492484/F-Bap-2016

Final Biodiversity Action Plan for Nyumba Ya Akiba Cement Plant

Project, Bas Congo Province of Democratic Republic of Congo

Report Prepared for Nyumba Ya Akiba sarl

Report Number 492484/F-BAP-2016

Report Prepared by

October 2016

SRK Consulting: Project No: 492484 NYA Final BAP 2016 Page i

Final Biodiversity Action Plan for Nyumba Ya Akiba Cement Plant Project, Bas Congo Province of Democratic Republic of Congo

Nyumba Ya Akiba sarl

SRK Congo S.P.R.L. NRC 01174 2056 Lukonzolwa Avenue Quartier Golf Lubumbashi Congo (DRC)

e-mail: [email protected] website: www.srk.co.za

Tel: +243 (0) 81 999 9775 Fax: +243 (0) 81 870 1753

SRK Project Number 492484

October 2016

Compiled by: Peer Reviewed by:

Warrick Stewart Vassie Maharaj Principal Environmental Scientist Partner

Email: [email protected] Authors: Warrick Stewart; Paul Jorgensen

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Nyumba Ya Akiba sarl (NYA) is required to prepare a Biodiversity Action Plan (BAP) to facilitate conformance with the IFC Performance Standards (specifically PS6) (IFC, 2012) and the recommendations of the Environmental and Social Impact Assessment (ESIA) and the Environmental and Social Management Plan (ESMP) conducted in 2013 for the NYA quarry, cement plant and associated infrastructure.

The function of this BAP is to provide NYA with a framework for the management of biodiversity (including ecosystem goods and services) within their concession area. This includes the determination of management objectives and actions; the identification of additional mitigation measures based on new data; roles, responsibilities and time-frames for implementation, and mechanisms for review and updating; amongst other aspects. Development of this BAP has been undertaken through an integrative approach and aligned with the socio-economic study. The purpose of this BAP is the following:

 Fill priority biodiversity data and impact gaps

 Guide focused data collection of herpetofauna, flora and terrestrial and aquatic invertebrates,

 Identify priority biodiversity features (key habitats, ecosystem functions, ecological processes, species, ecosystem goods and services) to be addressed in the BAP

 Determine priority ecosystem goods and services

 Develop biodiversity goals and objectives

 Identify key implementation actions, roles and responsibilities of relevant parties and time-frames for implementation

 Identify appropriate indicators and monitoring targets for each objective and action

 Consult with key stakeholders

 Facilitate adaptive management.

The following management objectives have been determined for NYA’s concession, based on the findings of the ESIA and subsequent surveys and assessment:

 Objective 1: To conserve and manage swamp and gallery forests

 Objective 2: To conserve and manage rivers, wetlands, swamps and aquifers

 Objective 3: To conserve and manage savannah

 Objective 4: To conserve and manage priority species

 Objective 5: To better understand and manage fire as an ecological driver

 Objective 6: To control and eradicate invasive alien flora and fauna

 Objective 7: To manage change in ecosystem service benefits to local communities

 Objective 8: To ensure there is no negative change in ecosystem service benefits for operational performance

 Objective 9: To facilitate partnerships with key communities and other stakeholders on biodiversity and EGS issues

 Objective 10: To undertake adaptive management (continue research and address biodiversity data gaps through collaboration with partners and stakeholders).

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The following high level principles should be applied to all aspects of the management programmes:

 The current condition, diversity and functioning of biodiversity, ecological processes and associated ecosystem goods and services within the NYA concession and area of influence should be retained, restored and monitored where possible  Biodiversity conservation measures should be undertaken in consultation and partnership with local communities where possible  Synergies between the sustainable development plan and the use of Ecosystem Goods and Services (EGS) by the community must be ensured. Various management actions have been identified for each programme, which are summarised in Table 1-1 below. Table 1-1: Summary of management actions per programme for the NYA BAP

Activities 1. Conservation of gallery and swamp forests management programme 1.1 Avoidance and mitigation measures as per the ESIA implemented 1.2 Restoration plan implemented where disturbance has taken place due to project activities (e.g. clearing during construction etc.) 1.4 Monitoring programme implemented to track the condition and size of gallery and swamp forest 2. Water resource management programme 2.1 Install and maintain storm water controls 2.2 Monitor water flow rates and levels of rivers, wetlands, aquifers and swamps 2.3 Monitor water quality of aquifers, rivers, lakes, swamps and other wetlands 2.4 Record all monitoring results and maintain database 2.5 Review management effectiveness and apply adaptive management 3. Management of savannah 3.1 Avoidance and mitigation measures as per the ESIA implemented 3.2 Fire management programme implemented, including the development of fire breaks 3.3 Restoration plan implemented where disturbance has taken place due to project activities (e.g. clearing during construction etc.) 3.4 Monitoring programme developed and implemented to track condition of savannah habitat, including fire history 4. Conservation of priority species management programme 4.1 Avoidance and mitigation measures as per the ESIA implemented 4.2 Populations of priority species monitored via surveys and data analysis twice a year 4.3 Adaptive management strategies for priority species implemented in response to monitoring results 5. Fire management programme 5.1 Implement Fire Management Plan and develop Fire Response Plan 5.2 Establish fire management capacity (training of staff and purchase of equipment) 5.3 Install boundary firebreak 5.4 Inspect and maintain firebreak 5.5 Establish fire response procedures 5.6 Maintain records of natural, planned and unplanned fires 5.7 Review management effectiveness

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Activities 6. Control of invasive alien flora and fauna management programme 6.1 Identify likely vectors of invasive species introduction 6.2 Implement management actions to avoid/minimise vectors of introduction 6.3 Establish alien plant management capacity (staff and purchase of treatment equipment and chemicals) 6.4 Conduct initial clearing of concession area 6.5 Conduct follow-up clearing of concession area 6.6 Maintain records 6.7 Review management effectiveness and plan for following year 7. Management of ecosystem goods and services for local communities 7.1 Training workshops to capacitate staff to better understand EGS 7.2 Implement access controls to the natural environment for contractors and employees, including an effective disciplinary system for non-compliance 7.3 Sustainable natural resource management (SNRM) training/capacity building for adjacent local communities 7.4 Implement a monitoring programme to track sustainable use of EGS & community’s EGS dependence 7.5 Develop natural resource management programme in partnership with adjacent local communities, including the identification of sustainable natural resource management projects 8. Management of ecosystem goods and services for operational performance 8.1 Training workshops to capacitate staff to better understand EGS 8.2 Determine which priority ecosystems services have direct or indirect influence on operational performance. Seek to find efficiencies to reduce the operation’s dependence and subsequent risks 8.3 Implement a monitoring programme to track drivers of ecosystem service change and the implications for operational performance 8.4 Prioritize management of ecosystem services necessary to successfully implement management, rehabilitation, closure and sustainable development plans 9. Facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues 9.1 Utilise local Small, Medium and Micro Enterprises (SMMEs) and local labour for management efforts where necessary and possible 9.2 Promote training and environmental education opportunities related to the concession 9.3 Review outcomes and effectiveness annually 10. Management programme for adaptive management 10.1 Monitoring of status of aquatic invertebrates (bi-annual), water quality (as per protocol), and water quantity (as per protocol) to inform adaptive management of water resources (wetlands, swamps, river and aquifers) 10.2 Effectiveness of management actions monitored annually 10.3 Management programmes and actions amended annually (or more frequently if required) to reflect new data and facilitate improved effectiveness 10.4 Entire BAP and monitoring plants reviewed every five years and updated

All actions identified in this BAP are the primary responsibility of NYA. The successful implementation of a number of these actions is however dependent upon the co-operation and collaboration of the NYA workforce, suppliers, the local communities in the concession area, the DRC government, and relevant NGOs. The development of effective partnerships by NYA with relevant stakeholders is therefore essential and should be prioritised.

The evaluation of the effectiveness of the management of the NYA concession will comprise of auditing and monitoring actions. Auditing has a relatively short-term horizon and will be undertaken in order to

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verify whether the planned work for a given year has been carried out. Monitoring will have a long- term focus and will provide a means to critically examine the management objectives of the NYA concession – both whether they are being achieved and whether they remain appropriate. Monitoring provides an opportunity to learn from observation of the impacts of management and to adapt management actions accordingly, thus providing the feedback loop in adaptive management.

An annual audit of the management activities will be carried out against the activities set out in the annual management schedule.

Monitoring for the various management programmes should be integrated into the overall monitoring programme for the NYA concession. These Monitoring Programmes should be expanded on and reviewed as more information is provided on the concession. This will ensure appropriate monitoring strategies are carried out.

Following on from the interim BAP completed in July 2014 and the final BAP completed in December 2014, this BAP has been updated to include key biodiversity data collected during the 2015 dry and 2016 wet season monitoring rounds and the latest layout of the site. The latest institutional arrangements and roles and responsibilities of NYA staff have also been reflected in this 2016 version.

A review and full updates to the BAP and associated monitoring and management plans must be undertaken every five years. Annual updated must be made to the monitoring and management plans where necessary. These updates will need to take account of changes in project planning and operations, such as expansion of the quarry and or plant.

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Table of Contents

Executive Summary ...... ii Disclaimer ...... xi List of Abbreviations ...... xii Glossary of key terms ...... xiii 1 Introduction ...... 1 2 Management policy framework ...... 1 2.1 Legal framework ...... 1 2.1.1 Environmental policies and National Environmental Action Plan ...... 1 2.1.2 Environmental Protection Act, No. 11/009 ...... 2 2.1.3 Mining Code, Law No. 007/2002 ...... 2 2.1.4 Conservation of Nature, Law 14/003 ...... 2 2.1.5 Other Environmental Legislation ...... 3 2.2 International agreements and conventions ...... 4 2.3 International standards and guidelines ...... 5 2.3.1 Equator principles ...... 5 2.3.2 IFC Performance Standards ...... 5 2.3.3 IFC Performance Standard 6 ...... 5 2.3.4 Good Practice Guidance for Mining and Biodiversity (ICMM) ...... 6 2.3.5 IPIECA Guide to BAPs ...... 6 2.3.6 Cement Industry Standards ...... 7 2.4 National and regional biodiversity specific policies ...... 7 2.4.1 Fifth National Report on the Convention of Biological Diversity 2014 ...... 7 2.4.2 National Conservation Strategy for protected areas 2012 ...... 8 2.4.3 State of Biodiversity Reporting 2014 ...... 8 3 Purpose of this biodiversity action plan ...... 8 4 Guiding principles of the plan ...... 9 5 Project setting ...... 9 5.1 Socio-economic environment ...... 9 5.1.1 Demographics ...... 9 5.1.2 Livelihood and economy ...... 10 5.1.3 Facilities and infrastructure ...... 10 5.1.4 Health ...... 10 5.1.5 Cultural heritage ...... 10 5.2 Water resources ...... 10 5.3 Climate and air quality ...... 10 5.4 Soils and land use ...... 11 5.5 Biodiversity ...... 11

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5.5.1 Aquatic biodiversity ...... 11 5.5.2 Botanical diversity (terrestrial) ...... 18 5.5.3 Faunal diversity (terrestrial) ...... 20 5.6 Ecosystem goods and services (EGS) ...... 22 5.7 Existing anthropogenic impacts on biodiversity and current habitat condition ...... 25 6 Pressures on biodiversity ...... 25 6.1 Project pressures biodiversity (direct drivers of change) ...... 25 6.2 External pressures on biodiversity (indirect drivers of change) ...... 26 6.3 Effects on ecosystems ...... 26 6.4 Effects on ecosystem goods and service supply ...... 26 6.5 Effects on benefits to stakeholders and the project ...... 26 7 Priority biodiversity features ...... 31 8 Management objectives ...... 32 9 Management programmes ...... 32 9.1 Management programme for the conservation of gallery and swamp forests ...... 33 9.1.1 Management policies and principles ...... 33 9.1.2 Five-year strategy ...... 34 9.2 Management programme for the conservation of aquifers, rivers, lakes, swamps and other wetlands ...... 34 9.2.1 Management policies and principles ...... 34 9.2.2 Five-Year Strategy ...... 35 9.3 Management programme for the conservation of savannah habitat ...... 35 9.3.1 Management policies and principles ...... 35 9.3.2 Five-year strategy ...... 36 9.4 Management programme for the conservation priority species...... 36 9.4.1 Management policies and principles ...... 36 9.4.2 Five-year strategy ...... 37 9.5 Programme to understand and manage fire as an ecological driver ...... 37 9.5.1 Management policies and principles ...... 37 9.5.2 Five-Year Strategy ...... 37 9.6 Management programme for control of invasive alien flora and fauna ...... 38 9.6.1 Management policies and principles ...... 38 9.6.2 Five-year strategy ...... 38 9.7 Management programme for ecosystem goods and services for local communities ...... 39 9.7.1 Management policies and principles ...... 39 9.7.2 Five-year strategy ...... 40 9.8 Management programme for ecosystem services for operational performance programme ...... 40 9.8.1 Management policies and principles ...... 41 9.8.2 Five-year strategy ...... 41 9.9 Management programme for the facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues ...... 42

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9.9.1 Management policies and principles ...... 42 9.9.2 Five-Year Strategy ...... 42 9.10 Management programme for adaptive management ...... 42 9.10.1 Management policies and principles ...... 42 9.10.2 Five-year strategy ...... 43 9.11 Implementation Responsibilities ...... 43 10 Auditing and monitoring ...... 43 10.1 Auditing ...... 44 10.2 Monitoring ...... 44 10.2.1 Monitoring Programme for the conservation of gallery and swamp forests ...... 44 10.2.2 Monitoring Programme for the conservation of aquifers, rivers, lakes, swamps and other wetlands ...... 44 10.2.3 Monitoring Programme for the conservation of savannah ...... 44 10.2.4 Monitoring Programme for the conservation priority species ...... 44 10.2.5 Fire Management Monitoring Programme ...... 45 10.2.6 Monitoring Programme for control of invasive alien flora and fauna ...... 45 10.2.7 Monitoring Programme for ecosystem goods and services for local communities ...... 45 10.2.8 Monitoring Programme for ecosystem goods and services for operational performance .... 45 10.2.9 Monitoring Programme for facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues ...... 46 10.2.10 Monitoring Programme for adaptive management ...... 46 10.3 Five-year review ...... 46 11 Conclusion and way forward ...... 49 12 References ...... 51 Appendices ...... 52 Appendix A: Additional biodiversity information as extracted from the ESIA (SRK, 2013) ...... 53 Appendix B: Summary of biodiversity and ecosystem service related impacts and mitigation measures extracted from the ESIA (SRK, 2013) ...... 65 Appendix C: List of known medicinal plants used within the NYA concession area based on the socio-economic survey (2014) ...... 69 Appendix D: Rapid aquatic survey undertaken in July 2014 by Nepid Consultants (Palmer 2014) ...... 71 Appendix E: Revised Habitat Map ...... 125

JORP/STEW/mahv 492484 - Final NYA 2016 Biodiversity Action Plan - 07Oct2016.docx October 2016 SRK Consulting: Project No: 492484 NYA Final BAP 2016 Page ix List of Tables Table 1-1: Summary of management actions per programme for the NYA BAP ...... iii Table 2-1: Articles in the Conservation of Nature, Law 14/003 that are relevant to the NYA BAP ...... 3 Table 2-2: Relevant biodiversity and ecosystem service related DRC environmental legislation ...... 3 Table 2-3: Biodiversity and ecosystem service relevant international agreements to which the DRC is a signatory ...... 4 Table 5-1: Various insects observed in the study area including flies, beetles, moths, and praying mantis ... 21 Table 5-2: List of relevant ecosystem goods and services within the NYA concession area based on the socio- economic survey undertaken in July 2014 ...... 22 Table 6-1: Pressures to biodiversity within the NYA concession area ...... 29 Table 6-2: Effects on ecosystems if threats to biodiversity are materialised ...... 30 Table 9-1: Actions for conservation of gallery and swamp forests ...... 34 Table 9-2: Actions for Water Resource Management Programme ...... 35 Table 9-3: Actions for management of savannah ...... 36 Table 9-4: Actions for conservation of priority species ...... 37 Table 9-5: Actions for the Fire Management Programme ...... 38 Table 9-6: Actions for control of invasive alien flora and fauna ...... 39 Table 9-7: Actions for management of ecosystem goods and services for local communities ...... 40 Table 9-8: Actions for management of ecosystem goods and services for operational performance ...... 41 Table 9-9: Actions for the facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues ...... 42 Table 9-10: Actions for adaptive management...... 43 Table 10-1: Summary of management actions per programme for the NYA BAP ...... 46 Table A-1: Summary table of fish species recorded in the Bandundu, Bas-Congo and Equateur Provinces of the DRC ...... 55 Table A-2: Birds recorded in the Bas Congo Province ...... 58 Table A-3: Amphibians recorded in the Bas Congo Province ...... 59 Table A-4: Reptiles recorded in the Bas Congo Province ...... 59 Table A-5: Mammals recorded in the Bas Congo Province ...... 59 Table A-6: Macro invertebrates recorded in the Bas Congo Province ...... 59 Table A-7: Plants recorded in the Bas Congo Province ...... 60 Table A-8: Aquatic faunal species described by the local communities to SRK as being present in the study area ...... 60 Table A-9: Likely aquatic fauna species in the study area as identified by OEMS via community consultation ...... 61 Table A-10: Faunal species described by the local communities to SRK as being present in the study area 62 Table A-11: Likely fauna species in the study area as identified by OEMS via community consultation ...... 63 Table B-1: Summary of impact significance ratings before and after implementation of recommended management measures 61 Table C-1: List of known medicinal plants used within the NYA concession area based on the socio-economic survey (2014) 65

JORP/STEW/mahv 492484 - Final NYA 2016 Biodiversity Action Plan - 07Oct2016.docx October 2016 SRK Consulting: Project No: 492484 NYA Final BAP 2016 Page x List of Figures Figure 5-1: The Sanzikwa River immediately upstream (north) of the N1 road ...... 12 Figure 5-2: The source of the Yuku River ...... 12 Figure 5-3: The Minkunku River ...... 13 Figure 5-4: Kawenga wetland to the west of the plant site ...... 13 Figure 5-5: Mbamba wetland to the east of the plant site ...... 14 Figure 5-6: The north-eastern wetland in the Kabuendi system ...... 14 Figure 5-7: Lacustrine wetland and extensive swamp system, including Swamp forest, 3 km west of the Yuku camp village ...... 14 Figure 5-8: Hyparrhenia dominated savannah present at the Plant site ...... 19 Figure 5-9: Steppic savannah present at the Quarry site ...... 19 Figure 5-10: Savannah (in foreground) and Gallery forest (in background) present at the Spoil (topsoil and overburden) site ...... 19 Figure 5-11: Ecosystem goods and services flow for the NYA concession area ...... 22 Figure 6-1: Pressures and effects to biodiversity and ecosystems within the NYA concession area ...... 28 Figure 7-1: Biodiversity features in the core of the NYA concession and the 2016 project layout ...... 31 Figure 9-1: Diagram of the various components of the BAP and associated management tools ...... 33 Figure 10-1: The plan-do-check-act cycle and the role of review to facilitate continual improvement ...... 48 Figure A-1: Protected Areas in the DRC (IBAT, 2013) ...... 54 Figure A-2: Proportional representation of fish species in each family found in Bas-Congo...... 58 Figure A-3: Jaccard similarity between sites according to species composition ...... 61

JORP/STEW/mahv 492484 - Final NYA 2016 Biodiversity Action Plan - 07Oct2016.docx October 2016 SRK Consulting: Project No: 492484 NYA Final BAP 2016 Page xi Disclaimer The opinions expressed in this Report have been based on the information supplied to SRK Consulting (South Africa) (Pty) Ltd (SRK) by Nyumba Ya Akiba sarl (NYA). The opinions in this Report are provided in response to a specific request from NYA to do so. SRK has exercised all due care in reviewing the supplied information. Whilst SRK has compared key supplied data with expected values, the accuracy of the results and conclusions from the review are entirely reliant on the accuracy and completeness of the supplied data. SRK does not accept responsibility for any errors or omissions in the supplied information and does not accept any consequential liability arising from commercial decisions or actions resulting from them. Opinions presented in this report apply to the site conditions and features as they existed at the time of SRK’s investigations, and those reasonably foreseeable. These opinions do not necessarily apply to conditions and features that may arise after the date of this Report, about which SRK had no prior knowledge nor had the opportunity to evaluate.

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BAP Biodiversity Action Plan

CBD Convention on Biological Diversity

CSI Cement Sustainability Initiative

DRC Democratic Republic of Congo

EBI Energy and Biodiversity Initiative

EGS Ecosystem goods and services

EPA Environmental Protection Act (DRC)

EIA Environmental Impact Assessment

EIS Environmental Impact Study

EMPP Environmental Management Plan of the Project

ESIS Environmental and Social Impact Study

ICMM International Council on Mining and Metals

IFC International Finance Corporation

IPIECA International Petroleum Industry Environmental Conservation Association

IUCN International Union for the Conservation of Nature

MRP Mitigation and Rehabilitation Plan

NBSAP National Biodiversity Strategy and Action Plan

NEAP National Environmental Action Plan (Plan National d’Action Environnemental)

NGO Non-governmental organisation

NYA Nyumba Ya Akiba

OGP International Association of Oil and Gas Producers

PNEFEB-2 National Environment, Forests, Water and Biodiversity Programme (DRC)

PS Performance Standard

WBCSD World Business Council for Sustainable Development

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Glossary of key terms1

Adaptive management

Adaptive management also known as adaptive resource management, is a structured, iterative process of robust decision making in the face of uncertainty, with an aim to reducing uncertainty over time via system monitoring. In this way, decision making simultaneously meets one or more resource management objectives and, either passively or actively, accrues information needed to improve future management

Alien species

A species, subspecies or lower taxon, introduced outside its natural past or present distribution; includes any part, gametes, seeds, eggs, or propagules of such species that might survive and subsequently reproduce

Alien invasive species

An alien species whose introduction and/or spread threaten biological diversity.

Biodiversity

Biodiversity—short for biological diversity—means the diversity of life in all its forms—the diversity of species, of genetic variations within one species, and of ecosystems. The importance of biological diversity to human society is hard to overstate. An estimated 40 per cent of the global economy is based on biological products and processes. Poor people, especially those living in areas of low agricultural productivity, depend especially heavily on the genetic diversity of the environment.

Buffer zones

The region adjacent to the border of a protected area; a transition zone between areas managed for different objective

Convention on Biological Diversity (CBD)

An international legally binding United Nations treaty to deliver national strategies for the conservation and sustainable use of biodiversity

Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES)

An international agreement between governments which aims to ensure that international trade in specimens of wild animals and plants does not threaten their survival.

Critical habitat

Any area of the planet with high biodiversity conservation significance based on the existence of habitat of significant importance to critically endangered or endangered species, restricted range or endemic species, globally significant concentrations of migratory and/or congregatory species, highly threatened and/or unique ecosystems and key evolutionary processes

Ecosystem

A dynamic complex of plant, animal and micro-organism communities and their non-living environment interacting as a functional unit

1 UNEP-WCMC 2013 Glossary of Biodiversity Terms, Version 1, UNEP-WCMC Cambridge, UK

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Ecosystem approach

The ecosystem approach, defined by the Convention on Biological Diversity (CBD) is a strategy for the integrated management of land, water and living resources that promotes conservation and sustainable use in an equitable way

Ecosystem services

Benefits people obtain from ecosystems. These include provisioning services such as food and water; regulating services such as regulation of floods, drought, land degradation, and disease; supporting services such as soil formation and nutrient cycling; and cultural services such as recreational, spiritual, religious and other nonmaterial benefit

Fauna

All of the animals found in a given area.

Flora

All of the plants found in a given area

Habitat

Habitat means the place or type of site where an organism or population naturally occurs

Habitat loss

The outcome of a process of land use change in which a ‘natural’; habitat-type is removed and replaced by another habitat-type, such as converting natural areas to production sites. In such process, flora and fauna species that previously used the site are displaced or destroyed. Generally this results in a reduction of biodiversity

National Biodiversity Strategy and Action Plan (NBSAP)

The principal instruments for implementing the Convention (on Biological Diversity) at the national level (Article 6). The Convention requires countries to prepare a national biodiversity strategy (or equivalent instrument) and to ensure that this strategy is mainstreamed into the planning and activities of all those sectors whose activities can have an impact (positive and negative) on biodiversity.

Priority ecosystem services

are those services on which project impacts affect the livelihoods, health, safety, or culture of the ecosystem service beneficiaries, and those services that could prevent the project from achieving planned operational performance.

Species

Species” means any species, subspecies, or geographically separate population thereof. Groups of actually or potentially interbreeding natural populations, which are reproductively isolated from other such groups.

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1 Introduction Nyumba Ya Akiba sarl (NYA) is required to prepare a Biodiversity Action Plan (BAP) to facilitate conformance with the IFC Performance Standards (specifically PS6) (IFC, 2012) and the recommendations of the Environmental and Social Impact Assessment (ESIA) and the Environmental and Social Management Plan (ESMP) conducted in 2013 for the NYA quarry, cement plant and associated infrastructure (SRK, 2013). In 2014, SRK, as part of the ESIA Addendum process, was appointed to draft the BAP to meet these requirements. The BAP has now been updated in 2016.

The function of the BAP is to provide a framework for the management of biodiversity (including ecosystem goods and services) within NYA’s concession area. This includes the determination of management objectives and actions; the identification of additional mitigation measures based on new data; roles, responsibilities and time-frames for implementation; and mechanisms for review and updating, amongst other aspects. The BAP is to be revised every five years to reflect new information and progress with implementation. Importantly, every revision must take into consideration current and future mine planning (such as mine life expectancy and operational boundaries) to ensure that biodiversity is appropriately managed.

Following on from the interim BAP completed in July 2014 and the final BAP completed in December 2014, this BAP has been updated to include key biodiversity data collected during the 2015 dry and 2016 wet season monitoring rounds and the latest layout of the site. The latest institutional arrangements and roles and responsibilities of NYA staff have also been reflected in this 2016 version.

Further updates will now to be undertaken only every five years. These updates will need to take account of changes in project planning and operations, such as expansion of the quarry and or plant.

In terms of IFC PS6, a BAP must include:

 The definition of its overarching goal, supported by a set of objectives;

 Objectives that are realistic and based on measurable targets;

 A clear series of actions for each objective, including the roles and responsibilities of relevant parties and time-frames for implementation;

 Indicators or monitoring targets per action/objective; and

 A mechanism and time-frames for updating to facilitate adaptive management.

Given the complexity of natural (and many modified) habitats, biodiversity management needs to be considered within the context of adaptive management. NYA should therefore evaluate the findings of its future BAP monitoring and evaluation programme and adapt management and mitigation responses as necessary to more effectively ensure the protection of the biodiversity values in its concession. 2 Management policy framework 2.1 Legal framework 2.1.1 Environmental policies and National Environmental Action Plan

The Democratic Republic of Congo (DRC) formulated its National Environmental Action Plan (Plan National d’Action Environnemental (NEAP)) in 1997, in response to Agenda 21 of the United Nations Conference on the Environment and Development held in Rio de Janeiro in 1992. The Environmental Protection Act No. 11/009 of 9 July 2011 states that a National Environmental Policy on the sustainable management of natural resources will be translated into a new NEAP (Article 15). Additionally, each

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province will be required to develop its own programmes related to the management and protection of the environment, in conformance with the new NEAP (Article 16). 2.1.2 Environmental Protection Act, No. 11/009

The Environmental Protection Act (EPA) No. 11/009 of 9 July 2011 provides a framework law on the environment. The new law sets out the fundamental and universal principles for sustainable development and sound environmental management for the DRC. The principles included in the Act serve as a basis for any other sector-specific laws relating to the environment.

The EPA requires the development, construction or exploitation, of all activities relating to industrial, commercial, agricultural, forestry, mining and telecommunications projects, and any other activities that may have an impact on the environment, to be subject to an Environmental and Social Impact Study (ESIS) and environmental management plan. 2.1.3 Mining Code, Law No. 007/2002

Until the promulgation of the EPA in July 2011, the Mining Code was the only legislation stipulating a requirement for Environmental Impact Assessments (EIAs) for certain activities. The Mining Code specifies the need for an Environmental Impact Study (EIS), Mitigation and Rehabilitation Plan (MRP) and an Environmental Management Plan of the Project (EMPP). Regulations pertaining to mining are contained in Decree No. 038/2003 of 26 March 2003. These Regulations contain a number of Annexures, but the ones that relate specifically to the biodiversity are:

 Annex VII: MRP;

 Annex IX: Guidelines for preparing an EIS and EMPP;

 Annex XII: Sensitive environments;

 Annex IX of the Mining Regulations provides detailed guidelines and requirements for the preparation of an EIS. Biodiversity related requirements include:

o Information on terrestrial fauna and birds, including habitat on site and migration patterns;

o Vegetation mapping with identification of different ecosystems and of rare and protected species; and

o Identification of sensitive environments on and adjacent to the site. The guidelines specify that in the absence of existing data, the EIS process should result in new studies being conducted such as a biodiversity plan. 2.1.4 Conservation of Nature, Law 14/003

Following the adoption of the National Biodiversity Strategy and Action Plans (NBSAPs) in the DRC and the development of a conservation strategy on protected areas (community conservation strategy), the need for a legal framework became apparent. This framework would provide principles and address requirements of international treaties and conventions ratified by the DRC.

This law serves to repeal the existing conservation ordinance of 1969 (Ordinance No 69-041 1969) and is updated in the following ways:

 Updated definitions, uses and measures of biodiversity and conservation;

 Obligations and mechanisms for public authorities, public participation and policy implementation processes;

 Integration of environmental and social impact assessments in the creation of protected areas;

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 Funding obligations from government to implement the NBSAPs;

 Conditions for access to biological and genetic resources and the fair and equitable distribution of benefits arising from their use;

 Process for a decentralised approach to conservation management, community consultation and land rights; and

 Strengthening regulations to ensure protection of species, ecosystems and natural habitats.

The law recognises biological diversity as the following:

 Ecosystems and habitats containing a high diversity, endemic or threatened species, or areas required for conservation of migratory species;

 Threatened species and communities of medicinal interest, agricultural or economic, social, scientific or cultural interest in conservation research and sustainable use of biological diversity; and

 Described genomes and genes that are of social, scientific and or economic importance.

Articles in the law that are relevant to this BAP are provided in Table 2-1 (however it should be noted that this does not exclude the other articles provided in the law)

Table 2-1: Articles in the Conservation of Nature, Law 14/003 that are relevant to the NYA BAP

Article no. Description 9 Identifies and defines what constitutes biological diversity conservation and sustainable use 14 Provides a list of prohibited actions on protected fauna species 17 Provides a list of prohibited actions on protected flora species 45 Competencies of the state to prevent the risk of the introduction of exotic species 47 Provision for the development of mechanisms for border control and quarantine of exotic species 48 Need for approval from competent authority to import exotic and modified species 50 Recognises the right for traditional knowledge of natural resources to be held by the local community

2.1.5 Other Environmental Legislation

In addition to the above legislation, there are numerous laws relating to environmental management in the DRC as listed in Table 2-2.

Table 2-2: Relevant biodiversity and ecosystem service related DRC environmental legislation

Aspect Agreement/convention General environment  National Environmental Action Plan (NEAP), 1997.  Arrêté Ministèriel No 043 of 8 December 2006 and No 8 of 3 April 2007.  Framework Law on the Environment (Act No. 11/009 of the 9 July 2011).  Ordinance No 07/018 of 16 May 2007.  Code Foncier (1973, amended in 1980). Mining  Mining Code (Law No 007/2002 of 11 July 2002).  Mining Regulations (Decree No 038/2003 of 26 March 2003). Biodiversity and protected  Framework Law on the Environment (Act No. 11/009 of the 9 July 2011). areas  Forest Code (Law 011 2002 of 28 May 2002).

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Aspect Agreement/convention  Nature Conservation Law (Ordinance no 69-041) of 22 August 1969 (repealed by Law 14/003).  Regulation 79-244 of 16 October 1997 Amended 1995 and 1996).  Law no 75-023 of 22 July 1975 and Regulation no 78-190 of 5 May 1978.  Ministerial decree no 55 of 7 December 2006.  Articles 34 to 37 (Biological Environment) of Schedule IX of the Mining Regulations, Decree no. 038/2003 of 26 March 2003.  Schedule XII of the Mining Regulations; Decree no. 038/2003 of 26 March 2003.  Code Foncier (1973, amended in 1980).  Regulating International Trade In Endangered Species of Wild Fauna And Flora (CITES) (Arrete N° 056 CAB/MIN/AFF-ECNPF/01/00 du 28 Mars 2000) Water  Framework Law on the Environment (Act No. 11/009 of the 9 July 2011).  Decree of May 6, 1952 on water.  Ordinance 52-443 of 21 December 1952.  Regulation on lake and Watercourse contamination and pollution of 1 July, 1914.  Article 30 to 33 from Chapter II of Schedule IX, Mining Regulations, Decree no. 038/2003 of 26 March 2003.  Articles 53 to 74 of Schedule IX of the Mining Regulations, Decree no. 038/ 003 of 26 March 2003.  Code Foncier (1973, amended in 1980). Cultural heritage  Framework Law on the Environment (Act No. 11/009 of the 9 July 2011).  Ordinance 70-089 of 11 March 1970.  Ordinance 71-016 of 15 March 1971.  Article 46 of the Constitution of the DRC of 18 February 2006.  Articles 205 and 206 of the Mining Code and Regulations. Waste management  Framework Law on the Environment (Act No. 11/009 of the 9 July 2011). Hunting  Hunting law (Act No 82/002 of the 1 June 1982)

2.2 International agreements and conventions

The DRC is signatory to a number of international agreements and conventions relating to environmental management. They set the context within which the DRC regulatory regime operates, and may therefore indirectly affect the BAP. The key agreements are summarized in Table 2-3.

Table 2-3: Biodiversity and ecosystem service relevant international agreements to which the DRC is a signatory

Aspect Agreement/convention Climate change/air United Nations Framework Convention on Climate Change (UNFCC), 1994. quality Kyoto Protocol, 1997. Vienna Convention for the Protection of the Ozone Layer, 1985. Montreal Protocol on Substances that Deplete the Ozone Layer, 1989. Biodiversity and Convention on Wetlands of International Importance especially as Waterfowl protected areas Habitat (Ramsar/Wetlands Convention), 1971. Convention on the International Trade of Endangered Species of Wild Fauna and Flora (CITES), 1973. United Nations Convention on Biological Diversity, 1992 (UNCBD). Cartagena Protocol on Biosafety (CPB).

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Aspect Agreement/convention United Nations Convention to Combat Desertification, 1994 (UNCCD). Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal. Rotterdam Convention on the Prior Informed Consent Procedure on Certain Hazardous Chemicals and Pesticides in International Trade (1998). Stockholm Convention on Persistent Organic Pollutants. United Nation’s Forum on Forests (UNFF). Treaty on Central African Forests Commission, 2004. Algiers Convention. Bonn Convention on Migratory Species. Cultural heritage United Nations Educational, Scientific and Cultural Organization (UNESCO) Convention on the Means of Prohibiting and Preventing the Illicit Import, Export and Transfer of Ownership of Cultural Property, 1970. UNESCO Convention Concerning the Protection of the World Cultural and Natural Heritage, 1972 (World Heritage Convention). Human rights International Covenant on Economic, Social and Cultural Rights.

2.3 International standards and guidelines 2.3.1 Equator principles

The Equator Principles (EPIII) provide a framework for an accepted international approach to the management of social and environmental issues. They were developed by a number of leading financial institutions and major financial lenders, including the IFC, to provide an approach to determine, assess and manage environmental and social risk in project financing. The intention is to ensure that projects are developed in a site specific manner that is socially responsible and reflects sound environmental management practices. 2.3.2 IFC Performance Standards

Through the IFC’s Sustainability Framework, strategic commitment is made to sustainable development. The IFC’s Policy and Performance Standards on Environmental and Social Sustainability (IFC, 2012) describes IFC’s commitments, roles, and responsibilities related to environmental and social sustainability. The Performance Standards are directed towards clients, providing guidance on how to identify risks and impacts, and are designed to help avoid, mitigate, and manage risks and impacts as a way of doing business in a sustainable way, including stakeholder engagement and disclosure obligations of the client in relation to project-level activities. The eight Performance Standards (and accompanying guidance notes) establish standards that are to be met throughout the life of an investment by IFC. Performance Standard (PS) 6 entitled Biodiversity Conservation and Sustainable Management of Living Natural Resources, specifically relates to biodiversity and ecosystem services. However PS 1 (Assessment and Management of Environmental and Social Risks and Impacts), PS 3 (Resource Efficiency and Pollution Prevention), PS 4 (Community Health, Safety, and Security) and PS 8 (Cultural Heritage) could also be applicable when biodiversity and ecosystem services issues are addressed. 2.3.3 IFC Performance Standard 6

IFC Performance Standard 6 addresses how to sustainably manage and mitigate impacts on biodiversity and ecosystem services throughout the project’s lifecycle (IFC, 2012). The PS recognizes that protecting and conserving biodiversity, maintaining ecosystem services, and sustainably managing living natural resources are fundamental to sustainable development. The PS also identifies

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ecosystem services as the benefits that people, including businesses, derive from ecosystems and is often underpinned by biodiversity. The objectives of PS 6 are:

 To protect and conserve biodiversity;

 To maintain the benefits from ecosystem services; and

 To promote the sustainable management of living natural resources through the adoption of practices that integrates conservation needs and development priorities.

Though application of the PS and guidance notes2, as a priority, impacts on biodiversity and ecosystem services are to be avoided. When avoidance of impacts is not possible, measures to minimize impacts and restore biodiversity and ecosystem services should be implemented. Given the complexity in predicting project impacts on biodiversity and ecosystem services over the long term, a practice of adaptive management in which the implementation of mitigation and management measures are responsive to changing conditions and the results of monitoring throughout the project’s lifecycle. 2.3.4 Good Practice Guidance for Mining and Biodiversity (ICMM)

In 2003, the International Council on Mining and Metals (ICMM) approved a set of sustainable development principles and committed its corporate membership to measure performance against them. Principle 7 explicitly addresses the conservation of biodiversity, entitled Contribute to conservation of biodiversity and integrated approaches to land use planning.

This principle commits ICMM members to the following:

 respect legally designated protected areas;  disseminate scientific data on and promote practices and experiences in biodiversity assessment and management; and  support the development and implementation of scientifically sound, inclusive and transparent procedures for integrated approaches to land use planning, biodiversity, conservation and mining. The ICMM has developed a Good Practice Guidance (GPG)3 in response to these commitments. It is aimed at providing the ICMM members and the broader mining industry with the steps required to improve biodiversity management throughout the mining lifecycle. By implementing the guidance document, mining companies should be better placed to:

 identify and evaluate biodiversity;  understand the interfaces between their activities and biodiversity;  assess the likelihood of their activities having negative impacts on biodiversity;  develop mitigation measures for potential impacts on biodiversity and rehabilitation strategies for affected areas; and  explore the potential to contribute to biodiversity enhancement or conservation.

2.3.5 IPIECA Guide to BAPs

The International Petroleum Industry Environmental Conservation Association (IPIECA) and the International Association of Oil and Gas Producers (OGP) through a joint biodiversity working group,

2 IFC has prepared a set of Guidance Notes, corresponding to the Performance Standards on Environmental and Social Sustainability. These Guidance Notes offer guidance on the requirements contained in the Performance Standards, including reference materials, and on good sustainability practices to improve project performance. Guidance Note 6 corresponds to PS6. 3 http://www.icmm.com/document/13

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developed a guidance document4 on developing BAPs. The guidance document focuses on the general process recommended to be used in preparing and implementing a BAP.

The process steps provided in this document for developing a BAP are:

 Deciding if a BAP should be done – understanding legal, biodiversity and business case drivers;  Completing prerequisites – planning for integration with site or project management systems and management of resources;  Preparing the BAP– establishing the priorities for conservation;  Implementing the BAP– rolling out the necessary actions;  Monitoring, evaluation and improvement – tracking implementation progress and effectiveness; and  Reporting, communication and verification of performance – upgrading engagement processes and building support with stakeholders and partners.

2.3.6 Cement Industry Standards

The Cement Sustainability Initiative (CSI) is a global effort by 24 major cement producers which agree that there is a strong business case for the pursuit of sustainable development within the cement industry. The CSI is organised through the World Business Counsel for Sustainable Development (WBCSD).

Both core and participating members agree to abide by the CSI Charter, which includes a commitment to use common environmental and social impact assessment guidelines5. The guidelines refer to biodiversity and ecosystems management through the use of applicable CBD and IUCN guidelines and other frameworks such as the Energy and Biodiversity Initiative’s (EBI) guidance for integrating biodiversity conservation in the oil and gas sectors.

2.4 National and regional biodiversity specific policies 2.4.1 Fifth National Report on the Convention of Biological Diversity 2014

The Fifth Nation Report was released in June 2014 and identified the following main threats to biodiversity within the DRC:

 Deforestation;  Habitat degradation;  Poaching ;  Uncontrolled fishing; and  The introduction of invasive alien species. The report also provides an update on the implementation of the NBSAP-2 including changes from the NBSAP-1, updated vision and priorities. The National Environment Programme, Forests, Water and Biodiversity (PNEFEB-2) provides the overall policy framework for intervention in the areas of environment, forests, water resources and biodiversity for the period 2014-2020 adopted 4 priorities in the field of biodiversity namely:

 The extension of the network of protected areas;  Participatory management of biological resources;  The enhancement of biodiversity; and

4 http://www.ipieca.org/publication/guide-developing-biodiversity-action-plans-oil-and-gas-sector 5 http://www.wbcsdcement.org/pdf/cement_esia_guidelines.pdf

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 Strengthening of management of trans-boundary biodiversity. Based on these priorities and taking into account other national management tools the vision, priority intervention areas and national objectives of NBSAP-2 were identified. The vision is as follows, “By 2035, biodiversity is sustainably managed by its integration in all relevant national sectors involved in the development of the country and all Congolese aware of its value and its contribution to their well- being”. Priority areas for action that have been identified in the NBSAP-2:

 Integration of biodiversity into all national priority sectors and relevant;  Reducing pressures on natural habitats;  Sustainable fisheries;  Improved management of existing protected areas and their extension network;  Protection of species of flora and fauna threatened with extinction;  Promote payment for environmental services and increased benefits of biodiversity ;  Promoting taxonomic research and knowledge acquisition;  Sustainable use of wildlife resources ;  Biosecurity; and  Increased funding allocated to biodiversity. The NBSAP-2 provides the vision, future strategy and management tools for biodiversity and conservation within the DRC, This is important as future actions undertaken as a result of the strategy may have a direct impact on NYA’s management of biodiversity matters. 2.4.2 National Conservation Strategy for protected areas 2012

The National Strategy of Biodiversity Conservation in Protected Areas is a strategic participatory planning process. The strategy’s general and specific objectives have been developed to be consistent with international and regional biodiversity strategies such as the World Conservation Strategy and international conventions and commitments ratified by the DRC. The 2012 strategy is an update of the strategy developed in 2004.

While the first version of the Strategy highlighted the priorities of protected area (PA) management and the practical arrangements for their implementation, the updated strategy includes mechanisms for sustainable funding, process to extend the PA network, adaptation and mitigation of the effects of climate change, access to natural land resources and the equitable sharing of benefits.

The NYA concession area is not near a protected area, however the updated strategy indicates that PA management is developing and the PA network extending. Iterations to this strategy should be noted in revised editions of the BAP. 2.4.3 State of Biodiversity Reporting 2014

A State of Biodiversity report was developed for the DRC in 2014 which was presented at the1st International Conference on Biodiversity in the Congo Basin in Kisangani. The report provides the state of biodiversity for the provinces of the DRC. While currently this study does not impact NYA directly, it is important to be aware that the findings represented in the report provide a basis from which future national and provincial biodiversity policies and strategies are developed. As a result future revisions of the BAP will need to incorporate these policies and strategies. 3 Purpose of this biodiversity action plan The function of this BAP is to provide NYA with a framework for the management of biodiversity (including ecosystem goods and services) within their concession area. This includes: the determination of management objectives and actions; the identification of additional mitigation measures based on new data; roles, responsibilities and time-frames for implementation; and

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mechanisms for review and updating, amongst other aspects. Development of this BAP has been undertaken through an integrative approach and aligned with the socio-economic study.

The purpose of this BAP is the following:

 Fill priority biodiversity data and impact gaps;  Focused data collection of herpetofauna, flora and terrestrial and aquatic invertebrates;  Identify priority biodiversity features (key habitats, ecosystem functions, ecological processes, species, ecosystem goods and services) to be addressed in the BAP;  Determine priority ecosystem goods and services;  Develop biodiversity goals and objectives;  Identify key implementation actions, roles and responsibilities of relevant parties and time-frames for implementation;  Identify appropriate indicators and monitoring targets for each objective and action;  Consult with key stakeholders; and  Facilitate adaptive management. 4 Guiding principles of the plan These guiding principles are based on international good practice and have been developed with NYA and the project setting in mind. The following principles guided the development of the management programmes represented in this BAP:

 Apply the Ecosystem-based approach6;  Aim for conservation and “No Net Loss”7 of biodiversity;  Align with existing and future management and monitoring plans for NYA and promote integration;  Implement adaptive management;  Build capacity within NYA for ecological protection and management;  Apply the precautionary principle;  Promote participation and engagement where appropriate, including relevant aspects of NYA’s operations, NYA’s employees, communities within the NYA concession, government, sectors of society, research institutions and NGOs; and  Management programmes and monitoring and reporting processes to be easily understood and implementable. 5 Project setting 5.1 Socio-economic environment 5.1.1 Demographics

The area is rural in nature and is characterised by a lack of development or infrastructure. Approximately 10,000 people are estimated to live in the vicinity of the proposed project in the Songololo district. Settlements in the project area include: Yuku; Kokolo; Nkonda; Mbemba; Kinsua; Mbamba; and Minkelo.

The area comprises several ethnic groups, the most dominant being Mboma, Ndibu, Manianga and Kakongo. Kimpese is the largest settlement in the project vicinity and is the most ethnically diverse.

6 As prescribed by the Convention on Biological Diversity (http://www.cbd.int/ecosystem/principles.shtml) 7 As defined in IFC PS6

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5.1.2 Livelihood and economy

A traditional lifestyle prevails and subsistence agriculture is the main livelihood. Land availability is therefore vital to local communities, who rely on it for agriculture, charcoal, medicinal plants, sacred sites and other natural resources.

Most households are reliant on a mixed economy including, crop cultivation, hunting, commerce, trade and to a lesser extent, animal husbandry. A secondary form of income is generated from fishing, mainly in the Sanzikwa River. 5.1.3 Facilities and infrastructure

Education facilities in the area are very limited and poor, and basic facilities such as electricity, telephone networks, health care, sanitation, potable water supply and road networks are largely absent. Wood and charcoal are the primary sources of energy for cooking, while candle-power, kerosene lanterns and torches provide light.

There is no public transport system and the roads are generally in poor condition. Most local residents walk to their destinations, while some use motorbikes and bicycles. 5.1.4 Health

The most prevalent diseases are: malaria; diarrhoea and typhoid fever; sexually transmitted diseases; HIV/AIDS; tuberculosis; meningitis; high blood pressure; and influenza. Malaria is the biggest public health threat. Alcohol and drug abuse is widespread, particularly amongst the youth, as is sexual violence. 5.1.5 Cultural heritage

A number of sites of heritage importance were recorded over the project area, including ceramics, cemeteries, sacred sites and Iron Age artefacts. Of the 36 recorded sites within the mine lease area, 6 sites are expected to be indirectly impacted on by the proposed mining activities. Of these 6 sites, 5 are of medium heritage significance and the 6th (the Yuku village cemetery) is of high significance. 5.2 Water resources

The project area is characterised by gently undulating topography and numerous wetland areas. Two main rivers cross through the project area: the Sanzikwa River, flowing in a northerly direction, and the Yuku River, which originates between the proposed quarry and plant, and flows eastwards to connect onto the Sanzikwa River.

These rivers, as well as the wetlands and the natural spring near Yuku village, are used as a source of potable water to the surrounding villages. Available information on the baseline water quality is unreliable, however preliminary water quality measurements recorded on site by SRK indicate the general quality is good. Groundwater depth varies from 20 to 25 m. 5.3 Climate and air quality

A tropical Sudanese climate prevails and is characterized by separate rainy and dry seasons. Temperatures range from 18°C to 28°C. The insolation of the NYA Project Area is particularly low, and the average annual rainfall varies from 900 mm to 1,500 mm.

Due to the current lack of development, air pollution levels in the area are low. Key emissions are airborne dust from vehicles on the nearby road; smoke from burning of agriculture residues and bushes; and coal and dust from household fires. Levels of emissions increase during the dry season as wind strength increases.

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5.4 Soils and land use

The soils in and around wetlands generally show good fertility and water retention capabilities, supportive of the agricultural activities currently occurring on the site, as well as conservation purposes. In other areas, the soils are highly permeable and the presence of laterite may limit root growth.

Land use over the site is limited, with much of the site existing in its natural state. Anthropogenic land use is limited to subsistence type agriculture, where a variety of crops such as cassava, corn, squash, peanuts, bananas and beans are cultivated. Shifting agriculture is implemented where natural vegetation is burned prior to cultivation of the land. When productivity of the cultivated land drops, a new area is burned. The abandoned field is then left fallow for colonisation following a process of natural succession 5.5 Biodiversity

The vegetation cover over the project area consists mainly of savannah, with patches of dense gallery or swamp forest bordering swamps, wetlands and rivers. The diversity of mammals in the study area is believed to be low and that of birds moderate, while insects showed higher diversity. A number of IUCN Red List species occur in the area, most of them specific to forest habitat. 5.5.1 Aquatic biodiversity

The aquatic ecosystems within the concession area are classified as ‘grassy fresh water vegetation and water plants’ (Palmer 2014).There are three main aquatic ecosystems within the area namely: lower Foothill Perennial River (Sanzikwa River), upper Foothill Dolomitic Streams (Yuku Stream) and permanent Freshwater Lakes (Mbamba and Kawenga).

The Sanzikwa River, which flows in a northerly direction through the eastern part of the study area, is the largest aquatic feature on site (Figure 5-1). The Sanzikwa River joins the Congo River approximately 50 km north-north-west of the study area. The banks of the Sanzikwa River are dominated by Piliostigma thoningii (Camel’s foot), Panicum maximum (Guinea grass), Pteridium sp., Puereria javanica (Tropical kudzu), Senna spectabilis, Senna sp, Sida acuta and Cinnamomum sp., with Oxytenanthera abyssinica (West African bamboo) present at the crossing with the N1 road (SRK, 2013).

Two notable tributaries of the Sanzikwa River are present on site, namely the Yuku and Minkunku Rivers. The banks of the Yuku River (Figure 5-2) are dominated by Ceiba pentadra (Kapok), Gmelina arborea (White teak; naturalised), Milicia excelsa, Mimosa sp., Musa sapientum, Ocimum cinamomum, Sida acuta, Solanum sp. (Mutuza), Spathodea campanulata, Terminalia catappa, Urena lobata (Mpunga), Matiasi and Mukuisa, with Carica papaya (Pawpaw) planted in some areas. The invasive alien plant Chromolaena odorata was observed along the banks of the Yuku (SRK, 2013).

The banks of the Minkunku River (Figure 5-3) are dominated by Elaeis guineesis (African oil palm) and Myrianthus arboreus (Giant yellow mulberry) (SRK, 2013).

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Figure 5-1: The Sanzikwa River immediately upstream (north) of the N1 road

Figure 5-2: The source of the Yuku River

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Figure 5-3: The Minkunku River

A total of seven lacustrine (open water) wetlands and one endorheic wetland were recorded on site. The Kawenga wetland (or lake) is approximately three hectares in size and one meter deep (Figure 5-4) and the Mbamba wetland (or lake) (Figure 5-5) is nine hectares in size and 1.5 meters deep. Both are located at the headwaters of minor streams that flow in a northerly direction. The wetlands are understood to be associated with a karst system, as both are located on a calcareous formation. The Kawenga wetland is located to the immediate west of the plant site and the Mbamba wetland to the east. The Kabuendi system of (four) wetlands is located to the south of the plant site (Figure 5-6). These wetlands are surrounded by swamp, Swamp forest and Gallery forest. The flow of this system on the site is in a southerly direction, but after crossing the N1 road changes to an easterly direction before joining with the Sanzikwa River. The pH of the Kabuendi, Kawenga and Mbamba wetlands was been recorded at 5.02, 6.5 and 6.18 respectively during the 2014 dry season. A further lacustrine wetland was observed 3 km west of the Yuku camp village, which is associated with an extensive swamp system of approximately 4 km in length and a large patch of Swamp forest (Figure 5-7). An endorheic wetland was also recorded 900 m north of the Mbamba village (SRK, 2013).

Figure 5-4: Kawenga wetland to the west of the plant site

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Figure 5-5: Mbamba wetland to the east of the plant site

Figure 5-6: The north-eastern wetland in the Kabuendi system

Figure 5-7: Lacustrine wetland and extensive swamp system, including Swamp forest, 3 km west of the Yuku camp village The periphery of the Mbamba wetland is dominated by Imperata cylindrica and a Paspalum species. Nymphea lotus (Water lily) was present in moderate numbers on the open water. Elaeis guineensis, Erythrina abissinica, Mangifera indica, Milletia versicolor, Pseudolacnostilis sp. and Sarcocephalus

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latifolius were present around the edges of the wetland. An area of swamp was also present to the south of the wetland.

The Kabuendi system of wetlands and swamps is characterised by Nymphea lotus, Lersia sp., Polygonum sp., Adansonia digitata, Elaeis guineensis, Sarcocephalus latifolius, Stipularia Africana, and two species of Scleria.

Hyperhenia sp. and Hymenocardia acida surrounded all the wetlands and swamps where hydromorphic conditions were absent

No surveys of aquatic fauna were conducted during SRK’s site visit in 2013 due to time constraints and the lack of available local experts, but according to information provided by a local villager/hunter, indigenous catfish are present in all the local wetlands and Tilapia sp. were introduced historically. A number of the fish species specified by the local communities are included in the IUCN Red List, but all were categorised as Least Concern or Least Threatened. Egrets and grebes were the only waterfowl observed on the wetlands. The wetlands on site and in the surrounding areas are apparently used by the brown Malimbe bird (Malimbus sp.) that frequents the wetlands at the end of the wet season, but not for breeding purposes (SRK, 2013).

Subsequent to the study undertaken by SRK in 2013, follow up surveys were recommended including focused data collection of terrestrial and aquatic invertebrates and Herpetofauna and other fauna. A rapid aquatic survey was undertaken within the concession area in July 2014 by Nepid Consultants (Palmer 2014) which included the assessment of aquatic habitat quality, diatoms, aquatic invertebrates, fish and ecological sensitivity. The following provides the baseline description from the rapid aquatic survey.

Aquatic habitat quality

The quality of instream and riparian habitats in the Sanzikwa River and Yuku Stream were assessed during survey in the dry season of 2014 using a rapid visual assessment protocol for high gradient streams developed by the USA Environmental Protection Agency (Barbour et al. 1999 in Palmer 2014) and during tgeh dry season of 2015 using the aquatic biodiversity monitoring protocol developed for NYA (SRK, 2015).

During the 2014 survey the upper Yuku Stream was classified as good with marginal and submerged aquatic vegetation and woody debris providing excellent cover for aquatic biota. Although the channel was generally unaltered, there was some small disturbance from a pump station located at the source with stable, well vegetated banks and no indication of bank erosion.

The lower Yuku Stream was classified as moderate to marginal. There was no marginal vegetation in- current and no submerged in-stream aquatic vegetation, however there was a moderate abundance of marginal vegetation out-of-current. Higher sediment inputs are evident compared to the upper stream due to increased adjacent site clearing for agriculture, resulting in reduced vegetation protection. Consequently there is evidence of eroding banks and disturbed stream margins. Evidence of fisherman collecting earthworms also contributed to this.

The Sanzikwa River was classified as marginal with no submerged in-stream aquatic vegetation present, however there was a moderate abundance of marginal vegetation in- and out-of-current. Although the channel was largely unmodified, the river banks were actively eroding and incised. Similarly to the lower Yuku stream, vegetation protection on the banks was poor due to agricultural activities.

During the 2015 dry season (i.e. during the project construction phase), aquatic habitats in the immediately vicinity of the source of the Yuku Stream (YUKU01) were observed as having declined from Good (Category B) to Moderate (Category C)(SRK, 2016). The decline can be attributed to modification of the stream bed and clearing of the area, which reduced the availability of instream

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cover not just at the source, but further downstream as well. There was also evidence of increased use of the sites for domestic washing purposes. Although a general reduction in water quality was observed at all three sites compared to the baseline survey, the deterioration at two of the sites could mainly be attributed to natural variation in the aquatic system with drier conditions resulting in increased organic pollution levels.

Diatoms

Benthic diatoms were sampled in the 2014 dry season following the method described in Palmer (2014). The lower Yuku Stream characterised by moderate water quality with a Specific Pollution Sensitivity Index (SPI) score of 11.2. Salinity levels were normal while nutrient and organic pollution levels were elevated. There was a high occurrence of diatom valve deformities which indicates the presence of metal toxicity. Based on the ecological preferences of species which are known, the diatom community indicated the onset of high organic pollution levels and increasing nutrient levels.

The Sanzikwa River was characterised by poor water quality with a SPI score of 8.9. Salinity levels were normal while nutrient levels were elevated and organic pollution levels had the potential of becoming problematic. Indicators of anthropogenic activity occurred in greater abundance and most of the species present had a preference for elevated organic pollution and salinity levels.

Mbamba Lake was characterised by good water quality with a SPI score of 17.2. Salinity, nutrient and organic pollution levels were very low and the diatoms are representative of very good water quality. However there is evidence that suggests a small current impact on the water body by surrounding anthropogenic activities.

During the 2015 dry season, although a general reduction in water quality was observed at all three sites compared to the baseline survey, the deterioration at two of the sites could mainly be attributed to natural variation in the aquatic system with drier conditions resulting in increased organic pollution levels (SRK, 2016). The diatom communities at these two sites were similar to the baseline survey and no notable changes that could be related to anthropogenic impact were observed. Although there was a slight improvement in biological water quality in the Sanzikwa River at SANS03, the site is impacted to a greater extent by anthropogenic activities compared to the other sites. Sensitive diatom species were generally absent, the occurrence of endemic species was lower, and indicators of anthropogenic impacts were present in moderate abundance.

Aquatic invertebrates

During the aquatic survey conducted in July 2014, the Present Ecological State of aquatic macro- invertebrates recorded in the upper Yuku Stream was classified as Largely Modified (Category D) in terms of SASS5. However this classification is misleading as a result of the unusual spring-fed nature of this stream. The macro-invertebrate composition reflected natural conditions, and as such, the stream was essentially Largely Natural (Category B). The macro-invertebrate fauna was dominated numerically by two species of gastropod snails: Melanoides angolensis (Thiaridae), which is classified by the IUCN as Data Deficient, and Lanistes congicus (Ampulariidae), which is classified by the IUCN as Least Concern. Overall, the invertebrate composition in the upper Yuku Stream was highly unusual and reflected the extent of groundwater contributions that maintain the Yuku Stream.

The Present Ecological State of aquatic macro-invertebrates recorded in the lower Yuku Stream was rated in terms of SASS5 as Largely Natural (Category B). In-stream habitats were similar to upstream, except that submerged aquatic vegetation was absent. The macro-invertebrate fauna was dominated numerically by one species of gastropod snail: Melanoides angolensis (Thiaridae), which was present in very high abundance. Overall, the invertebrate composition and abundance was unusual and reflected the extent of groundwater contributions that maintain the Yuku Stream, but the fauna was

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more typical of a foothill stream than the source. The high diversity and abundance of sensitive taxa indicated that the stream was in a good ecological state

The Present Ecological State of aquatic macro-invertebrates recorded in the Sanzikwa River was rated in terms of SASS5 as Moderately Modified (Category C). The macro-invertebrate fauna was characterised by moderate numbers of caenid mayflies (Caenidae), baetid mayflies (Baetidae), leptophlebid mayflies (Leptophlebiidae), flatheaded mayflies (Heptageniidae) and elmid beetles (Elmidae), and low numbers of all other taxa. The average sensitivity to water quality deterioration was moderate, however snails were noticeable absent.

A total of 18 SASS5 taxa were recorded in Kawenga Lake. The fauna was characterised by a high diversity of Hemiptera (8 taxa), dominance of predators (78% of taxa), and dominance of air-breathing taxa (54% of taxa). The large polymitarcyid mayfly Povilla adusta was present in woody vegetation, and used by local fishermen for bait. Snails were noticeably absent and may be attributed to acidic water, which retards shell formation. A colony of Ophrydium sp., a unicellular ciliate, was recorded in the lake. Recorded for the first time in Africa in 2010, this genus is rarely found in colonies. The rarity is associated with specific habitat requirements that include standing or slow-flowing clear water, low nutrients, relatively high iron content and low trace metals. These colonies are potentially good ecological indicators of good water quality.

A total of 16 SASS5 taxa were recorded in Mbamba Lake in July 2014, of which 11 (69%) were also recorded in the adjacent Kawenga Lake. The characteristics of the biota were much the same as those recorded in Kawenga Lake, with a slightly lower proportion of predators (69%) and lower proportion of air-breathing taxa (44%), although these differences are unlikely to be significant. The most noticeable differences were the presence of aquatic moths (Crambidae), and abundance of mosquito larvae (Culicidae) and flatworms (Turbellaria) in Mbamba Lake.

During the 2015 dry season, an analysis of the aquatic macroinvertebrates indicated a deterioration in ecological state of the Yuku Stream at its source (YUKU01), from Largely Modified (Category D), to Seriously Modified (Category E) (SRK, 2016). This is mainly due to the physical disturbance at the site, and possible increased use of the site for domestic washing. Further downstream, at YUKU02, there was a slight deterioration in the ecological state compared to the baseline survey, but the presence of nine sensitive taxa indicates that ecological conditions were in a satisfactory state. The deterioration of the upper Yuku Stream was therefore localised.

Fish

A total of nine species of fish were recorded in the concession area during the survey. A total of four species of fish were recorded in the Yuku Stream, which is deemed to be low number. The most significant record in the Yuku Stream is the presence of Haplochromis demeusii, which is classified by IUCN as Vulnerable. A total of four species of fish were recorded in the Sanzikwa River during the survey, however the actual number of fish species in this river is likely to be significantly high than this. The most common species were the Cyprinid Barbus cf sublineatus and the catfish Clarias sp.

Three species of fish were recorded in Kawenga Lake during the survey, namely Nile tilapia (Oreochromis niloticus) and two species of catfish (Clarias sp. and C. gabonensis). All three species are edible and targeted by local communities. However the resource is vulnerable to over-exploitation because of the small size and the hydrologically isolated nature of the lakes, which limits recruitment.

During the 2015 dry season, five fish species that were not recorded during the baseline study were found. In addition, another five species previously recorded were found, bring the total number of species recorded in the study area to 14. However, no notable change in fish species was observed (SRK, 2016).

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Ecological Sensitivity of Aquatic Environments

Durign the 2014 baseline aquatic survey, the four permanent lakes in the concession area were deemed be in a largely natural ecological state and were regarded as ecologically sensitive. The high sensitivity of the lakes was reflected by the presence of the rare colonial ciliate Ophrydium. The project area has the potential to support subterranean aquatic biota, but no information was available or collected on this aspect during the rapid survey in July 2014 because of the logistical and technical difficulties of doing so. There are no fully protected, aquatic biota known or expected to occur within the project area. It was also noted that the Yuku Stream provides drinking water for the local community.

Critical Habitat Assessment

The Yuku Stream supports an unusual composition of diatoms and aquatic macroinvertebrates, but has been classified as “Modified Habitat” 9SRK, 2016). It therefore does not qualify as Critical Habitat in terms of the IFC PS6 (2012) criteria. The colonial ciliate Ophrydium that was recorded in Kawenga Lake appears to be rare in Africa, with only one previous record for the continent and it is likely that this species is present in all four permanent lakes in the concession area. The presence of these ciliates highlights the good ecological state of Kawenga Lake, but there is insufficient information to classify the lakes as Critical Habitat on the basis of this record. 5.5.2 Botanical diversity (terrestrial)

A botanical survey of each of these habitats was conducted by the University of Lubumbashi in conjunction with SRK between 10 and 14 June 2013, which coincided with the early part of the dry season. Transects were undertaken in each of the habitats to record the species present and their respective abundance. Further surveys were undertaken as part of the 2015 dry and 2015/2016 wet season monitoring along transects across each of the habitat types as specified in the Final Monitoring Protocol (SRK, 2015).

The study area and surrounds are characterised by rolling hills with gently incised valleys. Savannah is the primary vegetation type present. Gallery and Swamp Forests are present adjacent to rivers and streams within the valleys, and adjacent to swamps and wetlands in low-lying areas. Gallery Forest is also present in depressions on the hills which are presumably poorly drained.

The savannah was found to be strongly dominated by a grass cover (Hyparrhenia sp.), with Hymenocardia acida forming a sparse overstorey. Small termataria are a dominant feature at the plant site. The savannah at the plant site (Figure 5-8) also has notably less overstorey than the quarry site (Figure 5-9 and Figure 5-10), but the overstorey at the plant site also included Annona sp. The savannah at the quarry site was characterised by a higher prevalence of bare ground and a less dense grass cover than the plant site, and was consequently determined to be steppic savannah.

The Gallery forest is characterised by Piliostigma thoningii (Camel’s foot), Gmelina arborea (White teak) Pteridium sp., Puereria javanica (Tropical kudzu), Senna spectabilis, Sida acuta, Cinnamomum sp., Ceiba pentadra (Kapok), Milicia excelsa, Mimosa sp., Musa sapientum, Ocimum cinamomum, Sida acuta, Spathodea campanulata, Terminalia catappa and Urena lobata (Mpunga). The Swamp forest has a similar species assemblage to the Gallery forest, with the exception of Elaeis guineensis, Adansonia digitata and Stipularia africana only being present in the Swamp forest.

A total of 102 species were recorded during the 2013 survey. A total of 142 plant species, representing 58 families, were identified during the 2015/2016 wet season survey. The 2015/16 wet season monitoring also identified an additional 44 new plant species not identified in the 2015 dry season. A total of 46 species observed in the 2015 dry season were not recorded in the 2015/2016 wet season.

A detailed list of species recorded in each of the habitats and a Jaccard Floristic Similarity Analysis of

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the various habitats can be found in Appendix A (SRK, 2013). Further species information can also be found in the respective 2015 dry and 2015/2016 wet season monitoring reports.

Figure 5-8: Hyparrhenia dominated savannah present at the Plant site

Figure 5-9: Steppic savannah present at the Quarry site

Figure 5-10: Savannah (in foreground) and Gallery forest (in background) present at the Spoil (topsoil and overburden) site

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5.5.3 Faunal diversity (terrestrial)

A detailed faunal survey was not conducted by SRK in June 2013 due to a lack of available local experts and time constraints, however, various birds, mammals, and insects were observed during the botanical surveys that were conducted from 10 to 14 June 2013. The following observations were made during 2013:

 Mammals observed included rodents and bats, although the occasional presence of monkeys and small antelope in the study area was noted by local villagers and NYA staff. The following birds were observed on site: Red Bishop, Flycatcher spp. (yellow and white necked), Pied Crows, Kite sp. (brown; Eperivier), Swallow sp., Laughing Dove (Spilopelia senegalensis), Kingfisher sp. (medium size, white and brown), Sparrow sp., Francolin sp., Egret sp., Grebe sp., Woodhoepoe sp. and Hornbill sp (black with white underbelly and slightly yellow beak). A species of Malibe bird (Malimbus sp.) was noted by local villagers to frequent the wetlands of the study area and surrounds at the end of the wet season, but not for breeding purposes. On the basis of these observations, the mammal diversity of the study area is likely to be low (SRK, 2013).  The insect diversity of the site is undoubtedly higher than that of mammals and birds. A wide array of ants, termites, moths, dragonflies, flies, wasps, praying mantis, crickets, butterflies, and various beetles were observed. High insect diversity is typical of African savannah ecosystems, where high levels of spatial heterogeneity are present. Photographs of various insects observed in the study area are provided (Table 5-1) (SRK, 2013).  A number of the species identified by local communities as occurring in the study area are listed on the IUCN Red List, most notably Psittacus erithacus (African grey parrot) that is classified as Vulnerable and Phataginus tricuspis (Tree pangolin) that is classified as Near threatened. The project however is not expected to affect populations of the IUCN Red List species in a substantial way in the study area. . On the basis of these observations, the bird diversity of the study area is likely to be moderate (SRK, 2013).  Faunal species described by the local communities to SRK as being present in the study area are provided in appendix A (SRK, 2013). Detailed faunal surveys were undertaken as part of the 2015 dry and 2015/2016 wet season monitoring along transects across each of the habitat types as specified in the Final Monitoring Protocol including visual observations, mist nets, entomological nets, pitfall traps and hand capture as appropriate per biological group (SRK, 2015). The following findings were made:

 In total, 14 mammal species across 8 families were recorded. All mammal species are categorised as being of least concern ( IUCN classification of Red List species) or were not listed.  In total, 73 species of birds were observed along the different transects. The highest number of bird species were recorded in the wetland areas (53 species), higher than the number recorded in the forest and savanna (both 35 species). All species are categorised as being of least concern (IUCN classification of Red List species) or where not listed.  No amphibians or reptiles were recorded in the 2015/2016 wet season, whereas both a frog and a snake were noted in the 2015 dry season, but identification was not possible.  Despite the identification challenges associated with insects, in the wetlands 26 species were identified to species level and 17 to genus level. This represented 23 families. Likewise, the savanna was represented by 25 families, with 33 species identified to species level and an additional 11 to genus level. (Appendix B). The lowest diversity was in the forest with 35 species identified to species level and 12 to genus level, representing 21 families. The detailed results can be found in the 2015 dry and 2015/16 wet season monitoring reports.

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Table 5-1: Various insects observed in the study area including flies, beetles, moths, and praying mantis

No Protected Areas, Important Bird Areas (IBA) or RAMSAR sites are present within a 10 km radius of the project site. The nearest IBA is the Luki Forest Reserve near Boma, approximately 120 km west of the study area (SRK, 2013).

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5.6 Ecosystem goods and services (EGS) A survey of ecosystem goods and services (EGS) was conducted as part of a social survey during July 2014. The results of the survey indicate that natural resources used regularly by local residents include wood, crops, fish and wild animals, building materials, medicinal plants, and potable water. Many of the resources in the area are used extensively for subsistence and livelihood generation. Figure 5-11 shows the flow of relevant EGS within the NYA concession area, while Table 5-2 provides more detail on these EGS including priorities. Table C-1 (see Appendix C) provides a list of known medicinal plants utilized by the community within the NYA concession.

Figure 5-11: Ecosystem goods and services flow for the NYA concession area

Table 5-2: List of relevant ecosystem goods and services within the NYA concession area based on the socio-economic survey undertaken in July 2014

Service Subcategory Definition Examples at Priority EGS NYA (Yes/No)8 Provisioning services: The goods or products obtained from ecosystems Food Crops Cultivated plants or Cassava No agricultural products Sweet potato harvested by people Pumpkin for human or animal Beans consumption as food Ground nuts Chilli Yams Onions Livestock Animals raised for Chickens Yes domestic or Goats commercial Pigs consumption or use

8 Methodology utilised to determine high level priority EGS based on Weaving Ecosystem Services into Impact Assessment (WRI, 2013)

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Service Subcategory Definition Examples at Priority EGS NYA (Yes/No)8 Ducks Wild plant foods Edible plant species Palm nuts No gathered from the wild Bushmeat Animal species Antelope Yes hunted for Large rodents sustenance Monkeys Warthog Snakes Large lizards Catfish Tilapia Eels Prawns Biological raw Timber and other Products made from Housing Yes materials wood products trees harvested Animal enclosures from natural forest ecosystems, plantations, or non- forested lands Grasses Thatching grass Roofing Yes used as a raw material in housing or for creating mats and beds Fibres Non-wood and non- Roofing Yes fuel fibers such as leaves, fronds and threads Biomass fuel Fuelwood and Biological material Yes charcoal derived from living or recently living organisms—both plant and animal— that serves as a source of energy Freshwater Inland bodies of Yuku River Yes water, groundwater, Sanzikwa River rainwater, and Minkunku River surface waters for Local Wetlands household, agricultural and Mbamba Lake cassava curing uses Natural medicines Medicines and Refer to medicinal No other plant (Table B-2) biological materials derived from ecosystems for commercial or domestic use

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Service Subcategory Definition Examples at Priority EGS NYA (Yes/No)8 Regulating services: The contributions to human well-being arising from an ecosystem’s control of natural processes Water purification Role ecosystems Wetlands remove Yes and waste play in the filtration harmful pollutants treatment and decomposition from water by of organic wastes trapping organic and pollutants in materials water; assimilation Soil microbes and detoxification of degrade organic compounds through waste, rendering it soil and subsoil less harmful processes Water timing and Influence Riverine systems Yes flows ecosystems have on and wetlands retain the timing and water—which can magnitude of water decrease flooding runoff, flooding, and aquifer recharge, particularly in terms of the water storage potential of the ecosystem or landscape Soil quality Role ecosystems Some organisms No play in sustaining aid in soil’s biological decomposition of activity, diversity, organic matter, and productivity; increasing soil regulating and nutrient levels partitioning water Some organisms and solute flow; aerate soil, improve storing and soil chemistry, and recycling nutrients increase moisture and gases; among retention other functions Worms are caught for use as bait for fishing Pollination Role ecosystems Bees from nearby No (but could play in transferring forests pollinate become a pollen from male to crops priority if female flower parts agricultural production is increased in the area) Cultural services: The nonmaterial contributions of ecosystems to human well-being Recreation Rivers and ponds Recreational Swimming No pleasure people (children) derive from natural or cultivated ecosystems

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5.7 Existing anthropogenic impacts on biodiversity and current habitat condition Prior to the commencement of construction for the project, the majority of the habitats in the study area were largely in a natural condition, but were subject to pressure from a number of human activities. Patches of vegetation had been cleared for the planting of crops throughout the concession (modified ecosystem), particularly adjacent to the wetlands, rivers and streams. Some areas of savannah had also been burned in order to improve human access to areas where the grass component had become particularly dense or as a hunting method to drive mammals out of vegetative cover. A camp in the south-east of the study area for the grazing of cattle was present, with evidence of intensive grazing and a higher prevalence of woody species. Wood collection was being undertaken by local communities at various sites in the study for fire wood or for charcoal production. Medicinal plants were also being collected. Bush meat was being caught in the study area by local villagers via traps and hunting with rifles (SRK, 2013).

The vegetation in the study area was consequently deemed to comprise principally of intact savannah and forest (natural habitats), with some degraded natural areas and a number of cultivated lands present (modified habitats). However, the forests were subject to ongoing reduction in their size due to afforestation. None of the terrestrial habitats in the study area were deemed to warrant classification as Critical Habitat in terms of IFC PS6 (2012), but the wetlands, watercourses (including swamps), Gallery and Swamp forests were noted as important habitats and impacts thereon needed to be avoided to the greatest extent practically possible. The habitats in the study area also supplied certain Priority Ecosystem Services in terms of IFC Performance Standard 6 (i.e. High Conservation Value 5), by virtue of linkages to the natural and cultivated areas that are fundamental to meeting the basic needs of the local communities (SRK, 2013).

Subsequent to the commencement of construction, areas of natural vegetation have been cleared to improve the road infructure on site, enable the establishment of the plant and support infrastructure (e.g. main camp), and to enable the development of the quarry. Hunting for bush meat, collection of wood and medicinal plants, and the burning of savannah areas have continued.

During construction, large areas of savannah were cleared, principaly for the development of the plant, hostels, quarry, overburden stockpile and waste management facility. Portions of wetlands and streams were also subject to clearing or habitat degradation, particularly during construction of the plant and roads. 6 Pressures on biodiversity Pressures on biodiversity could be defined as direct or indirect activities and processes associated with the project and surrounding regions that have potential to negatively affect all aspects of biodiversity. These impacts could be directly attributed to the project activities during all lifecycle phases (primarily construction, operation and closure) or indirectly as a result of the presence of the project or local and regional development plans. These pressures, if materialised, have an impact on ecosystem functions and subsequently ecological processes. Ecosystem services are directly linked to ecological processes and the functioning of ecosystems. Ecosystem services provide benefits both to the project and surrounding communities and therefore changes to these services may have impacts to both entities. Pressures and effects specific to the NYA concession area are represented in Figure 6-1 and described in Table 6-1 and Table 6-2.

6.1 Project pressures biodiversity (direct drivers of change) The development of the cement plant, quarry and supporting infrastructure has resulted in direct impacts and threats to biodiversity features and associated ecosystem services. They can be classified

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as direct drivers of change that influence ecosystem functioning which effects biodiversity, ecosystem services and stakeholders. The project pressures (direct drivers of change) specific to this BAP were identified as follows:

 Loss and or fragmentation of habitat  Water abstraction  Invasive indigenous and alien flora and fauna  Altered hydrological regimes  Impeded pollination, photosynthesis and the transpiration rate of plants  Influx of project labour and families  Project operations  Hunting, poaching and illegal harvesting  Rehabilitation and closure of project.

6.2 External pressures on biodiversity (indirect drivers of change) External threats are considered as indirect drivers of change as the project has no direct control over these threats, but they arise due to the presence of the project and other regional developments and land use change. The following external pressures (indirect drivers of change) have been identified:

 Influx of job seekers and families  Increase in non-project related infrastructure development and use  Increase or change in fire burning regimes by surrounding communities  Increased land clearance for agriculture and other land uses.

6.3 Effects on ecosystems Both direct and indirect drivers of change result in varying effects on the biodiversity features and ecosystems that can be found in the project area. The implementation of the ESIA and the associated ESMP have helped to minimise the negative effects of these impacts, however some degree of change has taken place and will continue to occur. Effects on ecosystems and biodiversity within the NYA concession area include:

 Degradation of ecological processes  Loss of species  Loss of habitat corridors.

6.4 Effects on ecosystem goods and service supply The effects of a loss in ecosystem functioning and biodiversity features have implications on the supply of ecosystem services. Provisioning, regulating and maintaining services will be altered or lost as a result of the change in ecosystem functioning. The following priority EGS have been identified in the NYA concession that have and will likely be impacted upon:

 Freshwater  Water purification and waste treatment, timing of water flows  Wild and cultivated foods (bushmeat, fish animals, crops, animals for bait)  Pollination.

6.5 Effects on benefits to stakeholders and the project Threats to ecosystems and biodiversity features impact not only on the natural environment, but also ultimately on benefits to stakeholders and the project. These benefits are derived from the supply of ecosystem services for beneficiaries. The loss of services will result in both the project and

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stakeholders to seek alternative means which could result further direct and indirect threats. Effects on benefits to stakeholders and project include:

 Project operational input and process inefficiencies  Loss of livelihood subsistence and opportunities  Food insecurity  Reduction in traditional health services

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Project pressures (direct drivers of change) Effects on ecosystem service supply  Loss and or fragmentation of habitat  Provisioning:  Water abstraction o Biomass (energy)

 Invasive indigenous and alien flora and fauna o Biomass fibre (materials)  Altered hydrological regimes o Wild foods Livestock  Impeded pollination, photosynthesis and the o o Water (domestic and project use) transpiration rate of plants  Regulation/maintaining:  Influx of project labour and families o Pollination  Project operations o Water and waste regulation  Hunting, poaching and illegal harvesting o Carbon sequestration Regulation of natural hazards  Rehabilitation and closure of project o  Over utilization of natural resources

Effects on ecosystems/biodiversity  Degradation of ecological processes  Loss of species  Loss of habitat corridors

External pressures (Indirect drivers of change)  Influx of job seekers and families  Increase in non-project related infrastructure development and use Effects on benefits to stakeholders and project  Fire burning regimes by surrounding  Project operational input and process inefficiencies communities  Loss of livelihood subsistence and opportunities  Food insecurity  Reduction in traditional health services

Figure 6-1: Pressures and effects to biodiversity and ecosystems within the NYA concession area

JORP/STEW/mahv 492484 - Final NYA 2016 Biodiversity Action Plan - 07Oct2016.docx October 2016 SRK Consulting: Project No: 463574 NYA Final BAP 2016 Page 29 Table 6-1: Pressures to biodiversity within the NYA concession area Pressure Pressure description Project threats (direct drivers of change) Loss and or fragmentation of habitat The planned location of plant, quarry and supporting infrastructure (including linear infrastructure) will result in the irreplaceable loss (quarry) and disturbance of habitat. This results in the fragmentation of habitats. Water abstraction The project will require water for construction and operations, it is anticipated that this water will come in-situ abstraction. Invasive indigenous and alien flora and fauna Imported construction equipment, increased traffic (construction and operation), labour food security plans and disturbed habitat could result in the increased potential for invasive indigenous and alien flora and fauna. Altered hydrological regimes Water abstraction and fragmentation of habitat can result in changes to surface and groundwater flows, altering the current status quo of hydrological regimes. Impeded pollination, photosynthesis and the Dust and other particulates as a result of construction and operational processes could result in the fallout transpiration rate of plants impeding the rates and function of pollinators and the ability of flora to photosynthesise and transpirate. Influx of project labour and families The project is anticipated to result in the influx of project specific labour and possibly their families. This will result in the increased demand for food and energy (biomass) which is supplied by the natural environment. An influx of people could result in the diminishing supply of food and energy. Project operations Project operations, such as the use of the haul road or the processing and treatment of waste could negatively impact biodiversity such as road vehicle related fauna injuries and or deaths. Hunting, poaching and illegal harvesting Increased demand for food, or increased cultural hunting practices or an increased demand to supplement livelihoods could result in an increase of hunting, poaching and illegal harvesting of flora and fauna. Rehabilitation and closure of project Inappropriately designed and or implemented rehabilitation and closure practices and plans could result in increased invasive indigenous and alien flora and fauna. Over utilization of natural resources The project could over utilize the available natural resources which could negatively impact on ecological processes. Deteriorated water quality at lakes The project could negatively impact on the water quality of the surrounding lakes and as a result may have a detrimental impact on unique species such as the Ciliate colony. External threats (Indirect drivers of change) Influx of job seekers and families Influx of non-project related job seekers and families could result in additional pressure on the natural resource base. Increase in non-project related infrastructure Influx of people and the increased demand for services and infrastructure could result in further fragmentation development and use of habitats and place additional pressures on natural resources if development occurs. Development plans for the region implemented by the government and the cumulative impact of other mines in the area may further amplify this threat. Fire burning regimes by surrounding communities Mismanaged fire burning regimes by the community can negatively impact on flora and fauna species.

JORP/STEW/mahv 492484 - Final NYA 2016 Biodiversity Action Plan - 07Oct2016.docx October 2016 SRK Consulting: Project No: 463574 NYA Final BAP 2016 Page 30 Table 6-2: Effects on ecosystems if threats to biodiversity are materialised Effect Effect description Effects on ecosystems/biodiversity Degradation of ecological processes Degradation of ecological processes, loss of species and habitat corridors could occur if the direct and indirect threats to biodiversity are materialised. This will impact on the ecosystems’ ability to provide ecosystem goods Loss of species and services Loss of habitat corridors Effects on ecosystem service supply Provisioning As a result of the reduced functioning of ecosystems the ability for these systems to provide and maintain Regulation/maintaining (supporting) natural resources is diminished. The community and project have varying forms of dependence on these services and therefore will need to be aware of impacts to livelihoods and operational efficiencies. Effects on benefits to stakeholders and project Project operational input and process inefficiencies The project relies on certain natural resources for operational performance. These natural resources are represented as ecosystem services. If feasible and viable alternatives are not available then the project could suffer from process and output inefficiencies. If over resource utilization occurs then this could further amplify project inefficiencies. Loss of livelihood subsistence and opportunities The loss of certain ecosystem services has a direct influence on the community’s ability to adapt to and mitigate potential livelihood and subsistence losses. This could result in further overutilization of resources. Food insecurity Certain ecosystem services are needed for the operation to provide sustenance to their employees. Therefore the loss of these ecosystem services may impact result in food insecurities. Similarly for communities which are dependent on these services for substance and or livelihoods. Reduction in traditional health services Surrounding communities that rely on certain flora and fauna for traditional medicinal uses may need to source medicinal plants from other areas or change their practice to more western medicinal practices.

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7 Priority biodiversity features The biodiversity features in the core of the NYA concession and proposed project infrastructure are illustrated in Figure 7-1 below (Appendix E for A3 size) . Based on the type, conservation status and condition of these biodiversity features (see chapter 5.5), their importance to the livelihoods of local communities (see chapter 5.6) and the anthropogenic pressures on these features (see chapter 5.7), the following local priority biodiversity features have been determined for the NYA concession:

 Swamp and gallery forests

 Aquifers, rivers, lakes, swamps and other wetlands

 Savannah

 Associated ecosystem goods and services.

Figure 7-1: Biodiversity features in the core of the NYA concession and the 2016 project layout

JORP/STEW/kili 492484 - Final NYA 2016 Biodiversity Action Plan - 07Oct2016.docx October 2016 SRK Consulting: Project No: 463574 NYA Final BAP 2016 Page 32 8 Management objectives The following management objectives have been determined for NYA’s concession, based on the findings of the ESIA (SRK, 2013), subsequent surveys and assessment:

Objective 1: To conserve and manage swamp and gallery forests

Objective 2: To conserve and manage aquifers, rivers, lakes, swamps and other wetlands

Objective 3: To conserve and manage savannah

Objective 4: To conserve and manage priority species

Objective 5: To better understand and manage fire as an ecological driver

Objective 6: To control and eradicate invasive alien flora and fauna

Objective 7: To manage change in ecosystem service benefits to local communities

Objective 8: To ensure there is no negative change in ecosystem service benefits for operational performance

Objective 9: To facilitate partnerships with key communities and other stakeholders on biodiversity and EGS issues

Objective 10: To undertake adaptive management (continue research and address biodiversity data gaps through collaboration with partners and stakeholders) 9 Management programmes A suite of management programmes have been developed to facilitate the achievement of the management objectives (see Figure 9-1). The programmes are high level strategies for the implementation of key actions to facilitate the achievement of the objectives of the BAP. Detailed management and monitoring plans have been developed under each programme to guide practical day-to-day implementation (e.g. number of labourers, capital equipment requirements, operational expenditure requirements). The results of the detailed management and monitoring plans still need to be consolidated into a single Annual Operations Plan for biodiversity, to facilitate co-ordination of the various actions.

The following overarching principles should be applied to the implementation of actions to achieve the management objectives:

 The current condition, diversity and functioning of biodiversity, ecological process and associated ecosystem goods and services within the NYA concession and area of influence should be retained, restored and monitored where possible;

 Biodiversity conservation measures should be undertaken in consultation and partnership with local communities where possible; and

 Synergies between the sustainable development plan and the use of EGS by the community must be ensured.

The suite of management programmes that are proposed to facilitate the achievement of the management objectives are as follows:

1: Management programme to conserve and manage swamp and gallery forests

2: Management programme to conserve and manage aquifers, rivers, lakes, swamps and other wetlands

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3: Management programme to conserve and manage savannah

4: Management programme to conserve and manage priority species

5: Management programme to better understand and manage fire as an ecological driver

6: Management programme to control and eradicate invasive alien flora and fauna

7: Management programme to manage change in ecosystem service benefits to local communities

8: Management programme to ensure there is no negative change in ecosystem service benefits for operational performance

9: Management programme to facilitate partnerships with key communities and other stakeholders on biodiversity and EGS issues

10: Management programme to undertake adaptive management (continue research and address biodiversity data gaps through collaboration with partners and stakeholders)

Figure 9-1: Diagram of the various components of the BAP and associated management tools

9.1 Management programme for the conservation of gallery and swamp forests 9.1.1 Management policies and principles

The following management policies and principles must be implemented with regard to gallery and swamp forests:

 The current condition of gallery and swamp forests in the NYA concession should be retained and improved where possible;

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 Restoration activities should not influence or disturb the habitats and ecosystem functioning in any significant negative way;  Only indigenous plants and seeds must be used when planting for restoration purposes in order to minimize genetic changes to local native populations;  Restoration efforts need to take ecological succession into consideration;  Restoration efforts need to treat both the causes and symptoms of degradation; and  Restoration efforts must focus on areas that require the most attention. 9.1.2 Five-year strategy

The following management actions must be implemented with regard to gallery and swamp forests:

 Avoidance and mitigation measure as per the ESIA for the construction, operation, decommissioning and closure phases must be implemented;  The restoration plan must be implemented in areas where disturbance has taken place due to the direct effects of the project (e.g. clearing during construction etc.); and  The monitoring programme must be implemented to track the condition and size of gallery and swamp forest9. Table 9-1: Actions for conservation of gallery and swamp forests

Activities 2014/15 2015/16 2016/17 2017/18 2018/19 2019/20 2020/21 Avoidance and mitigation measure as        per the ESIA implemented Restoration plan implemented where disturbance has taken place due to project        activities (e.g. clearing during construction etc.); Monitoring programme implemented to track the condition and size of        gallery and swamp forest

9.2 Management programme for the conservation of aquifers, rivers, lakes, swamps and other wetlands 9.2.1 Management policies and principles

The following management policies and principles apply to water resources in the NYA concession:

 The current condition of aquifers, rivers, lakes, swamps and other wetlands and their associated habitats in the NYA concession should be retained and improved where possible;  The quality of existing water resources must be protected; and  Ecological water resource requirements must be catered for prior to project needs, and alternative water sources for the project must be identified and implemented where necessary.

9 The monitoring plan should include botanical and zoological surveys in the wet and dry seasons to provide a more comprehensive understanding of these ecosystems.

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9.2.2 Five-Year Strategy

The following management actions must be implemented with regard to aquifers, rivers, lakes, swamps and other wetlands:

 Install appropriate storm water management systems to capture contaminated water and avoid its egress into natural water resources and their catchments;  Apply appropriate precautionary measures to ensure impacts on biodiversity are within the determined acceptable limits. These measures include identifying and utilising alternative water sources if limits are likely to be breached, and decreasing the pumping rate from relevant water sources;  The monitoring protocols for water quality, quantity and invertebrate diversity must be implemented. Water quantity parameters include flow rates and levels of the rivers, wetlands, swamps and aquifers (if utilised for water provision to the plant) and rainfall in the catchment, to determine the sustainability of abstraction rates and to quantify recharge. Water quality parameters must include biodiversity measures as specified in the Aquatic Invertebrate Assessment and the physical measures specified in the protocol;  The database to capture all water quantity and quality results tested must be managed; and  Assess results on a quarterly basis and apply adaptive management measures, based on the precautionary principle. Table 9-2: Actions for Water Resource Management Programme

Activities 2014/15 2015/16 2016/17 2017/18 2018/19 2019/20 2020/21 Install and maintain        storm water controls Monitor water flow rates and levels of rivers,        wetlands, aquifers, lakes and swamps Monitor water quality of rivers, wetlands,        aquifers, lakes and swamps Record all results and        maintain database Review management effectiveness and apply        adaptive management

9.3 Management programme for the conservation of savannah habitat 9.3.1 Management policies and principles

The following management policies and principles must be implemented with regard to savannah:

 The current condition of savannah in the NYA concession should be retained and improved where possible;

 Restoration activities should not influence or disturb the habitats and ecosystem functioning in any significant negative way;

 Only indigenous plants and seeds must be used when planting for restoration purposes in order to minimize genetic changes to local native populations;

 Restoration efforts need to take ecological succession into consideration;

 Restoration efforts need to treat both the causes and symptoms of degradation; and

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 Restoration efforts must focus on areas that require the most attention. 9.3.2 Five-year strategy

The following management actions must be implemented with regard to savannah:

 Avoidance and mitigation measure as per the ESIA for the construction, operation, decommissioning and closure phases must be implemented;

 The fire management programme must be implemented, including the development of fire breaks;

 The restoration plan must be implemented for all habitat types, required;

 The restoration plan must be implemented in areas where disturbance has taken place due to the direct effects of the project (e.g. clearing during construction etc.); and

 The monitoring programme must be implemented to track the condition of the savannah habitat, including species diversity and density, fire history, erosion, and distribution of different invasive alien plants10. Monitoring must be conducted bi-annually (during the wet and dry seasons respectively). Photo monitoring points should be established at various points throughout the concession where different species compositions are present. If possible, ‘control sites’ should be established and resilient ecosystems should also be monitored to enable a comparison.

Table 9-3: Actions for management of savannah

Activities 2014/15 2015/16 2016/17 2017/18 2018/19 Avoidance and mitigation measure as per the      ESIA implemented Fire management programme implemented,      including the development of fire breaks Restoration plan implemented where disturbance has taken place due to project      activities (e.g. clearing during construction etc.); Monitoring programme developed and implemented to track condition of savannah      habitat, including fire history

9.4 Management programme for the conservation priority species 9.4.1 Management policies and principles

The following management policies and principles must be implemented with regard to priority species:

 The current condition of the populations of priority species and their associated habitats in the NYA concession should be retained and improved where possible;  Restoration activities should not influence or disturb the habitats and ecosystem functioning in any significant negative way; and  Ecological processes associated with such species and their habitats must be retained and not disturbed (e.g. natural fire regimes).

10 The monitoring plan should include botanical and zoological surveys in the wet and dry seasons to provide a more comprehensive understanding of these ecosystems.

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9.4.2 Five-year strategy

The following management actions must be implemented with regard to priority species:

 Avoidance and mitigation measure as per the ESIA for the construction, operation, decommissioning and closure phases must be implemented;  Populations of all priority species must be monitored via surveys and data analysis twice a year;  Adaptive management strategies for priority species implemented in response to monitoring results. Table 9-4: Actions for conservation of priority species

Activities 2014/15 2015/16 2016/17 2017/18 2018/19 Avoidance and mitigation measure as per the      ESIA implemented Populations of priority species monitored via      surveys and data analysis twice a year Adaptive management strategies for priority species implemented in response to      monitoring results

9.5 Programme to understand and manage fire as an ecological driver 9.5.1 Management policies and principles

The following management policies and principles apply to fire management:

 The frequency of natural fire regimes in the study area must be determined;  Natural fire regimes must be allowed to continue;  If the fire regime in the concession exceeds natural frequencies, interventions must be made to address remedy this;  No planned burning of the savannah to take place, unless natural fire regimes have been suppressed;  Proactive (firebreaks) and reactive measures (a fire response plan) should be implemented to protect project infrastructure, but must be undertaken in compliance with the BAP Fire Management Plan11; and  Firebreaks must be designed to reduce the impact on natural vegetation (e.g. alignment with roads), the potential for erosion (alignment with contours), and damage to infrastructure. 9.5.2 Five-Year Strategy

The following management actions must be implemented with regard to fire management:

 Unplanned fires within the concession must be prevented, particularly at inappropriate frequencies. This will be achieved as follows:  The Fire Management Programme must be implemented including both proactive (firebreaks) and reactive measures (a fire response plan);  Develop and implement the Fire Response Plan. The Fire Response Plan will include liaison with neighbouring communities, standby procedures, call-out procedures, command procedures and safety procedures in the event of an unplanned fire;  Review on an annual basis the effectiveness of the Fire Management Plan and Fire Response Plan;

11 A detailed Fire Management Plan is to be developed as a sub-component of this BAP, in alignment with this programme.

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 Train staff in fire management in order to ensure effective management and their safety, which is of paramount importance;  Maintain records of any fire that occurs within the concession. Table 9-5: Actions for the Fire Management Programme

Activities 2014/15 2015/16 2016/17 2017/18 2018/19 Develop a Fire Response Plan   Establish fire management capacity (training      of staff and purchase of equipment) Install boundary firebreak  Inspect and maintain firebreak      Establish and/or update fire response  procedures Maintain records of natural, planned and      unplanned fires

Review management effectiveness     

9.6 Management programme for control of invasive alien flora and fauna 9.6.1 Management policies and principles

The following management policies and principles must be implemented with regard to alien invasive flora and fauna:

 No invasive alien plants are to be introduced into the concession area (or anywhere in the country) as per the DRC legal requirements. This prohibition includes exotic fruits and vegetables, unless all DRC plant introduction protocols are fully complied with such as testing and approval;  Invasive plants are to be controlled in a strategic, integrated and phased manner and eradicated where possible; and  No alien invasive plants are to be used for landscaping of amenity areas. 9.6.2 Five-year strategy

For the current planning period, invasive alien plant clearing operations will be limited, as invasive aliens do not currently represent a major threat, as there are currently no dense populations. Broad priorities are based on the following criteria:

 All key vectors of alien invasive species introduction (plants and animals) to be identified and management actions implemented (e.g. thorough washing of all vehicles and large mechanical equipment prior to departure to site at ever instance etc.);  Undertake an initial alien control operation, followed by periodic small-scale control operations;  Maintain records (including maps) of all clearing operations, including aspects such as area cleared, control methods used and costs. These will be used to inform planning for the successive year’s operation (e.g. to provide accurate estimates of clearing costs and effort required to clear); and  Provide training for relevant staff on alien plant control measures.

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Table 9-6: Actions for control of invasive alien flora and fauna

Activities 2014/15 2015/16 2016/17 2017/18 2018/19 Identify vectors of introduction and implement  management actions Implement management actions to      avoid/minimise vectors of introduction Establish alien plant management capacity (staff and purchase of treatment equipment  and chemicals) Conduct initial clearing of concession area     Conduct follow-up clearing of concession area    Maintain records      Review management effectiveness and plan      for following year

9.7 Management programme for ecosystem goods and services for local communities Priority ecosystem goods and services for beneficiaries in the concession have been identified as follows:

 Provisioning  Biomass (energy)  Biomass fibre (materials)  Wild foods  Grazing for livestock  Water (domestic use)  Regulatory and maintaining services  Pollination  Water and waste regulation 9.7.1 Management policies and principles

The following management policies and principles must be implemented with regard to ecosystem goods and services for local communities:

 The delivery of priority EGS for the community is not diminished by the project;  Encouraging sustainable community EGS utilisation;  Access of existing beneficiaries to priority EGS is insured (e.g. potable water);  Where impacts are unavoidable, the client will minimize them and implement mitigation measures that aim to maintain the value and functionality of priority services;  Monitor ecological and social conditions and apply adaptive management appropriately; and  Where priority EGS are diminished by the project, sustainable and realistic alternatives must be investigated.

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9.7.2 Five-year strategy

The following management actions must be implemented with regard to ecosystem goods and services for local communities:

 Capacitate staff to better understand EGS in the context of beneficiaries and operational performance via training workshops;  Institute and implement access controls to the natural environment for contractors and employees, including an effective disciplinary system (including substantive financial disincentives) for non- compliance;  Sustainable natural resource management (SNRM) training/capacity building for adjacent local communities;  Develop and implement a monitoring programme to track the sustainable use of ecosystem services and community’s dependence on EGS for livelihood strategies; and  Develop a natural resource management programme in partnership with adjacent local communities, including the identification of sustainable natural resource management projects (e.g. harvesting of invasive alien or fast-growing indigenous plants for charcoal production as an alternative to gallery and swamp forest species). Table 9-7: Actions for management of ecosystem goods and services for local communities

Activities 2014/15 2015/16 2016/17 2017/18 2018/19 Training workshops to capacitate staff to better      understand EGS Implement access controls to the natural environment for contractors and employees,      including an effective disciplinary system for non-compliance Sustainable natural resource management (SNRM) training/capacity building for adjacent      local communities Develop and implement a monitoring programme to track sustainable use of EGS &      community’s EGS dependence Develop natural resource management programme in partnership with adjacent local communities, including the identification of      sustainable natural resource management projects

9.8 Management programme for ecosystem services for operational performance programme

Priority ecosystem services for operational performance have been identified as follows:

 Provisioning  Freshwater  Regulatory and maintaining services  Regulation of local-climate  Regulation of air quality  Carbon sequestration  Regulation of water flow  Erosion control  Water and waste purification

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 Regulation of natural hazards 9.8.1 Management policies and principles

The following management policies and principles must be implemented with regard to ecosystem services for operational performance:

 The delivery of priority EGS that the operation is dependent on are not diminished by the project;  Recognise that operational performance is a function of ecosystem services;  Risks to operational performance are internalised and opportunities for efficiencies achieved;  Where impacts are unavoidable, the client will minimize them and implement mitigation measures that aim to maintain the value and functionality of priority services;  Recognise the importance of water resources in the area for both the operation and the surrounding community; and  Monitor ecological and social conditions and apply adaptive management appropriately. 9.8.2 Five-year strategy

The following management actions must be implemented with regard to ecosystem goods and services for operational performance:

 Capacitate staff to better understand EGS in the context of operational performance through training workshops;  Understand which priority ecosystems services have a direct or indirect influence on operational performance and seek to find efficiencies to reduce the operations dependence and subsequent risks;  Implement a monitoring programme to track drivers of ecosystem service change and the implications for operational performance; and  Prioritize management of ecosystem services that are necessary to successfully implement management, rehabilitation, closure and sustainable development plans. Table 9-8: Actions for management of ecosystem goods and services for operational performance

Activities 2014/15 2015/16 2016/17 2017/18 2018/19 Training workshops to capacitate staff to better      understand EGS Determine which priority ecosystems services have direct or indirect influence on operational performance. Seek to find efficiencies to      reduce the operations dependence and subsequent risks Implement a monitoring programme to track drivers of ecosystem service change and the      implications for operational performance Prioritize management of ecosystem services necessary to successfully implement      management, rehabilitation, closure and sustainable development plans

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9.9 Management programme for the facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues 9.9.1 Management policies and principles

The following management policies and principles apply to the facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues:

 Opportunities linked to the NYA operation that provide socio-economic benefits to communities (e.g. skills development, employment opportunities etc.) should be encouraged; and  Potential social and economic activities that impact on the management objectives should be prohibited. 9.9.2 Five-Year Strategy

The following management actions must be implemented with regard to the facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues:

 Promote skills development and employment creation opportunities associated with NYA operations;  Utilise local Small, Medium and Micro Enterprises (SMMEs) and local labour for management efforts where necessary and possible;  Promote skills development and environmental education opportunities related to biodiversity management in the concession. This would include providing training prior to the commencement of biodiversity management and restoration efforts, particularly regarding enforcement measures. Supporting actions include developing educational materials for engagement with and distribution to relevant stakeholders; and  Review outcomes and effectiveness annually. Table 9-9: Actions for the facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues

Activities 2014/15 2015/16 2016/17 2017/18 2018/19 Promote skills development and employment creation opportunities associated with NYA operations. Utilise local Small, Medium and      Micro Enterprises (SMMEs) and local labour for management efforts where necessary and possible Promote training and environmental education      opportunities related to the concession Review outcomes and effectiveness annually     

9.10 Management programme for adaptive management 9.10.1 Management policies and principles

The following management policies and principles must be implemented with regard to adaptive mangement:

 To be responsive to changing local socio-economic and biodiversity conditions, including new data; and

 To be responsive to any regional or national biodiversity plans such as the National Biodiversity Strategies and Action Plans (NBSAPs).

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9.10.2 Five-year strategy

The following management actions must be implemented regarding adaptive management:

 Comprehensive baseline surveys of mammals, birds, insects, amphibians, reptiles, flora and fish (to complement the existing limited flora data) to be undertaken in both the wet and dry seasons during 2015 to address existing knowledge gaps and enable future monitoring;  Monitoring of status of aquatic invertebrates (bi-annual), water quality (as per protocol), and water quantity (as per protocol) to inform adaptive management of water resources (wetlands, swamps, river and aquifers);  The effectiveness of management actions must be monitored annually;  Management programmes and actions must be amended annually (or more frequently if required) to reflect new data and facilitate improved effectiveness, in line with the management policies and principles; and  The entire BAP and associated monitoring and management plans must be reviewed every five years and updated to reflect changes in the changing local socio-economic and biodiversity conditions, changed biodiversity and EGS management needs, and DRC or international policy or legal requirements. These revisions and updates must also include the lastest life of mine plan and operational requirements. All amendments must be made in alignment with the management policies and principles Table 9-10: Actions for adaptive management.

Activities 2014/15 2015/16 2016/17 2017/18 2018/19 Comprehensive baseline surveys of mammals, birds, insects, amphibians, reptiles, flora and fish (to complement the existing   limited flora data) to be undertaken in both the wet and dry seasons Monitoring of status of aquatic invertebrates (bi-annual), water quality (as per protocol), and water quantity (as per protocol) to inform      adaptive management of water resources (wetlands, swamps, river and aquifers) Effectiveness of management actions      monitored annually Management strategies and actions amended annually (or more frequently if required) to      reflect new data and facilitate improved effectiveness Entire BAP and associated monitoring and management plans reviewed every five years      and updated

9.11 Implementation Responsibilities

All actions identified in this BAP are the primary responsibility of NYA. The successful implementation of a number of these actions is dependent however upon the co-operation and collaboration of the NYA workforce, suppliers, the local communities in the concession area, the DRC government, and relevant NGOs. The development of effective partnerships by NYA with relevant stakeholders is therefore essential and should be prioritised. 10 Auditing and monitoring The evaluation of the effectiveness of the management of the NYA concession will comprise of auditing and monitoring actions.

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Auditing has a relatively short-term horizon and will be undertaken in order to verify whether the planned work for a given year has been carried out. Monitoring will have a long-term focus and will provide a means to critically examine the management objectives of the NYA concession – both whether they are being achieved and whether they remain appropriate. Monitoring provides an opportunity to learn from observation of the impacts of management and to adapt management actions accordingly, thus providing the feedback loop in adaptive management. 10.1 Auditing

An annual audit of the management activities will be carried out against the activities set out in the annual management schedule. For each activity identified in the annual management schedule, the following will be determined:

 Was the activity completed – completely, in part / not at all?  If not, why was this so?  What can be done to achieve the goal? 10.2 Monitoring

Monitoring for the various management programmes should be integrated into the overall monitoring programme for the NYA concession. These Monitoring Programmes should be expanded on and reviewed as more information is provided on the concession. This will ensure appropriate monitoring strategies are carried out. 10.2.1 Monitoring Programme for the conservation of gallery and swamp forests

Monitoring for the conservation of gallery and swamp forests must include:

 Annual surveys to monitor the condition and size of gallery and swamp forest over; and  Quarterly evaluation of restoration success at disturbed sites.

10.2.2 Monitoring Programme for the conservation of aquifers, rivers, lakes, swamps and other wetlands Monitoring for the conservation of aquifers, rivers, lakes, swamps and other wetlands must include:

 Implementation of the monitoring protocols for both water quality (monthly), quantity (quarterly) and invertebrate diversity (bi-annually); and  Maintenance of the associated and assessment of results on a quarterly basis to inform adaptive management measures. Detailed data records on water quality, quantity and invertebrate diversity must be kept. These records should be updated as per the associated protocols to guide adaptive management actions. 10.2.3 Monitoring Programme for the conservation of savannah

Monitoring for the conservation of savannah must include:

 Quarterly evaluation of restoration success at disturbed sites.  Annual surveys to track the condition of the savannah habitat, including species diversity and density, fire history, erosion, and distribution of different invasive alien vegetation. Photo monitoring points should be established at various points throughout the concession where different species compositions are present. If possible ‘control sites’ should be established and resilient ecosystems should also be monitored to enable comparison. 10.2.4 Monitoring Programme for the conservation priority species

Monitoring for the conservation of priority species must include:

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 The condition of populations of priority species (species numbers, and associated habitat size and condition). 10.2.5 Fire Management Monitoring Programme

Monitoring for the Fire Management Programme must include:

 Extent and frequency of any natural or human induced fires that occur in or enter the concession (mapped on a GIS);  Responses to unplanned fires (review of the success of management responses to wild fires on individual fire and annual basis); and  Recovery of vegetation after fire. A written report should be compiled as soon as possible after a fire event. This report should include any factors that might have mitigated or exacerbated the fire. All measures used to put the fire under control should also be recorded, followed by the strategies that will be used to aid in the recovery of the affected vegetation if necessary. 10.2.6 Monitoring Programme for control of invasive alien flora and fauna

Monitoring for the control of invasive alien flora and fauna must include:

 The impact of invasive alien plant clearing efforts and use of biological control agents;  Thickening of existing stands of invasive alien plant;  New infestations (fauna and flora); and  Effectiveness of management measures to minimise new infestations (e.g. washing of vehicles prior to entry to the site). Fixed point photographs should be taken before and after clearing operations as a visual record of the impact of control efforts. 10.2.7 Monitoring Programme for ecosystem goods and services for local communities

Monitoring for the ecosystem goods and services for local communities must include:

 The total number of staff and community members to whom training was provided on EGS;  Continued availability of priority EGS to local communities;  Continued access of priority EGS to existing beneficiaries;  Continued dependence of local communities on EGS;  The total number of individuals that are permitted to access natural resources in the concession and the types and volume of resources should be recorded.  Status of populations of EGS, to determine whether utilisation levels are sustainably;  Effectiveness of access control measures and disciplinary system for employee non-compliance regarding access to the natural environment and resource use;  Effectiveness of mitigation measures to maintain the value and functionality of priority services; and  Effectiveness of natural resource management programme and associated alternative sustainable resource use options in reducing pressure on EGS. 10.2.8 Monitoring Programme for ecosystem goods and services for operational performance

Monitoring for the ecosystem goods and services for operational performance must include:

 The total number of staff to whom training was provided on EGS;  Continued availability of priority EGS to the project;

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 Evaluation of direct and indirect EGS influences on the operational performance of the project (e.g. water availability) and implementation of efficiencies to reduce dependence and subsequent risks;  Tracking of track drivers of ecosystem service change and the implications for operational performance; and  Effectiveness of priority management of ecosystem services that are necessary to successfully implement management, rehabilitation, closure and sustainable development plans.

10.2.9 Monitoring Programme for facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues

Monitoring for facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues must include:

 The total number of skills development and employment opportunities created via NYA operations;  The total number of local Small, Medium and Micro Enterprises (SMMEs) and local labour utilised for management efforts and the extent (number of staff), labour hours and duration (time) thereof; and  Annual review of effectiveness and outcomes of partnerships and associated projects.

10.2.10 Monitoring Programme for adaptive management

Monitoring for the implementation of adaptive management measures must include:

 Status of aquatic invertebrates (bi-annual), water quality (as per protocol), and water quantity (as per protocol) to inform adaptive management of water resources (wetlands, swamps, river and aquifers);  Annual review of effectiveness of management actions;  Annual amendment (or more frequently if required) of management strategies and actions to reflect new data and facilitate improved effectiveness; and  Full review and updating of the entire BAP every five years, including incorporation of new data, legal requirements, good practice management measures etc. 10.3 Five-year review

A summary of the various management actions is provided below in Table 10-1.

Table 10-1: Summary of management actions per programme for the NYA BAP

Activities 1. Conservation of gallery and swamp forests management programme 1.1 Avoidance and mitigation measures as per the ESIA implemented 1.2 Restoration plan implemented where disturbance has taken place due to project activities (e.g. clearing during construction etc.) 1.3 Monitoring programme implemented to track the condition and size of gallery and swamp forest

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Activities 2. Water resource management programme 2.1 Install and maintain storm water controls 2.2 Monitor water flow rates and levels of aquifers, rivers, lakes, swamps and other wetlands 2.3 Monitor water quality of aquifers, rivers, lakes, swamps and other wetlands 2.4 Record all monitoring results and maintain database 2.5 Review management effectiveness and apply adaptive management 3. Management of savannah 3.1 Avoidance and mitigation measures as per the ESIA implemented 3.2 Fire management programme implemented, including the development of fire breaks 3.3 Restoration plan implemented where disturbance has taken place due to project activities (e.g. clearing during construction etc.) 3.4 Monitoring programme implemented to track condition of savannah habitat, including fire history 4. Conservation of priority species management programme 4.1 Avoidance and mitigation measures as per the ESIA implemented 4.2 Populations of priority species monitored via surveys and data analysis twice a year 4.3 Adaptive management strategies for priority species implemented in response to monitoring results 5. Fire management programme 5.1 Implement Fire Management Plan and Develop a Fire Response Plan 5.2 Establish fire management capacity (training of staff and purchase of equipment) 5.3 Install boundary firebreak 5.4 Inspect and maintain firebreak 5.5 Establish and/or update fire response procedures 5.6 Maintain records of natural, planned and unplanned fires 5.7 Review management effectiveness 6. Control of invasive alien flora and fauna management programme 6.1 Identify likely vectors of invasive species introduction 6.2 Implement management actions to avoid/minimise vectors of introduction 6.3 Establish alien plant management capacity (staff and purchase of treatment equipment and chemicals) 6.4 Conduct initial clearing of concession area 6.5 Conduct follow-up clearing of concession area 6.6 Maintain records 6.7 Review management effectiveness and plan for following year 7. Management of ecosystem goods and services for local communities 7.1 Training workshops to capacitate staff to better understand EGS 7.2 Implement access controls to the natural environment for contractors and employees, including an effective disciplinary system for non-compliance 7.3 Sustainable natural resource management (SNRM) training/capacity building for adjacent local communities 7.4 Implement a monitoring programme to track sustainable use of EGS & community’s EGS dependence 7.5 Develop natural resource management programme in partnership with adjacent local communities, including the identification of sustainable natural resource management projects

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Activities 8. Management of ecosystem goods and services for operational performance 8.1 Training workshops to capacitate staff to better understand EGS 8.2 Determine which priority ecosystems services have direct or indirect influence on operational performance. Seek to find efficiencies to reduce the operation’s dependence and subsequent risks 8.3 Implement a monitoring programme to track drivers of ecosystem service change and the implications for operational performance 8.4 Prioritize management of ecosystem services necessary to successfully implement management, rehabilitation, closure and sustainable development plans 9. Facilitation of partnerships with key communities and other stakeholders on biodiversity and EGS issues 9.1 Utilise local Small, Medium and Micro Enterprises (SMMEs) and local labour for management efforts where necessary and possible 9.2 Promote training and environmental education opportunities related to the concession 9.3 Review outcomes and effectiveness annually 10. Management programme for adaptive management 10.1 Monitoring of status of aquatic invertebrates (bi-annual), water quality (as per protocol), and water quantity (as per protocol) to inform adaptive management of water resources (wetlands, swamps, river and aquifers) 10.2 Effectiveness of management actions monitored annually 10.3 Management programmes and actions amended annually (or more frequently if required) to reflect new data and facilitate improved effectiveness 10.4 Entire BAP and associated monitoring and management plans reviewed every five years and updated

At the end of the five-year cycle for the current BAP and associated management programmes, the NYA Sustainable Development Manager should prepare a brief report on the effectiveness of biodiversity management of the concession. This report should be used to inform a review of the management objectives for the concession and the updating of the next five-year BAP and associated management programmes and plans. Such reviews will facilitate continual improvement in biodiversity management within the NYA concession (see Figure 10-1).

Figure 10-1: The plan-do-check-act cycle and the role of review to facilitate continual improvement

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This BAP was founded on the legal and administrative framework applicable in the Democratic Republic of Congo, as well as the requirements set out in IFC Performance Standard 6 and Good International Industry Practice. The Strategic Management component of the BAP has highlights key pressures on biodiversity and ecosystem goods and services. Strategies have been developed to manage and/or mitigated these appropriately, through specific management programmes and associated actions. Requirements for auditing, monitoring, review and updating have also been specified.

Following on from the interim BAP completed in July 2014 and the final BAP completed in December 2014, this BAP has been updated to include key biodiversity data collected during the 2015 dry and 2016 wet season monitoring rounds and the latest layout of the site. The latest institutional arrangements and roles and responsibilities of NYA staff have also been reflected in this 2016 version.

A review and full updates to the BAP and associated monitoring and management plans must be undertaken every five years. Annual updated must be made to the monitoring and management plans where necessary. These updates will need to take account of changes in project planning and operations, such as expansion of the quarry and or plant.

Prepared by

Warrick Stewart

Principal Environmental Scientist

Paul Jorgensen

Environmental Scientist

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Reviewed by

Vassie Maharaj

Project Reviewer; Partner

All data used as source material plus the text, tables, figures, and attachments of this document have been reviewed and prepared in accordance with generally accepted professional engineering and environmental practices.

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Government of the Democratic Republic of Congo. 2002. Mining Code, Law No. 007/2002, Kinshasa.

Government of the Democratic Republic of Congo. 2003. Conservation of Nature, Law 14/003, Kinshasa.

Government of the Democratic Republic of Congo. 2011. Environmental Protection Act, No. 11/009, Kinshasa.

Government of the Democratic Republic of Congo. 2012. National Conservation Strategy for protected areas 2012, Kinshasa.

Government of the Democratic Republic of Congo. 2014. Fifth National Report on the Convention of Biological Diversity 2014, Kinshasa.

Government of the Democratic Republic of Congo. 2014. State of Biodiversity Reporting 2014, Kinshasa.

ICMM. 2003. Good Practice Guidance for Mining and Biodiversity. International Council on Mining and Metals, United Kingdom.

International Finance Corporation. 2012. IFC Performance Standards on Environmental and Social Sustainability. International Finance Corporation, Washington DC.

IPIECA. 2005. A guide to developing biodiversity action plans for the oil and gas sector. The International Petroleum Industry Environmental Conservation Association (IPIECA) and the International Association of Oil and Gas Producers (OGP).

Landsberg F, Stickler M, Henninger N, Treweek J and Ven O (2013) Weaving Ecosystem Services into Impact Assessment: A Step-by-Step Method, World Resources Institute, Washington DC

SRK Consulting. 2013. Environmental and Social Impact Assessment (ESIA) and the Environmental and Social Management Plan (ESMP). Johannesburg, South Africa.

SRK Consulting. 2014. Final Biodiversity Action Plan for Nyumba Ya Akiba Cement Plant Project, Bas Congo Province of Democratic Republic of Congo. Johannesburg, South Africa.

SRK Consulting. 2016. Nyumba Ya Akiba Biodiversity Monitoring Report for the 2015 Dry Season. Johannesburg, South Africa.

SRK Consulting. 2016. Nyumba Ya Akiba Biodiversity Monitoring Report for the 2015/2016 Wet Season. Johannesburg, South Africa.

WBCSD. 2005. Cement Industry Standards Environmental and social impact assessment (ESIA) guidelines. World Business Counsel for Sustainable Development, Switzerland.

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Appendices

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Appendix A: Additional biodiversity information as extracted from the ESIA (SRK, 2013)

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National and Regional Biodiversity Setting

The following section is provided on the basis of a desktop literature review undertaken by SRK in June 2013.

The Democratic Republic of Congo (DRC) has the highest number of species for almost all groups of organisms in Africa, with the exception of South Africa which has greater plant diversity, and possesses over 50% of Africa’s tropical forests (Sayer et al. 1992). Dense forests and woodlands cover half of the DRC’s total surface area of 2.3 million km² and play a critically important role in maintaining global climatic cycles. The DRC also harbours a number of spectacular endemic species like the okapi, Grauer’s gorilla, bonobo, and the Congo peacock. The DRC ranks sixth highest among countries worldwide for total numbers of mammal species (more than 425) and 9th highest for numbers of birds, which total 1,200 recorded species (Pedersen 2006; World Conservation Monitoring Centre, 1992). The DRC has one of the richest bird faunas in Africa and has a relatively extensive network of Important Bird Areas (IBAs) designed to protect the region’s avifauna (Demey & Louette, 2001). Most of the IBAs are associated with high centres of bird endemism in the Albertine Rift and eastern DRC lowlands. The total amphibian diversity of the DRC is not yet known. Poynton (1998) developed a checklist with a total of 232 species in 41 genera. A lower total of 211 species was documented as at 2008 (Global Amphibian Assessment, 2008). The reptile fauna of the DRC has not been reviewed in detail since the seminal studies of Schmidt (1919, 1923). Broadley’s (1998) checklist, although out of date, recognized 291 species, including 17 chelonians, 105 lizards, 166 snakes and 3 crocodiles. This diversity is greater than that of Western Europe. The Congo River is the largest in the country and the third largest and deepest river in the world. The river is recognised as the second most important site in the world for freshwater biodiversity, particularly fish, but some of the sections of the river have not been surveyed since Max Poll’s expedition in 1953 (Poll, 1959) and others since the late 1970’s such as the lower Congo rapids (Stewart and Roberts, 1976). The Congo River is home to at least 686 species of fish, 80% of which are found nowhere else in the world (endemic). The country has a total of 18 protected areas (see Figure A-1), the majority of which are located in the east of the country.

Figure A-1: Protected Areas in the DRC (IBAT, 2013)

It is noteworthy that in the province of Bas Congo, 55 species of fish from 15 families have been reported (Shumway, 2003). Bas Congo is one of the most deforested provinces in DRC, with an average deforestation rate of 0.6% compared to the national rate of 0.3%. Deforestation in Bas Congo has a complex history, with the province having historically been the most accessible and

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consequently the most exploited. Consequently, most of Bas Congo is now devoid of primary forest. In the Cataractes District of Bas-Congo, where the project site is located, despite its high rainfall, the primary vegetation present is savannah that is intersected by forest fragments. Most of these forest fragments are secondary forest.

A rapid fauna survey was conducted historically of the provinces of Bandundu, Bas-Congo, and Equateur (Shumway, 2003). The survey covered fish, birds, mammals, amphibians, reptiles, macro invertebrates, and terrestrial and aquatic plants. The results of the survey can be found in Table A-1 to Table A-11 and Figure A-2 below.

Table A-1: Summary table of fish species recorded in the Bandundu, Bas-Congo and Equateur Provinces of the DRC

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Figure A-2: Proportional representation of fish species in each family found in Bas-Congo.

Table A-2: Birds recorded in the Bas Congo Province

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Table A-3: Amphibians recorded in the Bas Congo Province

Table A-4: Reptiles recorded in the Bas Congo Province

Table A-5: Mammals recorded in the Bas Congo Province

Table A-6: Macro invertebrates recorded in the Bas Congo Province

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Table A-7: Plants recorded in the Bas Congo Province

Table A-8: Aquatic faunal species described by the local communities to SRK as being present in the study area

Family Name Description Usage Location Frequency Tilapia - Common Cat Fish - Common Carpe - Common Mongo - Common Mufungua - Common Vundu - Common Binkoko - Common Nzonzi - Common Kungan-Gando - Rivers Common Fish Consumption throughout Ntondi - the site Common Ntondi-Biongo - Common Ndadi - Common N’semo - Common Nsula - Common Nkunki - Common Ngolola - Common Mabundu - Common Babinta - Common

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Table A-9: Likely aquatic fauna species in the study area as identified by OEMS via community consultation

Family Genus and species Common name Protected/Rare species

Lepidosirenidea Protopterus dolloi (likely) Slender lungfish IUCN Least concern Polypteridae Polypterus ornatipinnis Ornate bichir IUCN Least concern Mormyridae Mormyrops anguilloides (likely) Electric fish IUCN Least concern Mochokidae Synodontis sp. Characidae Hydrolycus sp. Upside-down catfish Mormyridae Gnathonenus elephas Dogtooth characins IUCN Least concern Citharinidae Citharinus gibbosus IUCN Least concern Arapaimidae Heterotis niloticus African arowana (bonytongue) IUCN Least threatened Distichodontidae Distichodus fasciolatus Shark tail distichodus IUCN Least concern

Cyprinidae Labeo longipinnis IUCN Least concern

Jaccard similarity 6,4 5,6 4,8 3,2 2,4 1,6 0,8 4 0 0 0,8

Quarry_site 1,6

Dumping_A 2,4

3,2 Plant_site

4 Mbamba_P 4,8

Kabuendi_P 5,6

Kawenga_P 6,4

7,2 Tshombe_P 8

Figure A-3: Jaccard similarity between sites according to species composition

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Table A-10: Faunal species described by the local communities to SRK as being present in the study area

Family Name Description Usage Location Frequency

Tilapia - Common

Cat Fish - Common

Carpe - Common

Mongo - Common

Mufungua - Common

Vundu - Common

Binkoko - Common

Nzonzi - Common

Kungan-Gando - Consumption Rivers Common Fish throughout Ntondi - the site Common

Ntondi-Biongo - Common

Ndadi - Common

N’semo - Common

Nsula - Common

Nkunki - Common

Ngolola - Common

Mabundu - Common

Babinta - Common

Moineaux - - Common

Pigeons - - Common Throughout the site Vulture - - Common

Crows - - Common

Eperviers - - Common

Hiboux - - Common Birds Eagles - - Common

Fish Eagles - - Common Throughout Perdrix - - the site Common

Pintades - - Common

Nkuanki - - Common

Bikiyongo - - Common

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Family Name Description Usage Location Frequency

Vipers - - Common

Mbamba - - Common

Nkungulu - - Common

Tavila - - Common

Boa - - Common Throughout Reptiles Nduma - - Common the site Python - - Common

Salamander - - Common

Crocodile - - Rare

Lizard - - Common

Tortoise - - Rare

Antelope - - Common

Monkey - - Common

Nkewa - - Common Throughout Mammals Rats - - the site Common

Wild pigs - - Common

Aulacote Medium size Consumption Common rodent

Table A-11: Likely fauna species in the study area as identified by OEMS via community consultation

Family Genus and species Common name Protected/ Rare species MAMALIA Viverridea Veverra civeta Civet Canidea Lycaon pictus Hyena Suidea Phacochoerus ethiopicus Phacochere Bividea Cephalospus sylvicultor Cephalophe Manidae Phataginus tricuspis (likely) Tree pangolin IUCN Near Threatened Hystridea Hystrux africanus australis Porcupine Leporidae Lepus saxatilist Hare (lumba) Sciuridae Paraxerus cepapi Smith’s bush squirrel IUCN Least Threatened Unknown Antelope (nkai)

REPTILIA Gekkonidea Henidactylus mabouia Tropical house gecko Hamaleonidea Camealeo owenii Owne’s chameleon

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Family Genus and species Common name Protected/ Rare species Tyhlopidea Tyhlops sp. Blind snake Viperidae Bitis nasicornis Rhinoceros viper Pythonidae Python sebae African rock python (mboma)

AVES Numida meleagris Helmeted guineafowl Hirundo angolensis Angolan swallow IUCN Least concern Vulturidae Unknown Vulture (mbemba) Corvius albus Pied crow Accipiter melanoleucus Black Sparrowhawk Passer griseurs Northern Grey-headed sparrow (maseka) Streptopelia turtur Turtle dove Ploceus cucullatus Black-headed weaver Titonidae Tyto capensis (likely) African grass owl Streptopelia senegalensis Laughing dove Psittacus erithacus African grey parrot IUCN Vulnerable

INSECTA Blattodea Blatta orientalis Oriental cockroach Gryllotalpida Gryllotalpa sp. Mole cricket Gryllidea Ggryllis sp. Field cricket Formicidea Dorylus sp. Army ant Muscidea Musca domestica House fly Glossinidae Glossina sp. Tsetse fly

PISCES Lepidosirenidea Protopterus dolloi (likely) Slender lungfish IUCN Least concern Polypteridae Polypterus ornatipinnis Ornate bichir IUCN Least concern Mormyridae Mormyrops anguilloides Electric fish IUCN Least concern (likely) Mochokidae Synodontis so. Upside-down catfish Characidae Hydrolycus sp. Dogtooth characins Mormyridae Gnathonenus elephas IUCN Least concern Citharinidae Citharinus gibbosus IUCN Least concern Arapaimidae Heterotis niloticus African arowana (bonytongue) IUCN Least threatened Distichodontidae Distichodus fasciolatus Sharktail distichodus IUCN Least concern Cyprinidae Labeo longipinnis IUCN Least concern

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Appendix B: Summary of biodiversity and ecosystem service related impacts and mitigation measures extracted from the ESIA (SRK, 2013)

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Table B-1: Summary of impact significance ratings before and after implementation of recommended management measures

Impact Significance Impact Identified impacts groups Pre- Post- management management

CONSTRUCTION PHASE

Biophysical impacts

Impact SL1: Placement of project infrastructure, resulting in a transient loss of soil resource, and change in soil Medium (-ve) Medium (-ve) characteristics, land capability and land use

Impact SL 2: Placement of permanent project infrastructure, resulting in a permanent loss of soil resource, and change in soil Medium (-ve) Medium (-ve) Soils, land characteristics, land capability and land use capability & land use Impact SL 3: Spillage of chemicals and seepage from waste resulting in permanent loss of soil resource, and change in soil Medium (-ve) Low (-ve) characteristics, land capability and land use

Impact SL4: Site clearance resulting in a permanent loss of soil resource, and potential change in soil characteristics, land Medium (-ve) Low (-ve) capability and land use as a result of increased erosion

Impact WR1: Chemical contamination of surface water resulting from accidental spills during transportation and handling, and Low (-ve) Low (-ve) seepage from waste Water resources Impact WR2: Sedimentation of surface water resulting from erosion and runoff from exposed surfaces and roads Low (-ve) Low (-ve)

Impact WR3: Contamination of groundwater resulting from seepage from sewage and other waste Low (-ve) Low (-ve)

Impact EB1: Loss of savanna habitat due to site clearing and earthmoving activities Medium (-ve) Low (-ve)

Impact EB2: Loss of forest habitat due to site clearing and earthmoving activities Medium (-ve) Low (-ve)

Impact EB3: Loss of aquatic habitat due to site clearing and earthmoving activities High (-ve) Medium (-ve)

Impact EB4: Loss or disturbance of species of special concern due to site clearing and construction activities Medium (-ve) Low (-ve) Ecology & Biodiversity Impact EB5: Loss or degradation of ecological processes due to site clearing and construction activities Medium (-ve) Low (-ve)

Impact EB6: Fragmentation of habitats and ecological processes due to positioning of project infrastructure Medium (-ve) Low (-ve)

Impact EB7: Modification or degradation of aquatic habitats due to altered hydrological regimes and surface or groundwater High (-ve) Medium (-ve) quality

Impact EB8: Introduction of alien invasive plants due to site clearing and disturbance of vegetation Medium (-ve) Low (-ve)

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Impact Significance Impact Identified impacts groups Pre- Post- management management

Impact EB9: Impeded photosynthesis and transpiration rate of plants due to dust generation Low (-ve) Low (-ve)

Socio-economic impacts

Ecosystem Impact ES1: Reduced availability of natural resources and ecosystem services to local communities Medium (-ve) Low (-ve) Services

OPERATIONAL PHASE

Biophysical impacts

Impact EB10: Loss or disturbance of fauna species of special concern due to collisions and noise disturbance Medium (-ve) Medium (-ve)

Impact EB11: Introduction of alien invasive flora and fauna Medium (-ve) Low (-ve) Ecology & Impact EB12: Increased hunting/poaching of wildlife Medium (-ve) Low (-ve) Biodiversity Impact EB13: Modification or degradation of aquatic habitats due to pollution or nutrient loading High (-ve) Medium (-ve)

Impact EB14: Impeded photosynthesis and transpiration rate of plants due to dust generation Medium (-ve) Low (-ve)

Impact SL5: Chemical spills and release of contact water resulting in permanent loss of soil, and change in soil characteristics, Medium (-ve) Low (-ve) Soils, land land capability and land use capability & land use Impact SL6: Operational activities causing increased erosion, resulting in a permanent loss of soil resource, and change in soil Medium (-ve) Low (-ve) characteristics, land capability and land use

Impact WR4: Contaminated stormwater runoff from roads and other surfaces affecting surface and groundwater quality High (-ve) Low (-ve)

Impact WR5: Discharge of contaminated pit water to surface water resources, affecting downstream users High (-ve) Low (-ve)

Impact WR7: Dewatering of the quarry resulting in groundwater drawdown and reduced contribution to surface water base High (-ve) Medium (-ve) flows and wetlands, affecting users Water Resources Impact WR8: Stormwater inflows into the pit, reducing surface water flows and availability to users High (-ve) Medium (-ve)

Impact WR9: Raw water abstraction for the project reducing availability to other users Medium (-ve) Low (-ve)

Impact WR10: Seepage from waste affecting surface and groundwater quality Medium (-ve) Medium (-ve)

Impact WR11: Wastewater effluent discharge to streams, affecting water quality for downstream users High (-ve) Medium (+ve)

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Impact Significance Impact Identified impacts groups Pre- Post- management management

Socio-economic impacts

Ecosystem Impact ES2: Reduced availability of natural resources and ecosystem services to local communities due to use by the project Low (-ve) Low (-ve) Services and impacts on these resources

DECOMMISSIONING AND CLOSURE PHASE

Impact EB15: Re-establishment of habitats or creation of new habitats via rehabilitation Medium (+ve) Medium (+ve)

Impact EB16: Introduction of alien invasive flora and fauna Medium (-ve) Low(-ve) Ecology & Biodiversity Impact EB17: Loss or disturbance of fauna species of special concern due to collisions and noise disturbance Medium (-ve) Low (-ve)

Impact EB18: Increased hunting/poaching of wildlife and loss of habitats for crop production Medium (-ve) Medium (-ve)

Impact WR13: Chemical contamination of surface water resulting from accidental spills during transportation and handling, Low (-ve) Low (-ve) and seepage from waste Water Resources Impact WR14: Sedimentation of surface water resulting from erosion and runoff from exposed surfaces and roads Low(-ve) Low(-ve)

Impact WR15: Contamination of groundwater resulting from seepage from hazardous materials and waste Low(-ve) Low(-ve)

Soils, land Impact SL7: Remediation of contaminated soils and demolition of project infrastructure, resulting in re-establishment of capacity & Medium (-ve) High baseline soil characteristics and land capability land use

POST-CLOSURE PHASE

Ecology & Impact EB19: Increased hunting/poaching of wildlife and loss of habitats for crop production Medium (-ve) Medium (-ve) Biodiversity

Water Impact WR12: Pit lake formation due to inflow of ground and surface water, resulting in safety risks to animals and humans, Low (-ve) Low (-ve) Resources and environmental contamination

Soils, land Impact SL8: Demolition and restoration of project infrastructure, resulting in re-establishment of baseline soil characteristics capacity & Medium (-ve) High and land capability land use

Visual Impact VI4: Re-establishment of baseline visual character due to rehabilitation of the site and removal of project infrastructure Medium(-ve) Medium(+ve)

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Appendix C: List of known medicinal plants used within the NYA concession area based on the socio-economic survey (2014)

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Table C-1: List of known medicinal plants used within the NYA concession area based on the socio-economic survey (2014)

Plant Habitat Illness used Part of Preparation Manner in name found for plant method which it is used consumed Nfilu Savana Back aches Bark Grate bark then One cup as required boil Lemba nzau Savana Back aches bark Boil One cup as required Ndolo (diwa Savana To boost red Dried Boil Drink the juice one ndolo blood cells count leaves cup three times a day Lolo kia Savana Stomach aches Roots Boil Drink the juice one (bumbulu) cup three times a day Bulukutu Savana Coughs, fever Leaves Boil Drink hot as required Muindu Savana Blood coagulant Bark after Grate Apply on wound grating Ngo nti Forest To boost red Bark Boil Drink the juice one blood cells count cup three times a day Nkazuwa Savana Diarrhea Leaves Chew raw One or three time a (cashew day nut) Savana Haemorrhoids Bark Boil Must sit in bath Mfulunta Savana Diarrhea leaves Boil or raw Must chew as (guava tree) required Nsinga Forest Stomach aches Section of Boil Chew raw as ndudi the thread required Acacia Savanna/forest Malaria Bark, Raw Must sit in bath leaves

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Appendix D: Rapid aquatic survey undertaken in July 2014 by Nepid Consultants (Palmer 2014)

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NYUMBA YA AKIBA S.A.R.L

NYUMBA YA AKIBA CEMENT PLANT

Updated Environmental and Social Impact Assessment (ESIA)

Specialist Study:

AQUATIC ECOSYSTEMS - BASELINE

30th Aug 2014

[Yuku Stream at its source at YUKU01: 2014-07-20]

Prepared for: Prepared by: Warrick Stewart Rob Palmer & Shael Koekemoer SRK Consulting (South Africa)(Pty) Ltd. Nepid Consultants CC 265 Oxford Road, P O Box 4349 ILLOVO WHITE RIVER 2196 1240 SOUTH AFRICA Tel: +27 (0)11 441 6162 Fax: +27 (0)86 583 0589 Tel: +27 13 751 1533 Cell: + 27-(0) 83 299-1977 Fax: 08668 28220 Email: [email protected] e-mail: [email protected] Web: www.srk.co.za Web: www.nepid.co.za

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Disclaimer

This report was based on the author’s best scientific and professional knowledge and information available at the time of writing. Although Nepid Consultants has tried to ensure that all information contained within this report is accurate, Nepid does not warrant or assume any legal liability or responsibility for the accuracy, completeness, or usefulness of the information presented in this report.

Document Control

Version No.: Draft 1.1

Prepared by: Rob Palmer Position: Director, Nepid Consultants CC

Approvers signature:

………………………….…… Date: 2014-08-30

Terms of Reference

The Terms of Reference for this study were as follows:

… [to undertake] a rapid survey of the Mbamba and Kawenga wetlands and Yuku River for aquatic invertebrates and diatoms.

[Extracted from email from Warrick Stewart, 11 July 2014].

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TABLE OF CONTENTS

TABLE OF CONTENTS ...... 3 LIST OF TABLES ...... 4 LIST OF FIGURES ...... 4 ACKNOWLEDGMENTS ...... 5 ABBREVIATIONS ...... 5 TERMINOLOGY ...... 6 1. INTRODUCTION ...... 7

1.1 BACKGROUND ...... 7 1.2 AIMS OF THIS REPORT ...... 7 2. STUDY AREA ...... 8

2.1 GENERAL...... 8 2.2 AQUATIC ECOREGIONS ...... 9 2.3 DRAINAGE ...... 10 2.4 SITES SAMPLED ...... 11 3. METHODS ...... 15

3.1 APPROACH ...... 15 3.2 REVIEW ...... 16 3.3 FIELD WATER QUALITY ...... 16 3.4 HABITAT QUALITY ...... 16 3.5 BENTHIC DIATOMS ...... 16 3.6 AQUATIC MACROINVERTEBRATES ...... 18 3.7 FISH ...... 20 3.8 ASSUMPTIONS AND LIMITATIONS ...... 21 4. BASELINE ASSESSMENT ...... 23

4.1 AQUATIC ECOSYSTEMS ...... 23 4.2 WATER LEVELS ...... 23 4.3 FIELD WATER QUALITY ...... 23 4.4 HABITAT QUALITY ...... 25 4.5 DIATOMS ...... 28 4.6 AQUATIC INVERTEBRATES ...... 30 4.7 FISH ...... 34 4.8 SENSITIVE AQUATIC ENVIRONMENTS...... 37 4.9 CRITICAL HABITAT ASSESSMENT ...... 38 5. CONCLUSIONS ...... 39

5.1 DIATOMS ...... 39 5.2 AQUATIC INVERTEBRATES ...... 39 5.3 FISH ...... 40 5.4 ECOLOGICAL IMPORTANCE AND SENSITIVITY ...... 40 5.5 HABITAT CLASSIFICATION ...... 40 5.6 COMMUNITY USE OF AQUATIC RESOURCES ...... 40 5.7 POTENTIAL IMPACTS ...... 40 6. RECOMMENDATIONS ...... 42

6.1 BUFFER ZONES ...... 42

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6.2 MANAGEMENT PLAN FOR PERMANENT LAKES ...... 42 6.3 AQUATIC BIOMONITORING ...... 42 7. REFERENCES ...... 43 8. APPENDICES ...... 45

APPENDIX A: STUDY TEAM ...... 45 APPENDIX B: DETAILED RESULTS – DIATOMS ...... 46 APPENDIX C: DETAILED RESULTS - AQUATIC MACROINVERTEBRATES ...... 49

LIST OF TABLES

Table 2-1. Details of aquatic sampling sites visited in July 2014...... 12 Table 3-1. Summary of data collected in July 2014...... 15 Table 3-2. Classification of instream and riparian Habitat Quality, based on a rapid visual assessment protocol developed by the USA Environmental Protection Agency (Barbour et al. 1999)...... 16 Table 3-3. Class limit boundaries for the diatom Specific Pollution Index (SPI) used to determine Present Ecological State...... 17 Table 3-4. Guidelines used to determine the Present Ecological State of aquatic invertebrates ...... 19 Table 4-1. Field water quality recorded in July 2014...... 24 Table 4-2. Specific Pollution sensitivity Index (SPI) score classification...... 28 Table 4-2. Fish species recorded in the Study Area in July 2014...... 35 Table 4-3. Sensitive environments ...... 37 Table 4-4. Summary of Critical Habitat Triggers with respect to aquatic ecosystems...... 38

LIST OF FIGURES

Figure 2-1. General locality map showing main cities, rivers and the location of the Nyumba Ka Akiba Project...... 8 Figure 2-2: Aquatic Ecoregions...... 9 Figure 2-3: Drainage in the Study Area as a whole...... 10 Figure 2-4. Topographical map showing the proposed infrastructure and location of aquatic monitoring sites that were visited in July 2014...... 11 Figure 2-5. Photographs of lakes at Nyumba ya Akiba...... 13 Figure 2-6. Photographs of rivers and streams at Nyumba Ya Akiba...... 14 Figure 4-1. Habitat Quality in the Yuku Stream at YUKU01. [2014-07-20]...... 25 Figure 4-2. Habitat Quality in the Yuku Stream at YUKU02. [2014-07-20]...... 26 Figure 4-3. Habitat Quality in the Sanzikwa River at SANS02/03. [2014-07-21]...... 27 Figure 4-4. Key aquatic invertebrates recorded in the project area...... 32 Figure 4-5. Unusual colonial ciliate recorded in Kawenga Lake...... 33 Figure 4-6. Fish recorded in the project area...... 36

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ACKNOWLEDGMENTS

The following are gratefully acknowledged for assisting with this study:

 Peter Kunda Blaton, Administrative Officer, Nyumba Ya Akiba, DRC  Anton Lamboj, University of Vienna, Austria  Jonathan Taylor, North West University, RSA

ABBREVIATIONS

ASPT Average Score per Taxon PVT Pollution Tolerant Valves (diatoms) SASS5 South African Scoring System version 5: A rapid method of water quality assessment, based on the composition of aquatic macro-invertebrates. SPI Specific Pollution Index (diatoms)

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TERMINOLOGY

Diatoms Photosynthetic unicellular organisms that are found in almost all aquatic and semi- aquatic habitats. They have been shown to be reliable indicators of specific water quality problems, such as organic pollution, eutrophication, acidification and metal pollution (Dixit et al. 1992, Cattaneo et al. 2004), as well as for general water quality (AFNOR 2000).

Diatom Terminology (Taylor et al. 2007a) Trophy Rich in organic matter, usually in the form of suspended plant Dystrophic colloids, but of a low nutrient content. Low levels or primary productivity, containing low levels of mineral Oligotrophic nutrients required by plants. Intermediate levels of primary productivity, with intermediate levels Mesotrophic of mineral nutrients required by plants. High primary productivity, rich in mineral nutrients required by Eutrophic plants. Very high primary productivity, constantly elevated supply of Hypereutrophic mineral nutrients required by plants. Mineral Content Very electrolyte poor < 50 µS/cm Electrolyte-poor (low 50 - 100 µS/cm electrolyte content) Moderate electrolyte content 100 - 500 µS/cm Electrolyte-rich (high > 500 µS/cm electrolyte content) Brackish (very high > 1000 µS/cm electrolyte content) Saline > 6000 µS/cm Pollution (Saprobity) Unpolluted to slightly BOD <2, O2 deficit <15% (oligosaprobic) polluted Slightly polluted BOD <4, O2 deficit <30% (β-mesosaprobic)

Moderately polluted BOD <7 (10), O2 deficit <50% (β-ά-mesosaprobic)

Largely polluted BOD <13, O2 deficit <75% (ά-mesosaprobic) Seriously polluted BOD <22, O2 deficit <90% (ά-meso-polysaprobic) Critically polluted BOD >22, O2 deficit >90% (polysaprobic)

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1. INTRODUCTION

1.1 Background 1.2 Aims of This Report Nyumba Ya Akiba SARL is investigating the feasibility of developing a clinker and cement The aims of this report were to describe the factory, limestone quarry and associated aquatic ecosystems in the project area in terms facilities in Bas-Congo Province, Democratic of key indicators against which the likely Republic of Congo (DRC). In 2013 Nyumba Ya impacts of the proposed development can be Akiba SARL appointed SRK Consulting (Pty) evaluated and future changes compared (i.e. to Ltd to update the Environmental and Social collect baseline data). Impact Assessment (ESIA) and Management Plan (ESMP) for the proposed Nyumba Project. This specialist report forms part of the updated ESIA and ESMP, and concerns a baseline assessment of surface aquatic ecosystems that may be affected by the proposed development. The report is based on a review of available data and a short field survey undertaken in July 2014. Details of the specialist team are included in Appendix A.

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2. STUDY AREA

2.1 General

Nyumba Na Akiba is located 290 km southwest of Kinshasa, in Bas-Congo Province, DRC (Figure 2- 1). The project is located alongside the N1 highway and railway line that run between Kinshasa and the port of Matadi.

Figure 2-1. General locality map showing main cities, rivers and the location of the Nyumba Ka Akiba Project.

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2.2 Aquatic Ecoregions

Nyumba ya Akiba is located within the Lower Congo Aquatic Ecoregion (Figure 2-2). This ecoregion is characterised by short, fast-flowing tropical and subtropical coastal rivers with rocky substrates. The ecoregion supports a rich aquatic fauna with high endemism among diatoms, fish, molluscs, amphibians and crabs. About 200 fish are known from this ecoregion, twelve of which are endemic (FEOW 2010). This ecoregion includes the lower Congo River and the Mbanza-Ngungu Caves system (formerly Thysville), in the upper reaches of the Kwilu River Catchment, some 85 km north-east of the Study Area (Figure 2-2).

Figure 2-2: Aquatic Ecoregions.

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2.3 Drainage

Nyumba ya Akiba is located within the Sanzikwa River Catchment, a tributary of the Kwilu River, which is a tributary of the lower Congo River (Figure 2-3). Details of the drainage within the Concession Area are shown in Figure 2-4. There are a number of small permanent and seasonal lakes and pans within the Concession Area that appear to have been formed by subsidence of the underlying limestone (hemi- cenotes). There are also two tributaries of the Sanzikwa River that run through the Concession Area, namely:

 Yuku Stream, which runs through the Concession Area between the proposed quarry and the factory, and;

 Minkuku Stream, which runs along the northern portion of the Concession Area. This stream may be affected by runoff from the proposed overburden area, but was not surveyed for this report.

Figure 2-3: Drainage in the Study Area as a whole.

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2.4 Sites Sampled Nine sites were sampled for this report and these comprised a selection of key sites used for long-term water quality monitoring, so the same site codes were used, plus three additional sites to cover the spectrum of aquatic habitats. The distribution of sites visited is shown in Figure 2-3, and details are presented in Table 2-1.

Figure 2-4. Topographical map showing the proposed infrastructure and location of aquatic monitoring sites that were visited in July 2014.

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Table 2-1. Details of aquatic sampling sites visited in July 2014. Coordinates (dd.ddd) Site (WGS84) Code Description Rivers and Streams SANS02 Sanzikwa River at the N1 road bridge, upstream of the proposed S5.64237 development. E14.21729 SANS03 Sanzikwa River immediately upstream of the confluence with the Yuku S5.60944 Stream, within the proposed development area. E14.21245 YUKU01 Yuku Stream at its source. S5.61729 E14.19953 YUKU02 Yuku Stream at it confluence with the Sanzikwa River, and 2 km from the S5.60944 source, at YUKU01. E14.21236 Lakes MBAM01 Mbamba Lake, a permanent lake with a surface area of some 4.2 ha, S5.63006 immediately east of the proposed factory. E14.20900 KWAE01 Kawenga Lake, a permanent lake with a surface area of some 1.9 ha, S5.63167 immediately west of the proposed factory. E14.20051 Lake 03 A seasonal waterbody covering an area of some 0.2 ha located S5.63688 immediately north of the railway line, and connected to adjacent Lake05 E14.20446 at high water levels. Lake 04 A permanent waterbody covering an area of some 0.8 ha, immediately S5.63643 north of the railway line within the Concession Area. E14.20660 Lake 05 A permanent waterbody covering an area of some 0.6 ha, immediately S5.63793 south of the railway line, and connected to the adjacent Lake03 at high E14.20542 water levels.

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A) Western portion of Mbamba Lake, when water B). Cassava curing in Mbamba Lake. [20 July levels were high. [20 July 2014]. 2014].

C) Local fisherman checking gill net in Kawenga D) Seasonal Lake 03, immediately north of the Lake [20 July 2014]. railway line. [21 July 2014].

E) Permanent Lake 04, immediately north of the F) Permanent Lake 05, immediately south of the railway line. [21 July 2014]. railway line. [21 July 2014]. Figure 2-5. Photographs of lakes at Nyumba ya Akiba.

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A) Sanzikwa River at SANS02, immediately B). Sanzikwa River at SANS03, immediately downstream of the N1 road bridge. [21 July upstream of the confluence with the Yuku 2014]. Stream. [21 July 2014].

C) Yuku Stream at YUKU01, immediately D) Submerged aquatic vegetation Anubias downstream of the source. [20 July 2014]. heterophylla (Araceae) in the Yuku Stream at YUKU01, immediately downstream of the source. [20 July 2014].

E) Yuku Stream at YUKU02, immediately F) Yuku Stream at YUKU02, showing extent of upstream of the confluence with the Sanzikwa channel erosion. [21 July 2014]. River. [21 July 2014]. Figure 2-6. Photographs of rivers and streams at Nyumba Ya Akiba.

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3. METHODS

3.1 Approach

The approach to this report was to focus on surface waterbodies that are most likely to be impacted directly by the proposed development, namely the Yuku Stream, the Sanzikwa River, and the two small permanent lakes on either side of the proposed factory, namely the Mbamba and Kawenga Lakes. The report was based on a review of available ecological information and a short (2-day) field survey. The intensity of sampling varied among sites, as indicated in Table 3-1. Sampling comprised the following aspects:

 field water quality, collected to help with the interpretation of biological data. This was collected at all sites visited apart from Lake 05, where photographs only were taken.

 habitat quality, which provides the physical template for colonisation of aquatic flora and fauna. Semi-quantitative data were collected from the four river and stream sites visited. There is no comparable method for quantifying habitat integrity of lakes.

 benthic diatoms, which typically reflect overall biological water quality conditions in the short-term (i.e. days). Diatoms are ecologically important because of their role as primary producers, which form the base of the aquatic food web, and because they usually account for the highest number of species among the primary producers in aquatic systems. Data were collected from three key sites only to provide a general indication of biological water quality (Table 3-1).

 aquatic macroinvertebrates, which typically reflect water quality and habitat conditions in the medium-term (i.e. weeks). Data were collected from five sites.

 fish, which typically reflect water quality and habitat conditions over the longer-term (i.e. months). Fish were sampled at all four river and stream sites sampled, as well as Kawenga Lake.

Table 3-1. Summary of data collected in July 2014. Data Collected Site field water habitats benthic aquatic Fish Code quality diatoms macro- invertebates Rivers and Streams SANS02   - -  SANS03      YUKU01   -   YUKU02      Lakes MBAM01  -   - KWAE01  - -   Lake 03  - - - - Lake 04  - - - - Lake 05 - - - - -

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3.2 Review

Key sources of information used for this report included the following:

 Identification keys for selected fish families to genus level, prepared by the American Museum of Natural History (http://research.amnh.org/vz/ichthyology/congo/).  Two volume guide to the fishes of lower Guinea (Staissny et al. 2007a & b).  Identification guides to snails of the Belgian Congo (Pilsbry and Bequart 1927), and Africa (Brown 1994);  Various databases, including: o The IUCN Red list of threatened species (www.iucnredlist.org); o Barcode of Life Data Systems (http://boldsystems.org); o Global information system on fishes (www.fishbase.org); o Global database on fish taxonomy (www.fishwisepro.com).

3.3 Field Water Quality

Field measurements were made of the following water quality variables:

 pH  Water temperature (oC)  Conductivity (mS/m)  Turbidity measured using a mini-Secchi tube (Myre and Shaw 2006).

3.4 Habitat Quality

The quality of instream and riparian habitats in the Sanzikwa River and Yuku Stream were assessed using a rapid visual assessment protocol for high gradient streams developed by the USA Environmental Protection Agency (Barbour et al. 1999). The method involves rating ten parameters on a numerical scale between 0 (lowest) and 20 (highest). The values are added to provide a Total Score out of 200. The results were classified into one of six categories, ranging from Optimal (>180), to Very Poor (<40) (Table 3-2). The method was developed specifically for wadeable streams, so could not be applied to lakes.

Table 3-2. Classification of instream and riparian Habitat Quality, based on a rapid visual assessment protocol developed by the USA Environmental Protection Agency (Barbour et al. 1999). Category Description Total Score A Optimal >180 B Suboptimal 160-180 C Moderate 120-160 D Marginal 80-120 E Poor 40-80 F Very Poor <40

3.5 Benthic Diatoms

Benthic diatoms were sampled following the method described by Taylor et al. (2007a), which is based the method manuals of several key documents including CEN (2003) and DARES (2004). Samples

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were taken from five or more cobbles (diameter > 64, ≤265 mm) and/or aquatic macrophytes at each site. Diatoms were removed from the substrate by scrubbing the surface with a small brush and rinsing both the brush and the substrate with river water. Samples were preserved in ethanol.

Preparation of diatom slides followed the Hot HCl and KMnO4 method as outlined in Taylor et al. (2007a). A Nikon E 100 microscope with phase contrast optics (1000x) was used to identify diatom valves on slides. The aim of the data analysis was to identify and count diatom valves to produce semi- quantitative data from which ecological conclusions can be drawn (Taylor et al. 2007a). Schoeman (1973) and Battarbee (1986) concluded that a count of 400 valves per slide is satisfactory for the calculation of relative abundance of diatom species and this range is supported by Prygiel et al. (2002), as cited by Taylor et al. (2007a). Therefore 400 valves per sample were counted. The nomenclature followed Krammer and Lange-Bertalot (1986-91). Diatom index values were calculated in the database programme OMNIDIA for epilithon data (Le Cointe et al. 1993).

The ecological characterisation of the diatom samples was based on Van Dam et al. (1994). This work includes the preferences of 948 freshwater and brackish water diatom species in terms of pH, nitrogen, oxygen, salinity, humidity, saprobity and trophic state as provided by OMNIDIA (Le Cointe et al. 1993). The European numerical diatom index, the Specific Pollution sensitivity Index (SPI) was used to interpret results. De la Rey et al. (2004) concluded that the SPI reflects certain elements of water quality with a high degree of accuracy due to the broad species base of the SPI. The interpretation of the SPI scores is provided in Table 3-3.

Table 3-3. Class limit boundaries for the diatom Specific Pollution Index (SPI) used to determine Present Ecological State.

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3.6 Aquatic Macroinvertebrates

Rivers and Streams Aquatic invertebrates in rivers and streams were sampled using the protocol developed for the South African Scoring System version 5 (SASS5) (Dickens and Graham 2002). This is a rapid method of quantifying the health of wadeable rivers or streams, and is based on the presence of major macroinvertebrate taxa (mostly families), each of which have been allocated a “sensitivity” value. The sensitivity values range from 1 for highly tolerant taxa, to 15 for highly sensitive taxa. The sensitivity values of all taxa recorded at a site are added to provide a Total Score, and divided by the total number of taxa to provide an Average Score Per Taxon, or ASPT. The Total Score and ASPT are both used as a measure of river or stream condition. The method is suitable for application throughout sub- Saharan Africa because of the shared taxa at family level.

The SASS5 results were classified into one of six Present Ecological State categories, ranging from Category A (Natural), to Category F (Critically Modified) (Table 3-4). The classification was based on a qualitative description of how the diversity and abundance of taxa are modified from hypothetical natural conditions. A quantitative description that varied according to the type of ecosystem was also used as a guide for classifying the SASS5 results (Table 3-4). This guide was based on available SASS5 data extracted from the South African National River Health Database for Upper Foothills streams. The six categories were based on data at the following percentiles: 90; 67.5; 45.0; 22.5 and 10 (Dallas 2007). Natural conditions (Category A) were defined as the top 10% for Total Score and ASPT. Data from the south-western Cape were excluded because of the high number of endemic taxa in this area.

Lakes There is no quantitative method for assessing the health of standing water bodies based on aquatic macroinvertebrates, partly because of the wide diversity of standing water body types, and partly because the fauna that inhabit standing waters are generally less sensitive to water quality deterioration than flow-dependent taxa. However, macroinvertebrates within the two larger lakes within the concession area (Mbamba and Kawenga), were sampled from submerged aquatic vegetation using the SASS5 sampling protocol, but results were analysed qualitatively only.

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Table 3-4. Guidelines used to determine the Present Ecological State of aquatic invertebrates Cat Description Upper Foothill Streams SASS5 Score ASPT A Natural  expected diversity of taxa, and; >186 >7.4  numerous sensitive taxa, and;  abundance as expected under natural conditions, and;  no taxon dominating the fauna for extended periods. B Slightly Modified  As above, but with fewer sensitive taxa and 143-186 6.6-7.4 slightly lower diversity. C Moderately Modified  Moderate diversity of taxa relative to diversity 110-142 6.1-6.5 expected under natural conditions, or;  moderate numbers of sensitive taxa, or;  moderate reduction in abundance of some or all taxa relative to that expected under natural conditions. D Largely Modified  Low diversity of taxa relative to diversity expected 74-109 5.3-6.0 under natural conditions, and;  mostly tolerant taxa, and;  considerable reduction in abundance of some or all taxa relative to that expected under natural conditions, or;  more than one taxon dominating the fauna for extended periods. E Seriously Modified 48-73; 4.6-5.2  very low diversity of taxa relative to diversity expected under natural conditions, and;  only tolerant taxa present, or;  severe reduction in abundance of some or all taxa relative to that expected under natural conditions, or; only one taxon dominating the fauna for extended periods. F Critically Modified <48 <4.6  As above, but with Critical reduction in diversity and abundance. CAT = PRESENT ECOLOGICAL STATE CATEGORY

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3.7 Fish

Rivers and Streams Sampling of fish in rivers and streams was undertaken using a portable, battery operated pulsed direct current portable electro-fisher (Samus 725M), with a fine-meshed net attached to a 30 cm anode ring. This equipment allowed unrestricted access to shallow areas, and is less prone than other methods to biased sampling. The comparative abundance of each species caught at each site was expressed as the total number that would have been caught had sampling been conducted for one hour (i.e. Catch per Unit Effort). Fish habitats were categorized according to the following depth-flow classes (df):

 Slow (<0.3m/s), shallow (<0.5m): shallow pools and backwaters  Slow (<0.3m/s), deep (>0.5m): deep pools and backwaters  Fast (>0.3m/s), shallow (<0.5m): shallow runs, rapids and riffles  Fast (>0.3m/s), deep (>0.5m): deep runs, rapids and riffles (Kleynhans 1999).

The relative contribution of each of above-mentioned classes at a site was rated as follows:

0 = Absent 1 = Rare (<5%) 2 = Sparse (5-25%) 3 = Moderate (25-75%) 4 = Extensive (>75%)

For each depth-flow class, the presence of physical habitat features that may provide cover for fish (cf) was noted. Cover categories comprised marginal vegetation, aquatic macrophytes, undercut banks, roots, woody debris and bed substrate. A fish Habitat Cover Rating (HCR) was calculated for each flow-depth class follows: HCR = df/Σdf x Σcf.

Lakes Low conductivity in the lakes prevented the use of the electro-fisher, so sampling of fish in lakes was undertaken using a fyke net baited with tinned sardines, and a gill net. Both nets were left for one day and checked in the late afternoon, and one night and checked in the early morning. In addition, ad hoc examination of catches made by local fishermen was also made. Sampling was undertaken in Kawenga Lake only because of time constraints.

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3.8 Assumptions and Limitations

3.8.1 Ecosystem Components

The most obvious limitation of this report is that no information was collected on subsurface aquatic ecosystems. These are likely to be present in the area because of the karst nature of the landscape. A strong spring at the source of the Yuku Stream testifies to significant groundwater movement. Limestone formations often contain extensive subterranean waterways which may support high levels of endemism, but no data were collected on subterranean biota for this report because of the technical and logistical difficulties of doing so. There were no obvious caves or entrances to such areas, so collecting data on subterranean biota within the Concession Area would be challenging and practically unfeasible. This report also excludes various components typically associated with freshwater ecosystems, either because these have been addressed in separate specialist reports (e.g. water quality, groundwater, habitat mapping, ecological goods and services), or because they were not needed to meet the specific requirements and time frame of this study (e.g. bilharzias, malaria, dragonflies, amphibians, zooplankton, riparian vegetation). The ecosystem components included in this report are considered appropriate for the purposes of providing a baseline description of the main aquatic ecosystem components.

3.8.2 Information Available

Information available on aquatic ecosystems in the area is limited, so much so that there are no guidelines for the identification of benthic diatoms, aquatic invertebrates or fish species for the lower Congo basin. Identifications of some species are therefore tentative.

3.8.3 Spatial Extent

This report focusses on the immediate potential impact zone, and did not extent to surrounding aquatic ecosystems that may also be affected, such as the Minkuku Stream.

3.8.4 Temporal Variation

This report provides a baseline description of aquatic ecosystems during a once-off survey conducted during the dry season, and after what had been an exceptionally wet rainy season. Natural seasonal variations or inter-annual variations in ecological conditions are therefore unknown. However, sufficient information was collected to delineate, with reasonable to high confidence, the aquatic ecosystems within the Concession Area that are ecologically sensitive.

3.8.5 Fish Sampling

Fish in the Yuku Stream were under-sampled because the electrofisher did not work properly because of the unusual ionic composition of the water, despite elevated conductivity. Fish in the Yuku Stream were therefore sampled using a scoop net, but the high visibility of the water and low fish populations made this difficult. The diversity of fish species in the Yuku Stream is therefore likely to have been underestimated.

Fish were sampled in Kawenga Lake during this survey, but no sampling of fish was undertaken in the other lakes in the Concession Area because of the limited time available. However, local fishermern indicated that the larger lakes in the area share the same fish species composition as Kawenga Lake, which is highly plausible. The lack of hard data on fish distributions in the other lakes in the area is therefore not considered a significant limitation of this report.

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3.8.6 Diatom Assessment

The diatom communities of the study sites had an overall high abundance of endemic and tropical species and many of these species could not be identified to species level. Samples were analysed by Dr Jonathan Taylor from North West University, South Africa in an attempt to identify as many species possible to species level. Where this was not possible species were identified to genus. The confidence in the overall assessment is thus low to moderate because:  There was a high prevalence of tropical diatom species so the Biological Diatom Index (developed for genus level identification) could not be as most of the species observed are not included in this index.  Using genus level identification would influence the Specific Pollution Index (SPI) score to some degree and not all species are included in the index. Between 91and 96% of the species identified for this study are included in the SPI score and the confidence in the SPI score is therefore low, especially if the excluded species occurred as dominant and sub-dominant in the samples.  The ecology of endemic species occurring in tropical African areas is poorly understood and literature is limited. Therefore accurate community composition analysis is limited. This is especially valid for dominant and sub-dominant species.

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4. BASELINE ASSESSMENT

4.1 Aquatic Ecosystems

In terms of mining regulation in the DRC, the aquatic ecosystems in the Concession Area are classified as “grassy fresh water vegetation and water plants”. There are three main aquatic ecosystems within the Study Area as follows:

 Lower Foothill Perennial River (Sanzikwa River), that runs along the eastern portion of the Concession Area for a distance of some 8 km.

 Upper Foothill Dolomitic Stream (Yuku Stream), that starts abruptly from a dolomitic eye and runs through the proposed development area for a distance of 2 km before joining the Sanzikwa River. The Minkuku Stream appears from available satellite imagery to be of similar nature, but this stream was not visited during the field survey in July 2014, so its classification remains uncertain.

 Permanent Freshwater Lakes (Mbamba, Kawenga and Lakes 04 and 05), located close to the proposed factory;

There is also a small, seasonal freshwater lake (Lake 03), located close to the proposed factory, and a small seasonal endorheic pan, located alongside the Sanzikwa River. The ecological importance of these seasonally inundated areas is likely to be low on account of their small size and limited diversity of aquatic habitats, so they were not given further attention in this report.

4.2 Water Levels

Water levels in Yuku Stream and Sanzikwa River during the field survey in July 2014 were moderate and ideal for biomonitoring. Flow in the upper Yuku Stream, upstream of the first major seasonal confluence, was comprised almost entirely of groundwater flow (baseflow), and is likely to be seasonally stable and without sharp peak flows. This has significant implications for aquatic biota and underscores this stream as being highly unusual in terms of its ecological functioning. Lake water levels during the survey in July 2014 were high because the preceding rainy season had been unusually wet, with heavy rains continuing as late as May 2014.

4.3 Field Water Quality

Rivers and Streams Conductivity in the Sanzikwa River in July 2014 was moderate (21-22 mS/m), but within levels expected for a river of its size (Table 4-1). By contrast, conductivity in the Yuku Stream was high for a river of its size (36 to 40 mS/m). Water in both systems is likely to be well buffered and therefore comparatively resilient to change. Water temperatures were high and stable (24 to 26C), but daily and seasonal water temperatures in the Yuku Stream are likely to be particularly stable because of groundwater contributions. The pH was alkaline in both systems (7.3 to 8.1). The turbidity of the Sanzikwa River was moderate (Secchi depth 70 cm), and the colour was noticeably milky, and this is attributed to the curing of cassava roots, which was widespread in the area. By contrast, the turbidity of the Yuku Stream was very low (>200 cm). The low turbidity reflects the contributions of groundwater and low level of cultivation in this catchment.

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Lakes Conductivity in all five lakes within the Study Area was exceptionally low (3 mS/m) during the field survey in July 2014 (Table 3-1). The low conductivity suggests that the lakes are maintained (recharged) mainly by rainfall, and that they spill and/or leak sufficiently to ensure that salts do not accumulate. The pH was noticeably acidic (5.8 to 6.4). These waters are likely to be poorly buffered and therefore susceptible to change. Turbidity was very low in all five lakes examined (Secchi-tube depth >200 cm).

Table 4-1. Field water quality recorded in July 2014. Clarity (min- Conductivity Temperature Secchi tube Site Date (mS/m) ( C) pH cm) Rivers and Streams SANS02 2014/07/20 22 24 7.6 70 SANS03 2014/07/21 21 24 8.1 70 YUKU01 2014/07/20 40 26 7.3 >200 YUKU02 2014/07/21 36 24 7.8 >200 Lakes KWAE01 2014/07/20 3 23 5.6 >200 MBAM01 2014/07/20 3 24 6.3 >200 Lake 03 2014/07/21 3 26 5.8 >200 Lake 04 2014/07/21 3 30 6.4 >200

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4.4 Habitat Quality

Upper Yuku Stream The quality of aquatic habitats in the upper Yuku Stream, at YUK01, was rated as Good (Category B) (Figure 4-1). Instream substrate and cover availability was estimated to comprise 80% of the bed substrate. Marginal and submerged aquatic vegetation and woody debris provided excellent cover for aquatic biota. The stream bed was dominated by course sands, which were rated as sub-optimal as a substrate for colonisation by aquatic invertebrates. The flow-depth classes were dominated by slow- shallow habitat, with small portions of fast-shallow habitat, and noticeable absence of deep habitats. Sediment inputs and deposition were low. The channel flow status was rated as optimal, as water reached both lower banks and no channel substrate was exposed. The channel was generally unaltered, although there was some small disturbance from a pump station located at the source. Stones-in-current habitat was limited to occasional sections of faster-flowing water (runs). Both banks were stable, with no indications of erosion. The banks were well vegetated. Cultivation was limited to a small patch of bananas within 10 meters of the left bank.

Biotope Composition (0-4) Backwater 1 Pools (>0.5m) 0 Glides 4 Runs 1 Riffles 0

Slow- Slow- Fast- Fast- Flow-Depth Classes Shallow Deep Shallow Deep Rating (0-4) 4 0 1 0 Fish Cover Vegetation - Marginal 4 0 2 0 Vegetation - Macrophytes 3 0 0 0 Undercut Banks & Roots 3 0 1 0 Woody Debris 2 0 1 0 Bed Substrate 1 0 0 0 Habitat Cover Rating 9.6 0.0 0.8 0.0 0=Absent; 1=Rare <5%; 2=Sparse (5-25%); 3=Moderate (25- 75%); 4=Extensive (>75%)

Figure 4-1. Habitat Quality in the Yuku Stream at YUKU01. [2014-07-20].

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Lower Yuku Stream The quality of aquatic habitats in the lower Yuku Stream, at YUK02, was rated as borderline between Moderate and Marginal (Category C/D) (Figure 4-2). Instream substrate and cover availability was estimated to comprise about 40% of the bed substrate, significantly lower than at the source (YUKU01). There was no marginal vegetation in-current and no submerged instream aquatic vegetation, but there was moderate abundance of marginal vegetation out-of-current. The stream bed and flow-depth classes were much the same as upstream (YUKU01), but there was less stones-out-of-current habitat. Sediment inputs increased compared to upstream because of forest clearing and cultivation. The channel flow status was reduced compared to upstream, as water levels filled about 80% of the available channel. The frequency of runs was much the same as upstream, but banks were actively eroding and incised by 2 m. Stream margins were also moderately disturbed by fishermen collecting earthworms. Vegetation protection of banks was poor because of clearing for cultivation for cash crops (mainly tomatoes).

Biotope Composition (0-4) Backwater 0 Pools (>0.5m) 0 Glides 4 Runs 1 Riffles 0

Slow- Slow- Fast- Fast- Flow-Depth Classes Shallow Deep Shallow Deep Rating (0-4) 4 0 1 0 Fish Cover Vegetation - Marginal 2 0 1 0 Vegetation - Macrophytes 0 0 0 0 Undercut Banks & Roots 4 0 2 0 Woody Debris 2 0 1 0 Bed Substrate 0 0 0 0 Habitat Cover Rating 6.4 0.0 0.8 0.0 0=Absent; 1=Rare <5%; 2=Sparse (5-25%); 3=Moderate (25- 75%); 4=Extensive (>75%)

Figure 4-2. Habitat Quality in the Yuku Stream at YUKU02. [2014-07-20].

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Sanzikwa River The quality of aquatic habitats in the Sanzikwa River at SANS02 and 03 were rated as Marginal (Category D) (Figure 4-1). The two sites were rated together because of their habitats were similar. Instream substrate and cover availability was estimated to comprise about 30% of the bed substrate. There was no submerged instream aquatic vegetation, but there was moderate abundance of marginal vegetation in and out-of-current. Velocity-depth classes were dominated by slow-deep habitat, but slow-shallow and fast-shallow were present. The stream bed contained moderate levels of recent sediment deposition. The channel flow status was optimal, with water filling about 80% of the available channel. The channels were largely unmodified. The frequency of runs was low. Banks were actively eroding and incised. Stream margins were moderately disturbed by fishermen collecting earthworms. Vegetation protection of banks was poor because of clearing for cultivation.

Biotope Composition (0-4) Backwater 0 Pools (>0.5m) 2 Glides 4 Runs 1 Riffles 0

Slow- Slow- Fast- Fast- Flow-Depth Classes Shallow Deep Shallow Deep Rating (0-4) 1 3 1 0 Fish Cover Vegetation - Marginal 3 2 2 0 Vegetation - Macrophytes 0 0 0 0 Undercut Banks & Roots 4 2 2 0 Woody Debris 4 4 4 0 Bed Substrate 0 0 0 0 Habitat Cover Rating 2.2 4.8 1.6 0.0 0=Absent; 1=Rare <5%; 2=Sparse (5-25%); 3=Moderate (25- 75%); 4=Extensive (>75%)

Figure 4-3. Habitat Quality in the Sanzikwa River at SANS02/03. [2014-07-21].

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4.5 Diatoms

The Specific Pollution Index scores for the diatom samples are given in Table 4-1 and detailed data on diatoms are presented in Appendix B.

Table 4-2. Specific Pollution sensitivity Index (SPI) score classification.

Site No species SPI score Class Category PTV (%) Deformities (%) MBAM 01 28 17.2 High quality A/B 1 0.75 YUKU02 37 11.2 Moderate quality C/D 20.6 5.3 SANS03 47 8.9 Poor quality D 34.8 0

Lower Yuku Stream The lower Yuku stream at YUKU02 was characterised by moderate water quality with a SPI score of 11.2. Salinity levels were normal while nutrient and organic pollution levels were elevated. The confidence in the diatom assessment was the lowest of all the sites. At total of 88% of observed species were used in the calculation of the SPI score. However, one dominant species (Stauroneis resoluta) and two sub-dominant species (Cocconeis schroederii and Anomoeoneis irawanae) were excluded in the calculation of the SPI score and therefore the SPI score could be an inaccurate reflection of water quality conditions. Very little is known of the ecological preferences of these species. Another dominant species included Eolimna minima which is found in a wide range of waters, including heavily polluted biotopes (Taylor et al., 2007b). It is a pioneer species and indicator species for organic pollution and suggested the onset of increased organics. Achnanthes exigua also occurred in high abundance and is an indicator species of turbidity and elevated water temperatures. Of concern was the occurrence of diatom valve deformities which relates to the presence of metal toxicity. According to Luís et al. (2008) several studies on metal polluted rivers have shown that diatoms respond to perturbations not only at the community but also at the individual level with alteration in cell wall morphology. In particular, size reduction and frustule deformations have been sometimes associated with high metal concentrations. The total abundance of valve deformities was 5.3%, exceeds the general threshold which is between 1 - 2% and considered potentially hazardous. Based on the ecological preferences of species which are known, the diatom community indicated the onset of high organic pollution levels and increasing nutrient levels.

Sanzikwa River The Sanzikwa River at SANS03 was characterised by poor water quality with a SPI score of 8.9. Salinity levels were normal while nutrient levels were elevated and organic pollution levels had the potential of becoming problematic. The confidence in the diatom assessment was the higher than at YUKU02 as 98% of observed species were used in the calculation of the SPI score. Species excluded from the index calculation were not dominant and occurred in very low abundance and therefore the SPI score was deemed as accurate and the ecological preference of most dominant species are well documented. Dominant species mostly had a preference for meso- to eutrophic waters with moderate electrolyte content and tolerant to moderate pollution levels. However the dominance of Navicula schroeteri suggested that salinity levels were rising along with organic pollution and the high abundance of Nitzschia species indicated a water body with readily available nutrients (Cholnoky, 1968). Pleurosira laevis was also dominant and is typically a halophilic and rheophilic species found in waters with elevated chloride and increased nitrate concentrations (Kipp et al., 2014). Indicators of anthropogenic activity occurred in greater abundance than at SANS02 and most of the species present had a preference for elevated organic pollution and salinity levels.

Mbamba Lake The lake was characterised by good water quality with a SPI score of 17.2. Salinity, nutrient and organic pollution levels were very low and the diatoms are representative of very good water quality. The confidence in the diatom assessment was the highest of all the sites as 99% of observed species were used in the calculation of the SPI score and therefore the SPI score was deemed as accurate and the

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ecological preference of most dominant species are well documented. Dominant species included Gomphonema gracile, Navicula notha, Eunotia rhomboidea and Stenopterobia delicatissima. These species are species which are very sensitive to water quality deterioration and all have a preference for high water quality with low nutrient and salinity levels as well as very low organic pollution levels. Although the majority of sub-dominant species had similar water quality preferences some species were observed that occur in moderate to bad water quality. This, along with the 0.75% occurrence of valve deformities suggested that the water body was impacted to some extent by surrounding anthropogenic activities, but that the impact was small.

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4.6 Aquatic Invertebrates

Upper Yuku Stream The Present Ecological State of aquatic macro-invertebrates recorded in the upper Yuku Stream, at YUKU01, in July 2014, was rated in terms of SASS5 as Largely Modified (Category D), but this classification is misleading because of the unusual spring-fed nature of this stream. The macro- invertebrate composition reflected natural conditions, and as such, the stream was essentially Largely Natural (Category B). Instream habitats comprised the submerged aquatic plant Anubias heterophyllum, that provided ideal habitat for aquatic invertebrates (4/5), both in-current and out-of- current. There were small patches of pebbles in-current (3/5) and out-of-current (3/5), and large areas of course, clean sand (4/5), and smaller areas of gravel (3/5), marginal vegetation out-of-current (3/5), and mud (2/5). There was no bedrock or marginal vegetation-in-current (0/5).

Detailed data on macroinverttebrates collected are presented in Appendix C. The fauna was dominated numerically by two species of gastropod snails:

 Melanoides angolensis (Thiaridae), which is classified by the IUCN as Data Deficient, and;

 Lanistes congicus (Ampulariidae), which is classified by the IUCN as Least Concern. (Figure 4-4a&b).

Both these snail species were abundant in the upper Yuku Stream in July w014. The later family is not included in SASS so its presence was not taken into account when calculating the SASS scores. Both these snail species feed by scraping benthic algae off rocks, and their abundance in the Yuku Stream is attributed to a combination of abundant benthic algal growth in clear, spring water, and elevated concentrations of calcium carbonate, needed for the construction of shells.

There was a noticeable absence of filter-feeding invertebrates, such as blackflies (Simuliidae) and hydropsychid caddisflies (Hydropsychidae), which are typically found in foothill streams. The absence of filter-feeders is attributed to the natural absence of fine suspended particulate material in the groundwater that feeds this stream. Furthermore, the proportion of air-breathing taxa was high for a foothill stream (32%), which suggests that oxygen levels in the spring water were low.

There was only one species of Baetid mayfly, and the average sensitivity to water quality deterioration was moderate (ASPT = 5.7). The only taxon recorded that is highly sensitive to water quality deterioration was Flatheaded mayfly (Heptageniidae). However, several taxa that are moderately sensitive to water quality deterioration were recorded. These included Water pennies (Psephenidae), Jewel damselflies (Chlorocyphidae), Prongill mayflies (Leptophlebiidae), and Freshwater shrimps (Atyidae). Similarly, two taxa only that are highly sensitive to elevated suspended solids were recorded, namely Flat-headed mayfly (Heptageniidae), and Water pennies (Psephenidae), but several taxa that are moderately sensitive to elevated suspended material were recorded. These included Thiarid snails (Thiaridae), Craneflies (Tipulidae), Leptocerid caddisflies (Leptoceridae) and Minute moss beetles (Hydraenidae).

Overall, the invertebrate composition in the upper Yuku Stream was highly unusual and reflected the extent of groundwater contributions that maintain the Yuku Stream.

Lower Yuku Stream The Present Ecological State of aquatic macro-invertebrates recorded in the lower Yuku Stream, at YUKU02, in July 2014, was rated in terms of SASS5 as Largely Natural (Category B). Instream habitats were similar to upstream, except that submerged aquatic vegetation was absent. The absence of submerged aquatic vegetation is attributed to elevated turbidity from cultivation along the stream margins, which would reduce light penetration, as well as episodic elevated high flows from seasonal

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tributaries that join the Yuku Stream along its course, which are likely to scour instream aquatic vegetation.

A total of 25 SASS5 taxa was recorded at YUKU02 in July 2014, and these gave a total SASS5 score of 175. The macro-invertebrate fauna was dominated numerically by one species of gastropod snail: Melanoides angolensis (Thiaridae), which was present in very high abundance. Taxa that were common were mostly collector-gatherers, including baetid mayflies (3 species), leptophlebid mayflies (Leptophlebiidae), and Flat-headed mayflies (Heptageniidae). The proportion of air-breathing taxa was typical for a foothill stream, at 25%, which suggests that oxygen levels were no longer limiting.

Filter-feeders were scare but present, and represented by philopotamid caddisflies (Philopotamidae). The average sensitivity to water quality deterioration was high (ASPT = 7.0), and three SASS5 taxa that are highly sensitive to water quality deterioration were recorded, namely Flatheaded mayfly (Heptageniidae), aquatic moths (Crambidae) and three species of baetid mayflies (Baetidae). Several taxa that are moderately sensitive to water quality deterioration were recorded, including the Congo river prawn (Machrobrachium dux) (Figure 4-4c). Four taxa that are highly sensitive to elevated suspended solids were recorded, namely Flat-headed mayfly (Heptageniidae), Water pennies (Psephenidae), Freshwater limpets (Ancylidae) and beatid mayflies (3 species).

Overall, the invertebrate composition and abundance was unusual and reflected the extent of groundwater contributions that maintain the Yuku Stream, but the fauna was more typical of a foothill stream than the source. The high diversity and abundance of sensitive taxa indicated that the stream was in a good ecological state.

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A) Lanistes congicus (Ampulariidae), classified as Least B) Melanoides angolensis (Thiaridae), Concern, recorded in the Yuku Stream. [YUKU01: classified as Data Deficient, recorded in 2013/07/20]. high numbers in the Yuku Stream, particularly the lower portion. [YUKU02: 2013/07/21].

C) Macrobrachium dux (Congo River Prawn), classified as Least Concern, recorded in the Yuku Stream. [YUKU02: 2014/07/21]. Figure 4-4. Key aquatic invertebrates recorded in the project area.

Sanzikwa River The Present Ecological State of aquatic macro-invertebrates recorded in the Sanzikwa River at SANS03 in July 2014, was rated in terms of SASS5 as Moderately Modified (Category C). The riffle habitat sampled was at a low-level stream crossing with stones and rocks that had been placed in the stream bed. This provided a small area of stones-in-current habitat that was highly suitable for invertebrate colonisation (4/5), but there was no stones-out-of-current or bedrock habitat (0/5). Submerged aquatic vegetation was absent, but there was adequate marginal-vegetation-in-current (3/5) and out-of-current (2/5). Sediments sampled comprised gravels (3/5) and mud (2/5), but there was no sand habitat (0/5).

The macro-invertebrate fauna was characterised by moderate numbers of caenid mayflies (Caenidae), baetid mayflies (Baetidae), leptophlebid mayflies (Leptophlebiidae), flatheaded mayflies (Heptageniidae) and elmid beetles (Elmidae), and low numbers of all other taxa. The proportion of air- breathing taxa was typical for a foothill river, at 24%, which suggests that oxygen levels were not limiting.

The average sensitivity to water quality deterioration was moderate (ASPT = 6.3). Two SASS5 taxa that are highly sensitive to water quality deterioration were recorded, namely Flatheaded mayfly

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(Heptageniidae), and >2 species of baetid mayflies (Baetidae). Several taxa that are moderately sensitive to water quality deterioration were recorded, including Freshwater shrimps (Atyidae), Riffle beetles (Elmidae), leptophlebid mayflies (Leptophlebiidae), Demoiselle damselflies (Calopterygidae), and philopotamid caddisflies (Philopotamidae). Filter-feeding invertebrates were represented by blackflies (Simuliidae) and two caddisfly families (Hydropsychidae and Philopotamidae). Three taxa that are highly sensitive to elevated suspended solids were recorded, namely Flat-headed mayfly (Heptageniidae), blackflies (Simuliidae) and baetid mayflies (> 2 species). Snails were notably absent.

Kawenga Lake A total of 18 SASS5 taxa was recorded in Kawenga Lake in July 2014. Habitat sampled comprised submerged aquatic vegetation, dominated by knotweed (Polygonaceae) and various species of grasses and sedges. The fauna was characterised by a high diversity of Hemiptera (8 taxa) and dominance of predators (78% of taxa), and dominance of air-breathing taxa (54% of taxa). Water boatmen (Corixidae) were abundant, while several taxa typical of seasonal systems were common, including Pond skaters (Gerridae), Ripple bugs (Veliidae), Backswimmers (Notonectidae), Diving beetles (Dytiscidae), and Baetid mayflies belonging to the Cloeon species complex. The large polymitarcyid mayfly Povilla adusta was present in woody vegetation, and used by local fishermen for bait. Snails were noticeably absent. The most unusual taxon recorded in the Kawenga Lake was Ophrydium sp., a unicellular ciliate that forms large jelly-like colonies (Figure 4-5).

Mbamba Lake A total of 16 SASS5 taxa was recorded in Mbamba Lake in July 2014, of which 11 (69%) were also recorded in the adjacent Kawenga Lake. The characteristics of the biota were much the same as those recorded in Kawenga Lake, with slightly lower proportion of predators (69%) and lower proportion of air-breathing taxa (44%), although these differences are unlikely to be significant. The most noticeable differences were the presence of aquatic moths (Crambidae), and abundance of mosquito larvae (Culicidae) and flatworms (Turbellaria) in Mbamba Lake.

A) Ophrydium sp., a colonial, unicellular B) Same as (A). ciliate recorded in Kawenga Lake, and indicator of clear, clean water. [KAWE01: 2013/07/21]. Figure 4-5. Unusual colonial ciliate recorded in Kawenga Lake.

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4.7 Fish

A total of nine species of fish was recorded in the Study Area in July 2014 (Table 4-2). Photographs of the fish recorded are shown in Figure 4-6.

Yuku Stream A total of four species of fish was recorded in the Yuku Stream in July 2014. The two sites sampled are discussed together here because the sampling effort and sampling efficacy were inadequate to distinguish significant differences in species composition or abundance between the two sites sampled. Habitats were dominated by slow-shallow areas, with a few areas of fast-shallow. There were no deep pools, so larger fish species were not expected. Marginal vegetation and exposed roots of riparian trees provided good cover. Fish populations were very low, with six specimens recorded at YUKU01 in 25 minutes of sampling, and three specimens recorded at YUKU02 in 15 minutes of sampling. This gives a comparative catch of 14 and 12 fish per hour at the two sites respectively. The most significant record in the Yuku Stream is the presence of Haplochromis demeusii, which is classified by IUCN as Vunerable.

Sanzikwa River A total of four species of fish was recorded in the Sanzikwa River in July 2014. The actual number of fish species in this river is likely to be significantly high than this. The two sites sampled are discussed together here because the sampling effort and sampling efficacy were inadequate to distinguish significant differences in species composition or abundance between the two sites sampled. Habitats were dominated by slow-shallow and slow-deep areas, with a few areas of fast-shallow. There was no fast-deep habitat. Marginal vegetation and exposed roots of riparian trees provided excellent cover. Population densities were low. The most common species were the Cyprinid Barbus cf sublineatus and the catfish Clarias sp.

Kawenga Lake Three species of fish were recorded in Kawenga Lake in July 2014, namely Nile tilapia (Oreochromis niloticus) and two species of catfish (Clarias sp. and C. gabonensis). All three species are edible and targeted by local communities. None are of particular conservation concern.

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Table 4-3. Fish species recorded in the Study Area in July 2014. IUCN Site Name Species Status Number Method Rivers and Streams YUKU01 Yuku Haplochromis demeusii VU 3 Electrofisher (25 min) YUKU01 Yuku Clarias sp. LC 2 Electrofisher (25 min) YUKU01 Yuku Barbus holotaenia LC 1 Electrofisher (25 min) YUKU02 Yuku Micralestes cf acutidens LC 1 Electrofisher (15 min) YUKU02 Yuku Clarias sp. - 1 Electrofisher (15 min) YUKU02 Yuku Barbus holotaenia LC 1 Electrofisher (15 min) SANS02 Sanzikwa Hemichromis elongatus LC 2 Electrofisher (15 min) SANS02 Sanzikwa Clarias sp - 1 Electrofisher (15 min) SANS02 Sanzikwa Barbus cf sublineatus LC 10 Electrofisher (15 min) SANS02 Sanzikwa Barbus sp C - 2 Electrofisher (15 min) SANS03 Sanzikwa Clarias sp. - 2 Electrofisher (20 min) SANS03 Sanzikwa Barbus cf sublineatus LC 2 Electrofisher (20 min) Lakes KWAE01 Kawenga Oreochromis niloticus - 6 Local fish line KWAE01 Kawenga Clarias sp. - 2 Local fish line KWAE01 Kawenga Clarias gabonensis LC 1 Fyke net (16 hrs) LC = Least Concern; VU = Vulnerable

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A) Micralestes cf acutidens (Alestidae), B). Haplochromis demeusii (Cichlidae), classified as Least Concern, recorded in the classified as Vulnerable, recorded in the Yuku Yuku River. [YUKU-02: 2013/07/21]. River [YUKU01: 2014/07/20].

C) Banded jewel cichlid Hemichromis elongatus D) Nile tilapia Oreochromis niloticus (Cichlidae), (Cichlidae), classified as Least Concern, recorded in Kawenga Lake. [Photographed recorded in the Sanzikwa River. [SANK02. from adjacent Lukunga Catchment. 2014/07/20]. [2014/07/15].

E) Clarias sp, (Clariidae), recorded at all sites F) Clarias gabonensis (Clariidae), classified as sampled. [YUKU01: 2014/07/20]. Least Concern, recorded in Kawenga Lake. [KWAE01: 2014/07/21].

G) Barbus cf sublineatus (Cyprinidae), recorded H) Barbus holotaenia (Cyprinidae), classified as in the Sanzikwa River. [SANK02: 2014/07/20]. Least Concern, recorded in the Yuku River. [YUKU01: 2014/07/20].

I) Barbus sp C., recorded in the Sanzikwa River. [SANK02: 2014/07/20]. Figure 4-6. Fish recorded in the project area.

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4.8 Sensitive Aquatic Environments

Ecological Sensitivity Article 37 of Schedule IX of the DRC Mining Schedule (Decree No.038/2003 of 26 March 2003) requires the applicant to determine the presence of sensitive environments in accordance with Schedule XII of the mining regulations. Sensitive environments are defined in the regulations as “ambient environments or ecosystems, the properties of which make them particularly vulnerable to adverse impacts of mining or quarrying operations”. The schedule recognises six types of sensitive environments as shown in Table 4-3.

Table 4-4. Sensitive environments

Schedule XII Relevance in Project Area

[a] a mangrove or a swamp situated at N/A. least 10 km away from the permit area;

[b] a lake; The four permanent lakes in the Concession Area are in a largely natural ecological state and are regarded as ecologically sensitive. The high sensitivity of the lakes is reflected by the presence of the rare colonial ciliate Ophrydium, which was recorded in Kawenga Lake during the baseline survey in July 2014.

[c] a habitat or migration area of As with most karst areas, the project area has the potential to endangered or protected animals and support subterranean aquatic biota, but no information was vegetation as set forth in the tables of available or collected on this aspect because of the logistical and articles 4 to 7 of this schedule: technical difficulties of doing so.

Article 4: Fully Protected Animals There are no fully protected aquatic biota known or expected within the project area.

Article 5: Partly Projected Animals As above.

Article 6: Protected Vegetation Not applicable to this report.

Article 7: Threatened Vegetation As above.

[d] an area subject to erosion; As above.

[e] an arid or semi-arid area subject to As above. desertification;

[f] a source of drinking water. The Yuku Stream provides drinking water for the local community.

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4.9 Critical Habitat Assessment

“Critical Habitat” sensu IFC (2012) refers to areas of high biodiversity value that include at least one of seven criteria listed in Table 4-4. The Yuku Stream triggers Critical Habitat in terms of its uniqueness.

Table 4-5. Summary of Critical Habitat Triggers with respect to aquatic ecosystems.

Criterion Assessment Unit of Analysis Area of Influence 1. Critically There were no Critically Endangered or n/a n/a Endangered & endangered aquatic species recorded in the Endangered Study Area. Species 2. Endemic / The colonial ciliate Ophrydium that was recorded n/a n/a Range- in Kawenga Lake appears to be rare in Africa, Restricted with only one previous record for the continent. Species Very little information is available on this genus outside of Europe and north America, but it is likely that this species is present in all four permanent lakes in the Study Area. The presence of these ciliates highlights the good ecological state of Kawenga Lake, but there is insufficient information to classify the lakes as Critical Habitat on the basis of this record. 3. Migratory / There are no known specific migratory or n/a n/a Congregatory congregatory fish or aquatic macroinvertebrates Species in the area of potential influence that are sufficiently important to trigger critical habitat status, although several species, such as the Congo River prawn, are likely to use the rivers and streams as migration corridors. 4. Regionally The Yuku Stream supports an unusual Aquatic habitats Yuku Stream and Significant and / composition of diatoms and aquatic associated riparian or Highly macroinvertebrates. The stream is in near natural zone, from source Threatened or condition in its upper reaches, but is threatened to confluence with Unique by cultivation and proposed mining. Sanzikwa River Ecosystems 5. Ecosystem The Yuku Stream constitutes valuable ecological n/a n/a Services capital in terms of providing clean, fresh water and maintaining biodiversity, but the small size of this stream precludes it from being classified as Critical Habitat in terms of providing significant ecosystem services. 6. Evolutionary There are no known evolutionary processes n/a n/a Processes within the Project Area sufficient to trigger Critical Habitat status for aquatic ecosystems. 7. Biodiversity Same as Ecosystem Services above. n/a n/a of social, economic or cultural significance for local communities

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5. CONCLUSIONS

5.1 Diatoms

The diatoms in the lower Yuku stream at YUKU02 in July 2014 comprised species associated with moderate water quality. Confidence in the diatom assessment was the lowest of the three sites assessed, as dominant and sub-dominant species were excluded from the index calculations. Also very little is known about these species and this made data interpretation difficult. Nutrient and organic pollution levels were elevated and the diatoms indicated that organic pollution levels were rising. Valve deformities occurred at abundances that exceed general thresholds and suggested that metal toxicity was present and problematic. The diatom community generally had a preference for deteriorated water quality, and this indicated that the water body was impacted by anthropogenic activities. However the origin of these activities could not be identified.

The Sanzikwa River at SANS03 in July 2014 was characterised by poor water quality with elevated nutrient and organic pollution levels with the potential of becoming problematic. The diatoms indicated that chloride and nitrate levels were elevated and indicators of anthropogenic activity occurred in greater abundance than at SANS02. Most of the species present had a preference for elevated organic pollution and salinity levels. Although no valve deformities were noted, the river is impacted by cassava curing.

The diatoms recorded in Mbamba Lake in July 2014 comprised species mainly associated with high water quality, although species with a preference for moderate water quality were also present. Although valve deformities occurred at a level which was not deemed problematic, their presence along with moderate water quality diatoms, indicates that the lake was impacted to a certain extent by anthropogenic activities, but the impact was small.

5.2 Aquatic Invertebrates

The composition of aquatic macro-invertebrates in the Yuku Stream in July 2014 was characterised by an unusual assemblage that was dominated by scrapers and a notable scarcity of filter-feeders. Three taxa that are highly sensitive to water quality deterioration were recorded. Overall, the Present Ecological State of the stream was Largely Natural (Category B). One invertebrate species recorded in Yuku Stream is of conservation concern, namely the Thiarid snail Melanoides angolensis, which is classified by the IUCN as Data Deficient.

The composition of aquatic invertebrates in the Sanzikwa River in July 2014 was typical of a foothill stream, and the Present Ecological State was rated as Moderately Modified (Category C). Two taxa that are highly sensitive to water quality deterioration were recorded. No invertebrates of conservation concern were recorded in the Sanzikwa River.

The composition of aquatic invertebrates in Kawenga and Mbamba Lakes in July 2014 was typical of seasonal aquatic ecosystems, and characterised by a high diversity of Hemiptera and dominance of predators and air-breathing taxa. The large polymitarcyid mayfly Povilla adusta was present in woody vegetation, and used by local fishermen for bait. Snails were noticeably scarce, and this may be attributed to acidic water, which retards shell formation. The most unusual taxon recorded in the Kawenga Lake was Ophrydium sp., a unicellular ciliate that forms large jelly-like colonies. There are numerous freshwater ciliates worldwide, but very few that form colonies. These colonies were reported for the first time in Africa in 2010, and this record highlights its rarity of this genus on the African continent (Oberholster et al. 2010). The rarity is associated with specific habitat requirements that include standing or slow-flowing clear water, low nutrients, relatively high iron content and low trace metals (Oberholster et al. 2010). This combination of attributes makes these colonies potentially good ecological indicators.

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5.3 Fish

A total of nine species of fish was recorded in the Study Area in July 2014. The actual number of fish species in the area is likely to be higher than this, but very little information is available on fish in this area, so it is not possible to know what additional species may be expected. One fish species recorded in Yuku Stream is of conservation concern, namely the cichlid Haplochromis demeusii, which is classified by the IUCN as Vulnerable.

No fish species of conservation concern were recorded in Kawenga Lake. All species recorded during the survey are indigenous to the area, but local fishermen indicated that the permanent lakes in the area had been stocked with Nile tilapia (Oreochromis niloticus). Fish are harvested from the permanent lakes in the Concession Area by local communities on a small scale, mostly in the form of Nile tilapia and catfish, but the resource is vulnerable to overexploitation because of the small size of the lakes and the hydrologically isolated nature of the lakes, which limits recruitment.

5.4 Ecological Importance and Sensitivity

Areas of Ecological Importance and Sensitivity in terms of aquatic ecosystems within the Concession Area are the Yuku Stream and permanent lakes (Kawenga and Mbamba), and possibly the Minkuku Stream. The Sanzikwa River is moderately degraded and no longer considered ecologically important or sensitive.

5.5 Habitat Classification

The Yuku Stream is classified as Critical Habitat because of its unique ecological characteristics. The remaining aquatic ecosystems are classified as Natural Habitat sensu IFC (2012).

5.6 Community Use of Aquatic Resources

Freshwater within the Project Area is essential to rural livelihoods and the maintenance of riparian forests. The local economy appears to be based largely on subsistence cultivation and charcoal production. Fishing appears to be practised by a few individuals on a small-scale and part-time basis only. Fishing in Kawenga Lake by local communities in July 2014 comprised several sets of gill nets that were owned and managed by the Chief of Yuku Village chief, as well as long lines set by a few individuals using the mayfly Povilla adusta as bait. There were no active fishing nets or traps in Mbamba Lake during the survey in July 2014, but local residence indicated that fishing was practised in the lake. Fishing in the Yuku Stream is unlikely to be important on account of the shallow habitats that support small fish only. However, the margins of the Yuku Stream provided ideal habitat for earthworms, which were harvested for fish bait, and it is likely that traps are set to catch the freshwater prawn Macrobrachium dux, which was present in the lower reaches of the Yuku Stream.

5.7 Potential Impacts

The main potential direct impact of the proposed development on aquatic ecosystems is associated with potential increases in suspended material in Yuku Stream and the permanent lakes. Increased suspended material will reduce light penetration and this could affect instream primary production, with negative implications for grazing and habitat availability for aquatic biota, including several taxa that are highly sensitive to changes in water clarity, such as the rare ciliate Ophrydium, recored in Kawenga Lake. Water quality is also likely to be affected by accidental spills of hydrocarbons and other potentially hazardous materials that find their way into the watercourses.

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Groundwater levels are likely to be modified by dewatering activities, and this could have negative implications on the Yuku Stream in particular.

Lakes in the Study Area appear to be largely rain-fed and therefore unlikely to be affected significantly by changes in groundwater level.

Indirect impacts are likely to be associated mainly with increased human population in the area as a whole. The main impacts of this include increased harvesting of natural resource (e.g. charcoal production, fishing etc), and increased cultivation along stream, river and lake margins.

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6. RECOMMENDATIONS

6.1 Buffer Zones Buffer zones of natural vegetation to protect the Yuku River and all permanent lakes in the concession area should be developed in consultation with local communities. The extent of the buffer zones should be based on practical considerations, but ideally should be at least 100 m from the stream and lake margins at full supply. Mining operations, informal agriculture and any other forms of activity within the recommended buffer zones should be prohibited, or at least minimised.

6.2 Management Plan for Permanent Lakes

A management plan for all permanent lakes in the Concession Area should be developed, in consultation with local communities. The aim of the plan is to ensure that fisheries resources from the lakes remain sustainable. The plan should detail the proposed buffer zones (discussed above), and detail fishing rights, fishing methods and consider periods in the year when no fishing should be allowed. The success of the plan will depend on local participation in the development and implementation of the plan.

6.3 Aquatic Biomonitoring

A long-term programme to monitor aquatic ecosystems is recommended. The aims of the programme should be to provide an early warning system that will prevent unforeseen impacts that may affect receiving aquatic ecosystems and associated ecological goods and service, and to make appropriate recommendations to mitigate any significant detrimental impacts identified. The same monitoring methods as used in this report are recommended. Monitoring the presence of the ciliate Ophrydium in the permanent lakes is recommended, but monitoring fish and aquatic macroinvertebrates in the lakes is not recommended because the baseline species diversity and composition indicates a generally low diversity of hardy taxa which do not provide good indicators to monitor environmental change. Biomonitoring should be undertaken at least annually during construction and operation phases. The frequency of biomonitoring should be reviewed after each monitoring run. Biomonitoring should be undertaken during the dry season (July/August). An annual report that details the biomonitoring results should be prepared. The report should recommend management actions needed, identify any additional studies that may be needed, and recommend changes to the biomonitoring plan (if any).

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7. REFERENCES

AFNOR 2000. Norme Française NF T 90–354. Détermination de l’Indice Biologique Diatomées IBD. Association Française de Normalisation, 63 pp. Barbour, M. T., Gerritsen, J., Snyder, B. D and Stribling, J. B. 1999 Rapid Bioassessment Protocols for Use in Streams and Wadeable Rivers: Periphyton, Benthic Macroinvertebrates and Fish, Second Edition. EPA 841- B-99-002. U.S. Environmental Protection Agency; Office of Water; Washington, D.C. Battarbee, RW 1986. Diatom Analysis. In Berglund BE (ed) Handbook of Holocene Paleoecology and Paleohydrology. John Wiley & Sons Ltd. Chichester. Great Briton. pp 527-570. Brown, D. S 1994. Freshwater snails of Africa and their medical importance. Taylor & Francis. Revised second edition. London. x + 609 pp. Cattaneo, A, Couillard, Y, Wunsam, S, and Courcelles, M. 2004. Diatom taxonomic and morphological changes as indicators of metal pollution and recovery in Lac Dufault Québec. Canada. Journal of Paleolimnology 32: 163-175. CEMAGREF 1982. Etude des methodes biologiques quantitatives d'appreciation de la qualite des eaux. Rapport Division Qualité des Eaux Lyon - Agence Financiere de Bassin Rhône- Méditerranée- Corse. Pierre-Benite. Cholnoky, B.J. 1968. Die Ökologie der Diatomeen in Binnengewässern. J Cramer, Lehre. Dallas, H. F. 2007. River Health Programme: South African Scoring System (SASS) data interpretation guidelines. Report prepared by the Freshwater Consulting Group and the Freshwater Research Unit, University of Cape Town. Report prepared for the Institute of Natural Resources, Pietermaritzburg, and the South African Department of Water Affairs and Forestry. De la Rey, PA, Taylor, JC, Laas, A, Van Rensburg, L & Vosloo, A. 2004. Determining the possible application value of diatoms as indicators of general water quality: A comparison with SASS 5. Water SA 30: 325- 332. Diatoms for Assessing River Ecological Status (DARES) 2004. Sampling protocol. Version 1. http://craticula.ncl.ac.uk/dares/methods.htm Dickens, C. W. S. and Graham, P. M. 2002. The South African Scoring System (SASS) Version 5 Rapid bioassessment method for rivers. African Journal of Aquatic Science 27(1): 1-10. Dixit, S.S., Smol, J.P., Kingston, J. C. and Charles, D. F. 1992. Diatoms: Powerful indicators of environmental change. Environmental Science and Technology 26: 23–33. Freshwater Ecoregions of the World (FEOW). 2010. http://www.feow.org, downloaded 17 September 2010. International Finance Corporation (IFC). 2012b. Performance Standard 6. Biodiversity Conservation and Sustainable Management of Living Natural Resources. Kipp, R.M., M. McCarthy, and A. Fusaro. 2014. Pleurosira laevis. USGS Nonindigenous Aquatic Species Database, Gainesville, Florida: Revision Date: 6/20/2012. Kleynhans, C. J. 1999. The development of a fish index to assess the biological integrity of South African rivers. Water SA 25(3): 265-278. Krammer, K. and Lange-Bertalot, H. (1986-1991). Bacillario-phyceae. Süßwasserflora von Mitteleuropa 2 (1-4). Spektrum Akademischer Verlag, Heidelberg. Berlin. Le Cointe, C., Coste, M. and Prygiel, J. 1993. “Omnidia”: Software for taxonomy, calculation of diatom indices and inventories management. Hydrobiologia 269/270: 509-513. Luís, A.T., Teixeira, P., Almeida, S.F.P., Ector, L., Matos, J.X. and Ferreira da Silva, A. 2008. Impact of Acid Mine Drainage (AMD) on Water Quality, Stream Sediments and Periphytic Diatom Communities in the Surrounding Streams of Aljustrel Mining Area (Portugal). Water Air Soil Pollution. DOI 10.1007/s11270- 008-9900-z. Pudwill R., Timm T, 1997, The salinization of streams by water from coal mine spoil dumps in the Ruhr area (Germany), Limnologica, 27(1): 65-75.

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Myre, E and Shaw, R. 2006. The Turbidity Tube: Simple and Accurate Measurement of Turbidity in the Field. Written for the requirements of CE 5993 Field Engineering in the Developing World and FW 5770 Community Planning and Analysis. Department of Civil and Environmental Engineering Master’s International Program Michigan Technological University. www.cee.mtu.edu/sustainable_engineering. Oberholster, P. J., Ashton, P. J., Fritz, G. B., and Botha A-M. 2010. First report on the colony-forming freshwater ciliate Ophrydium versatile in an African River. Water SA 36(3): 315-321. Pilsbry, H. A. and Bequaert, J. 1927. Article II. The aquatic molluscs of the Belgian Congo, with a geographical and ecological account of Congo malacology. Bulletin of the American Museum of Natural History. 53: 69-602. Plafkin, J. L., Barbour, M. T., Porter, K. D., Gross, S. K., and Hughes, R. M., 1989. Rapid bioassessment protocols for use in streams and rivers. Benthic macroinvertebrates and fish. EPA/444/4-89/001. Office of Water Regulations and Standards, U. S. Environmental Protection Agency, Washington, DC. Prygiel, J. and Coste, M. 2000. Guide méthodologique pour la mise en oeuvre de l'Indice Biologique Diatomées. NF T 90-354. Agence de l'eau Artois Picardie, Douai. Schoeman, F. R. 1973. A systematical and ecological study of the diatom flora of Lesotho with special reference to water quality. V&R Printers, Pretoria, South Africa. Stiassny, M.L.J., Teugels, G.G. and Hopkins, C.D. 2007a. The Fresh and Brackish Water Fishes of Lower Guinea, West-Central Africa. Vol. 1. MRAC, Paris, France. Stiassny, M.L.J., Teugels, G.G. and Hopkins, C.D. 2007b. The Fresh and Brackish Water Fishes of Lower Guinea, West-Central Africa. Vol. 2. MRAC, Paris, France. Taylor, J.C., De la Rey, P.A. and Van Rensburg, L. 2005. Recommendations for the collection, preparation and enumeration of diatoms from riverine habitats for water quality monitoring in South Africa. African Journal of Aquatic Science, 30(1): 65–75. Taylor, J.C., Harding, W.R. and Archibald, C.G.M. 2007a. A methods manual for the collection, preparation and analysis of diatom samples. Water Research Commission Report TT281/07. Water Research Commission. Pretoria. Taylor, J.C., Harding, W.R. and Archibald, C.G.M. 2007b. An illustrated guide to some common diatom species from South Africa. Water Research Commission Report TT282/07. Water Research Commission. Pretoria.

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8. APPENDICES

Appendix A: Study Team

Rob Palmer – Aquatic Ecologist: Rob is the founder director of Nepid Consultants CC, an independent environmental consultancy that specialises in the management of freshwater ecosystems. He has a BSc in Zoology from the University of Cape Town, and a PhD in Aquatic Ecology from Rhodes University, South Africa. He has over 20 years’ experience in aquatic systems and specialist knowledge of river regulation and river ecology. He is a registered Environmental Assessment Practitioner (No 0080/06), a member of the SA Council for Natural Scientific Professions (No 400108/95), and an accredited SASS5 biomonitoring practitioner.

Shael Koekemoer – Diatom Specialist: Shael is a member of Koekemoer Aquatic Sciences (KAS), which is a closed corporation specialising in aquatic sciences, primarily aquatic health and fisheries sciences biomonitoring of river systems, Reserve determinations of Rivers and biological water quality assessments. She has been actively involved in Reserve assessments since 2001 assisting Water for Africa. She recently completed her MSc in Ecological Remediation at the University of the North-West, Potchefstroom, and has been specialising since 2005 in diatom based water quality assessments of aquatic systems.

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Appendix B: Detailed Results – Diatoms

List of diatom species recorded at Nyumba ya Akiba in July 2014, expressed as the number recorded out of a total count of 400. Species are listed alphabetically.

Species Abbr. MBAM 01 YUKU02 SANS03 Abnormal diatom valve (unidentified) or sum of deformities abundances DEFO 3 21 Achnanthes exigua Grunow AEXG 71 Achnanthidium latecephalum Kobayasi ADLA 6 Achnanthidium minutissima var. saprophilum (Kobayasi & Mayama) Round AMSA 8 and Bukhtiyarova Achnanthidium species ADCS 3 2 Achnathes becarii Cholnoky ABEC 2 Amphora cymbelloides Grunow ACYM 1 Amphora species AMPH 1 Anomoeoneis irawanae Pozorski & Håkansson AIRA 14 Cocconeis schroederii COCO 11 13 Cocconeis species COCS 74 Cymatopleura species CYMA 1 Cymbella tropica Krammer CTRO 1 Diadesmis confervacea (Kützing) DG Mann DCOF 1 Diadesmis contenta Mann DCOT 1 2 Diatoma vulgaris Bory DVUL 2 Encyonema minutum (Hilse) DG Mann ENMI 1 Encyonema silesiacum (Bleisch) DG Mann ESLE 2 Encyonopsis minuta Krammer & Reichardt ECPM 4 Eolimna minima (Grunow) Lange-Bertalot EOMI 55 1 Eunotia bilunaris (Ehrenberg) Mills EBIL 1 Eunotia flexuosa (Brébisson) Kützing EFLE 17 Eunotia incisa Gregory EINC 2 Eunotia mesiana Cholnoky EMES 5 Eunotia minor (Kützing) Grunow EMIN 13 Eunotia monodon Ehrenberg EMON 1 Eunotia rhomboidea Hustedt ERHO 26 Eunotia species EUNS 8 6 2 Eunotia zygodon Ehrenberg EZYG 2 Fragilaria biceps (Kützing ) Lange-Bertalot FBCP 2 31 Fragilaria capucina var. vaucheriae (Kützing) Lange-Bertalot FCVA 1 Fragilaria tenera (WM Smith) Lange-Bertalot FTNR 1 Fragilaria ulna (Nitzsch) Lange-Bertalot FUAC 1 5 Frustulia species FRUS 1 Frustulia vulgaris (Thwaites) De Toni FVUL 1 Geissleria species GESP 6 Gomphonema auritum A. Braun GAUR 1 Gomphonema gracile Ehrenberg GGRA 218 Gomphonema parvulum (Kützing) Kützing GPAR 2 5 5 Gomphonema pumilum (Grunow) Reichardt & Lange-Bertalot GPUM 25 40

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Species Abbr. MBAM 01 YUKU02 SANS03 Gomphonema species GOMS 1 1 Gyrosigma scalproides (Rabenhorst) Cleve GSCA 5 Gyrosigma species GYRS 2 Hantzschia amphioxys (Ehrenberg) Grunow HAMP 1 Luticola species LUSP 1 Luticola taylorii Levkov LTAY 1 Mayamaea atomus var. permitis (Hustedt) Lange-Bertalot MAPE 5 Navicula cryptotenelloides Lange-Bertalot NCTO 14 3 Navicula germainii Wallace NGER 6 Navicula gregaria Donkin NGRE 1 Navicula notha Wallace NNOT 46 Navicula reichardtiana Lange-Bertalot NRCH 1 1 Navicula rostellata Kützing NROS 4 Navicula schroeteri Meister NSHR 9 Navicula schroeteri var. symmetrica (Patrick) Lange-Bertalot NSSY 34 Navicula small species NSMZ 1 1 Navicula species NASP 1 4 25 Navicula vandamii var. mertensiae Lange-Bertalot NVDM 1 Nitzschia dissipata var. media (Hantzsch) Grunow NDME 2 Nitzschia frustulum (Kützing) Grunow NIFR 6 2 Nitzschia linearis (Agardh) W Smith NLIN 2 28 Nitzschia lorenziana Grunow NLOR 2 Nitzschia recta Hantzsch NREC 6 41 Nitzschia species NZSS 1 2 53 Nupela species NUPS 15 2 Pinnularia gibba Ehrenberg PGIB 1 Pinnularia species PINS 1 Planothidium rostratum (Oestrup) Lange-Bertalot PRST 9 11 Pleurosira laevis (Ehrenberg) Compere PLEV 32 Rhoicosphenia curvata (Kützing) Grunow RABB 2 Sellaphora rectangularis (Gregory) Lange-Bertalot & Metzeltin SREC 1 Sellaphora species SELL 1 Seminavis strigosa (Hustedt) Danieledis & Economou-Amilli SMST 10 Simonsenia delognei Lange-Bertalot SIDE 4 4 Stauroneis resoluta Moser Lange-Bertalot & Metzeltin SRES 21 Stauroneis species STAU 1 Stenopterobia delicatissima (Lewis) Brebisson STDE 28 4 Surirella angusta Kützing SANG 1 1 Surirella species SURI 1 Tryblionella levidensis WM Smith TLEV 2 Tryblionella littoralis (Grunow) DG Mann TLIT 2 Tryblionella species TRYS 1 Ulnaria species ULNA 2 Total count 400 400 400

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Key Low abundance

Moderate abundance High abundance

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Appendix C: Detailed Results - Aquatic Macroinvertebrates

Observed List KWAE01 MBAM01 SANS03 YUKU01 YUKU02 SASS5 Taxa SV WQ Preference Sediment Jul-14 Jul-14 Jul-14 Jul-14 Jul-14 PORIFERA (Sponges) 5 C: Tolerant B: Sensitive Perlidae 12 A: Highly Sensitive A: Highly Sensitive COELENTERATA (Cnidaria) 1 D: HighlyTolerant E: Indifferent or Excl TURBELLARIA (Flatworms) 3 D: HighlyTolerant D: Highly Insensitive B 1 A ANNELIDA Oligochaeta (Earthworms) 1 D: HighlyTolerant D: Highly Insensitive 1 B 1 Hirudinea (Leeches) 3 D: HighlyTolerant C: Insensitive 1 CRUSTACEA Potamonautidae* (Crabs) 3 D: HighlyTolerant D: Highly Insensitive 1 Atyidae (Freshwater Shrimps) 8 B: Sensitive C: Insensitive A A A Palaemonidae (Freshwater Prawns) 10 B: Sensitive C: Insensitive 1 HYDRACARINA (Mites) 8 B: Sensitive D: Highly Insensitive A B PLECOPTERA (Stoneflies) Notonemouridae 14 A: Highly Sensitive A: Highly Sensitive EPHEMEROPTERA (Mayflies) Baetidae 1sp 4 C: Tolerant D: Highly Insensitive B B Baetidae 2 sp 6 C: Tolerant C: Insensitive Baetidae > 2 sp 12 A: Highly Sensitive A: Highly Sensitive B B B Caenidae (Squaregills/Cainflies) 6 C: Tolerant D: Highly Insensitive B B B A Ephemeridae (Burrowing mayflies) 15 A: Highly Sensitive C: Insensitive Heptageniidae (Flatheaded mayflies) 13 A: Highly Sensitive A: Highly Sensitive B B B Leptophlebiidae (Prongills) 9 B: Sensitive B: Sensitive B B B Oligoneuridae (Brushlegged mayflies) 15 A: Highly Sensitive A: Highly Sensitive Polymitarcyidae (Pale Burrowers) 10 B: Sensitive C: Insensitive A 1 Prosopistomatidae (Water specs) 15 A: Highly Sensitive B: Sensitive Tricorythidae (Stout Crawlers) 9 B: Sensitive C: Insensitive ODONATA - ZYGOPTERA (Damselflies)

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Observed List KWAE01 MBAM01 SANS03 YUKU01 YUKU02 SASS5 Taxa SV WQ Preference Sediment Jul-14 Jul-14 Jul-14 Jul-14 Jul-14 Calopterygidae (Demoiselles) 10 B: Sensitive C: Insensitive 1 1 Chlorocyphidae (Jewels) 10 B: Sensitive C: Insensitive A 1 Synlestidae (Chlorolestidae)(Sylphs) 8 B: Sensitive D: Highly Insensitive Coenagrionidae (Sprites and blues) 4 C: Tolerant E: Indifferent or Excl B B B A A Lestidae (Emerald

Damselflies/Spreadwings) 8 B: Sensitive E: Indifferent or Excl Platycnemidae (Stream Damselflies) 10 B: Sensitive C: Insensitive Protoneuridae (Threadwings) 8 B: Sensitive D: Highly Insensitive Zygoptera juv. 6 C: Tolerant - ODONATA - ANISOPTERA (Dragonflies) Aeshnidae (Hawkers & Emperors) 8 B: Sensitive D: Highly Insensitive Corduliidae (Cruisers) 8 B: Sensitive D: Highly Insensitive 1 Gomphidae (Clubtails) 6 C: Tolerant D: Highly Insensitive 1 B A Libellulidae (Darters/Skimmers) 4 C: Tolerant D: Highly Insensitive B B A LEPIDOPTERA (Aquatic

Caterpillars/Moths) Crambidae (Pyralidae) 12 A: Highly Sensitive E: Indifferent or Excl 1 HEMIPTERA (Bugs) Belostomatidae* (Giant water bugs) 3 D: HighlyTolerant D: Highly Insensitive A A Corixidae* (Water boatmen) 3 D: HighlyTolerant D: Highly Insensitive C C Gerridae* (Pond skaters/Water striders) 5 C: Tolerant E: Indifferent or Excl B B B Hydrometridae* (Water measurers) 6 C: Tolerant E: Indifferent or Excl A A Naucoridae* (Creeping water bugs) 7 B: Sensitive E: Indifferent or Excl A Nepidae* (Water scorpions) 3 D: HighlyTolerant D: Highly Insensitive A Notonectidae* (Backswimmers) 3 D: HighlyTolerant E: Indifferent or Excl B A Pleidae* (Pygmy backswimmers) 4 C: Tolerant E: Indifferent or Excl A A Veliidae/M...veliidae* (Ripple bugs) 5 C: Tolerant E: Indifferent or Excl B A A A MEGALOPTERA (Fishflies, Dobsonflies

& Alderflies) Corydalidae (Fishflies & Dobsonflies) 8 B: Sensitive -

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Observed List KWAE01 MBAM01 SANS03 YUKU01 YUKU02 SASS5 Taxa SV WQ Preference Sediment Jul-14 Jul-14 Jul-14 Jul-14 Jul-14 Sialidae (Alderflies) 6 C: Tolerant D: Highly Insensitive TRICHOPTERA (Caddisflies) Dipseudopsidae 10 B: Sensitive A: Highly Sensitive Ecnomidae 8 B: Sensitive B: Sensitive Hydropsychidae 1 sp 4 C: Tolerant D: Highly Insensitive A Hydropsychidae 2 sp 6 C: Tolerant C: Insensitive Hydropsychidae > 2 sp 12 A: Highly Sensitive A: Highly Sensitive Philopotamidae 10 B: Sensitive B: Sensitive A 1 Polycentropodidae 12 A: Highly Sensitive B: Sensitive Psychomyiidae/Xiphocentronidae 8 B: Sensitive B: Sensitive Cased caddis: Calamoceratidae 11 B: Sensitive C: Insensitive Hydroptilidae 6 C: Tolerant B: Sensitive Lepidostomatidae 10 B: Sensitive A: Highly Sensitive Leptoceridae 6 C: Tolerant B: Sensitive A A A Pisuliidae 10 B: Sensitive COLEOPTERA (Beetles) Dytiscidae/Noteridae* (Diving beetles) 5 C: Tolerant D: Highly Insensitive B B Elmidae/Dryopidae* (Riffle beetles) 8 B: Sensitive B: Sensitive B B 1 Gyrinidae* (Whirligig beetles) 5 C: Tolerant E: Indifferent or Excl A A B A Haliplidae* (Crawling water beetles) 5 C: Tolerant B: Sensitive Helodidae (Marsh beetles) 12 A: Highly Sensitive B: Sensitive Hydraenidae* (Minute moss beetles) 8 B: Sensitive B: Sensitive 1 Hydrophilidae* (Water scavenger beetles) 5 C: Tolerant D: Highly Insensitive Limnichidae (Marsh-Loving Beetles) 10 B: Sensitive D: Highly Insensitive Psephenidae (Water Pennies) 10 B: Sensitive A: Highly Sensitive B A DIPTERA (Flies) Athericidae (Snipe flies) 10 B: Sensitive A: Highly Sensitive

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Observed List KWAE01 MBAM01 SANS03 YUKU01 YUKU02 SASS5 Taxa SV WQ Preference Sediment Jul-14 Jul-14 Jul-14 Jul-14 Jul-14 Ceratopogonidae (Biting midges) 5 C: Tolerant C: Insensitive 1 B B A Chironomidae (Midges) 2 D: HighlyTolerant E: Indifferfent or Excl B B A B Culicidae* (Mosquitoes) 1 D: HighlyTolerant E: Indifferfent or Excl B Dixidae* (Dixid midge) 10 B: Sensitive B: Sensitive Empididae (Dance flies) 6 C: Tolerant C: Insensitive Ephydridae (Shore flies) 3 D: HighlyTolerant C: Insensitive Muscidae (House flies, Stable flies) 1 D: HighlyTolerant B: Sensitive Psychodidae (Moth Flies) 1 D: HighlyTolerant D: Highly Insensitive Simuliidae (Blackflies) 5 C: Tolerant A: Highly Sensitive A Syrphidae* (Rat tailed maggots) 1 D: HighlyTolerant D: Highly Insensitive Tabanidae (Horse flies) 5 C: Tolerant D: Highly Insensitive Tipulidae (Crane flies) 5 C: Tolerant B: Sensitive A A 1 GASTROPODA (Snails) Ampulariidae (=Pilidae) C Ancylidae (Limpet) 6 C: Tolerant A: Highly Sensitive A Bulininae* 3 D: HighlyTolerant D: Highly Insensitive Hydrobiidae/Pomatiopidae* 3 D: HighlyTolerant C: Insensitive Lymnaeidae* (Pond snails) 3 D: HighlyTolerant D: Highly Insensitive Physidae* (Pouch snails) 3 D: HighlyTolerant D: Highly Insensitive Planorbinae* (Orb snails) 3 D: HighlyTolerant D: Highly Insensitive A Thiaridae* (=Melanidae) 3 D: HighlyTolerant B: Sensitive C C Viviparidae* 3 D: HighlyTolerant D: Highly Insensitive PELECYPODA (Bivalves) Corbiculidae (Clams) 5 C: Tolerant C: Insensitive Sphaeriidae (Pill clams) 3 D: HighlyTolerant C: Insensitive Unionidae (Perly mussels) 6 C: Tolerant B: Sensitive SASS Score n/a n/a 133 126 174 % Collector-Gatherers 22 25 33 36 29

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Observed List KWAE01 MBAM01 SANS03 YUKU01 YUKU02 SASS5 Taxa SV WQ Preference Sediment Jul-14 Jul-14 Jul-14 Jul-14 Jul-14 % Filter-Feeders 0 6 23 0 4 % Predators 78 69 48 45 42 % Shredders 0 0 5 5 8 % Scrapers/ Grazers 0 6 0 9 17 Air breathers (%) 56 44 24 32 25 No. of Taxa 18 16 21 22 25 ASPT - - 6.3 5.7 7.0 Highest SV 12 10 13 13 13 Category (A - F) - - C D B

Abundance Rating (per sample): 1=1; A=2-9; B=10-99; C=100-999; D=>1000; p = present SV = Sensitivity Value

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SRK Consulting: Project No: 463574 NYA Final BAP 2016 Page 125

Appendix E: Revised Habitat Map

JORP/STEW/Mahv 492484 - Final NYA 2016 Biodiversity Action Plan - 07Oct2016.docx October 2016 SRK Consulting: Project No: 463574 NYA Final BAP 2016 Page 126

Figure E- 1: Revised historical habitat map for the NYA concession area

JORP/STEW/Mahv 492484 - Final NYA 2016 Biodiversity Action Plan - 07Oct2016.docx October 2016 SRK Consulting: Project No: 463574 NYA Final BAP 2016 Page 127

SRK Report Distribution Record

Report No. 463574/F-BAP-2016

Copy No. Electronic

Name/Title Company Copy Date Authorised by R. Khalifa NYA Electronic 07 October 2016 V. Maharaj SRK SA Library (Johannesburg) SRK SA 1 07 October 2016 V. Maharaj

Approval Signature:

This report is protected by copyright vested in SRK (SA) (Pty) Ltd. It may not be reproduced or transmitted in any form or by any means whatsoever to any person without the written permission of the copyright holder, SRK.

JORP/STEW/Mahv 492484 - Final NYA 2016 Biodiversity Action Plan - 07Oct2016.docx October 2016