Draft Environmental and Social Management Framework

Public Disclosure Authorized

MINISTRY OF LOCAL GOVERNMENT AND MINISTRY OF FINANCE

Public Disclosure Authorized DRAFT ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK

Public Sector Governance for Service Delivery Program

Public Disclosure Authorized Project ID: No. P169384

June 2019 Public Disclosure Authorized

EXECUTIVE SUMMARY

Project Description The Government of the Republic of Zambia (GRZ) has formulated a Program centered around the Governance pillar of the Seventh National Development Plan (7NDP) to accelerate the implementation of decentralization. The proposed World Bank-financed Public Sector Governance for Service Delivery Project (PSGSDP) will support Key Result Areas of the Government Devolution namely; 1) Devolution implementation; 2) Fiscal decentralization implementation; 3) Citizen participation promotion; 4) Local authorities’ debt dismantling; and Capacity development.

Some of the elements of the Government’s program are already under implementation. Thus far, the implementation of the Government program has focused on the preparation of Sector Devolution Plans and the strengthening of the organizational structures and human resource capacities of local governments. Also, some policy actions have been taken to reduce the debt burden of local governments. Fifteen sector functions have been devolved and Ten Sector Devolution Actions Plans have been prepared. New organizational structures for Local Councils have been approved, and Staff Registers of all staff performing the devolved functions have been compiled. This is being done as a prelude to the transfer of their human resource (HR) management function from the Public Service Commission/Teachers Service Commission to the Local Government Service Commission (LGSC). The Central Government has assumed the payment of salary and pension obligations of local governments as an interim measure until local governments can strengthen their financial management capacities.

Although the Government program has made significant progress, much more needs to be done. The Government has put in place a policy framework for devolution and established a Local Government Equalization Fund with the intention of providing formula based fiscal transfers to local governments. Though the Government has started providing an equalization grant to resource local governments (since 2015), the lack of transparency and predictability of these transfers reduce their effectiveness as a sustainable source of financing for local service delivery. In addition, the weak capacities and institutional systems of local governments — especially in public financial management, mobilization of local revenues and accountability of local governments to citizens — are critical binding constraints for the effective and efficient delivery of local services. For example, although the equalization fund requires local governments to use a minimum of 20 percent of the grant for capital investment purposes, most local governments use almost the entire grant to meet their operating expenses, leaving very little to finance the critical

investments required for service delivery. Also, although some local governments are receiving development partner support1, the majority of local governments need financial and technical support to improve their service delivery capabilities.

The proposed Project will support establishing an incentive framework for enhanced institutional performance, as well as provide an integrated package of financial and institutional development to strengthen the governance and service delivery capacities of local governments, thereby enabling them to fulfill their service delivery mandate in a transparent and accountable manner. The proposed project will take a systematic and dynamic approach to institutional development, which will include a combination of a financing framework that incentivizes institutional performance of local governments. In addition, this will be guided by the Central Government’s concurrent policy, regulatory and capacity-building support by the Central Government to help strengthen the core functions of local governments. It would also ensure that the capacities of local governments are strengthened in relation to the functions that they perform (“learning by doing”) and that they are held to account (by citizens and the national government), as well as appropriately rewarded for the efficient performance of these functions.

Rationale for ESMF The proposed project activities are expected to have low environmental and social impacts, which can be readily mitigated through an environment and social impacts assessment process. All site-specific details and approach will be informed through a demand driven and consultative approach.

Capital investments by town councils from the performance grants will include small infrastructure works limited to construction and rehabilitation of public services within well-defined publicly owned land and assets such as markets, public toilets and bus stations. Potential social and environmental risks arising from these works include disruption of access to public spaces and services, community health and safety, occupational health and safety of workers, disposal and management of waste generated during works, non-inclusion of project affected parties, particularly women, youths and persons with disability, leading to unequal distribution of opportunities to participate in the project and potential risks of weak grievance redress mechanisms and poorly

1 For example, the German Corporation for International Cooperation (GIZ), Germany’s development agency, is supporting local governments in three provinces to strengthen their planning, financial management and local revenue systems.

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coordinated community communication process. An assessment of Gender Based Violence (GBV) risk on the project was conducted. The outcome of the assessment rated the project as low risk. Whilst the risk was rated low, preventive measures to ensure the risk is mitigated have been proposed in line with the World Bank Good Note Practice on Labour Influx. The ESMP highlights mitigation measures to be monitored during project implementation and the Stakeholder Engagement Plan (SEP) also includes prevention of GBV as a key subject to be discussed during stakeholder consultations. Furthermore, the draft Grievance Redress Mechanism (GRM) provides for reporting of GBV cases that may arise during the project cycle. To ensure the environmental and social risks associated with the development of small infrastructure are managed, this ESMF has been prepared to manage risks in beneficiary town councils where specific activities to be undertaken have not yet been defined.

During the implementation of the project and associated subprojects, preparation, construction and operational activities are likely to result in the following environmental and social impacts; job creation and business opportunities, loss of vegetation during site preparation, increased levels of construction and domestic waste, increased noise levels, visual intrusion and alteration in aesthetics and increased incidences of HIV/AIDS and Sexually Transmitted Infections (STI’s). Since most of the specific project activities and locations have not yet been agreed on, the proposed environmental assessment instruments are ESMF and RPF. The ESMF and RPF also include provisions related to compliance with national and World Bank ESS:

The ESMF which has been prepared, and will be disclosed, it provides detailed step-by- step processes for identification and screening of the sub-projects of critical environment and social risks; procedures for evaluation of significance of environmental risks and impacts; development of site-specific mitigation and monitoring plan when sub-project details are identified; and institutional arrangement for safeguards implementation and capacity building measures. The ESMF provides guidance for development of any associated Environmental and Social Management Plans (ESMP) that will present mitigation measures to address the potential environmental and social impacts of the Project at the sub-project level, once the activities location and scope have been identified. The ESMPs will be prepared, consulted with stakeholders and made available to beneficiary agencies prior to commencement of detailed planning and physical works, consistent with ESS1 Assessment and Management of Environmental and Social Risks and Impacts and supervision requirements for the physical, chemical and biological environment (waste, water and sanitation etc.), health and safety of construction workers and safety and security of neighboring communities are built into the ESMF.

Implementation and Monitoring System The project will be implemented by the PFM Reform Unit in the MoF in close collaboration and partnership with the Intergovernmental Fiscal Relations Unit, the Accountant General (both in the MOF), the Decentralization Secretariat, the Ministry of Local Government (MLG), the Office of the Auditor General and the Town Councils. The PFM Unit successfully managed the recently closed Public Financial Management Reform Project (PFMRP) and will take responsibility for overall project management and will coordinate with other agencies for the implementation of the project component activities and delivery of results with other Ministries and Department

ESMF Outline The first three Chapters (Chapters 1 to 3) of the ESMF provide background information that starts with a description of the proposed project which is followed by a brief explanation of the methodology used in formulating the ESMF as well as baseline information. Chapter 4 provides an overview of the World Bank Environmental and Social Standards and national environmental management policies and regulations. The last four chapters of the ESMF provide guidelines on potential environmental and social impacts that are anticipated for various proto-type sub-projects, respective possible mitigation measures as well as relevant institutional arrangements for implementation and monitoring of safeguards. Chapter 8 of the ESMF considers prevailing institutional capacities and needs and recognizes the need for capacity building in safeguards application and monitoring. ______

TABLE OF CONTENTS

EXECUTIVE SUMMARY ...... ii TABLE OF CONTENTS ...... vi ACRONYMS ...... x CHAPTER 1: INTRODUCTION ...... 1 1.1 Project Background ...... 1 1.2 ESMF Objectives ...... 4 1.2.1 Resettlement Policy Framework ...... 4 1.2.2 Labor Management Procedure ...... 5 1.2.3 Grievance Redress Mechanism ...... 5 1.3 Project Description ...... 5 1.3.1 Project Components ...... 5 1.4 Safeguards Approach...... 8 1.5 Potential Impact and Relevant Bank Standards ...... 9 1.5.1 Relevant Environmental and Social Standards ...... 10 1.6 Institutional and Implementation Arrangements ...... 12 1.6.1 Project Steering Committee ...... 13 1.6.2 Responsibility matrix of institutions during implementation ...... 13 CHAPTER 2: ENVIRONMENTAL AND SOCIAL METHODOLOGY ...... 15 2.1 Review of Literature ...... 15 2.2 Analysis of Baseline Environmental and Social Economic Data ...... 15 2.3 Site Visits and Workshop Discussions ...... 15 2.4 Analysis of ESS and Regulations ...... 15 CHAPTER 3: PROJECT BASELINE INFORMATION ...... 17 3.1 Baseline Information ...... 17 3.2 Physical Environment ...... 18 3.2.1 Topography ...... 18 3.2.2 Soils ...... 19 3.3.1 Hydrology ...... 20 3.3.2 Climate ...... 21 3.3 Ecological ...... 22 3.3.1 Forests ...... 22

3.3.2 Biodiversity ...... 23 3.3.3 Ecosystems and Land Cover ...... 26 3.3.4 Protected Areas ...... 26 3.4 The Socioeconomic Environment ...... 27 3.4.1 National Government ...... 30 3.4.2 Local Government ...... 30 3.4.3 Types of Councils ...... 31 3.4.4 Distribution of Service Delivery Responsibility ...... 31 CHAPTER 4: LEGAL FRAMEWORK AND REGULATORY FRAMEWORK ...... 33 4.1 Introduction ...... 33 4.2 Overview of Country Laws, Regulation and Policy Frameworks ...... 33 4.2.1 Vision 2030 ...... 33 4.2.2 Seventh National Development Plan (2017-2021) ...... 34 4.2.3 The National Decentralization Policy, 2013 ...... 34 4.2.4 National Policy on Environment (NPE), 2005 ...... 35 4.2.5 National Water Policy, 1994 ...... 36 4.2.6 The National Forest Policy of Zambia, 1998 ...... 36 4.3 Relevant Zambian Legislation ...... 38 4.4 World Bank Environmental and Social Standards ...... 47 CHAPTER 5: LISTING OF POTENTIAL IMPACT AND MITIGATION MEASURES ...... 52 5.1 Environmental and Social Impacts ...... 52 CHAPTER 6: CLASSIFICATION OF SUB-PROJECTS, SCREEENING APPROVAL AND IMPLEMENTATION ...... 57 CHAPTER 7: SUPERVISION AND MONITORING PLAN ...... 59 7.1 Compliance Monitoring ...... 60 7.2 Impact Monitoring ...... 60 7.3 Monitoring Indicators ...... 61 7.4 Environmental and Social Safeguards Monitoring Responsibility ...... 63 7.4.1 National level ...... 63 CHAPTER 8: INSTITUTIONAL CAPACITY FOR THE ESMF IMPLEMENTATION ...... 64 8.1 National Stakeholders ...... 64

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8.1.1 The Ministry of Finance (MoF) ...... 64 8.1.2 The Ministry of Local Government ...... 64 8.1.3 Ministry of National Development Planning ...... 65 8.1.4 Zambia Environmental Management Agency ...... 65 8.1.5 Provincial and Local Authorities ...... 65 8.2 Capacity Building Requirements ...... 65 8.3 Monitoring Indicators ...... 67 8.4 Budget ...... 67 REFERENCES ...... 70 ANNEX 1: ENVIRONMENTAL AND SOCIAL SCREENING FORM ...... 71 ANNEX 2: SUBPROJECT ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN 73 ANNEX 3: ENVIRONMENTAL CODES OF PRACTICE - PSGSDP ...... 73 ANNEX 4: SUMMARY GRIEVANCE REDRESS MECHANISM ...... 76 ANNEX 5: CLASSSIFICATION OF PROJECTS UNDER ZAMBIA EIA ...... 789 ANNEX 6: CHANCE FIND PROCEDURES ...... 80 ANNEX 7: LABOUR INFLUX ...... 81 ANNEX 8: CONSULTATION AND SITE VISITS ...... 82 ANNEX 8: LABOUR MANAGEMENT PROCEDURE ………………………………94

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LIST OF TABLES

Table 1: Anticipated Sub Projects and Activities ...... 9 Table 2: Composition of Steering Committee ...... 13 Table 4: List of Endangered and Vulnerable species in Zambia. Based on Chidumayo and Aongola (1998)...... 23 Table 5: Relevant Zambia Legislation and Interpretation ...... 38 Table 6: World Bank Safeguards Polices and their relevance to PSGSDP ...... 48 Table 8: Screening Process and Steps ...... 57 Table 9: Monitoring Indicators ...... 62 Table 10: Capacity Building Requirements ...... 66 Table 11: Monitoring Indicators...... 67

LIST OF FIGURES

Figure 1: Policy Framework for Devolution ...... 3 Figure 2: Assessment Cycle – Annual Performance Assessment ...... 7 Figure 3: Mutually Strengthening Components of the System ...... 7 Figure 4: Responsibility Matrix of Institutions during implementation ...... 14 Figure 5: Map of Zambia showing the 10 Provinces...... 17 Figure 6: Map of Zambia – showing the various towns ...... 18 Figure 7: Soil types across Zambia (sourced from: http://www.africaein.net/res/zm/about-3- Soil%20types%20in%20Zambia-large.png) ...... 20 Figure 8: Gazetted Forests across Zambia ...... 22 Figure 9: National Parks across Zambia (Sourced from: http://www.zambiatourism.com/destinations/national-parks) ...... 25

ACRONYMS

7NDP Seventh National Development Plan AIDS Acquired Immune Deficiency Syndrome APA Annual Performance Assessment CBD Convention on Biological Diversity CSO Central Statistical Office EMA Environmental Management Act ESIA Environmental Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental Social Management Plan GBV Gender Based Violence GDP Gross Domestic Product GMA’s Game Management Areas GRZ Government of the Republic of Zambia HIV Human Immunodeficiency Virus ICT Information and Communications Technology IFRU Intergovernmental Fiscal Relations Unit IT Information Technology ITCZ Intertropical Convergence Zone LGSC Local Government Service Commission M&E Monitoring and Evaluation MLG Ministry of Local Government NGO’s Non-Governmental Organizations NHCC National Conservation Commission PFM Public Financial Management PIU’s Project Implementing Units PPE Personal Protective Equipment PSC Project Steering Committee PSGSDP Public Sector Governance for Service Delivery Project RAP Resettlement Action Plan RPF Resettlement Policy Framework SEP Stakeholder Engagement Plan TA Technical Assistance ZEMA Zambia Environmental Management Agency ZPPA Zambia Public Procurement Authority

CHAPTER 1: INTRODUCTION

1.1 Project Background

The Government of the Republic of Zambia (GRZ) has formulated a Program centered around the Governance pillar of the Seventh National Development Plan (7NDP) to accelerate the implementation of decentralization. The proposed World Bank-financed Public Sector Governance for Service Delivery Project (PSGSDP) will support Key Result Areas of the Government Devolution namely; 1) Devolution implementation; 2) Fiscal decentralization implementation; 3) Citizen participation promotion; 4) Local authorities’ debt dismantling; and Capacity development.

Although the Government program has made significant progress, much more needs to be done. The Government has put in place a policy framework for devolution and established a Local Government Equalization Fund with the intention of providing formula based fiscal transfers to local governments. Though the Government has started providing an equalization grant to resource local governments (since 2015), the lack of transparency and predictability of these transfers reduce their effectiveness as a sustainable source of financing for local service delivery. In addition, the weak capacities and institutional systems of local governments especially in public financial management, mobilization of local revenues and accountability of local governments to citizens are critical binding constraints for the effective and efficient delivery of local services. For example, although the equalization fund requires local governments to use a minimum of 20 percent of the grant for capital investment purposes, most local governments use almost the entire grant to meet their operating expenses, leaving very little to finance the critical investments required for service delivery. Also, although some local governments are receiving development partner

support2, most local governments need financial and technical support to improve their service delivery capabilities.

In strengthening local governance and service delivery, the proposed project will support the implementation of a critical intermediate step in Zambia’s trajectory of reforms. The proposed project will strengthen the institutional foundations for governance and service delivery at local governments. The project will be built on the Government’s devolution policy and governance pillar of the 7NDP as well as subsequent initiatives already underway by such as establishment of Equalization Fund. Specifically, the project will support the critical intermediate step which will build the institutional foundations for achieving the higher order objectives of the devolution policy (figure 1). These higher objectives include the transfer of critical service delivery responsibilities in the human development sectors such as health, education and social protection, and enabling local governments to take the lead to plan and implement local economic development strategies.

2 For example, the German Corporation for International Cooperation (GIZ), Germany’s development agency, is supporting local governments in three provinces to strengthen their planning, financial management and local revenue systems.

Figure 1: Policy Framework for Devolution

Sectorial and Institutional Context Local government system in Zambia is well established, but the service delivery is limited. As prescribed in the Constitution (2016), Zambia has a three-tiered structure of the government, including the Central Government, Provincial Government and Local Government. Unlike in other countries, the Provincial Government in Zambia has limited financial autonomy and acts as a deconcentrated arm of the Central Government. Each of the nine Provinces has a designated Minister and a Permanent Secretary who coordinate the Central Government’s programs within their respective Provinces. Soon after the independence in 1964, Zambia enacted The Local Government Act3 (1965 with recent amendment in 2016) created a local government system, which is classified based on population; City, Municipal and Town Councils. Currently, there are 6 City Councils, 15 Municipal Councils, and 96 Town Councils in a country. Elected Mayor (for City and Municipal Councils) or Council Chairperson (for Town Councils) represent local governments with elected councilors and supported an executive team of civil servants headed by a Town Clerk (for City and Municipal Councils) or Council Secretary (for Town Councils). Responsibilities and areas of services provided by Local Government are outlined in the Constitution (2016)4, which are, among others, provision of local infrastructure, street

3 Part IX, X and XI of the Constitution (2016) and the Local Government Act (2016) provide the legal framework for the local government system and decentralization arrangements in Zambia. 4 Article 147 (2) and Annex C in the Constitution of Zambia (2016)

cleaning and drainage, sanitation and solid waste management, maintenance of parks, sports and recreation facilities. However, Local governments, especially in rural areas face significant challenges in service delivery. For example, only 50 percent of the people in rural areas have access to safe drinking water, whereas only about 35 percent of the rural population have access to improved sanitation facilities5. Poor service provision is especially prominent at Town Councils due to (i) limited policy and guidance provided from the central government, (ii) limited resources for capital expenditure, and (ii) limited capacity in fulfilling their basic administrative mandates such as planning, budgeting, procuring, monitoring of service delivery, and engaging with citizens. Therefore, public perception of poor service delivery by local governments continues to persist6.

1.2 ESMF Objectives This ESMF will guide the environmental and social assessment and management for specific projects to be implemented in beneficiary Town Council across Zambia. The objectives of this Environmental and Social Management Framework (ESMF) are: • To establish clear procedures and methodologies for the environmental and social planning, review, approval and implementation of sub-projects and associated activities to be financed under the PSGSDP; • To specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to sub-projects; • To determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF; • To establish the project funding required to implement the ESMF requirements; • To provide practical resources for implementing the ESMF, including general guidance on development of Environmental and Social Management Plans (ESMPs) and their implementation.

1.2.1 Resettlement Policy Framework A Resettlement Policy Framework (RPF) will be prepared as a precautionary measure to mitigate against impacts of involuntary displacement that may arise due to sub-project activities. This risk is however, rated low as sub-project activities will be implemented in existing council facilities.

5 Zambia Statistics, Central Statistical Office, 2017 6 https://www.lusakatimes.com/2017/12/01/improve-service-delivery-vincent-mwale-urges-councils/

1.2.2 Labor Management Procedure The Labor Management Procedures (LMP) has been developed as part of the borrower’s requirements under ESS2 on labor and working conditions. The LMP identifies the main labor requirements and risks associated with the project and helps the MOF and MLG to determine the resources necessary to address project labor issues. A draft LMP is Attached in Annex 9 and will be updated were necessary during the project lifecycle.

1.2.3 Grievance Redress Mechanism A detailed stand-alone Grievance Redress Mechanism (GRM) has been developed and will be set up at PIU level to be responsible for maintenance of all records, complaints and their responses. A report of GRM performance will be consolidated as part of biannual M&E report, to be submitted to the MoLG and MOF. A summary of the GRM is as in Annex 4.

1.3 Project Description

The Project Development Objective is to strengthen the institutional capacity and accountability for the delivery of local government services in Zambia. The Key Results of the proposed project are: • Strengthened planning, implementation, and financial management systems of participating local governments for improved local service delivery • Strengthened citizen engagement in local governance and service delivery • Improved monitoring and oversight of local governance and service delivery

The proposed results will be measured using the following indicators: 1) Percentage of Town Councils that are complying with the minimum conditions (MC) for access to the performance-based grants. 2) Percentage of Town Councils that have established beneficiary feedback groups that provide at least quarterly feedback on the quality of at least one service delivery. 3) Annual independent external audit for LGs conducted in a regular and timely manner.

1.3.1 Project Components Project components on the PSGSDP project are explained in detail in the subsequent paragraphs, namely;

Component 1: Strengthened Governance and Fiscal Framework for Local Service Delivery This component aims to strengthen the institutional capacity at the Central Government through the development of fiscal framework to analyze, monitor, and provide

oversight of local government (LG) finance. The component consists of three sub‐ components: (i) Strengthening the intergovernmental fiscal policy framework; (ii) Supporting Public Financial Management reforms for service delivery; and (iii) Strengthening the oversight of local government. This component will disburse upon achievement of key results as measured by the Disbursement Linked Indicators (DLIs) which are the results of the fiscal decentralization reforms needed to reach, shown in below, and against the execution of agreed-to Eligible Expenditures Programs (EEPs).

Sub‐component 1.1. Strengthening the Intergovernmental Fiscal Policy: The objective of this sub-component is to improve the institutional capacity through the strengthening of fiscal policy framework and monitoring and management of local government (LG) Debt.

Sub‐component 1.2. Supporting PFM Reforms for Service Delivery: The objective of this subcomponent is to strengthen the institutional capacity of central government to accelerate PFM reforms for effective service delivery, both for LGs and central ministries that focused on service delivery. It will help monitor local government finances through stronger PFM systems.

Sub-component 1.3. Improving the Oversight of Local Government: The objective of this sub‐component is to improve the oversight of local government. The sub-component will strengthen the oversight of financial management at local governments through institutionalizing the external auditing of financial statements of local authorities and issuing of audit opinion, which are constitutional requirements.

Component 2: Performance Grant for Service Delivery. The project will put in place a performance-based framework that will incentivize institutional performance and accountability of town councils from the bottom up and which will in turn improve service delivery performance. In accordance with the Government’s Intergovernmental Fiscal Architecture (IFA), the project will introduce a “Performance Grant” to town councils. The Performance Grant will reward superior institutional performance of town councils as measured through an Annual Performance Assessment (APA) (figure 2). Specifically, the APA will measure the performance of participating town councils in core areas of local governance and service delivery that fall within the existing mandates of town councils as described in Article 147 (2) Section C in the Annex to the Constitution (2016). Those town councils who qualify in the APA will receive the Performance Grant, which will provide a discretionary source of funding for them to be used for meeting their capital investment and service delivery responsibilities. Those town councils who do not qualify the APA will be provided with targeted capacity support with the objective of helping them to qualify in the subsequent years.

Figure 2: Assessment Cycle – Annual Performance Assessment

Figure 3: Mutually Strengthening Components of the System

Component 3: Capacity Development Support: This project component will provide capacity development support to: • Strengthen the institutions, systems and skills for local councils (LCs), especially the 96 Town Councils, to improve governance and service delivery to citizens in an efficient, accountable, and sustainable manner (Sub-Component 3.1); and • Strengthen national level institutions, such as MOLG, LGTI, to enhance their institutional capacities to fulfil their assigned mandates, and the Governance Oversight of Capacity Building for LCs (existing Technical Working Group, comprising DS, LGSC) (Sub-component 3.2).

Component 4: Program Management

This component will provide project management support to the Ministry of Finance for project implementation, as well as for support for regular project evaluations, including procurement and safeguards reviews, financial reporting and auditing. The component will also support the design and implementation of a survey to measure service delivery impacts as well as citizen perception of service delivery. Also, the component will finance the communication and outreach efforts about the Project to all key stakeholders.

1.4 Safeguards Approach

World Bank Environment and Social standards (ESS1) requires that an ESMF be prepared to provide guidance for screening sub-projects for impacts when designs and sites are determined. To address potential environmental and social risks associated with the development of small infrastructure, this ESMF has been prepared to manage risks as beneficiary town councils and specific activities to be undertaken by each town council have not yet been defined. Furthermore, a Resettlement Policy Framework will be prepared as a precautionary measure to mitigate against impacts of involuntary

displacement that may arise due to sub-project activities. This risk is however, rated low as sub-project activities will be implemented in existing council facilities.

Additionally, the World bank requires that an assessment of Gender Based Violence (GBV) risk is conducted to assess possible impact that the project may have on surrounding communities in relation to Sexual Exploitation and Abuse (SEA). To this effect, a GBV assessment was undertaken and the outcome of the assessment resulted in a low risk rating. The assessment took note of existing legislation on prevention of GBV as espoused in the Anti-Gender Based Violence Act of 2010 which provides for the protection of victims of GBV. Whilst the risk was rated low, it is important to note that project will be implemented in rural areas where communities have limited access to health services and existing economic inequalities in these areas mostly disadvantage women and children, putting them at risk to exposure of illicit behaviour. To mitigate against this risk, preventive measures in line with the World Bank Good Note Practice on Labour Influx have been proposed. The ESMP highlights mitigation measures to be monitored during project implementation and the Stakeholder Engagement Plan (SEP) also includes prevention of GBV as a key subject to be discussed during stakeholder consultations. Furthermore, the draft Grievance Redress Mechanism (GRM) provides for reporting of GBV cases that may arise during the project cycle. The risk situation will be monitored and regularly and updated during implementation of the Environmental and Social Management Plan (ESMP) that will be annexed to this ESMF.

Table 1: Anticipated Sub Projects and Activities

Project Component Project Category Anticipated Activities

Component 2: Construction activities Construction and Rehabilitation of Public Performance Grant for and Infrastructure Services, but not limited to. Service Delivery upgrades • Town Markets • Public Toilets • Bus Station • Construction of Auxiliary support infrastructure (i.e. sanitation, waste collection and provision of portable water)

1.5 Potential Impact and Relevant Bank Standards

visual intrusion and alteration in aesthetics and increased incidences of HIV/AIDS and Sexually Transmitted Infections (STI’s). Since most of the specific project activities and locations have not yet been agreed on, the proposed environmental assessment instruments are ESMF and RPF. The ESMF and RPF also include provisions related to compliance with national and World Bank ESS.

1.5.1 Relevant Environmental and Social Standards

ESS1 Assessment and Management of Environmental and Social Risks and Impacts: Capital investments by town councils from the performance grants will include small infrastructure works limited to construction and rehabilitation of public services within well- defined publicly owned land and assets such as markets, public toilets and bus stations. Potential social and environmental risks arising from these works include disruption of access to public spaces and services, community health and safety, occupational health and safety of workers, disposal and management of waste generated during works, non-inclusion of project affected parties, particularly women, youths and persons with disability, leading to unequal distribution of opportunities to participate in the project and potential risks of weak grievance redress mechanisms and poorly coordinated community communication process. The project will work closely with the social economic planner and the community development officer to ensure that before and during project implementation the affected and interested parties are identified and assisted were possible to actively participate in project design and implementation.

ESS2 Labor and Working Conditions: A Labour Management Plan (LMP) has been prepared in line with the Employment Act No. 20 of 20177 that governs labor and working conditions of civil servants and includes consideration for Occupational Health and Safety for all town council staff that will be involved in implementing project activities. As works will be undertaken by staff from designated town councils, it is not envisaged that the project will attract externally recruited workers, limiting the risks associated with influx of labor. A separate grievance redress procedure will be maintained for workers and communities to registering grievances supplementing existing complaint handling procedures within the civil service.

ESS3 Resource Efficiency and Pollution Prevention and Management: Best practices that relate to resource efficiency and pollution prevention will be incorporated in the ESMP and associated ESMPs. Taking into consideration that the project will finance small

7 Employment Act No. 20 of 2017

infrastructure works for local authorities through a performance-based grant. These infrastructural works are likely to result in the generation of waste, discharge of effluent and public health risks. The operation of these facilities will require the efficient use of water, especially in areas were the local water supply is erratic.

ESS4 Community Health and Safety No major civil works are anticipated that will pose a risk to the health and safety of communities. Activities will be localized as rehabilitation works will be undertaken on already existing town council infrastructure. Based on MoLG capital threshold for local Councils (approximately $50,000), activities to be implemented under component 2 (Grant Performance for Service Delivery) will not be complex. However, communities maybe affected by traffic related safety risks caused by movement of machinery as well as exposure to hazardous waste generated from construction and rehabilitation works.

ESS5 Land Acquisition, Restrictions on Land Use and Involuntary Resettlement Project activities are not envisaged to result in land acquisition or physical displacement. However, disruption of access to market stalls during rehabilitation may induce loss of income from sales if market traders are not provided with alternative locations during works. In order to safeguard against this potential risk, a RPF will be prepared to guide development of Abbreviated Resettlement Action Plans (ARAPs) where relevant and ensure adequate livelihood restoration for affected persons.

ESS6 Biodiversity Conservation and Sustainable Management of Living Natural Resources: The ESMF and ESMP has provided mitigation measures to minimize vegetation loss and restrict any construction work to the project footprint. The project will finance construction and rehabilitation works to be undertaken by town councils in various districts with distinct ecological systems. Increased risks to biodiversity and living natural resources are more likely to be encountered by local authorities located in rural areas. Impacts to critical habitat and legally protected areas are not expected.

ESS10 Stakeholder Engagement and Information Disclosure: Various stakeholder consultations have been held with government ministries and departments, donor agencies engaged in the decentralization sector and council officials in selected districts. The consultations have been focused on (i) collecting information to advance project development, (ii) assessing possible implementation structures (iii) identifying key stakeholders and (iv) to disclose information on timelines for project preparation. Stakeholder identification (particularly in the town council districts) will be critical as a means of ensuring broader participation in project design, as well as enhancing project acceptability. The project will be implemented in rural areas where participation of women and other vulnerable groups in decision making is limited. To promote community

participation in the project cycle, a draft SEP has been prepared outlining the process of consultations and disclosure of relevant project information that will be shared with key actors during project preparation and implementation. The draft SEP will be disclosed prior to board approval. A draft GRM has been developed by the Client to serve as a channel for stakeholders to register their complaints, as well as receive feedback from the implementing agencies.

1.6 Institutional and Implementation Arrangements

The project will be implemented by the PFM Reform Unit in the MoF in close collaboration and partnership with the Intergovernmental Fiscal Relations Unit, the Accountant General (both in the MoF), the Decentralization Secretariat, the Ministry of Local Governments (MoLG), the Office of the Auditor General and the Town Councils. The PFM Unit successfully managed the recently closed Public Financial Management Reform Project (PFMRP) and will take responsibility for overall project management and will coordinate with other agencies for the implementation of the project component activities and delivery of results with other Ministries and Departments.

The Intergovernment Fiscal Relations Unit (IFRU) in the MoF, the Office of the Accountant General and the Office of the Auditor General will be responsible for delivery of results under Component One. The Decentralization Secretariat will be responsible for the management and quality assurance of the APA and the Performance Grant allocation. The MoLG will be responsible for the implementation of Component 3 and will be responsible for coordination with the Local Government Service Commission and the Local Government Training Institute. The project will be supervised by a Steering Committee, to be chaired by the Secretary to the Treasury or his nominee and which will have representatives from all the Ministries and entities listed above as well as from local governments and Cooperating Partners providing support to Decentralization and PFM.

The Steering Committee will meet once every calendar quarter to oversee project implementation progress and will report to the Decentralization Policy Implementation Committee (DPIC) chaired by the Secretary to the Cabinet that is responsible for the overall supervision of the Decentralization implementation in the country. The project will rely on existing institutional structures such as the Technical Working Groups (TWG) on Planning & Budgeting and Capacity Building. As part of the communication strategy for the project, the PIU will organize communication and outreach workshops as part of project implementation to ensure that there is common understanding on the project objectives and activities among the various stakeholders in the project. These proposed arrangements will be finalized by project appraisal.

Participating local governments will be responsible for the procurement of goods, works and services financed from the performance grant. Each local government will sign a participation agreement with the MoF which will outline requirements for the use of the grant (such as compliance with the Environmental and Social Management Framework [ESMF] and the financial management and procurement requirements). Capacity risks exist with regard to their ability to comply with the participation agreement. However, the project is designed to i) provide the capacity support; and ii) provide incentives for participating local governments to utilize this support. The need for additional third-party fiduciary oversight will be assessed during the project appraisal process.

1.6.1 Project Steering Committee To ensure oversight and efficient implementation of the Project, there shall be a Project Steering Committee, with a mandate, composition and requisite resources. The Project Steering Committee shall be chaired by the Permanent Secretary of the MOF and shall comprise representatives from the public and private institutions (table 2). To ensure that a quorum is met at all steering committee sittings, the representatives of the various organization will be asked to submit officially the name of the delegated representatives should they be unable to attend.

Table 2: Composition of Steering Committee

Organization Representative on Steering Committee Ministry of Finance Permanent Secretary Ministry of Local Government Permanent Secretary Ministry of Commerce, Trade and Industry Permanent Secretary Ministry of Housing and Infrastructure Permanent Secretary Development Ministry of Lands and Environment Permanent Secretary Ministry of Livestock Development and Fisheries, Permanent Secretary Ministry of National Development Planning, Permanent Secretary Ministry of Transport Permanent Secretary

The Steering Committee shall be responsible, among other things, for overseeing overall Project implementation, providing policy guidance to the project, ensuring inter-agency coordination of the Project, reviewing the annual work plans, and approving Budgets. The Committee will also consider issues to do with resettlement during project implementation, if they arise. In such cases, other relevant Government departments will be coopted into the steering committee since it is envisaged that such cases are may arise.

1.6.2 Responsibility matrix of institutions during implementation

For purposes of the ESMF, there are three-layer structure for project management – Project Steering Committee (PSC); Project Coordination at MOF and Project Implementing Unit (PIU) by the PFM Reform Unit. The following chart describes their responsibilities and accountabilities for Environmental and Social Safeguards.

Steering Committee MInistry of Finance PFM Reform Unit (Focal Point) (PIU) •Ensure oversight and •Be the focal point for •Responsible for the day to efficient implementation of implementation of the day implementation of the the Project PSGSDP including Project including the •Review progress of monitoring and reporting preparation of annual plans, implementation of Annual actions on environment and progress reports and work Plans submitted by the social safeguards, financial budgets, contract and PIUs and procurement aspects. procurement •Quarterly progress review of •Act as supervisor of the documentation, monitoring implementation of the PIU and evaluation, and all project •Serve as a channel of financial administration of •Provide guidance and communication between the Project, among others. strategic decisions that the PIU and the funding •Shall serve as the secretariat impact the project Agency as well as other for the Steering Committee performance external partners •Ensure compliance with •Approve in consultation environmental impact with the funding Agency the assessment and social work plan and the safeguards guidelines associated revisions and any adjustments in budget allocation

Figure 4: Responsibility Matrix of Institutions during implementation

CHAPTER 2: ENVIRONMENTAL AND SOCIAL METHODOLOGY

2.1 Review of Literature

Secondary sources of information were obtained through a review of available documents, as well as consultations held with key stakeholders across the Country. Existing literature was the primary source for describing institutional, policy and legal frameworks. From the literature, all possible envisaged environmental and social impacts were listed and evaluated based on policy and legal requirements using matrices and maps. The data on geology and soils, climate, water resources, biodiversity, human and ecosystems were obtained from existing literature.

2.2 Analysis of Baseline Environmental and Social Economic Data

The ESMF recognizes the existence of available environmental baseline information. This data was compiled with the purpose of describing and evaluating the current environmental status of targeted projects across Zambia. The baseline information included environmental information relevant to all project components, drawing on existing information from projects in the targeted areas. The description of the baseline environment was based on the following data: • Physical environment: the information collected included geology, topography, soils, climate and ecosystem and hydrology. • Biological environment: data on flora, fauna, endemic and endangered species, critical/sensitive habitats, including protected areas and reserves was collected. • Social and economic.

2.3 Site Visits and Workshop Discussions

Several site visits were conducted as part of the design process of the project to the intervention’s areas in beneficially areas as well as in the surrounding districts. The MOF, MoLG and other stakeholders travelled to selected town councils as part of project preparation and the development and drafting of the ESMF. Additionally, several stakeholders were met, and details are included in Annex 8

2.4 Analysis of ESS and Regulations

Environmental and social risks and impacts related to the proposed capital investments will be managed as per the requirements of the World Bank Environmental and Social Standards and the applicable environmental regulations in Zambia. The relevance of the ESS on this project’s planning and implementation of the components and associated sub-projects

countrywide was assessed. (Chapter 4) The ESS also require compliance to all relevant local, national and international policies and legal requirements. The relevant national polices and legislation have been reviewed and presented in Chapter 4. In Zambia, the Environmental Management Agency (ZEMA) is the primary authority for environmental permitting and approval as well as exercising oversight and monitoring of projects to ensure that they comply with permitting conditions. .

CHAPTER 3: PROJECT BASELINE INFORMATION

3.1 Baseline Information Baseline information includes description of the current situation in terms of the socioeconomic environment, ecological and physical environment. Zambia is divided into ten provinces namely; Central, Copperbelt, Western, North-Western, Eastern, Northern, Muchinga, Luapula and Southern. The proposed PSGSDP will be implemented in all the ten provinces and will focus on enhancing the capacity of town council and improving service delivery.

Figure 5: Map of Zambia showing the 10 Provinces

Figure 6: Map of Zambia – showing the various towns

3.2 Physical Environment

3.2.1 Topography In terms of topography Zambia is on the great plateau of Central Africa, at an average altitude of 1200m. The lower parts of the plateau have a reliable supply of water during the dry season and they are flooded in the rainy season. Zambia is high plateau, deeply entrenched by the Zambezi River (and its tributaries, the Kafue and Luangwa) and the Luapula River. The Zambezi flows to the south, turning east towards the Zimbabwe border areas. The northern part of Zambia has three major lakes namely, Tanganyika, Mweru and Bangweulu while Kariba stretches along the southern borders with Zimbabwe. In the Eastern part, the Mafinga Mountains form part of a great escarpment running down the east side of the Luangwa river valley. The country rises to a higher plateau in the east. The country has three main topographical features: • mountains with an altitude of at least 1500m; • a plateau with an altitude ranging from 900 to 1500 m; and • lowlands with an altitude of between 400 and 900m.

3.2.2 Soils Soils in Zambia have been formed from a great diversity of parent materials. However, the characteristics and distribution of the soils are largely influenced by climate particularly rainfall. Zambia lies roughly between latitudes 8°and 18° south of the equator. Zambia experiences strongly clear rainy and dry seasons, the rainy season starts late October in the north and November in the south and lasts up to April and March respectively. Mean annual rainfall exceeds 1100mm in the western part of Northern and the northern part of North- Western Provinces, decreasing southward to Southern Province, only 700mm in southeastern margin of the country. Mean annual temperatures range between 19 – 22C except in the major river valleys of Zambezi, Luangwa and Luapula. Zambia ranges roughly between 600m and 2000m in the elevation, and it consists of level to gently undulating plateau except the escarpments zones which divide the middle Zambezi and Luangwa valleys.

Geomorphology of Zambia has shown the first four legends as Montane Zone, Central African Plateau, Escarpment Zone and Rift Trough, respectively. The latter two topographical features show the elevation from transitional to lower one. Zambia is underlain by a wide range of rock types. Except the Kalahari system that has been formed from the tertiary to recent period and has covered the west and north-west side of the country, such igneous rocks as granite, gabbro and others in various ages probably older than the Pre-Cambrian period, and the Basement complex which consisted of ancient crystalline rocks like schist, gneiss, quartzite and migmatite in the Pre-Cambrian period formed the Central African Plateau in the north, east and south-east side of the country. In the south-west, west and north-west side of the country, such sedimentary rocks as shale, sandstone, mudstone and limestone in the Katanga system, and in the east, south-east side of the country, lava (basalt), marl, sandstone and others in the Karroo system both from the Lower Paleozoic to the Mesozoic periods also formed the stable land blocks overlying the Basement Complex. These systems and the Complex accompanied by repeated folding and metamorphism through the geological ages have altered the original of the rocks, followed by their slow protrusion, erosion and weathering, various types of soils were formed.

Figure 7: Soil types across Zambia (sourced from: http://www.africaein.net/res/zm/about-3- Soil%20types%20in%20Zambia-large.png)

3.3.1 Hydrology Zambia is drained by the Congo in the north and Zambezi in the south. The main Zambezi drainage system occupies most of the western portion of the country and some discontinuous areas in the south. The Kafue system originates in the Copperbelt region and drains the central region of the country. The Luangwa system, with its tributary of Lunsemfwa, drains much of the eastern parts of the country. In the north, the Chambeshi River originates in the north-east and drains much of the southern parts of Northern Province before discharging into the Bangweulu swamps. The drainage into Lake Tanganyika in the north consists of the Lufubu and some minor streams. Almost all the rainfall in the country falls during the period November to April, so that the dry season months of May to October do not contribute to stream flow. Consequently, most small streams dry up while in the many larger streams flow is reduced to a small fraction of the wet season discharge. Surplus water (i.e., the amount of precipitation that goes to stream flow and groundwater recharge) varies throughout the country but ranges from 150 – 550 mm in the Copperbelt and Northern Provinces and northern parts of eastern Province to

50 – 100 mm in Central, Lusaka, Southern and Western Provinces and the southern parts of eastern Province. Runoff in the Luangwa basin is approximately 13% of the mean yearly rainfall compared to 24% in the Kafue basin. The quality of water is generally good except in the Kafue River system where surface water may be contaminated in some places due to industrial, urban and agriculture activities.

Natural wetlands in the form of swamps and floodplains hold considerable amounts of runoff water but also lose a lot of water through evaporation especially in the dry season. Dambos are seasonal wetlands that are waterlogged during the wet season and occur in the upper reaches of drainage systems and constitute up to 10% or more of the landscape on the plateau.

3.3.2 Climate The climate in Zambia is characterized by alternating wet (rainy) and dry seasons. The rainy season lasts from November to March or April. Rainfall in Zambia is influenced by the southward movement of the equatorial low-pressure belt in the summer months that is linked to the migration of the overhead sun and the Inter-Tropical Convergence Zone (ITCZ) which is a zone in which the Congo air and southeast and northeast trade winds converge. The mean annual rainfall distribution in Zambia is characterized by a decrease from north to south (Figure 4.2) that may be attributed to the shorter time the south is influenced by the ITCZ. The coefficient of variation (CV) of annual precipitation currently ranges from 10 – 20% in Copperbelt and Northern Provinces and the northern districts of Kalabo and Lukulu in Western Province to 20 – 30% in Central, Eastern, Lusaka and Southern Provinces and the rest of Western Province.

In the north, rainfall is 1,250 mm or more a year decreasing southwards to Lusaka where it is about 750 mm. South of Lusaka climate is dictated more by the east and southeast trade winds which have lost much of their humidity so far inland. Rainfall in this area is between 500 and 750 mm. In some years, the influence of the tropical zone is felt further to the south, resulting in excessive rain in the Southern Province and partial drought in the north. Except for very rare showers in August, rain is confined to the wet season, which sometimes starts as early as October and finishes as early as March. At the height of the rainy season, it rains on seven or eight days out of ten.

Average temperatures are moderated by the height of the plateau. Maxima vary from 15 - 27C in the cool season with morning and evening temperatures as low as 6 - 10C and occasional frost on calm nights in valleys and hollows which are sheltered from the wind. In the cool season, the prevailing winds, dry south easterlies, come from the southern hemisphere belt of high pressure. Invasions of cold air from the south-east bring cloudy to overcast conditions. During the hot season, maximum temperatures may range from 27 - 35C. However, the mean annual temperature ranges between 18 - 20C. The highest annual

average temperature is 32C and the lowest temperature averages 4C. Annual temperature variation is greatest at Livingstone, the most southerly town and least at Mbala, the town nearest the equator.

3.3 Ecological

3.3.1 Forests There are 480 forest reserves in Zambia covering a total land area of about 7.2 million hectares’ Local forests are meant to conserve forest resources for sustainable use by local people, while National Forests protect major catchment areas. Several if not most of the National Forests overlap Game Management Areas (GMAs). As a result of expanding settlements and agriculture activities some forest reserves have been encroached upon and depleted. Consequently, the Government has excised and degazetted some reserves, reducing the area and number of forests.

Figure 8: Gazetted Forests across Zambia

According to Zambia’s Fourth National Report on Implementation of the Convention on Biological Diversity (CBD), about 249 Forest Reserves (51%) are either encroached or depleted due to over-exploitation of wood products, settlement, cultivation and inadequate natural resources governance. This has resulted in the loss of forest reserves - whose numbers have reduced and changed to other land uses. About 2% of the National Forests are “depleted,” while 46% are “encroached” and 52% are “intact.” Seventeen Forest Reserves have been degazetted for other land use, representing about 3% of the total area of Forest Reserves. More local forests have been excised than National Forests. Local forests in the Copperbelt, and in Eastern and Lusaka Provinces have been more affected than those elsewhere. This may be attributed to high urbanization leading to high demand for forest products and land. It is expected that the opening of new mines in Northwestern Province will bring pressure on the undisturbed forest reserves.

3.3.2 Biodiversity It is estimated that there are about 7,774 species of organisms that occur in Zambia with micro-organisms comprising 8%, plants 47%, and fauna 45% of this biodiversity. The diversity of fauna has been estimated at 3,407 species, of which 1,808 are invertebrates, 224 are mammals, 409 are fish, 67 are amphibians, 150 are reptiles, and 733 are birds. Floristic diversity is dominated by herbs and woody plants with an estimated 4,600 species of flora, of which 211 are endemic. There are 19 National Parks established to conserve faunal biodiversity, comprising about 8% of the total land area. Table 2 below shows the list of endangered and vulnerable species across Zambia.

Table 3: List of Endangered and Vulnerable species in Zambia. Based on Chidumayo and Aongola (1998). Group/ Species (Common name) Threat status Subgroup Fauna Mammalia Crocidura ansellorum Endangered Crocidura pitmani Vulnerable Rhynchocyon cirnei (Checkered Elephant shrew) Vulnerable Plerotes anchietae Vulnerable Pipistrellus anchietae Vulnerable Otomops martiensseni Vulnerable Lycaon pictus(African wild dog) Endangered Acinoyx jubatus (Cheetah) Vulnerable Panthera lea (Lion) Vulnerable Loxodonta africana (Elephant) Endangered Diceros bicornis (Black rhinoceros) Endangered Kobus leche kafuensis (Kafue lechwe) Vulnerable Kobus leche smithemani (Black lechwe) Vulnerable Aves Egretta vinaceigula (Slaty Egret) Vulnerable Falco fasciinucha (Taita Falcon) Vulnerable

Falco naumanni (Lesser Kestrel) Vulnerable Bugeranus caranculatus (Wattled Crane) Vulnerable Crex (Corncrake) Vulnerable Sarothrura ayresi (White-winged Flufftail) Endangered Agapornis nigrigenis (Black-cheeked Lovebird) Endangered Pogoniulus makawai (White-chested Tinkerbird) Vulnerable Hirundo atrocaerulea (Blue Swallow) Vulnerable Insecta Erikssonia acraeina Vulnerable Monardithemis flava Vulnerable Lanistes neavei Vulnerable Bellamya crawshayi Endangered Bellamya mweruensis Endangered Bellamya pagodiformis Endangered Trees Pterocarpus angolensis Locally Vulnerable Afzelia quanzensis Locally Vulnerable Daniela ostiniana Locally Vulnerable Khaya nyasica Locally Vulnerable Mitragyna stipulosa Locally Vulnerable

Most of these parks were set aside during the Colonial Era and formally established after Zambia’s independence in the early 1970s. Sustainable use of wildlife and its habitats in the parks is promoted through eco-tourism while settlements and hunting are prohibited. It is important to note that only the surface of land contained within parks is protected; subsurface mineral deposits are not withdrawn from entry. The Ministry of Mines and Minerals Development controls the extraction of all minerals in Zambia (IRG, 2011).

Figure 9: National Parks across Zambia (Sourced from: http://www.zambiatourism.com/destinations/national-parks) Game Management Areas are protected areas established by law to control the hunting of wild animals through a licensing system. There are 36 GMAs that were essentially set up as buffer zones to the National Parks, covering an additional 23% of the land area. The GMAs are communally owned areas where human habitation is permissible, along with economic activities that are not detrimental to wildlife management. Additionally, Zambia has eight designated Ramsar sites covering more than 4 million ha and 39 Important Bird Areas, 15 of which overlap with national parks. Within the National Forest system, 59 botanical reserves have been established to conserve floral biodiversity; 29 of these reserves are either encroached or depleted with a variety of reasons cited such as unmaintained reserve boundaries and inadequate capacity within the Forestry Department. The 4th National Report estimated that 31 species are endangered or vulnerable (i.e. threatened); however, a recent query of the International Union for the Conservation of Nature (IUCN) Red List found an increase in this number to 47. Of these threatened species, five are considered critically endangered, 12 are endangered, and another 30 are considered vulnerable. It is difficult to determine whether the increase in the number of threatened species can be attributed to a

decrease in populations or if better assessments have been undertaken, improving the baseline data. Many of these endangered and critically endangered listed species are aquatic organisms found in select lakes or river systems in Zambia and are primarily threatened by siltation, dams, direct or indirect poisoning, or competition from non-native species (IRG, 2011).

3.3.3 Ecosystems and Land Cover Based on the vegetation of Zambia, there are 16 main ecosystems in the country. These ecosystems are dynamic due to the influence of climate and geomorphological processes. Over the last million years, there have been drastic changes in the extent of these ecosystems which have been triggered by changes in climate. In recent times, biotic factors, such as cultivation, fire and herbivory, have played a significant role in altering the structure and functioning of these ecosystems. These are important considerations in biodiversity management. Ecosystems with the highest species biodiversity are Acacia savanna (munga) and Brachystegia-Julbenardia (miombo) woodlands followed by Colosphospermum (mopane) woodland and floodplain/swamp grassland. Termitary is a transition ecosystem between wetland grassland and upland woodland that is characterized by wooded termite mounds (termitary) surrounded by grassland and is important for grazing. Montane forest, although of limited extent in the country, has the highest number of endemic woody plants. The diversity of ferns and orchids is correlated to ecosystem diversity. The diversity of some invertebrates (Arachnids and butterflies) and ferns shows a south-north increase while that of other invertebrates (Hemiptera and Hymenoptera) shows the opposite trend. These diversity gradients are related to rainfall/moisture gradient (IRG, 2011).

3.3.4 Protected Areas The Convention on Biological Diversity (CBD) defines a protected area as a geographically defined area which is designated or regulated and managed to achieve specific conservation objectives. Similarly, in-situ conservation refers to the conservation of ecosystems and natural habitats and the maintenance and recovery of viable populations of species in their natural surroundings and, in the case of domesticated or cultivated species, in the surroundings where they have developed their distinctive properties. The protected area system in Zambia consists of national parks (IUCN protected area category II), bird sanctuaries (IUCN protected area category IV), game management areas (GMAs, IUCN protected area category VIII), important bird areas (IBAs, IUCN protected area category IV), forest and botanical reserves (IUCN protected area categories IV and VIII) and national heritage sites (IUCN protected area categories III and X). National parks were established by government primarily for the conservation of biodiversity. There are 19 national parks in Zambia and these cover a total area of 6.358 million hectares (ha). Sustainable use of wildlife and its habitats in national parks is promoted through eco-tourism while settlements and hunting are prohibited.

Bird sanctuaries have the same status as national parks but are usually smaller in size. There are two bird sanctuaries in the country. Important Bird Areas (IBAs) are identified based on internationally agreed criteria and are established for the long-term viability of naturally occurring bird populations across the range of those species for which a site-based conservation approach is appropriate. There are 42 IBAs in Zambia and some of these are in national parks and these also include the two Ramsar sites (Bangweulu Swamps and Kafue Flats) in the country. Game management areas (GMAs) were established by government to control the hunting of game and protected animals through a licensing and monitoring system. There are 34 GMAs in Zambia which cover a total of 16.57 million ha. Because other forms of land use, such as settlements and agriculture are allowed, GMAs are not strictly protected areas.

Forest reserves were established by government to conserve forest resources for sustainable use by local people in the case of local forests and to protect major catchment areas and biodiversity in the case of national forests. There are 432 forest reserves in Zambia which cover a total of 7.4 million ha. Settlements and cultivation are normally not permitted in forest reserves while removal of any plant is only permissible under license as is livestock grazing. Other forest reserves are managed as botanical reserves that serve three objectives: (i) preservation of relic vegetation types and/or plant species, (ii) genetic banks for multiplication and breeding programs, (ii) reference sites in determining human impacts on forest ecosystems outside reserves. There are 59 botanical reserves in Zambia which cover a total area of 148,000 ha but form part of the country’s forest reserve system.

3.4 The Socioeconomic Environment

Zambia is a democratic republic with two spheres of government, national and local. There is constitutional provision for local government and the main governing legislation includes the Local Government Act 1991 and the Local Government Elections Act 1992. The 103 local authorities are overseen by the MLG and consist of four city councils, 15 municipal councils and 84 district councils. There are also ten provinces, which are purely administrative. At the local elections in 2011, 6.2% of councilors were women. Following the 2016 national election, 18.0% of elected representatives were women. Local governments must establish and maintain roads, bridges, ferries, watercourses, street lighting and public transport, as well as provide firefighting and prevention, and environmental health services. Councils must also provide and maintain supplies of water; maintain drains, sewers and roads; and dispose of sewage and refuse. They must maintain cemeteries, crematoria and mortuaries, parks, zoos, gardens, pleasure grounds, camping grounds, caravan sites, art galleries, libraries, museums and film services.

The provinces visited during the preparation of this ESMF include, Copperbelt, Central and Lusaka provinces respectively. The town councils visited include, Kafue, Rufunsa, Chibombo, Mpongwe, Lufwanyama, Chingola, Kabwe Kapiri Mposhi.

The population of Kafue as at the 2010 census was 227,466, with about eight schools, one government hospital and some clinics and health facilities. Rufunsa has a population of 51,002, after five decades of independence it has no government secondary school or hospital, however, there are some health posts in the area. Illiteracy levels are extremely high. Chibombo is an Agro based district with a population of 303,519, with 14 secondary schools and one clinic and some health centres. Mpongwe has a population of 93,380, with eight secondary schools and some health posts. Lufwanyama has a population of 78,503, with 11 schools, Lufwanyama General Hospital and some health centres. Chingola has a population of 172, 026 with 15 secondary schools, and a number of hospitals and clinics. Kabwe has a population of 202,360 with approximately 22 secondary schools, hospitals and clinics. Kapiri Mposhi has a population of 253,786. It has 221 schools of which, 22 are secondary schools, 114 primary schools, 59 community schools and 59 private schools.8 Other town councils contacted include; Shiwangándu, Manyinga, Ikelenge, Mafinga, Vubwi and Sioma.

Shiwangándu has a population 59,795 according to the 2010 census, howevera current head count indicates that the population stands at 109,2729, with no district hospital and limited health facilities distributed across the district. The aspect of access to health services a huge challenge in this area. In terms of Education The district has a total number of 12 Secondary schools and 78 Primary schools dotted across the district. Manyinga has a population of 48,141 however, the projected population is 61, 472, with nine primary schools and 44 secondary schools, one mission hospital , six health posts and five rural health centres. Ikelenge has an estimated population of 32, 919 and a projected population of 35,59010 with five secondary schools, one special school, two community schools and six primary schools. There is one mission hospital known as Kaleni mission hospital while one hospital is still under construction with a few health posts. Mafinga has a popupaltion of 103, 000 with 53 primary schools, seven secondary schools and one boarding school, there is no first level hospital ,however, there are nine health posts in the area. Vubwi has a population of 44, 585 with a growth rate of approximately 2.2 percent. There are 27 primary schools, nine secondary schools and five community schools. Currently, there is a boarding school under construction. There is one district hospital under construction, nine health posts and three

8 Ministry of General Education, List of Secondary Schools in Zambia 9 Ministry of Health Report, 2017 10 CSO (2012), Zambia 2010 Census of Population and Housing, population summary Report

clinics. Sioma has a population of 45, 820 with 44 primary schools and two secondary schools, there is no hospital in this district, however, people are referred to Senanga, and there is one clinic and a few health posts. The planned project in areas such as Lusaka and Copperbelt has targeted communities in the outskirts of the town. The major characteristic in the rural areas include; • Gravel and earth roads (thus creating distance to markets, schools and hospital facilities) • Open markets • No bus stops • Thatched houses except for Kafue, Chilanga and Kapiri Mposhi • Erratic supply of water while in other areas distances to streams • Intermittent mobile network access ( some areas in Vubwi are close to the Malawian border and hence, they only have access to the Malawian mobile

Household characteristics in provinces; • Copperbelt Province- total number of households captured during the 2010 census of population and housing was 371, 125 male headed making up 79.5 percent, while the female headed households made up 20.5 percent (76, 107)11 • Central province- total number of households captured during the 2010 census of population and housing was 253,560. Male headed households made up 78.7 percent (185,348), of the total number of households, while female headed households made up 21. 3 percent (50,212). • Lusaka- total number of households captured during the 2010 census population and housing was 444, 418. Male headed households made up 79.6 percent (353, 797) of the total number of households while, female headed households made up 20. 4 percent (90,621) • Western Province - total number of households captured during the 2010 census of population and housing was 180,179 male headed making up 67 percent(120,726), while the female headed households made up 33 percent (59,453). • Easter Province- total number of households captured during the 2010 census of population and housing was 305,198 male headed making up 77.5 percent( 236,449), while the female headed households made up 22.5 percent (68,749) • Muchinga Province- total number of households captured during the 2010 census of population and housing was 138,783 male headed making up 78.4 (108,8530 percent, while the female headed households made up 21.6 percent (29,950)

11 CSO (2012), Zambia 2010 Census of Population and Housing, population summary Report

• North Western Province- total number of households captured during the 2010 census of population and housing was 130, 803 male headed making up 76.3 percent, while the female headed households made up 23.7 percent (31,049).12 The economic characteristics in this area include; • Subsistence Farming • Mining (Copperbelt and Rufunsa, small scale mining in Vubwi) • Fishing • Small trading in charcoal, honey • Timber trading • Tourism ( e.g Luangwa National Park, Sioma National Park and Ngonya falls, lodges )

3.4.1 National Government Zambia is a democratic republic with a unicameral parliament, known as the National Assembly. The head of state and government is the president, who is directly elected for a five-year term and a maximum of two terms. The National Assembly has 150 elected members and not more than ten (usually eight) nominated members. Elections are conducted using the first-past-the-post system in single-member constituencies, and members sit for a term of five years. The president appoints the vice-president and cabinet from amongst the members of the national assembly; no more than five members of cabinet can be appointed from amongst the nominated members. Following the 2016 national election, 18.0% of elected representatives were women

3.4.2 Local Government Local government within the state; The government approved a national decentralization policy in November 2002, following two previous failed attempts in 1968 and 1980. The policy covers aspects such as empowering local people through setting up sub-district structures, and clearly defined roles and responsibilities for local authorities, the provinces and national government. Additionally, it states that the ultimate aim of the government is decentralization through devolution, although the process will start with de-concentration of services while capacity is being developed in the local authorities. The objective of the policy is to enhance governance, by giving citizens more authority and power in decision- making at the local level.

MoLG is responsible for overseeing local government. The mission of the ministry is ‘to promote a decentralized and democratic local government system and facilitate the provision of efficient delivery of quality housing, infrastructure and other social services by

12 CSO (2012), Zambia 2010 Census of Population and Housing, population summary Report

local authorities and other stakeholders for sustainable development’. MoLG has the following six departments: Human Resources and Administration, Local Government Administration, Housing and Infrastructure Development, Physical Planning, Government Valuation and Decentralization. MoLG is also exercise oversight over the following statutory bodies and institutions: Chalimbana Local Government Training Institute, the National Housing Authority, the National Fire Services Training School and the Local Authorities Superannuation Fund. With the enactment of the Local Government Amendment (Act No. 6, 2010), the Local Government Service Commission was re- established. The commission is mandated to hire, fire, promote, demote and discipline officials of all councils. MoLG has also been responsible for providing various national grants to councils, including the Constituency Development Fund.

3.4.3 Types of Councils Local governments are called councils and there are currently 103 councils – four city councils, 15 municipal councils and 84 district councils. In general, city councils are in urban districts with higher population concentration and significant economic activities, while the municipal councils cover suburban regions. District councils cover rural districts which have smaller population, rely heavily on agriculture, and have fewer opportunities for generating tax revenue. However, legally all councils have the same mandates and authority vis-à-vis their residents and national government. There are also ten provinces, which serve administrative purposes only: National, Copperbelt, Eastern, Luapula, Lusaka, Muchinga, Northern, North Western, Southern and Western. Each province is headed by a provincial minister appointed by the president and there are provincial departments of national government ministries. A council has both legislative and administrative wings. In the legislative wing, councillors are directly elected by universal adult suffrage on the first-past- the-post system as representatives of the residents.

3.4.4 Distribution of Service Delivery Responsibility The Local Government Act 1991 stipulates 63 functions that councils may discharge. Around half these functions focus on investment and maintenance of infrastructure and are the sole responsibility of the individual council. These include the establishment and maintenance of roads, bridges, ferries, watercourses, street lighting and public transport services, firefighting and prevention services and environmental health services. Councils must also provide and maintain supplies of water as well as establish and maintain drains, sewers and works for urban and feeder roads, and dispose of sewage and refuse. They must maintain and establish cemeteries, crematoria and mortuaries, together with parks, zoos, gardens, pleasure grounds, camping grounds, caravan sites, art galleries, libraries, museums and film services. Councils also have joint responsibility, alongside various sector-specific government agencies, for: the conservation of natural resources; the protection and control of local forests and woodlands; the establishment and maintenance of farms and allotment

gardens; and the storage, marketing and preservation of agricultural produce. They further share responsibility for establishing and maintaining colleges, schools and day nurseries, public swimming baths and other social/recreational facilities, for postal services, and for the promotion of road safety. Finally, councils are mandated to prepare and administer schemes for the encouragement of and participation in community development, targeting some services at marginalized groups

CHAPTER 4: LEGAL FRAMEWORK AND REGULATORY FRAMEWORK

4.1 Introduction

The PSGSDP will be implemented by the MOF in collaboration with other MLG. Implementation will entail regular visit and periodic monitoring to the beneficiary town councils. The MOF will provide overall policy guidance and has the responsibility for policy making. The PIU will act as the implementing agent on behalf of MOF and provide overall coordination of the implementation of the PSGSDP and will monitor performance to ensure that the objectives of the Project are achieved. The PIU will actively involve other Government Agencies, the private sector and other stakeholders including local community-based organizations. Environmental and Social issues cut across a wide variety of sectors requiring concerted effort by various several government institutions. National requirement will be in line with the Zambia Environmental Management Agency (ZEMA) Act (EMA, 2011) and regulations which are involved in aspects of environmental management and these institutions and their legislative responsibilities are summarized in Table 4.

4.2 Overview of Country Laws, Regulation and Policy Frameworks

Over the past two decades, Zambia has developed several policies, plans and legislation to guide private and public institutions to pursue environmentally and socially sustainable development agenda in various sectors of the economy. Environmental and social issues are crosscutting, and this is reflected in the various legislative frameworks, policies and legal structures that are in place. This following section outlines some of the policies, plans and legislation in place that are relevant to assessment and management of environment and social impacts during the implementation of the proposed PSGSDP.

4.2.1 Vision 2030 Zambia’s Vision 2030, completed in 2005, is a long-term planning instrument which expresses the aspirations of Zambia to become a middle-income country. The Vision 2030 document focuses on poverty reduction and anchored on providing opportunities for improving the well-being of the citizen, embodying values of socio-economic justice, underpinned by the principles of: (i) gender responsive sustainable development; (ii) democracy; (iii) respect for human rights; (iv) good traditional and family values; (v) positive attitude towards work; (vi) peaceful coexistence and;

(vii) private-public partnerships.

The vision 2030 principles are relevant to the PSGSDP as they show the country’s commitment to: • inclusion of women and vulnerable groups in commerce and trade, • creating an enabling environment that promote divergent views, peace and stability that are a hallmark of democracy to help foster and safeguard investments, • private – public partnership to foster sustainable economic growth and ensuring development activities do not pose a danger to the environment.

4.2.2 Seventh National Development Plan (2017-2021) The Seventh National Development Plan departs from sectoral-based planning to an integrated (multi-sectoral) development approach under the theme “Accelerating development efforts towards the Vision 2030 without leaving anyone behind”. The integrated approach recognizes the multi-faceted and interlinked nature of sustainable development which calls for interventions to be tackled simultaneously through a coordinated approach to implementing development programmes. Using the integrated (multi-sectoral) development approach, the 7NDP has the advantage of considering the comparative and competitive advantages of the regions in allocation of resources towards implementation of the multi-sectoral strategies and setting in motion a series of mutually supporting activities in different sectors with the general objective of delivering the national agenda. Ultimately it is envisaged that the integrated development approach in the 7NDP will help change the focus of government line ministries and provinces from competing to coordinated harmonization (working together). Furthermore, this Plan responds to the Smart Zambia transformation agenda 2064 and embeds in it the economic recovery necessary for the actualization of a Smart Zambia. This is in support of the UN 2030 Agenda for Sustainable Development and the African Union Agenda 2063 (7NDP, 2017). Distinctively, the realization of this goal will be achieved through the contribution of several developmental outcomes and this makes the 7NDP an effective guide towards Zambia’s aspirations of being a developed middle-income nation. The key outcomes include economic diversification and job creation; poverty and vulnerability reduction; reduced developmental inequalities; enhanced human development; and an enhanced governance environment for a diversified and inclusive economy (7NDP, 2017).

4.2.3 The National Decentralization Policy, 2013 The objectives of Decentralization in Zambia stems from the need for the citizenry to exercise control over its local affairs and foster meaningful development which requires that some degree of authority is decentralized to provincial, district and sub-district levels as well as Councils, in the background of centralization of power, authority, resources and functions, which has in turn subjected institutions at provincial, district and sub-district

levels to absolute control by the center. To remove the absolute control by the center, it is necessary to transfer the authority, functions and responsibilities, with matching resources to lower levels. The vision of Government to achieve a decentralized system within a unitary State in Zambia. To achieve the Government’s vision in decentralization and regarding the PSGSDP, one of the policy objectives being pursues relates to empowering provinces, districts and communities to achieve effective social economic development and trade.

4.2.4 National Policy on Environment (NPE), 2005 Zambia's National Environmental Policy is aimed at promotion of sustainable social and economic development through sound management of the environment and natural resources. The policy seeks, among other things, to: secure for all persons now and in the future an environment suitable for their health and well-being; promote efficient utilization and management of the country’s natural resources and encourage, where appropriate long - term self-sufficiency in food, fuel wood and other energy requirements; facilitate the restoration, maintenance and enhancement of the ecosystems and ecological processes essential for the functioning of the biosphere and prudent use of renewable resources; integrate sustainable environment and natural resources management into the decentralized governance systems and ensure that the institutional framework for the management of the environment and natural resources supports environmental governance in local government authorities; enhance public education and awareness of various environmental issues and public participation in addressing them; and promote local community, NGO and private sector participation in environment and natural resource management. The key principles applicable to the PSGSDP are that: (1) every person has a right to a clean and healthy environment; (2) every person has a duty to promote sustainable utilization and management of the environment and natural resources, including taking legal action against any person whose activities or omissions have or are likely to have adverse effects on the environment; (3) women should effectively participate in policy, program and project design and implementation to enhance their role in natural resource use and management activities; (4) there is need to use natural resources sustainably to support long-term food security and sustainable economic growth; (5) rational and secure tenure over land and resources is a fundamental requirement for sustainable natural resource management; and (6) trade-offs between economic development and environmental degradation can be minimized through use of EIA instruments and environmental monitoring.

For the proposed PSGSDP it is important to recognize the linkage between environment and development. It is also important to realize that the two are not mutually exclusive, but

rather complementary. More important for the component on the project whose key objective is integration and provision of sustainable livelihoods, the project should integrate gender, children and other vulnerable groups’ concerns in environmental planning at all levels, to ensure sustainable social and economic development.

4.2.5 National Water Policy, 1994 The National Water Policy of 1994 embraces modern principles of water resources management and endeavors to deal with the challenges of poverty reduction, all aspects of water including resource management, development, and service delivery conforming to the current global and regional trends and the requirements as reflected under the new Sustainable Development Goals. The overall policy goal is sustainable management and utilization of water resources to: (i) provide water of acceptable quality and of sufficient quantities, (ii) ensure availability of efficient and effective water and sanitation services that satisfy the basic requirements of every Zambian; and (iii) enhance the country’s natural ecosystems.

One of its objectives is to promote public and private sector participation in water resources management, development, supply and conservation. The principles that will guide the management of water resources include the following: (i) management, protection and conservation of water resources to be undertaken in an integrated manner; (ii) all people to have access to potable water and sanitation services to reduce incidences of water related diseases; (iii) water resources shall be optimally, equitable and rationally allocated and regulated to ensure sustainable optimal economic returns and social enhancement; (iv) water resources management will be based on the concept of decentralization and will promote local participation with the catchment as the unit of water management; (v) promote the empowerment of user communities to own, manage and invest in water resources development; (vi) pollution of water resources shall follow the “Polluter Pays” principle to ensure water user responsibility.

4.2.6 The National Forest Policy of Zambia, 1998 This policy aims at promoting sustainable contribution of national forests, woodlands and trees towards improvement of the quality of life in the country by conserving the resources for the benefit of the nation and to the satisfaction of diverse and changing needs of the Zambian population, particularly rural smallholder farmers and entrepreneurs. The policy prevents changes in land-use, which promote deforestation, constrain farm forestry or

endanger the protection of forests with cultural or biodiversity or water catchment conservation values, and it also discourages excisions in gazetted forest, except in cases of environment friendly public utility, for which suitable inter-sectoral and local consultations will be established. The policy further recognizes environmental impact assessment as an important tool for new projects as one way of promoting sustainable management of forest resources. This will require that activities on the PSGSDP such as rehabilitation and construction work comply with EIA regulations to minimize impacts on vegetation and forest cover.

4.3 Relevant Zambian Legislation The table below shows an overview of the relevant Zambian legislation, their interpretation and relevance to the PSGSDP.

Table 4: Relevant Zambia Legislation and Interpretation Legislation Interpretation of Legislation Relevance to the Project Anti-Gender- An Act to provide for the protection of victims of gender-based violence; The PSGSDP will give priority to vulnerable Based Violence constitute the Anti-Gender-Based Violence Committee; establish the Anti- groupings such as women by ensuring service Act, 2010. Gender-Based Violence Fund; and provide for matters connected with, or delivery takes into account their needs. incidental to, the foregoing.

Employment An Act to provide legislation relating to the employment of persons; to make During project implementation, various Act, 1997 provision for the engagement of persons on contracts of service and to provide individuals will be engaged to perform multiple for the form of and enforcement of contracts of service; to make provision for tasks. This will require that all contractors on the appointment of officers of the Labour Department and for the conferring of the Project adhere to the provision of the powers on such officers and upon medical officers; to make provision for the Employment Act and the national labour laws. protection of wages of employees; to provide for the control of employment This will be achieved by creating a conducive agencies; and to provide for matters incidental to and consequential upon the work environment, treating workers in a humane foregoing. manner and remuneration is favorable.

Environmental A developer shall not implement a project for which a project brief or an The various activities to be undertaken on the Impact environmental impact statement is required under these Regulations, unless the Project are likely to trigger environmental and Assessment project brief or an environmental impact assessment has been concluded in social impact and this will require that site Regulations, accordance with these Regulations and the Council has issued a decision letter. specific environmental instruments be prepared 1997 to eliminate or minimize possible impact. At national level, In Zambia the Environmental Impact Assessment (EIA) regulation of 1997 gives guidance, schedules and categories the various project types and the relevant EIA

Legislation Relevance to the Project Interpretation of Legislation studies to undertaken. It further gives provision on post EIA approval management of projects and guidelines for developing Environmental Social Management Plans (ESMP’s) and Resettlement Action Plans (RAP’s). Environmental An Act to continue the existence of the Environmental Council and re-name it Implementation of the PSGSDP will involve Management as the Zambia Environmental Management Agency; provide for integrated infrastructure works to build or rehabilitate Act, 2011. environmental management and the protection and conservation of the council facilities. This will require that a generic environment and the sustainable management and use of natural resources; ESMP’s be prepared in accordance with the provide for the preparation of the State of the Environment Report, provisions of the ZEMA EIA regulations. environmental management strategies and other plans for environmental management and sustainable development; provide for the conduct of strategic environmental assessments of proposed policies, plans and programmes likely to have an impact on environmental management; provide for the prevention and control of pollution and environmental degradation; provide for public participation in environmental decision making and access to environmental information; establish the Environment Fund; provide for environmental audit and monitoring; facilitate the implementation of international environmental agreements and conventions to which Zambia is a party; repeal and replace the Environmental Protection and Pollution Control Act, 1990; and provide for matters connected with, or incidental to, the foregoing.

Fisheries Act, An Act to provide for the appointment of the Director of Fisheries and fisheries Fisheries including aquaculture continues to be 2011 officers and provide for their powers and functions; promote the sustainable the main stay of many farmers across Zambia development of fisheries and a precautionary approach in fisheries management, and is rich source of protein. This has, however, conservation, utilization and development; establish fisheries management areas remained at subsistence levels despite the and fisheries management committees; provide for the regulation of commercial country being endowed with abundant water

Legislation Relevance to the Project Interpretation of Legislation fishing and aquaculture; establish the Fisheries and Aquaculture Development resources. On the PSGSDP, market point to be Fund; repeal and replace the Fisheries Act, 1974; and provide for matters constructed or rehabilitated will be required to connected with, or incidental to, the foregoing. comply with fisheries as they will support fish trading.

Forests Act, An Act to provide for the establishment and declaration of National Forests, The Project is unlikely to involve activities that 2015 Local Forests, joint forest management areas, botanical reserves, private forests will involve loss of vegetation. The and community forests; provide for the participation of local communities, local infrastructure works to build, or upgrade have a authorities, traditional institutions, non-governmental organizations and other small footprint and the loss of vegetation will be stakeholders in sustainable forest management; provide for the conservation and insignificant. use of forests and trees for the sustainable management of forests ecosystems and biological diversity; establish the Forest Development Fund; provide for the implementation of the United Nations Framework Convention on Climate Change, Convention on International Trade in Endangered Species of Wild Flora and Fauna, the Convention on Wetlands of International Importance, especially as Water Fowl Habitat, the Convention on Biological Diversity, the Convention to Combat Desertification in those Countries experiencing Serious Drought and/or Desertification, particularly in Africa and any other relevant international agreement to which Zambia is a party; repeal and replace the Forests Act, 1999; and provide for matters connected with, or incidental to, the foregoing.

Gender Equity An Act to establish the Gender Equity and Equality Commission and provide The Project will mainstream gender equality into and Equality for its functions and powers; provide for the taking of measures and making of its project activities to help groupings such as Act, 2015 strategic decisions in all spheres of life in order to ensure gender equity, equality women and children that are marginalized, are and integration of both sexes in society; promote gender equity and equality as a more susceptible to climate change, economic cross cutting issue in all spheres of life and stimulate productive resources and development opportunities for both sexes; prohibit harassment, victimization

Legislation Relevance to the Project Interpretation of Legislation and harmful social, cultural and religious practices; provide for public awareness shocks and environmental – social risks be more and training on issues of gender equity and equality; provide for the elimination resilient. of all forms of discrimination against women, empower women and achieve gender equity and equality by giving effect to the Convention on the Elimination of all Forms of Discrimination against Women, the Protocol to the African Charter on Human and People’s Rights on the Rights of Women in Africa and the SADC Protocol on Gender and Development; and provide for matters connected with, or incidental to, the foregoing.

Human Rights An Act to provide for the functions and powers of the Human Rights The proposed PSGSDP will enhance service Commission Commission; to provide for its composition and to provide for matters delivery by town councils. Improved quality of Act, 1996 connected with or incidental to the foregoing. life will ensure that residents have a dignified life and a say on their welfare and plight.

Lands Act, 1964 An Act to provide for the continuation of leaseholds and leasehold tenure; to The PSGSDP will involve the development of provide for the continued vesting of land in the President and alienation of land infrastructure works to build or upgrade exiting by the President; to provide for the statutory recognition and continuation of council facilities. This will require that the customary tenure; to provide for the conversion of customary tenure into provisions on the lands Act are taken into leasehold tenure; to establish a Land Development Fund and a Lands Tribunal; consideration regarding titling and land tenure. to repeal the Land (Conversion of Titles) Act; to repeal the Zambia (State Lands and Reserves) Orders, 1928 to 1964, the Zambia (Trust Land) Orders, 1947 to 1964, the Zambia (Gwembe District) Orders, 1959 to 1964, and the Western Province (Land and Miscellaneous Provisions) Act, 1970; and to provide for matters connected with or incidental to the foregoing.

Legislation Relevance to the Project Interpretation of Legislation Local An Act to provide for an integrated three tier local administration system; to Project implementation and supervision will Government define the functions of local authorities; to repeal the Local Administration Act require the support of local authorities in Act, 1995 and certain related laws; and to provide for matters connected with or incidental beneficiary areas regarding planning and siting to the foregoing. the proposed infrastructure

National An Act to repeal and replace the Natural and Historical Monuments and Relics The Project will develop a chance finds Heritage Act; to establish the National Heritage Conservation Commission; to define the procedure to guide contractors on reporting Conservation functions and powers of the Commission; to provide for the conservation of channels and processes. The National Heritage Commission ancient, cultural and natural heritage, relics and other objects of aesthetic, and Conservation Commission NHCC) will be Act, 1989 historical, prehistorical, archaeological or scientific interest; to provide for the notified should a chance find be cited and offer regulation of archaeological excavations and export of relics; and to provide for guidance on how such sensitive findings should matters connected with or incidental to the foregoing. be handled.

Non- An Act to provide for the co-ordination and registration of non-governmental Non-Governmental Organizations (NGO’s) are Governmental organisations; establish the Non-Governmental Organisations' Registration some of the major stakeholders on the Project, Organizations Board and the Zambia Congress of Non- Governmental Organisations; their involvement on the Project will range Act, 2009 constitute the Council of Non-Governmental Organisations; enhance the from; information dissemination, educational transparency, accountability and performance of non- governmental activities and livelihood initiatives. organisations; and provide for matters connected with or incidental to the foregoing Occupational An Act to establish the Occupational Health and Safety Institute and provide for During the implementation of project activities, Health and its functions; provide for the establishment of health and safety committees at personnel involved in construction of Safety Act, 2010 workplaces and for the health, safety and welfare of persons at work; provide for infrastructure and their operation will be the duties of manufacturers, importers and suppliers of articles, devices, items required to adhere to best practices with and substances for use at work; provide for the protection of persons, other than regards to Occupational Health and Safety. persons at work, against risks to health or safety arising from, or in connection Procedures and manuals and regular onsite training will be undertaken to ensure personnel

Legislation Relevance to the Project Interpretation of Legislation with, the activities of persons at work; and provide for matters connected with, working on site are conversant with the or incidental to, the foregoing. information contained. The Project will ensure that high risk areas are clearly marked with restricted access and the provision of the relevant Personal Protective Equipment (PPE) will be mandatory.

Public Health An Act to provide for the prevention and suppression of diseases and generally During project implementation, all activities will Act, 1995 to regulate all matters of public health in Zambia. incorporate measures that prevent and minimize the spread of diseases to protect the health of the public.

Public An Act to continue the existence of the Zambia National Tender Board and re- The Project will involve the procurement of Procurement name it as the Zambia Public Procurement Authority; revise the law relating to works, goods and services and this will require Act, 2008 procurement So as to ensure transparency and accountability in public that the process follow the Zambia Public procurement; regulate and control practices relating to public procurement in Procurement Authority (ZPPA) guidelines to order to promote the integrity of, fairness and public confidence in, the ensure fairness, transparency, integrity, procurement process; repeal and replace the Zambia National Tender Board Act, accountability and promote public and 1982; and provide for matters connected with or incidental to the foregoing stakeholder confidence. The process will be further complimented by World Bank procurement polices

Roads and Road An Act to make provision for the care, maintenance and construction of roads During implementation of project activities, they Traffic Act, 1995 in Zambia, for the control of motor traffic, for the licensing of drivers and motor are likely to be disruption to roads and traffic in vehicles, for the compulsory third party insurance of motor vehicles, for the surrounding areas. This will be during licensing and control of public service vehicles and public services, and for other construction activities requiring earthworks near miscellaneous provisions relating to roads and motor traffic. roads and delivery of materials. Constructors will

Legislation Relevance to the Project Interpretation of Legislation be required to adhere to set speed limits, undertake works and bulk deliveries away from off pick time and work within the project footprint to minimize intrusion into surrounding areas. Urban and An Act to provide for development, planning and administration principles, Project implementation will involve Regional standards and requirements for urban and regional planning processes and construction activities, which may alter the Planning Act, systems; provide for a framework for administering and managing urban and landscape of the current layout of target areas. 2015 regional planning; provide for a planning framework, guidelines, systems and The Project, in collaboration with the local processes for urban and regional planning; establish a democratic, accountable, authorities in which these areas fall, will ensure transparent, participatory and inclusive process for urban and regional planning the designs and plans adhere with the Urban and that allows for involvement of communities, private sector, interest groups and Regional Planning of the areas to be in harmony other stakeholders in the planning, implementation and operation of human with the councils’ expansion master plan. settlement development; ensure functional efficiency and socio-economic integration by providing for integration of activities, uses and facilities; establish procedures for integrated urban and regional planning in a devolved system of governance so as to ensure multi-sector cooperation, coordination and involvement of different levels of ministries, provincial administration, local authorities, traditional leaders and other stakeholders in urban and regional planning; ensure sustainable urban and rural development by promoting environmental, social and economic sustainability in development initiatives and controls at all levels of urban and regional planning; ensure uniformity of law and policy with respect to urban and regional planning; repeal the Town and Country Planning Act, 1962, and the Housing (Statutory and Improvement Areas) Act, 1975; and provide for matters connected with, or incidental to, the foregoing.

Legislation Relevance to the Project Interpretation of Legislation Water Act, 1964 An Act to consolidate and amend the law in respect of the ownership, control The abstraction or use of water during and use of water; and to provide for matters incidental thereto or connected construction and operational activities will be therewith. required to be done in a sustainable manner. This will reduce or eliminate incidences of infringing on the rights of other water users to access the resource.

Water Resources An Act to establish the Water Resources Management Authority and define its During the implementation of the a PSGSDP Management functions and powers; provide for the management, development, conservation, activities that are likely to affect water resources Act, 2011 protection and preservation of the water resource and its ecosystems; provide for will be required to comply with the provision of the equitable, reasonable and sustainable utilization of the water resource; ensure the water resources will ensure that water the right to draw or take water for domestic and non-commercial purposes, and resources and ecosystems are protected. that the poor and vulnerable members of the society have an adequate and sustainable source of water free from any charges; create an enabling environment for adaptation to climate change; provide for the constitution, functions and composition of catchment councils, sub-catchment councils and water users associations; provide for international and regional co-operation in, and equitable and sustainable utilization of, shared water resources; provide for the domestication and implementation of the basic principles and rules of international law relating to the environment and shared water resources as specified in the treaties, conventions and agreements to which Zambia is a State Party; repeal and replace the Water Act, 1949; and provide for matters connected with, or incidental to, the foregoing. Zambia Wildlife An Act to governing the affairs of the Zambia Wildlife Authority; establish the The construction, activities on the project may Act, 2015 Department of National Parks and Wildlife in the Ministry responsible for affect flora and fauna in the area. The project will tourism; provide for the establishment, control and management of National ensure that all personnel on site undergo Parks, bird and wildlife sanctuaries and for the conservation and enhancement of

Legislation Relevance to the Project Interpretation of Legislation wildlife eco-systems, biological diversity and objects of aesthetic, pre-historic, orientation on how to handle the siting of wild historical, geological, archeological and scientific interest in National Parks; species. provide for the promotion of opportunities for the equitable and sustainable use of the special qualities of public wildlife estates; provide for the establishment, control and co-management of Community Partnership Parks for the conservation and restoration of ecological structures for non-consumptive forms of recreation and environmental education; provide for the sustainable use of wildlife and the effective management of the wildlife habitat in Game Management Areas; enhance the benefits of Game Management Areas to local communities and wildlife; involve local communities in the management of Game Management Areas; provide for the development and implementation of management plans; provide for the regulation of game ranching; provide for the licensing of hunting and control of the processing, sale, import and export of wild animals and trophies; provide for the implementation of the Convention on International Trade in Endangered Species of Wild Fauna and Flora, the Convention on Wetlands of International Importance especially as Waterfowl Habitat, the Convention on Biological Diversity, the Lusaka Agreement on Cooperative Enforcement Operations Directed at Illegal Trade in Wild Fauna and Flora and other international instruments to which Zambia is party; repeal the Zambia Wildlife Act, 1998; and provide for matters connected with, or incidental to, the foregoing.

4.4 World Bank Environmental and Social Standards

As a key financing institution, the World Bank is committed to supporting developmental projects, while eliminating or minimizing any adverse impacts or risks on the environment, society and human health. These impacts can be severe or moderate, localized or regional, short or long term. To minimize and manage environmental and social impacts, the Bank’s ESS are a key process of the Bank due diligence. These standards provide a mechanism and tools for ensuring integration of environmental concerns and social issues into the planning and implementation of development projects financed by the Bank. The Bank has a ten Environmental and Social Standards (ESS) that were reviewed for relevance to the proposed PSGSDP.

Table 5: World Bank Safeguards Polices and their relevance to PSGSDP

Environmental and Relevance of the Environmental and Social Standards on the proposed PSGSDP Social Standards (ESS) ESS1 Assessment and Capital investments by town councils from the performance grants will include small infrastructure works limited to Management of construction and rehabilitation of public services within well-defined publicly owned land and assets such as markets, Environmental and public toilets and bus stations. Potential social and environmental risks arising from these works include disruption of Social Risks and access to public spaces and services, community health and safety, occupational health and safety of workers, disposal Impacts and management of waste generated during works, non-inclusion of project affected parties, particularly women, youths and persons with disability, leading to unequal distribution of opportunities to participate in the project and potential risks of weak grievance redress mechanisms and poorly coordinated community communication process. An assessment of Gender Based Violence (GBV) risk on the project was conducted. The outcome of the assessment rated the project as low risk. The risk situation will be monitored and regularly updated during implementation of the ESMP and included as a key subject during stakeholder consultations. To ensure the environmental and social risks associated with the development of small infrastructure are managed, an ESMF is under preparation to manage environmental and social risks because beneficiary town councils and specific activities to be undertaken by each town council have not yet been defined. ESS2 Labor and A LMP will be prepared in line with national laws that govern labor and working conditions of civil servants and Working Conditions includes consideration for Occupational Health and Safety for all town council staff that will be involved in implementing project activities. As works will be undertaken by staff from designated town councils, it is not envisaged that the project will attract externally recruited workers, limiting the risks associated with influx of labor. A separate grievance redress procedure will be maintained for workers and communities to registering grievances supplementing existing complaint handling procedures within the civil service. ESS3 Resource Best practices that relate to resource efficiency and pollution prevention will be incorporated in the ESMP and Efficiency and Pollution associated ESMPs. Taking into consideration that the project will finance small infrastructure works for local authorities Prevention and through a performance based grant. These infrastructural works are likely to result in the generation of waste, discharge Management of effluent and public health risks. The operation of these facilities will require the efficient use of water, especially in areas were the local water supply is erratic.

Environmental and Relevance of the Environmental and Social Standards on the proposed PSGSDP Social Standards (ESS) ESS4 Community No major civil works are anticipated that will pose a risk to the health and safety of communities. Activities will be Health and Safety localized as rehabilitation works will be undertaken on already existing town council infrastructure. Based on MoLG capital threshold for local Councils (approximately $50,000), activities to be implemented under component 2 (Grant Performance for Service Delivery) will not be complex. However, communities maybe affected by traffic related safety risks caused by movement of machinery as well as exposure to hazardous waste generated from construction and rehabilitation works. To safeguard the community against GBV risks, a code of conduct for workers will be developed with provisions for addressing GBV and sexual exploitation, as well as a procedure handling GBV related complaints. Listed mitigation measures against these risks will be provided for in the generic ESMP. Site specific ESMPs will be prepared once eligible town councils select specific activities for their areas which could have an impact on the health of community members. Preparation of site specific ESMPs is listed as a commitment in the ESCP and will be monitored accordingly. ESS5 Land Acquisition, Project activities are not envisaged to result in land acquisition or physical displacement. Disbursement of funds for Restrictions on Land capital investments under component 2 will be identified and agreed upon with Client counterparts. Eligible Use and Involuntary expenditures will include capital investments and asset maintenance listed in the approved annual plan for local Resettlement governments and subject to a "negative list" of expenditure. The negative list includes activities likely to result in land acquisition, restrictions of land use and involuntary resettlement will not be considered eligible for financing under the scope of this project. The risk of physical and economic relocation on this project is negligible, however, should selected sub-project activities result in impacts of physical or economic displacement, the Implementing Agencies will be required to prepare a Resettlement Action Plan (RAP). Preparation of the RAP will be guided by the principles set out in the Resettlement Policy Framework (RPF) which will be developed as a precautionary measure to address potential resettlement impacts. Costs of resettlement will be borne by the Client. The project will also benefit from local councils’ experience in undertaking periodic maintenance of public facilities. In doing this, the general public and stakeholders operating from these facilities are provided with advance notice (print and electronic media) of pending works in order to minimise disruptions, and provide alternative sites for continued operations of markets and bus stations. A notable

Environmental and Relevance of the Environmental and Social Standards on the proposed PSGSDP Social Standards (ESS) gap in this process has been the limited consideration of persons with disability when determining alternative spaces. Support to town councils on mainstreaming social inclusion (including disability access) in planning processes has been considered as part of institutional capacity building. ESS6 Biodiversity The ESMF and ESMP has provided mitigation measures to minimize vegetation loss and restrict any construction work Conservation and to the project footprint. The project will finance construction and rehabilitation works to be undertaken by town Sustainable councils in various districts with distinct ecological systems. Increased risks to biodiversity and living natural resources Management of Living are more likely to be encountered by local authorities located in rural areas. Impacts to critical habitat and legally Natural Resources protected areas are not expected. ESS7 Indigenous Based on currently available information, this standard is not relevant. This will be further assessed/verified during Peoples/Sub-Saharan project preparation. African Historically Underserved Traditional Local Communities ESS8 Cultural Heritage The standard is not relevant as the project activities will be implemented in jurisdictions that fall within the developed local authorities or planned areas. However, ecavaation works may unearth chance finds. ESS9 Financial This standard is not relevant as the project will not include financial intermediaries. Intermediaries ESS10 Stakeholder Various stakeholder consultations have been held with government ministries and departments, donor agencies Engagement and engaged in the decentralization sector and council officials in selected districts. The consultations have been focused Information Disclosure on (i) collecting information to advance project development, (ii) assessing possible implementation structures (iii) identifying key stakeholders and (iv) to disclose information on timelines for project preparation. Stakeholder identification (particularly in the town council districts) will be critical as a means of ensuring broader participation in project design, as well as enhancing project acceptability. The project will be implemented in rural areas where

Environmental and Relevance of the Environmental and Social Standards on the proposed PSGSDP Social Standards (ESS) participation of women and other vulnerable groups in decision making is limited. To promote community participation in the project cycle, a draft SEP has been prepared outlining the process of consultations and disclosure of relevant project information that will be shared with key actors during project preparation and implementation. The draft SEP will be disclosed prior to project appraisal. A draft GRM has been developed by the Client to serve as a channel for stakeholders to register their complaints, as well as receive feedback from the implementing agencies.

CHAPTER 5: LISTING OF POTENTIAL IMPACT AND MITIGATION MEASURES

The PSGSDP will support the construction of and improvement to infrastructure in beneficiary town councils. Capital investments by town councils from the performance grants will include small infrastructure works limited to construction and rehabilitation of public services within well-defined publicly owned land and assets such as markets, public toilets and bus stations. Potential social and environmental risks arising from these works include disruption of access to public spaces and services, community health and safety, occupational health and safety of workers, disposal and management of waste generated during works, non-inclusion of project affected parties, particularly women, youths and persons with disability, leading to unequal distribution of opportunities to participate in the project and potential risks of weak grievance redress mechanisms and poorly coordinated community communication process. An assessment of Gender Based Violence (GBV) risk on the project was conducted.

The various subprojects and activities on the PSGSDP will have different types of negative environmental and social impacts associated with them. In this chapter, the ESMF identifies possible impacts and mitigation measures which are presented the generic ESMP (Table 6). This generic ESMP will be further refined or used as basis for the preparation of subproject-specific ESMPs (Annex 2). The subproject-specific ESMP will also incorporate, national ZEMA EIA requirements, and relevant building standards and aspects of the WBG Environmental, Health and Safety Guidelines.

5.1 Environmental and Social Impacts The subprojects on the PSGSDP under Component 2: Performance Grant for Service Delivery will involve construction activities and infrastructure upgrades, this will involve the construction and Rehabilitation of Public Services, but not limited to. • Town Markets • Public Toilets • Bus Station • Construction of Auxiliary support infrastructure (i.e. sanitation, waste collection and provision of portable water). These are likely to result into environmental and social impacts/risks and the table below (Table 6) highlights the identification of risk/impacts and associated mitigation measures. It further gives the various institutions/organizations and individuals who are responsible and accountable for all activities on the project.

Table 6: Identification of Risks/Impacts and Mitigation measures of planned subprojects Project Project Activities Risk/Impact Mitigation Measures Responsibility Category

Preparation and Construction Phase • Loss of Vegetation cover The Construction footprint will be restricted Contractors Site Performance 1) Town Markets to the site designs and boundaries. The loss Foreman and Heads Grant for 2) Public Toilets of vegetation will be kept to a minimum of beneficiary Town Service Delivery 3) Bus Stations within the design footprint. Furthermore, Council 4) Construction of Construction workers will be sensitized on Construction Auxiliary support the need to conserve vegetation around the activities and infrastructure (i.e. sites infrastructure sanitation, waste upgrades collection and • Generation and poor Waste and debris, including sediments and Contractors Site provision of disposal of construction vegetation shall be managed and kept in Foreman and Heads portable water). waste during works temporary controlled area and transported of Town Council in a secure manner for disposal in appropriate disposal facility.

• Safety and security of The construction areas will be properly Contractors Safety communities and secured with signposting, warning signs, Officer contractors during barriers and traffic diversions. Signage should construction works inform the public of potential hazards. Provision of safe passages and crossings for pedestrians, along with active traffic management. Adjustment of working hours to prevent disruption of pedestrian access and local traffic patterns, e.g. avoiding major transport activities during rush hours or times of livestock movement Community to be

Project Project Activities Risk/Impact Mitigation Measures Responsibility Category

informed about possible temporary restrictions to access.

• Occupational Health and On the job training of workers and provision Contractors Safety Safety risks at of appropriate PPE by contractors. Officer and Site construction sites Foreman

• Potential increased Dust suppression measures will be Contractors Safety exposure from generation undertaken and construction and use of Officer and Site of dust and noise machinery will be restricted to normal Foreman pollution due to working houses. There will be no excessive operation of different idling of construction vehicles at sites. There types of equipment and will be no open burning of construction / machinery waste material at the site

• Visual intrusion and Site Selection will take into consideration Town Council, changes to the landscape current land use to ensure proposed MLG and activities do not alter the aesthetics and Contractor general landscape.

• Increase incidences of Workers to be sensitized on the dangers Safety Officer and HIV/AIDS and sexually posed by HIV/AIDS and the means of contractor’s Transmitted infections prevention. The project will ensure that the foreman and Local and Increased Incidences majority of workers are recruited from the Health officials of sexual relationships local communities. between contractors and the local communities

Project Project Activities Risk/Impact Mitigation Measures Responsibility Category

• Poor living conditions It is envisaged that no labor camps will be Contractor, MOF, and sanitation for setup as all construction workers will be MLG and Town workers from the surrounding communities. Councils

• Ground and surface All boreholes will be drilled at recommended Contractor, MOF, water contamination distances away from pit latrines and septic MLG and Town from boreholes, septic tanks Councils tanks and soaker ways

• Increased strain on the Drilling Companies and contractors will be Contractor, MOF, water table from required to access the yields of boreholes and MLG and Town abstraction activities recommend an abstraction rate that will Councils retain the water table to sustainable levels.

Labor Influx of people from The project in conjunction with the Town Contractor, MOF, other areas Council will ensure most of the works are MLG and Town undertaken by the local contractors and Councils communities. Adopt a policy/management plan for labour influx (Annex 7)

Possible chance finds of Adopt a Chance Find Procedure (Annex 6) Town Council and artifacts NHCC

Loss of land, displacement Adopt and implement a Resettlement Policy MOF, MLG and of homes, structures and Framework Town Council crops Lack of grievance redress Set up a Grievance Redress Mechanism MOF, MLG and (Annex 4) Town Council

Project Project Activities Risk/Impact Mitigation Measures Responsibility Category

Construction-related Require contractors to prepare their own Town Councils impacts and issues (e.g. Contractors ESMP (CESMP) based on the occupational health and Code of Practice (Annex 3) and Subproject safety, labor camp ESMP (Annex 2) management, etc.) Operational and Maintenance Phase Performance • Generation and poor During the operation of facilities and waste Town Council and Grant for Service 1) Town Markets disposal of waste. management will be incorporated in daily Local Committees Delivery 2) Public Toilets operations and licensed waste management 3) Bus Stations companies will be engaged to collect garbage Operation 4) sanitation, waste to app-roved landfill. of newly built collection and provision of and rehabilitated • Poor Sanitation and During the operation and maintenance Town Council and portable water infrastructure. contamination of phase, portable water will be tested regularly Local Committees portable water with an approved laboratory. Furthermore, in areas without a sewerage system, septic tanks will be emptied before they over flow to avoid health risk to the general public

• Increase incidences of Workers to be sensitized on the dangers Town Council and HIV/AIDS and sexually posed by HIV/AIDS and the means of Local Committees Transmitted infections prevention. The project will ensure that and Increased Incidences most workers are recruited from the local of sexual relationships communities. between contractors and the local communities

CHAPTER 6: CLASSIFICATION OF SUB-PROJECTS, SCREEENING APPROVAL AND IMPLEMENTATION

The PSGSDP subprojects and activities will focus on the PSGSDP under Component 2: Performance Grant for Service Delivery will involve construction activities and infrastructure upgrades, this will involve the construction and Rehabilitation of Public Services, but not limited to. • Town Markets • Public Toilets • Bus Station • Construction of Auxiliary support infrastructure (i.e. sanitation, waste collection and provision of portable water). • These subprojects will most likely fall within Category “C” of the World Bank categorization and under “First Schedule” of Zambia’s EIA Regulation and thus may not require preparation of EIA. The EA instruments to be prepared would include only the Environmental and Social Screening Form/Environmental Project Brief (Annex 1) and the subproject-specific Environmental and Social Management Plan (Annex 2).

The following is an outline of the process that will be undertaken to oversee the subproject identification, preparation, screening, approval and implementation process for infrastructure. The process will be guided by the ZEMA Environmental Management Act (EMA), EIA regulations and World Bank ESS including Bank EHS standards to address environmental and social management considerations under the project.

Table 6: Screening Process and Steps Step 1: Screening of each proposal vis-à-vis potential environmental and social impacts by Beneficiary Town Councils. The first step will be for Town Council Officials to identify potential environmental and social impacts. This will be done using the Environmental and Social Screening form (Annex 1). Focal persons of the Town Council will initiate the screening process, with the assistance from the PIU in the MOF and MLG. Step 2: Town Councils prepare ESMP based on template attached to the ESMF. ESMP to be included in the contractor’s contract and program of work.

Based upon results of environment and social screening, the Town Council or its joint committee or task force will prepare an ESMP to manage impacts based upon the ESMP template in Annex 2 and Annex 3. Contractors will be required to prepare a Contractors ESMP (CESMP) to address construction-site related impacts and issues. Step 3: Independent third-party verifier to review and recommend approval to the PIU the ESMP and implementation of measures set forth in the ESMP. ESMP must be approved prior to disbursing funds.

During the verification process, the Independent Third-Party Verifier will be appointed to verify the presence of ESMP and the implementation of measures set forth in the ESMP. Non-compliance to ESMP could delay disbursement of funds until compliance is affected or cause non-disbursement of funds. Step 4: PIU and Bank to monitor implementation of ESMP. PIU will also monitor construction works and the implementation of ESMP. The PIU will work with the Third-Party Verifier during the verification process to make sure that safeguards are included.

The World Bank will also monitor implementation of the ESMF during its regular supervision mission.

CHAPTER 7: SUPERVISION AND MONITORING PLAN

Adherence to World Bank ESS and the Zambian EMA Act and associated regulations usually raises challenges during the implementation phase of most projects. Therefore, the importance of monitoring is critical to the successful implementation of projects. Monitoring on the PSGSDP will be guided by the Environmental and Social Management Plan (ESMP) whose objectives are to; (a) Generate and provide policy makers, decision makers (at national and provincial level), implementers (at district and community levels), financiers and controlling authorities with timely information on the progress being achieved. This monitoring information will enable implementers to make informed decisions regarding appropriate adjustments in the implementation of the sub-projects; (b) Determine whether the goals and objectives of the mitigation measures on PSGSDP have been achieved. This assessment of performance compares the baseline environmental and social conditions with the actual conditions at the time of monitoring of the projects to assess the extent to which the original environmental and social conditions have been restored, improved or made worse; (c) Ensure that all activities relating to the operation and maintenance are being carried out in a manner that protects the environmental and social conditions without compromising the health and social well-being of the beneficiaries and district councils; and (d) Ensure, where required, that any changes to the ESMPs are made with necessary suggestions for additional training and institutional capacity building to improve the performance of the ESMP implementation.

Supervision and monitoring are a key component of the ESMP during project implementation. Monitoring should be undertaken during the PSGSDP implementation phase to authenticate the effectiveness of impact management, including the extent to which mitigation measures are being successfully implemented.

The aim of monitoring will be to: 1. Improve environmental and social management practices; 2. Adherence to SHEQ requirements during civil works; and 59

3. Provide the opportunity to report the results on safeguards and impacts and proposed implementation of mitigation measures.

7.1 Compliance Monitoring

This is to authenticate that the required mitigation measures, which are the environmental and social commitments agreed on by the PIU and contractors are being adhered to. A monitoring framework will be developed based on agreed prototype sub-projects as they are specified in the positive list of projects. The PIU will be responsible for undertaking compliance monitoring. Compliance monitoring comprises on-site inspection of activities to verify that measures identified in the ESMP are being implemented. One of the monitoring tasks is to ensure that the contractor is achieving the required standards and quality of work. The PIU will oversee the inspections. An annual inspection report must be submitted (together with the monitoring report) to the World Bank for review and approval. Annual reviews may be carried out by an independent consultant or other service provider that is not otherwise involved with PSGSDP. The purpose of the reviews is to: • To assess compliance with ESMF procedures, learn lessons, and improve future ESMF performance; • To assess the occurrence of, and potential for, cumulative impacts due to project- funded and other development activities.

7.2 Impact Monitoring

Monitoring of sub-projects impacts mitigation measures should be the duty of the PIU. The Environmental and Social Safeguards agreed in the contract specifications should be monitored to ensure that works is proceeding in accordance with the laid down mitigation measures. The PIU and implementing agencies should ensure that the project implementers submit reports on work progress and any challenges in observing the Environmental and Social Safeguards. The monitoring results should form a major part of the reports to be submitted to the PIU under the MOF, MLG and shared with ZEMA and the and the World Bank.

Supervision requirement and Environmental and Social Monitoring Plan

Environmental and social supervision needs to be carried out during all phases including construction, operation and maintenance of sub-projects in order to measure the success of the mitigation measures implemented. Sub-project designs must include a monitoring framework, together with safeguard indicators. The monitoring requirements of the ESMF that take into consideration the environmental and social mitigations measures are: i. Mitigations measures outlined in the ESMP are fully implemented in consultation with all stakeholders involved at all levels; ii. Adherence to the policies and legal requirements as outlined in the World Bank, and national legal frameworks; iii. The local people’s expectations and regulations are considered; iv. All the stakeholders and institutions involved in implementations of the sub-projects ought to be familiarized with the challenges of identification of impacts and mitigation measures prescribed for each sub-project. An Environmental and Social Management Plan (ESMP) is required for sub-projects that have distinct mitigation measures such as physical works or management activities. Where required, the ESMP must be included in the sub-project application.

7.3 Monitoring Indicators

The monitoring of sub projects runs per the following plan: the beneficiaries themselves will include mitigation mechanisms in the application for a sub project. The mitigation mechanisms are part of the appraisal, and the satisfactory fulfilment of the mitigation mechanisms is routinely monitored by the PIU or the PIU’s designated agent. The beneficiaries are trained by the PIU in environmental and social management in accordance with the ESMP. Where relevant, the district officers of relevant line ministries from local government and infrastructure. Thirdly the PIU performs quarterly monitoring and a final audit at the end of the project cycle.

Monitoring indicators that show the environmental and social performance of the project and demonstrating that mitigation measures are working effectively are an important component of the ESMF. The ESMP will be required to contain information on: 1) Nature of project being implemented;

2) Environmental and social impacts associated with the project; 3) Mitigation or enhancement measures for addressing the identified impacts; 4) Indicators for assessing progressing and effectiveness of mitigation or enhancement measures; 5) Monitoring schedule outlining the timing and frequency of monitoring the indicators; 6) Responsible office or organization to undertake the monitoring.

Monitoring of Environmental and Social Indicators The goal of monitoring is to measure the success rate of the project, determine whether interventions have resulted in effective mitigation of negative impacts, or whether further interventions are needed, or monitoring is to be extended in some areas. Monitoring indicators (as in table below) dependent on specific project contexts. In most subprojects, they are expected to be simple, mostly visual confirmation of environmental mitigation and good housekeeping measures.

Table 7: Monitoring Indicators

Monitoring Level Monitoring Issue Verifiable Indicators Responsibility Adequate dissemination of Record of meetings and MOF, MLG and ESMF and stakeholder workshops Town Council ESMF LEVEL capacity building and Training Programmes

Prepare and roll out generic Roll out of generic Environmental Social ESMP by the MOF and Management Plan (ESMP) to MLG agencies in beneficiary Districts.

MOF and MLG PROJECT Environmental Clearance Documentation to prove PIU INVESTMENT evidence of clearance

LEVEL from ZEMA and other

relevant authorities. This

will mainly be applicable to sanitation facilities and storage facilities. Monitoring & Evaluation ESMPs Brief progress report prior to construction and

Monitoring Level Monitoring Issue Verifiable Indicators Responsibility upon completion of construction activities

The ESMPs will identify the following: • Monitoring indicators to be measured for evaluating the performance of each mitigation measure; • Monitoring mechanisms and methodologies; • Monitoring frequency; • Monitoring locations; • Monitoring budget. The specific indicators for each sub-project will be developed depending on the design of the sub-project. It is important to measure the overall success of sub-project in terms of the planned mitigation measures and determining whether the desired environmental and social performance is being achieved.

7.4 Environmental and Social Safeguards Monitoring Responsibility

The PIU will have the overall responsibility for coordinating and monitoring implementation of the ESMF. In addition, this will include conducting sensitization programmes to inform stakeholders about the framework and how it is to be implemented in the context of stakeholder participation.

7.4.1 National level The monitoring team will comprise the MOF, MLG and Ministry of Housing and Infrastructure. This team will be led by a Project Engineer and will be responsible for the oversight of the component implementation at national level. It will work with the procurement unit in the Ministry to procure all materials and works.

CHAPTER 8: INSTITUTIONAL CAPACITY FOR THE ESMF IMPLEMENTATION

8.1 National Stakeholders

It is expected that the following institutions will play an active role in the implementation of the various components on the PSGSDP ESMF.

8.1.1 The Ministry of Finance (MoF) The Ministry is charged with budgeting, economic and financial management responsibilities. The Ministry is headed by a Minister, while the Secretary to the Treasury is the Chief Executive of the Ministry and is assisted by two Permanent Secretaries responsible for Economic Management and Finance and Budget Affairs. As the Ministry is responsible for coordinating national economic management, mobilizing and managing public resources in a transparent and accountable manner for sustainable national development, it will be a channel through which funds from the World bank will be transmitted to the MOF and PSGSDP PIU. Therefore, the Ministry will have oversight in the implementation of the PSGSDP.

The PFM Reform Unit (PFMRU) in the MOF will be responsible for day-today project management. PFMRU was the project management unit (PIU) of the recently closed PFM Reform Project (PFMRP) which was a four-year project financed out of a Multi-Donor Trust Fund.

8.1.2 The Ministry of Local Government The Ministry is charged with the administration of the local government system and will ensure that the people in the project areas are provided with the necessary municipal services. The Ministry of Local Government is multi-functional in nature and oversees the implementation of delegated functions and responsibilities by the local authorities by managing the social, economic and political spheres of governance. This is in line with the Decentralization Policy. The ministry is responsible for Co-ordination of Local Government Administration, Regulation and provision of social amenities, Affairs and House of Chiefs, Water Supply and Sanitation, Provision of housing, Provision of municipal infrastructure services and support services, and Provision of feeder, community and urban roads

8.1.3 Ministry of National Development Planning The Ministry is charged with development planning and monitoring and evaluation as well as the coordination of economic and technical assistance from cooperating partners. In view of its mandate, the Ministry will be part of the Project Steering Committee and in so doing ensure that project implementation is complementary to national development objectives.

8.1.4 Zambia Environmental Management Agency The mandate of Zambia Environmental Management Agency (ZEMA) is drawn from the Environmental Management Act (EMA) No. 12 of 2011. ZEMA plays a regulatory, advisory, consultative, monitoring, co-ordination and information dissemination role on all environmental issues in Zambia. This institution has enough institutional capacity to support project implementation and provisions of the ESMF.

8.1.5 Provincial and Local Authorities The PSGSDP will work with Provincial and Local Authorities to ensure constructed and rehabilitated facilities improve service delivery in beneficiary town councils. These will be provided capacity building in various areas relevant to the project.

8.2 Capacity Building Requirements

The main stakeholders for implementation of the ESMF are the line ministries and Private sector and district councils. Capacity building will be provided based on the needs of the specific actors. Planning, designing and implementing of the PSGSDP in the town councils require an understanding of the environmental, social impacts and mitigation measures. Training events focusing on these thematic areas will take the form of, workshops and specific seminars. Where necessary awareness campaigns through radio programmes and television may be used to complement or reinforce the trainings. Specific workshops on the ESMF/RPF and relevant World Bank ESS by this Project will be organized for all key stakeholders. The technical staff will be trained in World Bank safeguards requirements and the agreed requirements and procedures in this ESMF, to routinely support and monitor the project activities. The following additional training topics are proposed: 1. Environmental and Social Screening Process and Checklists; 2. Zambian EIA Procedural Frameworks; 3. Preparation of simplified ESMP for Project; 4. Environmental and Social Clauses in Contractors’ contract and bidding documents; 5. Operationalization of Grievance Redress Mechanism.

Relevant staff in the PIU will be required to undergo some capacity building to have knowledge and understanding of the implementation of relevant World Bank ESS by the Project. The awareness creation, capacity building and training workshops will focus on a) strengthened institutional coordination; b) improved information for decision makers; and c) targeted awareness creation. The target group will consist of selected officers directly involved in the implementation of the PSGSDP.

Table 8: Capacity Building Requirements

Entity Responsibilities Capacity Building Requirements Under ESMF Ministry of • Screening of sub- • For new PIU: workshops on the Finance and projects ESMF/RPF and relevant World • Monitoring of Bank ESS. Ministry of compliance and • Environmental and social Screening Local implementation of Process and Checklists Government mitigation • Zambian EIA Procedural Frameworks mechanisms • Preparation of simplified ESMP for sub- projects • Environmental and Social Clauses in Contractors’ contract and bidding documents • Operationalization of Grievance Redress Mechanism. • Any relevant training to assist the Ministry achieve the objectives of the Project Beneficiary • Facilitate Project • Environmental and social Screening Town implementation Process and Checklists Councils process • Zambian EIA Procedural Frameworks • Preparation of simplified ESMP for sub- projects • Participatory Rapid Appraisal methodology and training of trainers

Entity Responsibilities Capacity Building Requirements Under ESMF • Workshop on the ESMF/RPF and relevant World Bank ESS, including SGBV prevention mechanisms Communities • Oversight of • Basic environmental and social and implementation of the safeguards, training, including beneficiaries Project, including monitoring environmental and social mitigation mechanisms

8.3 Monitoring Indicators

Monitoring indicators are a very important part of the monitoring plan. The indicators should be: (i) Specific to avoid ambiguity of items being measured; (ii) Measurable to facilitate quantification; and (iii) Quantifiable to be easily translated into units of measurement and to facilitate verification. The table below (table 11) highlights the various monitoring indicators for the proposed activities in the PSGSDP.

Table 9: Monitoring Indicators

Project Sub Component Anticipated Activities Monitoring Indicators

Component 2: Construction and Rehabilitation of Public • Improved Service Performance Grant for Services, but not limited to. Delivery Service Delivery • Town Markets • Improved Sanitation • Public Toilets and Waste • Bus Station Management Construction of Auxiliary support • Increased Trade in infrastructure (i.e. sanitation, waste collection Markets and Bus and provision of portable water) Stations

8.4 Budget

The Project has earmarked US$100,000 for implementation of Environmental and Social Safeguard due diligence actions, mitigation measures, capacity building and monitoring activities defined in the ESMF.

REFERENCES

1) Birds Advisor, 2015; Birds of Zambia http://www.zambia-advisor.com/birds-of- zambia.html (Accessed, 25th May 2005). 2) BOZ, 2015; Foreign Private Investment and Investor Perceptions in Zambia, 2014 3) CSO, 2015; 2014 Labour Force Survey Report, http://www.mlss.gov.zm/upload/Labour_Force_2014/2014_LFS_FULL_FINA L_Report.pdf (Accessed, 30th September 2016) 4) CSO, Industrial Production Statistics (CSO database) 5) CSO, International Trade Statistics (CSO database) 6) Indaba Agricultural Policy Research Institute (IAPRI) 2016: Rural Agricultural Livelihoods Survey – 2015 Survey Report, February 2016. 7) IRG, 2011: Zambia Environmental Threats and Opportunities Assessment (ETOA) 8) JAICAF, 2008; Agriculture and forestry in Zambia present situation and issues for development 9) ZAWA, 2005; Information Sheet on Ramsar Wetlands, https://rsis.ramsar.org/RISapp/files/RISrep/ZM1580RIS.pdf (Accessed, 24th May 2005). 10) ZDA, 2014; Agro Processing Sector Profile 2014, www.zda.org.zm/?q=download/file/fid/58 (Accessed, 22nd September 2016)

ANNEX 1: ENVIRONMENTAL AND SOCIAL SCREENING FORM

PART A: GENERAL INFORMATION

Project Name:

Estimated Cost:

Date of Field Appraisal:

PART B: BRIEF DESCRIPTION OF THE PROPOSED ACTIVITIES

Type of Activities Brief Description

Provide information on the type and scale of the construction/rehabilitation activity (e.g. area, land required and approximate size of structures)

Describe how the construction/rehabilitation activities will be carried out. Include description of support/activities and resources required for the construction/rehabilitation.

Provide information on the construction activities including support/ancillary structures and activities required to build them, e.g. water source

PART C: ENVIRONMENTAL AND SOCIAL BASELINE INFORMATION OF THE SUB PROJECT SITE BRIEF DESCRIPTION

Category of Baseline Information Brief Description

LOCATION *Name of Beneficiary Council *Town/District

LAND USE/TENURE * State or Customary Land * Current Land use WATER SOURCES FOR CONSTRUCTION ACTIVITES * Borehole/From Water Utility/River Surface water 70

VEGETATION COVER Type of vegetation and project site (Highly vegetated, low vegetated or built up area).

SOCIAL * Number of people potentially impacted * Type and magnitude of impacts (i.e. impact on land, structures, crops, standard of living) * Socio-economic overview of persons impacted

No High or Substantial risk activities as defined in the Bank’s ES Directive Yes ☐ No ☐

No significant water use Yes ☐ No ☐

No procurement or use of pesticides Yes ☐ No ☐

No impacts to critical habitat and/or protected areas. Yes ☐ No ☐

ANNEX 2: SUBPROJECT ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN

The completed ESMP form will be attached to the action plan submitted by the Project Implementation Unit (PIU) of the beneficiary District. The ESMP will need to be discussed with and approved by the Engineer responsible in the local Municipality.

Province: District: Technical Facilitator and Organisation:

Potential Mitigation Monitoring Responsibilities Implementation Cost adverse measure(s) Indicators Schedule Estimates impact(s)

Name: Position:

Signature: Date:

ANNEX 3: ENVIRONMENTAL CODES OF PRACTICE - PSGSDP

A. General Guidelines (applicable to most rehabilitation and construction activities)

Issue Environmental Prevention/Mitigation Measures

1. Noise during (a) Plan activities in consultation with communities so that construction noisiest activities are undertaken during periods that will result in least disturbance. (b) Use noise-control methods such as fences, barriers or deflectors (such as muffling devices for combustion engines or planting of fast- growing trees) (c) Minimize project transportation through community areas (d) Maintain a buffer zone (such as open spaces, row of trees or vegetated areas) between the project site and residential areas to lessen the impact of noise to the living quarters

2. Soil erosion (a) Schedule construction during dry season (b) Contour and minimize length and steepness of slopes (c) Use mulch, grasses or compacted soil to stabilize exposed areas (d) Cover with topsoil and re-vegetate (plant grass, fast-growing plants/bushes/trees) construction areas quickly once work is completed (e) Design channels and ditches for post-construction flows and line steep channels/slopes (e.g., with palm frowns, jute mats, etc.)

3. Air quality (a) Minimize dust from exposed work sites by applying water on the ground regularly (b) Do not burn site clearance debris (trees, undergrowth) or construction waste materials (c) Keep stockpile of aggregate materials covered to avoid suspension or dispersal of fine soil particles during windy days or disturbance from stray animals

4. Water quality (a) Activities should not affect the availability of water for and availability drinking and hygienic purposes (b) No soiled materials, solid wastes, toxic or hazardous materials should be poured or thrown into water bodies for dilution or disposal

Issue Environmental Prevention/Mitigation Measures

(c) The flow of natural waters should not be obstructed or diverted to another direction, which may lead to drying up of river beds or flooding of settlements

(d) Separate as best as possible concrete works in waterways and keep concrete mixing separate from drainage leading to waterways

5. Solid and (a) Collect and transport construction waste to appropriately hazardous waste designated/ controlled dump sites (b) Maintain waste (including earth dug for foundations) at least 300 metres from rivers, streams, lakes and wetlands (c) Use secured area for refuelling and transfer of other toxic fluids distant from settlement area (and at least 50 metres from drainage structures and 100 metres from important water bodies); ideally on a hard/non-porous surface (d) Train workers on correct transfer and handling of fuels and other substances and require the use of gloves, boots, aprons, eyewear and other protective equipment for protection in handling highly hazardous materials (e) Collect and properly dispose of small maintenance materials such as oily rags, oil filters, used oil, etc.

6. Health and Safety (a) Provide personal protective gear for workers as necessary (gloves, dust masks, hard hats, boots, goggles) (b) Follow the below measures for construction involve work at height (e.g. 2 meters above ground; a. Do as much work as possible from the ground; b. Do not allow people with the following personal risks to perform work at height tasks: eyesight/balance problem; certain chronic diseases – such as osteoporosis, diabetes, arthritis or Parkinson’s disease; certain medications – sleeping pills, tranquillisers, blood pressure medication or antidepressants; recent history of falls – having had a fall within the last 12 months, etc; c. Only allow people with sufficient skills, knowledge and experience to perform the task; d. Check that the place (eg a roof) where work at height is to be undertaken is safe; e. Take precautions when working on or near fragile surfaces; f. Clean up oil, grease, paint, and dirt immediately to prevent slipping; and g. Where possible provide fall protection measures e.g. safety hardness, simple scaffolding/guard rail for works over 4 meters from ground; Issue Environmental Prevention/Mitigation Measures

(c) Keep worksite clean and free of debris on daily basis (d) Keep corrosive fluids and other toxic materials in properly sealed containers for collection and disposal in properly secured areas (l) Ensure adequate toilet facilities for workers from outside of the community

(m) Rope off construction area and secure materials stockpiles/ storage areas from the public and display warning signs. Do not allow children to play in construction areas. (n) Fill in all earth borrow-pits once construction is completed to avoid standing water, water-borne diseases and possible drowning (o) Each construction sub-project to have a basic first-aid kit with bandages, antibiotic cream, etc.

7. Other (a) No cutting of trees or destruction of vegetation other than on construction site (b) No hunting, fishing, capture of wildlife or collection of plants (c) No use of unapproved toxic materials including lead-based paints, un-bonded asbestos, etc. (d) No disturbance of cultural or historic sites

ANNEX 4: DRAFT GRIEVANCE REDRESS MECHANISM

The Grievance Redress Mechanism (GRM) will be set up at PIU level to be responsible for maintenance of all records, complaints and their responses. A report of GRM performance will be consolidated as part of biannual M&E report, to be submitted to the MOF and MLG. The GRM will follow that channels highlighted in the illustrations below.

Role and Responsibilities Focal Point Focal Persons Unit/Organizations When a complaint Recording complaints is submitted 1) Record the complaint submitted in the PIU grievance database. 2) Review monthly monitoring The PIU with the submitted by the support of the beneficiary District MOF, MLG or an Councils, and enter independent all complaints with o Project auditor) will try to the status will be Coordinator address it. recorded in the PSGSDP Project Implementation grievance database. (Ministry of ❖ The PIU will

Unit (PIU) 3) M&E officer will Finance) respond to all (Ministry of Finance) periodically review PIU complaints the grievance o M&E within 10 database and follow- Officer business days. up with focal persons o Independent to ensure all cases are Auditor ❖ If not resolved, addressed. the complaint 4) Every 6 months, PIU will be reported will include to the PS (MOF performance of GRM and MLG) report as part of M&E report and submit to MOF and MLG which will be shared with the Bank

The focal persons on site will try to address it at site o Site Project level. 1) Record the Managers complaint ❖ The focal submitted in a o Beneficiary person on site Contractors simple form. District will respond to 2) Submit the record Councils all complaints of complaints to within 10 the Project CONTRACTORS CONTRACTORS o Traditional business days. Manager Leader ❖ If not resolved, the complaint will be escalated to the PIU.

ANNEX 5: CLASSSIFICATION OF PROJECTS UNDER ZAMBIA EIA

The Environmental Management Act (2011) of the Laws of Zambia read together with Statutory Instrument No. 28 of 1997 provides for Environmental Impact Assessment regulations that classify projects into either the First Schedule or Second Schedule depending on the size, nature and anticipated environmental consequences of a project or sub-project. The Zambia EIA Regulations provide lists of projects or sub-projects proto-types which fall under the two categories First Schedule: These are projects or sub-projects with minimal negative impacts on the environment and may require preparation of project briefs to determine the safeguards category. Examples relevant on the PSGSDP may include: a) Urban area rehabilitation. Others are; a) Projects located in or near environmental sensitive areas such as: i. indigenous forests; ii. wetlands; iii. zones of high biological diversity; iv. areas supporting populations of rare and endangered species; v. zones prone to erosion or desertification; vi. areas of historical and archaeological interest; vii. areas of cultural or religious significance; viii. areas used extensively for recreation and aesthetic reasons; ix. areas prone to flooding and natural hazards; x. water catchments containing major sources for public, industrial or agricultural uses; and xi. areas of human settlements (particularly those with schools and hospitals). Second Schedule: These are projects that require an extensive evaluation of activities likely to have significant negative impacts on the environment and require undertaking a detailed Environmental Impact Assessment. The project will not finance activities or sub projects that are likely to trigger the second schedule however examples broadly include:

a) Urban Development

ANNEX 6: CHANCE FIND PROCEDURES

Chance Find Procedure is a step by step procedure which outlines what needs to be done when projects come across archeological sites, historical sites, remains and objects, including graveyards and/when individual graves during excavation or construction. This procedure relates ESS8 Cultural Heritage – which addresses physical cultural resources which are defined as movable or immovable objects, sites, structures that have archeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or rural settings and may be above or below the ground. If during civil works, sub project discover archeological sites, remains and objects, including those of cultural and religious significance and/or individual graves during excavation or construction, the implementers will carry out the following steps: 1. Stop the construction activities in the area of the chance find; 2. Delineate the discovered site or area; 3. Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be arranged 4. The National Heritage and Conservation Commission NHCC) will be notified should a chance find be cited and offer guidance on how such sensitive findings should be handled. 5. Responsible authorities would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed by the archeologists. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values; 6. Implementation for the authority decision concerning the management of the finding shall be communicated in writing by relevant local authorities 7. Construction work could resume only after permission is given from the responsible local authorities or department responsible for culture or antiquities concerning safeguard of the heritage.

ANNEX 7: LABOUR INFLUX

Implementation of contracts may require contractors to be mobilize skilled and unskilled labour to project sites into beneficiary area. While the numbers of outside workers expected to be needed for works, especially for rehabilitation and construction works is expected to be small, bringing in outside workers and setting up temporary work camps could create some social risk to local communities, including the potential for gender-based violence, sex trafficking and child abuse. The Project will be mindful of these risks and take appropriate measures to prevent and address the negative consequences, including:

1) Incorporating obligations into contracts; 2) Working with local governments, public employees, and relevant community-based and Non-Governmental Organizations (NGOs) familiar with these issues; 3) Adopting and enforcing a code of conduct for the workers and educating them as well as the affected communities on proper conduct; 4) Building capacity among contractors, MOF and MLG and private providers of services to address these issues; and 5) Rigorously monitoring these issues and reporting on them.

Preparation of ESMPs, or other safeguard documents prepared by MOF and MLG or their consultants to meet World Bank Safeguard polices for construction activities will include screening for potential social and environmental risks of adverse impacts due to labor influx, including the possible establishment of work camps. Mitigation and monitoring of any labor influx-related risks that are identified will be addressed in the ESMPs, contractor ESMPs, codes of conduct, and related monitoring and supervision plans.

MOF and MLG will formulate specific labor influx-related measures for individual subprojects based on an initial screening for risks, and on guidance provided in the World Bank Document Managing the Risks of Adverse Impacts on Communities from Temporary Project Induced Labor Influx, or other guidance as appropriate.

ANNEX 8: CONSULTATION AND SITE VISITS

Report on Consultative Meetings held in Rural councils in Chibombo, Mpongwe, Lufwanyama and Kapiri Mposhi April 24- 26, 2019 1) Chibombo Chibombo District is located Central Province, Zambia. According the 2010 Zambian Census, the district had a population of 293,765. It lies between the Lukanga Swamp in the west and the end of the Luangwa Valley in the east.

There are four markets run by the council in this area these include 10 miles, 15 miles, Mwalyasuka and Chinyunyu (which is 70 km from the council) markets. However, the market along the Kabwe Lusaka road is not well structured and has no bus terminus and market committee, if selected under the PSGSDP there would be need to construct a market shelter. The council, however, collects revenue from the market furthermore; the Road side market committee has been tasked to ensure that this market establishes a market committee. Currently shelters have already been constructed by the council for markets except Mwalyasuka and the roadside market.

There are currently two council offices, one is fairly new while the other one is an old building. The fairly new building is close to a tarred road and the roadside market. The Council is currently building 12 shops and bus stations.

Construction works Large construction works are conducted by hired contractors; however, for small jobs such as toilets and guard rooms the council selects brick layers from the community. The community is engaged through market committees. The market committees advertise and select three individuals based on their work experience, upon selection they are also requested to submit their quotations and they are identified to carry out the job. Once confirmed, the individual is supervised by RCA, committee members and a project manager from the council. There is also supervision from the provincial Engineer who is based in Kabwe (through the Department of Housing and Infrastructure development project engineer and finance department).

Community Engagement Chibombo does not have fully functional WDC’s due to wrangles that occurred between the UPND and PF WDC’s, the council is still waiting for new directive from government as they been informed that they will soon be functional. Therefore, during community mobilization Councillor mobilizes the community with council officers who include the Finance and planning departments. These departments are responsible for formation of market committees at 10 miles 15 miles markets. The sensitize the community on the requirements regarding a market committee member, they are also present during the voting. Gender considerations are taken into account when forming the committee. In the event that road side is selected for the project, the marketers will have to be given alternative land in order for them to continue with their trading. This might be a risk especially if the community is relocated to an area where the market is far from potential customers.

Vulnerable Communities Identified vulnerable communities are referred to the Social Welfare Department.

Grievance Redress Mechanism (GRM) There is no GRM in place, however, grievances are recorded through the council secretary who is assisted by the Social Economic planner and Community development officer, depending on the magnitude of the case. Sometimes the cases are handled through management who comprise of Council Secretary, Public Health Officer and Provincial Local Government.

2) Mpongwe Mpongwe District is located in Copperbelt Province. According to the 2010 Zambian Census, the district had a population of 93,380. The Council is located along a tarred road. Mpongwe council has 13 wards and three chiefs. The management team in this area comprises of the Council Secretary, deputy council secretary, Director Works, Director planning (who leads the social economic planner, community health inspector, Water resources department and community development officer), Council Treasurer and his vice. The council is fully fledged and has both an internal and external audit system. Each month accounts for the council are submitted to the provincial local Government accounts office. Markets are run by cooperatives because the chief is prominent in this area, however, the council collects garbage and licenses which is a huge challenge since the headmen and local leadership have more authority.

The council has identified land for the construction of a market and bus terminus under the council township, the land is about 2km from the nearby community. Most of the land in this area is traditional under the rule of Chieftainess Lesa. Chieftainess Lesa needs to be

involved and consulted before project implementation. There three chiefs in the area- Chief Malembeka and Chieftainess Lesa.

Construction works Large construction works are conducted by hired contractors while smaller works are done by the locals from the wards.

Grievance Redress Mechanism (GRM) GRM is not established in this location, however, grievances are made in the following manner’; • The Elite write down their complaints which are submitted to the council secretary • While face to face grievances are handled by the Director of works, District planner, Social economic planner, council treasurer, middle management in the field. All land grievances are handled by the deputy secretary. Most complaints in this area are land related grievances

Feedback

The council has two Suggestion boxes one at the council while the other one is located at the market. The suggestion box is another way that the community is able to air out their grievances or give suggestions. Therefore, this one of the ways that the community can give feedback on what they feel regarding certain projects introduced to the community.

Community Engagement Community mobilisation and disclosure of projects is done by Health inspectors under ministry of health the Social Economic planner and Ministry of labour. However, before the community is informed the full council inform the chiefs who will in turn inform their headmen.

3) Lufwanyama Lufwanyama town is a large rural undeveloped district with a population of 78,503 according to the 2010 census. It lies in Lufwanyama District in the Copperbelt Province, in Northwestern Zambia, close to the International border with the Democratic Republic of the Congo. There are 16 Wards and 16 WDcs in the area. The area has a main road and quite a number of gravel roads, some areas do not have phone network and electricity. There is no local radio station in this area, however, areas with network are able to pick to connect to Radio Chengelo from Kitwe.

The current needs in this area include a market and a bus terminus. Most of the people in the area people go to a market called Katembula which is quite a distance from the local community. In this regard, the council has identified land fully owned by the council for a market and bus terminus. The land is located opposite Lufwanyama Hospital. Once the bus stop is constructed, buses will service areas such as Kitwe, Kalulushi via Kasempa and Lusaka. The Chief in the area is Chief Shimukanema and will need to be consulted before her subjects are informed as she is pronounced in this area. Most projects run in Lufwanyama are under the planning department (which has a health and environment unit) Management at the council consists of the Council Secretary, District planning Officer, Director of works, Treasurer (who acts as the finance personnel), procurement officer and Auditor), Social economic planner and community development officer.

Community Engagement The proposed market site is away from the tarred road and uses a gravel road near scattered villages and a hospital. The chief is always informed about any project in her area, she then assigns a Chilolo (headman) to ensure that people are informed and notified. Therefore there is need for the project to work with the headmen of the community when mobilising the community and also ministry of health because it is close to a hospital. There is Gender balance in this council as the Council Secretary is a woman and the DC is also a woman. 10 of the 16 WDCs have been trained in report writing, budgeting and programme identification. There are more men than women in the WDCs, when elections are held women rarely participate. Since there are areas that do not have networks the council sends sms to headmen who may take about two to three days to find a place with network and inform the people.

Grievance Redress Mechanism (GRM)There is no GRM in this area, however, the council secretary is responsible for collecting grievances and taking into account the best option in which they can be resolved. However, he delegates the grievances to either the social economic planner or community development officer depending on the nurture of the grievance. In the event the officers resolve the matter they need to inform the council secretary. At community level the headmen and councillors are also responsible for the resolution of grievances.

Feedback process There is no market committee in this area due to limited resources; once a market shelter is constructed people would need to apply for a space. However, feedback process is made through the headmen, social economic planner and community development officer and WDC’s.

4) Kapiri Mposhi Kapiri Mposhi District is located in Central Province. According to the 2010 Zambian Census, the district has a population of 240,638. Kapiri Mposhi is in the process of becoming a municipality. It has 221 schools which include 22 secondary schools, 114 primary schools, 59 community schools and 26 private schools.

The following are the needs in Kapriri Mposhi; • There are about 6 markets in Kapriri. However, there is need for a good market with a shelter, markets that need rehabilitation are Mpunde and Mukonche. Mpunde is located near Kabwe and is centrally located and ideal for farmers, however, Mukonche would be more ideal as it is located 51 km from Kapiri Town and has more people in the area. Agriculture is the driving force of this town. • Modern dumping site • Library to carter for a primary school six secondary schools • Replanting of trees for the whole district ( Kapiri is now experiencing heavy deforestation) • Good water supply- most areas have pit latrines and water is supplied from mushimbiri dam through Lukanga Water and Sewerage whose water supply is quite erratic. However, there is a dam called Lunchi dam which is close to the community. The council indicated that in order to resolve the erratic water supply there would be need to treat a polluted dam, if treated it could service most of Kapiri district and avoid the erratic supply of water

Labour during projects The council uses contractors when constructing things like markets, however, for smaller projects such as bus terminus the council has fully fledged works department which has employed staff capable of such works.

Grievance Redress Mechanism (GRM)There is no GRM, however, grievances that are not written are recorded by the chief administrative officer with the help of the community development officer. Written grievances are submitted directly who will then delegate to the Social economic planner and Senior Community development and community officer depending on whether the grievance relates to them. However, when a matter cannot be resolved by the parties mentioned, a full council is held which comprises of all the councillors in the area and the three chiefs, these parties then determine how the case should be resolved.

Community Engagement The WDCS are key in community engagement but also work with the community development officer and public relations officer. These departments work together in mobilization and sensitization of the community. They also encourage women to assume leadership roles especially when it comes to the election of WDC’s. There is full participation of the community in this area, this is seen from the clean Zambia and health campaigns. The council also has a follow up system with marketers in the community, from the follow up it has been envisaged that women participate more when they are in the market areas compared to men who participate more when meetings are held at the council chambers. The Council has a District Aids Coordinator Advisor (DACA,) who assists in the area of HIV/AIDS sensitization. Another way of engaging the community is through events such as Local government week, on this day the council invite different ministries to show case what they do to the community. Social Welfare department indicate the services they offer and how they assist the vulnerable community.

5) Shiwang’andu Council Shiwangándu is located in Muchninga province with a population 59,795 according to the 2010 census, howevera current head count indicates that the population stands at 109,27213. There is no hospital in this area, however, there are limited health facilities distributed across the district. The aspect of access to health services a huge challenge in this area. In terms of Education the district has 12 Secondary schools and 78 Primary schools dotted across the district. The district has 15 wards and the Council Chairman (CC) is the political leader of district while the District Commissioner (DC) is the chief administrator of all central government ministries and departments. On the the other hand the Council Secretary is the chief administrative officer of the local authority and is assisted by head of departments. Shiwang’andu District Council has four departments which are administered by departments e.g Works, Planning, Administration and Finance. The district administrative centre is located at Kalalatekwe in Chafilwa village in Chief Mukwikile and is along the Great North Road in Muchinga Province.

There is no sustainable piped water and sanitation in the district. Thus, the main sources of drinking water are boreholes, unprotected wells and rivers. At the same time there are very few sanitary toilets as the majority of the population use pit latrines. However, there are donor sponsored programmes at changing the status quo and eliminate open free defecation (ODF)

13 Ministry of Health Report, 2017 89

Grievances

Grievances in this area are through a bottom up approach, this process involves district and sub district level consultation meetings such DDCC, Full Council and community level meetings. This process largely involves extensive community consultation meetings to capture real issues affecting the people. Most of the land in the district is held in customary ownership. However, within the administrative centre the District Council has planning jurisdiction and land is held under a 99-year lease. The Chief surrendered a total of 12000 hectares of land to the Government for the construction of the new site for the district

6) Manyinga Council Manyinga is centrally located in North Western province it has a population of 48,141 however, the projected population is 61, 472. There a 12 wards in this district with nine primary schools and 44 secondary schools, one mission hospital , six health posts and five rural health centres. The council is governed by a councilors headed by a council chairperson. The management of the council comprises of, the Director of works Council treasurer, District planning officer, Rural and sanitation coordinator, Dsitrict HIV AIDS Coordinator, procurement officer and assistant support staff. The community of Maninga is involved in small scale farming, livestock rearing and timber harvesting. Grievances Grievances in this area are resolved through the Human resource Integrity committe 7) Ikelenge Council Ikelenge has an estimated population of 32, 919 and a projected population of 35,59014 with five secondary schools, one special school, two community schools and six primary schools. There is one mission hospital known as Kaleni mission hospital while one hospital is still under construction with a few health posts. The council is governed by a councilors headed by a council chairperson. The management of the council comprises of, the Director of works Council treasurer, District planning officer, Rural and sanitation coordinator, Dsitict HIV AIDS Coordinator, procurement officer and assistant support staff. The council has identified land for the construction of a market and bus stop which is 4km from the closest villages/ communities. Grievances

14 CSO (2012), Zambia 2010 Census of Population and Housing, population summary Report 90

Grievances in this area are resolved traditionally through the Katengo (traditional courts) when this matter is not handled according to the satisfaction of the aggrieved, the matter is taken to the chief who then makes an informed decision on the matter. Agriculture is the driving force of this district with pineapples being the main agricultural activity, however, the road network is quite poor. If this district had a good road network it could be exporting to neighbouring countries such as Congo DRC and Angola. 8) Mafinga Council Mafinga is located in Muchinga province and also borders with eastern province with a popupaltion of 103, 000 with 53 primary schools, seven secondary schools and one boarding school, there is no first level hospital however, there are nine health posts in the area. Mafinga boasts of two national parks which are a source of income through tourism, these include Luangwa and South Luangwa National Parks.

Agriculture is the driving force of this area, with crops such as maize, beans, soya beans and tobacco. Land has not yet been identified for the construction of the market. 9) Vubwi Council Vubwi is located in eastern province with a population of 44, 585 with a growth rate of approximately 2.2 percent. There are 27 primary schools, nine secondary schools and five community schools. Currently, there is one boarding school under construction. There is one district hospital under construction, nine health posts and three clinics. The council of Vubwi has eight wards in the d.

Agriculture is the major driving force as well as small scale mining, there is also trading between this area and Mozambique and Malawi. Products such as Sobo drinks, Mealie meal and soya beans are sold to these countries. Projects in this area are community driven, the area councilors and Ward development committees play a big role in the community activities and are a channel for feedback in this area. The communities have proposed the construction of three markets in the area, the community will decide the location of the markets. One of the Chiefs in this area is a member of the Pans and works development committee. 10) Sioma Council Sioma is located in the west banks of the Zambezi river in Western province has a population of 45, 820 with 44 primary schools and two secondary schools, there is no hospital in this district, however, people are referred to Senanga hospital for treatment, there is, however, one clinic and a few health posts.

Markets in this area have been designated; however, the council is waiting funding and approval.

Attendance List

No. Name Organization Designation Cell Phone Number

1 Mwansa WB Environmental Specialist 0978 319929 Lukwesa

2 Joy Chisompola WB Consultant 096 7989554 Lubinda

3 Akabiwa Chibombo district Director Planning 0976-482533 Luboma council

4 Chunda Banda Chibombo district 0978-284305 council

5 Mwaba Bwalya Mpongwe Council Deputy Council Secretary 0760-336063

6 Emmanuel Mpongwe District Council Treasurer 0977-854540 Mungela Council

7 Kafwana Lufwanyama District Environmental Planner 0979-060329 Kyembe Council

8 Ntambo Lufwanyama District Town Planner 0965-635706 Webster Council

9 Vincent Lungu Lufwanyama District Social Economic Planner 0977-296194 Council

10 Sabbson Phiri Kapiri Mposhi District District Planning Officer 0977-673911 Council

11 Catherine Kapiri Mposhi District Community 0968-163624/0977- Munankampe Council Development Officer 805396

12 Elimus Phiri Kapiri Mposhi District Environmental Planner 0977-666388 Council

13 Mirriam Kabwe Municipality Livelihood Officer 0966-259540 Chileshe Chilundu

14 Paul Mukuka Kabwe Municipality Director Public Health 0979-494370

15 Donald Chingola Municipality Director Public Health 0969-799509 Mwanza

No. Name Organization Designation Cell Phone Number

16 Henry Chawa Manyinga District Council Secretary 0972-432684 Council

17 Mwenda Ikelenge District Council Secretary 0977-752548 Nachome Council

18 Mr Ngulube Mafinga District Council Secretary 0979-752794 Council

19 Mr Ngoma Vubwi District Council Council Secretary 0965-232541

20 Mr. Siasinyanga Sioma District Council Council Secretary 0977-653740

21 Mary Sinkala Shiwangándu District Council Secretary 0977-416392 Council

ANNEX 9: LABOUR MANAGEMENT PROCEDURES

PUBLIC SECTOR GOVERNANCE FOR SERVICE DELIVERY PROJECT

LABOR MANAGEMENT PROCEDURES

1. OVERVIEW OF LABOR USE ON THE PROJECT

The proposed Public Sector Governance for Service Delivery Project (PSGSDP) will be implemented by the Ministry of Local Government in collaboration with Ministry of Finance. The project will support the enhancement of service delivery through strengthening financial systems for 96 selected town councils across the Country. This will be achieved through incentivizing participating councils with financial support aimed at strengthening financial capacities of local governments, thereby enabling them to fulfill their service delivery mandate in a transparent and accountable manner.

Number of Project Workers: The project activities will be implemented by council staff in the selected town councils. The estimated number of 5 workers from each town council will be seconded to the project. The work force will comprise of direct workers who include District Planning Officer, Social Economic Planner, Director of Works, a Secretary and Driver who will be supported by each participating town Council. To this effect, an update on number and categorization of workers will be provided prior to commencement of activities.

Characteristics of Project Workers: Planned rehabilitation and construction of public services will be undertaken by Council workers engaged under the Local Government Service Commission/Public Service Management Department. As such, the workforce will be composed of both male and female Zambian nationals’ residents in the project areas. All employees will be holders of National Registration Cards and as per The Employment Code Act No. 3 of 2018 will not be below the required minimum age of 18 years.

Timing of Labor Requirements: Council staff will be required to work on the project on a need’s basis, dependent on the commencement of rehabilitation and construction activities, as well as length of implementing activities in each selected area. Similarly, the need for requisite skills will be match programme of works.

Contracted Workers: The anticipated number and types of contractors/subcontractors and the likely number of project workers to be employed will be updated prior to commencement of project activities. The recruitment method for contractors and subcontractors’ workers will be outlined as well. The anticipated contracted structure is to be determined.

Migrant Workers: It is not anticipated that migrant workers will move into work on the project as works will be undertaken by staff from designated town councils.

2. ASSESSMENT OF KEY POTENTIAL LABOR RISKS 95

Project activities: Under the component 2 of the project, town councils will finance small capital investments which will rehabilitation of public services such as market stalls, public toilets and bus stops. These works will be undertaken within the jurisdiction of each participating town council. The council staff will therefore be engaged in tandem with on-going activities for each site as listed above.

Key Labor Risks: The key labor risks which may be associated with the project include:

• Occupational Health and Safety (OHS) for workers and community members

• Exposure to hazardous waste material generated from rehabilitation works

• Traffic related safety risks due to movement of machinery

• Likely incidents of child labor or forced labor, particularly that works will be undertaken in rural areas where employment rates are low and poverty levels are high

• Potential risks of exposure to Gender-Based Violence (GBV) and sexual exploitation due to unequal socio-economic factors and cultural practices

• Possible accidents or emergencies due to construction activities

3. BRIEF OVERVIEW OF LABOR LEGISLATION: TERMS AND CONDITIONS

This section sets out the key aspects of national labor legislation with regards to term and conditions of work, and how national legislation applies to different categories of workers identified in Section 1. (i.e. wages, deductions and benefits).

The following are the terms and conditions which apply to different categories of workers:

I. Officer on Attachment

Attachment is defined as the Placement of an Officer from a Public Service Organisation to a non - Public Service Organisation, Programme or Project in which Government has an Interest for a specified period of time. The workers on Attachment have the following conditions:

• An officer is not removed from the Payroll,

• An officer operates from his/her normal office and from the organisation attached to,

• An officer draws an allowance from the organisation attached to,

Conditions while on attachment

• An officer is not removed from the Payroll,

• An officer operates from his/her normal office and from the organisation attached to, 96

• An officer draws an allowance from the organisation attached to,

• Officer still has to adhere to conditions of service of Government,

• Officer can be transferred to another Ministry,

• Officer can still apply for secondment

II. Officer on Secondment –

An officer may be seconded to any Public Service Organization, Statutory Board or any Organisation that government has interest in, as long as prior authority for such secondment has been granted by the appropriate Service Commission and the Seconding Institution.

• Applicant can hence obtain Authority for secondment from his/her Institution for secondment to Public Service.

• HRMU should ensure all other formalities are completed before the applicant proceeds on Secondment

• Leave days

• For Public Service- The Officer applies for Secondment to the new Institution through current Ministry/Institution/Province attaching all relevant documents.

• MoLG examines merits and demerits of application recommends

• Recommends to PSMDs thus going through the entire cycle

• Officer may only report to new station upon receipt of conveyance or authority from the Commission

The following are the conditions of an officer while on secondment:

• Salary-will be the responsibility of receiving institution hence removal from payroll at old station

• Pension contributions- these must be continued by seconded officer on own arrangement basis.

• Earning of leave days- for seconded staff discontinues from last day of service before secondment date.

• Leave earned while on secondment is not transferable to the Public Service.

• Disciplinary actions will be the responsibility of the receiving Institution.

• Housing allowances will also be the responsibility of the receiving Institution

Completion of Secondment

The following conditions apply for officers originally from Non-Public Service Organisation:

• Ensure all entitlements are paid i.e. Gratuity if part of contract.

• All monies owed are recovered and all Government property is reclaimed.

• Inform officer of end of contract officially copied to Institution of origin

However, the following conditions will apply for officers originally from a Public Service Organisation:

• If the post exists within the Ministry/Institution/Province authority should be sought from PSMD to place on payroll.

• If no post is recommended for redeployment the officer should and ensure that he/she(s) detailed CV is submitted to PSMD

4. BRIEF OVERVIEW OF LABOR LEGISLATION: OCCUPATIONAL HEALTH AND SAFETY

In an event that there is an accident – the Terms and Conditions for Public Service shall apply

The project will endeavor to ensure that officers are provided with conducive working environment as provided for under the Occupational Health and Safety Act No 36 of 2010.

5. RESPONSIBLE STAFF

Designated council staff that will be seconded to the project will be responsible for adhering to terms and conditions of their existing public sector employment agreements. Under the Project Implementation Unit (PIU), the Project Coordinator will have an overall function of supervising project staff and considering staff welfare. Furthermore, the Environmental and Social expert will ensure compliance with safety provisions as espoused in the project Environmental and Social Management Plan (ESMP). The experts will work in collaboration with identified council staff (to be confirmed prior to commencement of project activities) to monitor:

• Engagement and management of project workers

• Engagement and management subcontractors/service contractors

• Occupational health and safety (OHS) = Terms and Conditions for Public Service Employees

• Training of workers – Public Service Training and Development Policy

• Grievance resolution

6. POLICIES AND PROCEDURES

The following policies will apply during the implementation of the project:

I. Employment Code Act No. 3 of 2018

II. Occupational Health and Safety Act No 36 of 2010

III. Anti-Gender Based Violence Act of 2011

IV. Service Commission Act No. 10 of 2016

Under the public service, terms and conditions of service provide for consideration of the worker with regards to accidents, illness and death as prescribed by the Public Service Pensions Act No. 35 of 1996.

Also considered are preferential treatment for Officers with disability; loss of or damage to property and fire and lifts. (further reference: Terms and conditions for the Public Service, Secretary to the Cabinet, June 2003).

Local authorities are subject to the Code of Ethics for the Public Service and the disciplinary Code and Procedures for Handling Offences in the Public Service as well as other Public Service Procedures and guideline. All these are provided for under the Service Commission Act No. 10 0f 2016.

The risk of GBV will be addressed by proposing a code of conduct for workers will be implementing the project. The code of conduct will include provisions for safeguarding communities against incidences of GBV and sexual exploitation. A procedure for handling GBV related complaints will be developed as part of the project Grievance Redress Mechanism (GRM). Furthermore, a GBV action plan will be prepared and embedded in the site specific ESMPs for town councils.

7. AGE OF EMPLOYMENT

• The minimum age for employment on the project will be 18 Years as per The Employment Code Act No. 3 of 2018.

• The process that will be followed to verify the age of project workers will be possession of National Registration Cards or National Passport.

• If underage workers are found working on the project, the underage workers will be requested to cease work immediately. Further, the person responsible for engaging workers on the project site will be required to give a full report of the incidence to determine the course of action.

8. TERMS AND CONDITIONS

This section sets out details regarding, specific wages and other provisions that apply to the project, maximum working hours, collective agreements that apply to the project and other terms and conditions. The following are the Terms and Conditions that apply to this project:

• Wages and other Terms and Conditions of Service are determined by Government from time to time through circulars

• The maximum number of working hours on a project according to Cabinet Office is 8 work hours to all employees

• Other Terms and Conditions of Service are determined by Government from time to time through circulars

9. GRIEVANCE MECHANISM 99

The principle of the GRM is that workers must have the right to submit grievances regarding workplace concerns without the threat of adverse employment action or prejudice. Complaints may range from dissatisfaction with work hours and rest periods to claims of coercion, intimidation or abuse.

• The contractor must work with the workers or their representatives to establish and maintain an effective grievance mechanism through which workers can lodge complaints. • Workers grievance and complaints boxes must be put in place at vantage places where workers can log their complaints. • The contractors must inform all workers about the grievance mechanisms put in place. • The contractor/employer must examine all grievances pursuant to its pre-established grievance procedure.

In this regard, a draft project Grievance Redress Mechanism (GRM) has been prepared to serve as a channel for stakeholders to register their complaints, as well as receive feedback from stakeholders. A separate workers grievance redress procedure will be developed for workers to register grievances. This will be anchored on existing complaint handling procedures within the civil service. Workers will be made aware of existing grievance processes as this will be embedded in their employment contracts and staff will also be sensitized through staff meetings.

10. CONTRACTOR MANAGEMENT

This section sets out details regarding:

• The selection process for contractors and contractual provisions relating management of labor, and occupational health and safety, including procedure for managing and monitoring their performance will be developed as part of the ESMP.

11. THE COMMUNITY WORKERS

In the event that community workers are engaged in the project, terms and conditions of part-time and full-time council workers will apply. Voluntary community involvement will be solicited through planned community consultations guided by the Stakeholder Engagement Plan (SEP) and in collaboration with local government leadership. Participation of vulnerable groups such as women, disabled, elderly and youths will be encouraged. The project should encourage or put in place process for local purchasing and recruitment that are implemented in accordance with the right to non-discrimination policy, hire to the maximum extent, skilled and unskilled workers from affected communities in the project area in order to avoid if not minimize labor influx into the project area.

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Grievance procedure for council staff will apply for community workers. The Project Coordinator and Community Development Officers from the town councils will be responsible for administering the GRM and monitoring grievance resolution.

12. PRIMARY SUPPLY WORKERS

The project does not anticipate significant risks related to primary suppliers. However, in the event that there are any Occupational health and safety risks. The project realizes that is a critical aspect of contractual due diligence where third-party entities are made to comply with agreed standards and practices to this affect, third-party entities will be guided by the procedures under section four mentioned above.

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