Below is description of an environmental and social assessment and approval process specific for ZUSP Additional Financing sub-projects. The process is based on a simple screening and approval procedure including linkages with national procedure/institutions.
7.1 PURPOSE OF THE SUB-PROJECT ENVIRONMENTAL AND SOCIAL APPRAISAL AND APPROVAL PROCEDURE
The purpose of this process is to enable implementers of identified subprojects:
To determine whether the sub-project investments are likely to have potential negative environmental and social impacts;
To determine the magnitude of the impacts and their significance;
To determine appropriate mitigation measures for activities with adverse impacts;
To incorporate mitigation measures into sub-project design; and
To review and approve proposed activities or sub-projects.
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 (Annex B). Main steps of the environmental and social assessment process including mandatory initial preparation leading towards approval of sub-projects under the ZUSP Additional Financing are described below. The salient aspects of the process to be established at ZMC and under each participating PTC and DoURP, shall include 10 main steps:
Scoping and TOR
Review and approval of ESIA
Incorporating mitigation measures into sub-project proposals / designs
Final approval of revised designs
Disclosure of approved sub-project
As part of technical assistance to build capacity for safeguards management in the AF activities, the PMT is preparing a set of technical guidelines specific to the project activities, which will be a resource for the PMT, ZMC, DoURP, ZEMA and other actors beyond the ZUSP project. These guidelines will include:
Subproject Screening guidelines
Environmental and Social Impacts Assessment Checklist
Consultation Guidelines and Good Practice
Guide for Developing Mitigation Measures and Monitoring Plans
Cultural Heritage Conservation Guidelines
Taking of Land & Resettlement Management Guidelines and Good Practices
Open Space/Greening Strategies
STEP 1: SUBPROJECT PREPARATION
For the environmental and social assessment and management process to be effective, each Council Director of participating Councils (ZMC and PTCs) and Department of Urban and Rural Planning (DoURP), shall ensure that key staffs are included in the Project Team for any given subproject. Besides the infrastructure sector specialist i.e. Civil Engineer (for roads, drainage etc.) or Environmental Engineer (for sanitation facilities) minimally, the team will include10 staff trained and with experience in environmental assessment and management, sanitation management, sociology/community development, economic planning, land and urban planning, etc.11.
Coordination and day-to-day activities related to subproject environmental and social management aspects will be delegated to an official responsible for overall environmental management of the Council12 or DoURP henceforth referred to as Environmental Officer (EO). The EO shall remain as the main contact person for the national environmental management authorities (i.e. ZEMA& Department of Environment), the ZUSP PMU and other stakeholders in all matters related to environmental and social management.
The Council Director or DoURP, shall ensure team members are adequately qualified and registered as ESIA Experts at ZEMA. To become qualified for the tasks, the LGA and DoURP officials and other actors will receive training (Chapter 6 of this ESMF) specifically on the use of the ESMF checklist, tools, resource sheets and planning methods.
Identification and prioritization of sub-projects / selection of sites will be the function of recipient urban LGAs/ DoURP, who have developed their own funding proposals on a demand –driven basis. Priority urban infrastructures were drawn from consultations along with residents and other urban stakeholders. In some cases the selection was influenced by technical considerations provided by ZUSP and sector specialists.
Preliminary (and later detailed) designs shall be contracted to consulting firms. Procurement / contract awarding procedures shall include capability/experience in environmental and social impacts mitigation / integration into designs. The Council Director and DoURP shall ensure the Infrastructure Sector Engineers and Specialists (e.g. roads, drainage, waste management etc.) work with the design consulting team to enable transfer of skills and knowledge.
STEP 2: INITIAL SUBPROJECT SCREENING BY ZMC/PTC/ DoURP
Screening is the classification stage to determine whether the sub-project investments is eligible for funding under ZUSP-AF, whether it conforms to RGoZ and World Bank requirements and determine the subproject components or activities that are likely to have potential negative environmental and social impacts that can be managed or not. While the determination of the level at which an impact assessment study will be carried out will remain the prerogative of ZEMA (see next Step 3) this initial screening will be undertaken by the Project Teams at ZMC, Participating PTCs and DoURP, using the screening form found in Annex B of this ESMF.
The qualified infrastructure sector specialists - Civil Engineer or Environmental Engineer responsible for the design and/or implementation of the proposed subproject (assisted by Environmental Officers and members of the Project Team) shall screen and make brief description of the infrastructure, defining its components and activities. The screening takes consideration of key factors specifically nature, magnitude/scale of potential impacts and concerns of the public that might be realized during sub-project implementation. The Project Teams shall carry out screening of the sub-project by using the checklist supplemented by field investigations as deemed necessary as well as screening criteria provided in the Zanzibar EIA Regulations and other sources for specific subproject such as landfill development.
Determine Category and World Bank’s Safeguards Policies triggered by sub-project
During initial screening the Project Team determine which of the World Bank’s safeguards policies may be triggered by the sub-project and what the requirements are to comply with the triggered policy (Annex B). Further information on these policies is available on the Bank’s website, www.worldbank.org. If any of the Bank safeguards policies are triggered by sub project, the ESIA will analyze these impacts in more detail and propose corresponding mitigation measures. Based on the results of the screening, the environmental category will be established and the level of ESIA determined according to OP 4.01 and ZEMA guidelines.
After reviewing the results of the initial environmental and social screening process, the Project Team at ZMC / PTCs / DoURP will then write a brief screening report defining the subproject components/activities likely to cause adverse environmental and social impacts including resettlement, outlining activities likely to trigger the safeguard OP, describing the potential negative (and positive) impacts, the extent of environmental and social assessment and management work (Environmental Category) that might be required and submit to the ZUSP-PMT for guidance / approval.
Time frame: initial screening at ZMC / PTCs / DoURP within 10 working days; approval by ZUSP-PMU within 5 working days.
The initial screening report will assist in the applications submitted to ZEMA (Step 3) and will be issued as part of the Terms of Reference to certified firm of experts commissioned by ZUSP to undertake the ESIA work (Step 6).
STEP 3: APPLICATION FOR EIA CERTIFICATE AT ZEMA
For each subproject or clusters of subprojects, the Project Team at ZMC / PTCs / DoURP (assisted by ZUSP PMT) will fill in a EIA registration Form issued by ZEMA – availing information on:
Particulars of Proponent
Infrastructure and utilities
Environmental and social impacts
Other environmental issues
Mitigation of impact and environmental enhancement measures
The Project Team (assisted by EIA Consultant if already commissioned) will prepare project brief or other background information as necessary to accompany the application documents. Error: Reference source not found is the type of information required for a standard project brief. The application tasks may entail review of initial screening report and other available information as well as field reconnaissance to determine status of key ecological and social components and consultation with project recipient communities and their leaders and relevant stakeholders.
Box Content of a Standard Project Brief
Project Description: a description of the subproject pointing out the main components and activities with environmental and social impacts implications including clear definition of the location and areas of influence.
Prevailing Baseline Condition: a synopsis of the status of the subproject’s operating conditions that will be affected by the proposed sub-projects / activities (including an outline of key environmental, social and compliance issues).
Potential Environmental and Social Impacts and concerns: identification of sources, nature and extent of key impacts, compliance and issues of concern covering but not limited to: pollution (changes to air quality, water and soil quality including accidental spills and disturbances); effects to local natural habitats, biodiversity and species of concern; land use changes and resettlement; use of resources and management of wastes workers health and safety; and community wellbeing, health, safety, and security.
Mitigation Measures: Recommendations to avoid, reduce, mitigate or compensate the impacts including estimates of costs and responsibility for implementation of the mitigation measures. Show commitment of funds to implement the proposed mitigation measures.
Environmental and Social Management Plan (ESMP) and Environmental and Social Monitoring Plan (ESMoP)
The Project Team will submit application documents including project briefs to the Council / DoURP Environmental Officer for review and necessary signatures. The respective EO assisted by Community Development officers / Sociologist will review the application documents for compliance with the results and recommendations from the initial screening process and would recommend approval to the ZUSP PMU.
The applicant (ZMC / PTCs / DoURP or the EIA Consultant on behalf) will submit dully filled-in and approved Application and support documents together with a prescribed fee for ZEMA to screen and determine the scope of environmental and social impacts assessment work required (Step 4).
STEP 4: SUBPROJECT SCREENING AT ZEMA
At this stage, ZEMA determine scope of environmental and social impacts assessment work required. Upon submission to ZEMA of the Proposed ZUSP infrastructure development activities, the environmental authority shall advise on the nature of information required for approval decision of the sub-project. Screening is based on screening criteria stipulated under ESIA Guidelines and Procedures of 2009 under the Zanzibar Environmental Management Act No.3 of. Two outcomes of screening at ZEMA are possible:
1. No EIA required
If the environmental and social screening results by ZEMA indicate the potential impacts will be sufficiently managed by application of proposed mitigation measures in project design, and the project would not cause significant negative impacts per World Bank OP 4.01; the subproject will not require a full ESIA. ZEMA will recommend approval of the subproject – with conditions. The applicant (ZMC / PTCs / DoURP) will be issued a Letter of Approval with conditions (instead of EIA Certificate) by ZEMA. This will apply automatically to any activity that pass the criteria stipulated under ESIA Guidelines and Procedures of 2009 and listed under Schedule 1 of the ZEMA and is in line with WB OP 4.01on Environmental Assessment for sub-projects with minor impacts (see Chapter 4 of this ESMF). Box clarifies the type of activities that do not require an EIA certificate.
Box Activities that do not require an EIA certificate
Operating a small-scale business employing fewer than 10 people
Operating tours, other than dives, and travel agencies
Engaging in rainfed agriculture over an area of less than 10 hectares
Operating a small-scale warehouse for storage of non-hazardous substances
Providing commercial clearing and forwarding services
Providing office and professional services
Operating an air charter service
Maintaining roads if the work does not involve upgrading or expansion of road
2. EIA required
In the event that a subproject is screened and found to have potential to cause adverse impacts and the management measures do not suffice; it will be categorized for detailed assessment, and a full ESIA (involving scoping and development of TOR followed by detailed impact assessment study) will be required. According to the Zanzibar ESIA procedure, scoping for all project registered at ZEMA is undertaken by the environmental authority. Thus, if the screening results require a full scale ESIA, then ZEMA will decide whether:
2(a) ZEMA conduct the scoping and the ToR: the Project Proponent (ZMC/ PTCs / DoURP will incur the costs involved in undertaking the scoping study
2(b)The Project Proponent conduct the scoping and ToR: in this case ZMC/PTCs /DoURP through a qualified Consultant undertake the scoping study and associated costs.
ZEMA then submits the screening results / statement to the Proponent within 10 days of submission of registration form and project report and the process proceed to Step 5
Approval of EIA experts by ZEMA
Upon receipt of the screening results/statement, ZMC/PTCs /DoURP will submits to ZEMA latest CVs of EIA experts (individual or firms)13 within 10 working days. ZEMA approves/disapproves the experts with reasons within 5 working days.
Between the screening done in Step 2 (which adheres to World Bank policy) and the screening done by ZEMA in Step 4, the more stringent of the two exercises will apply to ensure compliance on both ends.
STEP 5: SCOPING AND PREPARATION OF TERMS OF REFERENCE
If the classification indicates that an EIA is required, ZEMA determines scope of the ESIA in agreement with Proponent on specific issues, persons to be consulted, methodology to be used during EIA study. Proponent should bear the cost of EIA study. The EIA report format is prescribed under ESIA Guidelines and Procedures of 2009 under the Zanzibar Environmental Management Act No.3 and should be outlined in the ToR.
ZEMA conduct the scoping and the ToR:
ZEMA conducts the scoping and approve the ToR and provide to the Proponent (ZMC/PTCs /DoURP) with 10 working days from date of completion of scoping procedures. The process proceed to Step 6
The Project Proponent conducts the scoping and ToR:
The approved ESIA experts (commissioned by ZMC/PTCs /DoURP through ZUSP PMT) will undertake scoping study to determine scope (spatial, temporal and technically) and identify main issues for consideration in the impact assessment;
The lead agency of experts assign responsibilities among key personnel / other agencies for undertaking the EIA study (ensuring integrated environmental, social and natural sciences); and work plan and schedules for the EIA study.
Experts prepare the ToR to guide the impact assessment study and submit to ZEMA for approval.
ZEMA approve the ToR and provide to the Proponent (ZMC/PTCs /DoURP) with 10 working days from date of submission of scoping report and ToR. The process proceed to Step 6
According to World Bank OP4.01 and international best practices public consultation is required as part of the ESIA and/or ESMP / RAP process specifically during the scoping and review stages. Stakeholders should be directly involved in the whole ZUSP-AF project cycle right from the design, to implementation and monitoring. ESIA public consultation also supports the existing participatory planning process at ZMC/PTCs that is exercised during sub projects identification. Thus, public consultation shall be mandatory when conducting an environmental assessment for a subproject financed by ZUSP-AF. At a minimum the subproject proponent ZMC/PTCs /DoURP must meet key stakeholders to solicit their views using standard participatory approaches and methodology (Box ).
Posting posters in strategic public places in the vicinity of the project site;
Publishing a notice on the project in mass media i.e. newspaper, radio
Making announcement of the notices in both Kiswahili and English languages
Hold (where appropriate) public meetings with affected parties and communities to explain the project and its effects, and to receive their oral or written comments;
Ensure appropriate notices are sent out at least one week prior to the meetings
Venue and times of the meetings are convenient for the affected communities and the other concerned parties
The below are generic guide to an acceptable public involvement process.
The first step is to conduct consultations with the local communities and all other interested/affected parties during the screening process for identification of subproject components/ activities likely to cause impacts. These consultations should identify key issues and determine how the concerns of all parties will be addressed in the Terms of Reference for the environmental assessment works / ESIA.
To facilitate meaningful consultations, the ESIA Consultants supported by ZMC/PTCs /DoURP Project Team will provide all relevant materials (e.g. draft ESIA, ESMP) and information concerning the sub projects in a timely manner prior to the consultation, in a form and language that are understandable and accessible to the groups being consulted. Depending on the public interest in the potential impacts of the sub projects, a public hearing will be done as part of project preparation to better convey concerns and seek inputs from stakeholders.
STEP 6: CARRYING OUT ENVIRONMENTAL AND SOCIAL ASSESSMENT WORK
The EIA Consultant will initiate environmental work in accordance to the scoping report and TORs issued / approved by ZEMA. The Consultant shall follow the steps as per provisions in the Zanzibar EIA procedure with ZMC/PTCs /DoURP input and participation. Upon completion of scoping procedures (whether scoping and ToR done by ZEMA or Proponent) the undertaking of EIA study (by registered EIA experts or firms of experts) is expected to take 2 - 6 months following approval of ToR. The ToRs are subject to review after 6 months.The study identifies likely impacts assess and evaluate their severity and magnitude and proposed mitigation measures to minimize potential negative impacts and enhance positive benefits.
Impacts identification and mitigation shall be based on this ESMF screening checklist (Annex B) and Guides (to be developed) complimented by other measures applicable to the particular infrastructure sector/situation. The Consultant will undertake assessment with involvement of certified staff at ZMC/PTCs /DoURP (coordinated by the Environmental Officer). The study may include field investigations - a site visit conducted to determine status of ecological and social receptors and engage with project recipient communities and stakeholders. The work shall culminate in production of ESIA report, which follows the ESIA format provided by ZEMA (included in Annex C). For situations where OP 4.12 applies, the ZMC/PTCs /DoURP will prepare a Resettlement Action Plan (RAP) consistent with the separately disclosed RPF.
The EIA Consultant shall complete the assessment work and submit the ESIA reports including an ESMP and ESMoP (Box ) for review and approval by ZEMA (Step 7).
Box ZEMA requirements on Environmental Impact Statement
An EIA report (prepared according to format prescribed under section 40 (a) – (f) of the Environmental Act which includes two separate documents: Social Impact Assessment (SIA) prepared first and submitted to ZEMA for review; followed by Environmental Assessment document.
The EIS shall be analytical, specific for project location, with high significant impacts given in detail, less significant mentioned briefly, concise, of necessary length (less than 100 pages), alternatives/ mitigations comply with legal requirements and facilitate decision on project. EIS include project decommissioning.
Proponent submits to ZEMA four original copies of the EIS and an electronic copy and pay prescribed fee to for review costs.
STEP 7: ESIA REVIEW AND APPROVAL
Upon ZMC/ PTCs /DoURP submitting the final EIS, ZEMA will undertake a review process of the EIA report based on criteria stipulated criteria stipulated under ESIA Guidelines and Procedures of 2009 of the Zanzibar Environmental Management Act No.3 of 2015. The review includes ZEMA getting input from relevant stakeholders through:
Circulation to relevant government bodies for comments;
Public notification of time and place for review of EIS and submitting written comments;
Soliciting comments (written) from people affected by project.
Comment period from stakeholders is > 20 but < 30 days.
A preliminary hearing(s) will be organized by ZEMA to gather information for use in the statements as necessary. If more information is required (i.e. design plans, access to relevant sites etc.) ZMC/PTCs /DoURP will be informed after 5 days after the review meeting of the need for more detailed information to adequately assess the EIS. ZMC/PTCs /DoURP will submit the required information within 20 days. Once the additional information has been submitted, a further review may be necessary.
ZEMA obtain final staff recommendations and makes decision within 14 working days on issuing EIA Certificate or not. Time limit for review will completed within 30 working days after comments period.
Environmental decision of the ZEMA
The outcome of the review could be:
EIS approval:if the review of the ESIA Report by ZEMA indicate the potential impacts and application of mitigation measures in projects design are sufficient; ZEMA will recommend to the Minister responsible for the environment to issue the EIA Certificate for the subproject.
EIS approval (subject to specified conditions) and issued with EIA Certificate;
More information is required (with reasons and within specified period);
EIS not approved based on criteria stipulated ESIA Guidelines and Procedures of 2009, no EIA certificate issued and recommend to licensing institution to stop project from proceeding.
Any party who is aggrieved: proponent or licensing institution have the right to appeal within 7 working days to the Minister responsible for Environment. If there is dissatisfaction of any decision reached, the Proponent has the right to appeal to the Environmental Appeals Committee whose decision shall be final.
World Bank No Objection
All ESIAs and RAPs prepared for subprojects must also be submitted to the World Bank for review and no objection prior to project implementation.
STEP 8: INCORPORATING MITIGATION MEASURES INTO SUB-PROJECT PROPOSALS / DESIGNS
Upon receipt of the approval, the infrastructure sector specialists at ZMC/PTCs /DoURP - Civil Engineer or Environmental Engineer (assisted by Design Consultant, EIA Consultant as necessary) shall incorporate the mitigation measures into the proposals or designs of the sub-project development activities and update the approved ESMP. The sector specialist shall submit the revised designs to the Project Management Team as appropriate for review and approval (step 9).
STEP 9: FINAL APPROVAL OF REVISED DESIGNS
The Environmental Officer (Project Teams and including community representatives) shall review and make recommendation on the revised designs. The review assesses to ensure considerations of land take / land acquisition and resettlement impacts, discharge of pollutants (i.e. sediments and oils in storm water / wash-down waters) into sensitive habitats, additional modifications, alternatives routes etc. The Teams shall carry out review using the environmental and social screening Checklist as well as field investigations as deemed necessary. The generic mitigation measures provided in this ESMF provides guidance for all possible identified impact that the Team will use to check if the ESMPs address the negative impacts or enhance positive ones. ESMPs should include mitigation measures specific to the subproject activities and the area of influence.
If the sub-project environmental assessment and project documentation have satisfactorily addressed all key issues and satisfied that the sub-project designs are environmentally and socially compliant, the EMO will clear the sub-project through to the ZMC/PTCs /DoURP Project Team.
ZMC/PTCs/DoURP will provide review results to design consultant for final incorporation into design and/or subproject ESMP and proceed through standard project authorization by ZUSP-AF / RGoZ.
Any proposed infrastructure project that ZEMAs not comply with the requirements of RGoZ environmental policies and legislation and World Bank Safeguard Policies 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.
STEP 10: FINAL DISCLOSURE OF APPROVED SUB-PROJECT INSTRUMENTS
Upon final clearance of the sub-project, ZMC/PTCs/DoURP through Project Teams will disclose the approved sub-project information (ESIA, ESMP) to the public. More than one avenue can be used as most suitable to the project area however at the minimum the Team shall ensure that the key findings of the environmental and social impacts and mitigation process are:
Presented and discussed at least one meeting of relevant Shehia and Ward Management Committees
Presented and discussed at least one meeting of Council Environmental Committee and ZMC Full Council
Accessible in a public place i.e. notice board, public information point /center/ library, Shehia, Ward, District and Regional offices etc.
Presented in an understandable form, manner and language by using the non-technical summaries of the ESMP that is in both Kiswahili and English.
Review and approval by the World Bank and disclosure in World Bank InfoShop.