ZANZIBAR URBAN SERVICE PROJECT - ADDITIONAL FINANCING
Environmental and Social Management Framework (ESMF)
Environment & Development Management Consultants
Contact Address Ubungo Plaza, 5thFloor,
Morogoro Road, P.O Box 32312,
Dar es Salaam, Tanzania
Tel. +255 22 2461261
Mobile: +255 757768737
Directors: 0754 291997;
0715291997; 0754 265864;
8th February 2016
TABLE OF CONTENTS
1.1 PURPOSE AND OBJECTIVES OF THE ESMF 3
1.2 SCOPE OF THE ESMF 4
1.3 USERS OF THE ESMF 5
1.4 APPROACH AND METHODOLOGY FOR DEVELOPMENT OF THE ESMF 5
B.ZUSP AND ZUSP ADDITIONAL FINANCING PROJECT DESCRIPTION 8
2.1 BACKGROUND OF THE OVERALL ZUSP 8
2.2 ZUSP ADDITIONAL FINANCING PROJECT 12
C.BASELINE ENVIRONMENTAL AND SOCIAL CONDITIONS 15
3.1 KEY VALUED ENVIRONMENTAL COMPONENTS IN ZUSP-AF AREA OF INFLUENCE 15
3.2 SOCIAL, ECONOMIC, CULTURAL CONDITIONS 24
3.3 EXISTING ENVIRONMENTAL AND SOCIAL CHALLENGES 31
D.POLICY, LEGAL AND INSTITUTIONAL REQUIREMENTS 33
4.1 ZANZIBAR ENVIRONMENTAL AND SOCIAL MANAGEMENT REQUIREMENTS 33
4.2 INSTITUTIONAL FRAMEWOK 42
4.3 WORLD BANK SAFEGUARD POLICIES 43
E.ZUSP ADDITIONAL FINANCING PROJECT ENVIRONMENTAL AND SOCIAL IMPACTS AND MITIGATION 47
5.1 ZUSP-AF ACTIVITIES LIKELY TO CAUSE ENVIRONMENTAL AND SOCIAL EFFECTS 47
5.2 POTENTIAL DIRECT ENVIRONMENTAL AND SOCIAL IMPACTS OF ZUSP-AF AND MITIGATION MEASURES 48
F.DEVELOPMENT OF SAFEGUARD INSTRUMENTS AND IMPLEMENTATION ARRANGEMENTS 59
6.1 ZUSP-AF ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN 59
6.2 ENVIRONMENTAL AND SOCIAL MONITORING ARRANGEMENTS 60
6.3 ESMF DISCLOSURE 61
G.PROCEDURE FOR SUB-PROJECT ENVIRONMENTAL AND SOCIAL SCREENING, APPRAISAL, REVIEW AND APPROVAL 62
7.1 PURPOSE OF THE SUB-PROJECT ENVIRONMENTAL AND SOCIAL APPRAISAL AND APPROVAL PROCEDURE 62
H.PROCEDURE FOR SUB-PROJECT IMPLEMENTATION, MONITORING AND REPORTING 72
8.1 PURPOSE OF THE SUB-PROJECT IMPLEMENTATION PROCEDURE 73
I.SUBPROJECT IMPLEMENTATION ARRANGEMENTS 81
9.1 ESMP IMPLEMENTATION 81
9.2 MONITORING AND REPORTING 82
9.3 TRAINING 83
J. REFERENCES 85
The Zanzibar Urban Services Project (ZUSP), effective in 2011, was prepared in a response to a request from the RGoZ to assist with the financing of an investment operation that would provide finance for critical infrastructure in key urban areas of the Zanzibar Mucicipal Council (ZMC) and Pemba Towns and support for improved management capacity for urban development and management. ZUSP recognizes the strategic importance of Zanzibar urban centers as the engines for the country’s structural transformation, economic growth and nationwide improvements in welfare. Zanzibar Municipal Council has strategic importance to Zanzibar Island and the country in terms of its physical location, importance for local and international trade and tourism, demographic weight and contribution to the national economy.
The project development objective (PDO) is to improve access to urban services in Zanzibar and conserve the physical cultural heritage at one public location within Stone Town. ZUSP has three components: (i) Institutional strengthening and infrastructure development for Zanzibar Municipal Council (ZMC), (ii) Support to Town Councils in Pemba Island, and (iii) Project management. Project financing (IDA credit) totals US$ 38 million. ZUSP is executed by the Project Management Team (PMT) under the implementing agency, the RGoZ's President’s Office – Finance, Economy and Development Planning (PO-FEDP, now Ministry of Finance).The existing ZUSP project supports provision of basic infrastructure services (sanitation, flood control, and public green space) and cultural heritage.
The proposed additional financing for the project (ZUSP-AF) will enable the project to maximize development impacts and sustainability through scale-up. These activities will increase access and quality of urban services; improve quality of life and local economic development; strengthen municipal finances, and provide strategic investments supporting Zanzibar’s urbanization and economic development agenda. The ZUSP-AF would include a $45 million credit that would primarily be used to scale up Project activities in four areas: (i) environmental sanitation, (ii) urban upgrading and cultural heritage, (iii) small-scale investments in Pemba, and (iv) improving municipal finance.
The proposed ZUSP–AF will support sub-projects likely to generate some detrimental environmental and social impacts the extent, magnitude and duration of which have not yet been determined. Additionally, there will be new developments whereby the exact nature of the works (or their location) is not currently known. In order to guide environmental and social due diligence and management during implementation of the investments receiving funds from ZUSP-AF, the World Bank’s Environmental and Social Safeguard Policies require the RGoZ to prepare an Environmental and Social Management Framework (ESMF) to guide target urban Local Government Authorities – Zanzibar Municipal Council (ZMC) and Pemba Town Councils (PTCs) in assessing, managing, and monitoring environmental and social impacts of these additional sub-projects.
The RGoZ has developed this Environmental and Social Management Framework (ESMF) (and the Resettlement Policy Framework, which is a stand-alone document) as a tool to be used by the ZUSP and ZMC Project Management Team (PMT) and others responsible for ZUSP-AF project design and implementation.
1.1 PURPOSE AND OBJECTIVES OF THE ESMF
The proposed ZUSP Additional Financing Project (ZUSP-AF) has been classified as Category A project with potential to cause significant environmental and social impacts, which is consistent with the parent ZUSP project. Although, most of the low-cost urban upgrading infrastructure investments are envisaged to generate site specific impacts that can be minimized by the application of mitigation measures, it is likely that some activities will cause detrimental impacts albeit at a Category B level. Proposed additional improvements entailing construction of a landfill and sludge treatment facility at Kibele, which have not yet initiated complete technical designs, likely fall under Category A. This ESMF is envisaged as a road map to ensure the sub-projects to be financed under the project are designed and implemented in an environmentally and socially sustainable manner and meet all RGoZ legislative requirements and the World Bank Safeguard Policies.
The objective is to have in place a practical ESMF to enable early screening for potential impacts and select appropriate instruments to prevent, minimize, mitigate or compensate adverse environmental and social impacts and to enhance beneficial impacts. Specific ESMF objectives are to:
Establish clear procedures and methodologies for the environmental and social planning, review, approval and implementation of subprojects to be financed under the ZUSP Additional Financing Project;
Specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to ZUSP-AF;
Determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF;
Establish the Project funding required to implement the ESMF requirements; and
Provide practical information resources and guidelines for managing and monitoring environmental and social concerns related to subprojects once their nature and locations are known.
1.2 SCOPE OF THE ESMF
The Environmental and Social Management Framework identifies the general potential impacts and mitigation measures of yet-to-be identified investments in solid waste, urban upgrading as well as institutional strengthening activities, in order to screen subprojects and guide preparation of ESIAs of subprojects once they are known. The ESMF includes practical, operational set of guidelines and procedures that will be used by the ZMC and Pemba Town Councils to guide future ESIA preparation, including the ESIA for waste management activities at Kibele site.
This ESMF is specifically designed for the ZUSP-AF activities thus will further guide the next phase of implementation of the ZUSP. The ESMF will also cover all other sub-projects that may be identified in future for financing under the project. Although it is designed as a tool to guide overall environmental and social management procedures in the ZMC and PTCs, the framework is relevant for other urban areas of Zanzibar (including Pemba).
The ESMF strives to conform to relevant RGoZ policies and legislation and consistent with the World Bank Safeguard Policies, including consultation and disclosure practices for Category A projects. Where there are gaps in the RGoZ policy and legislation, the standards and procedures in the Safeguard Policies will be the prevailing guidance.
The document draws from existing standards and guidelines on environmental management, cultural heritage conservation as well as existing environmental and social management plans, resettlement action plan etc. Specifically, the ESMF contains subproject screening guidelines; guidelines for impacts identification, evaluation and mitigation; guidelines and best practices for mitigation implementation supervision & monitoring as well as identification and implementation of consultation processes, , and a description of the grievance redress mechanism for the ZUSP-AF.
1.3 USERS OF THE ESMF
The ESMF shall aid the objectives of the ZUSP by facilitating ZMC project teams and other project participants aware of environmental and social requirements for assessing ZUSP financed activities, thus enhancing their capacity to effectively manage environmental and social issues during the preparation (designing, planning) and implementation of the individual sub-projects. The tools and guidelines are tailor-made and suited to the needs of ZUSP, ZMC, Participating Pemba Town Councils, Stone Town Conservation & Development Authority (STCDA) and relevant Ministries, Departments, Agencies and Authorities (MDAAs) and services providers, specifically:
ZUSP PMT, Department of Urban and Rural Planning (DoURP), ZEMA and others responsible for developing support strategies / activities of implementation.
Project Teams at ZMC and PTCs, and staff in target sectors (roads, sanitation, environmental management, cultural heritage etc.) who are responsible for application/planning, review, approval, and supervision of the sub- projects;
Statutory committees at the urban authorities, and local management committees overseeing environmental and social aspects;
Leaders and representatives from sub-project host communities;
Consulting engineers, Contractors and service providers involved in subproject planning / design, construction and installation works.
Environmental and social assessment consultants and development services providers who provide services to ZMC in non-core functions such as management training or technical support;
Respective Regional and District Offices
1.4 APPROACH AND METHODOLOGY FOR DEVELOPMENT OF THE ESMF
The approach used to develop the framework document took two forms: 1) identification of impacts, mitigation measures and monitoring procedures for the overall ZUSP-AF; 2) provision of guidance to Implementers (of sub-projects to be identified in the future) on how to overcome the specific and cumulative impacts arising from implementation of individual or clusters of the investments. Each of these two is explained below.
Identification of impacts and mitigation measures and monitoring procedures for the overall ZUSP AF
Since ZUSP is an on-going project, the assessment put emphasis on gap analysis by undertaking evaluation of the general implementation status of the current environmental, social and resettlementactivities under the ZUSP in order to draw out practical lessons happening on the ground. The ZUSP existing safeguard instruments and implementation reports related to environmental and social management were reviewed to determine prevalent conditions /trends and to establish the extent of achievement of the set targets against key result elements and performance indicators. Also observations at representative sites and meeting with various Participants and key informants to assemble evidence / lessons on impacts encountered, measures undertaken and their roles and responsibilities etc. The results of the situation analysis were augmented by experts’ knowledge of activities likely to cause impacts mitigation and measures and best alternative approaches conventionally associated with similar programmes.
The ESMF was prepared and provided to some selected key ZUSP implementation units (Departments, Divisions and Sections) to verify the impacts and actions taken. The areas of assessment included but not limited to:
Component(s) of ZUSP-AF associated with environmental, social and resettlement implications and hence requiring safeguard;
Nature of infrastructure investments (subprojects) anticipated under ZUSP-AF;
Identification of general environmental, social and resettlement impacts associated with development of the infrastructure in general and specifically from subprojects of the nature to be funded under ZUSP-AF;
Identification of general avoidance, minimization and mitigation measures and management controls for ZUSP- AF and specific for the type of anticipated subprojects;
Identification of general parameters / indicators to be monitored to track trend of impacts and to ensure mitigation performance.
Consolidating of key findings into a ZUSP- AF Environmental and Social management Plan (ESMP) as well as implementation and monitoring arrangements.
An analytical framework was used to guide the assessment and address evaluation questions under each of the 6 areas.
Provision of Guidance to Implementers on managing safeguard issues emanating from sub-projects
Framework of analysis for determining guidelines required by subproject Planners / Implementers is based on identification of the nature of the safeguard assessment and management process applicable to ZUSP AF followed by determination of the nature of management tool needed by the various actors at each stage of subproject implementation. The tools include:
Subproject specific ESIA process which implementers shall follow;
Sub-project screening guidelines;
Guidelines for impacts identification and evaluation;
Guidelines for impacts mitigation;
Desk Reviews: of relevant literature was undertaken during initial preparations and continued throughout the assessment phase and preparation of the frameworks documents. Information sources include documents from World Bank; relevant Ministries, Departments, Agencies and Authorities (MDAAs) of the Revolutionary Government of Zanzibar (RGoZ); Participating Local Government Authorities: Zanzibar Municipal Council (specifically ZMC Division of Sewerage, Drainage and Solid Wastes) and Pemba Town Councils. Other sources include national and local data and information centres and web-search. Documents reviewed are listed under the bibliography section.
Stakeholders Consultations were conducted by visits to overall ZUSP team, relevant MDAAs ( Departments of Environment, Roads, Urban and Rural Planning, Land and Registration, Forests, Surveys) and ZMC (Divisions of sanitation, environmental management and community development, physical planning) and relevant Council Management Committees. Activities involved gathering available documents (i.e. environmental / economic / social data, land use plans and materials from previous planning sessions); conducting interviews/discussions with Focal Persons and staff directly responsible or involved in ZUSP project implementation and implementers, persons in-charge and beneficiaries, extension officers, community leaders and representatives at subproject level.
Site visits to selected representative sites within the councils include sites under construction i.e. drainage channels at Mnazi Mmoja; potential new /upgrading subprojects including Kibele damp site and septic sludge treatment/disposal site (at Central District, South Region), and site for proposed solid waste materials recovery facility at Maruhubi. Other areas visited include the Michenzani central road corridor, cultural heritage sites in Stone Town, sample infrastructure earmarked for expansion / upgrading in ZMC including roadside drainage systems, public spaces, markets etc.
Development of guides and management instruments
Subsequent to the field visit, the Consultant compiled data gathered and will prepare checklists, guidelines, good practice guides, procedures and mechanisms according to the needs of the various entities implementing the investments financed under the ZUSP Additional Financing, prior to project appraisal.