Kenya Coastal Development Project

SFG1588

KENYA COASTAL DEVELOPMENT PROJECT

ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)

Prepared By

HEZTECH ENGINEERING SERVICES P.O. BOX 42269 – 80100 MOMBASA

November, 2015 EXECUTIVE SUMMARY

The purpose of this Environmental and Social Management Framework (ESMF) is to establish a mechanism for determining and assessing potential environmental and social impacts of subprojects and activities planned under the Kenya Coastal Development Project (KCDP). KCDP is a partnership project financed by the Government of Kenya, the World Bank (WB) and the Global Environment Facility (GEF) aimed at promoting natural resources conservation and management in the coast region. Its development objective is to improve management effectiveness and enhance revenue generation of Kenya’s coastal and marine resources. The project was approved in July 2010, commencedin June 2011 and will end in October 2016.

It is anticipated that some of the planned sub-projects of which exact locations and potential impacts are not yet known will trigger the World Bank Environmental Assessment Policy (OP.4.01), thus justifying the development of an Environmental and Social Management Framework as one of the most appropriate management instruments.

This ESMF has been prepared as a revision of the initial ESMF prepared by KCDP project team in 2010. Since preparation of the initial ESMF the project has undergone several revisions as a result of which some sub-projects have been proposed that were not included in the preliminary ESMF. In addition the ESMF incorporates some key requirements of an ESMF such as Grievance Redress Mechanism (GRM), Stakeholder Consultation, and Information Disclosure procedures among others. The screening checklist prepared as part of the initial ESMF presented challenges during implementation since it was long and repetitive with lack of clear screening criteria, as a result all projects ,however small ,ended up requiring detailed environmental impact assessments. It therefore became necessary to review the initial ESMF to check whether it reflects the revised project objectives and activities, and to flag out all the gaps that needed to be addressed.

The KCDP project originally had four components. However, as a result of the restructuring approved on October 5, 2015, Component 3 and 4 were merged together based on a reprioritization of project activities. Consequently, the three project components are:  Component 1:Sustainable Management of Fisheries Resources, implemented by the Stat e Department of Fisheries (SDF) and the Kenya Marine Fisheries Research Institute (KM FRI);  Component 2:Sound Management of Natural Resources, implemented by the Kenya Wil dlife Service (KWS), the Kenya Forestry Research Institute (KEFRI) and KMFRI; and  Component 3:Building Coastal Capacity for Sustainable Natural Resource Use and Man agement, implemented by KMFRI, Coast Development Authority (CDA), National Envir onment Management Authority (NEMA), and Department of Physical Planning (DPP).

2 The ESMF sets out mitigation, monitoring and institutional measures to be taken during implementation and operation of these activities to eliminate or reduce to acceptable levels adverse environmental and social impacts.It outlines a screening and review process to determine whether a particular sub-project will trigger a safeguard policy and/or is likely to have adverse impacts, and what mitigation measures will need to be put in place. The screening and review process will also ensure that sub-projects that may have potentially significant impacts are subjected to a more detailed study, such as preparation of an Environmental Project Report (EPR) or a full Environmental and Social Impact Assessment (ESIA).

This ESMF therefore covers the following:

 A description of the KCDP project and its objectives;  Baseline information of the project area;  Legal, administrative and institutional framework applicable to the project;  An outline of World Bank Environmental and Social safeguards, with an indication of which of the safeguards are triggered as a result of project implementation;  Potential environmental impacts on key receptors and social impacts on the target and neighb ouring communities;  Mitigation measures to ensure that the impacts are neutralized or reduced to acceptable levels;  Framework Environmental Management and Monitoring Plan (EMMP) to guide the users of this ESMF in developing sub-project specific environmental and social intervention measures;  An Environmental and Social Mitigation Programme (ESMP) for implementation of the ES MF detailing responsibilities and timeframes for screening, environmental assessment, appro val of environmental assessment reports as well as implementation of mitigation measures an d monitoring plans;  ESMF monitoring and evaluation programme for tracking the progress of implementation of the ESMF;  Stakeholder consultation and information disclosure procedures;  Grievance Redress Mechanism (GRM);  Standard EMPs for community based projects supported under Hazina ya Maendeleo ya Pwa ni (HMP);  Capacity Building mechanism to ensure that relevant stakeholders understand and effectively apply the ESMF. Overall KCDP is likely to have positive impacts on the environment as well as positive socioeconomic impact on local communities through improved livelihoods. Key positive impacts include:

 Improved income generation and wealth creation of fishery-dependent communities;  Economic empowerment of artisanal fishers through value addition to fish landings and impr oved health standards at landing facilities;  Enhanced ecosystem productivity through improved conservation of coastal and marine habit ats;  Development of existing and alternative livelihoods will relieve pressure on exploitation of c oastal and marine resources;

3  Development of alternative livelihoods improving income levels;  Better appreciation of the value of indigenous ecosystems, thus providing a stronger case for their conservation;  Livelihood enhancement and diversification by giving support to increased adoption of liveli hood diversification opportunities.

However implementation of KCDP sub-projects is likely to cause a number of negative impacts. A summary of negative environmental and social impacts likely to be encountered are as follows:

Type of Activities Negative Environmental and Social Impacts Fish storage, processing,  Generation of solid waste, waste water and marketing  Depletion of wood to process fish.  Damage of aquaculture resources / FADs and possible theft of fish from ponds due to insecurity;  Displacement of artisanal fishermen and subsistence farmers due to delineation of CMA, MMA, MPAs  Air quality impacts (odour during fish processing). Aquaculture/Mariculture  Sedimentation,  Changes in biodiversity  Loss of vegetation  Water quality degradation  Increased salinity  Soil and ground water contamination  Increase in greenhouse gas emissions  Land use conflicts Infrastructure development  Habitat degradation, (Construction of jetty,  Air quality degradation through dust generation offices, bandas, health  Noise and vibration centres and sanitary  Generation of solid waste such as construction debris, packaging waste facilities)  Potential turbidity of water during construction of jetty and waterfront facilities  Infiltration of project area by migrant workers may impact on culture  Risk of spread of communicable diseases such as HIV/Aids  Occupational health and safety impacts  Increase in water demand Construction and operation  Noise and vibration of health centres  Generation of solid waste such as construction debris, packaging waste  Generation of medical waste  Occupational health and safety impacts Hatchery construction /  Habitat degradation Artemia Processing  Stress on water resources  Biodiversity loss  Increased salinity  Soil and ground water contamination Establishment of woodlots,  Soil and ground water contamination tree nurseries, seed stands  Increase in crop/plant vulnerability

4 etc.  Loss of productive agricultural land  Socioeconomic impacts such as land and water user rights  Ecosystem alteration due to large scale monocultures  Spread of pests and diseases Promotion of value  Stress on water resources addition businesses (e.g.  Air quality degradation cottage industries)  Solid waste generation  Reduced manpower in agriculture and food production  Possibilities of the enterprises creating congestion and displacement of people, obstruction of sidewalks or other pathways, or road traffic. Sanitation and Hygiene  Contamination of groundwater from pit latrines and soakage pits  Health and Safety risks during minor construction works  Generation of dust, noise and solid waste  Sludge from pit latrines  Increase in water demand for construction and sanitation (flush toilets)  Odour / foul smell Waste Management  Accidents and risks in waste handling, such as cuts from sharp objects  Littering during transportation of waste  Odour / foul smell  Contamination of soil and surface water in the neighbourhood of reception facility  Spread of rodents/vermin at storage areas  Solid waste pollution at collection centres. Natural Resource  Establishment of new conservation areasor increased level of Management management effectiveness of existing conservation areas in locations (establishment of used by local communitiesmay lead to restriction of access and thereby conservation areas – affect their livelihood CMAs; Fencing in  Cultural impacts as a result of conflict between conservation goals and conservation areas, Habitat livelihood activities of the local communities restoration)  Potential displacement of fishermen and subsistence farmers due to delineation of CMAs and MPAs  Reduced access to resources as well as resource use conflicts Tsetse fly Control  Harvesting of flora to create pegs / supports for targets;  Theft and malicious damage of traps and targets;  Littering of sub-project location with left-over or obsolete pieces of cloth.

These activities should be investigated into greater detail during project implementation using an appropriate assessment tool such as a Simple Environmental Review (SER), an Environmental Project Report (EPR) or Environmental and Social Impact Assessment (ESIA) depending on the outcome of the screening process.However preliminary studies indicate that implementation of the planned sub-projects will have minor and largely localized environmental and social impacts; hence the overall KCDP project is classified under WB Risk Category B.

An analysis of WB safeguards triggered by the project is as follows:

WB Safeguard Policy Whether or Not Comments

5 Triggered Yes No Environmental Assessment X Some of the proposed subprojects would have (OP/BP 4.01) significant environmental and social impacts that need to be assessed to ensure they are environmentally sound and sustainable Natural Habitats (OP/BP 4.04) X Some subprojects would be located in natural habitats, or close to natural resources Pest Management (OP 4.09) X Whereas tsetsefly control is proposed as one of the subprojects, no pesticides or insecticides would be used. Thecontrol procedure proposed is use of traps and targets treated with animal urine. This approach is friendly to the environment and has been used by KWS in other areas in Kenya with no resultant negative environmental effects.

This ESMF has however taken cognizance of the fact that the bank may permit use of pesticides when justified under an IPM approach. An outline of plan for IPM for tsetse flies that includes procedures for safe handling of pesticides has been prepared and attached as Annex 14 of the ESMF. Physical Cultural Resources X Some subproject activities are targeted for Kaya (OP/BP 4.11) forests and caves and these are considered as places of worship or cultural shrines by local communities Involuntary Resettlement X Establishment of new conservation areas or (OP/BP 4.12) X increased level of management effectiveness of existing conservation areas in locations used by local communities may lead to restriction of access and thereby affect their livelihood Indigenous Peoples (OP/BP X Some subprojects target areas occupied by the Boni 4.10) Watha, Sanya communities among others who are classified as Indigenous Peoples or Vulnerable and marginalized Groups Forests (OP/BP 4.36) X Some subprojects will impact on mangrove swamps which are protected under the Forests Act 2005. Safety of Dams (OP/BP 4.37) X No subproject would trigger this policy Projects in Disputed Areas X No subproject would be undertaken in disputed (OP/BP 7.60) areas Projects on International X No subproject would impinge on an international Waterways (OP/BP 7.50) water way

Effective implementation of the Environmental and Social Management Framework will require that adequate capacity enhancement is undertaken.The overall objective of the training is to main stream environmental and social considerations into sub-project identification, planning, implem entation, mitigation and monitoring. The specific objectives of the training include:

6  To ensure that key stakeholders understand the ESMF, how to apply it to sub-projects an d other activities of KCDP;

 To actively involve stakeholders and project affected communities in the screening of env ironmental and social aspects of KCDP projects from design, planning, monitoring and i mplementation;

 Domesticating the ESMF to fast track the implementation of the associated subprojects.

Training will target key stakeholders involved in project interventions such as the PCU, CLOs, officers from implementing agencies including ESSOs, County Directors of Environment (CDEs) and the wider NEMA, HMP staff and government agencies responsible for natural resource management.

The final chapter of this ESMF outlines a monitoring and evaluation programme to be used to follow up on the progress of implementation of the ESMFand determine whether the ESMF is continuously being applied during implementation of sub-projects located close to sensitive receptors.

7 TABLE OF CONTENTS

EXECUTIVE SUMMARY...... 1 TABLE OF CONTENTS...... 7 List of Tables...... 12 List of Figures...... 12 List of Annexes...... 13 GLOSSARY OF TERMS...... 14 ACRONYMS AND ABBREVIATIONS...... 16 1 INTRODUCTION...... 18 1.1 The Project background and description...... 18 1.2 Purpose of the ESMF...... 19 2 METHODOLOGY AND APPPROACH...... 20 2.1 Literature Review...... 20 2.2 Scoping...... 20 2.3 Stakeholder identification and Consultation...... 21 2.4 Development of Environmental Management Tools...... 22 2.5 Training on ESMF...... 22 2.5.1 Training objectives 22 2.5.2 Scope of the ESMF Training 23 2.5.3 Target groups 23 3 PROJECT BACKGROUND AND OBJECTIVES...... 25 3.1 Location of Project Area...... 25 3.2 Project objectives and components...... 26 3.3 Component activities and expected outcomes...... 27 3.3.1 Component 1: Sustainable management of fisheries resources 27 3.3.2 Component 2: Sound Management of Natural Resources 29 3.3.3 Component 3: Building Coastal Capacity for Sustainable Natural Resource Use and Management 31 3.4 Institutional arrangements and responsibilities for project implementation...... 37 4.0 BASELINE INFORMATION OF PROJECT AREA...... 39 4.1 Introduction...... 39 4.2 The Physical Environment...... 39 4.2.1 Coastal Geology and geomorphology 39

8 4.2.2 Drainage and hydrology 40 4.2.3 Oceanography 41 4.3 The Biological Environment...... 41 4.3.1 Mangroves 42 4.3.2 Seagrass beds 42 4.3.3 Coral reefs 43 4.3.4 Sandy beaches and sand dunes 43 4.3.5 Coastal forests 43 4.4 Cultural landmarks of the Kenyan coast...... 44 4.4.1 Historical and Archeological Sites 44 4.4.2 Indigenous people 44 4.5 Socio-economic activities along the Kenyan coast...... 45 4.5.1 Artisanal Fisheries 46 4.5.2 Commercial Fisheries 47 4.5.3 EEZ Fisheries 48 4.6 Biodiversity of the Coastal Hinterland...... 48 4.6.1 Biodiversity Hotspots of the Taita Hills Forests 48 4.6.2 Tana Delta Biodiversity 49 4.7 Emerging Environmental and Development Issues...... 49 4.7.1 Oil and gas exploration 49 4.7.2 Climate change 49 4.7.3 Proposed Development of Port and Resort City in Lamu 50 5.0 LEGAL, POLICY AND INSTITUTIONAL FRAMEWORK...... 51 5.1 The Environmental Management and Co-ordination Act, 1999...... 51 5.1.1 The Environmental (Impact Assessment and Auditing) Regulations, 2003. 51 5.1.2 Environmental Management and Coordination (Water Quality) Regulations, 2006 51 5.1.3 Environmental Management and Coordination (Waste Management) Regulations, 2006 51 5.1.4 Noise and Excessive Vibration (Pollution Control) Regulations, 2008 52 5.1.5 Environmental Management and Coordination (Conservation of Biological Diversity (BD)) Regulations 2006 52 5.2 Land Act, 2012...... 52 5.3 The Occupational Safety and Health Act, 2007...... 52 5.4 The Water Act 2002...... 53 5.5 The Wildlife Conservation Act, 2013...... 54 5.6 The Tourism Act...... 54 9 5.7 The National Museums and Heritage Act...... 54 5.8 Fisheries Act, 2012...... 55 5.9 The Forest Act, 2005...... 55 5.10 Physical Planning Act 1996...... 56 5.11 Public Health Act Cap 242...... 56 5.12 Agriculture Act Cap 318...... 56 5.13 Coast Development Authority (CDA) Act Cap 449...... 56 5.14 The Energy Act, 2006...... 57 5.15 International Legal Instruments...... 59 6.0 WORLD BANK ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES...... 61 6.1 OP/BP 4.01 Environmental Assessment...... 61 6.2 OP/BP 4.04: Natural Habitats...... 62 6.3 OP 4.09 Pest Management...... 62 6.4 OP/BP 4.10 Indigenous Peoples...... 63 6.5 OP/BP 4.11 Physical Cultural Resources...... 63 6.6 OP/BP 4.12 Involuntary Resettlement...... 63 6.7 OP/BP 4.36 Forests...... 64 6.8 OP/BP 4.37: Safety of Dams...... 64 6.9 OP 7.50 Projects in International Waters...... 64 6.10 OP 7.60 Projects in Disputed Areas...... 64 6.11 Inconsistencies between GoK Legislation and WB Safeguards Policies...... 70 7.0 IMPACTS IDENTIFICATION, ANALYSIS AND MITIGATION MEASURES...... 72 7.1 Positive Impacts...... 72 7.1.1 Impact on Fisheries 72 7.1.2 Impact on Coastal and Marine Habitats 72 7.1.3 Impacts of project activities on local communities 73 7.2 Negative Impacts and mitigation measures...... 74 8 ENVIRONMENTAL AND SOCIAL MITIGATION PROGRAMME...... 83 8.1 Screening and Review Process...... 83 8.2 Preparation of Environmental Project Reports (EPR)...... 84 8.2.1 Environmental Project Report is Adequate. 85 8.2.2 Project Report Inadequate 85 8.3 ESIA Study...... 85 8.3.1 Scoping Report 85 8.3.2 ESIA Study Report 86

10 8.3.3 Public Review of the ESIA Report 87 8.4 Environmental Management and Monitoring Plan (EMMP)...... 87 9. STAKEHOLDER CONSULTATION AND INFORMATION DISCLOSURE...... 94 9.1 Stakeholder Identification...... 94 9.2 Approach to Stakeholder Consultation...... 94 9.2.1 PCU Level Consultations: 94 9.2.2 Agency Level Consultations: 95 9.2.3 Field Visits / Community Level Consultations 95 9.2.4 Stakeholders’ workshop to discuss the ESMF: 95 9.2.5 Summary of Consultative Meetings Conducted 95 9.3 ESMF and EIA Reports Disclosure...... 96 10 HANDLING OF PROJECT GRIEVANCES AND COMPLAINTS...... 98 10.1 Introduction...... 98 10.2 Grievance Redress Committee (GRC)...... 98 10.3 KCDP Procedures for Addressing Complaints...... 99 10.3.1 Complaint uptake 99 10.3.2 Assessment, acknowledgment, and response 99 10.3.3 Resolution and / or Closure 99 10.3.4 Registry and Monitoring 100 10.3.5 Responsibility and resources 100 11.0 CAPACITY BUILDING...... 101 11.1 Training objectives...... 101 11.2 Scope of the ESMF Training...... 101 11.3 Target groups...... 102 12. ESMF IMPLEMENTATION STRUCTURE AND RESPONSIBILITIES...... 104 12.1 Introduction...... 104 12.2 Responsibilities...... 104 12.2.1 Communities: 104 12.2.2 CLOs 104 12.2.3 HMP Manager 105 12.2.4 County Director of Environment (CDE) 105 12.2.5 ESSOs 105 12.2.6 NEMA 106 12.2.7 PCU 106 12.3 Sub-project Implementation procedures...... 106

11 12.4 Compliance Monitoring and Enforcement...... 108 12.5 ESMF Implementation Budget...... 109 13 MONITORING AND EVALUATION OF ESMF IMPLEMENTATION...... 111 13.1 Introduction...... 111 13.2 Monitoring State of the Environment...... 111 13.3 Monitoring the Implementation of ESMF...... 112 ANNEXES...... 114

12 List of Tables

Table1: KCDP Component Activities and Locations……………….. …………………………...33 Table 2: Critical coastal and marine habitats in Kenya……………………………………... …….41 Table 3: Summary of Kenyan Legislation Relevant to Management of Marine and Coastal Environment………………………………………………………………………….…………..57 Table 4: International Agreements Relevant to Coastal and Marine Resource Management in Kenya…………………………………………………………………………………………….58 Table 5: World Bank Safeguards triggered by KCDP Sub-project activities……………...... 65 Table 6: Summary of WB Safeguards Triggered by KCDP Project……………………………...70 Table 7: Negative Impacts and Mitigation Measures for KCDP Sub-projects………………. …...74 Table 8: Approval Process for Environmental Project Reports………………………………….83 Table 9: An Outline of monitoring indicators…………………………………………………....87 Table 10: Environmental Management and Monitoring Plan………………………………….....88 Table 11: Consultative meetings conducted for development of ESMF………………………….94 Table 12: Training influencing success of ESMF……………………………………..………… 101 Table 13: Summary of ESMF Compliance Documentation……………………………………..107

13 Table 14: ESMF Implementation Budget……………………………………………………….108 Table 15: Monitoring and Evaluation Matrix………………………………... ………………….111

List of Figures

Fig 1: Map of Kenyan Coastal Counties and Protected areas………………. ………………...... 24 Fig 2: Map of Kenya Coast Showing Location of HMP Projects……..…….. …………………….32 Fig 3: KCDP implementation Structure…………………………………………………………..36 Fig 4: Siyu Fort in Lamu (left) and Vasco da Gama pillar in Malindi……………………………...43 Fig 5: Flow Chart for Screening and Environmental Impacts Assessment……………………… 106 Fig6: Flow Chart for Monitoring and Reporting Procedure………………………………..…… 108

List of Annexes

Annex 1: Screening Form Annex 2: Simple Environmental Review (SER) Form Annex 3: EMP for Culture and Tourism Projects Annex 4: EMP for Water Supply andConservation Annex 5: EMP for Small Scale Infrastructure Projects Annex 6: EMP for Sanitation and Hygiene Projects Annex 7: EMP for Waste Management Annex 8: EMP for Forest Conservation and management Annex 9: EMP for Soil Conservation / Riverbank Protection Annex 10: EMP for Energy Conservation / Alternative Energy

14 Annex 11: Complaint Registration Form Annex 12: Outline of an Effective Grievance Redress System Annex 13: Procedure for Handling of Chance Finds Annex 14: Integrated Pest Management Plan for Tsetse Fly Control

15 GLOSSARY OF TERMS

Cumulative impacts/effects: The total effects on the same aspect of the environment resulting from anumber of activities or projects.

Direct impacts: An effect on the environment brought about directly by the proposed KCDP projects.

Disclosure: Information availability to all stakeholders at all stages of the development of subprojects.

Environment: physical, biological and social components and processes that define our surroundings.

Environmental and Social Management Framework (ESMF):An instrument through which a sub-project’s environmental and social impacts are identified, assessed, evaluated and have appropriate mitigation, management and monitoring measures, designed and incorporated within the sub-project itself.

Environmental Impact Assessment (EIA): A comprehensive analysis of the project and its effects(positive and negative) on the environment and a description of the mitigation measures that will be undertaken in order to avoid or minimize these effects.

Environmental Monitoring: The process of examining a project on a scheduled basis to ensure that it is in compliance with an Environmental Management Plan (EMP), or the Environmental Impact Assessment (EIA) certification conditions and / or other environmental prescriptions.

Impact: A positive or negative effect that a project has on an aspect of the environment.

Indirect impact: A positive or negative effect that a project indirectly has on an aspect of the environment.

Involuntary resettlement: The forceful loss of land resources that requires individuals, families and / orgroups to move and resettle elsewhere.

Lead Agency: The agency with primary responsibility for the protection of the environment.

Mitigation measures: The actions identified in an EIA to negate or minimize the negative environmentalimpact that a project may have on the environment.

Pollution: contamination or alteration of the state of purity (e.g. chemical effluent discharge into a surface water body).

Project and sub-project: a set of planned activities designed to achieve specific objectives within a givenarea and time frame.

16 Proponent: the entity – person/ company/agency – proposing to develop/implement/install a new project/subproject or expand an existing project.

Scoping: The initial stage in an environmental assessment aimed at determining the majorenvironmentalparameters likely to be affected by a project and the aspects of the project that will bring upon these effects.

Screening: An initial step when a project is being considered for environmental assessment. The screeningis the determination of the level of assessment that will be conducted.

Significant effect: An important impact on an aspect of the environment.

Stakeholder: Any person or group that has an interest in the project and the environmentaleffects that the project may bring about.

17 ACRONYMS AND ABBREVIATIONS

BDS Business Development Services BMU Beach Management Union CAR County Annual Report CBO Community Based Organizations CDA Coast Development Authority CDE County Director of Environment CEOs County Environmental Officers CM Component Managers CMA Community Managed Area CSO Community Service Organizations CVF Community Village Fund EA Environnemental Audit EEZ Exclusive Economic Zone EIA EnvironnementalImpact Assessment EMCA Environment Management Coordination Act EPR Environmental Project Report EMP Environmental Management Plan ESMF Environment Social Management Framework ESSO Environmental and Social Safeguards Officer FA Forest Association FAD Fish Aggregating Devices FD Fisheries Department GEF Global Environmental Facility GRC Grievance Redress Committee GRM Grievance Redress Mechanism HH Household HMP HazinayaMandeleoyaPwani ICZM Integrated Coastal Zone management IDA International Development Agency 18 IP Indigenous People IPM Integrated Pest Management IPPF Indigenous Peoples Policy Framework KCDP Kenya Coastal Development Project KMFRI Kenya Marine and Fisheries Research Institute KWS Kenya Wildlife Services KEFRI Kenya Forest Research Institute M&E Monitoring and Evaluation MCS Monitoring, Control and Surveillance MMA Marine Managed Area MoU Memorandum of Understanding MPA Marine Protected Area NEMA National Environment Management Authority NGOs Non-Governmental Organizations PCU Project Coordinating Unit PPE Personal Protective Equipment PPP Public Private Partnership SCD Stakeholder Consultation and Disclosure SDF State Department of Fisheries SER Simple Environmental Review SOC State of the Coast Report SWIOC South Western Indian Ocean Commission TCs Technical Coordinators UNEP United Nation Environment Program VCT Voluntary Counselling and Testing WB World Bank WIO Western Indian Ocean

19 1 INTRODUCTION

1.1 The Project background and description Kenya Coastal Development Project (KCDP) is a partnership financed by the Government of Kenya, the World Bank (WB) and the Global Environment Facility (GEF) to promote natural resources conservation and management in the coast region. Its development objective is to improve management effectiveness and enhance revenue generation of Kenya’s coastal and marine resources. The project was declared effective in June 2011 and it will end in October 2016. The KCDP project originally had four components. However, as a result of the restructuring approved on October 5, 2015, Component 3 and 4 were merged together based on a reprioritization of project activities. Consequently, the three project components are:

Component 1: Sustainable Management of Fisheries Resources. KCDP seeks to support interventions aimed at improving revenue generation from coastal and marine fisheries andimproving governance of the resources through capacity building and strengthening, monitoring, surveillance and control in the Exclusive Economic Zone (EEZ). In addition, this component will promote research on coastal and near-shore fish stocks; promote sustainable use of near shore fisheries through provision of alternative fishing technologies and increase fish production through mariculture and value addition.

Component 2: Sound Management of Natural Resources. This component aims at improving and ensuring sound management of natural resources and biodiversity in the coastal and marine environment. Biodiversity products and markets that will help promote eco-tourism and associated spin-off industries will also be identified.

Component 3: Building Coastal Capacity for Sustainable Natural Resource Use and Management. This component aims at promoting alternative livelihoods within a sound governance framework that include: (i) spatial planning and land capability mapping to identify environmentally and socially sensitive areas; (ii) promotion of integrated coastal zone management (ICZM); and (iii) improving compliance with environmental regulatory requirements and safeguards. Moreover, the component seeks to build the capacity of the project coordinating and implementing team; promote dialogue amongst the project partner institutions and stakeholders; develop and implement a communication strategy for the project and monitoring and evaluation of the project progress. It is also through this component that a financial kitty aimed at promoting economic and social development at village level dubbed ‘Hazina ya Maendeleo ya Pwani (HMP)’ is being implemented.

Overall coordination of the project is done through a Project Coordinating Unit (PCU) headed by

20 the Project Coordinator (PC).

1.2 Purpose of the ESMF A range of activities under the project will be undertaken by different institutions during the project period. As activities are implemented, KCDP is desirous of ensuring that all project- related environmental and social impacts are adequately identified and managed in all its components and sub-projects. Appropriate safeguards for the management of the environment and the protection of the communities affected by the KCDP project are of critical importance to the project objectives.

The ESMF therefore seeks to ensure that the sub-project’s environmental and social impacts are identified, assessed and evaluated, and that appropriate mitigation measures and monitoring plans are designed and incorporated within the sub-project components. Training has been included as part of development of the ESMF to ensure that relevant stakeholders understand the ESMF and can apply it.

The following methodology was adopted for development of the ESMF:

 Assessment of the potential environmental and social impacts of KCDP activities. Spe cial emphasis was placed on HazinayaMaendeleoyaPwani (HMP)sub-projects (for wh ich standardized EMPs were developed), and activities/subprojects involving infrastru cture construction or natural resource management;  Development of procedures for screening, management and monitoring of project envi ronmental and social activities;  Development of specific mitigation measures for each significant impact in order to ne gate or minimize negative environmental and social impacts;  Preparation of procedures for public consultation and documents disclosure on issues related to projects environmental and social assessment;  Development of procedures to be used to handle grievances and complaints by project beneficiaries and other project affected persons; and  Training of relevant stakeholders on the detailed procedures of the ESMF.

21 2 METHODOLOGY AND APPPROACH

The methodology for development of the ESMF was as follows:

2.1 Literature Review

The following documents were reviewed:  KCDP Project Appraisal Document (PAD)and Component Strategy papers to gain deeper un derstanding of the proposed project and its revised objectives and activities;  Preliminary ESMF prepared by KCDP project team in 2010 to check whether it reflects the r evised project objectives and activities, and to flag out any gaps that may need to be addresse d;  The national policies and legislations relevant to KCDP project activities such as: a. The Constitution of Kenya; b. Environmental Management and Coordination Act, EMCA 1999; c. Kenya Vision 2030; d. Policies specific to sectors of fisheries, forestry, wildlife, environment, lands, regi onal / county development, etc.;  The World Bank Safeguard Policies and other applicable national sector safeguards documen ts;  Environmental and Social Management Framework (ESMF) documents prepared for similar development projects;  Environmental reports of the project area such as State of the Coast Report (SOC) and the Int egrated Coastal Zone Management (ICZM) Action Plan.

2.2 Scoping

Scoping and primary data collection involved identification of key receptors in the project area. Field visits were conducted to provide information on the environmental conditions around the proposed project intervention areas so that valid impact predictions could be made and effective mitigation and monitoring programs formulated. The following information was collected during the scoping process:  An assessment of the value of key receptors and their sensitivity to impacts;  Baseline conditions of key environmental parameters such as air quality, sediment quality, se a water quality through review of recent environmental assessment reports conducted in the p roject area;  Socioeconomic baseline conditions obtained through literature review of relevant reports rece ntly prepared for the project area;  Review of existence of sensitive and protected areas close to the project area;

22  Indications of limitations and uncertainties.

The natural resource base existing in the proposed project intervention areas was profiled from existing data and information from key state agencies and non-state actors through the scooping exercise and presented in the baseline information.

2.3 Stakeholder identification and Consultation Stakeholder engagement was undertaken through consultative meetings withKCDP staff and site visits in selected project intervention areas and involved the following:  Meetings with the PCU (Project Coordinator, Component Leaders, HMP Staff and Technical Coordinators) with a view to understanding the design, scope and objective of the KCDP;  Agency level consultations withtechnical officersof implementing agenciesto better understand the local priority intervention areas, the selection process and criteria, as well as availability of capacity for management of the social and environmental mitigation process;  Community meetings at selected project intervention sites thereby enabling community concerns to be captured and addressed in the ESMF and providing an opportunity for community involvement and ownership;  Workshops with KCDP based stakeholders and nominated agency representatives to review the Draft ESMF and identify the gaps that needed to be completed to produce the final document;  Instituting a review process during engagement to ensure that the objective is well understood by the stakeholders and the data gathered is sufficient in addressing the scope of the assignment.

The data and information generated using the above methodologies were used to inform the preparation of this ESMF. The preliminary ESMF developed during the project design period has now been completed to ensure inherent gaps are addressed. In effect this ESMF has captured the following:-  Environmental and social aspects likely to be impacted by the project activities;  Potential environmental and social impacts of KCDP activities with special emphasis on HMP subproject activities and other activities/subprojects involving infrastructure construction, natural resource management or activities in or near critical natural habi tats;  Mitigation measures for potential impacts;  Roles and responsibilities of participating institutions in implementation of the ESMF;  Reporting and monitoring framework for the ESMF implementation such as structure s / tools for environmental reporting, and ESMF monitoring indicators;  Grievance handling mechanism to address concerns by project beneficiaries, environ mental complaints, and related social conflicts.

23 2.4 Development of Environmental Management Tools Guidance materials were developed to assist in identification and categorization of project activities with possible environmental and social impacts. Sensitivity of the proposed sites was profiled and safeguards/ mitigation measures outlined to ensure sustainability and compliance. This was achieved through:  Consultation with PCU to take stock of all projects under the KCDP and consultation with TCs for more details on project activities;  Liaison with KCDP Component Managers who assisted in highlighting subproject locatio ns and Component activities;  Development of screening tools to facilitate determination of the level of environmental assessment required for all KCDP projects;  Preparation of lists indicating where KCDP projects are situated so that stakeholders understand what the key receptors are;  Development of an impact matrix and mitigation measures for all sub-project activities with significant environmental and social impacts;  Development of standardized environmental management plans (EMPs) for categories of HMP subprojects with minor impacts. Where necessary the management plans have been translated into Kiswahili language to ensure simplified and clear communication to the be neficiaries.

These EMPs would be used by HMP beneficiaries such as CBO’s, BMU’s, women groups and youth groups in rural coastal areas who will be responsible for ongoing project implementation.

2.5 Training on ESMF

In the process of implementing the ESMF training of key stakeholders was undertaken to ensure that the ESMF is well understood for application during sub-project implementation. Training wi ll assist the staff of the KCDP and stakeholders fully understand andmainstream environment an d social safeguards into all project activitiesin line with the procedures contained in the ESMF.

2.5.1 Training objectives

The overall objective of the training was to mainstream environmental and social considerations into participatory processes of micro project identification, planning, implementation and mitigat ion,andmonitoring of the mitigation activities in the sub-project as well as in the main projects ac tivities.

The specific objectives of the capacity building and training include:

24  To ensure that key stakeholders understand what ESMF is and how to apply it to the subprojects and other activities of KCDP;

 To actively involve stakeholders and project affected communities in the screening of env ironmental and social aspects of KCDP projects from design, planning, monitoring and i mplementation;

2.5.2 Scope of the ESMF Training

KCDP has established that understanding of environmental management of implementing institutions is still inadequate and therefore aims to enhance capacity to enable it have dedicated staff that can follow on social and environmental challenges of the project to ensure maximum benefits. In order to develop this capacity a training modulewas prepared covering the following topics:

 Background of the KCDP project and the rationale of its development and design;  Environment management principles;  Project screening methods - screening materials for sub-projects and project activities, screening checklist review form;  Project activities and their potential environmental and social impacts  Development of environmental management/mitigation plans;  Responsibilities for ESMF implementation, monitoring and reporting;  Performance monitoring and development of performance indicators;  Health and Safety aspects of KCDP subprojects;  Use of standardized EMPs by community groups to assist in developing Simple Environmental Review (SER) reports.

Simplified training manuals targeting relevant stakeholders have been developed containing all these topics and used during the capacity building exercise. In the process of planning for ESMF training therewas close liaison with NEMA and PCU to ensure effectiveness and relevance of training content.

2.5.3 Targetgroups

The training targetedkey stakeholders involved in project interventions. Key stakeholders trained include:

 The Project Coordinating Unit (PCU);  KCDP Community Liaison Officers;  Relevant Officers from implementing agencies including Environmental and Social Safeg uards Officers (ESSO), County Environment Officers;  HMP staff; 25  Government agencies responsible for natural resource management in Fisheries, Wildlife Service, Heritage, Forest Services, Regional Development and Water Resources Manage ment  Representatives of community groups in subproject areas.

The training scope and emphasis varied for the different groups and therefore the need for clustering in the trainingwas observed.

26 3 PROJECT BACKGROUND AND OBJECTIVES

3.1 Location of Project Area Kenya Coastal Development Project (KCDP) targets to benefit communities living in the coast of Kenya. Kenyan coast region covers an area of 83,603 km² thus constituting about 11.5% of the total area of the Republic of Kenya. It extends 150 km inland from the seafront. The region harbors rich and diverse resources that are of great ecological significance and form a resource base for the economy of the region and livelihood to the community. Administratively, the region has six counties which are Kwale, Mombasa, Taita/Taveta, Kilifi, Tana River and Lamu

27 Counties.

Fig 1: Map of Kenyan Coastal Counties and Protected areas Source: Interim KCDP ESMF Framework: KMFRI

Ecologically, the coastal area is characterized by unique resources which form the resource base for community livelihoods and various economic activities including tourism, maritime transport, fishing and agriculture among others. The resources include estuarine ecosystems, coastal forests, mangroves, coral reefs, sea grass beds, coastal floodplains, sandy beaches and dunes among others which form critical habitats for the productivity of the region. The shoreline

28 of the region extends about 600 km from Somalia’s border in the north to Tanzania’s border at Vanga in the south. A distinctive feature of the Kenya coastline is a fringing reef which runs parallel to the shoreline from Vanga in the south to Malindi in the north. Other unique geographical features of the coastal area are the Lamu archipelago which has the largest coverage of mangroves in the country (about 64%); Mombasa Island; the southern complex of Gazi bay; Funzi bay and ChaleIsland.

In view of the many environmental threats in the coast region characterized by high poverty levels and competing and conflicting development and conservation interests, there is need to embrace a multifaceted approach to management of the resources in the region with a view to promoting sustainable livelihoods and development in the region.

It is against this background that KCDP was developed. The project, which modeled around multi-sectoral approach to ICZM, is keen to invest in spatial-focused interventions to promote growth that is environmentally sustainable and socially inclusive in the region. It is anticipated that the project will reduce poverty through the provision of alternative livelihoods, technical assistance and access to markets; enhance growth in key sectors through enhanced productivity and governance; and promote public private partnerships in development thereby improving resilience and vulnerability in a changing climate.

KCDP is funded by World Bank and the Global Environmental Facility. The World Bank (i.e. International Development Association) has funded the project to the tune of USD 35 Million which is in form of a loan while GEF has co-financed the project to tune of USD 5 million. The GEF co-financing portion is a grant and has come from the Strategic Partnership for a Sustainable Fisheries Investment Fund for Sub-Saharan Africa.

3.2 Project objectives and components The development objective of KCDP is to improve management effectiveness and enhance revenue generation of Kenya’s coastal and marine resources. The project targets the following three geographic areas of the coastal zone:  offshore resources of the 200 nm EEZ;  inshore resources including coral reefs, fisheries, mariculture, forests and mangroves and  land-based resources of the coastal counties, particularly use of terrestrial resources that i mpact on near and offshore marine resources.

The project covers a period of 6 years. It was approved in July 2010, declared effective in June 2011 and will end in October 2016. The project is composed of the three components described in detail below.

29 3.3 Component activities and expected outcomes The main beneficiary targeted by the project is the population living within the coast region. In the fisheries sector, inshore fish catches are on the decline due to overfishing, use of destructive fish gears and habitat degradation. Contribution of the offshore fisheries to the economy is low due to weak domestic capacity to exploit the off-shore fisheries resources. These factors laid a firm ground for the project to focus part of its activities on improving management and sustainable exploitation of the fisheries resources in the county. Additionally, sound management of the EEZ fishery resources, will benefit all citizens of Kenya since the revenue will accrue to the National Treasury. Managing natural resources particularly along the coast and in wildlife areas has received attention in the Vision 2030 as a critical element for promoting tourism as an engine of growth in Kenya hence strong support by the project for natural resources management in the coastal zone.

Lack of employment opportunities particularly for coastal youth and women also necessitated the project to identify and invest in small and medium enterprises, skills development and promotion of public-private partnerships. The need to promote value addition to the products of fishermen and farmers, identify markets, facilitate access to credit, identify new biodiversity products and new economic opportunities have been identified as key areas that require major investment by the Government and hence the investment by the project in these areas. All these aspects were considered in the development of the project components and project activities. The three components of the project are as follows:

3.3.1 Component 1: Sustainable management of fisheries resources

The Project will support efforts aimed at reforming fisheries governance particularly in the Kenya’s 200 nautical mile EEZ. The support will include review of the relevant legislations and regulatory frameworks, capacity building and strengthening of Monitoring, Control and Surveillance (MCS). Additionally, the project will support the establishment of regional linkages with support from SWIOF. Under the component the project will also promote value addition; access to markets and credit by fishermen to engage in more sustainable and profitable fishing practices, aquaculture and mariculture. Development of pilot public-private partnerships in mariculture ventures such as crab fattening, seaweed farming, shrimp/crustacean culture and village owned FAD fishery will also be supported. Technical extension services and business service advice will be provided to promote micro and small enterprises for new uses of marine and coastal resources. The sub-components and the expected outcomes of this component are summarized below:

Sub-Component 1.1: Sustainable management of offshore and nearshore fisheries resources

The expected outcomes of this sub-component are:

(a) Quality control and value addition system designed and effectively operated; and

30 (b) Cost-effective MCS Program for Kenya EEZ-flagged vessels and high seas strengthened and supported. The activities to achieve these outcomes include:  conducting of demand driven research for value addition;  development and implementation of a value chain strategy;  strengthening of State Department of Fisheries (SDF) and its research capacity;  conducting a value and market chain analysis including eco-labeling benefits and value e nhancement strategy;  review and recommend changes to the MCS capability; and  implementation of the MCS strategy in coordination with the SWIOFP Program.

Sub-Component 1.2: Fisheries governance and research in Kenya

Three outcomes are expected from this component. They are:

(a) Efficient fisheries management system well-designed, developed and functional; (b) Research and data development established; and (c) Fisheries Governance improved.

Activities under the subcomponent include:  establishing a Fisheries Implementation Unit responsible for the administration, logistics, pr oject support, supervision and monitoring and evaluation;  increasing awareness, capacity building for coastal communities;  developing three fishery-specific co-management plans;  research to support stock assessments for 10 priority species (in coordination with SWIOFP);

 promoting FADs;  promoting artisanal fishing alternatives beyond the reef;  sea turtle by-catch mitigation;  aquaculture technology baseline surveys;  developing technology for spatial mapping of fisheries;  review and strengthen the legislative framework for fisheries;  reform of the existing management, licensing and cost structure of foreign and other high se as vessels.

Sub-Component 1.3: Improved fish production through sustainable aquaculture development

The expected outcome of this sub-component is the promotion of sustainable aquaculture development. Activities under this sub-component include:

(i) demand driven research for aquaculture;

31 (ii) rehabilitating and constructing hatcheries, artemia processing and quality assurance la boratories; (iii) establishing shrimp and finfish culture demonstration/pilot farms in Ngomeni and Ga zi and (iv) establishing seaweed farming.

3.3.2 Component 2: Sound Management of Natural Resources

In line with the country’s development roadmap Vision 2030, the objective of this component is to improve sustainable management and regeneration of natural resources and biodiversity in the near shore coastal and marine environment. The vision of this component is to understand and conserve the unique coastal biodiversity and its natural resources as the basis for sustainable development.

Activities under the component will promote sustainable tourism and alternative livelihoods. The sub-components and the expected outcomes of this component are summarized below:

Sub-Component 2.1: Development of biodiversity & natural resources database and an integrated information system

The existing understanding of the resource base is limited, posing a challenge to decision-making and sustainable resource exploitation. Moreover, the existing information is fragmented, inaccessible or stored in incompatible media. The aim of this sub-component is to collect and collate the relevant data in a GIS information management system for decision support and planning on wise use of the coastal and marine resources. The outcomes include: (a) GIS template developed and populated to establish baseline information on the status of natural resources at the coast; (b) Improved information on the status of natural resources, their ecological threats, economic valuation and resource use patterns collected and interpreted.

The activities to be undertaken to realize the outcomes include:

i. creation of a coastal biodiversity information management system; ii. coastal biodiversity data collation, biodiversity information gap analysis, specialized surv eys of flora and fauna in Arabuko-Sokoke, Boni-Dodori and Kiunga forests; biodiversity assessments in Kisite-Mpunguti, Shimba Hills and Mombasa Marine National Park; iii. biodiversity assessment in proposed community conservation areas including Shimoni an d Marereni; iv. development of a uniform biodiversity monitoring protocol and implementation of the bi odiversity monitoring protocols in all key biodiversity hotspots; v. strategic impact assessment in all protected areas and development of mitigation strategy for identified adverse impacts; and

32 vi. economic valuation for Shimba Hills and Malindi - Watamu Marine Protected Areas.

Sub-Component 2.2: Development of management plans, guidelines and strategies for sound management of biodiversity & natural resources

The outcomes of the sub-component include:

(a) Development of management plans for coastal mangrove ecosystems, (b) Development of new conservation areas in Boni Dondori National Reserve, Witu and Marereni, which will be promoted by formulating new management approaches and facilitating their implementation; (c) Guidelines for management of critical habitats in Tana Delta implemented; (d) Key transboundary initiatives at KisiteMpunguti and Shimba Hills, between South Coast in Kenya and Tanga, Pangani, Zanzibar and Pemba in Tanzania promoted and facilitated; (e) Conservation strategies of endangered species and habitats (i.e. sea turtles, coral reefs and Dugong) supported; and (f) Elephant corridor linking Arabuko-Sokoke to Tsavo East National Park identified and secured.

Sub-Component 2.3: Capacity building & institutional Support

The expected outcomes of this sub-component include: (a) Enhanced institutional staff capacity; (b) Learning of best practices on resource utilization and management through community & institutional exchange visits; (c) Enhanced capacity of community groups and CBOs across the coast; (d) Strengthened capacity of tourism stakeholders in industry governance; (e) State of the art aquarium, laboratory and visitors information center in a Mombasa MPA supported.

Sub-Component 2.4: Research & technology for extension services and development of Cottage Industries

The expected outcomes of this sub-component include:

(a) identification of existing natural resources and new biodiversity; (b) packaging and roll out of appropriate technologies and products.

Sub-Component 2.5: Enhancement of tourism & cultural heritage

The key outcomes expected include:

33 (a) information on existing tourism infrastructure, assets and activities collected and tourism opportunities for the coast identified; (b) new biodiversity products identified; (c) tourism circuits in Kiunga/Lamu, Mombasa, Malindi/Watamu/Arabuko- Sokoke and South Coast Kenya, Tanga, Pangani and Zanzibar and Pemba developed; (d) package tourism products to strengthen tourist circuit developed and marketed.

3.3.3 Component 3: Building Coastal Capacity for Sustainable Natural Resource Use and Management

This component has five sub-components namely:-

Sub-Component 3.1: Spatial Planning

The key outcomes of this sub-component include: (a) reinforcement of institutional capacity and community awareness on planning issues; (b) land use framework developed and implemented to guide sustainable use and development of the Kenyan coast.

The activities to realize the outcomes include:

i. rehabilitation and refurbishment of the coast region and county offices; ii. capacity building of the spatial planning team and sensitization of communities on land u se planning; iii. preparation of a coast region land use maps; 4 county/regional land use plans and area act ion land use plans at ward level; iv. preparation of coast region land capability plans, 4 county/regional land capability plans and 16 area action land capability plans at ward level.

Sub-Component 3.2: Environmental Governance

The key outcomes include:

(a) Reinforced National Environment Management Authority (NEMA) with capacity to implement the environmental governance sub-component of the project; (b) Integrated Coastal Zone Management (ICZM) framework implemented; (c) Sectoral laws reviewed to strengthen ICZM; (d) Compliance and enforcement enhanced.

The activities to be implemented to realize these outcomes include:

i. development and implementation of ICZM awareness strategy;

34 ii. development and implementation of environmental awards schemes to recognize good e nvironmental practices; iii. building the capacity of stakeholders on ICZM through training; iv. capacity building for lead agencies on EIA/EA review processes; v. addressing environmental degradation in mining area in the coast; vi. sensitization of county leadership, environmental committees and court personnel on exis ting environmental legal and regulatory frameworks; vii. promotion of best practices in wastewater management; and viii. implementation of the project Environment and Social Management Framework (ESMF).

Sub-Component 3.3: Microenterprise Development This component aims to promote SMEs through research, technological support, extension services, training for business development and public private partnerships. Key outcomes expected from the sub- component include:

(a) Coastal Development Agency's capacity and personnel enhanced; (b) Business Development Services (BDS) facilitated; and (d) increased flow of private public equity/financing to viable SME’s in promising sectors such as Mango, Cashew nuts and Fishing.

The activities to be implemented include: i. purchase of equipment and physical improvements; ii. training of staff; iii. undertaking focused micro-studies on value chains in selected sub-sectors in the project a reas; iv. provision of BDS for small enterprises; v. establishment of Business Resource Centers for capacity building; vi. establish viable cottage-level value addition activities in 5 subsectors; and vii. establish a Private Public Partnership (PPP) Fund.

Sub-Component 3.4: HazinayaMaendeleoyaPwani (HMP)

The purpose of the HMP is to leverage socio-economic development at community/village level through promotion of sustainable and profitable alternative livelihoods and social development activities. Approximately 300 of these small grants are planned to be supported by end of the project period. Community groups receiving grants will be expected to contribute in cash or in- kind to the objective of the grant.

Sub-Component 3.5 Capacity Building, Monitoring & Evaluation System, Project Management and Communication

35 The outcomes of the sub-component include: (a) Project Management Team strengthened to manage and coordinate KCDP activities; (b) Institutional capacity increased; (c) An Information & Communication Strategy developed and implemented to increase public awareness at local and regional levels of the project; (d) An effective Monitoring and Evaluation system (M&E) developed; and (e) Skills of project team enhanced to handle project implementation.

The activities to be implemented to realize the outcomes of the sub-component include: i. Policy & Technical Steering Committee consultations; ii. strengthening regional cooperation through visits to strategic partners in the region; iii. development of Memorandum of Understanding (MoU) with all partners; iv. development and equipping of office space for the project management staff; v. enhance mobility of the project management staff; vi. strengthening the procurement and financial capacity; vii. development of an effective M&E system for the project; and viii. Short and long term training for project team and other staff.

36 Fig 2: Map of Kenya Coast Showing Location of HMP Projects

Details of key projects to be implemented by KCDP under each of these components are as follows:

37 Table1: KCDP Component Activities and Locations COMPONENT COASTAL ACTIVITY DESCRIPTION AND SITES AGENCY INCHARGE COUNTY Component 1: Lamu  Construction of small infrastructure for fish preservations at landing sites  KMFRI & SDF Sustainable Lake Kenyatta Management of  Rehabilitation of ice plant in Faza  SDF Fisheries  Stock assessment (Lamu, Kizingitini, Faza)  SDF/KMFRI Resources  Upgrading of fish landing site in Kizingitini  SDF Kilifi  BMU Capacity Building in Kilifi  SDF  Milkfish farming in Kibokoni  KMFRI  Crab and prawn Farming in Mida  KMFRI  Upscaling of Artemia production (Gongoni-Magarini, Ngomeni)  KMFRI  Stock assessment (Kilifi, Kuruwitu, Takaungu, Uyombo)  Monitoring of ring net fisheries & implementation of the management plan  SDF/KMFRI (Takaungu, Kilifi)  SDF/KMFRI Kwale  Basket trap research (Vanga, Jimbo, Shimoni)  KMFRI  Aquaculture support (Makongeni)  KMFRI  Rehabilitation of fish banda in Kibuyuniand building of a fish banda in  SDF Shimoni  Seaweed farming (Mwiro, Kibuyuni, Gazi, Funzi)  KMFRI  BMU Capacity Building in Shimoni  SDF  Fisheries cold chain enhancement in Shimoni/Vanga  KMFRI/SDF  Monitoring of ring net fisheries & implementation of the management plan  SDF/KMFRI (Vanga, Gazi)  SDF/KMFRI  Fish Aggregation devices (FADs) in Msambweni  SDF/KMFRI  Stock assessment (Msambweni, Vanga-Jimbo, Gazi) TaitaTaveta Fresh water aquaculture  KMFRI / SDF Mombasa  BMU Capacity Building  SDF  Construction of Monitoring Control & Surveillance (MCS) Centre in  SDF Mombasa  Stock assessment (Mombasa-Nyali)  SDF/KMFRI Tana River  BMU Capacity Building SDF  Quality control of fisheries SDF/KMFRI SDF 38 COMPONENT COASTAL ACTIVITY DESCRIPTION AND SITES AGENCY INCHARGE COUNTY  Upgrading of fish landing site in Kipini SDF/KMFRI  Stock assessment (Kipini) Component 2:  Mangrove Management Plan (regional/entire)  KMFRI/KFS Sound Management  Biodiversity assessment of Lake Kenyatta Development of Witu Forest  KMFRI/KWS of Natural Lamu Management Plan – KWS Resources  Tree planting on farms (Mpeketoni, Witu)  KWS  Seed stand establishment (Witu)  KEFRI  Support to existing farmers’ tree nurseries establishment (Mpeketoni,  KEFRI Witu) Kilifi  Mangrove Management Plan  KMFRI/KFS  Terrestrial Reforestation (Gongoni, Marereni, Gede, Watamu, Mida)  KEFRI  Seed stand establishment (Gede forest)  KEFRI  Establishments of Seed orchards in Arabuko-Sokoke forest  KEFRI  Support to existing farmers tree nurseries establishment (Dede, Mida)  KEFRI Mombasa  Construction of biodiversity resource centre in Mombasa  -KWS Kwale  Mangrove Management Plan  KMFRI/KFS  Tree planting on farms (Lungalunga, Gongoni, Mwaguda, Kinango,  KEFRI Ukunda, Msambweni)  Implementation of the Sable Antelope Conservation plan (Shimba Hills  KWS N. Park)  Biodiversity Assessment (ShimbaHills N. Park, Shimoni)  KWS  Jetty construction (Shimoni)  KWS  Construction of a resource centre in Shimoni  KWS  Construction of community resource centre in Mwaluganje elephant  KWS sanctuary  Translocation of wildlife to Shimba hills park from Tsavo  KWS  Rehabilitation of human/wildlife conflict mitigation fence in Shimba hills  KWS  Rehabilitation of road network in Mwaluganje sanctuary, Kwale  KWS  Tsetse fly control in Shimba Hills National Reserve TaitaTaveta  Terrestrial Reforestation (River Lumi in Taveta, Mwatate)  KEFRI  Biodiversity Research in Lake Jipe  KMFRI/ KWS/ SDF

39 COMPONENT COASTAL ACTIVITY DESCRIPTION AND SITES AGENCY INCHARGE COUNTY Mombasa Mangrove Management Plan  KMFRI/KFS

Tana River Mangrove Management Plan  KMFRI/KFS

Component 3: Lamu  SME training in business  CDA Building Coastal  Construction of a Business Resource centre in Lamu  CDA Capacity for  Spatial planning  DPP Sustainable Kilifi  Malindi Livelihood project (Sabaki estuary, Malindi town)  NEMA Natural Resource  Spatial planning  DPP Use and Kwale  SME training in business  CDA Management  Construction of a Business Resource centre in Kwale  CDA  Renovation of eco-tourism banda in Kwale  CDA  Spatial planning  DPP TaitaTaveta  SME training in business  CDA  Spatial planning  DPP Mombasa  SME training in business in Mombasa  CDA  Spatial planning  DPP Tana River  Development of Tana delta management plan  NEMA  SME training in business  CDA  Spatial planning  DPP ALL Counties Environmental and Social Management Framework development  NEMA

HazinaYaMaendeleoYaPwani covering all Coast counties  KMFRI

40 3.4 Institutional arrangements and responsibilities for project implementation The overall coordination of the project is provided by the Project Coordinating Unit (PCU) which is hosted by Kenya Marine and Fisheries Research Institute (KMFRI). The head of PCU is the Project Coordinator (PC). The specific roles of PCU are to:  coordinate the various component activities in order to minimize overlaps and harmonize interaction between the project and stakeholders;  build the required capacity of the project coordination and implementation teams;  foster dialogue amongst national partners and regional stakeholders;  Provide project outreach and measure implementation progress.

The PCU also implements and supervises the HMP sub-component of the project. PCU reports to the Principal Secretary of the SDF who has delegated this responsibility to the Director of KMFRI to provide required government due diligence control and oversight of the PCU staff. The organogram below summarizes the implementation structure for KCDP:

WORLD BANK MINISTRY OF AGRICULTURE, LIVESTOCK AND FISHERIES

NATIONAL PROJECT STEERING COMMITTEE

PROJECT CO-ORDINATION UNIT (HOSTED BY KMFRI) COMMUNITIES

COMPONENT 1 COMPONENT 2 COMPONENT 3 SDF and KMFRI KWS, KEFRI and CDA, NEMA and KMFRI DPP

THE PROJECT COORDINATION UNIT (PCU)

Secondment: Project Coordinator (nominated by MoFD) Consultants/Specialists: Financial management specialist, Procurement Specialist, M & E Specialist, Communication Specialist Project Component Managers

THE COMPONENT COORDINATION UNIT

Assignment: Technical Coordinator Other Assignments: Procurement staff, Accounting Staff, Administrative Staff & Drivers

41 Fig. 3: KCDP implementation Structure

The Component Managers (CMs) are seconded to the PCU from the core ministries (SDF, CDA, KWS and KMFRI) to support the PC. The CMs are responsible for coordinating the technical implementation of each component. The PC and CMs comprise the Project Management Team (PMT). The PMT, through the PC, provide technical and project information to the National Project Steering Committee, comprising the Principal Secretaries of the respective Ministries and directors of the implementing agencies.

At partner agency level, Technical Coordinators have been appointed to coordinate implementation of activities at the agency level. The TCs are assisted to run the respective agency activities by a procurement specialist and an accountant. They report on activities progress to PCU through the respective CMs.

42 4.0 BASELINE INFORMATION OF PROJECT AREA

4.1 Introduction Kenya’s coastline extends about 600 km along the seafront, from Somalia’s border at Ishakani in the north (Longitude 1° 41’ S), to Tanzanian’s border at Vanga in the south (Longitude 4° 40’ S) (Figure 2). The coastal region stretches approximately 150 km inland from the seafront, covering an area of 67,500 km2. This is about 11.5% of the total area of the Republic of Kenya. With reference to the city of Mombasa, coastal zone of Kenya is often classified as either North Coast which extends from Mombasa to Kiunga, or the South Coast extending from Mombasa to Vanga.

The coastal districts considered in this ESMF are the counties of Kilifi, Kwale, Lamu, Malindi, Mombasa, TaitaTaveta and Tana River. The human population in Kenya’s coastal region is relatively large compared to other regions in the country, with much of the population concentrated around urban centers.

4.2 The Physical Environment Kenya’s coastline, characterized by a fringing coral reef running parallel to the coastline, from Vanga to Malindi Bay (UNEP, 1998) has a continental shelf that is relatively narrow (about 5 to 10 km wide) with depths dropping to below 200m in under 4 km of the shoreline. The shelf is sedimentary, dominated by fine sands, silt and mud derived from terrigenous sources (Obura, 2001). It has an area of about 19,120 km2, of which 10,994 km2 is considered, trawl able (UNEP, 1998).The continental shelf serves as fishing grounds for thousands of local artisanal fishermen.

There are two rainfall seasons; the long rains (kusi) between March and May and the short rains (kaskazi) usually between October and December. Mean minimum and maximum temperatures at the Kenyan coast range between 24 °C and 30 °C. Mean monthly evaporation ranges from 1650 to 2300 mm/year in the north to 1300 to 2200 mm/year in the south. Relative humidity is consistently high throughout the year, peaking at 90% during the wet months between April and July. There is a marked diurnal change in humidity, particularly in Mombasa, where the moisture content of the air increases from around 60 – 70% in the afternoon to 92 – 94% during the night and early morning (UNEP, 1998).

4.2.1 Coastal Geology and geomorphology

The coastal environment of Kenya is set in a passive continental margin, whose evolution was initiated by the breakup of mega continent Gondwanaland in the Lower Mesozoic era. The initial opening of the Indian Ocean was preceded by extensive faulting and down warping, similar to that observed in the modern Great Rift Valley of East Africa. These tectonic movements formed a North–South trending depositional basin. During the Mesozoic era, this marine basin was exposed to numerous marine incursions and by the Jurassic period, purely marine conditions are

43 thought to have existed. The coastal ranges such as Shimba and Taita hills that run parallel to the coastal zone appear to have been uplifted through faulting during this period (UNEP, 1998).

Throughout the Tertiary era, the coastal area experienced further faulting and extensive continental erosion. In many areas the older Cretaceous deposits were totally removed. The present coastal configuration, however, evolved during the Pleistocene era to recent times, a period marked by numerous fluctuations in sea level.

Sedimentary rocks dominate the coastal area and range in age from Triassic to Recent (UNEP, 1998). The Duruma sandstone series, the oldest formation, is represented by the Mariakani and the Mazeras sandstones, which were deposited under sub-aqueous, deltaic, lacustrine or possibly neritic conditions that prevailed before the opening of the Indian Ocean. The upper Mesozoic is represented by marine limestone and shales, with occasional horizons of sandstones and early limestone. Recent rocks comprise mostly marls and limestone, and are represented by sandstones, clays, conglomerates and gravels, such as those found in the Marafa beds. This well- developed reef complex, consisting of coral reefs, coral rubble and sandstone, is extensively exploited by the building industry (GoK 2008).

4.2.2 Drainage and hydrology

Two major rivers drain into the Indian Ocean in Kenya: River Tana and River Sabaki. River Tana is longer, originating from Mt Kenya, a distance of about 850 km. It has a catchment area of 127,000 km2 and discharges an average of 4,000 million cubic meters of freshwater and 6.8 million tonnes of sediment annually, with peak flows occurring between April and June and during November/December (GoK, 2008). The river enters the ocean at Kipini in Ungwana Bay. About 30 km from its mouth, River Tana branches with its tributaries forming the Tana Delta.

The Athi-Sabaki River has its origin in the central highlands around Nairobi. When joined by River Tsavo in its lower basin it is known as Galana River. The river enters the ocean north of Malindi Town. The Athi-Galana-Sabaki system extends 390 km and drains a catchment area of 70,000 km2. Current data indicate that the annual freshwater discharge of the Athi-Sabaki River is 6 million m3/year (Kithekaet al. 2003). Other semi-permanent rivers at the coast include Mwachi, Kombeni, Tsalu, Nzovuni, Mwachema and Voi, which drain into the coastal region from arid and semi-arid catchments. In the South Coast the major rivers are Ramisi and Umba, discharging about 6.3 million m3 and 16 million m3 of fresh water into Funzi and Shirazi Bays respectively (UNEP, 1998).

There are several lakes at the coast, especially in the Tana Delta. Most are oxbow lakes that are recharged either through ground water seepage or by periodic flooding of the Tana River. Examples are Lakes Shakabobo and Bilisa. Apart from providing water for humans and livestock, the lakes are also important for freshwater fisheries.

44 Due to its geological structure which enhances infiltration, percolation and subsequent recharge, Kenya’s coastal region has immense potential for groundwater resources. Most of the rock formations have a shallow water table (between 20 and 30 m), with erratic yields of varying salinity. The highest water quality is found in areas covered with Kibiongoni beds and Magarini and Kilindinisands, e.g. the Tiwi area of the South Coast. Areas covered with Jurassic shales and Pleistocene limestone tends to have low volumes of poor-quality water (Mungaet al., 2006).

4.2.3 Oceanography

There are four oceanic currents influencing Kenya’s coastal waters, namely the East African Coastal Current (EACC), the Somali Current (SC), the Southern Equatorial Current (SEC) and the Equatorial Counter Current (ECC) (UNEP, 1998). When it reaches the African coast at Cape Delgado, the SEC diverges into two currents namely the Mozambique Current which flows southwards, and EACC which flows northward (UNEP, 1998; Obura, 2001). The Somali Current and Monsoon winds both influence the distance the EACC travels up the East African coast. During the South-East Monsoon, the EACC joins the Somali Current beyond Malindi and flows northwards to the Horn of Africa. However, during the North-East Monsoon, the EACC reaches only as far north as Malindi or Lamu, where it meets the opposing Somali Current, the only current off the coast of Kenya that seasonally reverses its flow. The meeting of the two currents causes upwelling, which is thought to be responsible for the high productivity in the northern Kenyan coast (UNEP, 1998). Sea surface temperatures are highest during the North-East Monsoon, averaging 28.4 °C(maximum 29 °C) and lowest during the South-East Monsoon, averaging 26 °C (minimum 24°C) (UNEP,1998; Obura, 2001). Seasonal temperature variations decrease with increasing water depth, withtemperatures stabilizing at 6–7 °C and 2.5 °C at 1,000 and 2,000 m depth respectively (Duineveldet al., 1997). Salinity variation of the EACC waters is low, ranging between 34.5 and 35.4 ppt (UNEP, 1998).This variation is primarily due to heavy rainfall between March and May and the associated terrestrial freshwater runoff, as well as input from rivers. In estuaries and tidal creek systems such as Gazi Bay, Mtwapa, Mwache/Port Reitz and Tudor, there are significant seasonal salinity variations, particularly in the inshore waters. During the dry season, salinity can rise to 38 ppt while in the rainy season, it can be as low as 19 ppt (Kitheka, 1996 a & b).

The Kenya coast experiences mixed semi-diurnal tides, with approximately two tidal cycles every 24 hours. The reference port for tidal observations in Kenya is Kilindini (Port of Mombasa), where the maximum tidal range generally does not exceed 3.8 m.

4.3 The Biological Environment

The Kenya coast is endowed with biodiversity coastal and marine ecosystems including mangroves, coral reefs, seagrass beds, sandy beaches, sand dunes and terrestrial coastal forests. These ecosystems are of immense economic and cultural value to coastal communities and the 45 nation at large (UNEP (1998). Table 6 shows the expanse of these critical habitats along the Kenyan coast.

4.3.1 Mangroves

Mangroves are trees or shrubs growing in the intertidal areas of tropical and subtropical coasts between high water and low water mark at spring tides. The area of mangroves in Kenya has been estimated at between 50,000 and 60,000 ha (Doute et al., 1981, FAO, 2005); with 70% of these forests occurring north of Tana River in Lamu and surrounding islands. All the nine mangrove species reported in the region occur in Kenya with Rhizophoramucronata and Ceriopstagal constituting 70% of the formation. The rare mangrove species are Heritieralittoralis and Xylocarpusmoluccensis.

Mangroves in Kenya have been heavily impacted by human activities particularly removal of wood products, conversion pressure, and pollution (Abuodha and Kairo, 2001). Recent estimate indicate a 20% decline in mangrove area over the last two decades (FAO, 2005). Climate change impacts such as increased aridity, flooding and sea level rise is expected to exacerbate loss of mangroves particularly in the low lying coastal areas (GoK, 2008).

4.3.2 Seagrass beds

Sea grasses are marine angiosperms with a worldwide distribution. In Kenya seagrass beds cover a surface area of about 3,400ha, with the most important sites being Kiunga, Malindi, Mombasa, and Diani-Chale. There are 12 species of sea grasses in Kenya, the dominant one being Thallasondendronciliatum which forms monospecific-stands.

Seagrass beds provides habitats for commercial fisheries and serve as important foraging grounds for endangered marine species such as dugongs and turtles. Factors leading to seagrass degradation in Kenya include; physical dragging of fishing nets, pollution, and consumption and / or trampling by herbivorous animals. Climate change impacts seagrass through increased discharge of sediment laden low salinity water derived from flooded river systems (Uku and Björk, 2005). Degradation and loss of sea grasses has negative impacts on the system’s productivity, biodiversity and food security, leading to loss of livelihood and increased poverty among the coastal populations (Ochiewo, 2004).

Table 2: Critical coastal and marine habitats in Kenya Ecosystem Area (ha) Recorded Important locations number of species Mangroves 54,000 9 Lamu, Tana River, Mida, Funzi Coral reefs 63,000 237 Diani-Chale, Kisite-Mpunguti Seagrass 3,400 12 Diani-Chale, Kiunga, Malindi, beds Mombasa

46 Coastal 139,000 - ArabukoSokoke, Shimba hills forests Source: UNEP, 2008

4.3.3 Coral reefs

There are about 63,000ha of coral reefs in Kenya; containing altogether 220 species. Dominant coral species in Kenya include Poriteslutea, Galaxeaastreata, and a broad diversity of species in the genera Acropora, Pocillopora, Favia, Favites among others. The south coast at Diani-Chale and Kisite-Mpunguti Marine Protected Areas contain the best reef development in Kenya. Reduced reef development in the northern part of the Kenya coast is attributed to the large areas of loose sediment and significant fresh water inputs via Tana and Athi-Sabaki rivers (Obura, 2001; Spalding et al., 2001). Fringing reefs are also found off the Lamu Island and along many of the barrier islands to the north.

Coral reefs provide habits for endangered species such as, such as turtles, dugong, whale sharks and others. Their high biodiversity, high productivity and protection of the coastline from ocean waves make them highly valuable ecosystems, as well as subject to many uses and threats. Coral reefs support a nation-wide artisanal fishery dominated by local and migrant fishers using simple fishing vessels and gears. Currently it is estimated that over 10,000 fishermen are directly engaged in artisanal fishing in the Kenyan coast (Ochiewo, 2004). The landing from artisanal fisheries ranges from 5,000 - 8,000t/yr, which is about 95% of the total marine catch (Ochiewo, 2004).

4.3.4 Sandy beaches and sand dunes

Sandy beaches are found throughout Kenya’s coast, most notably along parts of the coastline dominated by terrigenous sediment and without fringing reefs, between the Tana and Sabaki rivers. The areas have high dunes generated by wind-blown sand from the beach. The largest dunes occur along the Tana River Delta, reaching 50 m above sea level, with an area of 1300 km2. Sand dunes support a rich diversity of wildlife and other natural resources (Kairu and Nyandwi, 2001).

Beaches are important habitats for species such as sea turtles, which lay their eggs in upper beach environments, as well as shorebirds and migratory birds. However, because they are at the fringe of land and sea and offer easy access to the sea, beaches have become areas of intense economic activity, habitat modification and user conflicts. This has negative impacts on vulnerable species like sea turtles, which spend parts of their life cycle on beaches.

4.3.5 Coastal forests

Kenya’s coastal forests are estimated to cover a surface area of 139,000ha, however, majority of them are now degraded (Burgess and Clarke, 2000). These forests fall within the northern range

47 of the Zanzibar-Inhambane regional mosaic (White, 1983), an extensive bio-geographical unit stretching from the southern tip of Somalia to the southern coast of Mozambique. The best protected coastal forests in Kenya and the Western Indian Ocean (WIO) region are the ArabukoSokoke (area: 41,000ha) and Shimba Hills system (area: 19,260ha). Other coastal forests exist as small patches of forests or sacred grooves (e.g. Kaya’s) ranging from 10 ha to 2000 ha. The coastal forests exhibit high levels of diversity and endemism; Arabuko for example is home to six rare and endemic birds.

4.4 Cultural landmarks of the Kenyan coast

4.4.1 Historical and Archeological Sites There are several historical and archaeological sites along the coast including old mosques, tombs, mounds and walls of ancient city houses, many of them linked with the development of the Swahili culture in East Africa. Historical sites include the Mombasa Old Town, Lamu Old Town, Fort Jesus in Mombasa, Siyu Fort (Lamu), Vasco Da Gama pillar (Malindi) Gede ruins, Jumba la Mtwana among others.

Fig 4: Siyu Fort in Lamu (left) and Vasco da Gama pillar in Malindi are among key historical sites in the region

Spread out along around 200km of the coast province of Kenya are ten separate forested sites, mostly on low hills, ranging in size from 30 to around 300 ha, in which are the remains of fortified villages, Kayas, of the Mijikenda people. They represent more than thirty surviving Kayas. The Kayas began to fall out of use in the early 20th century and are now sacred sites that serve as the repositories of spiritual beliefs of the Mijikenda.

48 4.4.2 Indigenous people

Two groups of indigenous peoples were considered in this assessment, the Watha and Boni people. The population of Watha community in the districts is estimated at approximately 30,000 persons and they have experienced a change in livelihood from hunting of game and wild animals to mixed farming. The Boni people are found in Ijara and Lamu district. Their population is about 4,000 and they are a group of nomadic hunter-gatherers.

During project preparation it became clear that KCDP will generate potential benefits tovulnerable/marginalized groups and indigenous people and may also lead to some impact on these groups. In this context, the Indigenous People's Operational Policy (OP 4.10) will be triggered. In response the Borrower has prepared an indigenous people's process framework (IPPF) to guide intervention in this area. The purpose of the IPPF is to ensure that the development process fully respects the dignity, rights, economies, and cultures of these communities and that the project is able to gain broad community support of affected indigenous peoples and other vulnerable / marginalized groups.

4.5 Socio-economic activities along the Kenyan coast

At the coastal region the main livelihood activities are fishing, mangrove harvesting and tourism while in the hinterland subsistence farming and livestock rearing (pastoralism) are the major occupations. The economy in the urban centers derives mainly from maritime and harbour activities, tourism and commerce.The principal economic activities at the coast are: tourism (45%), ports and shipping (15%), agricultural industry (8%), fisheries (6%), agriculture (5%), forestry (4%), and mining (2%) (UNEP/FAO/PAP/CDA, 2000; and McClanahan et al., 2005). The formaleconomy of the Coast province is based on the service and industrial sectors. The informal sector, with vehicle repair shops, second-hand clothing stalls, fruit and vegetable vending, shoe-shine and repair, hair and beauty palours etc., also provides livelihood to a significant proportion of the coastal population.

Industrial development was for many years confined to Mombasa district and its environs but is now expanding towards the rural coastline and hinterland in other coastal districts (GOK, 2002 a& b). It is hoped that this trend, together with the development of eco-tourism, improvements to coastal and upcountry agricultural practices, intensified mining activities, and enhanced access to social services in rural areas will work in concert to curb the high rate of migration from rural to urban areas. Slower migration would serve to ease the pressure on service delivery in the few developed urban centres, making coastal environmental management easier. Agroforestry, involving the intercropping of coconut and cashew nut trees with maize, beans, simsim and cassava, is also practiced, especially during the early stages of tree establishment (UNEP, 1998). During dry season when the inter-crops have been harvested, cattle are brought in to graze among the trees. With this system, the income from cashew nuts and dairy is higher than that from cashew nut trees alone.

49 The relatively higher-agricultural-potential areas, which constitute only 30% of the total coastal area, are intensively farmed. High rates of population growth have driven farmers to encroach into more marginal lands. Traditional shifting cultivation and slash-and-burn farming are widespread, causing adverse impacts on some fragile ecosystems and biodiversity. The challenges posed by these farming practices have not been adequately countered with better soil conservation and water-use methods, among other mitigation measures. Land tenure is also a serious issue for the farmers at the coast, since most of the land has not been adjudicated. Most farmers lack title deeds that they could use as collateral to obtain credit to develop their farms. Poor infrastructure also makes it difficult for farmers to take their produce to the market at the right time. In general, producer prices for agricultural produce are also very low, which serves as a disincentive for farmers who would modernize or expand their scale of operation if prices were better (GoK, 2008).

Kenya’s marine capture fisheries play a crucial role in advancing food security, accounting for a source of animal protein intake for the coastal communities as well as providing a direct and indirect source of employment. Fishing activities are practiced by four distinct sectors: i. artisanal or small scale fishers concentrated inshore; ii. industrial and semi-industrial fishers who operate exclusively within the 12nm territorial waters, largely prawn trawlers; iii. recreational sport fishers and iv. EEZ fisheries beyond the 12 nm mainly by foreign vessels.

Production has fluctuated from an annual average of 6,000 metric tonnes in the 70’s and 80’s; peaking in 1990 at approximately 10,000mt and leveling off to an average of 7000mt currently and is valued at KSh. 450 million by the State Department of Fisheries. The catch had been estimated to represent about 8% of total fish production in the country (Sanders et al 1990), but has rapidly declined to approximately 4% in recent years. Accurate estimates of the value of the artisanal fishery are not available due to poor fishery statistics.

4.5.1 Artisanal Fisheries

The artisanal fishery is basically a subsistence fishery. Most of the fish caught is for directconsumption and the surplus is sold to supplement the fishermen income. Ninety-five percent of Kenya’s marine capture production is landed by artisanal fishers using simple gears and vessels and a variety of fishing gears including gillnets, cast nets, hand lines, traps, scoop nets, reef seines, and long lines. Accurate estimates of the value of the artisanal fishery are however not available due to poor fishery statistics. The number of fishers has been progressively increasing and was estimated at 12,077 in 2008, thereby putting pressure on the fisheries stocks. Only 10% of the fishing vessels used are motorized. The mode of propulsion is mainly sails (43%) and paddles (38%) in dugout and outrigger canoes, planked sailboats, and dhows (FiD 2008).

50 Fishing activities are also seasonal as they are affected by weather conditions. Higher catches are generally experienced during the northeast monsoons (November to March) characterized by warm temperatures, short rains, calm seas and high winds, when access to fishing grounds becomes easier and fishing activity is highest. The SE monsoons (April to October) are characterized by cool temperatures, long heavy rains and strong winds, when access becomes restricted to a limited number of accessible fishing grounds (Obura, 2001). Consequently, the fishermen are constrained to fish their activities in nearshore areas within coral reefs and seagrasses. Spatial distribution of fishing activities along the coast is reflected in the distribution of landing sites with 31% of all the landing sites in Kwale District in the South Coast, followed by Mombasa (21%), Lamu (20%), Kilifi (13%), Malindi (11%) and Tana River (4%) (FiD, 2008).

Overexploitation of the inshore fisheries stocks has been indicated in a number of site specific studies based on a variety of indicators including catch per unit effort, reduction in fish sizes, loss of species diversity, alteration of species composition, disruption of food webs and degradation of habitats (McClanahan et al 2008; McClanahan &Obura 1995; Mangi& Roberts 2007; Kaunda-Arara et al 2003). Destructive fishing practices such as the use of illegal gears such as beachseines, spearguns and ringnets has become prevalent as the fishermen seek more efficient but destructive methods due compensate for low catches. This is compounded by a number of challenges in management of fisheries resources such as:

 open access in many fisheries;  lack of control of fishing effort, combined with illegal fishing and light penalties;  limited institutional frameworks to implement management regulations;  weak institutional structures to promote sustainable fisheries;  unresolved resource use conflicts (i.e. artisanal versus commercial fishers);  lack of a monitoring framework for assessment and management that integrates social, bi o-ecological and economic indicators; and  inadequate enforcement of policy and management measures to prevent negative impacts of fisheries activities.

Fishermen experience other economic constraints such as:  poor infrastructure in landing facilities (electricity, cold storage, and road networks) resul ting in high post-harvest losses;  underdeveloped market structures have also led to a domination of middlemen, limiting t he direct economic benefits to fishers;  Lack of access to credit facilities enhances fishermen to use destructive gears.

Consequently, alleviating poverty among artisanal fishers at the coast is a major issue of concern. Furthermore the challenges faced in the artisanal fisheries are likely to be exacerbated by the

51 effects of climate change; hence, the need to improve management of inshore fisheries and to seek alternatives to alleviate fishing pressure on the declining inshore fisheries through promotion of aquaculture/mariculture and diversification of fishing gear technologies that are ecologically friendly. Improved data collection to support stock assessments will enable development of appropriate and adaptive management plans that will contribute to a sustained and well managed inshore fishery.

4.5.2 Commercial Fisheries

Inshore semi-industrial prawn trawling has been in existence since the mid-1970s and is carried out in Ungwana Bay. This is the only area along the Kenyan coastline with suitable trawling grounds and high biomass of shallow water prawns. The fishery mainly targets shallow water prawns but they also catch other types of fish as a by-catch. The average total annual tonnage of prawns landed by the semi industrial prawn trawlers has been estimated at about 350 to 400 tonnes. The fishery has experienced a number of constraints due to ineffective Monitoring, Control and Surveillance (MCS) and a general deficiency in fundamental data/information to monitor the stock dynamics, biomass estimates and fluctuations. As a result there have been intense conflicts and concerns from environmentalists on the impacts of the fishery. The main issues include:  Flouting of spatial restrictions set by the Fisheries Act resulting an overlap of fishing gro unds with artisanal fishers and destruction or artisanal gears by the trawlers;  concerns over dwindling fish stocks from high rates of by-catch and ecosystem disturban ce.

Further research and monitoring has been recommended to test the efficacy of any changes in trawling regulations, to encourage the use of BRD’s and to investigate the economic implications of existing management strategies critical to improving the sustainable exploitation of these resources.

4.5.3 EEZ Fisheries

The Kenyan fishery waters of 200 nautical miles (Exclusive Economic Zone) has vast fishery resources that are under-exploited by Kenyan nationals. The fishery potential has been estimated at between 100,000 and 140,000tonneswith much of the potential being contained within the highly migratory species (Habib 2002). The EEZ however is highly unregulated due to lack of monitoring, control, surveillance (MCS) capacity and resources. A number of foreign tuna purse seiners and long liners are fishing either on access licenses with no obligations to land, transship or declare catches in the country or as IUU fishing vessels. This arrangement limits the country’s benefits from its EEZ fishery especially from value-added activities associated with transshipment and landings for processing. Improved management of EEZ resources through enhanced MCS capacity will enable increased revenue generation to the country.

52 4.6 Biodiversity of the Coastal Hinterland

A number of KCDP projects are targeted for locations far removed from the coastal strip such as Taita -Taveta and mainland Tana River counties. The biodiversity of these areas is summarized hereunder so that potential impacts of subproject activities may be reviewed with the benefit of this baseline.

4.6.1 Biodiversity Hotspots of the Taita Hills Forests

The Taita Hills comprises of an extremely high diversity of flora and fauna, high levels of endemism, and high threat levels. The overriding conservation problem in the Taita Hills is loss, fragmentation and degradation of the indigenous forest cover. Indigenous cloud forest in the Taita Hills currently covers an area of about 430 ha, reflecting 98% forest reduction over the last 200 years, mainly due to clearance for agricultural purposes. Although forest clearance is less widespread at present, past clearance has led to increased isolation of the remaining patches, edge effects, soil erosion and negative hydrological effects. Yet, despite the small size of the 12 remaining indigenous forest fragments, they are of global conservation importance, holding numerous rare and endemic plants and animals. Currently 34 Taita animal and plant species are classified under some category of threat according to the IUCN Red List (Frank Adriaensen et al, 2005)

4.6.2 Tana Delta Biodiversity

The special importance of the Tana Delta for biodiversity conservation includes: Habitats such as Borassus Palm savannah on flooded grassland, which is not included in any protected area; coastalHyphaenecoriacea palm woodland, protected only in a few Forest Reserves such as WituForest;fragments of coastal and riverine forests with many rare and endemic plants; seasonally flooded acacia woodland providing nesting sites for water birds from all over Kenya; sand dunes along the coastline with their specialized vegetation; mudflats and sandbanks where migratory birds feed and rest; and mangrove forests with eight mangrove species.

Animal species found include hippos and crocodiles, elephant, buffalo,topi, zebra, warthog and other wildlife in the palm woodland on the edge of the Delta, and at least four globally endangered birds are found in the Tana Delta. The Tana River Red Colobus, one of the world’s most endangered primates, is found in some riverine forest fragments. Marine turtles nest along the beaches, and three threatened fish species and three different species of eels have been recorded from the Tana River.

4.7 Emerging Environmental and Development Issues Due to environmental sensitivity of the project area this ESMF takes into consideration emerging local and global challenges which, though not impacting directly on KCDP subprojects, may

53 have indirect long term effects and therefore need to be factored into project planning and futureenvironmental and social assessments. These include:

4.7.1 Oil and gas exploration

A number of oil and gas exploration projects at the Kenya coast are undertaken within or close to marine environments. These will therefore require the observation of sound environmental management procedures, as provided for in the Environmental Management and Coordination Act (EMCA) and other regulations, to guard against pollution from exploration and eventual drilling(State of the Coast Report, 2009). The government should also ensure that bilateral agreements made with prospecting companies benefit local people and the country at large.

4.7.2 Climate change

Article 4 of the United Nations Framework Convention on Climate Change commits nations, as part of their adaptation strategies, to developing integrated plans for coastal zone management. Climate change will place coastal populations and infrastructure at risk from sea-level rise and coastal storms. Low-lying areas, particularly the Tana Delta, will be the most affected by sea level rise. Food security, rural livelihoods, human health, physical infrastructure and water resources rank high among vulnerability concerns related to climate change along the coast (State of the Coast Report, 2009).

To prevent climate change effects from eroding benefits of development, there is need to formulate a strategy that incorporates the management of risks associated with climate change - such as sea level rise, erratic weather patterns, weather extremes and storms - into broader development programmes.

4.7.3 Proposed Development of Port and Resort City in Lamu

The coastal environment is made up of very fragile ecosystems such as wetlands, threatened natural forests, tidal-flats and biodiversity habitat sites. Lamu being an undeveloped area has a natural state of the environment due to lack of industrial and residential activities that can introduce harmful pollutants (ESIA for the First 3 Berths of Lamu Port and Associated Infrastructure, 2013). Lamu County has the largest area of mangrove in Kenya. In phase one of the port developmentproject, approximately two hectares of mangroves will be cleared to pave way for the construction. Mangrove forests will also be at risk from direct human impacts. The influx of immigrants into the county is likely to interfere with local culture and compromise the status of Lamu town as a world cultural heritage.

Port development should go hand-in hand with conservation efforts to protect mangrove forests and the cultural heritage of Lamu and the neighboring counties affected by the development.

54 5.0 LEGAL, POLICY AND INSTITUTIONAL FRAMEWORK

This chapter seeks to present a review of relevant legal, institutional and administrative framework relevant to KCDP projects. International laws and conventions that bear relevance to the implementation of the project have also been highlighted.

5.1 The Environmental Management and Co-ordination Act, 1999

This is the framework environmental law in Kenya and came into force in 1999. It aims at improving the legal and administrative co-ordination of the diverse initiatives in the field of environment with the ultimate objective of integrating environmental considerations into the country’s overall economic and social development. According to Section 58 of the Act projects specified in the second schedule that are likely to have significant impact on the environment have to be subjected to an EIA study. The second schedule of the Act details the type of projects for which an EIA must be carried out. These include general infrastructure projects, urban development, transportation, dams, rivers and water resources, mining and quarrying, forestry, agriculture etc. Some KCDP subprojects fall into these categories. Since the advent of EMCA, all sectoral laws require that EIAs be undertaken for all major projects touching on the sectors. Through the process of public disclosure demanded for all EIA reports, all proposed developments are subjected to public debate which facilitates development of a public position.

This Act has brought forth the following Regulations:

5.1.1 The Environmental (Impact Assessment and Auditing) Regulations, 2003.

These Regulations guide on the procedure for conducting ESIA studies by detailing the parameters to be evaluated during the study. It also provides guidelines on the payment of the EIA license fees, procedures for environmental audits and development of environmental monitoring plans.

5.1.2 Environmental Management and Coordination (Water Quality) Regulations, 2006

These regulations provide for protection to ground water or surface water from pollution due to anthropogenic activities. They also prescribe the limits and parameters of pollutants in treated waste water which can be discharged into the environment.

5.1.3 Environmental Management and Coordination (Waste Management) Regulations, 2006

These regulations outline the responsibility of the waste generator and prescribe proper mechanism of handling all waste through segregation, recycling and reuse. Infrastructure 55 subprojects proposed under KCDP would generate significant volumes of construction debris. The proponents should ensure that the waste is managed in line with the provisions of these regulations.

5.1.4 Noise and Excessive Vibration (Pollution Control) Regulations, 2008

These regulations apply to operation of equipment or machinery and engagement in commercial or industrial activity that is likely to emit noise or excessive vibrations. The regulations specify the limits or levels within which these shall be undertaken. The Regulations also stipulate in the second schedule that construction activities undertaken during the night should not emit excessive noise beyond the permissible levels.

5.1.5 Environmental Management and Coordination (Conservation of Biological Diversity (BD))Regulations 2006

These regulations are described in Legal Notice No. 160 of the Kenya Gazette Supplement No.84 of December 2006. The Regulations apply to conservation of biodiversity which includes conservation of threatened species, inventory and monitoring of BD and protection of environmentally significant areas, access to genetic resources, benefit sharing and offences and penalties.

5.2 Land Act, 2012 This is an Act of Parliament to give effect to Article 68 of the Constitution, to revise, consolidate and rationalize land laws; to provide for the sustainable administration and management of land and land based resources. It has repealed the Way leaves Act, Cap 292 and the Land Acquisition Act, Cap 295 and therefore provides for land acquisition for various purposes. Section 5 (1) of this Act provides the following forms of land tenure:

(a) freehold; (b) leasehold; (c) such forms of partial interest as may be defined under this Act and other law, including but not limited to easements; and (d) customary land rights, where consistent with the Constitution.

The Act specifies that there shall be equal recognition and enforcement of land rights arising under all tenure systems and nondiscrimination in ownership of, and access to land under all tenure systems.

5.3 The Occupational Safety and Health Act, 2007 This Act came into force in 2007 replacing The Factories and Other Places of Work Act, Cap 514. It makes provisions for the health, safety and welfare to be observed by employers and persons employed in places of work. Part IV of the act covers health issues such as the state of

56 cleanliness, refuse management, employee space requirement, ventilation and sanitary conveniences. Part V covers fire safety, operation and maintenance of machinery, fencing requirements, storage of dangerous substances, training and supervision of workers. Part VI deals with welfare issues; drinking water supply, washing facilities, sitting areas and first aid provision.

The provisions of OSHA relevant to KCDP subprojects include:

1) Duties of employers, owners or occupiers of workplace; 2) Establishment of safety and health committees; 3) Annual safety and health audit of workplaces; 4) Safety and health obligations for persons who may enter into premises for work but arenot employees of that particular workplace; 5) Reporting of any accident, dangerous occurrence or occupational poisoning caused inthe workplace; 6) Prohibition of interference or misuse of any appliance, convenience or any other facilityprovided to secure safety, health and welfare at work; 7) Registration of all workplaces by the Directorate of Occupational Healthand Safety Services(DOHSS) 8) Handling, transportation and disposal of chemicals and other hazardous substances; 9) Establishment and adoption of exposure limits of hazardous substances in aworkplace; 10) Control of air pollution, noise and vibrations.

The following subsidiary rules and regulations passed under The Factories and Other Places ofWork Act remain in force until repealed or revoked by subsidiary legislation under the provisions of OSHA 2007:  The Factories (Cellulose Solutions) Rules 1957;  The Factories (Wood Working Machinery) Rules 1959;  The Factories (Building Operations and Works of Engineering Construction) Rules 1984;  The Factories and Other Places of Work (Health & Safety Committees) Rules 2004;  The Factories and Other Places of Work (Medical Examination) Rules 2005;  The Factories and Other Places of Work (Noise Prevention and Control) Rules 2005;  The Factories and Other Places of Work (Fire Risk Reduction) Rules 2007.

5.4 The Water Act 2002 This Act provides for the conservation and controlled use of water resources in Kenya. The control and right to use water is exercised by the Cabinet Secretary administering the Act. The Act prohibits pollution of water resources and controls the discharge of industrial and municipal effluents into the ocean and other water bodies. The Water Resource Management Authority was established under this Act to regulate and protect resources from adverse impacts.

57 The Water Resources Management Rules (2007), Legal Notice Number 171 is a key regulationdeveloped under the Act and applies to all water resources and water bodies in Kenya, including alllakes, water courses, streams and rivers, aquifers as well as coastal channels leading to territorial waters. These rules empower Water Resources Management Authority(WRMA) to impose management controls on land use falling under riparian land.

Section 118 (1) of the Rules states that “No person shall undertake the activities listed in the SixthSchedule on riparian land unless authorized by the Authority in consultation with other relevantstakeholders”.

5.5 The Wildlife Conservation Act, 2013 The Wildlife Conservation Act, 2013coversmatters relating to wildlife including protected areas, activities within protected areas,control of hunting, import and export of wildlife, enforcement and administrative functions ofwildlife authorities. The 1989 amendment specifically established the Kenya Wildlife Service(KWS) as the parastatal charged with implementation of the provisions of the Act.

The Act specifically provides for the protection and regulation of protected animals, game animals and game birds as defined in three schedules. The first schedule includes game animalsmostly mammals, although the list also includes crocodiles and ostriches. The second schedule listsgame birds, and the third schedule lists protected animals, which comprise primarily mammals,although it also includes two species of marine turtles. In 1981 it was amended to includeseveral species of reptiles, amphibians and butterflies.

Specific provisions of the Act allow for the establishment of National Parks (Section 6), National Reserves (Section 18), and local sanctuaries (Section 19). The National Parks are managed byKWS. Strict regulations prohibit various activities within National Parks, unless they are subjectto the written consent of the Cabinet Secretary or, in other cases, the Director of KWS. Areas that were formerlygame reserves but laterdeclared National Reserves continue to be administered by the local authorities unless otherwise directed by the Cabinet Secretary by notice in the Kenya Gazette.

5.6 The Tourism Act This Act provides for the development, management, marketing and regulation of sustainable tourism and tourism-related activities.The Act regulates tourism-related activities in Kenya, with a view to mitigating tourism-related pressure on ecosystems, preserving community structure, sustaining productivity and conserving biodiversity.

Part II of the act provides that The Cabinet Secretary shall formulate and publish in the Gazette a National Tourism Strategy at least once every five years, in accordancewith which the tourism sector shall be developed, managed, marketed andregulated. The national tourism strategy shall

58 prescribe the principles, objectives, standards, indicators, procedures and incentives for the development, management and marketing of sustainable tourism.

5.7 The National Museums and Heritage Act This act of Parliament was passed to ensure protection of Kenya’s rich and diverse natural and cultural heritage. It is also aimed at establishing new legal framework for heritage management that will domesticate some of the international conventions and protocols on heritage which Kenya has ratified.

National Museums of Kenya (NMK) is a multi-disciplinary institution whose role is to collect, preserve, study, document and present Kenya’s past and present cultural and natural heritage. This is for the purposes of enhancing knowledge, appreciation, respect and sustainable utilization of these resources for the benefit of Kenya and the world, for now and prosperity. (www.museums.or.ke)

5.8 Fisheries Act, 2012 The Fisheries Act Cap 378 of the Laws of Kenya provides a legal framework for the management, exploitation, utilization and conservation of fisheries and other connected purposes. It regulates the landing of fish and provides for the management of fish landing areas. Article 4 of the Act empowers the Director of Fisheries in cooperation with other appropriate agencies and other departments of Government to promote the development of traditional and industrial fisheries, fish culture and related industries. This Act recognizes the contribution of fishing to local livelihoods and gives fishermen rights to fish in the Kenyan fishery waters. Consequently, any development that interferes with fish landing beaches or displaces fishermen from their traditional fishing grounds can be challenged if it is not supporting the development of sustainable fishing in the coastal waters.

The Act provides for prohibition of certain activities for example destructive fishing methods, collection of certain types of fisheries and oversees fishing activities along the Kenyan territorial waters and the Exclusive Economic Zones (EEZ). The Act also provides for sport fishing within the coastal waters. The introduction of the Beach Management Units (BMUs) to oversee the beaches is an important aspect of the amendment of this Act.

5.9 The Forest Act, 2005 The Forest Act, 2005 provides for participatory management of forests and forest resources, and addresses the reservation, protection, enforcement and utilization of forests and forest resources on Government land. The Forest Act is applicable to gazetted forest areas (Forest Reserves) andspecifically covers:  Gazettement, alteration of boundaries and de-gazettement of Forest Reserves (Section 4);

59  Declaration of Nature Reserves within Forest Reserves and regulation of activities withinNat ure Reserves (Section 5);  Issuance of licenses for activities within Forest Reserves (Section 7);  Prohibition of activities in Forest Reserves (removal of forest produce, grazing,cultivation, h unting, etc.) and on unalienated Government land (removal of trees,collection of honey, lighti ng of fires) except under license from the Director of Forest Services (Section 8);  Enforcement of the provisions of the Act, penalties and powers afforded to enforcingofficers (Sections 9-14);  Power of the Cabinet Secretary to make rules with respect to sale and disposal of forest produ cts,use and occupation of land, licensing and entry into forests (Section 15).

Section 4 of the Forest Act relates to excision and addition to the Government forest estate whileSection 4 (2) states that declaration or alteration of forest boundaries, or cessation of a forest areamay not take place unless twenty-eight days’ notice of the intention to make the declaration ispublished by the Cabinet Secretary in the Kenya Gazette.

5.10 Physical Planning Act 1996

This Act provides for the preparation and implementation of physical development plans and formulation of national, regional and local development policies, guidelines and strategies. The Act empowers the Director of Physical Planning to advise the Commissioner of Lands on appropriate uses of land and land management. The Act ensures that use and development of land and buildings is carried out in accordance with the projected development plans of the area.

5.11 Public Health Act Cap 242

The Act confers responsibility oncounty authorities to maintain clean sanitary conditions and prohibits activities that may be injurious to public health. This affects the cleanliness of premises, the quality of water supplied for drinking purposes, the types and quality of effluent discharged into public water courses and quality of air emissions.

KCDP intends to support a number of sanitation projects at community level. These have to be undertaken in line with provisions of this Act.

5.12 Agriculture Act Cap 318

This is an Act of Parliament to promote and maintain a stable agriculture, to provide for the conservation of the soil and its fertility and to stimulate the development of agricultural land in accordance with the accepted practices of good land management and good husbandry.Section 64(1) of the Act empowers the Cabinet Secretary to make orders requiring the execution in respect of any agricultural land by the owners or the occupiers of development programmes to be carried out at such rate and to be completed within such period as may be specified in the orders.

60 Section 64(2) states that a land development order may be made against the owner or occupier of land, or against both the owner and occupier, either at the same or at different times. A "development programme" is defined in Section 64(3) of this Act as the adoption of such system of management or farming practice or other system in relation to the land in question (including the execution of such work and the placing of such things in, on or over the land, from time to time) as the Central Agricultural Board may consider necessary for the proper development of the land for agricultural purposes.

5.13 Coast Development Authority (CDA) Act Cap 449 This is an Act of Parliament to provide for the establishment of an Authority to plan and coordinate the implementation of development projects in the Coast region and the exclusive economic zone.The Act established the Coast Development Authority whose functions, among others are:  to plan for the development of the coastal region and initiate project activities identified from such planning in the development and through the Government generally;  to initiate such studies, and carry out such surveys of the Area as may be considered necessar y by the Government or the Authority, and to assess alternative demands within the Area on t he natural resources thereof, and initiate, operate, or implement such projects as maybe neces sary to exploit those natural resources;  to co-ordinate studies of schemes within the Area such that human, water, animal, land and ot her resources are utilized to the best advantage and to monitor the design and execution of pl anned projects within the Area;  to identify, collect, collate and correlate all such data related to the useof water and other reso urces and also economic and related activitieswithin the Area as may be necessary for the effi cient forward planningof the Area;  to maintain a liaison between the Government, the private sector andother interested agencies in the matter of the development of the Area  to implement development projects and programmes whose primary objective is to promote s ocio-economic development of the Coast region;

5.14 The Energy Act, 2006

Enacted in 2006, the Energy Act regulates petroleum and renewable energy sectors in addition to electricity. The Act give credence to formation of Energy Regulation Commission (ERC) and states the objectives and functions of ERC to include regulating the importation, exportation, transportation, refining, storage and sale of petroleum and petroleum products. Therefore one of the functions of the ERC is licensing of petroleum import, export, transport, storage, refining and sale. Construction Permits are also to be issued by ERC for all petroleum related facilities in order to check proliferation of substandard sites. All petroleum operators are required to comply with provisions for environment,health and safety issued by the commission. Petroleum products should also meet the relevant Kenya Standards.

61 The following table gives a summary of how the fore-mentioned statutes would impact on KCDP projects:

62 Table 3: Summary of Kenyan Legislation Relevant to Management of Marine and Coastal Environment CA Year Legislation Linkages to KCDP P enacted 1999 Environmental KCDP will prepare and co-ordinate implementation of Environmental Impact Assessments for applicable Management subprojects, Environmental Action Plans, public awareness and education programmes, and provision of andCoordination Act environmental advice and technical support in line with the Act 2007 Occupational Safety and KCDP projects such as those involving infrastructure and waste management have safety and health issues that Health Act must be well coordinated to prevent injury or ill health to personnel and / or the community 371 2002 Water Act KCDP will promote wise use of available water resources through integrated watershed management and recycling of wastewater 2013 Wildlife Conservation Act Improved conservation of biodiversity through KCDP will directly contribute to the objective of this Act. The Act supports conservation and protection of the environment, both terrestrial and marine 381 1990 Tourist Act This Act outlines strategies with respect to tourism development in the country. KCDP hopes to promote fair play in tourism sector through promotion of ecotourism. 2006 National Museums and A number of KCDP projects would impinge on cultural sites such as Kaya forests. Heritage Act 385 2005 Forests Act KCDP will contribute better management of coastal forests including mangroves through forest inventory, reforestation of degraded area, and development of joint management plans. Further, KCDP will promote the development of community-based forest management(CBFM) in line with the Act 303 1986 Physical Planning Act An important activity of KCDP will be to develop land use plans for the coastal region as entailed in the Act. 1996 Public Health Act KCDP activities such as waste management may have impacts on health of staff and/ or community

318 1986 Agriculture Act In the agricultural sector KCDP will promote commercial plantation of farm forests and fruit trees as well as establish cottage industries, including processing, packaging and marketing 449 1992 Coast Development By bringing development at the coast, KCDP will be contributing directly to the objectives of the Act Authority Act 378 1989 Fisheries Act The entire fisheries component of KCDP has been developed in line with the Act. The Act focuses on management and enforcement of fishing, aquaculture development, and conservation of fish and fish habitat 2006 Energy Act KCDP will contribute to sustainable energy utilization by promoting use of renewable energy sources like establishment of farm woodlots (Source: Interim ESMF for KCDP, KMFRI 2010)

63 5.15 International Legal Instruments Table 4: International Agreements Relevant to Coastal and Marine Resource Management in Kenya International agreement Focal area Linkages with KCDP African Convention on the Conservation of Nature Natural Resource KCDP activities (particularly in forestry and fisheries) will enhance and Natural Resources, 1968 (as revised in 2003). Conservation conservation of natural resources. Convention On Wetlands of International Wetlands Members are required to manage wetland sites in such a way as to Importance (Ramsar Convention), 1971 avoid changes in their ecological character. UNESCO Convention Concerning The Protection Culture and Potential KCDP activity sites (e.g. Kaya forests) are recognized Of The World Cultural And Natural Heritage Heritage World Cultural Heritage Sites. (1972) Washington Convention On International Trade In Trade Development of fisheries through KCDP activities including Endangered Species (CITES, 1973) changes to the management of the EEZ, must exclude any trade of endangered species. Bonn Convention On The Conservation Of Wildlife There are migratory marine species that will be potentially Migratory Species Of Wild Animals (CMS, 1979) impacted by KCDP – in particular, Dugong is a listed species under the convention. UN Convention on the Law of the Sea Oceans Governance KCDP activities allow management of EEZ and natural resources (UNCLOS)1982 within International Convention for the Prevention of Ship-based Transportation of oil by ships could impact the marine Pollution from Ships, as amended in 1978 Pollution environment. KCDP implementing agencies including NEMA, FD (MARPOL 1973/78) and KWS are involved in the implementation of the this law and should guide KCDP in observing the law Convention for the Protection, Management and Coastal and Marine KCDP objectives and activities are consistent with the elements of Development of the Marine and Coastal Conservation the Nairobi Convention Environment of the East African Region with its Protocols (Nairobi Convention, 1985) Convention on Biological Diversity (1992) Biodiversity Achievement of KCDP objective to improve the management of coastal and marine resources will contribute directly to the conservation of biological diversity.

64 United Nations Framework Convention on Climate Change Reduced emissions from avoided forest degradation along the coast Climate Change (UNFCCC 1992) is one of the objective of KCDP Global Programme of Action for the Protection of Marine KCDP will complement activities of GPA through sustainable the Marine Environment from Land Based Environment forest management, development of livelihood opportunities, EAI Activities (1995) etc. International Convention on Oil Oil pollution Coastal and marine environment in Kenya are threatened by oil PollutionPreparedness, Response and Co-operation pollution. (1990) Source: Interim ESMF for KCDP, KMFRI 2010

65 6.0 WORLD BANK ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES

World BankSafeguard policies operate under a framework approach that is flexible and decentralized with regard to environmental and social management. Traditionally it is evident that environmental assessments and social assessments and reviews have targeted large scale infrastructure, agriculture, industrial projects and large scale mining projects among others. These assessments have been aimed at determining the probable adverse impacts of the activities on the environment and development of mitigation measures through the Environment and Social Management Programmes (ESMPs).

Small scale subprojects have been ignored for a long time on the assumption that their activities do not harm the environment but they can also have significant cumulative adverse impact or the environment. The environmental damage caused by small scale projects which currently constitute the bulk of the international development add to careless environmental practices contributing to degradation of environmental and human resources which jeopardize future economic and social development.

Implementation of KCDP projects will trigger any one or more of the ten World Bank Safeguard policies outlined below:

6.1 OP/BP 4.01 Environmental Assessment The objective of this policy is to ensure that Bank financed projects are environmentally sound and sustainable, and that decision-making is improved through appropriate analysis of actions and of their likely environmental impacts. This policy is triggered if a project is likely to have potential adverse environmental impacts in its area of influence. OP 4.01 covers impacts on the natural environment (air, water and land); human health and safety; physical cultural resources; and transboundary and global environment concerns.

In the context of the KCDP projects the Environmental Assessment process would consider the natural environment (air, water and land); human health and safety; social aspects, access restriction, indigenous people and physical and cultural aspects and transboundary and global environmental aspects. Some of the elements that would be considered in the environmental assessment are: • Type: Project or specific project components that may have inherent environmental risks; • Location: Proximity to environmentally, socially and culturally important areas; • Sensitivity: Potential impacts may be irreversible or environmentally sensitive to changes. • Scale: Extent of environmental and social issues arising from the project.

66 For ease of operationalization of OP4.01, the World Bank has classified projects into Risk Categories A, B, or C depending to the significance of the adverse impacts on the environment. This classification approach clearly spells out which projects attract an EIA and which does not require an EIA and is as follows:

• Category A - If the subproject is likely to have significant adverse environmental impacts that are sensitive, diverse or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works. This category of projects or subprojects requires full Environmental Assessment.

• Category B – If potential adverse impacts are less adverse than those of Category A projects; these impacts are site specific; few if any of them are irreversible; and in most cases mitigation measures are readily designed. The projects or sub projects under this category require a more targeted Environmental Assessment

• Category C- If it is likely to cause minimal or no adverse environmental impacts. Beyond screening, no further Environmental Assessment action is required.

6.2 OP/BP 4.04: Natural Habitats This policy recognizes that conservation of naturalhabitats is essential for the safeguard of their uniquebiodiversity and to maintain environmental services andproducts for human society and for long-termsustainable development. The Bank therefore supports the protection, management, and restoration of natural habitats in its project financing, as well as policy dialogue and economic and sector work. The Banksupports, and expects borrowers to apply, aprecautionary approach tonatural resource managementto ensure opportunities for environmentallysustainabledevelopment. Natural habitats are land and water areaswhere most of the original native plant and animalspecies are still present, andcomprise any types of terrestrial, freshwater, coastal, andmarine ecosystems. They include areas lightly modifiedby human activities, but retaining their ecologicalfunctions and most native species.

6.3 OP 4.09 Pest Management This safeguard policy aims to minimize and manage the environmental and health risks associated with pesticide use and promote and support safe, effective, and environmentally sound pest management. It seeks to promote use of biological methods or environmental control, reduce reliance on synthetic chemical pesticides and strengthen thecapacity of regulatory framework and institutions to promote and support safe, effective and environmentally sound pest management.

More specifically, the policy aims to:

(a) Ensure that health and environmental hazards associated with pest management, especiallythe use of pesticides are minimized and can be properly managed by the user;

67 (b) As necessary, support policy reform and institutional capacity development to enhance implementation of IPM-based pest management and regulate and monitor the distribution and use of pesticides.

The World Bank Pest Management safeguard policy will be triggered by indirect impacts in case of use of pesticides in agriculture, forestry and in control of malaria. The use of ESMF will be primarily to monitor whether increased use of pesticides actually occurs and if so to take mitigation action.

6.4 OP/BP 4.10 Indigenous Peoples The objective of this policy is to:

i. ensure that the development process fosters full respect for the dignity, human rights, and cultural uniqueness of indigenous peoples; ii. ensure that adverse effects during the development process are avoided, or if not feasible, ensure that these are minimized, mitigated or compensated; iii. ensure that indigenous peoples receive culturally appropriate and gender and generational ly inclusive social and economic benefits;and iv. indigenous peoples benefit from prior consultation and informed participation

The presence of tribal groups such as the Boni, Watha and Bajuni in the project area triggers this policy. This safeguard requires the development of an Indigenous Peoples Policy Framework (IPPF)through which the safeguard would be implemented.

6.5 OP/BP 4.11 Physical Cultural Resources The objective of this policy is to assist countries to avoid or mitigate adverse impacts of development projects on physical cultural resources. For purposes of this policy, “physical cultural resources” are defined as movable or immovable objects, sites, structures, groups of structures, natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or rural settings, and may be above ground, underground, or underwater. The cultural interest may be at the local, provincial or national level, or within the international community

Forest conservation and small scale and large scale infrastructure projects as well as activities within the Coastal strip, may occur in areas which may not have been subjected to archeological surveys whose cultural treasures are therefore unknown.Some KCDP sub-projects neighbor religiously important sites such as relic antiquity mosques and Kaya forests and / or caves considered to be culturally significant.

68 6.6 OP/BP 4.12 Involuntary Resettlement The objective of this policy is to: i. avoid or minimize involuntary resettlement where feasible, exploring all viable alternativ e project designs; ii. assist displaced persons in improving their former living standards, income earning capac ity, and production levels, or at least in restoring them; iii. encourage community participation in planning and implementing resettlement; and iv. provide assistance to affected people regardless of the legality of land tenure.

This policy also covers any loss of land or other assets resulting in relocation or loss of shelter, loss of assets or access to assets and loss of income sources or means oflivelihood whether or not theaffected people must move toanother location.The policy also applies to theinvoluntary restriction of access tolegally designated parks andprotected areas resulting in adverseimpacts on the livelihoods of thedisplaced persons.

6.7 OP/BP 4.36 Forests The objective of this policy is to assist borrowers harness the potential of forests to reduce poverty in a sustainable manner, integrate forests effectively into sustainable economic development and protect the vital local and global environmental services and values offorests. Where forest restoration and plantation development are necessary to meet these objectives, the Bank assists borrowers with forest restoration activities that maintain or enhance biodiversity and ecosystem functionality. The Bank assists borrowers with the establishment of environmentally appropriate, socially beneficial and economically viable forest plantations tohelp meet growing demands for forest goods and services.

6.8 OP/BP 4.37: Safety of Dams The objective of this policy is to ensure quality and safety in the design and construction of new dams and the rehabilitation of existing dams, and in carrying out activities that may be affected by an existing dam.For new dams the policy ensures that experienced and competent professionals design and supervise construction, the borrower adopts and implements dam safety measures for the dam and associated works. For existing dams it is to ensure that any dam that can influence the performance of theproject is identified, a dam safety assessment is carried out, and necessary additional dam safetymeasures and remedial works implemented.

6.9 OP 7.50 Projects in International Waters The objective of this policy is to ensure that international aspects of a project on an international waterway are dealt with at the earliest possible opportunity and that riparians are notified of the proposed project and its details and that Bankfinancedprojects affecting international waterwayswould not affect: i. relations between the Bank and itsborrowers and between states (whether members of the Bank or not); and 69 ii. efficient utilization andprotection of international waterways.

6.10 OP 7.60 Projects in Disputed Areas The objective of this policy is to ensure that claimants to the disputed area have no objection to the project, or that special circumstances of the case warrant the Bank’s support of the project notwithstanding any objection or lack of approval by the other claimants. It seeks to ensure that projects in disputed areas are dealt with at the earliest possible stage so as not to affect relations between the Bank and its member countries orrelations between the borrower and neighboring countries; and not to prejudice the position of either the Bank or the countries concerned.World Bank Safeguards that would be triggered by KCDP sub-project activities are summarized in the table below:

70 Table 5: World Bank Safeguards triggered by KCDP Sub-project activities:

Component Coastal Activities and agency Safeguard OP/BP County triggered Component 1: Lamu  Aquaculture support (Mpeketoni, etc.) – KMFRI & SDF  OP 4.01 & 4.04 Sustainable  Rehabilitation of ice plant in Faza – SDF  OP 4.01 Management  Stock assessment (Lamu, Kizingitini, Faza) – SDF/KMFRI  NIL of Fisheries  Upgrading of fish landing site in Kizingitini - SDF  OP 4.01 &4.04 Resources Kilifi  BMU Capacity Building – SDF  Nil  Milkfish farming in Kibokoni – KMFRI  OP4.04  Prawn Farming – KMFRI  OP4.04  Fish Aggregation devices (FADs) – KMFRI/SDF  OP4.04  Upscaling of Artemia production (Gongoni-Magarini, Ngomeni) - KMFRI  OP 4.04  Stock assessment (Kilifi, Kuruwitu, Takaungu, Uyombo) – SDF/KMFRI  NIL  Monitoring of ring net fisheries & implementation of the management plan  OP 4.12 (Takaungu, Kilifi) – SDF/KMFRI Kwale  Basket trap research (Vanga-Jimbo, Shimoni, Malindi, Lamu) - KMFRI  NIL  Rehabilitation of fish banda in Kibuyuni - SDF  OP4.04 / 4.01  Building of a fish banda in Shimoni - SDF  OP4.04 / 4.01  Seaweed farming (Shimoni, Gazi, Funzi, north coast) - KMFRI  OP4.04 / 4.01  BMU Capacity Building – SDF  Nil  Fisheries cold chain enhancement – KMFRI/SDF  OP 4.01  Monitoring of ring net fisheries & implementation of the management plan  OP 4.12 (Vanga, Gazi) – SDF/KMFRI  Fish Aggregation devices (FADs) – KMFRI/SDF  OP 4.04/4.01  Stock assessment (Msambweni, Vanga-Jimbo, Gazi) – SDF/KMFRI  NIL

TaitaTavet  BMU Capacity Building – SDF  NIL

71 Component Coastal Activities and agency Safeguard OP/BP County triggered a  Fresh water aquaculture – KMFRI/SDF  OP4.04/4.01 Mombasa  BMU Capacity Building – SDF  NIL  Construction of Monitoring Control & Surveillance Centre– SDF  OP 4.01  Stock assessment (Mombasa-Nyali) – SDF/KMFRI  NIL Tana River  BMU Capacity Building – SDF  NIL  Quality control of fisheries – SDF/KMFRI  NIL  Upgrading of fish landing site in Kipini– SDF  OP4.01  Stock assessment (Kipini) – SDF/KMFRI  NIL Component 2:  Mangrove Management Plan - KMFRI/KFS  OP 4.36/4.01/4.12 Sound  Biodiversity assessment of Lake Kenyatta – KMFRI/KWS  NIL Management Lamu  Witu Management Plan - KWS  OP4.36 of Natural  Tree planting on farms – KEFRI  OP4.36 Resources  Seed stand development - KEFRI  OP4.36 Kilifi  Mangrove Management Plan – KMFRI/KFS  OP 4.36/4.01/4.12  Terrestrial Reforestation – KEFRI  OP4.36  Seed stand establishment – KEFRI  OP4.36 Kwale  Mangrove Management Plan – KMFRI/KFS  OP 4.36/4.01/4.12  Tree planting on farms – KEFRI  OP4.36/4.04  Implementation of the Sable Antelope Conservation plan (fencing and road  OP 4.04/4.01/4.12 rehabilitation)- KWS  Biodiversity Assessment in Shimba hills – KWS  NIL  Biodiversity Assessment in Shimoni- KWS  NIL  Tsetse fly control in Shimba Hills National Reserve  OP 4.01 TaitaTavet  Terrestrial Reforestation - KEFRI  OP4.36 /4.04 a  Lake Jipe-Research – KMFRI/ KWS/SDF  NIL Mombasa Mangrove Management Plan – KMFRI/KFS OP4.36/4.12

72 Component Coastal Activities and agency Safeguard OP/BP County triggered Tana River Mangrove Management Plan – KMFRI/KFS OP4.36/4.12 Component 3: Lamu  SME training in business – CDA  NIL Building  Spatial planning – DPP  NIL Coastal Kilifi  Malindi Livelihood project - NEMA  NIL Capacity for  Spatial planning – DPP  NIL Sustainable Kwale  SME training in business – CDA  NIL Natural  Spatial planning – DPP  NIL Resource Use TaitaTavet  SME training in business – CDA  NIL and a  Spatial planning – DPP  NIL Management Mombasa  SME training in business – CDA  NIL  Spatial planning – DPP  NIL Tana River  SME training in business – CDA  NIL  Spatial planning – DPP  NIL Lamu  Djabia rehabilitation in Ndau village  OP4.01  Boosting Quality Water Supply to Bombay, Kadhahari& India Villages  OP4.01  Improving access to domestic water for Siyu Village through rainwater  OP4.01 harvesting  Rehabilitation & Sustainable Management of Pate Location Mangroves in  OP4.36 Pate Island  Street paving project in Pate community  OP4.01 Kilifi  African Barn Owl and Cave conservation  OP4.11/4.01/4.04  Mtwapa communal waste management project  OP4.01  Bundacho coconut waste management: Providing alternative source of  OP4.01 energy using coconut waste  Junju Toilet project: Improving access to sanitation services in Junju  OP4.01 village  OP4.01  Plastic Bottle Recycling in Malindi Town  OP4.01  Hygiene for Health and Prosperity: Enhancing sanitation and public health

73 Component Coastal Activities and agency Safeguard OP/BP County triggered in Mijikenda village, Malindi Kwale  Gazi women mangrove boardwalk: Promoting mangrove conservation  OP4.36/4.04 through ecotourism activities in Msambweni  Promoting conservation of Kaya Muhaka sacred forest through Ecotourism  OP4.11/4.36/OP4.01 in Msambweni  Managing mangroves for improved community livelihood, Msambweni  OP4.36/4.12  Miyani Community Potable Water Supply, Kinango  OP4.01  Enhancing Fisher Community Response to Emergencies through a  NIL Community boat Project at Mkwiro Island, Shimoni  Increasing access to Health care to Mwazaro community through  OP4.01 improved Community Health Facility, Shimoni  Promoting Community Sanitation and Hygiene in Shimoni  OP4.01  Promoting cultural and heritage tourism through upgrading the Shimoni  OP4.11/4.01 Slave Cave infrastructure and environment  Access to adequate water for the Rural Poor in ASAL Area of Taru through  OP4.01 expansion of a water pan TaitaTavet  Water harvesting from roof tops, Wundanyi  OP4.01 a  Water provision to the community through expansion of the Malela Springs  OP4.01 and construction of water reservoirs  OP4.01  Supply of piped water for the community in Ndome  OP4.01/4.36  Rehabilitation and Landscape Restoration Project for Upper Voi River Catchment, Wundanyi  Protection and conservation of Madulu springs in Challa, Taveta through  OP4.36/4.12 afforestation and control of human activity  Conservation of the Iyale forest in Wesu, Wundanyi  OP4.01  Harnessing storm water for small scale irrigation and livestock use in  OP4.01 Ngulia, Voi  Maungu Integrated Tree Nursery Projectin Maungu, Voi

74 Component Coastal Activities and agency Safeguard OP/BP County triggered  Reducing soil erosion in ChallaChini area, Taveta  OP 4.01  Soil Erosion and Gulley Plugging Project in Maungu, Voi  NIL  NIL Mombasa  Borehole water project for Tudor school for Pupils with Cerebral Palsy  OP4.01 condition  Borehole Water project for Jomvu primary, secondary & community  OP4.36  Rehabilitation and conservation of Tembo springs through Agroforestry in  OP4.01 Likoni  Management of solid waste in Mikindani area  OP 4.01  Enhancing participation of schools and community members in  OP4.36 environmental sustainability in Kisauni and Bamburi Constituencies  MajaoniCommunity boardwalk ecotourism project  OP4.01  Improving access to water at Mbungoni Village in Bombolulu, Nyali by  OP4.01 construction of a borehole  Reduction of over reliance on charcoal through promotion of briquettes in  OP4.01 Shanzu, Kisauni  Life skills to girls for prosperity in Barsheba, Nyali  NIL Tana River  Drilling of boreholes/Community Water Project in Laza, Galole  OP4.01  Construction of 3 community sanitation blocks in Makutano, Galole  OP4.01  Construction of sanitary facilities in Bura, Tana River  OP4.01  Ushirikiano Green Tana Movement in Garsen, Tana River  OP4.36

75 Table 6: Summary of WB Safeguards Triggered by KCDPProject

WB Safeguard Policy Whether or Comments Not Triggered Yes No Environmental Assessment X Some of the proposed subprojects would have (OP/BP 4.01) significant environmental and social impacts that need to be assessed to ensure they are environmentally sound and sustainable Natural Habitats (OP/BP X Some subprojects would be located in natural 4.04) habitats, or close to natural resources Pest Management (OP 4.09) X Whereas tsetse fly control is proposed as one of the subprojects, no pesticides or insecticides would be used. The control procedure proposed is use of traps and targets treated with animal urine. This approach is friendly to the environment and has been used by KWS in other areas in Kenya with no resultant negative environmental effects.

This ESMF has however taken cognizance of the fact that the bank may permit use of pesticides when justified under an IPM approach. An outline of plan for IPM for tsetse flies that includes procedures for safe handling of pesticides has been prepared and attached as Annex 14 of the ESMF. Physical Cultural Resources X Some subproject activities are targeted for Kaya (OP/BP 4.11) forests and caves and these are considered as places of worship or cultural shrines by local communities Involuntary Resettlement X Establishment of new conservation areas or increased (OP/BP 4.12) level of management effectiveness of existing conservation areas in locations used by local communities may lead to restriction of access and thereby affect their livelihood Indigenous Peoples (OP/BP X Some subprojects target areas occupied by the Boni 4.10) and Watha communities who are classified as Indigenous Peoples Forests (OP/BP 4.36) X Some subprojects will impact on mangrove swamps which are protected under the Forests Act 2005. Safety of Dams (OP/BP X No subproject would trigger this policy 4.37) Projects in Disputed Areas X No subproject would be undertaken in disputed areas (OP/BP 7.60) Projects on International X No subproject would impinge on an international Waterways (OP/BP 7.50) water way

6.11 Inconsistencies between GoK Legislation and WB Safeguards Policies

76 A review of World Bank safeguards policies and GoK legislation indicates that they are generally aligned in principle and objectives but have few inconsistencies as follows:

 While World Bank OP 4.01 stipulates different scales of EIA for different categories ofpr ojects, Kenya’s EMCA requires EIA for all projects listed under Schedule 2 of the Act irr espective of their scale.  Whereas EMCA requires Strategic Environmental Assessmentsas framework instruments for large scale projects with impacts beyond the project location, WB Safeguards require that ESMF be prepared as a safeguard document for projects whose exact boundaries and scale of impacts are not yet clear.  EMCA recognizes other sectoral laws while WB has safeguards for specific interests.  The national provisions for the management of resettlement related issues are not yet full y developed and therefore not at par with the World Bank safeguard WB OP 4.12.

77 7.0 IMPACTS IDENTIFICATION, ANALYSIS AND MITIGATION MEASURES

This chapter presents a review of the positive and negative environmental and social impacts of the proposed KCDP activities. An analysis of the KCDP projects established that potential impacts would range from impacts on marine and coastal habitats, fisheries sector and indigenous people/vulnerable groups.

In overall KCDP is likely to have positive environmental and socio-economic impacts in the short, medium and long term in all the six counties in the coastal region of Kenya. It was noted that some of the project activities may have adverse negative impacts if environmental soundness is not built into the projects from planning, location, implementation and monitoring. However for most project activities negative impacts would not be significant and mitigation measures are possible both at the project development stages and at implementation stages. The potential impacts identified were as follows:

7.1 Positive Impacts

7.1.1 Impact on Fisheries

 Improved understanding of resource status through increased scientific baseline informati on on selected fisheries stocks to feed into fisheries management plans;  Improved income generation and wealth creation of fishery-dependent communities thro ugh increased diversity of alternative income sources;  Economic empowerment of artisanal fishers through added value to fish landings, infrast ructure development, improved access to fish markets and improved health standards at l anding facilities.

7.1.2 Impact on Coastal and Marine Habitats

 Enhanced ecosystem productivity through improved conservation of coastal and marine habitats;  Improved service delivery resulting from construction of institutional offices;  Development of existing and alternative livelihoods will relieve pressure on exploitation of coastal and marine resources;  Development of alternative livelihoods improving income levels;  Support for existing CMAs, MMAs and MPAs at Boni-Kiunga, Marereni and Kuruwitu i s likely to improve livelihood benefits;  Pressure on natural resources will be alleviated from established eco-tourism related activ ities as a result of rejuvenation of moribund ecotourism sites.

78 7.1.3 Impacts of project activities on local communities

 Improved access to clean water through HMP subprojects such as drilling of boreholes a nd rain water harvesting;  Improved sanitation for local communities as a result of construction of eco-friendly pit l atrines;  Income generation opportunities arising out of participation in HMP projects;  Better appreciation of the value of indigenous ecosystems, thus providing a stronger case for their conservation;  Livelihood enhancement and diversification by giving support to increased adoption of li velihood diversification opportunities;  Efficiency in delivery of services;  Increased employment opportunities and alternative income sources as a result of imple mentation of community based subprojects

A summary of potential negative impacts and the proposed mitigation measures is summarized in the following table:

79 7.2 Negative Impacts and mitigation measures A summary of negative impacts and mitigation measures proposed are as follows:

Table 7: Negative Impacts and Mitigation Measures for KCDP Sub-projects Impacts of Water Supply Projects (Construction of boreholes and water pans, rain water harvesting) Potential Impacts Phase of Subproject Duration and Degree Mitigation Measures of Impact Clearance of vegetation to make room for Construction Phase Short term, Restore vegetation in neighbourhood of wells and water pans Localized, Minor water pans once completed. significance Depletion of underground aquifers Operations Phase Medium term, Consult WRMA to obtain information on number of Localized, High wells for a particular aquifer to avoid significance overexploitation Salinity ingress/intrusion of sea water into Operations Phase Long term, Establish salinity intrusion and sink boreholes at a boreholes if near the sea Localized, Minor safe distance significance Noise during sinking would be a nuisance to Construction Phase Short term, Undertake borehole drilling works during the day residents Localized, Minor and provide drill operators with ear protection significance Contamination of harvest water from dirty Operations Phase Short term,  Avoid trapping of first rains to allow for clean- roofs due to accumulated dust, rust and Localized, Minor ing of roofs, and clean roofs after prolonged particulates as well as accumulated tank significance droughts residues  Avoid collection of rainwater from painted roofs  Regularly clean the water tanks Generation of solid waste Construction Phase Short term, Segregate waste and dispose appropriately in Localized, Minor accordance with waste management regulations significance Cutting trenches through farms and across Construction Phase Short term, Undertake reinstatement works upon completion of paths and roads Localized, Minor pipe-laying significance

80 Water pans may become breeding ground Operations Phase Long term, Spray approved insecticide and clear bushes in for disease vectors such as mosquitoes Localized, Minor neighbourhood of water pan significance Overconcentration of livestock may destroy Operations Phase Long Term, Establish a management team to control abstraction flora in neighbourhood of water facilities Localized, Very Severe Risk of accidents for livestock and human Construction and Short Term, Educate public on fall risks beings Operations Phases Localized, Very Severe Possible collapse of well during excavation Construction Phase Short Term, Involve competent personnel in design and Localized, Very supervision Severe Conflict arising from use of wells and Operations Phase Long Term, Set up a management team to resolve disputes boreholes Localized, Moderate arising from utilization Impacts of Fisheries Subprojects Potential Impacts Phase of Duration and Mitigation Measures Subproject Degree of Impact Aquaculture and mariculture activities would cause Construction Long Term, Site projects away from vulnerable habitats such sedimentation, stress on water resources, Phase Localized, as mangroves sewerage/waste water production, changes in Moderate biodiversity, loss of vegetation and water quality degradation Fishing activities would result into generation of solid Operations Short Term, Dispose waste in accordance with waste waste, waste water Phase Localized, management regulations, treat waste water to Moderate meet NEMA standards

Depletion of wood to process fish. Operations Long Term,  Plant fast growing trees for fuel wood to Phase Localized, support aquaculture / mariculture ventures Moderate  Introduction of solar fish driers to reduce dependence on wood

81 Infrastructure upgrade at landing beaches would result Construction Long Term, Involve fisher communities in planning for the into increased pressure on fisheries resources Phase Localized, new infrastructure and train them on dangers of Moderate overexploitation of fisheries resources

Damage of aquaculture resources / FADs and possible Operations Short Term, Ensure adequate security for fish ponds and theft of fish from ponds if not secured Phase Localized, aquaculture resources Moderate

Delineation of CMA, MMA, MPAs would result into Construction Medium Term, Involve fisher communities and subsistence displacement of artisanal fishermen and subsistence Phase Localized, farmers in planning for the new infrastructure farmers Moderate

Changes in behavior resulting into loss of original Operations Short Term, Involve fisher communities in planning for the livelihood and loss of income during the transition Phase Localized, new infrastructure and train them on dangers of period Moderate overexploitation of fisheries resources

Resource use conflicts as a result of changes in land use Operations Long Term, Set up a resource management committee and Phase Localized, resolve conflicts in line with the GRM outlined Moderate in this ESMF Impacts of infrastructure subprojects Potential Impacts Phase of Duration and Mitigation Measures Subproject Degree of Impact Construction of ecotourism support Construction Medium Term, Construct structures on land that is marginal and not of high infrastructure such as bandas and sanitary Stage Localized, biodiversity facilities would result into habitat degradation Moderate Construction of jetty and offices would cause Construction Short Term, Access roads and dusty project areas to be watered and loose air quality degradation through dust Stage Localized, material covered to prevent generation and spread of fugitive generation Moderate dust Noise and vibration from construction Construction Short Term, Construction activities to be undertaken during the day and equipment and other construction activities Stage Localized, workers provided with ear protectors such as ear muffs and such as excavation, mixing of concrete etc. Moderate plugs

82 Generation of solid waste such as Construction Short Term,  Ensure construction debris is disposed properly in construction debris, packaging waste and Stage Localized, licensed dumpsites waste water, stress on water resources Moderate  Medical waste to be segregated and incinerated or appropriately landfilled

Potential turbidity of water during Construction Short Term,  Use of less aggressive construction techniques and choice of construction of jetty and waterfront facilities Stage Localized, construction season coinciding with minimum turbulence at Moderate sea

Infiltration of project area by migrant workers Construction Short Term,  Construction of cultural centers to preserve local culture may impact on culture and increase risk of Stage Localized, and encourage interaction between the migrants and spread of communicable diseases such as Moderate locals HIV/Aids  Initiate HIV awareness and prevention measures such as VCT, Peer Counseling etc. Generation of medical and laboratory waste Operations Short Term,  Medical waste to be segregated and incinerated or as a result of operation of medical facilities Phase Localized, appropriately landfilled proposed under HMP Moderate Potential impact on occupational health and Construction Short Term, Initiate a Safety Management System including safety safety such as accidental injuries at site during Stage Localized, induction, risk assessment and training, provision of PPE and construction period, incidents of occupational Moderate first aid facilities, accident reporting and investigation as diseases well as safety awareness and promotion campaigns Increase in water demand during the Construction Short Term, construction phase Stage Localized, Moderate Impacts of waste management subprojects Potential Impacts Phase of Duration and Mitigation Measures Subproject Degree of Impact Cuts and pricks from sharp objects Operations Short Term, Enforce use of PPE such as hand gloves and gumboots. hidden in the waste may cause injuries Phase Localized, during collection Moderate Overflow of waste at collection sites due Operations Short Term, Liaise with the County Government to enlarge waste receptors or to inadequate waste reception facilities Phase Localized, increase frequency of emptying of receptors Moderate

83 Poorly designed reception facilities Operations Short Term, Consult with the County Government to improve on design of leading to spread of waste by action of air Phase Localized, waste reception facilities by providing covers and lockable shutters or storm water Moderate Cross contamination of recyclable waste Operations Short Term, Undertake segregation of waste before dumping. Waste to be due to lack of, or improper segregation Phase Localized, separated into categories such as metal, plastic, paper so as to Moderate enhance possibility of recycling Negative impact on public health due to Operations Short Term,  Waste receptacles to be closed to prevent access by minors. poor containment – receptacles may be Phase Localized,  Receptacle area to be fenced using barbed wire where possible accessed by children as well as animals Moderate and scavenger birds Littering during transportation of waste Operations Short Term,  Ensure any waste falling off wheelbarrows and mikokoteni are Phase Localized, loaded back and transported to receptacle. Moderate  County Government to ensure garbage collection trucks are not overfilled to the extent of scattering litter Odour / foul smell Operations Short Term,  Receptacles to be emptied frequently to prevent decomposition Phase Localized,  Waste receptacles to be located far away from residential ar- Moderate eas, other occupied buildings and busy streets Contamination of soil and surface water Operations Short Term, Ensure reception facilities are located far away from surface in the neighbourhood of reception facility Phase Localized, water / surface water drains Moderate Impacts of Culture and Tourism Subprojects Potential Impacts Phase of Duration and Mitigation Measures Subproject Degree of Impact Clearance of vegetation to create access Construction Short Term,  Restore vegetation immediately after the works; routes for conservation sites Phase Localized,  Prepare nursery or source seedlings from existing nursery Moderate Too many visitors (exceeding carrying Operations Short Term,  Carry out capacity assessment and restrict access capacity) Phase Localized, Moderate Stalking wildlife / birds Construction Short Term, Post appropriate warning notices and Operations Localized, Phases Moderate Deforming the natural face of caves Construction Short Term,  Maintain the physical & natural face of caves

84 during construction Phase Localized, Moderate Reduced access for locals due to Operations Short Term,  Improve access for the locals delineation Phase Localized, Moderate Inadequate sanitary facilities resulting Construction Short Term, Provide and maintain sanitary conveniences in close proximity into soiling of caves and the and Operations Localized, of caves neighbourhood Phases Moderate Littering Construction Short Term, Provide bins and empty regularly and Operations Localized, Phases Moderate Interaction with tourists could interfere Operations Long Term,  Educate communities on negative effects of tourism with culture of local communities with Phase Localized,  Initiate HIV/Aids prevention programmes such as Volun- negative effects such as prostitution and Moderate tary Counseling and Testing, Peer Counseling etc.; risk of spread of communicable diseases  Increase awareness by use of promotional materials such as such as HIV/Aids T-shirts, Caps and stickers bearing HIV/Aids prevention messages Illegal collection and disposal /selling of Operations Short Term, Initiate cultural artifacts assessment and preservation cultural artifacts Phase Localized, programme Moderate Destruction of archeological sites Construction Short Term, Initiate strict anti-harvesting regulations and post warning /treasures during construction Phase Localized, notices at entrance of caves Moderate Walkthrough by large number of tourists Operations Short Term, Create footpaths / walkways in conservation areas and enforce may cause environmental degradation Phase Localized, use by inducting all guests prior to accessing the caves through tramping vegetation and Moderate harvesting local flora Impacts of Sanitation and Hygiene Subprojects Potential Impacts Phase of Duration and Mitigation Measures Subproject Degree of Impact Clearance of vegetation to create Construction Medium Term,  Restore vegetation immediately after the works; room for toilets Phase Localized,  Prepare nursery or source seedlings from existing nursery Moderate

85 Contamination of groundwater from Operations Long Term,  Ensure pit latrines and soakage pits are sited far away from pit latrines and soakage pits Phase Localized, boreholes and wells; Moderate  During excavation of soakage pits and pit latrines ensure that water table is not reached Health and Safety risks during minor Construction Short Term, Provide workers with appropriate PPE, first aid facilities and ensure construction works Phase Localized, adequate supervision Moderate Risk of accidental falls into open pits Construction Short Term, Mark out excavation / construction area with barricade tapes and for livestock and humans Phase Localized, post appropriate warning notices Moderate Generation of dust, noise and solid Construction Short Term, Initiate mitigation for construction impacts as proposed above for waste such as construction debris, Phase Localized, infrastructure waste timber, packaging waste Moderate Sludge from pit latrines Operations Long Term,  Backfill top of latrine with soil when full and build another; Phase Localized,  Construct sludge disposal pits to take backflow when main pit is Moderate full Increase in water demand for Construction Short Term,  Initiate water conservation and awareness programmes construction purposes Phase Localized,  Use alternative sources of water such as rainwater harvesting Moderate Odour / foul smell would be a Operations Long Term,  Construct ventilated pit latrines that would allow free flow of air nuisance and excrement may attract Phase Localized, and eliminate bad smell and flies flies or mosquitoes causing diseases Moderate Impacts of Natural Resource Management Subprojects Potential Impacts Phase of Duration and Mitigation Measures Subproject Degree of Impact Conservation zones may be located in areas used Operations Long Term,  Zoning to be done in close consultation with local by local communities hence affecting their Phase Localized, communities to avoid restriction of access to access to resources and livelihoods Moderate livelihoods.  Manage subprojects with due regard to rights of the host communities  Apply the procedures included in the project’s Process Framework

86 Conservation goals may conflict with current Operations Long Term, Training of local communities to take advantage of new livelihood activities practiced by the target Phase Localized, livelihood opportunities that are promoted by this project communitiesresulting into loss of cultural values Moderate Resource use conflicts may arise from changes Operations Short Term, Local communities to be comprehensively involved in the in land use during delineation and enforcement Phase Localized, spatial planning process and areas of conflict of set boundaries Moderate consultatively identified and options explored and agreed Impacts of Soil and Forest Conservation Subprojects Potential Impacts Phase of Duration and Degree of Mitigation Measures Subproject Impact Conflict between agricultural activities and Operation Short Term, Localized, Restrict forestry activities to non-agricultural areas conservation as a result of farm tree planting Phase Moderate Potential siltation of water resources in project Operation Short Term, Localized, Plant trees in affected areas to improve vegetation area as a result of erosion during the early stages Phase Moderate cover Generation of solid waste such as plastic bags Operation Short Term, Localized, Collect solid waste and dispose as per waste and sacks Phase Moderate management regulations Pressure on water resources due to increased Operation Short Term, Localized, Initiate alternative sources of water such as demand of water for watering seedlings Phase Moderate rainwater harvesting and storm water harvesting for watering seedlings Potential ground and surface water pollution due Operation Short Term, Localized, Use only organic fertilizers and avoid use of to use of fertilizers or herbicides Phase Moderate herbicides

Soil conservation activities such as terraces Operation Short Term, Localized, Ensure terraces are well spaced to leave room for might reduce the area available for cultivation Phase Moderate cultivation Vegetation clearance to create room for terraces Operation Short Term, Localized, Restore vegetation immediately after the works. Phase Moderate Impacts of Small Scale Irrigation Subprojects Potential Impacts Phase of Duration and Degree of Mitigation Measures Subproject Impact  Potential for soil erosion in sub-project Operation Short Term, Localized,  Ensure proper siting of irrigation sub-projects areas Phase Moderate  Potential for soil and surface water Operation Short Term, Localized,  Ensure efficient drainage and salinity control salination Phase Moderate during irrigation  Potential for water pollution in the event Operation Short Term, Localized,  Avoid use of chemical fertilizers and

87 chemical fertilizers are used Phase Moderate pesticides  Disturbance of natural habitats Construction Short Term, Localized,  Design irrigation projects to protect natural Phase Moderate habitats Impacts of Tsetse fly Control Subproject Potential Impacts Phase of Duration and Degree Mitigation Measures Subproject of Impact Harvesting of flora to create pegs / supports Construction Short term, Localized, Prepare nursery for subproject activity or source seedlings for targets; Phase Minor significance from existing nursery Theft and malicious damage of traps and Operation Short term, Localized, Enhance security in subproject area through routine targets; Phase Minor significance surveillance Littering of sub-project location with left-over Operation Short term, Localized, Collect obsolete target cloths and dispose in an or obsolete pieces of cloth Phase Minor significance environmentally responsible manner in accordance with Waste Management Regulations

88 8 ENVIRONMENTAL AND SOCIAL MITIGATION PROGRAMME

The Environmental and Social Mitigation Plan outlined here below consists of a set of measures to ensure successful implementation of the ESMF from planning through to operation and eventual decommissioning (where applicable) of the activities to be financed by KCDP. It outlines a plan for determination of adverse environmental and social impacts through a system of screening, proposals for mitigation measures, an outline of monitoring plans and institutional arrangements to ensure the World Bank safeguards and Kenya’s environmental regulations are adhered to.

The Environmental Management and Coordination Act (EMCA), 1999 provides in Schedule II an inclusion list of undertakings that must undergo mandatory EIA. EMCA does not provide an exclusion list hence projects not included in Schedule II of EMCA need to be subjected to screening in order to determine the type of environmental assessment required to ensure compliance. As clarified in Section 6.1 the World Bank OP 4.01 has classified projects into Risk Categories A, B, or C depending to the significance of the adverse impacts on the environment. No sub-project classified as category A according to OP 4.01 will be funded under KCDP.

8.1 Screening and Review Process In overall KCDP is expected to produce net benefits in terms of natural resources management and conservation as well as positive impacts on the livelihoods of coastal communities. However certain project activities may have environmental and social impacts that will require mitigation. Thescreening and review process will help determine which of the safeguard policies and environmental regulations are triggered and what measures will need to be taken to address the potential adverse impacts. Screening will further ensure that subprojects that may have potential adverse impacts are recommended for more detailed studies either through preparation of Environmental Project Reports (EPR) or full Environmental and Social Impact Assessment (ESIA).

Prior to commencement of sub-projects the proponents will fill out the screening checklist attached to this report (Annex 1).The screening checklist will be completed by the project proponent, whether they are a community group (as in the case of HMP projects), or the implementing agencies. In the case of HMP projects the checklist will be filled by the communities with assistance of Community Liaison Officers (CLOs) while for Agency projects the screening checklist would be completed by the Technical Coordinators (TCs).

The screening checklist will also be used for larger infrastructuresubprojects such as office construction and Construction of Shimoni jetty. The following outcomes are expected from the screening process:  Should the screening process reveal no impact then the project would be flagged off to contin ue without further action.

89  If the exercise reveals that there are likely to be a few minor and readily mitigatable impacts t hen a Simple Environmental Review (SER) form (Annex 2) would be completed andforward ed to NEMA for comments after which the project to commences. Simple Environmental Re view is a brief disclosure statement that would assure stakeholders that all impacts, however minor have been analyzed and appropriate mitigation measures built into the implementation process. For HMP projects the SER form will be completed by Communities with assistance of Community Liaison Officers (CLOs) while for Agency projects it would be completed by the Technical Coordinators (TCs).  In the event that there are likely to be moderate or significant adverse impacts as established f rom screening the proponent would be required to prepare anEnvironmental Project Reports (EPR) project and submit it to NEMA for review. NEMA may approve the project to comme nce at this stage or require the proponent to prepare Terms of Reference (ToR) and proceed t o EIA study. Preparation of Environmental Project Reports (EPR)andEIA study reports are u ndertaken by consultants registered by NEMA.

8.2 Preparation of Environmental Project Reports (EPR) Environmental Project Reports (EPRs) are prepared as a means of informing NEMA of the activi ties, geographical area and potential impacts of the proposed development.EPR would give a des cription of the project, baseline information of project area, potential impacts and mitigation mea sures associated with the project. Preparation of EPR will be the responsibility of the proponent who would hire a NEMA registered expert for this purpose.For HMP projects the communities w ould liaise with their respective CLOs to facilitate preparation of EPR reports. After receipt of th e project report NEMA shall send copies of the report to Lead Agencies with interest in the prop osed project and give them 21 days to comment on the report. Upon expiry this period NEMA co mpliance officersshall visit the proposed project site, interview the proponents and stakeholders, and assess the project’s impacts in view of their observations at the site and the concerns raised b y stakeholders. After review of the report NEMA can approve the proposed project and issue an EIA license or advise for an ESIA study to be undertaken.

It should also be noted that NEMA charges a nonrefundable EIA review fee equivalent to 0.1% (minimum Ksh. 10,000.00) of the project cost. This amount is payable at the time of submitting the EPR and is paid once irrespective of whether the assessments will proceed to full EIA stage.

Table 8below illustrates the typical process and time taken to process an EPR through NEMA as per Legal Notice 101 of EMCA. The statutory review period is maximum 45 days effective the date of receipt of a Project Report by NEMA.

Table 8: Approval Process forEnvironmental Project Reports Steps Action Actor Time requirement

90 1 Preparation and submission of EPR KCDP, EIA Depends on Complexity of to NEMA. NEMA receives EPR, Expert Project, may take 14-30 days issues a receipt and acknowledgement. 2 NEMA sends copies ofEPR to Lead NEMA 7 days assuming all Agencies for comments requirements are fulfilled 3 Lead agencies review EPR and Lead 21 days (minimum) after issue comments Agencies receipt of EPR from NEMA. 4 Review of EPR by NEMA NEMA Within 30 days of EPR receipt 5 Communication of findings from NEMA Within 45 days of NEMA review to KCDP EPRreceipt

Typical outcomes of review of Project Reports from NEMA are likely to be as follows:

8.2.1 Environmental Project Report is Adequate.

Where NEMA and Lead Agencies ascertain that a project report has disclosed adequate mitigation for identified impacts, NEMA would issue an EIA License authorizing the project to proceed. The license would specify conditions to be met by the proponent for during construction and operation of the project.Typical conditions include:  Period after issuance of license within which the subproject must commence, usually 24 mon ths;  The proponent must seek written approval from NEMA for any operational changes;  The period after commencement of the project within which the proponent should undertake an Environmental Audit and submit an EAreport to NEMA;  NEMAto take appropriate action against the proponent in the event of breach of any of the co nditions of EIA license.

8.2.2 Project Report Inadequate

In the event that the EPR does not disclose adequate mitigation measures or that the project has significant irreversible environmental and social impactsthe proponent will be required to undertake an ESIA study. NEMA will write to the proponent to undertake scoping, prepare Terms of Reference (ToR) for ESIA study and submit these for approval prior to commencement of the study.

8.3 ESIA Study The stages in preparation of an ESIA Study report are as follows:

8.3.1 Scoping Report

91 Scoping provides a mechanism for consulting with NEMA and Lead Agencies and agreeing on the content and methodology of EIA at an early stage in the process. Key objectives of preparing a scoping report are to:

 Give a project description and its area of influence;  Identify the topics and issues to be addressed in the EIA;  Define the approach and methodologies for conducting baseline studies;  Define the approach to and methodologies for predicting environmental impacts and for e valuating the significance and severity of environmental effects;  Identify the methods to be adopted for incorporation of mitigation measures and other en vironmentally driven modifications into the project;  Define the consultation strategy to be applied during the EIA process;  Seek comments from key stakeholders on the scope of the EIA, the approach and wor k plan.

The Scoping Report willtherefore contain a description of project site and project activities, methodology and scope of EIA, the composition of the EIA team (including their experience and field of expertise), project budget and timelines.

8.3.2 ESIA Study Report

Upon review and approval of the Scoping Report, NEMA will advise that an ESIA Study be undertaken. The ESIA Study will entail a systematic investigation of all impact areas as identified in the scoping report, and will entail the following:  Project Description: A description of key components of the proposed project, the implement ing agents, a brief history of the project and its justification;  Baseline information: Baseline environmental information comprising physical, biological an d socio-economic conditions of the site to be assembled and evaluated;  A description of the pertinent legislation, regulations and standards, as well as environmental policies applicable to the proposed project and the appropriate authority jurisdictions;  Identification of impacts related to project elements and an analysis of severity and duration of impacts;  Prescription of mitigation measures and development of an environmental management plan to neutralize the effects of negative impacts;  Development of amonitoring plan to ensure that the proposed mitigation measures are imple mented and the desired remediation effects achieved;  Public consultation and documentation of stakeholder views.

All the information gathered will be compiled into an ESIA Report prepared in the same format a s the EPR and submitted to NEMA headquarters for review and decision making.The review pro 92 cess will entail advertising of the project in the media and may include a public hearing meeting. The review period may take a maximum of 90 days.

8.3.3 Public Review of the ESIA Report

Upon review of the ESIA report, NEMA will prepare a summary of the report and advertise it in the press for public review. The purpose of this is to allow all stakeholders to read and understand how they would be affected by the project. The public review period lasts a minimum of 60 days.After expiry of the public review period, NEMA will collate the comments submitted from the public and hand them over to the proponent highlighting which key issues require to be addressed. The proponent in liaison with the ESIA expert will prepare written responses either into an additional chapter or anaddendum to the ESIA report. This chapter will clearly explain how each of the comments and concerns raised by the public have been addressed and resolved.

Once NEMA is satisfied that the revised ESIA Study report addresses all the issues raised by stakeholders it would issue an ESIA license. The approved version of the report would be posted at NEMA and GoK websites as well as WB Info Shop to ensure all interested parties can access it.

8.4 Environmental Management and Monitoring Plan (EMMP) As part of the environmental review process an EMMP would be designed to ensure that during project implementation,mitigation measures are taken to protect the environment from adverse impacts that may occur. The EMMP includes monitoring and mitigation measures that would be undertaken to restore and maintain environmental and social parameters to acceptable levels.

KCDP through Environmental and Social Safeguards Officers (ESSOs) shall have the responsibility of ensuring the effectiveness of the proposed measures.The purpose of the EMMP is to:

 Describe methods and procedures to detect environmental changes at an early stage of the sub-project, including any changes that may not have been predicted in the environmental impact analysis;  Provide a feedback mechanism to KCDP by giving data and information on environmental impacts gathered through project monitoring;  Demonstrate to the community KCDP commitment to monitor potential impacts;  Provide quantitative data relating to environmental and social impacts to demonstrate proponent’s compliance with agreed WB funding conditions;  Accumulate data obtained from environmental monitoring that may be used to support or defend KCDP against unjustified allegations of environmental damage.

93 The following are some of indicators for monitoring the state of the environment that are likely to be encountered in establishing the overall impact of KCDP on the coastal environment. It is assumed that at the onset of the project a baseline was established on the basis of some of these parameters, and will be monitored for the state of the environment and in particular the safeguards issues triggered during the assessment.

Table 9: Asample outline ofmonitoring indicators No Aspect Indicator 1 Air quality Visibility not hampered 2 Water Resources Turbidity; Erosion load or level; Impact on water table 3 Soil condition Soil erosion, incidence of oil spillage 4 Vegetation Deforestation/ Clearance of vegetation for subproject activities, Changes in species attributable to project 5 Wildlife Disruption of natural habits, Threat to endangered species 6 Health Indicators Incidence of poor health Rate of contracted diseases Infant mortality rate Incidence of water borne diseases 7 Safety Accident / Incident rates 8 Education levels Literacy level Basic qualification levels 9 Income level /Wealth Reduction in level of poverty Increase in total house hold (HH) income 10 Population Dynamics Improved level of inward migrations due to improved living conditions in intervention areas; Reduced need for forced outward migration. 11 Livelihood Improved livelihood in intervention area 12 Welfare % Households (HH) in project intervention area with toilets % HH in project intervention area with access to safe water Average time taken to collect water 13 Gender equality Increase in % of women participating in decision making and consultative fora Increase in % of women accessing extension services and controlling benefits

An outline of EMMP for KCDP sub-project activities with adverse impacts is given in the following table. It has to be emphasized that actual EMMPs would have to be developed as a result of environmental and social assessment prior to implementation. The EMMP provided here will nonetheless act as a guideline by outlining the issues to be investigated while preparing 94 the project EMMP. It should be further noted that minor impact projects would be guided by the Standardized EMPs attached as Annexes in this ESMF.

95 Table 10: Environmental Management and Monitoring Plan Type of Negative Environmental and Social Mitigation measures Monitoring Indicators Responsibility Activities Impacts for Monitoring Fish storage,  Generation of solid waste, waste water  Dispose waste in accordance with waste  Compliance with Waste KMFRI / SDF processing,  Depletion of wood to process fish. management regulations, treat waste water to Management Regulations and marketing  Infrastructure upgrade at landing beaches meet NEMA standards  Assessment of water quality to would result into increased pressure on  Reforestation to curb loss of vegetation cover ensure compliance with Water fisheries resources  Introduce solar fish driers to reduce Quality regulations;  Insecurity would result into damage of dependence on wood  Monitoring fuel sources used aquaculture resources / FADs and possible  Involve fisher communities in planning for during fish processing theft of fish from ponds the new infrastructure and train them on  Minutes of meetings held with  Displacement of artisanal fishermen and dangers of overexploitation of fisheries fisher communities subsistence farmers due to delineation of resources  Number of security incidents CMA, MMA, MPAs  Enhance security in intervention areas reported  Changes in behavior resulting into loss of  Site projects away from vulnerable habitats  Availability of written hygiene original livelihood and loss of income such as mangroves standards /guidelines during the transition period  Develop standard hygiene protocols  Resource use conflicts as a result of  Ensure proper siting and design of waste changes in land use disposal facilities  Air quality degradation (odour during fish processing) Aquaculture/  Sedimentation,  Locate demonstration projects away from  Water quality analysis for KMFRI / SDF Mariculture  Stress on water resources, sewerage/waste vulnerable habitats such as mangroves dissolved and suspended solids water production,  Ensure good pond design and construction to  Monitoring of disease carriers  Changes in biodiversity, avoid abandonment due to salination and occurrences and taking  Loss of vegetation  Planting fast growing non-invasive trees for corrective measures where  Water quality degradation fuel wood to support aquaculture / necessary  Increased salinity mariculture ventures  Fast growing trees planted  Soil and ground water contamination

96 Infrastructure  Habitat degradation,  Construct structures on land that is marginal  Water quality monitoring Contractor development  Air quality degradation through dust and not of high biodiversity  Visual inspection of affected (Construction generation  Access roads and dusty project areas to be areas of jetty,  Noise and vibration from construction watered and loose material covered  Number of reported complaints offices, equipment and other construction  Construction activities to be undertaken from affected communities bandas and activities during the day and workers provided with ear  Provision and use of ear sanitary  Generation of solid waste such as protectors protectors facilities) construction debris, packaging waste  Ensure construction debris is disposed  Increase in use of VCT centres  Potential turbidity of water during properly in licensed dumpsites  Number of awareness construction of jetty and waterfront  Use of less aggressive construction campaigns conducted in target facilities techniques areas  Infiltration of project area by migrant  Construction of cultural centers to preserve  Requirement for PPE included workers may impact on culture local culture and encouragement of in contract document for the  Risk of spread of communicable diseases interaction between the migrants and locals works such as HIV/Aids  Initiate HIV awareness and prevention  Occupational health and safety impacts measures such as VCT, Peer Counseling etc.  Increase in water demand during the  Provide protective clothing for the affected construction phase workers.  Alternative water sources such as rainwater  Potential of encountering hidden artifacts harvesting, storm water harvesting  Cultural centres constructed during excavation  Notify the National Museums of Kenya and records maintained (NMK) who would activate safeguards for collection, classification and preservation of cultural artifacts. An outline of the procedure has been attached as Annex 13 in this ESMF. Construction  Air quality degradation through dust  Access roads and dusty project areas to be  Evidence of periodical Contractor of health generation watered and loose material covered watering of access roads during the centres  Noise and vibration from construction  Construction activities to be undertaken determined by spot inspections construction equipment and other construction during the day and workers provided with ear  No construction activities stage; activities protectors during the night; Ear protectors  Generation of solid waste such as  Ensure construction debris is disposed provided and used KCDP and construction debris, packaging waste properly in licensed dumpsites  Tracking of waste haulage Communities  Generation of medical and laboratory  Medical waste to be segregated and contractors to confirm only at operations waste as a result of operation of medical incinerated or appropriately landfilled licensed landfills are used stage facilities  Separate bins provided for

97  Provide appropriate PPE such as hand gloves different categories of medical and goggles/faces shields for staff working in waste medical laboratories  Waste incineration through documented consignment notes  Appropriate PPE provided and used Hatchery  Habitat degradation  Establish demonstration projects away from  Water quality analysis KMFRI construction /  Stress on water resources vulnerable habitats such as mangroves  Monitoring of disease carriers Artemia  Biodiversity loss  Ensure adequate community participation in and occurrences Processing  Increased salinity planning and operation of subprojects  Feedback meetings with  Soil and ground water contamination  Establish fish ponds away from areas of communities traditional water use

Establishment  Soil and ground water contamination  Identify appropriate tree species that are  Change in biodiversity KEFRI of woodlots  Increase in crop/plant vulnerability adapted to the ecological conditions  Change in ecosystem  Loss of productive agricultural land  Strike a balance between crop farming and composition  Socioeconomic impacts such as land and cultivation of trees  Change in soil nutrient loads water user rights  Prepare land capability maps to show  Ecosystem alteration due to large scale productive agricultural areas that would then monocultures be avoided  Spread of pests and diseases  Use standard agro-forestry techniques  Use marginal land for woodlots Development  Stress on water resources  Locate the operations appropriately to CDA of cottage  Air quality degradation minimize the impacts of noise, odour, and  Monitoring of air and industries  Solid waste pollution pollutants. effluent quality  Sewage/waste water generation  Do not locate operations in areas that threaten  Waste related disease vectors  Short-term localized land use conflicts wildlife, green space or sensitive eco-  Concentrations of cottage depending of siting of industries systems. industries in specific areas  Possibilities of the enterprises creating  Use highly raised chimneys in factories if  Change in HIV statistics in the congestion and displacement of people, established areas targeted for cottage obstruction of sidewalks or other  Develop waste management systems to industries pathways, or road traffic ensure efficient effluent and waste water  Minutes of meetings with  Gender inequality due to biased gender treatment to meet standards set by NEMA communities and training representation in established industries  Promote community participation and train records  Lack of access of hinterland communities on environmental management skills  Gender participation in the to new technologies and benefit sharing 98  HIV impacts on community health and  Ensure there is dissemination of project cottage industries productivity information widely across all community groups  HIV awareness campaigns Sanitation  Contamination of groundwater from pit  Ensure pit latrines and soakage pits are sited  Ensure recommended distances HMP and Hygiene latrines and soakage pits far away from boreholes and wells; between boreholes and pit  Health and Safety risks during minor  During excavation of soakage pits and pit latrines are maintained construction works latrines ensure that water table is not reached  Mitigation for construction  Risk of fall into open pits during  Mitigation for construction impacts as impacts effected construction proposed above for infrastructure  Filled-up pit latrines properly  Generation of dust, noise and solid waste  Backfill top of latrine with soil when full and backfilled such as construction debris, waste timber, build another;  Ensure design of pit latrines packaging waste  Construct sludge disposal pits to take incorporates vent pipes  Sludge from pit latrines backflow when main pit is full  Increase in water demand for construction  Construct ventilated pit latrines that would and sanitation (flush toilets) allow free flow of air and eliminate bad smell  Odour / foul smell would be a nuisance and flies and excrement may attract flies or mosquitoes causing diseases Waste  Lack of personal protection equipment  Provide and enforce use of PPE such as hand  PPE provided and used HMP Management (PPE) gloves and gumboots.  No overflow of waste  Overflow of waste at collection sites due  Liaise with the County Government to en-  Lockable receptacles provided to inadequate waste reception facilities large waste receptors and increase frequency  No traces of waste along  Poorly designed reception facilities of emptying of receptors transport routes leading to spread of waste by action of air  Consult with the County Government to  No odor or littering at reception or storm water improve on design of waste reception points  Negative impact on public health due to facilities by providing covers and lockable poor containment – receptacles may be shutters accessed by children as well as dogs and  Waste receptacles to be closed to prevent ac- scavenger birds cess by minors.  Littering during transportation of waste  Receptacle area to be fenced using barbed  Odour / foul smell wire where possible  Contamination of soil in the  Ensure any waste falling off wheelbarrows neighbourhood of reception facility and mikokoteni are loaded back and trans-  Contamination of nearby surface water ported to receptacle. 99 through leachate  Waste receptacles to be located far away from residential areas, other occupied buildings and busy streets;  Receptacles to be emptied frequently to prevent decomposition Natural  Conservation zones in areas used by  Develop and implement an indigenous  IPPF developed and KCDP / HMP Resource indigenous peoples may affect their peoples framework to manage subprojects implemented Management livelihood. with due regard to rights of IPs  Records of training of IPs  Conservation goals may conflict with  Capacity building of IPs to take advantage of  Minutes of planning meetings current livelihood activities practiced by new livelihood opportunities that are with IPs the IPs resulting into loss of cultural promoted by this project values  IPs to be involved in the spatial planning  Potential for non-exhaustive participation process comprehensively and areas of of IPs in the spatial planning process conflict consultatively identified and options which may further aggravate their explored and agreed on economic marginalization

100 9. STAKEHOLDER CONSULTATION AND INFORMATION DISCLOSURE

The purpose of Stakeholder Consultation and information disclosure mechanism is to:

 Inform: Promote stakeholder understanding of issues, problems, alternatives, opportunities an d solutions throughbalanced and objective information sharing;  Consult: To obtain feedback and acknowledge concerns and aspirations of stakeholders on an alysis, alternatives, and decisions with regard to KCDP projects;  Engage: Work directly with stakeholders to ensure that their concerns and aspirations areund erstood andconsidered and to assure them that their concerns / aspirations would be directly r eflected in the developedalternatives; and that feedback will be provided on how their inputin fluenced the final decision.  Empower: Make stakeholders partners in each aspect of the decision, including development of alternatives and identification of preferred solution so as to ensure ownership of sub-proje cts at grassroots level.

9.1 Stakeholder Identification Selection of stakeholders for consultation was based on three criteria as follows:  Participation in the KCDP either at PCU or at Agency level;  Potential to be impacted by proposed sub-projects;  Special interests in the programme either as government sector, NGO or CBO, etc.

Using the above criteria the following individuals and institutions were interrogated:  Members of the KCDP Project Coordination Unit and Technical Coordinators;  Government institutions responsible for management of natural resources such as KMFRI, K WS, KEFRI, CDA, SDF, Ministry of Lands and Housing among others  Influential individuals or groups operating in the area where the target natural resources are l ocated, with specific focus on community groups managing HMP projects;  Vulnerable and marginalized groups that may need special attention such as women, the poor and youth groups.

9.2 Approach to Stakeholder Consultation Consultations were held at 4 levels:-

9.2.1 PCU Level Consultations:

The ESMF Team held briefing meetings with the PCU (Project Coordinator, Component Leaders and Technical Coordinators) with a view to understanding the design, scope and objective of the KCDP. Through the PCU, the Team was able to access historical data on the KCDP planning process such as recent aide memoirs, PAD, Strategy Documents, etc. all of which served to define the scope and thinking behind the KCDP.

101 9.2.2 Agency Level Consultations:

Consultations were also extended to select implementing agencies such as KMFRI, SDF, KWS, DPP, where meetings were held with technical officers, some of who also double up as members of respective PCU Teams. The ESMF Team took advantage of such consultations to better understand the local priority intervention areas, the selection process and criteria, as well as availability of capacity for management of the social and environmental mitigation process. One of the main outcomes of Agency level consultations was that most subprojects are still at proposal / identification stage in which case specific impacts would be difficult to describe in detail at this stage.

9.2.3 Field Visits / Community Level Consultations

During visits to selectedintervention sites the ESMF Team was able to perceive the scope and diversity of potential social and environmental impacts anticipated from proposed subprojects through a system of rapid assessment of potential receptors. Indeed, it is from such visits that some of the potential triggers to WB safeguards were either confirmed or ruled out.

9.2.4 Stakeholders’ workshop to discuss the ESMF:

Three consultation workshops wereorganized for KCDP based stakeholders as follows:

i. The first consultative meeting was to assess the progress made on development of the ES MF, review the methodology and scope and identify which key areas to fastback and rele ase documents for use given that some sub-projects were already underway; ii. The second consultative meeting was to review the draft ESMF and identify the gaps that need to be completed to produce the final document; iii. Final stakeholders’ meeting was to review the ESMF and adopt it after the Consultant inc orporated the comments raised by WB and KCDP.

9.2.5 Summary of Consultative Meetings Conducted

A summary of the consultative meetings that were conducted is as follows:

Table 11: Consultative meetings conducted for development of ESMF Date Venue Number in Purpose of meeting Attendance 6.6.2014 World Bank 32 To discuss progress made by Consultant and Centre, Nairobi agree on bank expectation of ESMF 17.6.2014 KMFRI KCDP 2 Project briefing by the Project Coordinator to offices Lead Consultant. PCU undertook to provide documentation/strategies for KCDP including the

102 PAD and contact list of key staff for further consultation 26.6.2014 KMFRI KCDP 3 Consultation with Component 3 Manager for a offices briefing on areas of intervention 2nd July KMFRI 17 Meeting with all KCDP staff to brief on progress 2014. Boardroom and provide input on gaps that require additional information. Meeting resolved to fastback preparation of Screening Checklist and simple EMPs for use by HMP team since projects are already underway 8.7.14 KMFRI KCDP 3 Consultative meeting with HMP Manager for a offices briefing HMP project footprints, activities proposed / approved under HMP and contacts for CLOs for facilitation of field visits 10.7.14 KMFRI KCDP 4 Consultation with Component 2 Manager for a offices briefing on sub-projects under Component 3

11.7.14 Where Talent 7 Review environmental and social impacts of Lives, Mnarani, community based waste management initiative, Kilifi understand challenges faced and the benefits to target communities 11.7.14 African Barn Owl 8 Document potential environmental and social Caves, Kikambala impacts of Conservation of Mijikenda Culture (Kaya Forest) and the African Barn Owl, understand challenges faced by community group implementing the HMP project and the benefits to target communities 11.7.14 Responsible 7 Review environmental and social impacts of Citizens Initiative, community based waste management initiative, Mtwapa understand challenges faced and the benefits to target communities 14.7.14 KMFRI KCDP 3 Consultation with Component 1 Manager for a offices briefing on areas of intervention under Component 1 14.7.14 KMFRI offices 5 Meeting with KMFRI officer responsible for aquaculture for a briefing on aquaculture and mariculture activities 18.7.2014 Majaoni 6 Review environmental and social impacts of Boardwalk ecotourism project and benefits accruing to target Ecotourism, communities Kisauni, Mombasa 22.7.2014 Kaya Muhaka 9 Review environmental and social impacts of Ecotourism Camp ecotourism conservation project and document Msambweni, expectations of target groups Kwale 18.8.2014 KMFRI KCDP 3 Consultation with Component 3 Manager for a

103 offices briefing on areas of intervention under Component 3

9.3 ESMF and EIA Reports Disclosure

World Bank safeguard policies require that environmental reports for projects are made available to project affected groups, local NGOs, and the public at large. Public disclosure of EIA reports is also a requirement of the national EIA procedures in line with the provisions of EMCA, 1999 as elaborated in the Environmental Impact Assessment and Audit Regulations, 2003.

KCDP in collaborationwith the implementing agencies and NEMA will make available copies of the ESMF in selected public places for information and comments and notify the public of the same. The notification should be done through a newspaper or radio announcement or both. Thenotification should provide:

 A brief description of the Project;  A list of venues where the ESMF report is on display and available for viewing;  Duration of the display period; and  Contact details for communication of comments.

Disclosure of EIA study reports prepared in line with EMCA provisions would follow the same procedure.

EMCA does not require disclosure of final environmental project reports. However in order to meet WB disclosure requirements environmental project reports (EPRs) and Simple Environmental Reviews (SERs) would be disclosed in KCDP and WB websites and copies kept at KCDP offices for reference by stakeholders who have no access to internet. Notices would be posted at KCDP offices to this effect.

104 10HANDLING OF PROJECT GRIEVANCES AND COMPLAINTS

10.1 Introduction Like any other development programme KCDP is likely to elicit complaints from the project ben eficiaries and the public. The complaints may be diverse ranging from aspects of location of the s ubprojects, sharing of benefits and how the project is implemented. Handling of grievances is sig nificant since it helps to manage operational risk during implementation. The Project Appraisal Document (PAD), Strategy Documents, Environment Impact Assessment (EIA) reports and proj ect management plans may have interrogated and identified numerous project risks and potential sources of grievances.

An examination of safeguard triggered areas in the ESMF for KCDP provides a preview of the p otential areas for grievances. Some of the potential grievance areas include the possibility of proj ect areas affecting environmentally significant areas (ESAs) and riparian reserves, turtle nesting sites triggered within the Natural and Physical safeguards. In the event that the proposed subproj ects impact on Kaya forests, it may elicit complaints from the community. Subprojects that will undergo full EIA study will bring out potential risks that may arise from its implementation and t herefore elicit complaints from the communities in the neighborhood.

ESMF therefore is part of the risk analysis and is important as a fundamental step towards gettin g ready for grievances redress management. Other elements are the understanding of the capacity available for Grievance Redress Mechanism (GRM) at the level of institutions and personnel as well as instruments and tools for GRM and designing the plan.

The following sections describe the procedures that will be followed by KCDP to address complaints or concerns submitted by people who may benefit from or impacted by KCDP subprojects. It intends to provide clarity and predictability on how complaints will be received, assessed, sorted, resolved and monitored. Specific activities are described for each of these steps.

10.2 Grievance Redress Committee (GRC) In order to adequately address and manage the risk related to the grievances emanating from the project, KCDP should establish a Grievance Redress Committee (GRC), building on existing community GRM and those local institutions involved in management of such resources and mainstreaming into the legislative grievance redress mechanism as discussed earlier.

The GRC would comprise of Project Coordinator, One Component Manager (preferably the one in charge of livelihoods) the Technical Coordinator whose project is subject of the complaint, one ESSO, and a respected independent person. It will meet every 14 days to review a report of the grievance database/log and resolve any outstanding complaints but may meet on an ad hoc basis to resolve urgent cases. 105 10.3 KCDP Procedures for Addressing Complaints

10.3.1 Complaint uptake

Project staff would have primary role in resolving complaints as part of their day to day activities as they interact with community members.

Complaints can be submitted by phone, SMS or verbally to contractor staff or client staff. For site-specific projects, especially in remote areas a staff member, such as a Community Liaison Officer, will receive complaints in person from citizens who live close to the project site. Staff members who receive complaints verbally must put them in writing for them to be considered. Anonymous complaints will be accepted by phone.

Information on these various channels for submitting complaints will be publicly displayed at project site or on notice board at KCDP offices or via flyers. Complaints received will be assigned a number that will help the complainant track progress. Where possible, complainants will be handed a receipt (see Annex I) and a flyer that describes the GRM procedures, which will be read to them at their request.

10.3.2 Assessment, acknowledgment, and response

On the spot resolution is encouraged but emphasis would be on recording incidents and responses and maintaining centrally held grievance register. All complaints that cannot be responded to on the spot will be remitted to KCDP who will take at most 14days to assess them and provide a written response to the complainant, acknowledging receipt and detailing the next steps it will take. Options are:

i. The complaint falls under the mandate of KCDP and resolution can be offered immediately according to the request made by the complainant. The response will describe how and when resolution will be provided by KCDP and the name and contact information of the staff member responsible for it. ii. The complaint falls under the mandate of KCDP but various options for resolution can be considered and/or extraordinary resources are required. The response will invite the complainant to a meeting with KCDP to discuss these options. iii. The complaint does not fall or partially falls under the mandate of KCDP. The response will indicate that the complaint has been referred to the appropriate body (e.g. Complaints related to forestry will be forwarded to KFS, those related to fisheries to SDF, etc.), that will continue communications with the complainant.

10.3.3 Resolution and / or Closure

106 Where there is an agreement between the complainant and the KCDP on how the complaint will be resolved, minutes will be drafted and signed by both parties. After due implementation of it, new minutes will be signed stating that the complaint has been resolved.

Where an agreement has not been reached, the complainant will be offered the option of an independent mediation process at an alternative arbitration body such as local administration, Ombudsman office, PCC, KHRC etc. Costs will be paid by KCDP. Relevant institutional arrangements, such as MoU should be made with any of these or other mediation services at the beginning of the project.

 If the complainant accepts the mediation option and an agreement is reached, due implementation will be monitored by the mediation agency and minutes will be prepared and signed signalling the complaint has been resolved.  If the complainant does not accept the mediation option or if he/she does but an agreement is not reached, the case will be closed. The complainant may seek redress through courts or other mechanisms available at the national level.

All supporting documents of meetings needed to achieve resolution should be part of the file related to the complaint.

10.3.4 Registry and Monitoring

All complaints received will be entered into a publicly accessible system that will allow complaints to be tracked and monitored. The system will also present a database showing:  No of complaints received.  No and % of complaints that have reached agreement.  No and % of complaints that have been resolved.  No and % of complaints that have gone to mediation  No and % of complaints that have not reached agreement.

The database should also show the issues and geographic areas most complaints circle around. The information provided by the database is expected to help KCDP to improve the Grievance Redress Mechanism and better understand and address the social impacts of the project.

10.3.5 Responsibility and resources

KCDP will be responsible for the operation of this GRM. Responsibilities include:

 Maintaining the grievance redress process, including the procedures;  Registration of complaints;  Outreach and external communications;  Tracking performance and monthly reporting.  Provision of resources to cover the operational costs of the GRM.

107 Quarterly, grievance register/reports will be made publicly available.

108 11.0 CAPACITY BUILDING

Effective implementation of the Environmental and Social Management Framework will require capacity development for KCDP PCU, the implementing institutions as well those responsible for implementing sub-projects at grass-root levels. Implementers need to understand inherent social and environmental issues and values and be able to clearly identify indicators of these.

11.1 Training objectives

The overall objective of the training was to mainstream environmental and social consideration i nto participatory processes of sub-project identification, planning, implementation and mitigation as well as monitoring of the mitigation activities in the sub-projects and main projects activities.

The specific objectives of the training included:

 To ensure that key stakeholders understand the ESMF, how to apply it to sub-projects an d other activities of KCDP;

 To actively involve stakeholders and projects affected communities in the screening of en vironmental and social aspects of KCDP projects from design, planning, monitoring and i mplementation;

11.2 Scope of the ESMF Training While undertaking this study a capacity needs assessment identified requirement to strengthen capacity on social and environmental evaluation, screening, mitigation and monitoring. It was established that knowledge of environmental management of implementing institutions is still inadequate. KCDP aims to enhance capacity to enable it have dedicated staff who can follow on social and environmental challenges of the project to ensure maximum benefits.

The capacity building exercise took into consideration the integration and fulfillment of the requirements of World Bank Environmental and Social Safeguards as well as those of Kenya’s Environmental Management and Coordination Act (EMCA, 1999) and applicable policies and regulations. The programme involved training directly linked to the implementation of the ESMF as well as training on aspects influencing success of ESMF, and was clustered to cater for various target groups. Topics to be covered included:

 Background of the KCDP project – its objectives, target groups and footprints;  Role of ESMF in implementation of KCDP sub-projects;  EMCA 1999 and relevant environmental regulations;

109  World Bank Environmental and Social Safeguards;  Project screening methods;  Environmental Impact Assessment (EIA) and Environmental Audit (EA) procedures;  Project activities and their potential environmental and social impacts  Development of environmental management/mitigation plans;  Responsibilities for ESMF implementation, monitoring and reporting;  Use of Standardized EMPs by Communities to develop Simple Environmental Review reports.

11.3 Target groups

The training targeted key stakeholders involved in project interventions. Key stakeholders trained included:

 The Project Coordinating Unit (PCU);  KCDP Community Liaison Officers (CLOs);  Relevant Officers from implementing agencies including Environmental and Social Safeg uards Officers (ESSO), County Environment Officers (CEOs) and the wider NEMA;  HMP staff;  Government agencies responsible for natural resource management in Fisheries, Wildlife Service, Heritage, Forest Services, Regional Development and Water Resources Manage ment;  Community Based Organizations (CBOs), Non-Governmental Organizations and Beach Management Units (BMUs) active in subproject areas;  Representatives of Vulnerable and Marginalized Groups (VMGs) in subproject areas.

The training scope and emphasis varied for the different groups and therefore the need for separation in the training was observed. In order to integrate existing technical expertise, officers with relevant knowledge and experience in particular fields wereco-opted into the training exercise.

Table 12: Training influencing success of ESMF Training Aspect Target group Background of the KCDP project – its CLOs, CEOs, HMP staff, SDF, KWS, KFS, objectives, target groups and footprints; NEMA,MoLH (Spatial Planning,) Representatives of BMUs, CBOs NGOs and VMGs active in subproject areas Role of ESMF in implementation of KCDP PCU, CLOs, CEOs, HMP staff, SDF, KWS, sub-projects; KFS, NEMA, CECM(Environment & Natural Resources), HMP Manager, HMP County Liaison Manager, BMUs, CBOs NGOs and VMGs EMCA 1999 and relevant environmental PCU, CLOs, HMP staff, CDEs, Field Staff of regulations; implementing state agencies (KWS, KFS,

110 KMFRI, SDF, KEFRI)

World Bank Environmental and Social CLOs, CEOs, HMP staff, SDF, KWS, Safeguards; KEFRI, KFS, BMUs, CBOs NGOs and VMGs Project screening methods CLOs, HMP staff, SDF, KWS, KFS, NEMA, Representatives of BMUs, CBOs NGOs and VMGs active in subproject areas Environmental Impact Assessment (EIA) PCU, CLOs, CEOs, HMP staff, SDF, KWS, and Environmental Audit (EA) procedures; KFS; BMUs, CBOs NGOs and VMGs Project activities and their potential CLOs, HMP staff, SDF, KWS, KFS, NEMA environmental and social impacts BMUs, CBOs NGOs and VMGs Development of environmental PCU, CLOs, CEOs, HMP staff, SDF, KWS, management /mitigation plans; KFS, Responsibilities for ESMF implementation, PCU, CLOs, CEOs, HMP staff, SDF, KWS, monitoring and reporting; NMK, KFS, Use of Standardized EMPs. PCU, CLOs, Communities and NGOs active in subproject areas

111 12. ESMF IMPLEMENTATION STRUCTURE AND RESPONSIBILITIES

12.1 Introduction The Environment Management Coordination Act (EMCA, 1999) through Environmental Impact Assessment and Audit Regulations (Legal Notice No. 101) provides a clear statutory process and gives NEMA the responsibility of implementing and enforcing the EIA process. Other governme nt agencies have statutory provisions and responsibilities of ensuring sector safeguards. For exa mple forest issues have legal safeguards within the Forest Act, 2005; heritage issue safeguards ar e covered by the National Museum and Heritage Act No. 6 of2006 among others. ESMF is a safe guard process and therefore must fit well into the national safeguard process which is legislated t hrough EMCA.

ESMF for KCDP, incorporating the screening process have been designed and customized to fee d into the statutory process provided by EMCA. The implementation structures presented here th erefore are intended to be institutionalized and provide legal basis to the ESMF within the Nation al context.

12.2 Responsibilities

12.2.1 Communities:

 To identify projects in liaison with implementing institutions. The identified projects sho uld be relevant KCDP Project Development Objective.  To screen their proposed projects with guidance from TCs and CLOs in the case of HMP projects.  Develop EMPs for projects not requiring EPR or EIA. The screening forms and EMP dev eloped will be submitted to the relevant County NEMA office for review;  Mainstreaming the environmental and social safeguards into the subprojects, with the assi stance of relevant CLOs and ESSO;  Prepare budgets and implement EMPs for their projects.

12.2.2 CLOs

 Create awareness on environmental safeguards among project implementing community members;  Effectively involve communities and other stakeholders in the screening of small scale projects;  Assist communities in identifying possible environmental and social impact of proposed projects  Assist communities develop EMPs for sub projects and ensure EMP implementation;  Guide communities in all aspects of ESMF by providing technical support and advice;

112  Ensure implementation of ESMF in liaison with the County Director of Environment and the PCU;  Work with communities in the project screening process.

12.2.3 HMP Manager

 Work closely with the communities to provide details of micro-project activities so that t heir impacts may be clearly understood;  Stimulating communities to develop community needs and activities;  Sensitization and capacity building within communities to assist them make representative choices and decisions;  Regular and effective communication with ESSOs, County Liaison Officers and other relevant officers in order to facilitate two-way flow of information between communities and PCU .

12.2.4 County Director of Environment (CDE)

 Review screening reports;  Monitor implementation of ESMF by liaising with CLOs and Technical Officers at the i mplementing institutions;  Ensure that environmental screening and review systems are integrated into the subproject cycle;  Sensitize KCDP team on environmental issues and seek partnership with relevant officers in the County Government and other stakeholders  Seek technical advice from relevant government departments on compliance issues and draw from environmental knowledge, competencies and policies of other agencies;  Sign off all screening checklist review forms and annual reports;  Report on the above on during regular meetings;  Keep records of projects implemented and undertake monitoring for compliance.

12.2.5 ESSOs

 Safeguards officers at institutional level will undertake monitoring as needed (at least ann ually) of subprojects to ensure the implementation of ESMF throughout the project cycle.  Give back-up to HMP staff and communities in implementing the ESMF;  Review compliance status and report on key deficiencies and proposed improvements;  Provide day to day guidance to entire KCDP family on environmental governance outline d in the ESMF.  Liaise with relevant lead agencies and PCU for technical assistance;  Undertake monitoring and prepare periodical reports on progress of implementation of E SMP and ESMF in general.

113 12.2.6 NEMA

 Approve the ESMF  Give general supervision and coordination on ESMF implementation;  Review and approve EPR and EIA Study reports. NEMA may co-opt relevant technical officers from the proposed project area and officers from lead agencies with interest in the project;  Check /monitor the implementation of EMPs for SER, EPR and EIA study reports.

12.2.7 PCU

The Project Coordinating Unit will ensure that the ESMF is implemented and linked to the overall Monitoring and Evaluation for the KCDP. Specifically the PCU will:  Mainstream ESMF information into overall monitoring and evaluation (M&E) for the pro ject and communicate the same to the WB;  Ensure ESMF is adequately facilitated;  Provide technical advice/guidancetoTCs, ESSOs and CLOs with regard to implementatio n of ESMF;  Ensure annual Environment and Social audits of all subprojects under Components 1,2 an d 3 and 30% of selected subprojects under HMP(based on their risk profiles) are undertak en and audit report submitted to NEMA and the World Bank;  Ensure closure of environmental monitoring actions;  Assess the efficacy of the ESMF at various stages of project implementation and recomm end revisions where applicable;  Act as the link between counties, lead agencies, NEMA and World Bank.

12.3 Sub-project Implementation procedures Being an environmental and community development project KCDP aims at stimulating participatory engagement and providing remedial measures for poverty and natural resource degradation. The Environmental and Social Management Framework (ESMF) is a critical component of KCDP developed towards fulfillment of this objective.

The procedure and structures for implementation of the ESMF is therefore as follows:

 Screening would be undertaken by the implementing community / Agency under the guidance of Project representative such as Technical Coordinator for Agency subprojects or Community Liaison Officer (CLO) for HMP subprojects;  Based on the outcome of the screening exercise the TC or CLO to prepare or facilitate preparation of an Environmental Project Report (EPR) or a Simple Environmental Review (SER), and submit to NEMA for review. EPR to be accompanied with a review fees equivalent to 0.1% of the total cost of the project.  NEMA would review SER, give any additional comments / recommendations and authorize the subproject to commence.

114  In the case of EPR the County Director of Environment (CDE) would visit the site, interview proponents, assess impacts and prepare a review report of the EPR  Depending on the findings the CDE may approve the EPR report or recommend for further interrogation through an ESIA study  It is expected that most HMP projects will not require Environmental Project Reports (EPR). Similarly most of the Agency sub-projects would be expected to obtain approval at the EPR stage with very few sub-projects proceeding to EIA Study.  Preparation of EPR and ESIA Study reports is done by experts approved by NEMA. List of experts is available in the Register at NEMA offices and also in the NEMA website www.nema.go.ke.

Figure 5: Flow Chart for Screening and Environmental Impacts Assessment

PROCEED No Impact

SCREENING SER EMP / PROCEED Minor Impact STANDARDISED EMP

Moderate / Significant Impacts

Mitigation Effective Env Project NEMA PROCEED Report (EPR) LICENSE

Mitigations Unclear / Cannot Reverse Impacts

ESIA NEMA /Public PROCEED Study Review

115 12.4 Compliance Monitoring and Enforcement  Officer in charge of Compliance and Enforcement in the office of the County Director of Environment (CDE) and planning officer at the County will regularly visit the project to verify compliance and where necessary recommend corrective measures;

 In case of violation the officers shall: (i) notify the proponent verbally (ii) discuss with the proponent the rectification required and deadlines (iii) follow up with a warning letter in 5 days.

 PCU to follow up with the affected communities to ensure corrective actions are implemented;  CDE will receive violation reports and ensure enforcement within a reasonable timeframe;  After deadline the Compliance Officer will visit the site again if violation continues, community will be notified in writing including the corresponding disciplinary measure which may include such actions as project termination and institution of prosecution procedures.  NEMA, PCU, line ministries will be informed in writing

Table 13: Summary of ESMF Compliance Documentation

Documentation Responsibility Level Approval / Review 1 Completion of Communities & CLO Community / County Director of screening checklist for HMP; TC for Agency Environment (CDE) Agency Subprojects 2 Review of Screening NEMA Community CDE report 3 Preparation of SER Communities & CLO Community/PCU PCU for HMP; TC for Agency Subprojects 4 Preparation of EPR / HMP Manager / TC County PCU EIA Report 5 Review / Approval of NEMA County (EPR) / CDE / DG NEMA EPR / EIA Report National (EIA Study) 6 Quarterly / Periodical TC / CLO County CEC/PCU report 7 Annual progress report PCU National NEMA/World Bank 8 Environmental and PCU National NEMA/World Bank Social Audit report

116 Figure 6: Flow Chart for Monitoring and Reporting Procedures

CDE NEMA Annual reports

PCU Spot checks PCU periodical report on Annual NEMA/WB Environmental Environmental Verification of key E Compliance and Social and Social audit & S issues Officer compliance NEMA

CLO/ESSO Monitoring and Mitigation & Amendment Evaluation of KCDP Project Approaches

12.5 ESMF Implementation Budget

The ESMF implementation costs outlined here are for activities aimed at ensuring that KCDP sub-projects activities align with procedures recommended in this ESMF, and to support a capacity building program for key actors. It should be noted that the consultancy fees for resource persons undertaking capacity building has already been included in the overall consultancy fees for development of this ESMF

Table 14: ESMF Implementation Budget Activity Item Description Total Cost (USD) 1. Capacity Building on ESMF Training Key Stakeholders on Training workshop on mainstreaming ESMF ESMF and sensitization of key stakeholders (PCU, CM’s, TC’s ESSO’s CLO’s CDE’s Communities) on their roles in KCDP ESMF 26,650 implementation process. 2. EIAs for Component Projects EIA’s and project reports for Undertaking EIAs and submitting KCDP sub component. reports to NEMA for approval through short term consultancies 75,000

117 3. Monitoring by ESSO’s and NEMA Monitoring and reporting of Field visits for project activities ESMF implementation monitoring every quarter 26,470 4. HMP Activities Compliance of Community o Activities to comply with EMP’s projects with ESMF such as waste management, personal protective equipment, laboratory tests among other costs. o Short term consultancy to travel to site and carry out project reports 55,300 5. Annual Audits Annual Environmental and Hire a consultant to undertake the Social Review reviews (2) 85,706 Total 269,126

118 13MONITORING AND EVALUATION OF ESMF IMPLEMENTATION

13.1 Introduction This ESMF has established that implementation of KCDP activities will trigger WB safeguards outlined in Chapter 6 as a result of environmental and social impacts likely to be encountered during project implementation.These safeguards were analyzed and framework environment mitigation and monitoring plans developed as outlined in Chapter 8. The monitoring framework will serve to follow up on the success of proposed mitigation measures in reversing adverse environmental and social impacts, and establish the level of performance of the project with respect to meeting the safeguard requirements.

The monitoring will therefore be at two levels:

 At the level of monitoring the state of the environment, using the EMMP detailed in chapter 8 as a guide; and  At the level of monitoring the overall progress of implementation of the ESMF now outlined in this chapter.

13.2 Monitoring State of the Environment

As outlined in section 12.2.7 KCDP will have the overall responsibility for environmental monitoring. This would be done by:

 Undertaking annual environmental and social audit (EA) of 30% sample of the approved subprojects under components 1, 2 and 3 based on their risk profile;  Submitting the audit report to NEMA and the World Bank for review;  Ensuring closure of environmental monitoring actions.

It should be noted that none of the approved HMP sub-projects should have high significant impacts and hence all HMP sub-projects are expected to be exempted from annual audits.

The annual audit would be done in accordance with EMCA Legal Notice No. 101 ( Environmental (Impact Assessment and Audit) Regulations) and would involve:

 Inspection of the subproject site to determine environmental management practices in place;  Review of documents and records;  Sampling and analysis where necessary to determine the current environmental conditions of the subproject site ;  Review existing monitoring programs and procedures in place for control and corrective actions;

119  Examination of records of environmental incidences and complaints / grievances received from local communities;  Prepare a list of current, residual and future environmental risks;  Interviews with neighboring communities and other stakeholders to get their views on the site operations.

13.3 Monitoring the Implementation of ESMF

Several indicators shall be used in monitoring implementation of the ESMF. These include:

 Capacity building – To determine whether officers with roles in implementation of the ESM F have the necessary skills to execute their mandate;  Dissemination of ESMF documents;  Screening and review process comprehensively executed;  Appropriate environmental and social assessment instruments prescribed during the screenin g stage are applied in a promptly. Approval timelines should not frustrate project commence ment;  Environmental Management and Monitoring Plans (EMMPs) outlined in SER and EIA repo rts implemented;  Other indicators drawn from safeguard parameters that may become apparent during imple mentation / application of ESMF on KCDP sub-projects.

The aim of monitoring is to assess the progress of implementation of the ESMF and determine whether the proposed mitigations have resulted in dealing with negative impacts and whether further interventions are needed or monitoring is to be extended in some areas. Monitoring indicators will be dependent on specific project contexts.

Monitoring and surveillance of micro-projects should take place on a “spot check” basis at it would be difficult to undertake continuous surveillance on all the micro-projects financed under the project. The monitoring process would be based on observations by KCDP technical officers, appointed consultants and stakeholders to determine the trends in ESMF implementation and report on the same.

The following matrix provides a generic outline to be used for tracking whether the ESMF has been applied during implementation of sub-projects close to sensitive receptors.

Table 15: ESMF Implementation Monitoring Matrix

120 Activity Objective / Target Monitoring Indicator Responsibility

Capacity Building Officers and communities with  Training Reports PCU roles in implementation of the  Roles competently handled ESMF have the necessary skills to execute their mandate Dissemination of Adequate dissemination of  Copies of ESMF available at PCU ESMF ESMF stakeholders NEMA, PCU and Agency offices;  Copy of ESMF posted on WB portal and KCDP website Screening and All subprojects screened prior Screening forms filled and records CLO/ TC Review Mechanisms to implementation kept Preparation of Appropriate environmental and  SER prepared by communities  Communities Environmental and social assessment instruments with assistance of CLOs and / CLO Social Impact prescribed during the screening submitted to NEMA for review Assessment Reports stage are applied and record;  PCU  Independent consultants hired to prepare EPR/EIA reports and the said reports submitted to NEMA for approval Environmental EPR and ESIA study reports  EPR approved within 30 days of NEMA Licenses reviewed and licenses issued in submission a timely manner so as not to  ESIA study reports reviewed frustrate commencement of within 90 days subprojects Monitoring and Environmental Management Periodical monitoring reports as per  Communities evaluation at and Monitoring Plans (EMMPs) recommendations of SER or EIA ; subprojects level outlined in SER and EIA  Implementin reports implemented g Agencies

121 ANNEXES

Annex 1: Screening Form

KENYA COASTAL DEVELOPMENT PROJECT (KCDP)

ENVIRONMENTAL SCREENING FORM PART A: GENERAL INFORMATION Project Name and Location 1. Name of Subproject: 2. Sector:…………………………3. Name of the CBO / Group:…………………………… 4. County:………………………. 5. Location and Village:…………………………… 6. Subproject Site Coordinates ………………………………… 7. Approving Authority:……………………………………………………………

Details of Individual Responsible for Completion of Form A: 1 Name: ………………………………………2. Job title: ………………………………….. 3. Tel. Number:………………………………...4. E-mail Address: ………………………….. 4. Date:………………………………………...5. Signature…………………………………

PART B: DESCRIPTION OF THE ENVIRONMENTAL SITUATION AND IDENTIFICATION OF ENVIRONMENTAL AND SOCIAL IMPACTS Brief Project Description I. Describe the sub-project location, siting and ecological environment around sub-project area. A sketch map may be attached.

______

122 ______II. State whether the sub-project would impact on the following: Description Yes No 1. Soil Erosion 1. a Would implementation of the subproject create a risk of soil loss, erosion or salinity? b Would the subproject affect stability of slopes directly or indirectly? 2. Water Use / abstraction Yes No a Will the subproject increase demand of water or cause loss of available ground water? b Would the subproject cause deterioration of ground water quality? 3. Disease Vectors Yes No a Are there known diseases likely to be transmitted through vector species in the subproject area? b Will the subproject create or increase habitat for vector species? 4. Contamination and Pollution Hazards Yes No Will the subproject create risk of contamination and pollution hazards from latrines, dump sites, industrial discharge, wastewater discharge, etc.? 5. Energy Source Yes No a Will the subproject increase the local demand for conventional energy sources or create demand for other energy sources? b Will the subproject decrease the local supply of conventional energy sources? 6. Project Construction / Implementation and Maintenance Yes No Will subproject implementation/construction require consideration of any health a and safety issues? b Will the subproject generate non-hazardous waste? c Will the subproject require frequent maintenance and repair? 7. Sensitive Habitats/Areas of High Biodiversity Yes No Will the subproject be located in or affect any environmentally sensitive area such a as rivers, lakes, seashore, marsh, swamp, flood plains, estuaries, mangrove forest, sea grass beds, protected area/parks? Will subproject affect the habitat of any endangered species or migratory routes b for birds or wildlife?

123 8. Cultural and Religious Values Yes No Will the subproject adversely affect religious and/or cultural attitudes of area residents, or interfere with archeological or historical sites? 9. Resource / Land access and Livelihoods YES NO a Will people’s assets or sources of livelihood be impacted negatively? Will the subproject interfere with or block access to community resources such as b water, grazing land or agricultural land, or create conflicts/competition for YES NO resources among local communities? c Will the subproject adversely affect existing or potential tourist resources or YES NO recreation attractions? 10. Hazardous Waste Will the subproject result in production of hazardous waste or large quantities of solid or liquid waste? PART C: CONCLUSION Summar Safeguard Requirements y All the above answers are “No” If all the above answers are “No”, there is no need for further action. There is at least one “Yes” If there is at least one “Yes”, to questions no 1-6 then a Simple Environmental Review (ER) of impacts and development of an EMP would be required. There is at least one “Yes” on 7,8,9 If there is at least one “Yes”, to questions no. 7- 10 then an and10 Environmental Project Report (EPR) should be prepared Which courses(s) of action do you recommend? (Please tick one)

1) No further action since sub-project has no impacts. 2) Simple Environmental Review (ER) and development of an EMP since sub-project may create a few minor impacts. The proponent may use standardized EMP as a guide 3) EIA Project Report to be prepared and submitted to NEMA for review. NEMA may clear the project report or require EIA Study to be undertaken. Any other recommendation (Please explain).

This form has been completed by: Name: ______Title: ______Signature: ______Date: ______

PART D: REVIEW AND DECISION BY NEMA

124 Comments and Decision: ______Name: ______Title: ______Signature: ______Date: ______

Annex 2: Simple Environmental Review (SER) Form for Minor Impact Projects

125 Description of Subproject Potential Impact Proposed Mitigation Measure Activity

Annex 3: EMP FOR CULTURE AND TOURISM PROJECTS

POTENTIAL IMPACT MITIGATION MEASURES MONITORABLE INDICATORS RESPONSIBLE Clearance of vegetation to  Restore vegetation immediately af- Vegetation restored HMP / Communities create access routes for ter the works; conservation sites Too many visitors Carrying capacity assessment Capacity assessment done and appropriate KCDP (exceeding carrying recommendations implemented capacity) Stalking wildlife / birds Develop strict anti-stalking rules and Rules implemented and signage posted HMP post warning signs Deforming the natural face Maintain the physical & natural face Natural face of caves retained HMP of caves during construction blend with the environment Reduced access to locals  Develop community partnership Number of complaints received from CLOs frameworks locals  Develop community tourism participation facilities Low benefit sharing  Train local community on benefits  Training records CLOs / Communities Report Prepared By: & ownership  Local management team established  Establish local management team and benefits sharing structures in place Name: ______ Develop benefit sharing structures  Provide employment to the locals  Percentage of locals employed Position: ______Inadequate sanitary facilities  Provide adequate sanitary facilities Sanitary facilities provided KCDP Signature: ______resulting into soiling of caves to cater for staff and guests Date:and the ______neighbourhood Littering  Provide litter bins  Litter bins available KCDP  Train the locals to use the bins & on  Training records Report Approved By: environment management in general Low environmental and  Improved signage  Signage in place HMP safety awareness Name: ______ Improve compliance promotion  No of awareness campaigns Position: ______126 Signature: ______Date: ______conducted Interaction with tourists  Enlighten communities on negative  No of tourism awareness KCDP could interfere with culture effects of tourism campaigns conducted of local communities and  Sensitization on child sex tourism  Community sensitized on child sex create negative effects such &other vices tourism as prostitution and child sex  Provide restriction / adult guide to tourism children Disposal and selling of  Initiate a cultural artifacts  Cultural artifacts assessment KCDP cultural artifacts assessment and preservation undertaken programme;  Marketing outlets available for  Provide designated marketing authorized art outlets selling authorized art such as curios Family conflicts Provide family counseling Counseling programmes in place HMP programmes in the area Risk of spread of  Initiate HIV/Aids prevention pro-  HIV/Aids prevention programmes in HMP communicable diseases such grammes such as Voluntary Coun- place; as HIV/Aids seling and Testing, Peer Counseling etc.;  Condom outlets established  Increase awareness by use of  Promotion materials distributed promotional materials such as T- shirts, Caps and stickers bearing HIV/Aids prevention messages  Destruction of  Contact the cultural agency NMK Reports of Archeological Impact KCDP archeological sites for direction on professional excava- Assessment or site cultural assessment /treasures during tion that would conserve artifacts reports prepared by NMK construction and involve NMK to undertake retrieval and preservation of chance finds  Design an archeological & artifacts management plan  Defacing of artifacts  Establish an artifacts preservation  Conservation programme in place KCDP  Illegal collection / sale of programme in liaison with NMK artifacts-  Stop illegal collection Risk of fall into caves and  Supply and enforce use of hard huts  PPE provided and used HMP

127 head injury from sharp (helmets) by both visitors and staff  Safety regulations enforced overhead rocks  Ensure all persons entering the  Visible signage posted caves have closed shoes  Post visible signage at entrance into caves Risk of snakebites and sting Include anti-snake bite and anti-sting Medication for snake bites and HMP from indigenous insects medication as part of first aid sting provided resident in caves medicament Walkthrough by large  Create footpaths / walkways in  Footpaths created and use en- HMP number of tourists may cause conservation areas and enforce use forced; environmental degradation by inducting all guests prior to  Anti-harvesting regulations en- through trampling vegetation accessing the caves forced and warning signs posted. and harvesting local flora  Initiate strict anti-harvesting regulations and post warning notices at entrance of caves

128 Annex 4: EMP for Water Supply and Conservation

EMP FOR WATER SUPPLY AND CONSERVATION PROJECTS

TYPE OF POTENTIAL IMPACT MITIGATION MEASURES RESPONSIBLE PROJECT Sinking of  Clearance of vegetation  Establish aquifer yields KCDP Boreholes  Depletion of underground aquifers  Hydrological surveys and studies and obtain abstrac-  Contamination ground water by sewage tion permits &latrines (minerals etc.)  Lining of the wells while drilling  Salinity ingress/intrusion of sea water if  Maintaining standard well distance in line with near the sea WRMA requirements  Declining yields with use  Establish a management team to control abstraction  Collapse of borehole under pressure head  Rationalize on number of wells for particular aquifer  Noise during sinking would be a nuisance after studies of aquifer yield to residents  Establish salinity intrusion

Rainwater  Contamination from dirty roofs  Avoid trapping of first rains to allow for cleaning of Communities harvesting (from accumulated dust or bird roofs; droppings);  Avoid collection of rainwater from painted roofs  Contamination from rusty roofs  Regularly clean the water tanks  Contamination from painted roofs  Clean roofs after prolonged droughts  Contamination from accumulated tank residues - algae Piping and  Generation of solid waste  Seek approval of owners HMP plumbing  Cutting trenches through farms  Reinstatement after laying pipes  Cutting trenches across paths & roads  Post warning signs during construction works Water tank  Trampling on flora  Restore disturbed vegetation after construction HMP construction  Collapse of structure  Involve competent engineers in design and supervi-  Contamination from accumulated tank sion residues - algae  Regular cleaning of tank Water Pan  Removal of vegetation and soil overlay  Heap and firm soil to create wall of pan CLOs /  Overconcentration of livestock may de-  Install drinking trawls for livestock & pipe into them Communities

129 stroy flora in neighbourhood of pan  Install taps to draw water from the pans  Contamination from livestock urine;  Educate the public on the risks  Risk of accidental fall into pan  Initiate catchment conservation and erosion control  Degradation of immediate catchment measures  Siltation from run offs  Introduce mosquito larvae eating fish  Overspills/flooding  Initiate a regular desilting programme  Breeding ground for disease vectors such  Establish a management team to oversee utilization as mosquitoes. Dam  Waste generation  Segregate waste and dispose appropriately HMP Rehabilitation  Vegetation Clearance  Restore disturbed vegetation after construction /Communities  Potential contamination of water by pol-  Educate public on fall risks lutants in the vicinity of well  Involve personnel in design and supervision  Possibility of fall into dam leading to  Establish a management team to oversee utilization drowning, injury or death  Possible collapse of well during excavation  Conflict arising from use of facility Construction of  Accidental fall into dam  Educate public on fall risks HMP / Sand Dams  Generation of solid waste  Segregate waste and dispose appropriately Communities  Potential contamination of water  Restore disturbed vegetation after construction  Vegetation Clearance  Establish a management team to oversee utilization  Conflict arising from use of facility Shallow well  Vegetation Clearance  Restore vegetation upon completion of works HMP /  Potential contamination of water by pol-  Maintaining standard well distance in line with Communities lutants in the vicinity of well WRMA requirements  Possibility of fall into well leading to  Educate public on fall risks drowning, injury or death  Involve competent personnel in design and supervi-  Possible collapse of well during excava- sion tion  Segregate waste and dispose appropriately  Generation of waste during construction  Establish a management team to control abstraction  Conflict arising from use of facility

130 Annex 5: EMP for Small Scale Infrastructure Projects

POTENTIAL MITIGATION MEASURES MONITORABLE INDICATORS RESPONSIBLE IMPACT Generation of Dust  Sprinkle water in affected areas and access  Access roads watered Contractor roads if applicable;  Number of reported cases from affected  Bulk materials to be kept in a stockpile ad cov- communities ered to avoid being spread by wind;  PPE provided and used  Workers to use dust masks Noise and  Workers to be provided with ear plugs;  PPE provided and used Contractor Vibration  Works be done only during the day if project is  Number of reported cases from affected located in residential area; communities  Equipment to be regularly maintained  Maintenance records Solid waste from  Develop and implement an effective waste man-  Waste management records maintained Contractor construction debris agement plan;  Records of contractor licenses and packaging  Emphasize on waste segregation, reuse, recy- materials cling  Waste to be handled by licensed waste contractors Clearance of  Replant vegetation in areas not occupied by the  Vegetation replanted upon completion of Contractor vegetation infrastructure construction Infiltration of  Use local labour for non-specialised works such  Percentage of local workers workers en- Contractor project area by as manual works, drivers, messengers and other gaged for non-specialised works migrant workers categories of unskilled labour impacting on culture Risk of spread of  Initiate HIV/Aids prevention programmes such  Increase in use of VCT centres; HMP communicable as Voluntary Counseling and Testing, Peer  Number of awareness campaigns con- diseases such as Counseling etc.; ducted HIV/Aids  Increase awareness by use of promotional materials such as T-shirts, Caps and stickers bearing HIV/Aids prevention messages Health and Safety  Provision and use of prerequisite PPE;  PPE provided and used Contractor concerns  Engage competent supervisory staff comprising  Qualified and experienced staff available of an experienced safety officer to enforce safe- at site;

131 ty regulations;  Training records available  Training of staff on safety regulations;  First aid boxes available and well  Provision of well-equipped first aid boxes and stocked training of first aid personnel  Inspection records  Undertake periodical safety inspections and audits to review safety awareness levels;  Simple transport equipment provided  Provide simple transport equipment such as and used wheelbarrows and handcarts (mikokoteni) to reduce manual handling. Increase in water  Conserve water through rainwater and storm  Rain / storm water harvesting initiated HMP / Contractor demand water harvesting;  Water conservation messages posted  Initiate water conservation awareness Potential oil spill  Limit quantity of hydrocarbons stored at site by  Records of hydrocarbon quantities and Contractor from fuels and procuring on need basis stock-out dates; lubricants stored at  Ensure availability of spill containment facili-  Spill containment facilities available the site ties Sanitary waste  Install waste treatment facilities such as septic  Waste treatment facilities available KCDP from flush toilets tank and soak pit Collapse of  Engage competent engineers and architects for  Competent supervisory staff engaged HMP / Contractor structures design and supervision Generation of  Ensure liquid waste is not mixed up with solid  Appropriate collection and disposal of Contractor Liquid Waste waste since this will compromise segregation; liquid waste  Liquid waste to be collected and stored in proper sealed containers  Liquid waste to be disposed in appropriate dug pits

132 Annex 6: EMP for Sanitation and Hygiene Projects

POTENTIAL MITIGATION MEASURES MONITORABLE INDICATORS RESPONSIBLE IMPACT Clearance of  Restore vegetation immediately after the works;  Vegetation replanted in area not cov- HMP vegetation to create  Prepare nursery or source seedlings from existing ered by the construction room for toilets nursery  Availability of source nurseries Contamination of  Ensure pit latrines and soakage pits are sited far away  Distance to nearest well; HMP groundwater from pit from boreholes and wells;  Depth of latrine vis-à-vis water table latrines and soakage  During excavation of soakage pits and pit latrines en- pits sure that water table is not reached Health and Safety  Provision and use of prerequisite PPE, specifically  PPE provided and used Contractor risks during minor safety shoes/gumboots, helmets and hand gloves  Qualified and experienced staff avail- construction works  Engage competent supervisory staff and enforce safe- able at site; ty regulations;  Training records available  Training of staff on safety regulations;  First aid boxes available and well  Provision of well-equipped first aid boxes and train- stocked ing of first aid personnel  Transport equipment provided  Provide simple transport equipment such as wheelbarrows and handcarts (mikokoteni) to reduce manual handling. Risk of fall into open Ensure pits are covered at all times Covered pits Contractor pits during construction Generation of solid  Waste to be appropriately segregated and reused or  Waste management records Contractor waste such as recycled where applicable;  Waste transporter license and con- construction debris,  Garbage and litter to be disposed at approved dump signment notes waste timber, sites by licensed waste contractors in line with waste packaging waste management regulations Sludge from pit  Backfill top of latrine with soil when full and build  Pit latrines constructed with appropri- HMP latrines another; ate overfill mitigation option  Build twin latrines that are shallow and can be used after biological degradation using catalyst such as

133 ash;  Construct sludge disposal pits to take backflow when main pit is full Increase in water  Conserve water through rainwater water harvesting;  Rain water harvesting initiated demand for  Initiate water conservation awareness  Water conservation messages posted construction and sanitation (flush toilets) Generation of dust  Sprinkle water in affected areas to suppress dust;  Access roads watered Contractor during construction  Bulk materials to be kept in a stockpile and covered  Number of reported cases from affect- to avoid being spread by wind; ed communities  Provide workers with dust masks and enforce use  PPE provided and used Odour / foul smell Construct ventilated pit latrines that would allow free Pit latrines in subproject areas constructed HMP / Contractor would be a nuisance flow of air and eliminate bad smell and flies with vent pipes and excrement may attract flies or mosquitoes causing diseases

134 Annex 7: EMP for Waste Management

POTENTIAL IMPACT MITIGATION MEASURES MONITORABLE INDICATORS RESPONSIBLE Cuts and pricks from  Provide and enforce use of PPE  PPE provided and used HMP / sharp objects hidden in such as hand gloves and gum-  Waste tracking records indicating type and source Communities the waste may cause boots. injuries during collection  Avoid handling of biomedical waste that is likely to contain sharps Lack of PPE  Provide adequate PPE before de-  PPE provided and used; HMP ploying workers to sites  Training records  Train workers on effective use of PPE

Overflow of waste at  Liaise with the County Govern-  No overflow of waste at reception points CLOs / collection sites due to ment to enlarge waste receptors Communities inadequate waste  Liaise with the County Govern- reception facilities ment to increase frequency of emptying of receptors Poorly designed reception Consult with the County Government Covers and lockable shutters provided HMP facilities leading to spread to improve on design of waste of waste by action of air reception facilities by providing or storm water covers and lockable shutters Cross contamination of  Undertake segregation of waste  Waste collection / segregation records Communities recyclable waste due to before dumping. Waste to be sep- lack of, or improper arated into categories such as segregation metal, plastic, paper so as to enhance possibility of recycling Negative impact on  Waste receptacles to be closed to  Closure of receptacles and fencing / isolation of HMP / public health due to poor prevent access by minors. waste reception areas Communities containment – receptacles  Receptacle area to be fenced us- may be accessed by ing barbed wire where possible children

135 Littering during  Ensure any waste falling off  Waste transport routes clear of spills or droppings Communities transportation of waste wheelbarrows and mikokoteniare loaded back and transported to receptacle.  County Government to ensure garbage collection trucks are not overfilled to the extent of scattering litter Odour  Waste receptacles to be located  Distance of receptacles from residential areas CLOs far away from residential areas,  No odour at reception points other occupied buildings and busy streets;  Receptacles to be emptied frequently to prevent decomposition Contamination of soil in Avoid overflow of waste receptors by No overflow at reception points CLOs / the neighbourhood of adopting mitigation measures Communities reception facility proposed above Contamination of nearby Ensure reception facilities are located Distance of reception facilities from surface water CLOs surface water through far away from surface water / surface bodies and drains leachate water drains

136 Annex 8: EMP for Forest Conservation and Management

POTENTIAL MITIGATION MEASURES MONITORABLE INDICATORS RESPONSIBLE IMPACT Conflict between  Restrict forestry activities to non-  Forestry activities undertaken away from prime KCDP agricultural activities agricultural areas agricultural areas and conservation as a  Availability of zoning plans result of farm tree  Develop a Zoning plan planting Potential siltation of  Schedule for pitting at onset of rains;  Pitting programmes / plans vis-à-vis timing of HMP / water resources in  Promptly plant seedlings and backfill rains Communities project area during pits to limit effects of siltation  Seedlings promptly planted excavation of pits Soil erosion as a result of Plant trees in affected areas to improve Reforestation undertaken CLOs/ ground preparation vegetation cover Communities during the early stages Generation of solid Collect solid waste and dispose as per Waste disposed in line with waste management Communities waste such as plastic waste management regulations regulations bags and sacks Pressure on water Initiate alternative sources of water such Rainwater harvesting and storm water harvesting Communities resources due to as rainwater harvesting and storm water initiated increased demand of harvesting for watering seedlings water for watering seedlings Potential ground and Use only organic fertilizers and avoid Environmentally friendly fertilizer used HMP surface water pollution use of herbicides due to use of fertilizers or herbicides Introduction of exotic Give priority to indigenous species Exotic species avoided HMP species would threaten existence of indigenous species, with possibility of extinction Potential forest fires  Public awareness campaigns and  Number of awareness campaigns conducted CLOs provision and maintenance of firefighting equipment  Fire drills conducted and records maintained 137  Involve communities in periodical fire drills to enhance firefighting capability and overall fire safety preparedness Inappropriate tree  Consult farmers &Kenya Forestry  Records of discussions with farmers and Kenya HMP species selection Service for species selection Forestry Service Suppression of Control livestock grazing Grazing programme in place that supports HMP regeneration due to regeneration overgrazing Restricted access to  Allow controlled access for medici-  Controlled access granted; HMP forested areas nal & minor forest products (honey etc.)-  Management committee set up;  Establish a local management system/institution/forest group to man-  No of tree nurseries established in area age permission issues  Establish a tree nursery in the area  Training records  Allow for natural regeneration(zoning off)  Establishing a training & awareness process Inappropriate mangrove Consult KMFRI and fisheries depart- Records of Discussion with KMFRI and SDF HMP species selection ment for species selection

138 Annex 9: EMP for Soil Conservation / Riverbank Protection

POTENTIAL IMPACT MITIGATION MEASURES MONITORABLE INDICATORS RESPONSIBLE Building of erosion  Back fill excavated areas once  Erosion control structures in place Communities control structures such as terraces are in place terraces would result into disturbance of soil Terraces might reduce the  Ensure terraces are well spaced to  Terraces well-spaced CLOs area available for leave room for cultivation cultivation Vegetation clearance to  Restore vegetation immediately  Evidence of revegetation Communities create room for terraces after the works Pegging of riparian  Import twigs to ensure sensitive  Pegs made from non-sensitive flora HMP reserves would require flora are not harvested or cutting of twigs mutilated Restoration of  Sensitize communities  Sensitization workshops held HMP environmentally neighbouring riparians  Management committee in place and significant areas may  Institute appropriate management conflicts managed in line with the GRM cause boundary conflicts regimes outlined in ESMF

Terraces may trap storm  Institute control measures such as  Incidence of water-borne diseases CLOs water and become habitat spraying approved insecticides for mosquitoes

139 Annex 10: EMP for Energy Conservation / Alternative Energy

POTENTIAL IMPACT MITIGATION MEASURES MONITORABLE INDICATORS RESPONSIBLE Generation of smoke during Conduct burning in controlled  No smoke during manufacture of CLOs/Communities manufacture of briquettes conditions by carbonizing feedstock to briquettes drive off volatile compounds  Record of complaints from neighbours Use of charcoal dust as raw Use alternative sources of raw Quantity of charcoal used in the HMP/Communities material for briquettes may materials such as coconut husks, process encourage charcoal burning agricultural waste or saw dust hence deforestation Generation of solid waste Maximize use of feedstock to ensure  Percentage of feedstock not HMP/Communities efficiency and minimize waste; converted to product Provide waste collection bins to avoid  Waste bins provided and used; littering;  Percentage of waste recycled / Encourage waste recycling / reuse reused; Collect waste and dispose in  Waste appropriately disposed accordance with waste management regulations Manufacture of briquettes Provide alternative mulch or manure Alternative sources used HMP from other agricultural waste such as cow-dung may result into removal of mulch (protective covering of organic material) thereby affecting soil quality Construction of kilns would Reinstate soil in disturbed areas once Soil reinstatement in disturbed areas CLOs / Communities result into soil disturbance construction is completed

140 Annex 11: Complaint Registration Form

Receipt of Complaint

Received on (date): __/___/____ Tracking No: …………./…….. Received by: phone / fax / email / note /verbally Received and processed by (full name): ______

Signature: ______

Summary of the complaint: …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… ………………………………………………………… Complainant’s full name: ______Complainant’s ID No:______Complainant’s address: ______Complainant’s phone No (home/cell): ______Complainant’s email: ______Annex 12: Outline of an Effective Grievance Redress System

1.0 Principles

The principles that guide the GRM’s procedures and by which their performance should be evaluated are: i. Accessibility: It should be accessible to everybody who would like to submit a complaint and should provide assistance to those who face barriers such as language, literacy, awareness, cost, or fear of reprisal. ii. Predictability: It should offer a clear procedure with time frames for each stage and clarity on the types of results it can and cannot deliver. iii. Fairness: Its procedures should be widely perceived as fair, especially in terms of access to information and opportunities for meaningful participation in the final decision. iv. Rights compatibility: Its outcomes should be consistent with applicable national and international standards and should not restrict access to other redress mechanisms. v. Transparency: It procedures and outcomes should be transparent enough to meet the public interest concerns at stake. vi. Capability: It should have the necessary technical, human and financial resources to deal with the issues at stake. vii. Feedback: It should serve as a means to channel citizen feedback to improve project outcomes for the people.

1.1 Grievances and complains redress structure (i) Risk assessment; Conventionally GRM proceeds through a standard format such as a me chanism of assessing and documenting the risks of exposure as a result of projector progr amme. The risk analysis can be preliminarily attained through ESMF process. This occur s during the earlier faces of the project in order to develop a plan for the foreseen risks. S ome risks are unforeseen and therefore will emerge at the level of the project implementat ion.

(ii) Capacity assessment: Capacity assessment of grievance handling institutions provides th e opportunity to understand the readiness of institutions with respect to grievance handlin g and whether they meet the principles that appertains to grievance redress mechanism in stitution and legitimacy including accessibility, transparency, accountability, fairness, reli ability, and predictability, rights to compatibility, capability and feedback.

(iii) Designing the Action plan; The action plan is expected to design the specific steps that will be taken and possible milestones and those responsible for taking the tasks.

1.2 Receipt and Processing of Complaints

142 Apart from the background for effective readiness for grievance handling there are minimum requirements for complaint handling processes and key steps such as:

(i) Complaint receiving point: There has to be a known accessible and friendly instituti on capable of receiving complaints and documenting, classifying and solving low lev el grievances and forwarding high level grievances to advance grievance redress mec hanism (GRM).

(ii) Documenting of grievance: A standard way of receiving and documenting the grieva nces, assigning a tracking method for the complaints and establishing a database for st orage and ease of retrieval

(iii) Grievance classification: Grievance levels are often different including the relevance and genuineness. Classification allows for decision to deal with the grievances at com plaint receiving point or forward it to other levels as well as providing a resolution sc hedule.

(iv) The appeal forum: In the event that the aggrieved parties are not happy with the deci sions they should be given an opportunity for a second chance through a different set up.

(v) Resolve and follow up: Follow up on grievances is important in order establish whet her aggrieved parties are satisfied with GRM.

1.3 Institutional Grievance Redress Mechanism in Kenya Kenya has a number of GRM institutions provided in its legal statutes and the constitution for ex ample has elevated constitution into a human right issue including a guaranteed access to inform ation and data. Grievance redress mechanism is an important component of government service. To this end the Constitution has established a constitutional human rights office. The recently cre ated Commissioner of administration of Justice (CAJ) is a constitutional office that performs the role of ‘ombudsman’.

Other laws providing for grievance redress mechanism include the Environment Management Co ordination Act No.8 Section 117 that establishes Public complaints committee (PCC) or the envir onment ‘ombudsman’. NEMA has provisions and structures to handle and follow up complains o n matters of environment..

The following is a list of some of the National institutional with the mandate of handing general grievances and some grievances specifically related to environment.

Annex Table 1: Institutions with mandate for handling environmental grievances Institution Level 1 Kenya human Rights Commission National office / Local offices

143 (KHRC) 2 Commission of Administration Justice National office (CAJ) 3 Public Complains Committee (PCC) National office / Local office 4 National Environmental Tribunal National office 5 Land and Environment Court National (court) 4 National Environment Management National level / Local office Authority (NEMA)

1.4 Kenya human rights Commission (KHRC) Kenya Human rights commission was created in 1991 and entrenched in the constitution of Keny a in 2010. The mandate of KHRC is to defend human rights for the Citizens of Kenya and to pro mote the development of democratic culture through supporting individuals, communities and gr oups to claim and defend their rights and holding state and non-state actors accountable. Environ ment has been elevated to a human right by the Constitution of Kenya, Section 72 that provides f or the citizens of Kenya to enjoy a clean and healthy environment as a human right.

1.5 Commission on Administration of Justice (CAJ) Commission on the Administration of Justice or the ‘Office of the Ombudsman‘ as it is commonl y known in other places is a grievance redress mechanism (GRM) created by the Constitution of Kenya and focuses mainly on complains about public offices, conduct of officers, public instituti ons and state offices and officers. This is the office of the last resort when all other grievance res olving mechanism have exhausted.

Commission on Administration of justice (CAJ) focuses on the misuse of office, unethical condu ct, and breach of integrity, maladministration, delay of justice, injustice, inattention, incompetenc e, misbehavior, inefficiency and ineptitude.

CAJ has a procedure for lodging and handling complaints until it is determined and decision is m ade. Complaints are lodged in writing either through email, by letter, by phone, in person or usin g online complaint form. CAJ has a standard procedure for lodging, and handling of complaints, categorized into levels one to five. Level I involves procedures for lodging complaints, level II is determining the complaint, level III is investigation of the complaint, level IV making decision f or action and level V involves resolving of complains.

1.6 Public Complaints Committee (PCC)

Public Complains Committee (PCC) is one of institution that was created by EMCA, 1999 accor ding to the provisions of sections 32 and 33. PCC has developed and gazzetted an operational reg ulation in notice No.137. This institution was created to be the peoples ‘watchman’ with the view to address environmental problems from whichever source, be accessible to the general public an d to receive and deal with complains .

144 PCC do not have offices in Counties but can receive them through County Director of Environm ent Offices. These complains are then lodged through a special form, form IC developed by PCC. After receiving complains PCC visits the site, launches investigations through interviews and or ganizes formal hearings by the parties under dispute. They also summon witnesses and may call members of the public. For objective analysis PCC sometime contracts consultants for specialize d investigations. PCC receives complains on all matters environment including property disputes and disputes over natural resources

Once investigation is complete PCC prepares a report with recommendation for each complain, t he report is published and then forwarded to relevant Agency for follow up and to the National E nvironment Council (NEC) for deliberation.

1.7 National Environmental Tribunal (NET) National Environmental Tribunal is a quasi court with provision of handling environmental dispu tes and making decisions that are legal in nature; NET is at the same level to the high court and is presided over by a judge of the high court.

1.8 Land and Environment Court A new creation of judicial system of Kenya land and Environment Court, presided over issues rel ated to environment and is of the same status as that of the Court of Appeal. The court discharges its duties in line with principles of sustainable development as provided in the Constitution and E MCA.

1.9 The National Environment Management Authority GRM Structures

1.9.1 Incidence management

National Environment Management Authority (NEMA) through EMCA No.8 of 1999 provides several mechanisms for redress of complains and grievances on environmental matters. The Authority has established an incidence and complains desk with a dedicated telephone number and trained officers capable of receiving complains, processing them and classifying them depending on the level of risk.

After classification the complaint or incidence is passed to relevant office and institution for action and follow up. Depending on the level of grievance and the locality the complaint is handled by a team from headquarters or from the Counties.

1.9.2 Mandatory Public Hearing on Environment Impact Assessment (EIA)

Environment Management Coordination Act through the EIA /EA regulation also provides anoth er opportunity for grievance redress mechanism as it provides for local community to raise their grievances vis-à-vis large scale development projects because the law stipulate a mandatory publ ic consultation and disclosure process.

145 ESMF process being a safeguard measure just like EIA requires similar treatment as provided in the Constitution and within the legal statutes in Kenya of public consultation and disclosure. Thr ough this process opportunity exists for the public to raise their grievances during project design and follow up implementation.

Through the Public Hearing process communities have in the past succeeded in halting projects or obtaining a degree of success in attaining compensation.

1.9.3 Inspection and Compliance

Compliance and enforcement is a department of NEMA whose main role is to undertake regular inspection in order to establish compliance with EMCA regulations such as EIA /EA regulations. Inspection is undertaken as a normal operation of the department or as a follow up of a complaint from the public. Inspection is therefore a means of addressing environmental grievances from the public and employing statutory means for resolving the environmental grievances. As a result of inspection an improvement order may be issued, while in some cases license issued to the project may be cancelled and extreme cases if the grievance is not redressed enforcement action, prosecution and closure of the facility is ordered.

Inspection is conducted by an environmental inspector gazetted under the provision of section 117 of EMCA No.8 of 1999, which gives the inspector powers to issues restoration or cessation order under section 108-111 of EMCA No.8 of 1999. The order is issued to prevent any person from taking any action that could injure the environment or is likely to cause injury to the environment, restore the injured environment and even levy charges on the person responsible for the harm to pay for the corrective measures.

1.10 Involuntary Grievance Redress Mechanisms and Structures

1.10.1 Public barazas

Public Barazas are known traditional forums in Kenya where an opportunity to engage with the c ommunity is often provided. Public Barazas are organized by local Chiefs and Assistant Chiefs o n known days of the week. Participants are drawn from the members within the location or sub -l ocation. A standing panel of village elders chaired by the Chief or the Assistant Chief constitutes the committee.

This public forum has succeeded in handling and resolving many disputes within the communitie s includes those on family, between clans, boundaries issues, land as well as other natural resourc es issues. The panel also receives and handles complains over community dissatisfaction with cer tain services and functions of the government including equity on services and resources to the c ommunity

146 This structure is a one of that can be prepared to receive and deal with the local complaints but al so an avenue of forwarding complains by the public to the project implementers and the governm ent

1.10.2 Community based institutions

In the project area there are numerous community based institution charged with the responsibilit y of managing various resources with the Coast. Some of the institution are backed by legal man date which gives them greater opportunity in managing conflict and grievances related to such re sources such as access rights, benefit sharing and management of such resources. Some of these i nstitutions within the Coast region include:

Annex Table 2: Community Based institutions in Coast Region Institution Sector 1 Forest Associations (FAs) Forest use and management 2 Beach Management Units (BMUs) Fisheries & beach management 3 Water Resources Users Association(WRUAs) Water use and Management 4 Beach Boys Association Beach management and Leisure 5 Boat Operators Association Boating and Yachting 6 Agricultural Committee Agricultural activities 7 Land Board Land disputes

147 Annex 13: Procedure for Handling of Chance Finds

Some subproject activities would take place in the neighbourhood of Kaya forests and caves which are treated as places of worship or cultural shrines by local communities. As such there is possibility that in the process of excavation cultural artefacts may be encountered that fall in the category of chance finds. The national agency responsible for cultural matters in Kenya is the National Museums of Kenya (NMK).

Prior to commencement of projects in culturally sensitive areas the proponent would contact NMK who would send representatives to review the site and prepare a report. The report would entail advice on professional approach to the proposed works to ensure minimal damage to the encountered items. In the event that chance finds are encountered the following procedure shall apply:

Role of the contractor

 Reporting of chance finds: The contractor or officer supervising the project would report the finds to the local administration such as the local chief or the Assistant County Comm issioner;  The local administration would then report the find to NMK.  The contractor would report back to NMK in the event that further artifacts are encounter ed Role of NMK

 NMK would temporarily stop the works to conduct an assessment and prepare a report. T he period of stoppage is from 10 days to 21 days depending on the complexity of the proj ect;  Retrieve movable artifacts and preserve immovable ones;  NMK would also map out the area to be preserved during the investigation period and arb itrate between the community and developers in the event of dispute;  Circulate the cultural impact assessment report to the developer, NEMA, relevant lead ag encies and the community.

Measures for Care of Chance Finds

 Upon retrieval of movable artifacts and conservation of immovable ones NMK would pro ceed with segregation and dating of the artifacts and determination of their significance;  Segregated artifacts would be stored in the NMK archeological stores according to their s ize and dates, and labelled with the geographical area where found;  The artifacts may be displayed in an exhibition when required or published to enrich the c ultural heritage 148 149 Annex 14: Integrated Pest Management Plan for Tsetse Fly Control

Integrated Pest Management (IPM) approaches involve control of pest populations through biological control or cultural practices. IPM refers to a mix of ecologically based pest control practices that seek to reduce reliance on synthetic chemical pesticides. It involves:  Managing pest populations (keeping them below economically damaging levels) rather th an seeking to eradicate them;  Relying on nonchemical measures to keep pest populations low; and  Selecting and applying pesticides, when they have to be used, in a way that minimizes ad verse effects on beneficial organisms, humans, and the environment.

The following options are available as part of IPM for tsetse fly control:

a) The Sterile Insect Technique (SIT)

The most efficient way to contain tsetse flies is by the management of entire populations (area- wide approach) using a combination of several control methods in an integrated pest management campaign. A very powerful method for integration in these programmes as a final eradication component is the sterile insect technique (SIT). The technique relies on the rearing of the target insect in large numbers in specialised production centres, sterilisation with ionising radiation of one of the sexes and the sustained sequential release of the sterilised insects over the target area. Contrary to conventional control methods, the sterile insect technique becomes more efficient with decreasing density of the target population. Hence, the technique fits well within the concept of integrated pest management, as its complementary use in a phased approach with other suppression techniques results in maximum efficiency.

The following five main prerequisites for use of the sterile insect technique against a target insect have been achieved for tsetse flies:

1. Adequate information on the ecology of the insect is available, 2. Mass production of the target insect is economically feasible, 3. Efficient suppression techniques are available to reduce the population density of the target insect, 4. Sufficient sterile males are available for release and their competitiveness is optimal, 5. The gamma treated sperm is competitive with the wild sperm.

b) Use of Approved Pesticides

The Bank may finance the purchase of pesticides when their use is justified under an IPM approach. The lists of pesticide products authorized for procurement in Kenya as well as the list

150 of banned products and restricted ones are found in the website of the pest control agency, Pest Control Products Board, www.pcpb.or,ke.

Procedures for Safe Use of Pesticides

Most pesticides will cause adverse effects if intentionally or accidentally ingested or if they are in contact with the skin for a long time. Pesticide particles may be inhaled with the air while they are being sprayed. An additional risk is the contamination of drinking-water, food or soil. Special precautions must be taken during transport, storage and handling.

Safe use of pesticides involves use of methods that are ecologically effective and pose lowest risk to the human health and the environment. The following approaches are proposed:

a) Personnel Safety

 Avoid contact with the pesticide by wearing all designated personal equipment. Designat ed PPE for chemicals include long sleeved shirt & long pants of tightly woven material, Waterproofed boots, goggles, hard hats and unlined nitrile gloves

 Promptly clear all drips and spills  Keep hands away from eyes and mouth  Carefully wash hands before eating, drinking, smoking or visiting the toilet;

 People who handle pesticides should receive proper training in their safe use.

In case of accidental contact:

 Clean the body parts contacted Immediately, and thoroughly

 Change clothes if necessary

 Apply First-Aid, if necessary

 If pesticide was swallowed, if it has gotten into the eyes, or if the person contacted is sho wing any symptoms resulting from the contact – get him or her to a doctor immediately

b) Transportation of Pesticides

 Do not carry pesticides in the passenger compartment of a vehicle;

 Do not carry mixed loads - herbicides need to be carried separately from insecticides fro m fungicides, etc.

151  Tie containers down to avoid bouncing them around.

c) Storage

 Store pesticides in a separate room from that occupied by people;  Spray equipment should be regularly cleaned and maintained to prevent leaks;  Storage area should be locked and access should be strictly limited;  Pesticides should be stacked separately and, ideally be separated by product type;  A current inventory should be available at the dispatcher’s desk informing of stock levels;  Hazard warning signage should be accurate.

d) Environmental Concerns

Where the Bank may decide to fund use of pesticides under the IPM approach, supervision by relevant qualified personnel such from Ministry of Agriculture must be included in the use of such substances. The Material Safety Data Sheets (MSDS) for the applied pesticide should be available to guide the process to ensure environmental safety. The following should also be part of the emergency response plan:

 Have in place a spill response plan with contacts of local doctors and emergency response te am phone numbers and locations;  Spill response plan has to be typed, legible and updated, and always available at dispatcher’s desk for ready access in the event of an emergency;  The plan should contain telephone numbers of people to notify and people or organizations w ho can provide assistance;

 In the event of a spill the three step emergency action is: o take care of injured personnel first! o Contain the spill;

o Get appropriate help.

 Update the plan for each ongoing project to include details such as labels & MSDSs of the pr oduct in use  Caution must be taken to avoid drift, leaching, runoff, and other forms of off-site movement  Spill kit to be on board trucks transporting pesticides.

152 References

Abuodha, P. and J. G. Kairo (2001) Human-induced stresses on mangrove swamps along the Kenyan coast. Hydrobiologia 458: 255-265.

Burgess, N, D. and Clarke, G, P. (eds) (2000) The Coastal Forests of Eastern Africa. IUCN, Cambridge.

Fisheries Department (2008) Marine Waters Fisheries Frame Survey Report. 62pp

Frank Adriaensen et al. (2005) Restoration and Increase of Connectivity among Fragmented Forest Patches in the Taita Hills, South-east Kenya

GoK, (2009). State of the Coast Report: Towards Integrated Management of Kenya’s Coastal and Marine Resources. NEMA, Nairobi. 90 pp

Government of Kenya (1999): Environmental Management and Coordination Act, 1999. Nairobi, Government Printer

Government of Kenya, (2009): Kenya Population Census of 1999, Government Printer, Nairobi Kenya.

Heztech Engineering Services (2013) Environmental and Social Impact Assessment for the First Three Berths of Lamu Port and Associated Infrastructure

Kairu, K. and Nyandwi, N. (Eds) (2000) Guidelines for the Study of Shoreline Change in the Western Indian Ocean Region. IOC Manuals and Guides No. 40. UNESCO 2000 (English).vii + 55 pp.

Kitheka, J.U (1996b): Coastal tidally driven circulation and the role of water exchange in the linkage between tropical coastal ecosystems Estuarine, Coastal and Shelf Science, Vol. 45. p.177-187

Kitheka, J.U., M. Obiero and Nthenge, P (2005): River discharge, sediment transport and exchange in the Tana Estuary, Kenya. Estuarine, Coastal Shelf Science, Vol. 63, p.455-468.

Mangi S. C and Roberts C (2007) Factors influencing fish catch levels on Kenya’s coral reefs Fisheries Management and Ecology 14: 245–253

McClanahan, T. R. &Obura, D. (1995) The status of Kenyan coral reefs. Coast Manage. 23: 57– 76. Obura D. (2001). Kenya. Marine Pollution Bulletin, 42:1264-1278

153 Ochiewo, J. (2004a) Changing fisheries practices and their socioeconomic implications in South Coast Kenya.Ocean & Coastal Management, 47: 389-408.

Ochiewo, J. (2004a) Changing fisheries practices and their socioeconomic implications in South Coast Kenya.Ocean & Coastal Management, 47: 389-408.

Ruwa, R. K., G. Habib, M. Mukira, G. Okoth and G. Mwatha.(2003). Profile of Kenya Marine and Fisheries – Country Working Resource Document. GEF-South-West Indian Ocean Fisheries Project (SWIOFP) in Kenya. Publication No. 1 (2003), 71p.

Sanders M. J., Gichere S.G., and Nzioka R.M. (1990) Report on the Kenya Marine Fisheries subsector. SWIOP-FAO.

Spalding, M., Blasco, F. and Field, C. 1997.World Mangrove Atlas. - International Society for Mangrove Ecosystems, p. 178.

Uku, J. &Björk, M. (2005).Productivity aspects of three tropical seagrass species in areas of different nutrient levels in Kenya.Estuarine, Coastal and Shelf Science 63: 407–420.

UNEP (1998) Eastern Africa Atlas of coastal resources: UNEP Regional Reports and Studies, No. 1 Nairobi, Kenya.