazardous foods requiring refrigeration should be kept at an internal temperature of 5°C (41°F) or below.  Frozen foods should be kept frozen (-18°C/0°F or below). Labelling  Packaged food should have labels that show: Source – producer name or identity code, and phone number; Common name of food; Ingredients; Date the food was prepared Equipment  All utensils, display cases, counters, shelves, tables, refrigerating  equipment, sinks and any other equipment used in connection with a  Farmers’ Market operation shall be so constructed as to be easily cleaned  and shall be kept clean and in good repair at all times 168 Personal hygiene  All persons handling food products shall conform to proper hygiene practices i.e. avoiding sneezing coughing or blowing of nose on food, washing hands regularly, hair and sweat kept off face  All persons handling food products are to be free from disease conditions which may contaminate foods (i.e. open sores, cold, flu). Noise Pollution  Distance attenuation, by siting noisiest uses away from sensitive areas.  Restricting the working hours of a market, e.g. minimizing the impact of heavy traffic early in the morning  Attenuation by screening e.g. by constructing a wall around a site can reduce the impact on noise levels 169 Solid Waste management Eligible Projects under ULGSP  Dumpsite rehabilitation (closed and controlled dumpsites)  Community waste collection points  Equipment Examples of Typical Impacts  Reducing negative health and environmental impacts of accumulated uncollected waste and disposal sites: dysentery, diarrhoea, scabies, eye infections, typhoid, cholera, intestinal parasites, etc  Reducing negative health and environmental impacts of presence of toxic wastes within dumpsite that poses public health risk  Controlled air emissions from waste collection, transfer vehicles, etc : smoke from burning, odor,  Improved handling and disposal of hazardous wastes, including healthcare and industrial hazardous waste.  Identification of income generation and livelihoods opportunities from controlled scavenging, recycling, gas recovery etc  Reducing loss of marketable material that can be recovered for sale or use  Reducing the closure and post operation monitoring costs of the site  Reducing presence of pests, vermins and rodent  Reducing risk of water and soil contamination  Improved aesthetic qualities of urban area to attract investors and tourists Examples of Environmetnal Management and Mitigation Practices Dumpsite Rehabilitation Site preperations  Levelling off and grading some portions of the area in order to attain a suitable surface prior to controlled disposal operations  Relocation of structures such as storage areas for recyclables by scavengers, shanties and others to be outside of the disposal area  Public consultation, consensus and participation in solid waste management including siting alternatives, collection methods, recycling, composting etc. Fencing  Delineation of the site boundary: stake and barbed wire fence or an excavated perimeter ditch and bund planted with shrubs  Buffer strip: 5 meter wide of trees around the dumpsite to improve aesthetics and act as wind break. Scavenge control  Scavenge area prepared near waste disposal area where truck unload  Consultation with the community to set up system for scavenging licences for families or groups to enter the dumpsite to pick valuables Access Road  Upgraded access roads to compacted earth and gravel top dressing to ensure it is accessible throughout all seasons  Access road design and gate to be wide enough for the passing of two trucks 170 Surface drainage  Design of surface drainage to minimize stagnant pools and percolation of surface runoff into waste to form leachate.  Identification of leachate source and accumulation points  Development of a plan to drain or pump for treatment or recirculation into waste Use of facility  Only municipal solid wastes are accepted. Toxic or hazardous wastes should not be allowed.  Registration of vehicles entering the facility before being allowed to proceed to the present working area: weight, source of waste, type of waste, time, etc.  Site personnel to record all pertinent data, supervise unloading and scavengers and maintain facility. Data to be recorded includes volume of waste received daily, special occurrences such as fires, accidents, spills, unauthorized loads, and daily waste inspection logs.  Fire control: prohibit mixed solid burning to prevent air pollution and health risks; have soil stored within facility to put out fires  Maintenance of access roads and drainage systems to minimize accidents, spillage and stagnant pools of septic water Unloading and Spreading of wastes  Designation of a working area/face where waste is to be unloaded at.  Allocation of specific times for scavengers to collect any valuable materials before remaining waste is bulldozed to emplacement area.  Waste is spread and compacted in layers not greater than 0.6m (2 ft.) after compaction. Compaction of the waste should be on a slope of about 20-30% and worked from the bottom of the slope to the top.  A movable litter barrier is installed downwind of the active area. Application of daily cover  Daily cover of at least 0.15m (0.5 ft.) thick is placed over the waste and compacted, preferably at the end of each working day.  Daily cover materials : soil, inert material such as carbonized rice hulls or non-hazardous ash  Inactive areas are covered with an intermediate cover of at least 0.30m (1 ft.). Equipment  Availability of equipment to perform the following functions: excavation, handling, spreading and compaction, maintenance of on-site roads, pumping of water and/or leachate, making drainage ditches  Examples of equipment: Bulldozer (spreading, compaction and soil cover), Tractor with trailer, hand tools etc Monitoring Activities  Recording of the incoming waste volumes;  Land surveying of the waste disposal area;  Monitoring of groundwater quality near the disposal facility;  Inspection of drainage canals and ditches; and  Availability of earth cover material. Community Waste Collection Points Options of how to collect Waste  Waste separation from source: public sensitization and training required for residents to learn sorting method  Providing communal skips that are not too far from residents, that are emptied regularly and not easily vandalised by scavengers. these can be for separated waste or combined  Organised door to door transfer by local contractor to communal skips  Road side collection by waste collection vehicles taken directly to landfill/dumpsite  Collection and disposal of hazardous or medical waste to be outsourced to specialised contractor 171 Options for transporting waste  Collection to communal skips can be done by wheel barrow, bay hand, hand carts and trolleys, tuck tucks, small trucks  Collection from communal skips to dumpsites done by vehicle.  Vehicle choice is dependent on type or terrain and access roads; type of wastes collected; density of waste collected; waste generation rate; collection frequency; haul distances to dumpsites; staff size available for loading and unloading; costs for purchasing, fuel, maintenance, etc. Container options for communal  Permanent brick /concrete and plastered container for 75-100 households (1m×1.5m×1m). Appropriate if no roadside collection points transportation service available.  Steel container for 100-200 households emptied regularly to dumpsite.  Temporary dumpsite: building structure with roof able to contain waste from 200 households per day emptied regularly to 2 dumpsite (100m )  Advanced Temporary Depots: permanent building with roof and designated areas for waste separation into inorganic waste 2 and composting (200-500m ). Inorganic waste either recycled or taken to dumpsite, compost can be produced on site for sale or taken to composting site for sale  All options require emptying regularly to dumpsite to prevent odours, vermin, rodents, pests, soil and water contamination, etc Workers health and safety  Workers are to be provided protective clothing e.g. safety boots, gloves, overalls, helmets, goggles, etc. To be included in contract documentation if outsourcing Vehicle types for various haulage  Wheel barrow: 0.5 km distances  Hand/animal carts and trolleys: 2km  Trailers: 5km  Closed Trucks: 15km  Skip loaders, Tip Pak vehicles: 20-25km  Mobile compactor vehicles: 30km  Roll-on-roll-off vehicles: 30-90km *** to add on public spaces***