World Bank Document

Public Disclosure Authorized The Kingdom of Lesotho

WATER COMMISSION

Environmental and Social Management Framework for Zones 2 and 3 of the Lowlands Water Development Project – PHASE II (LWDP-II)

Public Disclosure Authorized Public Disclosure Authorized

Public Disclosure Authorized January 2019

Table of Contents EXECUTIVE SUMMARY ...... 8

1.0 Introduction ...... 19

1.1 Background ...... 19

1.2 Broader water resources context ...... 19

1.3 Description of the LWDP II – (in particular zones 2&3) ...... 20

1.3.1 Background on the LWDP II ...... 20

1.3.2 LDWP II Development Objectives and Approach ...... 21

1.3.3 LWDP II Components ...... 21

1.4 LWDP II Areas ...... 24

1.5 Environmental and Social Management Framework (ESMF) ...... 26

1.6 Purpose of the ESMF ...... 27

1.7Approach for the preparation of the ESMF ...... 28

2.0. POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK ...... 29

2.1 National Legislative Framework ...... 29

2.1.1The Constitution of the Kingdom of Lesotho, 1993 ...... 29

2.1.2 Environmental Act No. 10 of 2008 ...... 29

2.1.3 Water Act No. 15 of 2008 ...... 30

2.1.4 Land Act No. 17 of 1979 ...... 30

2.1.5 Local Government Act 1997 and Local Government Amendment Act 2004 ...... 31

2.1.6 Historic Monuments, Relics, Fauna and Flora Act No. 41 of 1967...... 31

2.1.7 National Heritage Resources Act No. 2 of 2012 ...... 31

2.1.8 Roads Act No. 24 of 1969 ...... 31

2.1.9 Road Traffic Act No. 8 of 1981 ...... 31

2.1.10 Labour Code 1992 ...... 32

2.1.11Workmen’s Compensation Act, No.13 of 1977 ...... 32

2.1.12 Sanitary Services and Refuse Removal Regulations of 1972 ...... 33

2.1.13 Licenses Required ...... 33

2.1.14 Other ...... 33

2.2 Regional and International Treaties and/or Agreements and Protocols ...... 34

2.3 World Bank Environmental and Social Safeguards ...... 35

2.4 Institutional Framework...... 37

3.0 DESCRIPTION OF THE PHYSICAL AND SOCIAL ENVIRONMENT ...... 39

3.1 Description of the Physical Environment ...... 39

3.1.1 Climate ...... 39

3.1.2 Topography ...... 39

3.1.3. Land use ...... 39

3.1.4 Geology and Palaeontology ...... 39

3.1.5 Soil characteristics ...... 40

3.1.6 Heritage features ...... 40

3.1.7 Floral biodiversity ...... 40

3.1.8. Faunal Biodiversity ...... 43

3.1.9 Surface water resources ...... 45

3.2 Description of the Social Environment ...... 46

3.2.1 Geographical context ...... 46

3.2.2. Development context ...... 46

3.2.3 Administrative context ...... 47

3.2.4 Demography ...... 47

3.2.5 Land and residences ...... 48

3.2.6 Infrastructure ...... 48

3.2.7 Livelihoods ...... 49

4.0 Potential Environmental and Social Impacts ...... 50

4.1 Criteria for screening the project ...... 51

4.2 Description of Potential Impacts and their environmental significance ...... 51

4.2.1 Determination of environmental and social significance of impacts ...... 51

4.3 Mitigation considerations and options ...... 55

5.0 Environmental and Social Mitigation and Enhancement Measures ...... 56

5.1 Traffic Management...... 56

5.2 Influx of Labour Related Impacts ...... 56

5.3 Labour and Employment Related Impacts ...... 56

5.4 Occupational Health and Safety Risks ...... 57

5.5 Visual Intrusion ...... 57

5.6 Dust ...... 57

5.7 Increased Noise levels ...... 57

5.8 Hazards from Open Trenches and Pits ...... 58

5.9 Asbestos ...... 58

5.10 Recommended Mitigation Measures ...... 58

6. Project Alternatives Analysis ...... 65

6.1 Do-Nothing/’Without Project’ Option ...... 65

6.2 Develop the Prosed Project Option ...... 65

6.3 Different Technologies Alternative ...... 65

6.3.1 Alternative Excavation Methods ...... 66

6.3.2 Alternative to Passing through Culverts ...... 66

6.3.3 Alternatives to Pipeline Crossing the Side Drains ...... 67

6.3.4 Alternative to Pipe Crossing the Road ...... 67

6.3.6 Alternative to Building Materials for Associated Civil and Building Works ...... 67

7. Environmental and Social Screening, Review and Approval ...... 69

7.1 Screening Process, Impact and Risk Approach ...... 69

7.1.1 Environmental and Social Screening Framework in the Kingdom of Lesotho ...... 69

7.1.2 The Environmental and Social Screening in this Framework ...... 69

7.1.3 Application of the Screening Processes ...... 69

7.1.4 The Process ...... 70

Screening Process for LWDP II ...... 70

Overview ...... 70

Screening Form ...... 71

7.1.5 Environmental and Social Impact Assessment Process ...... 71

7.1.6 Review and Recommendations for Approval/Disapproval ...... 72

7.1.7 Public Consultation ...... 72

7.1.8 Review and Clearance of Environmental Screening Results ...... 72

7.2 Review and Clearance of the ESIAs and ESMPs ...... 73

7.3 Disclosure ...... 74

7.4 Rules for Civil Works Contractors ...... 74

7.5 Environmental and Social Management Process ...... 74

8. Environmental and Social Monitoring ...... 75

8.1 Project Monitoring Indicators and Responsibilities ...... 75

8.2 Reporting...... 76

9. PROJECT IMPLEMENTATION ARRANGEMENTS ...... 82

9.1 Partnership Arrangements ...... 82

9.2 Institutional and Implementation Arrangements for LWDP II ...... 82

9.3 Implementation arrangements for the ESMF ...... 84

9.4 Assessment of Institutional Capacity to Implement the ESMF ...... 84

10. PUBLIC PARTICIPATION ...... 86

10.1 Stakeholder Consultations ...... 86

10.2 Grievance Redress Mechanism ...... 88

10.2.1 The Aim of the Grievance Redress Procedure ...... 88

10.2.2 Duties and Responsibilities ...... 88

10.2.3 Types of Grievances ...... 89

10.2.4 Procedure for Receiving and Responding to Complaints, Grievances, Appeal and Claiming Process ...... 89 5

11 ESMF IMPLEMENTATION BUDGET ...... 91

I Introduction ...... 109

II Identification of potential activities that the CERC could finance: ...... 109

III Potential Environmental and Social (ES) Impacts ...... 110

III Environmental and Social Management Framework Process ...... 112

IV Institutional Arrangement for Project Implementation ...... 112

ANNEXURES

Annex 1 ENVIRONMENTAL AND SOCIAL SCREENING FORM (ESSF)

Annex 2 ENVIRONMENTAL RULES FOR CIVIL WORKS CONTRACTORS

Annex 3 CHANCE FINDS PROCEDURES

Annex 4 CERC SECTION OF THE ENVIRONMENTAL AND SOCIAL FRAMEWORK (ESMF)

Annex 5 GOOD PRACTICE NOTE: ASBESTOS: OCCUPATIONAL AND COMMUNITY HEALTH ISSUES

Acronyms and Abbreviations

AIDS Acquired Immunodeficiency Syndrome BP Best Practice (of the World Bank) CoW Commissioner of Water CERC Contingent Emergency Response Component DRWS Department of Rural Water Supply DWA Department of Water Affairs DoE Department of Environment EA Environmental Assessment EHS Environmental, Health, and Safety EIA Environmental Impact Assessment EIB European Investment Bank ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESSF Environmental and Social Screening Form EU European Union GBV Instances of Gender Based Violence GOL Government of Lesotho GRM Grievance redress mechanism IA Iron Age LBWSA Lesotho Bulk Water Supply Authority LSA Late Stone Age LLWSS Lesotho Lowlands Water Supply Scheme LLWSSU Lesotho Lowlands Water Supply Scheme Unit LWDP Lowlands Water Development Project LWSP Lesotho Water and Sanitation Policy MDWSP Metolong Dam Water Supply Project MoF Ministry of Finance MTEC Ministry of Tourism, Environment and Culture MoW Ministry of Water MSA Middle Stone Age NGO Non-Governmental Organisation NRW Non-Revenue Water NSDP National Strategic Development Plan OP Operational Policy (of the World Bank) PIU Programme Implementation Unit PPE Protective Personal equipment RAP Resettlement Action Plan TA Technical Advisor ToR Terms of Reference VAC Violence Against Children WASCO Water and Sewage Company WB World Bank WSIP Water Sector Improvement Project

EXECUTIVE SUMMARY Introduction

Ministry of Water in the Kingdom of Lesotho through the Lesotho Lowlands Water Supply Scheme Unit (LLWSSU) has designed the Lesotho Lowlands Water Supply Scheme to address the chronic shortage of potable water supply to the Lowlands area of the country and promote socioeconomic development to a design horizon of 2045. The implementation of the LLWSS program has been grouped into six packages, with two priority areas for the next phase of the program: Project Package 4 entailing Zones 6 and 7 (Mafeteng and Mohales’ Hoek) and Project Package 2 entailing Zones 2 and 3 (Leribe - Berea). The World Bank, through the Lowlands Water Development Project – Phase II (LWDP II), will finance investments in Zones 2 and 3 comprising a water intake, water treatment works, transmission mains, pumping stations, reservoirs, and distribution networks.

Because details of the Distribution Network Projects to be prepared will only be available after the implementation of the Consultancy Services Lowlands Water Supply Study, Review of Existing Designs and Procurement Documents, Detailed Designs, Tender Management & Construction Supervision Zones 2&3 Project; TA support of activities to strengthen sector institutions and support implementation of the LLWSS and planning for a comprehensive Sanitation Action Plan for Zones 2 and 3; WASCO investments which will focus on improved network monitoring through metering and pressure logging as well as Contingent Emergency Response Component (CERC) activities are also not yet well defined, an Environmental and Social Management Framework (ESMF) has been developed to ensure that studies carried out under the LWDP II to prepare the Distribution Network, TA, WASCO and CERC components of the Project which will subsequently be implemented under WB financing, address and identify measures to avoid and minimize environmental and social impacts, as much as possible, and where they cannot be avoided, the impacts are adequately identified/assessed and necessary mitigation measures designed and implemented following relevant Kingdom of Lesotho environmental and social legislation and the World Bank’s safeguards policies.

Purpose of the ESMF

guidance herein. However, the targets for investment under LWDP II i.e. Component 1 part for the distribution network, Component 2, Component 3 and Components 4 will not be determined until implementation. The purpose of this ESMF is to guide the implementing agencies – The Ministry of Water (MoW), Commissioner of Water (CoW), Lesotho Lowlands Water Supply Scheme Unit (LLWSSU), Water and Sewage Company (WASCO), Department of Rural Water Supply (DRWS) and Department of Water Affairs (DWA) - on the environmental and social screening and subsequent environmental and social assessment of subprojects and activities which will only be identified during project implementation. The procedures outlined in the ESMF serve to ensure that potential adverse environmental and social impacts that may be generated as a result of each Project Component are identified early, and appropriate safeguard instruments are prepared prior to implementation to avoid, minimize, mitigate and, in cases where there are residual impacts, offset or minimize adverse environmental and social impacts. The ESMF also contains guidance on safeguard policies that may be triggered by certain activities, such as an Environmental Assessment (EA, OP4.01). The ESMF will outline the requirements for the application of the various WB Safeguard Policies so that environmental and social safeguard instruments consistent with the WB and national requirements are produced. The ESMF outlines the environmental and social screening requirements to determine the project category, defines the potential environmental and social issues associated with specific sub-projects, and guides the preparation of the relevant safeguards instruments.

The ESMF therefore, covers the following components:

Component 1: Construction and rehabilitation of distribution networks in the Maputsoe and Hlotse towns and surrounding settlements; Component 2: Capacity Building, Institutional Strengthening and Project Management; Component 3: WASCO Performance Improvements; Component 4: Contingent Emergency Response Component.

Specific ESIA and ESMP have been prepared for water supply investments in Zones 2 and 3 under Component 1.

Therefore, the ESMF will:

Assess the potential adverse environmental and social impacts commonly associated with the project and the way to avoid, minimise or mitigate them;

• Establish clear procedures and methodologies for the environmental and social planning, review, approval and implementation of the project; • Develop an EA screening/initial assessment system to be used for the project; and • Specify the roles and responsibilities and the necessary reporting procedures for managing and monitoring the project environmental and social concerns.

Proposed Project

The project will focus on supporting water supply infrastructure investments to address the water security challenges in water demand zones of Zone 2&3 (Leribe & Berea) of the Lowlands, in particular Maputsoe, Hlotse and surrounding settlements above 2500 people, by increasing the availability, reliability, and access to water for Domestic and industrial purposes to support economic development and public health and improve the area’s resilience to climate change impacts such as 9

prolonged droughts. It will also support comprehensive sanitation planning for urban and rural areas, including identification and preparation of high priority investment plans for Maputsoe and Hlotse that could be implemented by GoL through a separate downstream operation to complement the water supply interventions and ensure environmentally sustainable management of resources.

In addition, the project will support a range of institutional improvements to support sector institutions to more effectively manage their respective policy, regulatory, and service delivery mandates, with a particular focus on improving Water and Sewage Company (WASCO)’s operational performance through implementation of a Change Management program and introduction of an output- rather than input-based performance improvement incentive system. Finally, the project includes a Contingent Emergency Response Component (CERC) to support mitigation of sector– related risks such as major droughts should they arise.

The Lowlands Water Development Project – Phase II (LWDP II) comprises of four components namely: Component 1: water supply Investment in Zone 2 and 3. Component 2: Capacity Building, Institutional Strengthening and Project Management Component 3: WASCO Performance Improvements Component 4: Contingent Emergency Response Component

Component 1. Water Supply Investments in Zones 2 and 3 (US$68.3 million, of which IDA financing is US$66 million)

This component will finance a program of activities designed to improve access to reliable domestic and industrial water supply services in Maputsoe and Hlotse towns and villages along the transmission pipeline route. The activities include (a) construction of the bulk water supply scheme which will abstract water from the Hlotse river and transfer it to the project towns; the system will include a river intake structure, source protection measures to protect the local environment and reduce the effects of flooding, a water treatment plant, transmission lines, reservoirs, and auxiliary facilities; (b) construction and rehabilitation of distribution water mains and networks in the Maputsoe and Hlotse towns and surrounding settlements, including installation of meters, household service connections, leakage reduction measures, and standpipes; and (c) consultancy for construction supervision and quality assurance of water supply infrastructure contracts, technical studies, and engineering designs.

Component 2. Capacity Building, Institutional Strengthening, and Project Management (US$13.4 million, of which IDA financing is US$6 million)

This component will finance a series of activities to strengthen sector institutions and support implementation of the LLWSS and planning for a comprehensive Sanitation Action Plan for Zones 2 and 3. These include TA, consultancy services, systems, and equipment to support three broad categories of activities:

(a) Project management, including support to the Project Implementation Unit (PIU); incremental operating costs; support for a panel of dam safety experts; support for safeguards (including any additional studies as needed) and preparation, implementation, and monitoring of site-specific environmental and social safeguards for the water distribution network; and support for project communications and citizen engagement activities

(b) Institutional strengthening support to other sector departments. This will include operational and policy support to Department of Rural Water Supply(DRWS), support on water quality monitoring to Department of Water (DWA), support on international experiences in bulk water supply agencies to Lesotho Bulk Water Supply Authority(LBWSA), miscellaneous studies and capacity building, including review of the tariff structure to assess, among others, the bulk water tariff to Commission of Water (CoW), technical data quality and auditing to Lesotho Electricity and Water Authority (LEWA), and improved oversight of project implementation support to Ministry of Development Planning (MoDP). (c) Strategic Sanitation Planning Technical Assistance (TA). This TA will support the GoL to develop a medium-term sanitation program, based on updated sector diagnostics and preparation of master plans for select urban locations, including but not limited to Maputsoe and Hlotse, in line with the Citywide Inclusive Sanitation approach. As part of the master planning process, initial sanitation assessments will be conducted and priority urban sanitation interventions identified for holistically addressing the sanitation situation at the various stages of the sanitation service chain in Lesotho through future operations. For the short to medium term, high-priority works, feasibility studies, detailed designs, safeguard assessments and plans and technical specifications for bidding documents will be prepared. The TA will also support the MoW in policy and institutional aspects relating to sanitation, including preparation of a National Sanitation Action Plan building upon the Water and Sanitation (WATSAN) policy and implementation strategies and update of the existing sanitation Master Plan. For rural sanitation, the TA will support preparation of sector diagnostics and detailed action plans for implementation of rural sanitation and hygiene promotion and identification of strategies for a more targeted and nutrition-sensitive WASH approach aimed at reducing child stunting in Lesotho. Finally, the TA will support the GoL in developing a comprehensive industrial wastewater management and regulation strategy and action plan engaging relevant stakeholders.

Component 3. WASCO Performance Improvements (US$3 million, of which IDA financing is US$3 million)

This component will finance a complementary mix of TA, investments, and financial incentives to improve the operational and financial performance and overall capacity of WASCO to deliver its mandate. The proposed TA includes hiring change management consultants to support WASCO senior management and its Board of Directors, asset valuations, and O&M planning for the project- financed infrastructure. Investments are focused on improved network monitoring through metering and pressure logging. Financial incentives comprise a series of DLIs that will incentivize WASCO to improve the quality of technical and financial data and deliver better performance.

Component 4. Contingent Emergency Response Component (CERC)

In the event of an Eligible Crisis or Emergency, this contingent component will provide immediate and effective response to said Eligible Crisis or Emergency, defined as “an event that has caused, or is likely to imminently cause a major adverse economic and/or social impact associated with natural or man-made crises or disasters.”1 The World Bank’s assistance may consist of immediate support in assessing the emergency’s impact and developing a recovery strategy or the restructuring of existing, or provision of new, Investment Project Financing. In all cases, the World Bank would adapt its rapid response in form and scope to the emergency’s particular circumstances and take into account the World Bank’s Country Partnership Strategy for the country.

Policy, Legal and Administrative Framework

The policy, legislation and institutional procedures of the Kingdom of Lesotho and those of the World Bank which are relevant to the project considered include:

• National environmental, labour, safety and health requirements; • International and regional requirements; and • World Bank operational Safeguards requirements.

The major national environmental, labour, safety and health requirements include:

• The Constitution of the Kingdom of Lesotho, 1993 • Environmental Act No. 10 of 2008 • Guidelines for Environment Impact Assessment in Lesotho (2010) • Water Act No. 15 of 2008 • Lesotho Water and Sanitation Policy (LWSP) (2007) • Long-term Water and Sanitation Strategy (2014) • Land Act No. 17 of 1979 • Local Government Act 1997 and Local Government Amendment Act 2004 • Historic Monuments, Relics, Fauna and Flora Act No. 41 of 1967 • National Heritage Resources Act No. 2 of 2012 • Roads Act No. 24 of 1969 • Road Traffic Act No. 8 of 1981 • Labour Code 1992 • Workmen’s Compensation Act, No.13 of 1977

The major international legislation and policy include:

• The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (1989) • United Nations Framework Convention on Climate Change (UNFCCC) (1992) • Convention on Biological Diversity (1992)

World Bank Operational Safeguards requirements include:

• OP 4.01 Environmental Assessment • OP 4.04 Natural Habitats • OP 4.11 Physical Cultural Resources • OP 4.12 Involuntary Resettlement • OP 4.37 Safety of Dams • OP 7.50 Project on International Water • World Bank Group Environmental Health and Safety Guidelines • WBG Industry Sector Guidelines for Water and Sanitation

LWDP II Area

This LDWP II area lies within the district of Leribe and includes communities adjacent to the bulk transmission system including Ha Setene, Khanyane, Hlotse, Tsikoane, and Maputsoe, served from proposed reservoirs Z2R2, Z2R3, Z2R4 Z2R5 and Z2R21 in addition to those which may be served from existing reservoirs, with 2045 population projection of around 191,060.

The Strategic Sanitation Planning Technical Assistance (TA) and Contingent Emergency Response Component (CERC) will apply to a total of 18 communities in Zone 2 & 3 (Leribe and Berea) which is a broader scope than that of the water supply distribution network. The covered settlements are:

Zone 2: Hlotse, Maputsoe, Hleoheng, Khanyane Nchee, Corn Exchange, Bela-Bela, Kolojane, Matlameng, Tsikoane, Mahobong, Tabola and Makhoa

Zone 3: Kolonyama, Peka, Makhaketsa, Mamathe and Mohlokaqala.

Potential Environmental and Social Impacts

The following major stakeholders were consulted for role identification and for potential environmental and social impacts likely to arise from the LWDP II implementation:

• Commissioner of Water (CoW) • Lesotho Lowlands Water Supply Scheme Unit (LLWSSU) • Department of Rural Water Supply (DRWS) • Department of Water Affairs (DWA) • Water and Sewage Company (WASCO) • Department of Environment (DoE) • Communities (Zone-2 & 3) • Local Authorities (District Councils and Community Councils) • NGOs • Stakeholders (Other Government departments) • Media

The impacts have been categorized in positive and negative impacts.

Positive Impacts

Some of the positive socio-economic impacts the study identified in the study area induced by implementation of the project included:

• Increase water supply and reduced water shortages; • Reduced water losses; • Increase employment opportunities for the local people; • Gain of time, especially for women and girls, that may be used for other, productive activities; • Creation of market for goods and services due to availability of water; • Increased industrial activities within the project area; • Increased tax revenue for the Government through payment of water; • Improved living and welfare standards of the project communities; • Improved sanitation planning & hygiene; • Increased economic development in the country; and • Sanitation Master plan • Collection of sewage in centralized systems (such as piped sewer collection networks) or decentralized systems (such as septic tanks subsequently serviced by pump trucks); and • Treatment of collected sewage at centralized facilities.

Negative impact

Some of the negative impacts the study identified in the study area induced by implementation of the project included:

• Solid waste • Water Pollution • Soil erosion and contamination • Loss of flora/flora • Public Safety • Air pollution • Raw Materials Usage • Occupational Health and Safety • Public Health • Nuisance and disturbance o of community life • Blasting and Vibrations • Traffic Disruption • Disturbance of topsoil • Exposure to asbestos

Negative impacts and their significance

Some major potential negative environmental and social issues/impacts arising from project activities at the construction, operation & maintains and decommissioning stages are listed in the table below.

Table Potential Negative Impacts from Water Supply and Sewage Network System and its significance Issue Potential Impact Environmental Significance

Laying of pipelines construction Solid waste • Waste from vegetation clearing and Minor construction activities Water Pollution • Sedimentation laden runoff from exposed areas Minor 14

mainly due to vegetation during construction; • Improper disposal of waste oils; Minor • Improper handling and disposal of sanitation Minor related waste; Soil erosion and contamination • Exposed land surfaces from cleared vegetation Moderate may be induce erosion from rain events; • Accidental spillage of fuel and lubricants Moderate • Destruction of flora and fauna habitat Minor Loss of flora/flora • Due to removal of vegetation of overburden Minor pipe routes Public Safety • Badly managed work activities Minor Air pollution • Dust emission from movement of heavy Moderate machinery and trucks Raw Materials Usage • quarries Minor Occupational Health and Safety • Hazards from handling heavy equipment, noise, Moderate ergonometric stress, lifting heavy materials etc. • Hazards from handling asbestos old pipes Moderate Public Health • Poor housekeeping leading stagnant water as Minor breeding grounds for insect vectors; • Exposure to Asbestos due to disposal of old AC Moderate pipes. Nuisance and disturbance o of • Visual intrusion by heavy trucks and equipment; Minor community life • Disruption of social activities; Minor • Relocation of temporary structures- Kiosks etc; Minor • Livelihood loss Minor Traffic Disruption • Traffic congestion and delays due to digging of Moderate roads, pedestrian side walks Disturbance of topsoil • Created by earthmoving works and poor Moderate storage and handling Pipelines Operations and Maintenance Public nuisance and health risks • Public health risks may arise from system failure Moderate for example, from pipe ruptures and pressure differences may lead to contamination of supply; • Poor post-source water handling leading to Moderate contamination

Occupational Health and Safety • Hazards from handling equipment, lifting heavy Moderate materials etc. • Exposure to asbestos Moderate Pipelines Decommissioning Water Pollution Improper disposal of spoils, waste oil etc. Moderate Air Pollution Movement of heavy truck and machinery Minor Solid waste disposal Damaged and old pipeline removed from the Minor ground to be suitably disposed Occupational health and safety Workers exposed to noise, lifting of heavy materials Moderate etc. Public Health and safety • Movement of heavy trucks and equipment, Moderate traffic safety; • Exposure to asbestos fibres Moderate

Table Potential Impacts from Provision of Household or institutional Latrines and its significance

Issue Potential Impact Environmental Significance Latrine construction Air pollution • Handling of Cement and other dusty materials Minor Solid waste • Waste from vegetation clearing and Minor construction activities Water Pollution • Sedimentation laden runoff from exposed areas Minor mainly due to vegetation during construction; • Improper disposal of waste oils; Minor • Improper handling and disposal of sanitation Minor related waste; Soil erosion and contamination • Exposed land surfaces from cleared vegetation Moderate may be induce erosion from rain events; • Accidental spillage of fuel and lubricants Moderate • Destruction of flora and fauna habitat Minor Loss of flora/flora • Due to removal of vegetation of overburden Minor pipe routes Public Safety • Badly managed work activities Minor Air pollution • Dust emission from movement of heavy Moderate machinery and trucks Raw Materials Usage • quarries Minor Public Health • Poor housekeeping leading stagnant water as Minor breeding grounds for insect vectors; • Exposure to asbestos due to disposal of old AC Moderate pipes Nuisance and disturbance o of • Visual intrusion by heavy trucks and equipment; Minor community life • Disruption of social (or school) activities Minor Disturbance of topsoil • Created by earthmoving works and poor Moderate storage and handling Land use • Conflicts with incompatible activities and land Moderate uses e.g. Water points Latrine Operations and Maintenance Water pollution • Depth of pit within or close to local water table Major will expose groundwater to faecal contamination. This may be exceptional but serious Public nuisance and health risks • Public health risks may arise from system failure Moderate for example, from excessive visits, and high sludge build up requiring removal and disposal

Occupational Health and Safety • Hazards from handling equipment, lifting heavy Moderate materials etc. Latrine Decommissioning Water Pollution Groundwater is vulnerable to pollution from – Moderate backfill material Air Pollution Movement of heavy truck and machinery Minor Solid waste disposal Spoils (e.g. concrete) to be suitably disposed of Minor Occupational health and safety Workers exposed to noise, odour, lifting of heavy Moderate materials, risk of infection etc. Public Health and safety Movement of heavy trucks and equipment, traffic Moderate safety

Component 2 Capacity Building, Institutional Strengthening and Project Management Sanitation which entails Technical Assistance (TA), will support the GoL to develop a medium-term sanitation program, based on updated sector diagnostics and preparation of master plans for select urban locations, including but not limited to Maputsoe and Hlotse, in line with the Citywide Inclusive Sanitation approach. It is anticipated that Sanitation Investments in rural situations will be in hygiene behaviour education including construction of pit latrines. While, in urban centres expansion and rehabilitation of existing sewage networks is anticipated.

Environmental and Social Mitigation Principles

The ESMF considered a number of mitigation and enhancement measures and also principles for implementation to ensure that LWDP II become socially acceptable, environmentally sound and sustainable.

Environmental and Social Monitoring

The arrangements for monitoring the ESMF activities will fit the overall monitoring program of the entire LWDP II, which will fall under the overall responsibility of the PIU and LLWSSU. Periodic evaluations will be conducted to determine whether the monitoring and mitigation measures proposed in the ESMP for the project are being implemented by the project implementing agencies.

Capacity Building and Training for ESMF

LLWSSU will have the overall responsibility to implement, monitor and report on the implementation of this ESMF. LLWSSU staff are familiar with both the national requirements and World Bank requirements for environmental and social safeguards. LLWSSU prepared the ESMF, demonstrating commitment and ownership of the necessary measures for mitigation. Although LLWSSU has some experience in implementation of safeguards instruments, the capacity to manage social risk at the scale of this project is still insufficient. Thus, the project will support the recruitment of a social development/safeguard’s specialist into the PIU in LWDP II to implement and monitor the mitigation measures described in the various safeguards’ instruments.

ESMF IMPLEMENTATION BUDGET

The awareness creation, capacity improvement and training workshops will be organised for selected officers involved in the implementation of LWDP II project, mainly:

• CoW officers • LLWSSU Officers • WASCO Employees • DRWS Employees

Table Estimations of ESMF Budget

subprojects and activities under components 1,2,3 &4. 3. Monitoring and evaluation of Once- 10,000.00 ESMP implementation Off 4. Implementation of grievance Once- 30,000.00 redress mechanism Off 5. PIU Environment and Social Once- 315,000.00 Safeguards staff Off 6. Training and capacity Once- 50,000.00 building Off SUB TOTAL 720,000.00 Add 20% contingency 144,000.00

1.0 Introduction

1.1 Background

The Lesotho Lowlands Bulk Water Supply Scheme (LLBWSS) was designed to address the chronic shortage of potable water supply to the Lowlands area of the country and promote socioeconomic development to a design horizon of 2045. The original designs, which focused on bulk infrastructure only, were prepared with assistance from the European Union (EU) in 2008. Under the LLBWSS, the Lowlands area of Lesotho was divided into eight distinct zones covering all clusters of settlements with inhabitants of more than 2,500 persons. Accordingly, it covers urban, peri-urban, and rural areas. The original designs were completed in 2008. The first phase of investments constructed under the scheme comprised the multi-donor funded Metolong Dam and Water Supply Project (MDWSP), which covered Zones 4 and 5. With funding from WSIP APL2, the GoL, with the assistance of a consultant, has updated the designs of the bulk water infrastructure for the remaining zones of the scheme based on a revised design horizon to year 2045 (from 2035 used in 2008). The updated designs incorporate changes that have taken place in the target areas since 2008. The scope of work for the design update covered only the bulk water infrastructure, including the water intake, treatment plant, transmission pipeline, and associated infrastructure and did not include detailed design and tender documentation for the distribution systems.

Based on the updated designs, implementation of the LLBWSS program has been grouped into six packages, with two prioritized for the next phase of the program: Project Package 4 entailing Zones 6 and 7 (Mafeteng and Mohales’ Hoek) and Project Package 2 entailing Zones 2 and 3 (Leribe - Berea). The World Bank, through the current project, will finance investments in Zones 2 and 3 comprising a water intake, water treatment works, transmission mains, pumping stations, reservoirs, and distribution networks. The EU and European Investment Bank (EIB) will finance Zones 6 and 7.

1.2 Broader water resources context

The LLBWSS for Zones 2 and 3 is to be implemented in two phases, with Phase I going to 2030 and Phase II going to 2045. The current project will finance only Phase I. Most of the schemes planned for Phase I will draw water from river sources. The target project area (Zones 2 and 3), will draw water from Hlotse river and will also benefit from releases from the LHDA dam network (Katse Dam) and an estimated 0.4 m3 per second is feasible during the dry seasons under the current Treaty.

Figure 1. Map of Lesotho Showing Distribution of Water Demand Zones

Figure 1: Extent of Lesotho Lowlands Bulk Water Supply Scheme (LLBWSS) Infrastructure (Zones 3 & 3)

LWDP II

1.3 Description of the LWDP II – (in particular zones 2&3)

1.3.1 Background on the LWDP II

The Government is exploring financing options for the next phase of LLWSS, initially comprising four additional zones namely 2, 3, 6, and 7, and has received confirmation of potential funding from the European Union (EU) and European Investment Bank (EIB). The GoL’s decision to prioritize investments in Zones 2 and 3 (Leribe and Berea), Zone 6 (Mafeteng), and Zone 7 (Mohale’s Hoek)

was based on the level of unmet water demand, the severe impact of droughts, and the relatively positive impact on livelihoods and economic activity. The World Bank, in view of financing limitations, further prioritized focusing on investments in part Zones 2 and 3 based on their alignment with the World Bank’s Country Partnership Strategy to support Water for Growth. Thus, the World Bank will finance the proposed Lowlands Water Development Project Phase II (LWDP II), covering these parts of these two priority zones, while the EU and EIB will finance investments in zones (Zones 6 and 7) based around Mafeteng and Mohales Hoek and the surrounding areas, based on the potential to address the severe impact of droughts in those areas.

Figure 3: Diagrammatic presentation of LWDP II Funded by World Bank for Zones 2 & 3

1.3.2 LDWP II Development Objectives and Approach

The proposed development objectives are to (i) increase availability of bulk potable water in two priority zones; (ii) increase access to improved water supply services in two priority zones; and (iii) improve operational performance of WASCO.

Achievement of the Project Development Objective (PDO) will be measured through the following indicators: • Increased bulk water availability by an additional 25,000 (cubic meters/day) in priority water zones • People provided with access to improved water sources (number, of which female, percentage) (corporate indicator) • People with existing connections benefitting from improved services • WASCO achievement of annual performance improvement targets

1.3.3 LWDP II Components

development and public health and improve the area’s resilience to climate change impacts such as prolonged droughts. It will also support comprehensive sanitation planning for urban and rural areas, including identification and preparation of high priority investment plans for Maputsoe and Hlotse that could be implemented by GoL through a separate downstream operation to complement the water supply interventions and ensure environmentally sustainable management of resources.

Component 1. Water Supply Investments in Zones 2 and 3 (US$68.3 million, of which IDA financing is US$66 million)

Component 2. Capacity Building, Institutional Strengthening, and Project Management (US$13.4 million, of which IDA financing is US$6 million)

This component will finance a series of activities to strengthen sector institutions and support implementation of the LLWSS and planning for a comprehensive Sanitation Action Plan for the entire Zones 2 and 3. These include TA, consultancy services, systems, and equipment to support three broad categories of activities:

(d) Project management, including support to the Project Implementation Unit (PIU); incremental operating costs; support for a panel of dam safety experts; support for safeguards (including any additional studies as needed) and preparation, implementation, and monitoring of site-specific environmental and social safeguards for the water distribution network; and support for project communications and citizen engagement activities

(e) Institutional strengthening support to other sector departments. This will include operational and policy support to Department of Rural Water Supply(DRWS), support on water quality monitoring to Department of Water (DWA), support on international experiences in bulk water supply agencies to Lesotho Bulk Water Supply Authority(LBWSA), miscellaneous studies and capacity building, including review of the tariff structure to assess, among others, the bulk water tariff to Commission of Water (CoW), technical data quality and auditing to Lesotho Electricity and Water Authority (LEWA), and improved oversight of project implementation support to Ministry of Development Planning (MoDP). (f) Strategic Sanitation Planning Technical Assistance (TA). This TA will support the GoL to develop a medium-term sanitation program, based on updated sector diagnostics and preparation of master plans for select urban locations, including but not limited to Maputsoe and Hlotse, in line with the Citywide Inclusive Sanitation approach. As part of the master planning process, initial sanitation assessments will be conducted and priority urban sanitation interventions identified for holistically addressing the sanitation situation at the various stages of the sanitation service chain in Lesotho through future operations. For the short to medium term, high-priority works, feasibility studies, detailed designs, safeguard assessments and plans and technical specifications for bidding documents will be prepared. The TA will also support the MoW in policy and institutional aspects relating to sanitation, including preparation of a National Sanitation Action Plan building upon the Water and Sanitation (WATSAN) policy and implementation strategies and update of the existing sanitation Master Plan. For rural sanitation, the TA will support preparation of sector diagnostics and detailed action plans for implementation of rural sanitation and hygiene promotion and identification of strategies for a more targeted and nutrition-sensitive WASH approach aimed at reducing child stunting in Lesotho. Finally, the TA will support the GoL in developing a comprehensive industrial wastewater management and regulation strategy and action plan engaging relevant stakeholders.

Component 3. WASCO Performance Improvements (US$3 million, of which IDA financing is US$3 million)

Component 4. Contingent Emergency Response Component (CERC)

In the event of an Eligible Crisis or Emergency, this contingent component will provide immediate and effective response to said Eligible Crisis or Emergency, defined as “an event that has caused, or is likely to imminently cause a major adverse economic and/or social impact associated with natural or man-made crises or disasters.”2 The World Bank’s assistance may consist of immediate support in assessing the emergency’s impact and developing a recovery strategy or the restructuring of existing, or provision of new, Investment Project Financing. In all cases, the World Bank would adapt its rapid response in form and scope to the emergency’s particular circumstances and take into account the World Bank’s Country Partnership Strategy for the country.

1.4 LWDP II Areas

The project areas and communities to be serviced under the water supply distribution network under component 1 includes Zones 2 (Part) and 3 and include a mixture of urban, peri-urban and rural settlements and includes supply to all domestic, commercial, institutional and industrial customers within those areas.

This project area lies within the district of Leribe and includes communities adjacent to the bulk transmission system including Ha Setene, Khanyane, Hlotse, Tsikoane, and Maputsoe, served from proposed reservoirs Z2R2, Z2R3, Z2R4 Z2R5 and Z2R21 in addition to those which may be served from existing reservoirs, with 2045 population projection of around 191,060.

Component 2 Capacity Building, Institutional Strengthening, and Project Management which includes the Strategic Sanitation Planning Technical Assistance (TA); Component 3 entailing WASCO Performance Improvements and component 4 on Contingent Emergency Response Component (CERC) will apply to a total of 18 communities in Zone 2 & 3 (Leribe and Berea) which is a broader scope than that of the water supply distribution network (Component 1). The covered settlements are:

Zone 2: Hlotse, Maputsoe, Hleoheng, Khanyane Nchee, Corn Exchange, Bela-Bela, Kolojane, Matlameng, Tsikoane, Mahobong, Tabola and Makhoa

Zone 3: Kolonyama, Peka, Makhaketsa, Mamathe and Mohlokaqala.

Figure 4: Zones 2 Settlements

2 Eligible emergency is defined in OP 8.00, ‘Rapid Response to Crises and Emergencies’. 24

Figure 5: Zones 3 Settlements

1.5 Environmental and Social Management Framework (ESMF)

Component 1: water supply Investment in Zone 2 and 3

New construction and upgrading of existing distribution networks will trigger the World Bank OP.4.01 on environmental assessment. Because details of the Distribution Network Projects to be prepared will only be available after the implementation of the Consultancy Services Lowlands Water Supply Study, Review of Existing Designs and Procurement Documents, Detailed Designs, Tender Management & Construction Supervision Zones 2&3 Project, an Environmental and Social Management Framework (ESMF) has been developed to ensure that studies carried out under the LWDP Phase II to prepare the distribution Network Project, which will subsequently be implemented under WB financing, address and identify measures to avoid and minimize environmental and social impacts, as much as possible, and where they cannot be avoided, the impacts are adequately identified/assessed and necessary mitigation measures designed and implemented following relevant kingdom of Lesotho environmental and social legislation and the World Bank’s safeguards policies.

Component 2: Capacity Building, Institutional Strengthening and Project Management

Under the technical assistance sub-component, diagnostics of the existing situation as well as feasibility studies, detailed designs, and technical specifications for bidding documents will be prepared for high priority sanitation investments in the project areas. The scope of works for this high priority sanitation investments is yet to be defined therefore the ESMF will ensure that once the scope of works has been defined, subproject specific ESIAs, ESMPs and RAPs will be prepared for these identified high priority sanitation investments in parallel with the detailed design preparation.

Component 3: WASCO Performance Improvements

This component will finance three Disbursement Linked Indicators (DLIs) that will incentivize WASCO to deliver improved technical and financial performance against annual targets set by the regulator (LEWA). WASCO may use some of the incentive payments for eligible expenditures towards the mentioned improvements. Specific investments have not been identified upfront but will be identified during implementation. Eligible expenses are expected to cover goods, works and services. This ESMF will help WASCO to screen sub-projects, identify potential environmental impacts and monitor implementation of mitigation measures. Through its existing Environmental Unit and with support from the PIU, WASCO has the capacity to ensure compliance to environmental and social safeguards requirements.

Component 4: Contingent Emergency Response Component (CERC)

The specific activities to be financed by the funds reallocated to CERC are event and demand driven. Annex 4 of the ESMF describes additional information on the environment and social safeguard (ESS) requirements for the implementation of activities under Component 4 which can be identified and selected to provide short-term bridge financing exclusively for the immediate recovery needs related to an eligible emergency consistent with CERC’s purpose. The guidance and procedures included in this CERC ESMF should be considered in the Emergency Response Manual (ERM) that will be prepared during the project implementation, and will contain the environmental and social

requirements, if the CERC is activated. The guidelines and procedures included in this ESMF CERC Annex 4 considers the Bank’s safeguard requirement for the CERC.

1.6 Purpose of the ESMF

This ESMF has been prepared as the specific locations and detailed information about the water distribution network; the technical assistance sub-component which entails diagnostics of the existing situation as well as feasibility studies, detailed designs, and technical specifications for bidding documents which will be prepared for high priority sanitation investments in the project areas; a range of institutional improvements to support sector institutions to more effectively manage their respective policy, regulatory, and service delivery mandates, with a particular focus on improving Water and Sewage Company (WASCO)’s operational performance through implementation of a Change Management program and introduction of an output- rather than input-based performance improvement incentive system; and a Contingent Emergency Response Component (CERC) to support mitigation of sector–related risks such as major droughts should they arise are not yet known and defined. An initial investment project has been identified under Component 1 - (a) construction of the bulk water supply scheme which will abstract water from the Hlotse river and transfer it to the project towns; the system will include a river intake structure, source protection measures to protect the local environment and reduce the effects of flooding, a water treatment plant, transmission lines, reservoirs, and auxiliary facilities – for which an Environmental and Social Impact Assessment (ESIA) has been prepared in accordance with the guidance herein. However, the targets for investment under LWDP II i.e. Component 1 part for the distribution network, Component 2, Component 3 and Components 4 will not be determined until implementation. The purpose of this ESMF is to guide the implementing agencies – The Ministry of Water (MoW), Commissioner of Water (CoW), Lesotho Lowlands Water Supply Scheme Unit (LLWSSU), Water and Sewage Company (WASCO), Department of Rural Water Supply (DRWS) and Department of Water Affairs (DWA) - on the environmental and social screening and subsequent environmental and social assessment of subprojects during project implementation. The procedures outlined in the ESMF serve to ensure that potential adverse environmental and social impacts that may be generated as a result of each Project Component are identified early, and appropriate safeguard instruments are prepared prior to implementation to avoid, minimize, mitigate and, in cases where there are residual impacts, offset or minimize adverse environmental and social impacts. The ESMF also contains guidance on safeguard instruments that may be triggered by certain activities, such as an Environmental Assessment (EA, OP4.01). The ESMF will outline the requirements for the application of the various WB Safeguard Policies so that environmental and social safeguard instruments consistent with the WB and national requirements are produced. The ESMF outlines the environmental and social screening requirements to determine the project category, defines the potential environmental and social issues associated with specific sub-projects, and guides the preparation of the relevant safeguards’ instruments.

The ESMF will therefore:

• Assess the potential adverse environmental and social impacts commonly associated with the project and the way to avoid, minimise or mitigate them; • Establish clear procedures and methodologies for the environmental and social planning, review, approval and implementation of the project; • Develop an EA screening/initial assessment system to be used for the project; • Specify measures for managing, mitigating and monitoring environmental impacts during project implementation • Specify the roles and responsibilities and the necessary reporting procedures for managing and monitoring the project environmental and social concerns.

1.7Approach for the preparation of the ESMF

The ESMF has been prepared in accordance with the applicable World Bank safeguards policies, Environmental Act No. 10 of 2008 and Guidelines for Environment Impact Assessment in Lesotho (2010) which involves the following activities:

• Stakeholders Engagement • Data collection and analysis, consisting of: o literature reviews; o Environmental and Social screening; o Determination of potential impacts; o Identification of impacts mitigation measures. • Review of comments from stakeholders; • Preparation and submission of the Report

2.0. POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK

The Kingdom of Lesotho has, over the past years, developed several policies, legal and administrative framework to guide environmentally sustainable development in various sectors of the economy. The aim of adopting these policies and legal and administrative framework is to promote and consolidate sustainable socio-economic development in the country through mainstreaming of environmental and social considerations in the project planning and implementation.

As this will be a World Bank donor funded project, all environmental and social assessments were carried out in accordance with the Lesotho legislative requirements as well as the International Best Practice (IBP), including World Bank safeguards operational policies and procedures and EHS Guidelines.

The following polices, standards and legislation provide framework within which the environmental and social aspects of the proposed project will be managed:

2.1 National Legislative Framework

The Kingdom of Lesotho legislation which directly or indirectly addresses environmental issues and management of natural resources include the following:

2.1.1The Constitution of the Kingdom of Lesotho, 1993

The constitution is the supreme law of the country. It also provides an overarching environmental legislative framework for environmental management. Section 36 of the Constitution particularly addresses the need for environmental protection. It states that” Lesotho shall adopt policies designed to protect and enhance the natural and cultural environment of Lesotho for the benefit of both present and future generations and shall endeavour to assure to all citizens a sound and safe environment adequate for their health and well-being”.

Furthermore Section 17 stipulates that no property (movable or immovable) shall be compulsory acquired without paying any compensation to the entitled individual.

2.1.2 Environmental Act No. 10 of 2008

The Environmental Act is the principal underlying framework for environmental legislation or matters concerning the environment in Lesotho. It makes provision for protection and management of the environment and conservation and sustainable utilisation of the country’s natural resources.

Section 4 stipulates that “Every person living in Lesotho has a duty to safeguard and enhance the environment including the duty to inform the Director of all activities and phenomena that may affect the environment significantly”

Section 25 further stipulates that no activity listed in the First Schedule may be undertaken without an Environment Impact Assessment (EIA) licence issued by the Director. The categories of project and/or activities for which an EIA is required are outlined in Section 19.

2.1.2.1 Guidelines for Environment Impact Assessment in Lesotho (2010)

Facilitates compliance with the Lesotho’s EIA process requirements by providing a step by step guide of how to carry out an EIA process. This guideline was thus used as a framework for compiling this ESMF Report.

2.1.3 Water Act No. 15 of 2008

The Water Act provides for the ownership of all water resources to be vested in the Basotho nation and held in trust by the King. It also makes provision for the management, protection, conservation, development, and sustainable use of the Lesotho’s water resources. It further makes provision for different types of water use permits and the manner of obtaining them.

3.1.3.1 Lesotho Water and Sanitation Policy (LWSP) (2007)

LWSP is based on the international best practices in the Agenda 21, the Dublin Principles, the Helsinki Rules, Johannesburg Plan of Implementation and the guidelines from the Global Water Partnership. The objectives of the policy are to promote3:

(1) The proper management of the country’s water resources and its sustainable utilization; (2) Adequate and sustainable supply of potable water and sanitation services to all of the population of Lesotho; (3) Co-ordination and coherence in the management and development of water and other related natural resources, in order to maximise the resultant socio-economic benefits without compromising the sustainability of vital ecosystems; and (4) Harmonisation of processes and procedures followed by different development partners and other stakeholders in order to optimise available internal and external resources as well as ensure timely implementation of sector programmes.

2.1.3.2 Long-term Water and Sanitation Strategy (2014)

This Strategy is intended to provide direction and guide the water sector activities in the period from April 2014 to March 2020. It also contributes to achieving the National Strategic Development Plan (NSDP) and addresses the objectives of the LWSP4.

2.1.4 Land Act No. 17 of 1979

Land and water in Lesotho are governed by several pieces of legislation, and the Land Act is one of them. The provisions of the Act vests ownership of all land in Lesotho on behalf of the Basotho nation. It is also the principal legislation governing land ownership, occupation, and the acquisition of property for public and development purposes.

3 Ministry of Natural Resources, 2007 4 Ministry of Energy, Meteorology and Water Affairs, 2014 30

According to Section 50, water supply is one of the key developments that constitute circumstances under which land may be expropriated for public purposes. Furthermore, Sections 56- 60 of the Land Act particularly addresses compensation of land and/or property.

2.1.5 Local Government Act 1997 and Local Government Amendment Act 2004

The Local Government Act No. 6 of 1997 provides for the establishment of local authorities. Section 5 deals with the functions of the local authorities which as contained in the First Schedule, list the relevant environmental protection considerations as follows: ➢ Control of natural resources and environmental protection

➢ Public health pertaining to refuse collection and disposal.

The Local Government Amendment Act 2004 replaced the Rural Councils with District Councils and made a concession regarding the inclusion of Chiefs into the district management system.

2.1.6 Historic Monuments, Relics, Fauna and Flora Act No. 41 of 1967

This Act provides for the protection of man-made cultural sites and artefacts, as well as flora and fauna. Section 9 (2) of the Act states that “no person shall, without the written consent of the commission destroy or damage any monument or relic or make any alteration thereto or remove it from its original site or export it from Lesotho”. Section 10 also states that no fauna or flora may be destroyed, damaged or removed from original site or habitat without a written consent from the commission. There are 16 groups of fauna and 11 groups of flora listed as protected species of which some are likely to occur in the project area. Failure to comply with the any provision of Section 9 or 10 could result in fine and/or imprisonment.

2.1.7 National Heritage Resources Act No. 2 of 2012

This Act provides for the protection of man-made cultural sites and artefacts, as well as flora and fauna. Section 9 (2) of the Act states that “no person shall, without the written consent of the commission destroy or damage any monument or relic or make any alteration thereto or remove it from its original site or export it from Lesotho”. Section 10 also states that no fauna or flora may be destroyed, damaged or removed from original site or habitat without a written consent from the commission. Failure to comply with the any provision of Section 9 or 10 could result in fine and/or imprisonment.

2.1.8 Roads Act No. 24 of 1969

The Act provides for locating, constructing, opening, maintaining, protecting, deviating, working and closing of roads.

2.1.9 Road Traffic Act No. 8 of 1981

This Act regulates and controls the use of a public road and road traffic. The Act also stipulates that traffic signs may not be displayed on public roads without authorisation from the Minister.

2.1.10 Labour Code 1992

According to the Labour Code Order No. 24 of 1992 of the Kingdom of Lesotho, every Mosotho has a right to get employment anywhere in the country. However, to avoid the nuisance caused by job seekers who camp outside construction areas it is advised that casual labour be recruited through the Community Council System that already exist within communities. The Labour Code Order No.24 of 1992 therefore makes provision for various conditions for labour employment.

➢ Part IV covers wages fixing ➢ Part V covers contracts, termination and dismissals ➢ Part VI makes provision for health, safety and welfare at work ➢ Part VII makes provision for weekly rest, hours of work, holidays with pay, educational leave and sick leave ➢ Part IX covers employment of women, young persons and children. ➢ Part X deals with labour agents ➢ Part XI covers foreign services ➢ Part XII makes provision for trade unions organizations-establishment and registration ➢ Part XIV deals with trade unions and employers’ organizations.

The Labour Code (Amendment) Act, 2006 provides a basis for conduct with regard to HIV/AIDS at work place. Section 235 E, subsection 1 states that an employer shall not discriminate an employee on the basis of his or her HIV and AIDS status.

There are no policy guidelines that stipulate the priorities of the local communities’ vis-á-vis outsiders in employment in the construction of industrial estates projects. Common practice might suggest the local be given first preference. Efficiency considerations might dictate that qualifications and skills be used, thereby increasing the chances of employment of outsiders who qualify and of potential conflicts over employment with the locals.

2.1.11Workmen’s Compensation Act, No.13 of 1977

This Act stipulates the procedures to be followed in the case of accidents, disease, injury or death of a workman as a result of performing an employment-related duty. The act sets out the amounts of compensation to be paid for different kinds of injuries or maladies and also takes into account compensation for loss of productive capacity of a workman. It clearly defines the conditions under which compensation is appropriate, which workers are covered for compensation under the Act, the circumstances under which employers are liable for compensation, states the requirement for the formation of a worker’s compensation board and specifies the required constituent parts of such a board

Compensation is paid where the workman dies from work related injury or when a workman never fully recovers from the injury or sickness. Again, when workman’s incapacity reduces his earnings capacity in any employment which he is capable of undertaking e.g. when a workman loses a finger and finally temporary incapacity where by the workman recovers from accident or sickness.

In cases where by a workman dies from work related injury, the employer is to pay an amount not exceeding M72, 000.00 if the dependents wholly depend on the workman’s earnings and also pays for the burial expenses not exceeding M5, 000.00.

2.1.12 Sanitary Services and Refuse Removal Regulations of 1972

These regulations prohibit littering of filth, human excrement, rubbish, refuse, manure or other offensive matter to the extent that such littering is a nuisance to others or injurious or dangerous to health. Occupation of places not provided with proper and sufficient sanitary conveniences, depositing or storage of any disused vehicles or machinery are also prohibited. The regulations place duties on occupiers or owners of land to keep and maintain them in clean conditions and free from debris, rubbish, scrap, metal lumber or any vegetable growth which is likely to become a public nuisance or cause annoyance to the neighbours.

2.1.13 Licenses Required

Table 2: Potential environmental permits and/or licences to be applied for Project implementation

Act/ Regulations Permit/ Implementing Relevance to the project Licence agent

Section 19 of Environmental Department of In terms of Section 19 of Environment Act of Environment Act of Impact Environment 2008 a development with activities listed 2008 Assessment under Part A of the First Schedule require an Licence ESIA or project brief to be undertaken.

Section 47 of the Noise permit Department of Noise permit may be required if the Environment Act Environment construction noise levels (i.e. blasting activities) is in excess of the noise emission standards.

Section 76 of the Waste licence Department of Contractor may require a licence to store and Environment Act Environment handle transport hazardous waste.

Sections 65–67 of Consent Department of Will be relevant to the removal of the Environment Environment endangered or protected plants if any found Act on sites to be cleared for construction.

National Heritage Consent Ministry of Tourism, Permission / consent is required for any Resources Act, Environment and destruction or damage to any historical 2011 Culture monuments.

Roads Act No. 24 of Permit Ministry of Public Permit will be required where the 1969 Works and operational servitude of the pipeline will be Transport constructed along the road servitude as well as construction servitude overlapping with road servitude as proposed.

2.1.14 Other

Although most environmental issues are fully or partially governed by several pieces of legislation in Lesotho, some environmental and social aspects particularly relevant to the project do not have a legislative framework under which they are governed. In such instances where there is no governing system or legislation, the international best practice guidelines/ standards would be applicable as this is a World Bank funded project. The environment/ social aspects which are not clearly regulated but relevant to the project are outlined below:

◼ Air Quality: Lesotho has no specific air quality Act. Numerous health or nuisance issues related to fumes are contained in orders and other Acts such as the Local Administration Act No. 13 of 1969. All these are generally aiming to regulate release of fumes, smoke or industrial gases which are likely to have human health impacts.

◼ Public health: There is no all-embracing public health act in Lesotho. Many regulations and orders contain sections pertaining to public health for specific sectors. Some of project activities may take place outside of the project boundaries, thus expose the public to health hazards.

2.2 Regional and International Treaties and/or Agreements and Protocols

Lesotho is a signatory to several internationally acceptable policies, conventions, treaties and protocols to augment the national legislation. The following have relevance to the project:

◼ The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (1989) One of the underlying principles of the Convention is that “States should take necessary measures to ensure that the management of hazardous wastes and other wastes including their trans-boundary movement and disposal is consistent with the protection of human health and the environment whatever the place of disposal”. The Convention places obligations on member States to minimise and control the generation and movement of hazardous wastes between states. It also provides a list of waste which is subject to trans-boundary movement and classified as hazardous wastes including: waste mineral oils unfit for their originally intended use; waste oils/water, hydrocarbons/water mixtures, emulsions.

◼ United Nations Framework Convention on Climate Change (UNFCCC) (1992) The objective of the UNFCCC is to stabilise greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference with the climate system. The parties to the Convention agree to “promote sustainable management, and promote and cooperate in the conservation and enhancement, as appropriate, of sinks and reservoirs of all greenhouse gases not controlled by the Montreal Protocol, including biomass, forests and oceans as well as other terrestrial, coastal and marine ecosystems5.

◼ Convention on Biological Diversity (1992) The objectives of this Convention are to conserve biological diversity, the sustainable use of its components and ensure reasonable sharing of the benefits arising out of the utilisation of genetic resources. The Convention also requires States to develop and maintain necessary legislation for the protection of threatened species and adopt appropriate measures for the recovery and rehabilitation of threatened species. Table 1 International and Regional Agreements

INTERNATIONAL

Convention Concerning the Protection of the World Cultural and Natural Heritage (1972) Convention on the Elimination of all Forms of Discrimination Against Women (CEDAW) (1987)

5 United Nations, 1992a 34

Convention on the Rights of the Child (CRC) (1989) Vienna Declaration and Programme of Action: Vienna Conference on Human Rights (1993) International Covenant on Economics, Social and Cultural Rights (1993) Montreal Protocol (1989) Convention on the Rights of Persons with Disabilities (2006) Convention for the Safeguarding of the Intangible Cultural Heritage (2008) Stockholm Convention on Persistent Organic Pollutants (2004) World Bank Operational Policies Asbestos Convection (C162) 1986 REGIONAL African Charter on Human and People’s Rights (1986) African Charter on the Rights and Welfare of the Child (1990) Protocol to the African Charter on Human and People’s rights of Women in Africa (1995) Southern African Development Community (SADC) Protocol on Shared Watercourse Systems (1995) and Revised Protocol on Shared Watercourses (2000) SADC Declaration on Gender and Development (1997) SADC Protocol on Gender and Development (2008)

2.3 World Bank Environmental and Social Safeguards

The proposed project is being developed with the support of the World Bank. In developing this ESMF all environmental and social assessments to be carried out under this assignment shall be in accordance with World Bank Safeguards Operational Policies and Procedures and national legislation.

The operations of the World Bank (WB) are guided by a comprehensive set of policies and procedures, dealing with the Bank’s development objectives and goals, the instruments for pursuing them, and specific requirements for Bank-financed operations. The core of this guidance lies in the Bank’s OPs, which are critical to ensuring that potentially adverse environmental/social consequences are identified, minimised and mitigated so as to prevent “undue harm to people and their environment in the development process”. Those relevant to the project that will be taken into consideration are:

▪ OP 4.01 Environmental Assessment: “to help ensure the environmental and social soundness and sustainability of investment projects”.

This OP applies because the works for the project will have environmental and social implications. Therefore, an environmental assessment must be conducted to determine the scope of such impacts and an Environmental and Social Management Framework (ESMF) is developed to screen impacts and to avoid, manage and mitigate those impacts. An ESMF has been developed since the actual scope of works is not yet known.

▪ OP 4.04 Natural Habitats: “to promote environmentally sustainable development by supporting the protection, conservation, maintenance, and rehabilitation of natural habitats and their functions”.

This OP applies because trenching activities associated with rehabilitation/expansion of the water distribution may have impacts on natural habitats.

▪ OP 4.11 Physical Cultural Resources: “to assist in preserving physical cultural resources and avoiding their destruction or damage, including resources of archaeological, historical,

architectural, religious (including graveyards and burial sites), aesthetic, or other cultural significance”.

This OP applies because project activities may have impacts on physical cultural resources. Although, the project area is already impacted by the laying of existing water pipelines, road network and residential areas, chance finds are still possible.

▪ OP 4.12 Involuntary Resettlement: it is not anticipated that during the distribution network construction resettlements will not be done however, there is likelihood of temporary interruptions. Therefore, management or compensations of damage to properties and temporary interruptions of street vendors should be taken care of.

▪ OP 4.37 - Safety of Dams: The viability of the bulk water supply system under Zones 2 and 3 will rely on water releases from the existing Katse Dam located in the upper reaches of the Hlotse River through an existing water diversion valve/tunnel. The structural and nonstructural safety of the Katse Dam has been assessed, including its monitoring reports, 10-year dam safety review report, emergency preparedness plan, and so on, in line with OP 4.37 of the World Bank safeguard policies.

▪ OP 7.50 - Projects on International Waterways: The project will finance intake structures that will be constructed within the Hlotse River to abstract raw water which will then be delivered directly to an inlet of water treatment plants. The Hlotse River flows into the Mohokare and then to the Orange-Senqu River which is an international waterway shared by four riparian countries—Botswana, Lesotho, Namibia, and South Arica. OP 7.50 is triggered and notifications to the riparian countries have been provided.

▪ World Bank Group Environmental, Health and Safety Guidelines (EHSGs): This report details the safety measures to be implemented throughout the project life cycle to ensure health and safety of the workers and surrounding communities. It is acknowledged that during construction and rehabilitation of the AC pipes, asbestos handling and disposal should form an integral part of the Health and Safety Management Plan. The Contractor is therefore responsible for implementing all practical precautionary measures to minimise health and safety hazards on the public and/or affected communities. Health and safety monitoring plan to be executed by the Contractor should also form part of the ESMP.

▪ World Bank Group Industry Sector Guidelines for Water and Sanitation: The EHS Guidelines for Water and Sanitation include information relevant to the operation and maintenance of (i) potable water treatment and distribution systems, and (ii) collection of sewage in centralised systems (such as piped sewer collection networks) or decentralised systems (such as septic tanks subsequently serviced by pump trucks) and treatment of collected sewage at centralised facilities. Even though the current scope of works only involves the TA to assist with the development of the Sanitation masterplan, in the future, preparations for the construction phase will factor in the requirements of these guidelines.

▪ World Bank Good Practice Note: Asbestos: Occupational and Community Health Issues

The Good Practice Note increases the awareness of the health risks related to occupational asbestos exposure, provides a list of resources on international good practices available to minimize these risks, and presents an overview of some of the available product alternatives on the market. Good practice is to minimize the health risks associated with asbestos-

containing materials (ACM) by avoiding their use in new construction and renovation, and, if installed asbestos-containing materials are encountered, by using internationally recognized standards and best practices to mitigate their impact. In all cases, the Bank expects borrowers and other clients of World Bank funding to use alternative materials wherever feasible.

2.4 Institutional Framework

Ministry of Water

The Ministry of Water is the ministry responsible for the management of water resources and development of water projects. The primary role of this Ministry is the formulation appropriate water policies, planning and coordination, monitoring and evaluation within the overall economic development. The Commissioner of Water (CoW) falls under this ministry.

Commissioner of Water

The Office of the Commissioner of Water (CoW), within the Ministry of Water, is mandated to promote coordination of programs and activities within the water sector as mandated by 2007 water policy. CoW is one of the water sector statutory bodies established under the Water Act of 2008.

The Commissioner is responsible for the Department of Water Affairs, Lesotho Lowlands Water Supply Scheme Unit (LLWSSU), Metolong Authority (MA) and Department of Rural Water Supply (DRWS). It also oversees two parastatals: the Lesotho Highlands Water Development Authority (LHDA) and the Water and Sewage Company (WASCO).

The specific functions of the CoW as specified in the Water Act include:

◼ Provide policy direction to the water sector;

◼ Implement and monitor water and sanitation policy;

◼ Develop water and sanitation strategies and plans;

◼ Act as custodian of the national water resources database;

◼ Coordinate water management activities, including transboundary waters;

◼ Advise the Minister on use and management of water resources; and

◼ Produce the annual State of Water Resources Report.

The CoW will ensure that the LWDP II project is implemented following the guidelines in this ESMF.

Lesotho Lowlands Water Supply Scheme Unit

The Lesotho Lowlands Water Supply Scheme (LLWSSU) will be responsible for the overall monitoring and reporting on the compliance of the ESMF ensuring that the project is screened; safeguards instruments are prepared, cleared and disclosed prior to approval.

Water and Sewage Company

Water and Sewerage Company (WASCO) serves almost 300 000 people in the urban centres with potable water. The Company has over 80 000 customers which is 60% of the total urban population. WASCO has covered 49% of sites in urban centres with water connections and 13% of sewer connections.

WASCO will be involved in LWDP II project. Therefore, will ensure that the safeguards instruments prepared during implementation of the LWDP II (components 1,2,3 & 4) follow the guidelines outlined in this ESMF.

Department of Environment

The Department of Environment (DoE), on behalf of the Minister, plays a lead role in the implementation of the national environmental policies, legislation and regulations. Their role is to ensure that the proposed project is implemented in a sustainable manner, in compliance to the relevant environmental legislation. DoE will be responsible for approving the ESIA.

Department of Rural Water Supply (DRWS)

Department of Rural Water Supply (DRWS), is responsible for serving the rural areas of Lesotho with portable water using springs as well as underground water and provides sanitation facilities in the form of Pit Latrines. The LWDP II project comprises of both urban and rural settlements therefore DRWS will use the ESMF to formulate safeguards instruments during implementation of their specific subprojects in zone 2&3 under Components 1,2,3&4.

3.0 DESCRIPTION OF THE PHYSICAL AND SOCIAL ENVIRONMENT

This section presents a description of the existing environment, comprising the bio-physical and socio-economic conditions of the proposed project area.

3.1 Description of the Physical Environment 3.1.1 Climate

The Lowlands region is characterised by hot humid summer and cold dry winter seasons. The annual precipitation ranges from approximately 600mm in the Lowland valleys. Most rainfall occurs from October to April, with peak rainfall between December and February. The precipitation during winter is usually in form of snow, but generally low in the Lowlands compared to the Highlands. Snow is common during the winter months. The yearly average maximum temperatures are 13.9ºC and the average yearly minimum temperatures are 1.7ºC (SSI, 2010).

3.1.2 Topography

Lesotho is divided into four topographical regions, namely the Highlands (>2,200 masml), Foothills (1,800-2,200 masml), Lowlands (1.400-1,800 masml) and the Senqu River Valley. The proposed development will be in the Lowlands region of Lesotho, which is along the western border of Lesotho.

3.1.3. Land use

Zone 2 and 3 are predominantly cultivated, particularly in the flatter plateaus and plains. Most of the faming activities are small scale subsistence farming.

3.1.4 Geology and Palaeontology

The geology of the development site is characterised by the following lithological characteristics (Groenewald, 2018). (a) Stormberg Group This group consists of 3 geological formations, namely;

• Molteno Formation - consists primarily of coarse-grained sandstone with a very conspicuous glittering appearance and some thin to extensive Khaki coloured siltstone and mudstone beds. This formation is well-known for the extremely rich palaeontological heritage contained in the assemblages of Dicroidium ferns and most diverse plant and insect remains in the Gondwana Geological Terrain. It is considered to be one of the richest plant histories and the clearest window into the Late Triassic plant and insect communities in the world.

• Elliot Formation - this is a conspicuous red siltstone that underlies very large parts of the Lowlands regions. It is easily recognised as the major red mudstone/siltstone unit that underlies the prominent light-coloured sandstone of the Clarens Formation. Outcrops of the Elliot Formation are restricted to badly eroded regions, and specifically in the more western part of the study area. It is known for its very well-defined dinosaur tracks and 39

also dinosaur eggs containing embryos from Lesotho. At present, one fish genus, two amphibian genera, 10 non-dinosaurian reptiles, at least 17 dinosaur genera, seven cynodont genera and two mammalian genera are known from this formation.

• Clarens Formation – this formation consists of fine to very fine-grained creamy coloured aeolian sandstone that typically weather into large overhangs and forms remarkable cliff faces in the study area. The Clarens Formation has also produced some dinosaur remains and footprints as well as invertebrate burrows.

(b) Drakensberg Group

The Jurassic Drakensberg Group of igneous rocks include dolerite dykes and basaltic lava flow deposits. Generally, this Group is not important from a Palaeontological point of view, except for where inter bedded sandstone is found in the lava flows. Well-preserved Dinosaur tracks are described from these unique bodies of sandstone.

3.1.5 Soil characteristics

Soils in Lesotho are described in terms of the Benchmark Soil Series (Cauley, 1986) in terms of soil fertility, soil profile, likely settings, extent and resistance to erosion and erosion hazard. The Benchmark Soils are confined to those areas of Lesotho that receive at least 625mm of rainfall per year and have elevations of less than 2400mamsl. This correlates well with the LLBWSS project, which is located in the Lowland area of Lesotho.

The soils derived from the Karoo sedimentary sequences and basalt overlay on the western Lowland are the country’s main cultivable areas and are typically inherently low in fertility, quite poorly- structured, have low water-holding capacities, and are easily eroded, even on slopes gentle enough for cultivation. Sepane, Thabana (Arcadia), Sephula (Estcourt) and Rensburg Soil Forms dominate the moist bottomlands while the Glenroase, Khabos (Bonheim), Avalon, Qalaheng (Clovelly) and Mayo forms dominate the outcrops and slightly elevated areas. Mispah and Glenrosa soil forms are dominant in the west-facing Foothills and on the slopes of mesas. The soil surface is strewn with sandstone rocks and boulders.

3.1.6 Heritage features

Lesotho has rich cultural heritage resources. The archaeological record comprises of a number of Middle Stone Age (MSA), Late Stone Age (LSA) and Iron Age (IA) sites as well as rock art. The two districts of Leribe and Berea are historically known as places rich in tangible heritage such as fossils, sites, buildings, monuments and rock art paintings.

3.1.7 Floral biodiversity

Lesotho falls within the grassland biome, with small-scattered thickets and woodlands occurring in the valleys and along the foothills. As previously mentioned, Lesotho has been divided into four ecological zones, the Lowlands, Foothills, Senqu Valley and the Mountain.

According to Mahlelebe (2018), the earliest classification of Lesotho vegetation was by Staples and Hudson (1938) who broadly divided Lesotho into two grassland types: Themeda triandra dominated grassland, occurring mainly on northern slopes at lower elevations throughout Lesotho and Festuca caprina grassland, occurring on northern slopes at high altitudes. Acocks (1975) and Killick (1978) used a similar approach in classifying the high-altitude vegetation. Loxton, Venn and Associates (1993) during the Baseline Survey of Phase 1A of the Lesotho Highlands Water project identified four vegetation types:

• Temperate Alpine belt

• Temperate/subtropical belt

• Sub-tropical/ sub-alpine belt

• Sub-tropical/montane belt

Low and Robelo identified (cited in Biological Diversity in Lesotho 2000) vegetation types occurring in Lesotho as AfroAlpine Mountain, AfroMontane, and Highveld grassland. Zone 2 and 3 areas fall within the Highveld grassland.

Vegetation of project footprint

Hyparrhenia dominant The type is dominated by Hyparrhenia species (Refer to Figure below) and associated species are Elionurus muticus, Bracharia serrata, Aristea cognate, Ipomea sp, Aristida species, Hermannia species, Convolvulus species, Anthospermum sp., Melinis sp., Helichrysum sp., Gerbera sp, Microchloa caffra. The type is a very important source for buildings. The type is always protected from grazing during the growing season until the thatch grass is removed in late winter.

Figure 1: Hyparrhenia dominant type (taken by T Mahlelebe, 2018) Heteropogon-Eragrostis

Dominant species are Heteropogon contortus and Eragrostis curvula (Refer to Figure ). Associated species are Eragrostis capensis, Eragrostis cilianensis, Harpechloa falx, Microchloa caffra, Trachypogon spicatus, Aster sp, Comelina sp, Eragrostis racemosa, Elionurus muticus, Harpechloa falx, Trichoneura grandiglumis, Sporobolus sp., Aristida species, forbs such as Dianthus, Scabiosa, Nolletia, Hermannia, Salvia, Senecio asperulus, Felicia muricata, Gazania krebsiana and many more. The type is important for grazing animals. The sight of Stoebe vulgaris, Felicia filifolius and Aristida adscenscionis indicate the habitat degradation.

Figure 2: Heteropogon – Eragrostis (taken by T Mahlelebe, 2018)

Plantations This is composed mainly of Pine, Acacia, dealbata and Poplar trees. All these are exotic introduced species. The acacia and poplar trees have invaded extensive areas of formerly indigenous thickets.

Floristic Diversity

The area has relatively rich species diversity despite anthropogenic disturbances that have taken place.

A total of 131 plant species have been identified from field surveys, indicating a rich floral diversity. The total number of species documented for Lesotho is 2961. Most of the species have been identified, and cross-referenced. The species’ economic values were grouped into seven categories as shown in the table below. 23% compose plants with medicinal value; 0.09% are plants used as food and 31% as fodder.

Table 3: Categories of identified species

Medicinal Food Fodder Handicrafts Fuel Construction Ornamental 30 12 40 8 17 6 38 Number 23 0.09 31 0.06 13 0.04 29 % of total

Threatened species

There were no red data species (Southern Africa Plant Red data list) found in the footprint area. Threats to the species are harvesting and habitat degradation.

Sensitivity 42

The project area has been transformed through anthropogenic activities such as grazing of livestock and clearing to build houses for human habitation. Since the areas offer little value to ecosystem functioning, they have low ecological sensitivity. Areas of high sensitivity are the riparian zone that is along the riverine systems. The water abstraction will not impact on this due to its size, the ecological function would still function as a natural process.

3.1.8. Faunal Biodiversity

Detailed information on the animals of Lesotho is very scarce, and as such little is known about their abundance and distribution. Areas that have been surveyed in detail are Sehlabathebe National Park, Phase 1A and 1B of the Lesotho Highlands Water Project (Mahlelebe, 2018).

3.1.8.1Terrestrial species Ecosystem

Mammals

Lesotho has the lowest species richness in the Southern African region mainly due to the harsh climatic conditions, as well as human activities such as hunting with dogs. Currently the mammal species are estimated at 52 with 14 possibly listed under South African Red data Book (Lynch, 1994). It is estimated that historically 70 species occurred in Lesotho. Assessment of mammals specific to the lowlands has not been undertaken, however, Lynch in his study of mammals of Lesotho predicted that the following species might occur in the lowlands and foothills area: -

1. Atelerix frontalis (Southern African hedgehog) 2. Vulpes chama (Cape fox) 3. Suricata suricatta (Meerkat) 4. felis nigripes (Black-footed cat) 5. Xerus inauris (Ground squirrel) 6. Pedetes capensis (Springhare).

The Other information available on mammals is from the baseline biology survey of the phase 1A of the LHWP by Loxton, Venn and Associates and Biological Survey of Phase 1B by Afridev Consultants.

No Red Data species are within the vicinity of the site to be developed. There were no sightings of mammals on the study area.

Reptiles

The limitations of the study are that several assumptions have been made about presence or absence of species of reptiles from the footprint area. No detailed work on reptiles was carried out at the site.

There are no literature available which accounts for any distribution or abundance in Lesotho. It is likely that anthropogenic disturbances have changed the availability of specific habitats in the area which is detrimental to the species. It is also likely that some reduction has occurred due to habitat degradation arising from land use practices, the fires and the frequency of contact with human population. Reptiles in Lesotho generally get killed by people on contact.

Reptiles are seasonally active, spending the harsher winter months in seclusion, usually burrows, under rocks or in crevices emerging only under more suitable climatic conditions. Table 4 shows the assumed present state in the study area and the surrounds:

Table 4: Snake List

Sesotho Name Scientific Name Common Name Marabe Bitis arientans Puff-adder Masumu Haemachatus haemachatus Rinkhals Mosenene Psammophis notostictus Cross-marked sand snake Tlatlametsi Lycodonomorphus rafulus Slug-eater

3.1.8.2 Aquatic species Ecosystem

Fish species that are expected to occur in Hlotse River based on local inhabitant’s knowledge and existing literature include Austroglanis sclateri, Barbus anoplus and B. paludinosus (Chelefisi and Malimpana), Clarias gariepinus (Letsoala), Labeo capensis, Labeobarbus aeneus, Oncorhynchus mykiss and a species locally known as Makoetje.

3.1.8.3 Avian Biodiversity

According to the South African Bird Atlas Project (SABAP2), species richness around the study area is 126 species from a total of 18 atlas cards. This represents about 13% of all species recorded in Southern Africa. Among these were 10 priority species. Note that because of the relatively poor atlas coverage of the area the Bearded Vulture Gypaetus barbatus was not recorded.

However, it has been seen on numerous occasions and breeding sites are known within the 10-km foraging range of this species (S. Makhubu pers. obs.). Four of these species are threatened Red Data species in Lesotho and South Africa (Taylor et al. 2015). These species are, in order of susceptibility to collision: Cape Vulture Gyps coprotheres, Bearded Vulture, Lanner Falcon Falco biarmicus, Southern Bald Ibis, Blue Korhaan, Jackal Buzzard, Amur Falcon Falco amurensis, Steppe Buzzard Buteo vulpinus, African Harrier-Hawk Polyboroides typus and Black-shouldered Kite (Table 5).

According to their reporting rates (a measure of the likelihood that they will occur), Amur Falcons (61%), Bald Ibises (39%) and Jackal Buzzards (22%) are the most likely of the collision-prone species to occur on site. Given that both the Amur Falcon and Bald Ibis are flocking species, they may be the most likely to interact negatively with power lines, or to disturbance around their nesting cliffs (ibis) or roosting trees (falcons/kestrels). All of these species require attention and their nests or roosts avoided or disturbed least during construction (Birds & Bats Unlimited, 2018). Please refer to Appendix D2 for the detailed Avian Impact Scoping Assessment. All the priority collision-prone species in the top 100 of Birdlife South Africa’s listing including the Red Data birds (in red) recorded in bird atlas data (2008-2018) in the proposed LWSIP study site is presented in Table . Note that the Bearded Vulture was added from knowledge and sitings in the area (S. Makhubu pers. Obs.).

Table 4: Priority collision-prone species in the top 100 of Birdlife South Africa’s listing recorded in bird atlas data in the proposed LWDP study site.

Susceptibility to:

Reporting Red-list Collision Common name Scientific name Rate* Disturbance status Rank**

Cape Vulture Gyps coprotheres Endangered 5.6% 1 High Critically Bearded Vulture Gypaetus barbatus 3 High Endangered Lanner Falcon Falco biarmicus Vulnerable 5.6% 22 Medium

Bald Ibis Geronticus calvus Vulnerable 39% 24 High Eupodotis Blue Korhaan Not threatened 5.6% 34 Medium caerulescens Jackal Buzzard Buteo rufofuscus Not threatened 22% 42 Low

Amur Falcon Falco amurensis Not threatened 61% 66 Low

Steppe Buzzard Buteo vulpinus Not threatened 22% 67 Low

African Harrier-Hawk Polyboroides typus Not threatened 5.6% 85 Low Black-shouldered Elanus Not threatened 44% 96 Low Kite caerulescens

3.1.9 Surface water resources

The Hlotse River catchment drains quaternary catchments D21J, D21K and D21L covering an area of 989 km2 and with an estimated mean annual runoff of 192 million m3/a. It is a tributary of the Caledon River which supplies water to many rural towns in the Free State Province of South Africa (Aurecon, 2018).

The catchments in the study area are situated in the summer rainfall region with rainfall season typically running from October to March as shown in Figure 3.

The mean annual precipitation is within a range of 700 to 1000 mm and the catchment runoff is between 60 and 225 mm (WRC, 2015).

The main soil types in the study area are moderate to deep Sandy Loam and Clayey (WRC, 2015). The land use in the study area is predominately agriculture related and includes subsistence agriculture, grazing and rural settlements.

Figure 3: Rainfall distribution in the study area

3.2 Description of the Social Environment

3.2.1 Geographical context

The Kingdom of Lesotho is located in Southern Africa and completely enclaved by the Republic of South Africa. It covers an area of 30 355 km2 and had a population of 2 007 201 according to the 2016 Census. It is the only independent state in the world that lies entirely above 1 000 metres in elevation, with over 80% of the country above 1 800 metres. The 2011 Lesotho Demographic Survey (LDS) estimated the total arable land on 3 248 km2, which is just over 10% of the total area of the country.

The country is divided in four ecological zones based on climate and agro-climatology:

◼ Mountains (at altitudes of between approximately 2 000 – 3 384 metres above sea level (masl)) – about 59% of the country;

◼ Senqu River Valley (1 000 – 2 000 masl) – about 9% of the country;

◼ Foothills (1 800 – 2 000 masl) – about 15% of the country; and

◼ Lowlands (less than 1 800 masl) – about 17% of the country.

The area for the proposed project is located in the Lowlands area.

3.2.2. Development context

Lesotho is classified as a low human development country based on its 2018 Human Development Index (HDI) score. With a Gini Coefficient of 54.2, the country has an unequal distribution of income. The Gender Development Index indicates that that there is equality between men and women in terms of Lesotho’s HDI achievements. The Gender Inequality Index suggests inequality between men 46

and women in terms of reproductive health, education, political presentation and the labour market. The 2018 Multidimensional Poverty Index indicates that approximately 57.1% of households live below the National Poverty Line in terms of income. Approximately 33.64% of the population can be defined as multi-dimensionally poor. The Living Standard dimension is the greatest contributor to overall poverty, with a contribution of 57.84%. Indicators that form part of the Living Standard dimension is water, sanitation, electricity, assets, cooking fuel and type of floor.

Lesotho Ranks 30th out of 51 African countries on the Sustainable Development Goals (SDG) Index. The country is maintaining its achievement on Climate Change and is on track to achieve the goals of Industry, innovation and infrastructure and Partnerships for the goals by 2030. Scores for Gender equality, Clean water and sanitation, Sustainable cities and communities, and Life on land is increasing at a rate above 50% of the growth rate, but below the rate needed to achieve the goals by 2030. Lesotho is stagnating or increasing at a rate below 50% of the growth rate needed to achieve the following goals by 2030: No poverty, Zero hunger, Good health and well-being, Quality education, Affordable and clean energy, and Justice and strong institutions.

3.2.3 Administrative context

Lesotho is a hereditary constitutional monarchy and the King is the head of state. It has a bicameral parliament, consisting of the National Assembly and the Senate. The National Assembly consists of 120 elected members. Eighty members are directly elected from the constituencies that the country is divided into, and the other forty are elected through proportional representation. The Senate is the upper chamber of the parliament and is made up of 22 hereditary Principle Chiefs and 11 Senators nominated by the King on advice of the Council of the State. The country is divided into ten districts, namely Botha-Bothe, Leribe, Berea, Maseru, Mafeteng, Mohale’s Hoek, Quthing, Qacha’s Nek, Mokhotlong and Thaba-Tseka. The area for the proposed project is located in the Leribe and Berea Districts. The districts are further divided into constituencies (80 in total), which consist of 129 local community councils.

3.2.4 Demography

3.2.4.1 Population and Settlement Patterns

According to the 2016 Lesotho Population and Household Census (PHC), Lesotho has a total population consisting of approximately 2 007 201 persons and 537 457 households. Leribe is the second largest district after Maseru with 16.82% of the total population and 16.8% of households, while Berea is the third largest with 13.08% of the population and 13.02% of households. In total, almost 30% of the total population resides in these two areas.

In the Leribe district, 61.32% of the population are settled in rural areas and 32.89% in urban areas. The bulk of the population (82.89%) reside in the Lowlands Zone. The capital or camptown of the Leribe district is Hlotse and the district have one other town, Maputsoe. Hlotse and Maputsoe is in the area for the proposed project.

3.2.4.2 Age and Gender Distribution

The age and gender distribution for the Leribe have proportionately more females than males, and just below a third of the population (31%) is aged 14 years or younger. 3.2.4.3 Family structures

In Leribe 49.36% of adults aged 15 years or older is monogamously married. In Leribe the incidence of people who are polygamously married, living together, separated or divorced is relatively low and represents just over 6% of the adult (15 years or older) population. In Leribe, just over a third of the households are headed by females. Nationally about two thirds of male household heads are monogamously married, compared to just over 30% of females. About 41% of female household heads are widowed. More than half of female household heads (55.5%) have only completed primary school, compared to 44.73% of males. The majority of female household heads are housewives (51.24%), while the majority of male household heads are regular wage /salary earners (34.72%). The majority of children aged 0 to 17 on a national level is a son or daughter of the head of the household, or a grandchild or great grandchild. This indicates that many households consist of family members of two to three or even four generations.

3.2.4.4 Educational attainment

Almost 50% of males in the Leribe district and 44% of females aged 15 years or older have attained an education of Standard 7 or less. Standard 7 is the grade that completes primary school education.

3.2.5 Land and residences

Most of the households in the Leribe (45.6%) acquired their land through allocation by the chief, while just over 20% in both areas inherited their land or got it as a gift. In Leribe a larger proportion of females were allocated land by the chief, than the proportion of males that were allocated land by the chief. In Leribe, a Polata is the main dwelling of about 37.2% of households, followed by a Rontabole/ Mokhoro (17.7%) and a Malaeane (16.4%). A Polata is a rectangular building with a flat corrugated iron roof and walls of concrete block, sandstone, rubble, burnt or mud bricks. A Rontabole is a round building with a pitched thatched, tiled or corrugated iron roof and walls of local materials such as sandstone, rubble or mud brick and render. A Malaene is a rectangular building normally of concrete blocks or local bricks, with a flat corrugated iron roof which normally comprises single rooms or more for rent to individual households, and sometimes the living, cooking, eating and sleeping arrangements is combined in the single room. Form C is the tenure status of 43.2% of households in the Leribe district. A large proportion of households in the Leribe district (25.5%) have no title deed for their property.

3.2.6 Infrastructure

Access to electricity and safe drinking water relate to the Living Standard dimension of poverty that form part of the MPI. In the Leribe district 36.2% of households have access to electricity as their main source of energy for lighting, while 43% of households use paraffin for this purpose. In the Berea district 41.4% of households have access to electricity for lighting, while 39% uses paraffin. Very few households use their electricity for heating purposes, almost 80% of households use wood or paraffin. Almost 70% of households in these districts use LP Gas or paraffin as energy for cooking.

On a national level, only 11.5% of households in urban areas have access to water inside their dwellings. The majority of households (58%) in urban areas have access to piped water inside their 48

yards or plots. More than half (55.5%) of households in rural areas have to access water through a public tap or standpipe, and 17.9% use an unprotected spring. In the Leribe district it takes 0-14 minutes for 40.1% of the households to get drinking water and come back, and 15 – 29 minutes for 26.2% of households.

There are limited existing distribution systems within the communities to be served within the context of this assignment. In Zone 2 (Part), it is estimated that the distribution coverage is around 80% of the main town of Hlotse and that Maputsoe is 30%. Initial estimates indicate that the scheme to install distribution pipework will include approximately 235Km of distribution pipework to service the population in the towns and villages included in the area.

In urban areas 47.7% of households have VIP latrines on a national level, while 35.9% have unimproved pit latrines. The picture looks very different in rural areas where 33,5% of households make use of open defecation (bush or field), 33.4% have access to VIP latrines and 26.1% to unimproved pit latrines.

3.2.7 Livelihoods

Lesotho is geographically surrounded by South Africa and economically integrated with it. The economy of Lesotho is based on agriculture, livestock, manufacturing and mining, and depends heavily on inflows of workers' remittances and receipts from the Southern African Customs Union (SACU). The majority of households subsist on farming. The formal sector employment consists mainly of female workers in the apparel sector, male migrant labour, primarily miners in South Africa for three to nine months, and employment by the Government of Lesotho (GOL). Water and diamonds are Lesotho's significant natural resources.

According to the 2017 PHC, almost half of females (48.3%) aged 15 years and above are housewives while 21.2% are regular wage or salary earners. About 27.7% of males have indicated that they are regular wage or salary earners while 23.8% have indicated that they are housewives. In this instance housewives should not be interpreted literally, as it is likely to be a translation issue and is more likely to be indicative of a male that is not economically active.

Subsistence agriculture is an important contributor to the livelihoods of many households. Maize and beans are the crops grown most. Many households have fruit trees, such as peach, apricot and apple. Livestock like cattle, sheep, goats and pigs are mainly kept for domestic use. Many households have vegetable gardens where they grow leafy vegetables such as spinach, cabbage and sepaile (a type of wild parsley).

4.0 Potential Environmental and Social Impacts

Several factors will be considered when formulating the project designs. The network will follow the already established pipeline routes which are usually in the road reserve. However, there might be a few diversions due to other reasons. It is anticipated that there would be negative and positive impacts of the project.

Overall, the LWDP II is environmentally and socially beneficial. The four components i.e. the distribution network under Component 1, TA support for water and sanitation planning under Component 2, the WASCO performance improvement under Component 3 and the CERC under component 4 are expected to involve simple, appropriate, low cost technologies that do not pose any significant environmental or social consequences. The provision of safe drinking water and sanitation facilities is expected to have a significant positive impact on the improvement of livelihoods and the environment. Some minor and temporary negative environmental impacts may occur, resulting mainly from the construction activities. These impacts are readily manageable by standard civil works mitigation measures such as restrictions on working hours, dust management through watering down, and erosion and sediment control. WASCO, LLWSSU and DRWS have demonstrated capacity to manage environmental and social issues related to construction. Environmental and social considerations will form a central part of project identification and design under LWDP II. Avoidance of negative environmental and social issues will be the focus of project identification and design. Any potential “show-stopper” issues will be carefully considered and, in some instances, (where the probability of resolution is not adequate), the project may be determined to be not eligible for financing. Safeguards specialists have been recruited under the LLWSSU PIU and WASCO to ensure they play an effective role in project impact assessment and risk screening.

Sanitation Investments in this project will be mostly in technical assistance (TA). This TA will support the GoL to develop a medium-term sanitation program, based on updated sector diagnostics and preparation of master plans for select urban locations, including but not limited to Maputsoe and Hlotse, in line with the Citywide Inclusive Sanitation approach. Sanitation Investments in rural situations will be in hygiene behaviour education including construction of pit latrines. While, in urban centres expansion and rehabilitation of existing sewage networks is anticipated.

Potential Social Impacts Summary

The overall social impact of the Project is expected to be strongly positive, with the provision of reticulated water supply and sanitation facilities to district towns and rural settlements having numerous benefits.

Some of the positive socio-economic impacts the study identified in the study area induced by implementation of the project included:

• Improved hygiene; • Increased economic development in the country; • Guided Sanitation Master Plan. • Collection of sewage in centralized systems (such as piped sewer collection networks) or decentralized systems (such as septic tanks subsequently serviced by pump trucks); and • Treatment of collected sewage at centralized facilities. • 4.1 Criteria for screening the project

This document provides the framework for an environmentally and socially sustainable development and implementation of activities financed under the Lowlands Water Development Project Phase II which are not yet known and defined. These anticipated activities and subprojects will be supported under four components of the LWDP II. These include i) water supply distribution network expansion and rehabilitation; ii) technical assistance sub-component which entails diagnostics of the existing situation as well as feasibility studies, detailed designs, safeguard assessments and plans and technical specifications for bidding documents which will be prepared for high priority sanitation investments in the project areas; iii) a range of institutional improvements to support sector institutions to more effectively manage their respective policy, regulatory, and service delivery mandates, with a particular focus on improving Water and Sewage Company (WASCO)’s operational performance through implementation of a Change Management program and introduction of an output- rather than input-based performance improvement incentive system; and iv) a Contingent Emergency Response Component (CERC) to support mitigation of sector–related risks such as major droughts which are not yet known and defined. The Department of Environment will give approval for subproject specific ESIAs and ESMPs.

The subprojects will therefore undergo environmental scrutiny by the Department of Environment. The Commissioner of Water should therefore, understand the permitting process as well as appreciate the importance of identifying and recognising adverse impacts at the early stages of the project implementation.

4.2 Description of Potential Impacts and their environmental significance

The project is mainly a water supply and sanitation scheme. The potential environmental and social impacts likely to arise from construction to decommissioning activities are described below. These were identified by matching the project components with the surrounding environmental and socio- cultural resources.

4.2.1 Determination of environmental and social significance of impacts

The actual impacts significance ratings depend on a lot of factors, including:

• The magnitude of the impact; • The sensitivity and value of the resource or receptor affected; • Compliance with relevant laws, regulations and standards; • Overall worker/public comfort; and likelihood of occurrence.

4.2.1.1 Categories of impact significance

A ‘negligible or nil impact’ or an impact of negligible significance is where a resource or receptor will not be affected in any way by a particular activity, or the predicted effect is deemed to be imperceptible or is indistinguishable from natural background levels.

A ‘minor impact’ or an impact significance is one where an effect will be experienced, but the impact magnitude is sufficiently small and well within accepted standards, and/or the receptor is of low sensitivity/value. In such instances, standard construction/operational practices can be addressing such impacts.

A ’moderate impact’ or an impact of moderate significance is where an effect will be within accepted limits and standards. Moderate impacts may cover a broad range, from a threshold below which the impact is minor, up to a level that might be just short of breaching an established (legal) limit. In such cases, standard construction practices can take care of these impacts, but mitigation measures may also be required.

A ‘major impact’ or an impact of major significance is one where an accepted limit or standard may be exceeded, or large magnitude impacts occur to highly valued/sensitive resources/receptors. In such cases, alternatives are required to address such impacts otherwise mitigation measures should be adopted with strict monitoring protocols.

The above classification used in the table 6 & 7 below is largely subjective and may be overruled by site specific considerations and detailed subprojects activities not captured in this framework.

In the future (not in LDWP II), Investments in sanitation will be in rural situations and will include hygiene behaviour education and construction of pit latrines. Investments in urban sanitation infrastructure will include expansion and rehabilitation of existing sewerage network systems.

Some major potential negative environmental and social issues/impacts arising from subproject activities at the construction, operation & maintains and decommissioning stages are listed in the table 6 & 7 below.

Table 6: Potential Negative Impacts from Water Supply and Sewage Network Systems and its significance

Issue Potential Impact Environmental Significance

Laying of pipelines construction Solid waste • Waste from vegetation clearing and Minor construction activities Water Pollution • Sedimentation laden runoff from exposed areas Minor mainly due to vegetation during construction; • Improper disposal of waste oils; Minor • Improper handling and disposal of sanitation Minor related waste; Soil erosion and contamination • Exposed land surfaces from cleared vegetation Moderate may be induce erosion from rain events; • Accidental spillage of fuel and lubricants Moderate • Destruction of flora and fauna habitat Minor Loss of flora/flora • Due to removal of vegetation of overburden Minor pipe routes Public Safety • Badly managed work activities Minor 52

Air pollution • Dust emission from movement of heavy Moderate machinery and trucks Raw Materials Usage • quarries Minor Occupational Health and Safety • Hazards from handling heavy equipment, noise, Moderate ergonometric stress, lifting heavy materials etc. • Exposure to asbestos in handling and disposal Moderate of old AC pipes. Public Health • Poor housekeeping leading stagnant water as Minor breeding grounds for insect vectors; • Exposure to asbestos due to disposal of old AC Moderate pipes Nuisance and disturbance o of • Visual intrusion by heavy trucks and equipment; Minor community life • Disruption of social activities; Minor • Relocation of temporary structures- Kiosks etc; Minor • Livelihood loss Minor Blasting and Vibrations • Underlying bedrock, will be removed by blasting Minor to enable pipe-laying where sandstone is encountered along pipeline Traffic Disruption • Traffic congestion and delays due to digging of Moderate roads, pedestrian side walks Disturbance of topsoil • Created by earthmoving works and poor Moderate storage and handling Pipelines Operations and Maintenance Public nuisance and health risks • Public health risks may arise from system failure Moderate for example, from pipe ruptures and pressure differences may lead to contamination of supply; • Poor post-source water handling leading to Moderate contamination

Occupational Health and Safety • Hazards from handling equipment, lifting heavy Moderate materials etc. Pipelines Decommissioning Water Pollution Improper disposal of spoils, waste oil etc. Moderate Air Pollution Movement of heavy truck and machinery Minor Solid waste disposal Damaged and old pipeline removed from the Minor ground to be suitably disposed Occupational health and safety Workers exposed to noise, lifting of heavy materials Moderate etc. Public Health and safety Movement of heavy trucks and equipment, traffic Moderate safety

Table 7: Potential Impacts from Provision of Household or institutional Latrines and its significance

• Improper handling and disposal of sanitation Minor related waste; Soil erosion and contamination • Exposed land surfaces from cleared vegetation Moderate may be induce erosion from rain events; • Accidental spillage of fuel and lubricants Moderate • Destruction of flora and fauna habitat Minor Loss of flora/flora • Due to removal of vegetation of overburden Minor pipe routes Public Safety • Badly managed work activities Minor Air pollution • Dust emission from movement of heavy Moderate machinery and trucks Raw Materials Usage • quarries Minor Public Health • Poor housekeeping leading stagnant water as Minor breeding grounds for insect vectors; • Exposure to asbestos due to disposal of old AC Moderate pipes Nuisance and disturbance o of • Visual intrusion by heavy trucks and equipment; Minor community life • Disruption of social (or school) activities Minor Disturbance of topsoil • Created by earthmoving works and poor Moderate storage and handling Land use • Conflicts with incompatible activities and land Moderate uses e.g. Water points Latrine Operations and Maintenance Water pollution • Depth of pit within or close to local water table Major will expose groundwater to faecal contamination. This may be exceptional but serious Public nuisance and health risks • Public health risks may arise from system failure Moderate for example, from excessive visits, and high sludge build up requiring removal and disposal

Land Acquisition and Involuntary Resettlement

The approach adopted by the Project will focus on avoiding any need for land other than Government owned land such as public sites and roads etc. Subprojects requiring involuntary resettlement/physical displacement will be ineligible for project financing at the eligibility screening stage. The expansion and rehabilitation of the distribution and sewage network systems will not displace people as the pipe routes will follow the existing pipe network and the road reserve. However, in instances where private or customary land may be traversed, an Abbreviated

Resettlement Action Plan (ARAP) will be prepared. The provisions of the RPF prepared for the Project will guide the process for accessing land and or/or land use rights.

Physical Cultural Resources

Known physical cultural resources will be identified through consultation with relevant stakeholders (including local communities) and avoided through design. As construction works will primarily take place within established road easements and other disturbed locations in urban, peri-urban and rural areas, it is unlikely that any physical cultural resources will be uncovered. However, if physical cultural resources are accidentally uncovered, they will be managed under a chance finds procedure which is included in Annex 3.

4.3 Mitigation considerations and options

All moderate impacts are considered for mitigation. Specific measures have been suggested in this regard where practicable. With regard to negligible or minor impacts where the project activity is not expected to cause any significant impact in such cases, best practice measures and mitigation have also been recommended where appropriate to improve the environmental and social performance of the project.

The mitigation options considered include provision of alternatives and pollution control. In cases where the effectiveness of the mitigation is uncertain, monitoring programmes will be introduced. The contractor is responsible for determining the cost of mitigation and to include such cost as part of its cost for executing the works. The LLWSSU through the Project Implementing Unit (PIU) is therefore required to prepare subproject specific Environmental and Social Management Plan(s) (ESMPs) which will be included in the Request for Proposal (RFP) and tender documents for contractors to enable them to prepare bill of quantities and quote appropriately.

Standard civil construction mitigation measures will be applied to minimise these impacts including: • clean water diversions around earthworks sites and minimising area of disturbance at any one time; • adopting standard working hours and limiting the duration of noisy activities as necessary; • maintaining machinery in good working order and watering down earthworks sites as necessary; • providing temporary access to essential services, businesses and households during construction; • storage of solid waste in receptacles and disposal at approved landfills; and • provision of spill response kits and storage of fuel and oil in bunded enclosures or secure containers.

5.0 Environmental and Social Mitigation and Enhancement Measures

Environmental and social concerns are anticipated if this project is implemented. The project will incorporate the following environmental and social considerations in the planning and design of the project ESMP(s):

5.1 Traffic Management

During construction phase of this project, it is anticipated that there will be a lot of excavation works close to the roads. There is high chance of accidents happening. The contractor will be required to install appropriate and approved signage as well as speed control structures during construction to regulate and accommodate traffic. The Lesotho Lowlands Water Supply Scheme Unit (LLWSSU) through the PIU will be required to make sure that the Contractor will abide by these requirements.

5.2 Influx of Labour Related Impacts

Generally, the influx of workers employed by construction companies, along with those looking for jobs and the establishment of workers’ camps, can expose affected communities to may negative impacts that include: (i) The spread of HIV/AIDS; (ii) Instances of Gender Based Violence (GBV) and Violence Against Children (VAC); and (iii) Child labour.

Contractors’ measures to mitigate these impacts could include:

• Development of a Labour Influx Management Plan and Workers Camp Management Plan that outline the contractors’ responsibilities in contracts; • Drafting of enforceable Workers ‘Code of Conduct; • Regular Sensitisation of workers and surrounding communities of the risk of HIV/AIDS and other STDs.

Influx of labour is however expected to be minimal, as the project will mainly be implemented within a setting with a readily available pool of labours and lodging for any potential expatriate workers. In cases where construction activities are undertaken in proximity to schools or around areas with vulnerable individuals such as street children, appropriate mitigation measures will need to be implemented. No workers’ camps will be established.

5.3 Labour and Employment Related Impacts

Labour related concerns and violation of workers’ rights is a potential and adverse impact in construction sites. The main issues could include:

• Low pay; • Lack of adequate housing; • Health and safety issues; • Sexual harassment – by supervisors in particular; • Lack of severance pay; • Short-term contracts; • Lack of maternity leave; • Unfair dismissal; 56

• Excessive overtime; • Deductions from pay; • Lack of freedom of association; • Lack of contracts; • Social security payments; and • Abusive supervisors.

These risks can be mitigated by ensuring that workers are provided satisfactory working conditions and work environment including pay in accordance with the laws of the Kingdom of Lesotho. Regular monitoring of sites by relevant national authorities should also be carried out.

5.4 Occupational Health and Safety Risks

A construction site poses an occupational risk to workers as they undertake various construction activities and handle construction equipment. Workers will be exposed to various hazards such as heavy machinery, dust, chemicals, asbestos fibres from AC pipes and others. Accidents may also occur at the construction site due to use of vehicles and operation of heavy machinery and may endanger the workers. The site may also be a danger to passers-by due to presence of excavated trenches. The contractor will abide by health and safety guidance as outlined in the previously mentioned World Bank Group Environmental, Health and Safety General Guidelines to include:

a) Train workers in occupational health and safety measures; b) Provide workers with appropriate protective clothing; c) Ensure availability of First Aid Kits at Project site; d) Determine and enforce appropriate speed limits; e) Maintain all vehicles and machines in good conditions according to manuals; and f) If an excavated trench is deemed to likely cause accidents, it must be cordoned off properly and appropriate signage provided.

5.5 Visual Intrusion

A construction site is not a pleasant site to look at due to construction works such as excavation, stockpiling of materials and mixing of concrete. Large quantities of dust generated during this period contribute to reducing the aesthetic value of land. Dust generation should be minimised by frequently watering of working area, provision of Personal Protective Equipment (PPE) to workers and minimizing unnecessary movement of vehicles/machinery.

5.6 Dust

Dust will be generated from bulk earth works and excavation works and may negatively affect surrounding environs. The labours who will be excavating will be exposed to dust. It is important for the contractor to provide Personal Protective Equipment (PPE) to labours. The PPE must include protective clothing, dust masks, snake gutters, goggles and gloves.

5.7 Increased Noise levels

It is expected that noise will be generated during the construction period. The noise will be generated by civil works equipment such as excavators and tippers, which may affect surrounding people in the area. The contractor to limit use of noisy heavy equipment, limit working period to daytime and use ear protectors.

5.8 Hazards from Open Trenches and Pits

Open trenches and pits if left without any warning signs can be a death trap to both people and domesticated animals. It will be important that all trenches and pits are backfilled as soon as the works are complete, if not backfilled immediately, the sites should be geofenced with barrier red tape and warning signs installed to warn others. If a road cut is envisaged, prior permission should be sought from Roads Directorate and District Councils and alternative routes should be provided to avoid inconveniencing other road users.

Manholes constructed should be installed with appropriate secured covers to avoid accidents and dumping of wastes by communities.

5.9 Asbestos

During construction phase of this project, there will be replacement of old asbestos pipes therefore, proper management, handling and disposal will be required. The ESIA Consultant, as part of the ESIA shall identify all hazards associated with handling or exposure to asbestos and then prepare the related ESMP entailing an Asbestos risk management plan accordingly based on the World Bank’s Good Practice Note on Asbestos Management (see Annex 5). It is very important to include disposal techniques and end-of-life sites. Training should also form part of the management plan.

The risk management plan will form part of the subprojects specific ESIAs and related ESMPs and will be reviewed and approved by the Department of Environment as per the requirements of the Environment Act 2008.

5.10 Recommended Mitigation Measures

The mitigation measures or guidelines have been designed in order to avoid, minimize and reduce negative environmental and social impacts. The project will conform to the Bank’s Environmental, Health and Safety Guidelines. The mitigation measures are presented in the following tables in a descriptive format.

Table 8 Mitigation measures for Water Supply and Sewage pipelines construction

Pipelines Construction

Type of Impact Description of mitigation measures

Water Pollution • Temporary storage of sanitary and cleaning waste in containers. Disposal should occur at approved waste disposal facilities. • Adequate waste receptacles and facilities should be provided at the project sites. • No solid waste, fuels or oils should be discharged into water flows. • Maintenance, fuelling and cleaning of vehicles and equipment within communities should be avoided, as much as possible. • Where works take place adjacent to a watercourse, temporary sediment barriers should be installed on slopes to prevent silt from entering the watercourses • Training and awareness on safe waste disposal for all workers. Solid Waste • Excavated soils should be reused as much as possible as filling material. Excess soil Generation should be disposed of appropriately.

• Topsoil should be removed and stored in separate piles and reinstated after refilling of trenches. • Training and awareness on safe waste disposal for all workers. • Adequate waste receptacles and facilities should be provided at the project sites in strategic sites with signage. • Spent or waste oil from vehicles and machinery should be collected and stored temporarily in containers or drums at the site. • Provide training and awareness to avoid littering. • Ensure construction sites have sanitary facilities. • Prepare waste disposal plan for each construction sites. • Asbestos waste pipes must be disposed of in a manner to prevent scavenging and reuse. • Final disposal should be at approved dumping sites. Soil Erosion • Application of appropriate erosion-protection measures, in particular where it concerns works on slopes and in stream beddings. • Excavation works should not be executed under aggressive weather conditions (rains, strong winds) • Minimize unnecessary land clearing as much as possible to avoid exposure of bare ground to elements of weather. • Topsoil should be removed and stored in separate piles and reinstated after refilling of trenches, to enable natural revegetation. • Re-vegetate cleared areas as early as possible with indigenous plant species. Impacts on flora • The contractor should limit the destruction of flora to the working place. and fauna • Clearing and cutting of trees should only occur with the appropriate authorization from the DoE. Public health • Adequate sanitary facilities should be provided at construction sites and camps and problems from offices construction • The use of local labour for unskilled work should be promoted. camps and sites, • Labours should adhere to basic rules with regard to protection of public health, and imported including most importantly hygiene and disease prevention. labour • Development of a Labour Influx Management Plan. • Drafting of enforceable Workers Code of Conduct. Safety of the • Adequate barriers to ward off inquisitive persons and animals (especially excavation Public works), in particular during the night, with clear marking of the safety border on the works perimeter. • Informing the local communities early of the construction programme through media and other communication channels. • Only road worthy vehicles should be used. • Employ only experienced workers. • Vehicles carrying construction materials such as sand, quarry dust etc. will have buckets covered with appropriate polythene material from or to project site. Visual amenities • Adequate organisation and maintenance of construction sites through good housekeeping. • Restoration of construction sites directly upon completion of works. Disturbance and • Informing the affected communities early of the construction programme through interruption of media. commercial and • Limiting of any temporary interference with private property. The length of trenches social activities at one time should be limited as much as possible. • Relocation even temporary should be avoided as much as possible • Information to neighbourhood of any (partial) blockage of roads, cutting of pipe laying • Where access road is blocked, temporary access ways should be established. • Excavation works should not be executed under aggressive weather conditions (rains, strong winds)

• Interference with the access to and use and occupation of roads, footpaths should be minimised. Occupational • Contractor should follow health and safety measures in accordance with local health and safety regulations relating to personal protection, lifting heavy material etc. • Workers should be educated to adhere to basic rules regarding protection against sexually transmitted diseases such as STI, HIV/AIDS. • Condoms should be placed in suitable designated areas for easy access by workers. • Provision of appropriate and use of PPEs should be enforced at all times for the staff and labours. • All construction site should be marked with visibility tape to avoid accidents except areas that will be fenced. • Adequate, appropriate and well-maintained sanitary facilities should be provided at all construction sites and open defecation shall not be allowed. Labour and • Ensure that child labour is not allowed in the project. employment • Local communities should be given priority in relation to employment. related impacts • Workers should be provided satisfactory working conditions and ideal work environment including pay in accordance with the labour laws of the Kingdom of Lesotho. Asbestos • Ensure proper use of PPE; • Provision of changing and washing rooms to prevent dust from going home with workers; • Training workers about the health hazards to themselves and their families; • Develop risk management plan; • Identify registered disposal facilities

Table 9 Mitigation measures for pipelines operation and maintenance

Pipelines Operation and Maintenance

Type of Impact Description of mitigation measures

Nuisance and • Ensure correct operation and maintenance of the installed pipeline, including regular public health risks inspection and maintenance. • Community involvement in leak detection through awareness creation and the opening of a compliant desk through a toll-free number • Ensure that sufficient pressure levels are maintained in pipelines at all times • Regular monitoring of water quality at various points in the network for contamination • Regular disinfection of lines to maintain safe supply • Timely implementation of repair and replacement works on pipelines and other related parts of the system • Avoid water pipeline alignments in and around sanitary facilities, such as sewage and drainage systems, and areas of increased pollution risks (e.g. waste dumps, graveyards) Public health • Adequate sanitary facilities should be provided at construction sites and camps and problems from offices construction • The use of local labour for unskilled work should be promoted. camps and sites, • Labours should adhere to basic rules with regard to protection of public health, and imported including most importantly hygiene and disease prevention. labour • Good housekeeping practices followed to avoid water ponding and breeding of insect vectors Safety of the • Adequate barriers to ward off inquisitive persons and animals (especially excavation Public works), in particular during the night, with clear marking of the safety border on the works perimeter. 60

• Informing the local communities early of the construction programme through media and other communication channels. Disturbance and • Informing the affected communities early of the construction programme through interruption of media. commercial and • Limiting of any temporary interference with private property. The length of trenches social activities at one time should be limited as much as possible. • Relocation even temporary should be avoided as much as possible • Information to neighbourhood of any (partial) blockage of roads, cutting of pipe laying • Where access road is blocked, temporary access ways should be established. • Excavation works should not be executed under aggressive weather conditions (rains, strong winds) • Interference with the access to and use and occupation of roads, footpaths should be minimised. Occupational • Contractor should follow health and safety measures in accordance with local health and safety regulations relating to personal protection, lifting heavy material etc. • Workers should be educated to adhere to basic rules with regard to protection against sexually transmitted diseases such as STI, HIV/AIDS. • Condoms should be placed in suitable designated areas for easy access by workers. • Provision of appropriate and use of PPEs should be enforced at all times for the staff and labours. • All construction site should be marked with visibility tape to avoid accidents except areas that will be fenced. • Adequate, appropriate and well-maintained sanitary facilities should be provided at all construction sites and open defecation shall not be allowed.

Table 10 Mitigation measures for pipelines decommission

Pipelines Decommissioning

Type of Impact Description of mitigation measures

Water pollution • Temporary storage of sanitary and cleaning waste in containers. Disposal should occur at approved waste disposal facilities. • No solid waste, fuels or oils should be discharged into water flows • Maintenance, fuelling and cleaning of vehicles and equipment within communities should be avoided, as much as possible. • Where works take place adjacent to a watercourse, temporary sediment barriers should be installed on slopes to prevent silt from entering the watercourses Solid waste • Training and awareness on safe waste disposal for all workers. generation • Adequate waste receptacles and facilities should be provided at the project sites in strategic sites with signage. • Excavated soils should be reused as much as possible as filling material. Excess soil should be disposed off appropriately. • Topsoil should be removed and stored in separate piles and reinstated after refilling of trenches. • Asbestos waste pipes must be disposed of in a manner to prevent scavenging and reuse. • Final disposal should be at approved dumping sites. Soil Erosion • Application of appropriate erosion-protection measures, in particular where it concerns works on slopes and in stream beddings. • Excavation works should not be executed under aggressive weather conditions (rains, strong winds) • Topsoil should be removed and stored in separate piles and reinstated after refilling of trenches, to enable natural revegetation.

Table 11 Mitigation measures for Provision of household and institutional latrine

Latrine Construction

Type of Impact Description of mitigation measures

Air Pollution • Prevention of excessive dust emissions including cement dust by careful handling and working under moist conditions as much as possible; • Collection and temporary storage of sanitary and cleaning wastes, as well as garbage, in containers. Water Pollution • Temporary storage of sanitary and cleaning waste in containers. Disposal should occur at approved waste disposal facilities. • Adequate waste receptacles and facilities should be provided at the project sites. • No solid waste, fuels or oils should be discharged into water flows. • Maintenance, fuelling and cleaning of vehicles and equipment within communities should be avoided, as much as possible. • Where works take place adjacent to a watercourse, temporary sediment barriers should be installed on slopes to prevent silt from entering the watercourses • Training and awareness on safe waste disposal for all workers. Solid Waste • Training and awareness on safe waste disposal for all workers. Generation • Adequate waste receptacles and facilities should be provided at the subproject sites in strategic sites with signage.

• Spent or waste oil from vehicles and machinery should be collected and stored temporarily in containers or drums at the site. • Provide training and awareness to avoid littering. • Ensure construction sites have sanitary facilities. • Prepare waste disposal plan for each construction sites. • Final disposal should be at approved dumping sites. Public health • Adequate sanitary facilities should be provided at construction sites and camps and problems from offices construction • The use of local labour for unskilled work should be promoted. camps and sites, • Labours should adhere to basic rules with regard to protection of public health, and imported including most importantly hygiene and disease prevention. labour • Development of a Labour Influx Management Plan. • Drafting of enforceable Workers Code of Conduct. Safety of the • Adequate barriers to ward off inquisitive persons and animals (especially excavation Public works), in particular during the night, with clear marking of the safety border on the works perimeter. • Informing the local communities early of the construction programme through media and other communication channels. • Only road worthy vehicles should be used. • Vehicles carrying construction materials such as sand, quarry dust etc. will have buckets covered with appropriate polythene material from or to project site. Visual amenities • Adequate organisation and maintenance of construction sites through good housekeeping. • Restoration of construction sites directly upon completion of works. Disturbance and • Informing the affected communities early of the construction programme through interruption of WATSANs. commercial and • Excavation works should not be executed under aggressive weather conditions social activities (rains, strong winds) • Interference with the access to and use and occupation of roads, footpaths should be minimised. Occupational • Contractor should follow health and safety measures in accordance with local health and safety regulations relating to personal protection, lifting heavy material etc. • Workers should be educated to adhere to basic rules regarding protection against sexually transmitted diseases such as STI, HIV/AIDS. • Condoms should be placed in suitable designated areas for easy access by workers. • Provision of appropriate and use of PPEs should be enforced at all times for the staff and labours. • All construction site should be marked with visibility tape to avoid accidents except areas that will be fenced. • Adequate, appropriate and well-maintained sanitary facilities should be provided at all construction sites and open defecation shall not be allowed. Labour and • Ensure that child labour is not allowed in the project. employment • Local communities should be given priority in relation to employment. related impacts • Workers should be provided satisfactory working conditions and ideal work environment including pay in accordance with the labour laws of the Kingdom of Lesotho.

Table 12 Mitigation measures for Latrines operation and maintenance

latrines Operation and Maintenance

Type of Impact Description of mitigation measures

Nuisance and • Ensure correct operation and maintenance of the latrines, including regular public health risks inspection and maintenance. • Minimisation of emergency repair response time through the development of emergency response procedures and training of artisans. • Community involvement in odour detection through awareness creation and opening of a complaint desk by WATSANs. • Locate latrines 30m away and downhill of water points and pit should be 5m above water table. • Promote good hygienic practices like frequent hand washing especially after visiting toilet. Solid waste • WASCO through private companies will dislodge latrines pits when full and dispose generation contents appropriately.

Table 13 Mitigation measures for Latrine decommissioning

latrines Decommissioning

Type of Impact Description of mitigation measures

Water pollution • Isolate faecal sludge should not be disposed of in water bodies.

Public health • Labourers should adhere to basic rules with regard to protection of public health, problems including most importantly hygiene and disease (HIV) prevention.

6. Project Alternatives Analysis

6.1 Do-Nothing/’Without Project’ Option

The Do-Nothing/’Without Project ‘Option entails that the proposed development fails to be implemented. In case this happens, positive impacts associated with the proposed project will not be realised. The positive impacts of the proposed project include access to improved water supply to the communities of Zone 2&3 (the towns of Hlotse and Maputsoe and villages along the main pipe route. The villages along the main pipeline route include Khanyane, Hlotse, Tsikoane, Maputsoe, Ha Lesiamo, and Mpharane and areas surrounding them), increased industrial activity as well as job creation. The proposed project will therefore, support the Kingdom of Lesotho initiative to achieve the Sustainable Development Goals (SDGs). Hence, from an environmental management perspective, the investment will be beneficial in the sense that any negative impacts associated with the proposed project will be avoided.

The ‘Do Nothing Option’ should not be adopted, as the communities in zone 2&3 are currently facing critical water shortage due to non-functional old and limited water distribution network, an increased demand of portable water due to urbanisation also put more pressure on the current distribution network.

6.2 Develop the Prosed Project Option

The ‘Develop the Proposed Project’ Option is recommended as a better option than the ‘Do Nothing/Without Project’ Option. The anticipated benefits of implementing the project include:

• Improved public Health and Safety due to: o Increased access to potable water supply; o Improved Hygiene Practices; • Improved environmental conditions: o Reduced water leaks; o Improved efficiency on drinking water production • Increase employment opportunities for the local people; • Gain of time, especially for women and girls, that may be used for other, productive activities; • Creation of market for goods and services due to availability of water; • Increased industrial activities within the project area; • Increased tax revenue for the Government through payment of water; • Improved living and welfare standards of the project communities; • Supporting the Kingdom of Lesotho initiative to achieve the Sustainable Development Goals (SDGs).

6.3 Different Technologies Alternative

This section examines the different technologies alternative that have to be considered during the planning, design, construction and operation phases of this project. The alternative to be considered are discussed as follows:

6.3.1 Alternative Excavation Methods

During construction phase of the project, there will be a lot of excavation works for the water supply distribution network. It is anticipated that some structures will be disturbed or destroyed. Therefore, some of the excavation methods that can be considered are as follows;

a) Using Excavator, Trencher or Ditch Witch

The use of an excavator, trencher or ditch witch for excavation is one of the options that can be considered during the planning, design and construction phases of the project. The advantages and disadvantages of this method include the following:

Advantages

i) Fast operation hence less time will be taken to complete the project; and ii) Less labour will be involved hence less labour related conflicts.

Disadvantages

i) Loss of potential employment opportunity since few people will be employed as labourers; ii) It requires some space for the machine to operate so in some confined areas like markets, residential areas, industrial areas, could result into destroying of properties and structures hence compensation may be required; iii) It is easy to destroy other utilities like electric and telephone cables.

b) Using local Labour

Advantages

i) Creation of employment during construction phase; ii) Less working space is required so it is easy to work in confined areas with minimal disturbance; and iii) The chance of destroying utilities is minimal.

Disadvantages

i) It is difficult or impossible in some cases to manually excavate hard or rocky soils; ii) It takes longer to undertake the same tasks manually as compared to using a machine; and iii) Construction workers will likely be exposed to health and safety hazards like dust.

A careful analysis of the two excavation methods concludes that it will be cost-effective to use both methods during construction phase of the project. The best way to utilise the two methods is to use labour method in confined areas like markets, residential and industrial areas while excavator can be used where there is no chance of destroying properties that can attract compensation and reconstruction.

6.3.2 Alternative to Passing through Culverts

The option to pass the pipeline through an existing culvert is an attractive option since breaking of the tarmac and other paved driveways will be avoided hence avoiding inconveniencing traffic and also associated reconstruction costs. However, it is important to note that culverts are specifically designed to drain a specific discharge so passing a pipe through it will compromise its capacity. Culverts are usually de-silted during the rainy seasons for the sole reason of maintaining their capacity to drain water. Ideally it can be the better option to avoid passing the pipeline through the culvert but it is difficult to do in practice. In view of this, some considerations must be made during planning, design and construction to address this challenge. This can include the following:

a) Consider designing and construction of a wide inlet drain to the culverts so that it can contain the backflow water due to the reduced capacity of the culverts. Otherwise the backflow water will overtop the road surface hence compromise the strength of the road and safety of the road users when driving along such roads; b) Depending on the topography, consider diverting water to the existing drainage network or constructing mitre drains; c) In situations where there are more than one culverts lines close by, consider using a series of smaller pipes to cross the road. For instance, there are three culverts locations and a 450mm pipeline is intended to cross the road, consider the 150mm pipeline at each of the three culvert locations and connect then back to the 450mm on the other side of the road.

6.3.3 Alternatives to Pipeline Crossing the Side Drains

All the pipelines will be buried underground, and no pipeline will be exposed. This will prevent the water overtopping on the road.

6.3.4 Alternative to Pipe Crossing the Road

In some cases, it will be impossible to avoid breaking the road and pass the pipelines through. In that case, the following will be considered:

a) Alternative routes for traffic will be identified and the public should be informed in advance; b) Appropriate signage must be installed to guide traffic flow; c) In case that there are no alternative traffic routes, the contractor can work on a single lane while traffic is allowed on the other lane. d) Another alternative is to consider working during the night since traffic flow will be low.

6.3.6 Alternative to Building Materials for Associated Civil and Building Works

This project is expected to involve some civil works and building works. The works include man holes construction. Different choices on the building materials will have to be made. The choice of building material is a key determinant of the durability of the built structures, the cost of building the structures and the damage that can be impacted on the environment. Two options, use of burned bricks and concrete blocks can be considered as follows:

a) Use of Burned Bricks

In Lesotho, use of burned bricks is cheap because they are locally made and can be close to the project site. The traditional fired/burnt bricks are made from soil that is mixed with water, dried in the sun there after baked using wood fuel.

Disadvantages of Burned Bricks

• Acquiring of soil can lead to land degradation since the soil is usually sourced from burrow pits. Therefore, when the demand of burned bricks is increased a lot of stress is put on the burrow pits leading to land degradation. • Burned Bricks cannot be made on site, so transportation costs are added;

Advantages of Burned Bricks

• Burned Bricks are strong and durable; • They require low maintenance; • Have excellent thermal mass i.e. in winter they keep the building warmer while in summer they keep the building cooler; and • They are fire resistant.

b) Concrete Block

Concrete blocks are made from a mixture of quarry dust and cement to which water has been added. The mixture is compacted using a manual machine to ensure strength and quality.

Disadvantages of Concrete Blocks

The bricks are usually expensive due to increased costs of cement.

Advantages of Concrete Blocks

• Concrete Blocks allow users to produce uniform blocks of strength; • Concrete Blocks can be made on site, so transportation costs are minimised; • Concrete Blocks are strong and durable; and • Concrete Blocks are fire resistant.

After analysing the different materials, it is recommended that the Burned Bricks and the Concrete Blocks be considered for construction of the manholes and other civil and building works for the project.

7. Environmental and Social Screening, Review and Approval

Environmental and social planning, implementation and management are undertaken by the LLWSSU for its development projects to cover environmental and social assessment (ESA) and the pre-project/project planning process. Key stages of the ESA include proposal screening, ESIA and mitigation measures, while the pre-project/planning process involves project concept, identification, design and appraisal. The ESA process links up with the pre-project/planning process signifying the importance of the two processes (EA and feasibility) to influence one another in the development of the LWDP II. In the context of the ESMF, environmental and social planning identifies and assesses the potential concerns and implications that may arise with the implementation of the LWDP, in order to influence the design and other engineering feasibility options and decisions, for informed and sustainable project development. The successful implementation of the ESMF depends on the commitment of the LLWSSU and related institutions, the capacity within the institutions and the appropriate and functional institutional arrangements among others.

The Ministry of Water (MoW), Commissioner of Water (CoW), Lesotho Lowlands Water Supply Scheme Unit (LLWSSU), Water and Sewage Company (WASCO), Department of Rural Water Supply (DRWS) and Department of Water Affairs (DWA) were identified as directly associated with the preparation, review and implementation of the ESMF.

7.1 Screening Process, Impact and Risk Approach

7.1.1 Environmental and Social Screening Framework in the Kingdom of Lesotho

The Kingdom of Lesotho Environmental Act No. 10 (2008) and Guidelines for Environment Impact Assessment in Lesotho (2010) prescribe the conduct for Environmental Impact Assessment for development projects.

7.1.2 The Environmental and Social Screening in this Framework

Environmental and Social Screening Process outlined below complies with the Kingdom of Lesotho EIA procedures for meeting the environmental and social management requirements, as outlined in the Guidelines for Environment Impact Assessment in Lesotho (2010). The Environmental and Social Screening Process also meets the requirements of the World Banks’s OP 4.01 Environmental Assessment. It provides a mechanism for ensuring that potential adverse environmental and social impacts of the LWDP II are identified, assessed and mitigated as appropriate, through an environmental and social screening process.

7.1.3 Application of the Screening Processes

Since the specific details and locations of the distribution network; sanitation investments to be financed under the TA support and WASCO improvements plan as well as activities to be supported under the CERC components of the LWDP II activities are not known at this time, the environmental and social screening process is necessary for the review and approval of the project, for the development of new and the rehabilitation of existing facilities or infrastructure. The objective of the screening process is to:

a) Determine the level of environmental work and the type of follow-up safeguards instrument required (i.e. whether an ESMP or ESIA is required; whether the use of Environmental Rules

for Contractors, Chance Finds Procedures, and other simple mitigation measures will suffice; or whether no additional environmental work is required); b) Determine the appropriate environmental category for the project (A, B or C); c) Determine which World Bank Safeguards Policies apply to (are triggered by) the project; d) Determine appropriate mitigation measures for addressing adverse impacts; e) Incorporate mitigation measures into the development plans; f) Determine which construction and rehabilitation activities are likely to have potential negative environmental and social impacts; g) Facilitate the review and approval of the screening results regarding construction and rehabilitation proposals; and h) Provide guidelines for monitoring environmental and social parameters during the construction, rehabilitation, operation and maintenance of the infrastructure service facilities and related project activities.

7.1.4 The Process

The extent of environmental and social work that might be required, prior to the commencement of construction and rehabilitation of the project and its subprojects will depend on the outcome of the screening process described below:

Step 1: Screening of Project Activities and Sites

Screening Process for LWDP II

Overview

The screening aims at categorising the project into one of the following environmental and social categories. The Environmental and social safeguards Officers in charge of the screening will propose the environmental category in consultation with the Department of Environment as necessary.

• Category A – LWDP II would be categorised as A if it would likely result in one or more major adverse environmental impacts. Category A projects require a full ESIA. However, the LWDP II is not expected to be a Category A project.

• Category B – LWDP II will be categorised as B if the potential environmental impacts identified are less severe than Category A and can be readily mitigated through preparation of a separate Environmental and Social Management Plan (ESMP) with tailored, site-specific environmental mitigation measures (not just generic ones).

• Category C - C projects do not involve any civil works and have no significant environmental issues therefore; the project can proceed without reference to additional environmental requirements.

The LWDP II Distribution Network under Component 1 may be a Category B project whereby a site specific ESMPs will be required for the following activities:

o Replacement/upgrading of the existing water pipelines with larger diameter pipelines; and o Construction of water transmission mains;

However, further investigations are required before a conclusion can be made.

In the future, as part of preparing the feasibility studies, subprojects and activities under components 2 as well as those priority investments identified for implementation under Components 3 & 4 will have to undergo the screening process to determine the project EA Category and the instruments to be prepared in parallel with the detailed designs.

Screening Form

The Environmental and Social Screening Form (Annex 1) will be completed by the LLWSSU, DRWS, CoW and WASCO Environmental and Social Safeguards Officers. In situations where the screening process identifies the need for land acquisition, loss of assets, or loss of livelihood, a RAP shall be prepared consistent with the standards and guidelines set in the Resettlement Policy Framework and the World Bank’s Involuntary Resettlement Policy, OP 4.12.The Social Safeguards Officer will confirm that any land acquisition for the project where necessary follows the national and international requirements as stipulated in the Resettlement Policy Framework (RPF).

Again, where the screening based on the subproject proposals identifies the need for sub-projects to implement the LWDP II, the Environmental and Social Safeguards Officers will propose the modalities of carrying out the specific ESIA/ESMP studies. The subprojects specific environmental and social instruments such as ESIAs and/or ESMPs will be prepared by independent and qualified environmental and social consultants contracted by the various implementing entities.

7.1.5 Environmental and Social Impact Assessment Process

During preparation phases, the various investments and subprojects under Component 1 i.e. the distribution network; Component 2 entailing TA activities specifically the priority sanitation investments; Component 3 which might result in infrastructure developments; and Component 4 activities which will be supported through CERC of the Project will be subjected to an assessment process which will identify and assess the potential environmental and social impacts of the proposed construction activities, evaluate alternatives, as well as design and implementation appropriate mitigation, management and monitoring measures. These measures will be captured in the subproject specific Environmental and Social Management Plans (ESMPs) or Environmental and Social Impact Assessments (ESIAs), as needed, based on the environmental screening carried out for the project. The number of construction packages and/or lots will be determined by the design engineer. Based on this, sub-project specific construction ESIAs and/or ESMPs will be developed for each construction package and/or lot. These ESIAs and/or ESMPs will be prepared by independent and qualified environmental and social consultants contracted by the various implementing entities.

Preparation of any ESMP and ESIA will be carried out in consultation with the relevant sector Ministries, along with potentially affected persons. The Environmental and Social Safeguards Officers, in close consultation with the Department of Environment, will arrange for the following activities:

a) Preparation of the ESMP/ESIA terms of reference • The result of identification, and extent of the ESMP/ESIA (scoping), the terms of reference will be prepared by the Environmental and Social Safeguards Officers.

b) Recruitment of an independent and qualified environmental and social consultant to prepare the ESMP and the ESIA;

c) Preparation of the ESIA/ESMP with Public consultation. The report will follow the following format: • Description of the study area • Description of the Project • Discussion and evaluation of alternatives • Environmental description • Legal and regulatory • Identifying potential impacts of the proposed project, including cumulative impacts • Process of public consultations • Development of mitigation measures and a monitoring plan, including estimates of costs and responsibility for implementation of surveillance monitoring

d) Review of ESMP/ESIA by the Department of Environment (DoE); e) Approval of the ESMP/ESIA by DoE through the Kingdom of Lesotho’s national ESIA approval process; and f) World Bank review and Approval.

7.1.6 Review and Recommendations for Approval/Disapproval

When the ESMPs or ESIAs have been prepared, DoE will review the reports to ensure that all environmental and social impacts have been identified and that effective mitigation measures have been proposed.

7.1.7 Public Consultation

For the project public consultation will include the following steps: • Identification of Interested and Affected Parties (I&APs), these will include: o Communities in the project Area o Local Authorities o NGOs o Stakeholders (Government departments) o Media • Initial step of consultation, before further environmental assessment work is undertaken; one initial meeting with each of the identified stakeholders, presenting the programme and seeking input on the scope of work for further environmental assessment work; • Second step of consultation, after environmental assessment work is complete: presenting of the results of the environmental assessment, including presentation of identified impacts and proposed mitigations, seeking input on these proposed environmental management measures; this second step will include dissemination to identified I&APs of a summary of the environmental assessment in local language (Sesotho).

On average 3 to 5 meetings will be required for each of the above two steps of consultation for this project. The consultations will be undertaken by the LLWSSU Social Safeguards Officer. All consultation meetings will be documented.

7.1.8 Review and Clearance of Environmental Screening Results

The screening results will be reviewed and cleared by the DoE. DoE has the mandate to review and approve environmental and social screening and ESIA study documents. A sample of screening forms will also be reviewed by the World Bank during the LWDP II implementation. 72

Prior to going to the field, a desk appraisal of the construction and rehabilitation plans, including infrastructure designs, will be carried out by the LLWSSU, WASCO, CoW and DRWS's Environmental and Social Officers.

Subsequently, the Officers will also carry out the initial screening in the field, using the Environmental and Social Screening Form (Annex 1).

The screening form, when currently completed, will facilitate the identification of potential environmental and social impacts, the determination of their significance, the assignment of the appropriate environmental category (consistent with the OP/BP 4.01), the determination of appropriate environmental and social mitigation measures, and the need to prepare an Environmental and Social Impacts Assessments/Environmental and Social Management Plans (ESIAs/ESMPs).

Step 2: Assigning Appropriate Environmental and Social Categories

The environmental and social screening form, when completed, will provide information on the assignment of the appropriate environmental and social category to a specific activity and subproject under Project Components 1,2,3 & 4. These activities will include for example, i) water supply distribution network expansion and rehabilitation; ii) technical assistance entailing diagnostics of the existing situation as well as feasibility studies, detailed designs, safeguards assessments and plans and technical specifications for bidding documents which will be prepared for high priority sanitation investments in the project areas; iii) a range of institutional improvements to support sector institutions to more effectively manage their respective policy, regulatory, and service delivery mandates, with a particular focus on improving Water and Sewage Company (WASCO)’s operational performance through implementation of a Change Management program and introduction of an output- rather than input-based performance improvement incentive system; and iv) a Contingent Emergency Response Component (CERC) to support mitigation of sector– related risks such as major droughts which are not yet known and defined.

The LLWSSU, WASCO, DRWS and CoW Environmental and Social Safeguards Officers will be responsible for assigning the appropriate environmental category to activities and subprojects consistent with the requirements of OP/BP 4.01 as well as the Environment Act 2008 of the Kingdom of Lesotho and based on the criteria provided by this ESMF.

Step 3: Deciding the Required Type of Environmental and Social Assessment

After reviewing the information provided in the environmental and social screening form which will form part of the Terms of Reference for subproject specific ESIAs and/or ESMPs. Upon determining the appropriate environmental category in line with Lesotho EIA Guidelines of 2010 which are consistent with World Bank OP 4.01 EA categorisation, the Department of Environment will formally approve the category determined through the screening process in writing.

7.2 Review and Clearance of the ESIAs and ESMPs

The subprojects, ESIAs and/or ESMPs will be reviewed by the DoE as follows: • Review the scope of work (Terms of Reference); • Review the draft ESIAs and/or ESMPs; and 73

• Clearance of the final ESIAs and/or ESMPs.

The subprojects ESIAs and/and ESMPs, if any) will be reviewed by the World Bank as follows: • No-objection on the scope of work (Terms of Reference); and • Review of the final ESIAs and/or ESMPs after it has been reviewed and cleared by the DoE.

7.3 Disclosure

In conformance with OP 4.01, subprojects specific ESIAs and/or ESMPs reports will be made available to the public as follows:

• Disclosure Notices in local newspapers with wide circulation; • Disclosure through the World Bank Website;

A summary of the report will be available in Sesotho at the Department of Environment and the Commission of Water.

7.4 Rules for Civil Works Contractors

Environmental rules for civil works contractors are presented in Annex 2 and will form part of the ESMPs produced. They will apply to all activities involving civil works in the LWDP II. These rules will be appended to all Request for Proposals (RFP) and bidding documents for construction works and the resulting contracts under LWDP II. Among other requirements, contractors are also expected to abide the EHS General Guidelines and EHS Water and Sanitation Guidelines.

7.5 Environmental and Social Management Process

This ESMF contains potential mitigation measures and monitoring indicators through which the adverse impacts for the project are managed. As has already been noted, the subprojects may require ESIAs and/or ESMPs. The ESIAs and/or ESMPs shall at a very minimum contain the following items, among others:

• Requirements of World Bank Ops and General EHS Guidelines and Sector Guidelines for Water and Sanitation; • Description of the possible adverse effects that the ESMP is intended to address; • Identification of project design alternatives that would meet similar objectives, and description of why these projects are not viable, especially if they have a lesser environmental or social impact; • Description of planned mitigation measures, and how and when they will be implemented; • Program for monitoring the environmental and social impacts of the project, both positive and negative; • Description of who will be responsible for implementing the ESMP. • Integrate the Rule for Contractors • Cost estimates.

8. Environmental and Social Monitoring

The aim of monitoring is to determine whether interventions have been effective in dealing with the negative impacts, whether further interventions are needed, or monitoring is to be extended in some areas. Monitoring indicators will be very much dependent on the project context.

The LLWSSU Environmental and Social Safeguards Officers will be responsible for overall monitoring and reporting on compliance with the ESMF ensuring that the project is screened, safeguards instruments are prepared, cleared and disclosed prior to approval. The LLWSSU will ensure that contractors executing the works are implementing the right ESMP.

LLWSSU will keep records of complaints, received, resolved, accidents, and other environmentally or socially related topics of relevance and importance for this project. The World Bank will conduct periodic audits of the project and access documented information. Any project-related fatalities or serious injuries will be reported to the World Bank. The monitoring indicators with verified indicators and responsible institutions are as in the Table Below.

Table 8-1 Monitoring Indicators

Monitoring Monitoring Issue Verifiable indicators Responsibility level

ESMF level Adequate dissemination of Records of consultations and LLWSSU ESMF to stakeholders Capacity meetings Workshop reports building and training programs

Project Level Preparation of ESMP (or ESIA) Independent consultants hired LLWSSU Preparation to prepare ESMP and ESIA, Environmental permitting documents,

Monitoring and evaluation Environmental permits for sub projects,

Environmental Management Plans Monitoring reports (monthly)

Daily on-site compliance overall

Outcomes Use of water system Already existing methods CoW, WASCO improvements

8.1 Project Monitoring Indicators and Responsibilities

It is important to note that although contractors and others may be responsible for particular activities, LLWSSU is ultimately responsible to ensure the implementation of any mitigation or other activities contained in this ESMF. During project construction, the Supervising Engineer is responsible for ensuring environmental compliance. The above table presents the proposed monitoring indicators and responsibilities.

8.2 Reporting

LLWSSU will develop a brief Quarterly environmental monitoring report. The report contents will generally be the following:

• A summary of Environmental and Social Screening reports, with a table summarizing which subprograms have been assigned to each of the screening categories,

• A summary of ESMPs developed during the year,

• A summary of environmental monitoring carried out on systems at both construction and operation phases.

Table 8 – 2 Project Monitoring Indicators and Responsibility

Impact Issue Proposed Action/Measures Implementation Monitoring Monitoring Verification Project Stage Responsibility tool/Criteria Indicators Indicators (inputs) (Outcomes) Solid waste disposal Provide adequate waste Waste management Number of waste Number of Weekly Construction Contractor Health receptacles facilities at plan/construction bins at site workers checks by and Safety construction camps site management following project Operation plan LLWSSU waste disposal Health and Wastes should be disposed Availability of safety officer at approved waste waste disposal plan and use of collection sites plan receptacles

Asbestos containing waste Final disposal Number of must be disposed of in a records workers way to prevent scavenging Number familiar with for reuse. the waste Waste disposal plan at sites

Waste oil/fuel Provide drums/containers Waste management Waste oil Number of Monthly Construction Contractor disposal for temporary storage on plan/construction drums/containers workers checks by site for the oils collected management plan on site familiar with Health and Operation Health and Safety from vehicles and the waste safety Officer equipment disposal plan engineer Availability of at sites Dispose of waste oil through waste disposal an approved agent plan/construction Number of site management workers plan following waste disposal plan and use of receptacles 77

Air quality procure good Contractual Number of good Number of Independent construction Contractor/project degradation/pollution equipment/machinery for agreement equipment workers check by engineer the project procured following good project practices for engineers Operate well maintained Routine equipment and vehicles and equipment maintenance plan Availability of machinery Verification for machinery equipment and maintenance of Use good quality fuel and machinery maintenance lubricants Purchase fuel in maintenance by project recognized stations plan engineers Suppress dust at project Self-check by sites Switch off engines Apply water to Frequency of contractor when not in use surfaces to limit watering of dust surfaces to minimize dust related impacts Noise pollution Adhere to working hours in Contractual Recorded Number of Self-check by construction Contractor/project accordance to the agreement grievances workers contractor engineer Employment Act correctly and frequently Provision of PPEs for using PPEs workers for noise pollution Number of PPEs procured for Workers training on the use noise mitigation of PPEs for noise mitigation and warn those not complying Visual Impacts Landscaping around Construction site Plan Quality of Self-check by Construction Contractor/project facilities after construction and restoration plan implementation stored contractor engineer and restoration of disturbed landscapes area e.g. borrow pits Number of disturbed sites successfully restored Hazards to Immediately backfill all open Construction site Number of Number of Inspection Construction Contractor, CoW, 78

Community such as trenches after works and restoration exposed trenches exposed self-check by and Project Engineer exposed trenches and plan, ESMP, and pits created trenches and contractor Operation pits (uncovered Geofence the exposed Contractual pits remaining and manholes trenches with barrier red Agreement after work is Supervising tape completed Engineer Presence of Install signs to warn appropriate pedestrians and others signage especially on roads Traffic Impacts Use roads only worthy for Procure good Traffic incidence Number of Verification Construction Contractor /project vehicles and heavy vehicles and recorded drivers aware by Project engineer machinery machinery for the and familiar Engineer project Grievance with the traffic recorded safety plan Driver qualifications Use experienced drivers should be documented Number of Contractor must provide drivers drivers training following traffic rules for Establish speed limits the past three Develop Traffic months Enforce safe driving and safety plan take disciplinary action against repeat offenders Water Pollution Garbage /refuse oily wastes Waste management Visibility of oil in Visual Change Daily self- Construction Contractors/project should not be discharged plan water bodies in water checks by engineer into water bodies or drains quality contractors Procure water Operation Project engineer Maintenance and lubricating Spill prevention quality Periodic of vehicles should take place management monitoring reports on offsite equipment performance by contractor Workers should be provided Onsite soil to Project with adequate and erosion Engineer 79

appropriate sanitation observation facilities Quality of water Construction activities from regularly including camps should have scheduled testing measures to control runoff Spot checks water Number of /audits by pollution project incidences engineer recorded Influx of Labour Development of a Labour Influx Management Labour Labour Monthly Construction Contractor Health Related Impacts Influx Management Plan and Plan and “Workers Management Management checks by and safety officer, “Workers Camp Camp Management Plans Developed Plans Health and Social Safeguards Management Plan” that Plan” that outline Workers Implemented safety Officer Officer outline the contractors’ the contractors’ Management Workers and Social responsibilities in contracts. responsibilities in Plans Developed management Safeguards contracts. Workers Code of plans Officer Drafting of enforceable Conducts implemented Workers’ “Codes of Drafting of developed Workers’ Code Conduct” enforceable Number of of Conduct Workers’ “Codes of sensitization implemented Conduct” meeting held Number of Regular Sensitization of workers and workers and surrounding community communities of the risks of Regular member who HIV/AIDS and other STDs Sensitization of attended workers and meetings surrounding communities of the risks of HIV/AIDS and other STDs Development of Labour Management Plans

Development of Workers Management Plans

Drafting and enforcement of workers’ “Code of Conducts”

Sensitization of workers and surrounding communities

9. PROJECT IMPLEMENTATION ARRANGEMENTS

9.1 Partnership Arrangements

This project will contribute to the SDGs for improvement of access to potable water and improved sanitation. The main partner is the World Bank.

The main project implementing entity will be the Ministry of Water through LLWSSU, CoW, WASCO, as well as DRWS and Ministry of Tourism, Environment and Culture through DoE. The financial site (Loan signing with WB) of the project will be handled by the Ministry of Finance directly. The lead agency will be LLWSSU which will oversee the project implementation and will be responsible for all aspects of project management, including planning, procurement, finance management, results monitoring and evaluation and safeguards through the PIU office to be housed within LLWSSU.

9.2 Institutional and Implementation Arrangements for LWDP II

The roles and responsibilities of the executing agencies and sector stakeholders are detailed here. The following groups will be involved in implementing the LWDP II:

• The Ministry of Finance (MoF) will be responsible for: (i) Securing and channelling financial resources to LWDP II (ii) Allocating financial resources; (iii) Approving public sector borrowing and public and private financing arrangements; and (iv) Monitoring disbursements (v) Economic validation of the project activities and for ensuring that the project activities are in line with the national economic agenda.

• The Ministry of Tourism, Environment and Culture (MTEC), and its Department of Environment (DoE) will dictate the requirements of the environmental and social impact assessment. They will advise on the:

(i) preparation of Environmental and Social Impact Assessment (ESIA) terms of reference; (ii) Arrangements for Stakeholders consultations; and (iii) Review and approval of the ESIA through the national EIA approval process. This will be for this ESMF and any ESMPs that may be subsequently prepared for this project and its activities.

• The Ministry of Water will be responsible for:

(i) The development of policies, laws, and strategies for the water sector; (ii) Refining implementation arrangements through experience; (iii) Facilitating the development of Water Supply management institutional framework for safely managed water supply services.

• Lesotho Lowlands Water Supply Scheme Unit (LLWSSU)

LLWSSU is the lead implementing agency responsible for all aspects of project management, including planning, procurement, finance management, results monitoring and evaluation and safeguards. LLWSSU has no existing Project Implementation Unit (PIU) – but has secured funding to establish PIU during the project preparation phase prior to the implementation phase. The PIU will be charged with the responsibility of delivering LWDP II.

The Project Implementation Unit (PIU)

The PIU will report to the CoW and will constitute a core team comprising some government staff supported by experienced individual consultants, including a PIU manager, a procurement specialist, a financial management (FM) specialist, a monitoring and evaluation (M&E) specialist, Environmental Specialist, Social Safeguards Specialist and a civil engineer with broad experience in design and implementation of WSS infrastructure, as well as representation from key sector agencies, including WASCO and DRWS. The functions of the PIU will be implementation of the project, reporting on the project progress with the support of the Project Management Consultant firm (PMC). The PIU staff will work closely with the PMC staff. The WASCO and DRWS representatives to the PIU will comprise dedicated experienced specialists from WASCO and DRWS, selected on the basis of terms of reference (TOR) acceptable to the World Bank, who will ensure that the project design and implementation for Components 1 and 2 have a strong link with the planning, O&M, and service delivery activities managed by both agencies. The PIU will be designed to allow for periodic secondment of selected staff from WASCO and DRWS to participate in specific activities to ensure that capacity and skills are transferred to and retained in these agencies after the project closes. In addition, the PIU will be responsible for preparation of relevant safeguards instruments for Component 4 on CERC as per Annex 4.

• Water and Sewage Company (WASCO)

WASCO will be responsible for implementing both the water supply construction and sanitation master plan preparation in the urban areas of the LWDP II. Hence, preparation of the safeguard’s documents for the urban areas part of the LWDP II. Component 3 of the project also focuses on WASCO performance. WASCO will be responsible for preparation of environmental and social instruments such as ESIAs/ESMPs and RAPs/ARAPs applicable to the distribution network; priority sanitation investments in urban areas and performance improvement activities and subprojects identified for implementation under Components 1, 2 and 3 respectively.

• Department of Rural Water Supply (DRWS)

DRWS will be responsible for implementation of priority sanitation investments in rural areas under Component 2. DRWS will be responsible for preparation of relevant environmental and social instruments such as ESIAs/ESMPs and RAPs/ARAPs applicable to priority sanitation investments in rural areas identified for implementation under Components 2.

9.3 Implementation arrangements for the ESMF

LLWSSU, through its PIU, will have the overall responsibility to implement, monitor and report on the implementation of this ESMF and subsequent site-specific instruments. Key PIU responsibilities will include:

• Overall coordination and management of the project’s social and environmental safeguard instruments; • Preparing, implementing and monitoring the safeguards instruments under the project; • Establishment of good and operational relations with affected communities; • Implementation of the project communication plan and continuing consultation with project affected communities and other stakeholders; • Providing technical support, communication and cooperation with WASCO in cases where safeguard policies are triggered by activities under Component 3 which will be identified for implementation at the discretion of WASCO during project implementation phase; DRWS and other institutions and actors involved in ESMF implementation; • Ensuring and monitoring overall social and environmental due diligence as per the provisions of the ESMF.

All contractors will be required to follow any site-specific environmental and social management instruments such as ESIAs/ESMPS and RAPs/ARAPs agreed to and incorporated into all construction documentation. Mitigation for construction works will be guided by method statements for general environmental issues such as sediment and erosion control, noise and duct control, as well as safety and health of workers.

For components 1, 2 and 3 WASCO and DRWS will lead the process in collaboration with LLWSSU and the PIU.

9.4 Assessment of Institutional Capacity to Implement the ESMF

LLWSSU will have the overall responsibility to implement, monitor and report on the implementation of this ESMF. LLWSSU staff are familiar with both the national requirements and World Bank requirements for social and environmental safeguards. LLWSSU prepared the ESMF, demonstrating commitment and ownership of the necessary measures for mitigation. Although LLWSSU has some experience in implementation of safeguards instruments, the capacity to manage social risk at the scale of this project is still insufficient. Thus, the project will support the recruitment of a social development/safeguard’s specialist into the PIU in LWDP II to implement and monitor the mitigation measures described in the various safeguards’ instruments. In addition to the other professionals in the Unit, there will be a full-time Chief Environment Officer to lead implementation of this ESMF, ESMP and any other safeguard instruments to be developed under the project. The PIU will coordinate as necessary with the LLWSSU to ensure implementation of this ESMF.

At the national level, the Kingdom of Lesotho’s legal and institutional framework for environmental and social management is relatively good. The country has, over the past years, developed several policies, legal and administrative framework to guide environmentally sustainable development in various sectors of the economy. The Environment Management Act No. 10 (2008) is the overarching legal framework on environmental management in the Kingdom of Lesotho. The aim of this Act is to

promote sustainable socio-economic development in the country through mainstreaming of environmental and social considerations in project planning and implementation.

10. PUBLIC PARTICIPATION

10.1 Stakeholder Consultations

The LLWSSU and Aurecon conducted a consultation meeting with different relevant stakeholders within the project area. A series of consultations were conducted from April to August 2018.

The process employed multiple consultative phases. The first phase was conducted by the LWSSU between April and June 2018 to sensitise district authorities for Leribe and Berea about the project. Key among those consulted were Members of Parliament of the affected constituencies; the District Administrators, District Council Secretaries, Principal chiefs, Area Chiefs, Community Councils and Government Departments.

The second phase of consultations took place in June 2018 when the LLWSSU introduced the Aurecon to the district authorities. During these consultations, consultants obtained additional details for other stakeholders in the districts.

The third phase of participation was at an inception workshop organised by the LLWSSU on 1 August 2018. Participating at the workshop were Members of Parliament for affected areas, Principal Chiefs, District Administrators, District Council Secretaries, Community Council Secretaries; Area Chiefs and Water Committees. At the end of this workshop the public participation schedule plan was developed jointly with the Aurecon and the representatives of the areas (Chiefs, councillors and the community council secretaries). It was agreed that the chiefs, working with the councils would call the public gatherings on the agreed-upon dates. The LLWSSU and Aurecon facilitated the public consultations.

The public consultation process commenced from between 6 to 29th August 2018.

Table: Statistics of the Areas consulted Public Participation Attendance by Area by Gender

Area Males Females Total

Ha Peete 27 46 73 1. Matukeng 33 52 85 1. Peka 73 41 114 2. Ha Letsie 22 78 100 3. Ha Makhata 30 38 68 4. Nkoeng 33 37 70 5. Makibinyane 70 108 178 6. Mahobong (Koporasi) 78 78 156 7.

Lesiamo 61 73 134 8. Setene 27 35 62 9. Likhakeng 41 93 134 10. Ramapepe 38 96 134 11. Khanyane 159 127 286 12. Mpharane 39 34 73 13. Hlotse 17 56 73 14. Tsikoane 37 35 72 15. Hleoeng 49 24 73 16. Tabola 26 29 55 17. Kolonyama 20 18 38 18. Mohlokaqala 26 48 74 19. Ha Nchee 16 27 43 20. Pitseng (london) 85 98 183 21. Maputsoe (Mathata) 20 27 47 22. Maputsoe (St Monica) 18 23 41 23. Mamathe 61 54 115 24. Baking 47 51 98 25. Mokomahatsi 23 34 57 26. Mphele 28 19 47 27. Tsekelo 12 28 40 28. Kolojane 84 59 143 29. Corn Exchange 16 23 39 30. Total: 1316 1589 2905

The consultation meetings were interactive in nature. In these meetings, general information about the project was discussed and several issues were raised pertaining to how the project will affect both environment and social issues. The consultation meeting was conducted to: 87

(i) Inform the stakeholders about the project; (ii) Provide an opportunity for them to discuss their opinions and concerns; (iii) Manage their expectations and misconceptions regarding the project; (iv) Verify the significance of environmental, social and health impacts identified; (v) Disseminate concepts of the proposed Project activities with a view to provoking Project interest amongst the stakeholders; (vi) Promote sense of ownership for the Project; and informing the process of developing appropriate mitigation measures.

The consultation meetings were conducted in a form of a presentation to the stakeholders and getting feedback from the participants.

10.2 Grievance Redress Mechanism

The project’s procedures for the redress of grievances and complaints from PAPs are explained in detail here. The grievance and complaints about expropriation, resettlement, construction activities, social issues and any other subjects related to the project from the start of project to the end of the monitoring should be addressed for effective implementation. In this respect, all grievances and complaints will be recorded and processed in all stages of the project implementation.

10.2.1 The Aim of the Grievance Redress Procedure

The aim of Grievance Redress Procedure is to settle or redress any individual grievance or complaint of PAPs promptly, fairly and as much as possible in a manner that is acceptable to all parties. The general approach is to seek a solution to the problem in the earliest stage and avoid taking complaints to courts for redress. The following should be taken into account in application of this approach:

• Provide straightforward and accessible ways to PAPs for making complaints or resolving any disputes that may arise due to the realization of the project, • Identify and implement appropriate and mutually acceptable actions to address complaints, • Ensure that complainants are satisfied with outcomes of the corrective actions, • Avoid the tendency to resort to judicial proceedings.

Grievances are useful indicators of a project performance. A high number of grievances may point out a need to adjust work practices or procedures in order to mitigate adverse impacts or conflicts with the PAPs. In this respect, the effectiveness of the related procedures will be evaluated in all stages of implementation.

10.2.2 Duties and Responsibilities

The grievance redress mechanism will be managed by the PIU overall. The Grievance Redress Committee will comprise of the representatives of District Councils, Area Chiefs, LLWSSU (PIU), Commissioner for Water, District Administrator, PAPs representative, Representative of Civil Society in the project area, MPs and Community Councillors in the project affected area.

The purpose of including these institutions and associations into the grievance redress committee is to ensure the participation of local authorities and associations into the problem-solving processes. 88

Thus, these institutions and associations, functioning as a balancing body between the PAPs and the project, will contribute to the fairness and transparency of the grievance redress mechanism. The decisions of the Committee will be binding for all the local implementing agencies. The committee will meet once a month to propose corrective/precautionary actions. If required, the committee may also invite the applicants, relevant governmental authorities and/or third parties to these meetings. The committee will also monitor the grievance mechanism via the reports prepared by the resettlement action plan committee and propose improvement when necessary.

10.2.3 Types of Grievances

All types of grievances related to the project will be received at the project implementation unit and LLWSSU. In addition, grievances can be received through the project-dedicated phone line, which will be active throughout the project. By this phone line, PAPs who cannot come to the project office or are away from the affected areas, can express their concerns and grievances regarding the project. The phone number shall be widely advertised in all affected settlements through the community information meetings. In addition, each site will have grievance boxes where affected PAPs can deposit grievances – Those are likely to include: a) Damages to buildings and assets, b) Disruption or damages to local roads, c) Closure of passageways, d) Damages to lands outside the project demarcated working area, e) Reinstatement of immovable assets after temporary use (establishment of easement rights, rental or temporary occupation), f) Nuisance from dust, noise and vibration, g) Disruption or damages to water sources and infrastructures, h) Destruction of wells that are water sources for the local communities, i) Increase in the traffic load, j) Health problems, injuries and accidents, k) Misconduct of project personnel/workers, and l) Unfair selection practice of employees for project-related jobs.

10.2.4 Procedure for Receiving and Responding to Complaints, Grievances, Appeal and Claiming Process

All types of complaints, appeals and claims related to the project will be received by the Grievance Committee at the project office at LLWSSU. Complaints can be lodged through the toll-free phone line and complaint boxes to be located on project sites.

At the beginning of the project, the grievance mechanism will be disclosed to all stakeholders via written information including meetings with the Project Affected Persons. All types of grievances will be received by the Social Specialist or other designated project official (in person or via project dedicated phone/site boxes) at the project office, which will operate throughout the project cycle. These grievances will be recorded in Grievance Forms, which contain the details regarding the grievance as well as the name and address of the applicant, application date, type of application and the name of the person receiving the grievance.

For proper functioning of this procedure, all grievances (no matter where lodged) will be recorded by the PIU Social Safeguards Specialist located at LLWSSU.

• In receiving the grievances of the vulnerable PAPs such as elderly, disabled and illiterate people, the PIU will pay special attention and help them to receive their grievances properly.

• The grievances depending on the gravity of the matter will be solved via the Grievance Committee and in consultation with the contractor if it occurs during the implementation period of the project. When required, site investigations will be undertaken involving technical staff from relevant organizations such as the CoW, LLWSSU, Ministry of Water, District Council officials, MPs and Councillors.

Technical reports to serve as a basis for the discussions will be prepared and tabled before the Grievance Redress Committee. During this site observation, the complainant or his/her representative shall also be present. The committee will inform the complainant about the status of their grievances within 10 working days after receiving the complaint and carrying out the investigations. In case the applicant is not satisfied with the result, the Social Specialist will forward the case to the Grievance Redress Committee and notify the applicant. In addition, in case the applicant cannot receive a respond within the designated time frame, s/he can apply directly to the Grievance Redress Committee.

11 ESMF IMPLEMENTATION BUDGET

The awareness creation, capacity improvement and training workshops will be organised for selected officers involved in the implementation of LWDP project, mainly:

• CoW officers • LLWSSU Officers • WASCO Employees • DRWS Employees

Table 11 – 1 Estimations of ESMF Budget

Indicative Budgetary Item No. Unit cost (USD$) Total cost (USD$ 1. Stakeholders trainings/ 5 3,000.00 15,000.00 consultation forums on ESMF 2. Preparation and Once- 300,000.00 implementation of specific Off instruments (ESMPs, ESIAs & ARAPs) for specific subprojects and activities under components 1,2,3 &4. 3. Monitoring and evaluation of Once- 10,000.00 ESMP implementation Off 4. Implementation of grievance Once- 30,000.00 redress mechanism Off 5. PIU Environment and Social Once- 315,000.00 Safeguards staff Off 6. Training and capacity Once- 50,000.00 building Off SUB TOTAL 720,000.00 Add 20% contingency 144,000.00

REFERENCES Aurecon, 2018. Lesotho Lowlands Water Supply Scheme ESIA.

Bredenkamp, G., van Rooyen, N. And R. Lubke. 1996. Moist Cold Highveld Grassland. In: Low, A.B. and Robelo, A.G. (eds). Vegetation of South Africa, Lesotho and Swaziland. Department of Environmental Affairs and Tourism, Pretoria.

Cauley, P.M. 1986. Benchmark Soils of Lesotho. Their Classification, Interpretation, Use and Management. Office of Soil Survey, Conservation Division, Ministry of Agriculture, Maseru.

IFC, 2007. Environmental, Health and Safety General Guidelines. Available from: https://www.ifc.org/wps/wcm/connect/554e8d80488658e4b76af76a6515bb18/Final+- +General+EHS+Guidelines.pdf?MOD=AJPERES [Accessed on 10 November 2018].

GOL. (1999). National Environment Policy. Maseru: Government of Lesotho.

GOL. (2001). The Constitution of Lesotho. Government of Lesotho.

GOL. (2008). Lesotho Environment Act No10/2008. Maseru: Government of Lesotho.

Ministry of Energy, Meteorology and Water Affairs, 2014: Long-term Water and Sanitation Strategy (Volume II) Water Sector Programme.

Ministry of Natural Resources, 2007: Lesotho Water and Sanitation Policy.

Ministry of Tourism, Environmental & Culture, 2009: Guidelines for Environmental Impact Assessment. Government of Lesotho.

SADC, 2000. Revised Protocol on Shared Watercourses in the Southern African Development Community (SADC). Available from: https://www.internationalwaterlaw.org/documents/regionaldocs/Revised-SADC- SharedWatercourse-Protocol-2000.pdf [Accessed on 10 November 2018].

United Nations, 1992. United Nations Framework Convention on Climate Change. Available from: https://unfccc.int/resource/docs/convkp/conveng.pdf [Accessed on 10 November 2018].

United Nations Educational, Scientific and Cultural Organisation, 1972. Convention concerning the Protection of the World Cultural and Natural Heritage. Available from: https://whc.unesco.org/archive/convention-en.pdf [Accessed on 10 November 2018].

Walmsley, B. and Patel, S. 2011: Handbook on environmental assessment legislation in the SADC region. 3rd Edition. Pretoria: Development of southern Africa (DBSA) in collaboration with the Southern African Institute of Environmental assessment (SAIEA).

World Bank, 2004. Operational Manual: OP 4.09 – Pest Management. Available from: https://policies.worldbank.org/sites/ppf3/PPFDocuments/090224b08231a247.pdf [Accessed on 10 November 2018]. 92

ANNEX 1: ENVIRONMENTAL AND SOCIAL SCREENING FORM (ESSF)

Environmental and Social Screening Form for the Screening of Potential Environmental and Social Impacts of LWDP II Activities

1. Introduction

This Environmental and Social Screening Form (ESSF) has been designed to assist in the evaluation of planned construction, rehabilitation and expansion activities under LWSP II. The form will assist in the identification of any environmental and social impacts and their mitigation measures. It will also assist in the determination of requirements for further environmental and social work as needed. The form helps to determine the characteristics of the prevailing local bio-physical and social environment with the aim of assessing the potential impacts of the construction and rehabilitation activities on the environment by the activity.

The ESSF will also assist in identifying potential socio-economic impacts that will require mitigation measures.

2. Guidelines for Screening

The evaluator should undertake the assignment after:

• Gaining adequate knowledge of baseline information of the area. • Gaining knowledge of proposed project activities for the area. • Having been briefed / trained in environmental and social screening.

The form is to be completed by the LLWSSU Environmental and Social Safeguards Specialists in collaboration with WASCO, DRWS, CoW and DoE.

PART A: GENERAL INFORMATION

Sub project Name Estimated Cost Project Site Project Objectives Proposed Main Activities Name of Evaluator/s Date of Field Appraisal

PART B: BRIEF DESCRIPTION OF THE PROPOSED ACTIVITIES

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

Provide information on the construction activities including support/ancillary structures and activities required to build them, e.g. need to quarry or excavate borrow materials, water source, access roads, etc.

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

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

Category of Baseline Information Brief Description GEOGRAPHICAL LOCATION * Name of the Area (District, T/A, Village) * Proposed location of the project (Include a site map of at least 1:10,000 scale/or coordinates from GPS) LAND RESOURCES * Topography and Geology of the area * Soils of the area * Main land uses and economic activities BIOLOGICAL RESOURCES * Flora (include threatened/endangered/endemic species) * Fauna (include threatened/endangered/endemic species) * Sensitive habitats including protected areas e.g. nature reserves and forest reserves

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

PART D: SCREENING CRITERIA FOR IMPACTS DURING SUBPROJECT IMPLEMENTATION, AREAS OF IMPACTS AND IMPACTS EVALUATION AND POTENTIAL MITIGATION MEASURES

The objective of these screening criteria is to identify potential environmental and social impacts that may arise due to implementation of identified subprojects.

Screening Criteria for Social and Environmental Impacts

Item Area of Impacts Impact Evaluation Potential Mitigation Measures Is this subproject site/activity within Extent or coverage (on Significance (Low, Medium, and/or will it affect the following site, within 3-5km or High environmentally sensitive areas? beyond 5km)

No Yes On Within Beyon Low Medium High site 3-5 km d 5 km

1.0 Screening Criteria for Social and Environmental Impacts 1.1 Wetlands 1.2 Productive traditional 94

agricultural /grazing lands 1.3 Areas with rare, endangered or other interest flora or fauna 1.4 Areas with outstanding scenery/tourist site 1.5 Within steep slopes 1.6 Near industrial activities 1.7 Near human settlements Near cultural heritage sites Within prime surface run off Will the project discharge to or otherwise impact water bodies? 2.0 Screening Criteria for Impacts during Implementation and Operation Will the implementation and operation of the subproject within the selected site generate the following externalities/ costs/impacts? 2.1 Soil erosion 2.2 Environmental degradation arising from mining of construction materials 2.3 Damage to wildlife species and habitat

2.4 Hazardous wastes, (pipes, etc.), PCB's, pollution from unspent PV batteries 2.5 Nuisance - smell or noise 2.6 Soil contamination 3.0 Screening Criteria for Social and Economic Impacts 3.1 Loss of assets, property, houses 3.2 Loss of livelihood 3.3 Disruption of social fabric 3.4 Interference in marriages for local

people by workers 3.5 Spread of STIs and HIV and AIDS, due to migrant workers 3.6 Increased incidence of communicable diseases 3.7 Health hazards to workers and communities 3.8 Changes in human settlement patterns 3.9 Conflicts over use of natural resources e.g. water, land, etc. 3.10 Disruption of important pathways, roads 3.11 Increased population influx

3.12 Loss of cultural identity 3.14 Loss of income generating capacity 3.15 Consultation (comments from beneficiaries and other project affected peoples)

PART E: SCREENING CHECKLIST FOR WORLD BANK ENVIRONMENTAL AND SOCIAL SAFEGUARDS POLICIES

The objective of this screening checklist if to identify World Bank Environmental and Social Safeguards policies which may be triggered by the implementation of identified subprojects. This will facilitate preparation of the requisite safeguard instruments such as ESIAs, ESMPs, RAPs and ARAPs.

Questions Answer If Yes Documents requirement if yes no WB Policy Yes triggered Are the project impacts likely to have OP 4.01 Environmental significant adverse environmental impacts that Environmental Impact 6 are sensitive, diverse or unprecedented? Assessment Assessment Please provide brief description: (ESIA) Category A

6 Examples of projects where the impacts are likely to have significant adverse environmental impacts that are sensitive, diverse or unprecedented are large scale infrastructure such as construction of new roads, railways, 96

Do the impacts affect an area broader than the OP 4.01 ESIA sites or facilities subject to physical works and Environmental are the significant adverse environmental Assessment impacts irreversible? Please provide brief description: Category A

Is the proposed project likely to have minimal OP 4.01 No action 7 or no adverse environmental impacts? Please Environmental needed provide brief justification: Assessment

Category C

Is the project neither a Category A nor Category OP 4.01 ESIA or ESMP 8 C as defined above? Please provide brief Environmental justification: Assessment

Category B

Are the project impacts likely to have OP 4.01 ESIA significant adverse Social impacts that are Environmental Social sensitive, diverse or unprecedented? Please Assessment provide brief description: Assessment Category A

Will the project adversely impact physical OP 4.11 Physical Addressed in cultural resources?9 Please provide brief Cultural ESIA justification: Resources

Will the project involve the conversion or OP 4.04 Natural Addressed in degradation of critical 10or non-critical natural Habitats ESIA habitats? Please provide brief justification:

power plants, major urban development, water treatment, waste water treatment plants and solid waste collection and disposal etc. 7 Examples of projects likely to have minimal or no adverse environmental impacts are supply of goods and services, technical assistance, simple repair of damaged structures etc., 8 Projects that do not fall either within OP 4.01 as a Category A or Category C can be considered as Category B. Examples of category B sub-projects include small scale in-situ reconstruction of infrastructure projects such as road rehabilitation and rural water supply and sanitation, small schools, rural health clinics etc. 9 Examples of physical cultural resources are archaeological or historical sites, including historic urban areas, religious monuments, structures and/or cemeteries particularly sites recognized by the government. 97

Will the project involve the significant OP 4.04 Natural No eligible conversion or degradation of critical natural Habitats habitats?

Does the project procure pesticides (either OP4.09 Pest Addressed in directly through the project, or indirectly Management ESIA through on-lending, co-financing, or (Pest government counterpart funding), or may affect pest management in a way that harm Management could be done, even though the project is not Plan) envisaged to procure pesticides?

Does the sub-project involve involuntary land OP 4.12 Resettlement acquisition, loss of assets or access to assets, or Involuntary Action Plan loss of income sources or means of livelihood? Resettlement Please provide brief justification:

Are there any ethnic minority communities OP 4.10 Ethnic Minority present in the project area and are likely to be Indigenous Development affected by the proposed sub-project People Plan negatively or positively? Please provide brief justification:

Will the project have the potential to have OP4.36 Forestry Addressed in impacts on the health and quality of forests or EIA the rights and welfare of people and their level of dependence upon or interaction with forests; or aims to bring about changes in the management, protection or utilization of natural forests or plantations? Please provide brief justification:

Will the project have the potential to have OP4.36 Forestry No eligible impacts on significant conversion or degradation of critical forest areas or other natural habitats?

Will the project develop feasibility studies for OP7.60 Projects Governments projects in disputed areas? in Disputed concerned Areas agree

10 Critical natural habitats include those habitats that are legally protected, officially proposed for protection, identified by authoritative sources for their high conservation value, or recognized as protected by traditional local communities. 98

Will the project involve any river, canal, lake or OP7.50 Projects Notification similar body of water that forms a boundary on International (or exceptions) between, or any river or surface water that Waterways flows through two or more states? Or any tributary of above-mentioned waterways?

Conclusion and Safeguards Instruments Required:

The project is classified as a Category ______project as per World Bank OP4.01, and the following safeguards documents will be prepared:

1. ______2. ______3. ______4. ______

Initial Screening Completed by

LLWSSU staff [date]

Confirmed by World Bank EAP Safeguards Secretariat

Environmental Specialist [date]

Social Specialist

Task Team Leader

ANNEX 2: ENVIRONMENTAL RULES FOR CIVIL WORKS CONTRACTORS

These rules shall form part of the ESMP and Bidding Documents

1 General Applicability of the Environmental Rules and ESMP

These general environmental guidelines apply to any work to be undertaken under the LWDP II. All work must be conducted in accordance with the World Bank Group General and Water Supply and Sanitation Environmental, Health and Safety Guidelines (EHS). The Construction and Demolition guidance in the General Guidelines is particularly pertinent. For certain work sites entailing specific environmental and/or social issues, a specific Environmental and Social Impact Assessment, including an Environmental and Social Management Plan (ESMP), has been prepared to address the above-mentioned specific issues in addition to these general environmental guidelines. In addition to these general Environmental Guidelines, the Contractor shall therefore comply with any specific ESMP for the works s/he is responsible for. The Contractor shall be informed by LWDP about such an ESMP for certain work sites and prepare his/her work strategy and plan to fully take into account relevant provisions of that ESMP. If the Contractor fails to implement the approved ESMP after written instruction by the works supervisor to fulfill his/her obligation within the requested time, the Client reserves the right to arrange for execution of the missing action by a third party on account of the Contractor. Notwithstanding the Contractor’s obligation under the above clause, the Contractor shall implement all measures necessary to avoid undesirable adverse environmental and social impacts wherever possible, restore work sites to acceptable standards, and abide by any environmental performance requirements specified in an ESMP where such an ESMP applies. These Environmental Rules, as well as any specific ESMP, apply to the Contractor. They also apply to any sub-contractors present on Program work sites at the request of the Contractor with permission from the Client.

2 General Environmental Protection Measures

In general, environmental protection measures to be taken at any work site shall include but not be limited to:

(a) Minimize the effect of dust on the environment resulting from earth mixing sites, vibrating equipment, construction related traffic on temporary or existing access roads, etc. to ensure safety, health and the protection of workers and communities living in the vicinity of work sites and access roads.

(b) Ensure that noise levels emanating from machinery, vehicles and noisy construction activities (e.g. excavation, blasting) comply with World Bank and are generally kept at a minimum for the safety, health and protection of workers within the vicinity of high noise levels and nearby communities.

(c) Ensure that existing water flow regimes in rivers, streams and other natural or irrigation channels are maintained and/or re-established where they are disrupted due to works being carried out.

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(d) Prevent any construction-generated substance, including bitumen, oils, lubricants and waste water used or produced during the execution of works, from entering into rivers, streams, irrigation channels and other natural water bodies/reservoirs.

(e) Avoid or minimize the occurrence of standing water in holes, trenches, borrow areas, etc.

(f) Prevent and minimize the impacts of quarrying, earth borrowing, piling and building of temporary construction camps and access roads on the biophysical environment including protected areas and arable lands; local communities and their settlements. Restore/rehabilitate all sites to acceptable standards.

(g) Upon discovery of graves, cemeteries, cultural sites of any kind, including ancient heritage, relics or anything that might or believed to be of archaeological or historical importance during the execution of works, immediately report such findings to the Client so that the Ministry in charge of Culture may be expeditiously contacted for fulfilment of the measures aimed at protecting such historical or archaeological resources.

(h) Prohibit construction workers from engaging in the exploitation of natural resources such as hunting, fishing, and collection of forest products or any other activity that might have a negative impact on the social and economic welfare of the local communities. Prohibit explicitly any purchase of bush meat, as well as the transport of bush meat in Contractor’s vehicles.

(i) Prohibit the transport of firearms in Program-related vehicles.

(j) Prohibit the transport of third parties in Program-related vehicles.

(k) Implement soil erosion control measures in order to avoid surface run off and prevent siltation, etc.

(l) Ensure that garbage, sanitation and drinking water facilities are provided in construction workers camps.

(m) Ensure that, in as much as possible, local materials are from legally authorized and (insofar as can be feasibly determined) environmentally sustainable sources.

(n) Ensure public safety and meet Kingdom of Lesotho traffic safety requirements for the operation of work to avoid accidents.

(o) Ensure that any trench, pit, excavation, hole or other hazardous feature is appropriately demarcated and signposted to prevent third-party intrusion and any safety hazard to third parties.

(p) Comply with Kingdom of Lesotho speed limits, and for any traffic related with construction at Project sites.

(q)Ensure that, where unskilled daily-hired workforce is necessary, such workers are hired from neighbouring communities as much as possible.

(r) Generally, comply with any requirements of Kingdom of Lesotho laws and regulations.

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Besides the regular inspection of the sites by the supervisor appointed by the Client for adherence to the Contract conditions and specifications, the Client may appoint an environmental inspector to oversee the compliance with these environmental conditions and any proposed mitigation measures. State Environmental Authorities may carry out similar inspection duties. In all cases, as directed by the Client’s supervisor, the Contractor shall comply with directives from such inspectors.

Unless duly requested by the Contractor and authorized by the supervisor, no servicing of vehicles is permitted at the drilling site.

3 Pipelines

No trench shall be left open for more than 7 days, unless duly authorized by the supervisor upon Contractor’s request. Trenches and other excavation works shall be demarcated and/or signposted to avoid third party intrusion and risks of injury or death.

General conditions related with topsoil stripping, storage and restoration apply.

The Contractor will take measures to dispose of water used for pressure tests in a manner that does not affect neighbouring settlements.

The Contractor will provide workers with appropriate Personal Protective gear and Equipment (PPE) especially if working with the replacement of asbestos pipelines. Recommended PPE for asbestos work includes: respirators and disposable clothing

4 Waste Management

All drums, containers, bags, etc. containing oil/fuel/surfacing materials and other hazardous chemicals shall be stored at construction sites on a sealed and/or bonded area in order to contain potential spillage. All waste containers, litter and any other waste generated during the construction shall be collected and disposed of at designated disposal sites in line with the applicable World Bank Group Environmental, Health, and Safety Guidelines as well as Kingdom of Lesotho waste management regulations.

In the event of a limited hydrocarbon spill, the Contractor will recover spilled hydrocarbons and contaminated soils in sealed drums and dispose of them in an authorized waste management facility.

All drainage and effluent from storage areas, workshops, housing quarters and generally from construction sites shall be captured and treated before being discharged into the drainage system in line with applicable government water pollution control regulations.

Used oil from maintenance shall be collected, properly stored in sealed containers, and either disposed of appropriately at designated sites or be re-cycled.

Entry of runoff into construction sites and staging areas shall be restricted by constructing diversion channels or holding structures such as berms, drains, dams, etc. to reduce the potential of soil erosion and water pollution.

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Construction waste shall not be left in stockpiles along the road, but removed and reused or disposed of on a daily basis.

Where temporary dump sites for clean excavated material are necessary, they shall be located in areas, approved by the Client’s supervisor, where they will not result in supplemental erosion. Any compensation related with the use of such sites shall be settled prior to their use.

Areas for temporary storage of hazardous materials such as contaminated liquid and solid materials shall be approved by the supervisor and appropriate local and/or relevant national or local authorities before the commencement of work. Disposal of such waste shall be in existing, approved sites. Waste containing asbestos (old pipelines, etc.) is to be disposed of at authorized locations in a manner to discourage reuse or scavenging.

5 Quarries and Borrow Areas

The Contractor shall obtain appropriate licenses/permits from relevant authorities to operate quarries or borrow areas. The location of quarries and borrow areas shall be subject to review and approval by relevant local and national authorities.

New extraction sites:

a) Shall not be located less than 1km from settlement areas, archaeological areas, cultural sites - including churches and cemeteries, wetlands or any other valued ecosystem component, or on high or steep ground.

b) Shall not be located in water bodies, or adjacent to them, as well as to springs, wells, well fields. c) Shall not be located in or near forest reserves, natural habitats or national parks.

d) Shall be designed and operated in the perspective of an easy and effective rehabilitation. Areas with minimal vegetation cover such as flat and bare ground, or areas covered with grass only or covered with shrubs less than 1.5m in height, are preferred. e) Shall have clearly demarcated and marked boundaries to minimize vegetation clearing and safety hazards for third parties.

Vegetation clearing shall be restricted to the area required for safe operation of construction work. Vegetation clearing shall not be done more than two months in advance of operations.

Stockpile areas shall be in areas where trees or other natural obstacles can act as buffers to prevent dust pollution, and generally at a distance from human settlements. Wind shall be taken into consideration when siting stockpile areas. Perimeter drains shall be built around stockpile areas. The Contractor shall deposit any excess material in accordance with the principles of these guidelines, and any applicable ESMP, in areas approved by local authorities and/or the supervisor

6 Rehabilitation of Work and Camp Sites

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Topsoil shall be stripped, removed and stored for subsequent rehabilitation. Soils shall not be stripped when they are wet. Topsoil shall not be stored in large or high heaps. Low mounds of no more than 1 to 2m high are recommended.

Generally, rehabilitation of work and camp sites shall follow the following principles:

- To the extent practicable, reinstate natural drainage patterns where they have been altered or impaired.

- Remove toxic materials and dispose of them in designated sites. Backfill excavated areas with soils or overburden that is free of foreign material that could pollute groundwater and soil.

- Ensure reshaped land is formed so as to be stable, adequately drained and suitable for the desired long-term land use and allow natural regeneration of vegetation.

- Minimize erosion by wind and water both during and after the process of reinstatement.

- Compacted surfaces shall be deep ripped to relieve compaction unless subsurface conditions dictate otherwise.

7 Management of Water needed for Construction Purposes

The Contractor shall at all costs avoid conflicting with water needs of local communities. To this effect, any temporary water abstraction for construction needs from either ground or surface water shall be submitted to the following community consultation process:

• Identification of water uses that may be affected by the planned water abstraction, • Consultation with all identified groups of users about the planned water abstraction, • In the event that a potential conflict is identified, report to the supervising authority.

This consultation process shall be documented by the Contractor (via minutes of meeting) for review and eventual authorization of the water withdrawal by the Supervising Engineer.

Abstraction of both surface and underground water shall only be done with the consultation of the local community as mentioned and after obtaining a permit from the relevant authority.

Abstraction of water from dambos, marshes, and similar wetlands is prohibited.

Temporary damming of streams and rivers is submitted for the Supervising Engineer’s approval by the. It shall be done in such a way as to avoid disrupting water supplies to communities downstream, and to maintain the ecological balance of the river system.

No construction water containing spoils or site effluent, especially cement and oil, shall be allowed to flow into natural water drainage courses. Similarly, wash water from washing out of equipment shall not be discharged into water courses or road drains. Washing bays shall be sited accordingly. Unless site conditions are not favourable, it will generally be infiltrated through soak pits or similar means.

Site spoils and temporary stockpiles shall be located away from the drainage system, and surface run off shall be directed away from stockpiles to prevent erosion. 104

8 Traffic Management and Community Safety

Location of temporary access roads shall be done in consultation with the local community and based on the screening results, especially in important or sensitive environments. Temporary access roads shall not traverse wetland areas or other ecologically sensitive areas. The construction of any access roads shall be submitted to a prior consultation process with potentially affected communities that will be documented (minutes of meetings) for the Supervising Engineer’s review and approval. Upon the completion of civil works, all temporary access roads shall be ripped and rehabilitated. Measures shall be taken to suppress dust emissions generated by Program traffic.

Maximum speed limits for any traffic related with construction at LWDP sites shall be the following, • Inhabited areas: 50 km/h • Open road: 80 km/h.

9 Salvaging and Disposal of Obsolete Components found by Rehabilitation Works

Obsolete materials and construction elements such as electro-mechanical equipment, pipes, accessories and demolished structures shall be salvaged and disposed of in a manner approved by the supervisor. The Contractor has to agree with the supervisor which elements are to be surrendered to the Client’s premises, which will be recycled or reused, and which will be disposed of at approved landfill sites.

Any asbestos cement material that might be uncovered when performing rehabilitation works will be considered as hazardous material and disposed of in a designated facility. Scavenging and reuse of such materials must be prohibited.

10 Compensation of Damage to Property

Compensation of land acquired permanently for Program purposes will be handled under Client responsibility based on the provisions of the RPF. However, in the event that the Contractor, deliberately or accidentally, damages property, he shall repair the property to the owner’s satisfaction and at his own cost. For each repair, the Contractor shall obtain from the owner/user a certificate that the damage has been made good satisfactorily in order to indemnify the Client from subsequent claims.

In any case where compensation for inconveniences, damage of crops etc. are claimed by the owner, the Client has to be informed by the Contractor through the Supervising Engineer

11 Contractor’s Health, Safety and Environment Management Plan (HSE-MP)

Within 6 weeks of signing the Contract, the Contractor shall prepare an HSE-MP to ensure the adequate management of the health, safety, environmental and social aspects of the works, including implementation of the requirements of these general conditions and any specific requirements of an ESMP for the works. The Contractor’s EHS-MP will serve two main purposes:

The Contractor’s HSE-MP shall provide at least:

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• A description of procedures and methods for complying with these general environmental management conditions, and any specific conditions specified in an ESMP; • A description of specific mitigation measures that will be implemented in order to minimize adverse impacts; • A description of all planned monitoring activities and the reporting thereof; and • The internal organizational, management and reporting mechanisms put in place for such. The Contractor’s HSE-MP will be reviewed and approved by the Client before start of the works. This review should demonstrate if the Contractor’s HSE-MP covers all of the identified impacts, and has defined appropriate measures to counteract any potential impacts.

12 HSE Reporting

The Contractor shall prepare bi-monthly progress reports to the Client (PIU, LLWSSU or DoE) on compliance with these general conditions, the sub-program ESMP if any, and his own HSE-MP. The Contractor’s reports will include information on:

• HSE management actions/measures taken, including approvals sought from local or national authorities; • Problems encountered in relation to HSE aspects (incidents, including delays, cost consequences, etc. as a result thereof); • Non-compliance with contract requirements on the part of the Contractor; • Changes of assumptions, conditions, measures, designs and actual works in relation to HSE aspects; and • Observations, concerns raised and/or decisions taken with regard to HSE management during site meetings

The reporting of any significant HSE incidents shall be done as soon as practicable. Such incident reporting shall therefore be done individually. The Contractor should keep his own records on health, safety and welfare of persons, and damage to property. It is advisable to include such records, as well as copies of incident reports, as appendixes to the bi-monthly reports. Details of HSE performance will be reported to the Client.

13 Training of Contractor’s Personnel

The Contractor shall provide sufficient training to his own personnel to ensure that they are all aware of the relevant aspects of these general conditions, any program ESMP, and his own HSEMP, and are able to fulfill their expected roles and functions. Specific training will be provided to those employees that have particular responsibilities associated with the implementation of the HSE-MP. Training activities will be documented for potential review by the Client.

Amongst other issues, training will include an awareness session for all employees on HIVAIDS addressing the following topics:

• What is HIV/AIDS? • How is HIV/AIDS contracted? • HIV/AIDS prevention.

14 Penalties for Non-Compliance

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In the HSE-MP, the Contractor shall specify strict penalties (warnings, dismissal, etc.) and transparent enforcement procedures for non-compliance by any employees or contracted personnel. The Supervising Engineer shall oversee the Contractor’s timely and appropriate application of these procedures during project construction.

Any material (non-trivial) environmental or social damages by the Contractor due to noncompliance with these Rules must be rectified before the Contractor will be eligible to receive his final payment.

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ANNEX 3: CHANCE FINDS PROCEDURES

1. Chance Finds Procedures

Chance Find Procedures outline, step by step, what needs to be done when projects come across archaeological sites, historical sites, remains and objects, including graveyards or individual graves during excavations or construction. This procedure responds to OP/BP 4.11- Physical Cultural Resources. This Policy addresses physical cultural resources which are defined as movable or immovable objects, sites, structures that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or rural settings and may be above or below the ground.

2. Chance Finds Procedures for Water Distribution Network Rehabilitation

If the contractor of the water distribution network rehabilitation component discovers archaeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavations or construction, the implementers will carry out the following steps: a. Stop the construction or excavation activities in the area of the chance find; b. Delineate the discovered site or area; c. Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be arranged until the responsible local authorities or the Department of Culture take over; d. Notify the Social Safeguards Specialist of PIU or the Project Manager who in turn will notify the responsible officer in the Departments of Culture immediately (within 24 hours or less); e. Responsible officer from the Department of Culture would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed by the archaeologists. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values; f. Decisions on how to handle the finding shall be taken by the responsible authorities at the Department of Culture. This could include changes in the layout (such as when finding an irremovable remain of cultural or archaeological importance) conservation, preservation, restoration and salvage; g. Implementation for the authority decision concerning the management of the finding shall be communicated in writing by the Department of Culture to DoE; and h. Construction work could resume only after permission is given from the responsible local authorities or department responsible for culture concerning safeguard of the heritage.

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ANNEX 4 CERC SECTION OF THE ENVIRONMENTAL AND SOCIAL FRAMEWORK (ESMF)

I Introduction

1. This document is prepared as an addendum to the existing Environmental and Social Management Framework (ESMF) of the Lowlands Water Development Project Phase II (LWDP II). It describes additional information on the environment and social safeguard (ESS) requirements for the implementation of the proposed activities to be carried out under Component 4 of the Project. The project will be implemented by the MoW, which will be supported by a PIU. The MoW will be responsible for the signing of all contracts and authorization of payments to entities contracted to implement the project, and it will be responsible for reporting to the MoF and financiers on project implementation status.

2. The guidance and procedures included in this CERC ESMF should be considered in the Emergency Response Manual (ERM) that will be prepared during the project implementation, and will contain the environmental and social requirements, if the CERC is activated. The guidelines and procedures included in this ESMF CERC Addendum takes into account the Bank’s safeguard requirement for the CERC (Bank’s Guidance on CERC, October 2017).

II Identification of potential activities that the CERC could finance:

3. The activities to be carried if the CERC Component is activated include: Services, works and training as identified in Table 1. The Location of the contingency activities will be Zone 2&3 of the LWDP II only.

4. It is important to mention that the activities that will be financed by the CERC Component, should avoid activities with complex environmental and social aspects (for example resettlement), because the CERC objective is to support immediate priority activities (less than 18 months). The activities with more environmental and social complexity, could be financed with other sources of financing.

Table 1: Activities to be Carried out if CERC is Activated

Services

• Technical Assistance to support strategic National Sanitation Planning o for strategic sanitation planning, including a National Sanitation Action Plan building upon the WATSAN policy and implementation strategies; update of the existing sanitation Master Plan, which mainly covers parts of Maseru; and strengthening of the WSS information monitoring and management system; o support the MoW in policy and institutional aspects relating to sanitation, including detailed action plans for implementation of rural sanitation and hygiene promotion and identification of strategies for a more targeted and nutrition-sensitive WASH approach aimed at reducing child stunting in Lesotho. o support the GoL in developing a comprehensive industrial wastewater management and regulation strategy and action plan engaging relevant stakeholders.

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• Technical Assistance for Capacity Building of Staff o to improve the technical and financial data quality; o To assist WASCO in governance and general management, staff productivity, structure and systems enhancement and development, and commercial and customer services.

Works

• Repair of damaged infrastructure including, but not limited to: existing water supply and sanitation systems, roads, power supply, telecommunication, pavements, street vendors kiosks and other infrastructure damaged by the project activities. • Refurbishment Old AC pipes handling and disposal. • Training

• Conduct necessary training related to emergency response including, but not limited to the Implementation of Emergency Action Plan (EAP).

Emergency Operating Costs

• Incremental expenses by the Government for a defined period related to compensations arising as a result of the impact of an eligible emergency. This includes, but is not limited to: costs for damaged private property and temporary displacement of street vendors.

III Potential Environmental and Social (ES) Impacts

5. Implementation of the activities will be positive and urgently needed. The proposed works and other activities (see Table 1) are small -scale works. The potential negative impacts are expected to be minimal, localized, and temporary that can be mitigated through the implementation of the existing safeguards instruments of the Project and close supervision by the Project Engineer or Supervision Consultant. The required mitigation measures will be included as part of the Environment and Social Management Plan (ESMP) to be prepared as per the ESMF.

6. Contractor’s employees contracted to conduct civil or other works for contingency activities, will have to sign a worker’s code of conduct, which covers issues such as preventing gender- based violence, as well as sexual assault and abuse. In addition, construction works or uses of goods and equipment involving forced labor, child labor, or other harmful or exploitative forms of labor are prohibited.

7. There is a risk due to refurbishment of AC pipes which require proper handling and disposal. Specific mitigation measures AC pipes will be included in the ESMP.

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8. Table 2 below identifies potential impacts of the proposed activities. Appendix 1 identifies specific measures to address the potential Asbestos risks (AC Pipes) which will be considered during ES screening and scoping of the ESMP. Due consideration will be given to ensure compliance with the WB’s Environmental, Health and Safety (EHS) Guidelines (General and Specific).

Table 2. Potential impacts of the proposed activities to be carried out under Component 4 (CERC)

No Activities Potential ES impact issues Expected (risks) Significance

1 Repair of damaged infrastructure Increase dust, noise, water Moderate including, but not limited to: existing pollution, solid/hazardous/ water supply and sanitation systems, Toxic wastes, waste oil/fuels, roads, power supply, public health and safety; telecommunication, pavements, street exposure to asbestos due to vendors kiosks and other infrastructure removal of old AC pipes. damaged by the project;

2 Solid Waste Removal and disposal Waste management and Minor disposal

3 Old AC pipes handling and disposal Waste Management and Moderate disposal

9. To ensure that adverse impacts will not occur given the nature of emergency, the items and activities identified in Table 3 is prohibited.

Table 3. Prohibited Activities for CERC

1 Activities of any type classifiable as Category A pursuant to the Association's Operational Policy (OP) 4.01

2 Activities affecting protected areas.

3 Land clearance and levelling in areas that are not affected project activities.

4 Activities that will result in the involuntary taking of land, relocation of households, loss of assets or access to assets that leads to loss of income sources or other means of livelihoods, and interference with households’ use of land and livelihoods.

5 Construction works, or the uses of goods and equipment involving forced labour, child labour, or other harmful or exploitative forms of labour

6 Use of asbestos-based construction materials for reconstruction works

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III Environmental and Social Management Framework Process 10. When the CERC component is activated, MoW/PIU assisted by MoF will carry out the following steps:

Step 1: Application of the ES Screening Form. The ESMF includes a template to screen the project from the ES point of view (Appendix 1). These forms will be used also for the CERC subprojects. The prohibited activities for CERC in Table 3 will also be applied. Given that the CERC objective is to support immediate priority activities (18 months), the activities or subprojects with resettlement issues will be avoided.

Step 2: Identification of ES issues and preparation of mitigation plans. Based on the results from Step 1, MoW/PIU will prepare an ESMP for the CERC subprojects describing the works/activities and mitigation measures to be conducted during detailed design, bidding/ contract, repair/restoration, and closure plans, taken into account the magnitude, scope, and nature of the activities. In addition to the issues identified in the Project ESMP, the CERC ESMP will also address the AC pipes waste management issues following the guidelines provided in Appendix 1 of this document. The contractor will be required to ensure that all works are safe from Asbestos fibers and all hazardous wastes are safely and appropriately managed during the implementation of the subproject. Consultation with local authorities and communities will be made during this stage. Budget and entities responsible for implementation of the ESMP will be discussed and agreed as part of the plans. Step 3: WB clearance and GOL approval. The ESMP will be cleared by WB (pre or post) as agreed as well as approved by Department of Environment (DoE).

Step 4: Implementation and M&E. The approved ESMP, will be implemented according to the agreed implementation arrangement. PIU and DoE will monitor the implementation on the ground and report the results to WB. Consultation with stakeholders will be made during the process.

Step 5: Completion and Evaluation. Once the CERC subproject has been completed, MoW/PIU will monitor and evaluate the results before closing the contract. Any pending issues and/or grievance must be solved before the subproject is considered fully completed. MoW/PIU will submit the completion report describing the compliance of safeguard performance and submit it to WB when required. IV Institutional Arrangement for Project Implementation

As mentioned above, MoW/PIU will lead the implementation at project level while MoF will provide assistance.

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Appendix 1

Wastes Management for LWDP II.

The Project owner (MoW/PIU) will ensure that the contractor make appropriate arrangement with a qualified waste management service provider during the implementation of the Project. Specific measures will be included as part of the ESMP and/or incorporated into the contract and bidding documents as appropriate. Below list key steps for waste management. (1) Waste categorization Different type of wastes has different nature of composition and create different consequence to human and environment. The identified wastes may fall into two main groups of waste types: non- hazardous wastes and hazardous wastes (see scope in Box 1). If practical, a Waste Inventory should be produced that covers disposal/treatment options which will be used to manage the wastes generated during construction and/or implementation of the Project.

Box 1: scope of hazardous and non-hazardous wastes

Hazardous/Toxic/Sanitary wastes are wastes with Non-hazardous wastes: This may include (a) physical, chemical or biological hazards. This durable wastes that will be in amount of waste is expected to be small due to the use/operation for years or decades (e.g. project nature. Nonetheless, these wastes need to trucks, computers, plastics, etc.). Many of be collected, stored, and disposed of safely. these wastes can be recycled and reused with Sanitary wastes (such as toilet waste, food wastes, appropriate knowledge and understanding. etc.) may be included in this category to reflect the This may include many types of general need for special attention to avoid potential impacts wastes/debris with inert chemical properties, on human health and local environment. no physical hazards (e.g. wooden structure from buildings, bricks/cement, etc. With proper management, they can be reused as appropriate

(2) Safe/Appropriate Collection, Storage, and Disposals. Hazardous/Toxic wastes can be divided into common hazardous waste, and waste with asbestos- contaminated. These wastes will be managed as follows:

• Common hazardous / noxious wastes (such as oils, solvents, paints etc.) would have to be safely stored in suitable containers and disposed in a facility designed, constructed and operated for the safe disposal of hazardous wastes. Special facilities will be identified to treat e.g. spent engine oils, or incinerate solvents, paints etc. Such facilities commonly include cement kilns, where organic solvents, oils, bitumen etc. can be incinerated safely under high temperature. • Asbestos-contamination wastes. Use of asbestos or asbestos-based construction 113

materials has been banned in most developed countries due to its effect to human health. However, in developing countries, they are often used as part of construction materials (water pipes etc.) due to its low cost. In Lesotho, efforts are being made to ban the use of asbestos. For the Project construction, asbestos-based construction materials will not be allowed and this is included in the ineligibility list. During refurbishment of old AC pipes care will be required to ensure that the Contractor has proper Management Plan to handle and dispose off these old AC pipes.

• A number of non-hazardous wastes could be generated resulting from the Project activities. In summary the main non-hazardous construction wastes will include: metals (scrap metal); timber (packaging materials); containers (steel and plastic); waste paper, card and cardboard (packaging materials); plastics (packaging materials, tarpaulins, bottles); glass bottles. These wastes will be managed as follows: o Metals will be provided to the local community (if required) for re-use or stored until an appropriate landfill has been established or recycled if a suitable facility is available. It is expected that the commercial value of scrap metal will facilitate recycling options. o Timber, e.g. from redundant untreated wooden packaging will be provided to the local communities for firewood and re-use. o In first instance, plastics materials (e.g. bottles) will be recycled. Plastics materials, which are unable to be recycled, will be transferred to a suitable landfill or for storage prior to the development of such landfill. o Glass bottles will be segregated and returned to the supplier for reuse, as far as possible. Prime recyclables (e.g. paper, card, plastics) will, as far as is practicable, be segregated for recovery/recycling. These materials will be supplied to the local community for reuse and recycling or to an approved third- party facility. • The following options will be used to handle waste containers (which contained non- hazardous materials): re-used for storage (including waste storage if suitable); returned to supplier (if possible); supplied to the local community for re-use; disposed to landfill as last resort. (3) Reuse/Recycle During the waste management process mentioned above, efforts will be made to reuse and recycle wastes. Table 1 identified materials that can either be sent for reuse/recycling directly from the site at which the waste is produced or from a specific place that can manage them in Lesotho or South Africa. Special attention will be given not to give the asbestos-based materials to people for reuse and/or properly dispose them.

Table 1: Reusable and Recyclable Wastes Waste Reuse/Recycle method Waste vegetable matter Waste vegetable matter ONLY may be provided to the local

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community to be used as pig or animal feed. Waste paper, card and Provided to local community for reuse or to approved recycling plant cardboard Plastics Either sent to recycling plant for chipping / and/or provided to local community for reuse. Glass Bottles Returned to supplier for reuse. Lubricating Oil Returned to supplier. Timber Timber packaging (which cannot be reused) will be made available for communities to use as firewood. Metal If possible, provided to local community for reuse or to a third-party company for export and recycling Containers (metal and Reused by for storage, returned to supplier or provided to local Plastic) community for reuse (non-hazardous materials ONLY).

(4) Temporary Storage Due to the lack of safe and proper disposal of sanitary land fill in Lesotho and short time frame during the implementation of the project, temporary storage may be the best options, but this will be allowed on a case by case basis, until suitable treatment and disposal facilities have been developed. (5) Training During the implementation, efforts will be made to provide sufficient knowledge to all staff and service providers regarding mishandling of toxic and hazardous waste to human health and environment and to ensure that they are aware of proper methods to handle them. Also, training will be conducted on proper handling of AC pipes to minimize the impacts of exposure to Asbestos fibres.

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Annex 5 GOOD PRACTICE NOTE: ASBESTOS: OCCUPATIONAL AND COMMUNITY HEALTH ISSUES

World Bank Group May 2009 ______1. SUMMARY

The purpose of this Good Practice Note is to increase the awareness of the health risks related to occupational asbestos exposure, provide a list of resources on international good practices available to minimize these risks, and present an overview of some of the available product alternatives on the market. The need to address asbestos-containing materials (ACM) as a hazard is no longer under debate but a widely accepted fact.

Practices regarding asbestos that are normally considered acceptable by the World Bank Group (WBG) in projects supported through its lending or other instruments are addressed in the WBG’s General Environmental, Health and Safety (EHS) Guidelines.1 This Good Practice Note provide background and context for the guidance in the WBG EHS Guidelines.

Good practice is to minimize the health risks associated with ACM by avoiding their use in new construction and renovation, and, if installed asbestos-containing materials are encountered, by using internationally recognized standards and best practices (such as those presented in Appendix 3) to mitigate their impact. In all cases, the Bank expects borrowers and other clients of World Bank funding to use alternative materials wherever feasible.

ACM should be avoided in new construction, including construction for disaster relief. In reconstruction, demolition, and removal of damaged infrastructure, asbestos hazards should be identified and a risk management plan adopted that includes disposal techniques and end-of-life.

2. ASBESTOS AND HEALTH RISKS

2.1. What is Asbestos, and Why are We Concerned with its Use?

Asbestos is a group of naturally occurring fibrous silicate minerals. It was once used widely in the production of many industrial and household products because of its useful properties, including fire retardation, electrical and thermal insulation, chemical and thermal stability, and high tensile strength. Today, however, asbestos is recognized as a cause of various diseases and cancers and is considered a health hazard if inhaled.2 The ILO estimates that over the last several decades 100,000 deaths globally have been due to asbestos exposure,3 and the WHO states that 90,000 people die a year globally because of occupational asbestos exposure.4

______1http://www.ifc.org/ifcext/enviro.nsf/AttachmentsByTitle/gui_EHSGuidelines2007_GeneralEHS/$FILE/Final++General+EH S+Guidelines.pdf (pp. 71, 91, 94) . 2 http://www.who.int/occupational_health/publications/draft.WHO.policy.paper.on.asbestos.related.diseases.pdf. See also Stayner L, et al., “Exposure-Response Analysis of Risk of Respiratory Disease Associated with Occupational Exposure to Chrysotile Asbestos.” Occupational Environmental Medicine. 54: 646-652 (1997). 3http://www.ilo.org/wow/Articles/lang--en/WCMS_081341 4 http://www.who.int/occupational_health/publications/asbestosrelateddiseases.pdf

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Over 90% of asbestos5 fiber produced today is chrysotile, which is used in asbestos-cement (AC) construction materials: A-C flat and corrugated sheet, A-C pipe, and A-C water storage tanks. Other products still being manufactured with asbestos content include vehicle brake and clutch pads, roofing, and gaskets. Though today asbestos is hardly used in construction materials other than asbestos-cement products, it is still found in older buildings in the form of friable surfacing materials, thermal system insulation, non-friable flooring materials, and other applications. The maintenance and removal of these materials warrant special attention.

Because the health risks associated with exposure to asbestos area now widely recognized, global health and worker organizations, research institutes, and some governments have enacted bans on the commercial use of asbestos (see Box 1), and they urge the enforcement of national standards to protect the health of workers, their families, and communities exposed to asbestos through an International Convention.6

BOX 1. BANS ON THE USE OF ASBESTOS AND ASBESTOS PRODUCTS

A global ban on commercial use of asbestos has been urged by the Building and Wood Workers Federation (IFBWW), the International Metalworker’s Federation, the International Trade Union Confederation, the government of France, and the distinguished scientific group Collegium Ramazzini. All member states of the European Union and over 40 countries worldwide (see Appendix 1) have banned all forms of asbestos, including chrysotile.7 In June 2006, the General Conference of the ILO adopted a resolution to “promote the elimination of all forms of asbestos and asbestos-containing materials.”

• Landrigan PJ, Soffritti M. “Collegium Ramazzini Call for an International Ban on Asbestos.” Am. J. Ind. Med. 47: 471-474 (2005). • The International Ban Asbestos Secretariat keeps track of national asbestos bans. http:// ibassecretariat.org./lka_alpha_asb_ban_280704.php • General Conference of the International Labor Organization, “Resolution Concerning Asbestos,” Provisional Record, International Labor Conference, Ninety-fifth Session, Geneva, 2006, Item 299, pp. 20/47-48. • World Health Organization: http://www.who.int/occupational_health/publications/asbestosrelateddiseases.pdf

2.2. Health Concerns Linked to Asbestos-Containing Products

Health hazards from breathing asbestos dust include asbestosis, a lung scarring disease, and various forms of cancer (including lung cancer and mesothelioma of the pleura and peritoneum).8 These diseases usually arise decades after the onset of asbestos exposure. Mesothelioma, a signal tumor for asbestos exposure, occurs among workers’ family members from dust on the workers’ clothes and among neighbors of asbestos air pollution point sources.9

______5 Asbestos defined in Castleman, B. Asbestos: Medical and Legal Aspects 5th Ed. New York: Aspen, 2005, 894 pp. 6ILO Asbestos Convention No. 162, (see http:www.ilo.org/ilolex or http://www.itcilo.it/actrav/osh_es/m%F3dulos/legis/c162.htm) 7http://www.who.int/occupational_health/publications/asbestosrelateddiseases.pdf. Directive 2003/18/EC of the European Council and Parliament amending Council Directive 83/477/EEC, and Directive 99/77/EEC 8 http://www.euro.who.int/document/aiq/6_2_asbestos.pdf 9 “Asbestos.” World Health Organization IARC Monographs on the Evaluation of Carcinogenic Risks to Humans/ Overall Evaluations of Carcinogenicity: An Updating of IARC Monographs 1 to 42, Suppl. 7. Lyon: International Agency for Research on Cancer, 1987, pp. 106-116.

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Some experimental animal studies show that high inhalation exposures to all forms of asbestos for only hours can cause cancer.10 Very high levels of airborne asbestos have been recorded where power tools are used to cut A-C products and grind brake shoes. For chrysotile asbestos, the most common variety, there is no threshold (non-zero) of exposure that has been shown to be free from carcinogenic risks. Construction materials are of particular concern, because of the large number of workers in construction trades, the difficulty of instituting control measures, and the continuing threat posed by in-place materials that eventually require alterations, repair, and disposal.11 Renovations and repairs in buildings containing A-C materials can also endanger building occupants. In addition to the problems from products made with commercial asbestos, asbestos also occurs as a contaminant in some deposits of stone, talc, vermiculite, iron ore, and other minerals. This can create health hazards for workers and residents at the site of excavation and in some cases in the manufacture and use of consumer products the materials are used to make. While asbestos is a known carcinogen when inhaled, it is not known to be carcinogenic when ingested, as through drinking water,12 although pipe standards have been issued for asbestos- cement pipes conducting “aggressive” water.13

From the industrial hygiene viewpoint, asbestos creates a chain of exposure from the time it is mined until it returns to the earth at landfill or unauthorized disposal site. At each link in the chain, occupational and community exposures coexist. Workers in the mines are exposed to the fibers while extracting the ore; their families breathe fibers brought home on work clothes; workers in the mills and factories process the fiber and manufacture products with it; and their families are also secondarily exposed. Communities around the mines, mills, and factories are contaminated with their wastes; children play on tailings piles and in contaminated schoolyards; transportation of fiber and products contaminates roads and rights-of-way.14 Tradesmen who install, repair and remove ACM are exposed in the course of their work, as are bystanders in the absence of proper controls. Disposal of asbestos wastes from any step in this sequence not only exposes the workers handling the wastes but also local residents when fibers become airborne because of insufficient covering and erosion control. Finally, in the absence of measures to remove ACM from the waste stream and dispose of them properly, the cycle is often repeated when discarded material is scavenged and reused.15

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9 “Asbestos.” World Health Organization IARC Monographs on the Evaluation of Carcinogenic Risks to Humans/ Overall Evaluations of Carcinogenicity: An Updating of IARC Monographs 1 to 42, Suppl. 7. Lyon: International Agency for Research on Cancer, 1987, pp. 106-116. 10 Wagner JC, Berry G, Skidmore JW, Timbrell V. “The Effects of the Inhalation of Asbestos in Rats.” Br. J. Cancer 29: 252- 269 (1974). 11 International Program on Chemical Safety, “Conclusions and Recommendations for Protection of Human Health,” Chrysotile Asbestos, Environmental Health Criteria 203. Geneva: World Health Organization, 1998, p. 144. 12 http://whqlibdoc.who.int/hq/2000/a68673_guidelines_3.pdf 13 http://whqlibdoc.who.int/hq/2000/a68673_tech_aspects_4.pdf 14 Jones, Robert “Living in the Shadow of the Asbestos Hills (The Need for Risk Based Cleanup Strategies for Environmental Asbestos Contamination in South Africa).” Environmental Exposure, Crisis Preparedness and Risk Communication, Global Asbestos Congress, Tokyo, Japan, November 19 - 21, 2004. http://park3.wakwak.com/~gac2004/en/index_abstract_e.html. See also Oberta, AF “Case Study: An Asbestos Cement Plant in Israel -- Contamination, Clean-up and Dismantling.” Hellenic Asbestos Conference, Athens, Greece, October 29 - 31, 2002. http://www.ibas.btinternet.co.uk/Frames/f_lka_hellen_asb_conf_rep.htm 15 Boer, A.M., L.A. Daal, J.L.A. de Groot, J.G. Cuperus “The Combination of the Mechanical Separator and the Extraction Cleaner Can Process the Complete Asbestos-containing Waste-stream and Make it Suitable for Reuse.”

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2.3. Increasing Use of Asbestos Fiber

There is evidence that, after a decline in the 1990s, the use of asbestos fiber is increasing globally. A recent study16 shows that a 59% increase in metric tons was consumed in 12 countries from 2000 to 2004.

3. INTERNATIONAL CONVENTION AND STANDARDS FOR WORKING WITH ASBESTOS

3.1. International Convention

The International Labor Organization (ILO) established an Asbestos Convention (C162) in 1986 to promote national laws and regulations for the “prevention and control of, and protection of workers against, health hazards due to occupational exposure to asbestos.”17 The convention outlines aspects of best practice: Scope and Definitions, General Principles, Protective and Preventive Measures, Surveillance of the Working Environment, and Workers’ Health. As of March 4, 2008, 31 countries had ratified the Convention;18 17 of them have banned asbestos.

Some of the ILO asbestos convention requirements: • work clothing to be provided by employers; • double changing rooms and wash facilities to prevent dust from going home on street clothes; • training of workers about the health hazards to themselves and their families; • periodic medical examinations of workers, • periodic air monitoring of the work environment, with records retained for 30 years; • development of a work plan prior to demolition work, to protect workers and provide for proper waste disposal; and • protection from “retaliatory and disciplinary measures” of workers who remove themselves from work that they are justified in believing presents a serious danger to health.

Standard considerations for working with and procuring ACM are common to most projects. An overview of some basic ones is provided in Appendix 5.

3.2. International Standards and National Regulations

Standards and regulations for work involving ACM have been published by nongovernmental organizations and government agencies. Appendix 3 provides a listing of some resources, including international organizations (e.g., WHO, ISO, ASTM) and national governments (e.g., UK, US, Canada, South Africa). The resources range from manuals to individual standards and cover a variety of work guidelines, including surveys, identification, inspection, maintenance, renovation, repair, removal, and disposal. Some of the key issues discussed in these standards and regulations are as follows:

______European Conference on Asbestos Risks and Management, Rome, Italy, December 4 -6, 2006. http://venus.unive.it/fall/menu/Boer.pdf 16 R. Virta, US Geological Survey, 2007. 17 www.ilo.org/ilolex 18 http://www.ilo.org/ilolex/english/convdisp1.htm

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• The scale of occupational hazards. The health risk is not simply a function of the properties of the ACM, but also reflects the type of work being done and the controls used. Although AC products, for example, may seem to intrinsically present less of a risk than fire-proofing, air monitoring has shown that cutting dry A-C sheet with a power saw can release far greater amounts of airborne fibers than scraping wet, saturated fireproofing off a beam. The relationship between the nature of A-C products, the work being done and the controls used to control the release of fibers and debris is important (as discussed in ASTM E2394 and HSG189/219).

• Controlling exposure to airborne fibers. Because asbestos fibers are primarily an inhalation hazard, the basic purpose of the regulations and standards is to control the concentration of asbestos fibers in the air inhaled by workers or others. Concentration limits have been set by regulations in numerous countries for workers whose duties involve contact with ACM; however, they do not purport to totally eliminate the risk of asbestos disease, but only to reduce it. Exposure limits for individuals other than workers, including occupants of buildings and facilities and the community, are lower than those for workers in deference to the very young and old as well as the physically compromised.

• Measuring exposure to airborne fibers. Compliance with exposure limits is demonstrated by air sampling in workers’ breathing zone or in the space occupied by the affected individuals, with analysis of the sample by optical or electron microscopy, as explained in Appendix 3. Abatement protocols determine whether a building can be reoccupied after asbestos abatement.

• Proper disposal. Proper disposal of ACM is important not only to protect the community and environment but also to prevent scavenging and reuse of removed material. ACM should be transported in leak-tight containers to a secure landfill operated in a manner that precludes air and water contamination that could result from ruptured containers. Similar requirements apply to remediation of sites such as mines, mills, and factories where asbestos fiber was processed and products manufactured. (See EPA NESHAP regulations, Appendix 3.)

• Transboundary movement of waste. Waste asbestos (dust and fibers) is considered a hazardous waste under the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal. The Basel Convention imposes use of a prior informed consent procedure for movement of such wastes across international borders. Shipments made without consent are illegal. Parties have to ensure that hazardous waste is disposed of in an environmentally sound manner (ESM. Strong controls have to be applied from the moment of generation, to its storage, transport, treatment, reuse, recycling, recovery and final disposal.20

• Identifying asbestos products. A-C products include flat panels, corrugated panels used for roofing, water storage tanks, and pressure, water, and sewer pipes. In some countries asbestos may still be used in making wallboard,

______19 See Appendix 3. 20 See Basel Convention Secretariat http://www.basel.int/ 120

heat-resistant gloves and clothes for industrial use, and brake and clutch friction elements and gaskets used in vehicles.21 Thermal insulation containing asbestos and sprayed asbestos for insulation and acoustic damping were widely used through the 1970s and should be looked for in any project involving boilers and insulated pipes. Insulation dating from before 1980 should be presumed to contain asbestos unless analyzed and found not to. The microscopic methodology for analyzing bulk samples for the presence of asbestos is widely available in industrialized countries and is not expensive; it is less available in developing countries. In a developing country samples may have to be mailed out for testing; alternatively, training may be available for a laboratory in the country.

• Training.

It is impossible to overemphasize the importance of training for working with ACM in any capacity— whether it involves inspections, maintenance, removal, or laboratory analysis. The duration of the training as well as the course content depends on the type of work the individual will be doing. Quality control and proficiency testing for laboratories and individual analysts are also important.

4. ALTERNATIVES TO ASBESTOS-CONTAINING MATERIALS

4.1. Growing Marketplace

Safer substitutes for asbestos products of all kinds are increasingly available (see Appendix 4). These include fiber-cement products using combinations of local vegetable fibers and synthetic fibers, as well as other products that serve the same purposes.22 The WHO is actively involved in evaluating alternatives.23

4.2. Cost and Performance Issues Fiber-cement roof panels using polyvinyl alcohol (PVA) or polypropylene combined with cellulose now cost 10-15% more to manufacture than A-C sheets. Polypropylene-cellulosecement roofing, a new product, is made at a cost of about 12 percent more than A-C roofing and has superior impact resistance. The non-asbestos fiber-cement panels are lighter, less brittle, and have improved nailability over A-C. The increase in the overall cost of building construction that such products represent is to some degree offset by the obviation of special hygiene measures in installation/maintenance/renovation, the lack of a continuing hazard to building workers and occupants, and reduced costs of waste removal and disposal. Micro concrete tiles are cheaper than A-C to produce, and can be made in a basic workshop near the building site with locally available small contractors and materials, lowering transport costs. Compared with A-C pipes, iron pipes can be transported and installed with less difficulty and breakage, take greater compression loading and last longer.

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21 In 2004, Russia, China, India, Kazakhstan, Thailand, and Ukraine together accounted for about three-quarters of world asbestos consumption. Other major consumers of asbestos are Iran, Brazil, Vietnam, and Indonesia. 22 7. The U.K. Health and Safety Executive commissioned a report that concluded that the main replacement fibrous materials for asbestos in fiber-cement products and brakes are less hazardous than chrysotile asbestos. See Harrison PTC, et al. “Comparative Hazards of Chrysotile Asbestos and Its Substitutes: A European Perspective.” Envir. Health Persp. 107: 607-611 (1999). http://www.ehponline.org/members/1999/107p607-611harrison/harrisonfull.html 23 http://www.who.int/ipcs/assessment/asbestos/en/ 121

5. WORLD BANK GROUP APPROACH TO ASBESTOS HEALTH RISK

The WBG EHS Guidelines are technical reference documents with general and industry-specific examples of Good International Industry Practice (GIIP).24 When one or more members of the WBG are involved in a project, the EHS Guidelines are applied as required by their respective policies and standards.

The WBG’s EHS Guidelines25 specify that the use of ACM should be avoided in new buildings and construction or as a new material in remodeling or renovation activities. Existing facilities with ACM should develop an asbestos management plan that clearly identifies the locations where the ACM is present, its condition (e.g., whether it is in friable form or has the potential to release fibers), procedures for monitoring its condition, procedures to access the locations where ACM is present to avoid damage, and training of staff who can potentially come into contact with the material to avoid damage and prevent exposure. The plan should be made available to all persons involved in operations and maintenance activities. Repair or removal and disposal of existing ACM in buildings should be performed only by specially trained personnel26 following host country requirements or, if the country does not have its own requirements, internationally recognized procedures.27 Decommissioning sites may also pose a risk of exposure to asbestos that should be prevented by using specially trained personnel to identify and carefully remove asbestos insulation and structural building elements before dismantling or demolition.28

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24Defined as the exercise of professional skill, diligence, prudence, and foresight that would be reasonably expected from skilled and experienced professionals engaged in the same type of undertaking under the same or similar circumstances globally. The circumstances that skilled and experienced professionals may find when evaluating the range of pollution prevention and control techniques available to a project may include, but are not limited to, varying levels of environmental degradation and environmental assimilative capacity as well as varying levels of financial and technical feasibility 25http://www.ifc.org/ifcext/enviro.nsf/AttachmentsByTitle/gui_EHSGuidelines2007_GeneralEHS/$FILE/Final++General+EH S+Guidelines.pdf (pp. 71, 91, 94) 26Training of specialized personnel and the maintenance and removal methods applied should be equivalent to those required under applicable regulations in the United States and Europe (examples of North American training standards are available at: http://www.osha.gov/SLTC/asbestos/training.html) 27Examples include the ASTM International E1368 - Standard Practice for Visual Inspection of Asbestos Abatement Projects; E2356 - Standard Practice for Comprehensive Building Asbestos Surveys; and E2394 - Standard Practice for Maintenance, Renovation and Repair of Installed Asbestos Cement Products. 28http://www.ifc.org/ifcext/enviro.nsf/AttachmentsByTitle/gui_EHSGuidelines2007_GeneralEHS/$FILE/Final++General+EH S+Guidelines.pdf (pp. 71, 91, 94)

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APPENDIX 1. COUNTRIES THAT HAVE BANNED THE USE OF ASBESTOS

1. Argentina 2. Australia 3. Austria 4. Belgium 5. Bulgaria 6. Chile 7. Cyprus 8. Czech Republic 9. Denmark 10. Egypt 11. Estonia 12. Finland 13. France 14. Gabon 15. Germany 16. Greece 17. Honduras 18. Hungary 19. Iceland 20. Ireland 21. Italy 22. Japan 23. Jordan 24. Kuwait 25. Latvia 26. Lithuania 27. Luxembourg 28. Malta 29. Netherlands 30. Norway 31. Poland 32. Portugal 33. Republic of Korea 34. Romania 35. Saudi Arabia 36. Seychelles 37. Slovakia 38. Slovenia 39. South Africa 40. Spain 41. Sweden 42. Switzerland 43. United Kingdom 44. Uruguay

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APPENDIX 2. WORLD BANK GROUP ASBESTOS REFERENCES

Policy guidance References ACM should be avoided in new buildings or as new material in remodeling or renovation • Existing buildings: ACM Survey and management plan needed • Disposal of ACM shall be carried out by specially Guidance: General Environment Health trained individuals only following host country and Safety Guidelines April 2007, p 34 and requirements, or in their absence, internationally 71 recognized procedures Some examples of project requirements: • Ukraine -Equal Access to Quality Education (Project ID PO77738) • Risk assessment to determine extent of problem; • KH- Health Sector Support (Project ID: surveys to abate asbestos exposure; P070542) management plan; removal by trained personnel; • ID- Health Workforce and Services prohibition of ACM; procedures for handling, (Project. ID: P073772) removal, transport, and disposal of asbestos. • Changchun, China -TBK Shili Auto Parts Co., (IFC, 2005).

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APPENDIX 3. LIST OF RESOURCES FOR ASBESTOS STANDARDS AND REGULATIONS

NOTE: this listing is not meant to be all-inclusive, but is a sample of available information.

INTERNATIONAL STANDARDS WHO Policy and Guidelines (www.who.org) ▪ www.searo.who.int/LinkFiles/Publications_and_Documents_prevention_guidelines.pdf(p. 70) ▪ www.searo.who.int/en/Section23/Section1108/Section1835/Section1864_8658.htm International Organization for Standardization (ISO) (www.iso.org) ▪ ISO 10312 (1995): Ambient air -- Determination of asbestos fibres -- Direct transfer transmission electron microscopy method. [Method similar to ASTM D6281] ▪ ISO 13794 (1999): Ambient air – Determination of asbestos fibres – Indirect-transfer transmission electron microscopy method. ▪ ISO/FDIS 16000-7: Indoor air – Part 7: Sampling strategy for determination of airborne asbestos fibre concentrations. ▪ ISO 8672: Air quality -- Determination of the number concentration of airborne inorganic fibres by phase contrast optical microscopy -- Membrane filter method (1993) [Method similar to AIA RTM1] Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal Basel Convention Secretariat (www.basel.int) International Labour Organization (www.ilo.org) ▪ Chemical Safety Card, ICSC 0014: www.ilo.org/public/english/protection/safework/cis/products/icsc/dtasht/_icsc00/icsc0014.h European Union (europa.eu.int/smartapi/cgi/sga_doc?smartapi!celexapi!prod!CELEXnumdoc&lg=EN&numdoc=3 2003L0018&model=guichett) ▪ Directive 2003/18/EC amending Council Directive 83/477/EEC on the Protection of Workers from the Risks Related to Exposure to Asbestos at Work. (March 2003). Provides regulations including: worker protection, training and medical surveillance; inspections for asbestos containing materials; notification of asbestos work; air sampling; exposure limits of 0,1 fibres per cm³ (8-hr TWA) measured by Phase Contrast Microscopy. NATIONAL STANDARDS ASTM International (www.astm.org) ▪ Manual on Asbestos Control: Surveys, Removal and Management – Second Edition (March 2005). Author: Andrew F. Oberta, MPH, CIH. Discusses in detail how E2356, E2394 and E1368 are used to support an asbestos management program. ▪ E2356 Standard Practice for Comprehensive Building Asbestos Surveys. July, 2004. Covers baseline surveys for management of ACM and includes assessment protocols to make and prioritize removal vs. maintenance decisions. ASTM E2356 provides information for longterm management of ACM in a Baseline Survey and for preparation of the plans and specifications for a removal project. It contains detailed procedures and equipment (mostly ordinary hardware items) needed to take bulk samples of common types of suspect ACM. Once materials have been identified as asbestos-containing, an assessment is made as to which can be left in place. Quantitative assessment of the Current Condition and Potential for Disturbance of all friable and non-friable materials allows removal priorities to be tabulated and graphically displayed. Budgetary estimates for removal can be established on the basis of the quantitative assessments. ▪ E2394 Standard Practice for Maintenance, Renovation and Repair of Installed Asbestos Cement Products (October 2004). Describes materials, hazardous operations, necessary precautions and infrastructure requirements with detailed procedures in appendices. Not intended for installation of asbestos-cement products in new construction or renovation. ▪ E1368 Standard Practice for Visual Inspection of Asbestos Abatement Projects (May 2005). Provides an approach to managing a removal project to enhance prospects of passing final inspections and clearance air sampling. Describes preparation, removal and inspection procedures and criteria. ▪ E2308 Standard Guide on Limited Asbestos Screens of Buildings (2005). Provides the minimum amount of information needed to facilitate a real estate transaction. 125

▪ D6281 Standard Test Method for Airborne Asbestos Concentration in Ambient and Indoor Atmospheres as Determined by Transmission Electron Microscopy Direct Transfer (TEM). A method for distinguishing asbestos from non-asbestos fibers on an air sample filter and identifying and quantifying smaller and thinner fibers than Phase Contrast Microscopy. ▪ D7201: Practice for Sampling and Counting Airborne Fibers, Including Asbestos Fibers, in the Workplace, by Phase Contrast Microscopy (with an Option of Transmission Electron Microscopy). ▪ Combines methodology of NIOSH 7400 and 7402. Australia (www.ascc.gov.au/ascc/AboutUs/Publications/NationalStandards/ListofNationalCodesofPractice. htm) ▪ Safe Removal of Asbestos 2nd edition [NOHSC: 2002 (2005)] ▪ Code of Practice for the Management and Control of Asbestos in the Workplace [NOHSC: 2018 (2005)] U. K. Health and Safety Executive (http://www.hse.gov.uk/asbestos/index.htm) ▪ Asbestos Regulations (http://www.opsi.gov.uk/si/si2006/20062739.htm) ▪ Asbestos Essentials (http://www.hse.gov.uk/asbestos/essentials/index.htm). Includes sections on manager Tasks and methods and equipment. Publications include: ▪ Working with Asbestos in Buildings INDG289 08/01 C600. An overview (16 pages) of asbestos hazards and precautions. ▪ MDHS100 Surveying, sampling and assessment of asbestos containing materials (2001). Contains many illustrations and examples of asbestos-containing products as well as sampling and analytical methods. MDHS100 is comparable in thoroughness to ASTM in its discussion of bulk sampling techniques and equipment, organizing a survey and assessment of ACM using a numerical algorithm based on the product type, extent of damage, surface treatment and type of asbestos fiber. The document contains numerous photographs of typical ACM found in buildings. ▪ HSG189/2 Working with asbestos cement (1999). Describes asbestos-cement products and methods of repairing and removing them, including fiber concentrations for controlled and uncontrolled operations. ▪ The Control of Asbestos at Work Regulations (2002). Requirements for the protection of people being exposed to asbestos, including the requirement for those with responsibility for the maintenance and/or repair of non-domestic premises, to identify and manage any risk from asbestos within their premises. National Institute of Building Sciences (http://www.nibs.org/pubsasb.html) ▪ Guidance Manual: Asbestos O&M Work Practices, Second Edition (1996). Contains procedures for small- scale work on friable and non-friable ACM including asbestos-cement products. ▪ Asbestos Abatement and Management in Buildings: Model Guide Specification. Third Edition (1996). Contains information on project design and surveillance as well as applicable US regulations, plus removal contractor requirements for abatement work in specification format. Austrian Standards Institute (http://www.on-norm.at/index_e.html) ONORM M 9406, Handling of products containing weakly bound asbestos, 01 08 2001. Contains a protocol and algorithm for assessing the condition and potential fiber release from friable asbestos-containing materials. International Chrysotile Association (www.chrysotile.com). [Please note this organization represents asbestos industries and businesses] ▪ Recommended Technical Method No. 1 (RTM1), Reference Method for the determination of Airborne Asbestos Fibre Concentrations at workplaces by light microscopy (Membrane Filter Method). Method using Phase Contrast Microscopy for counting fibers on an air sampling filter that does not distinguish asbestos from other fibers. ▪ Recommended Technical Method No. 2 (RTM2) Method for the determination of Airborne Asbestos Fibres and Other Inorganic Fibres by Scanning Electron Microscopy. Method that identifies smaller fibers than Phase Contrast Microscopy and can distinguish types of asbestos fibers. U.S. National Institute for Occupational Safety and Health (www.cdc.gov/niosh/topics/asbestos) ▪ Occupational Safety and Health Guidelines for Asbestos (www.cdc.gov/niosh/pdfs/0041.pdf). ▪ Recommendations for Preventing Occupational Exposure (www.cdc.gov/niosh/topics/asbestos/#prevention) ▪ Method 7400, Asbestos and other fibers by PCM (1994).Phase Contrast Microscopy method similar to AIA RTM1 that counts all fibers greater than 5µm long with a 3:1 aspect ratio.

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▪ Method 7402 Asbestos by TEM (1994). Method using Transmission Electron Microscopy that identifies and counts asbestos fibers greater than 5µm long and greater than 0.25µm in diameter with a 3:1 aspect ratio. U.S. Environmental Protection Agency (www.epa.gov/asbestos) ▪ Resources include managing asbestos-containing materials in buildings, schools, and the automotive industry. Includes procedures for inspection, analysis of bulk samples, assessment of friable ACBM, response actions (removal, encapsulation, enclosure), Operations and Maintenance, and clearance air sampling. ▪ National Emission Standards for Hazardous Air Pollutants: Subpart M - Asbestos. 40 CFR Part 61. (1990). Regulations include: definitions of friable and non-friable asbestos-containing materials; notification requirements for renovation and demolition of buildings and facilities containing ACM; work practices to prevent visible emissions; disposal of ACM and waste material in approved landfills; and operation and closure of landfills. ▪ 20T-2003 Managing Asbestos in Place: A Building Owner’s Guide to Operations and Maintenance Programs for Asbestos-Containing Materials “Green book” (1990) ▪ Guidance document covering: organizing an Operations and Maintenance (O&M) program including training O&M workers; recognizing types of O&M; work practices and precautions for O&M work. ▪ EPA-600/R-93/116 Method for the Determination of Asbestos in Bulk Building Materials (1993) Polarized Light Microscopy, Gravimetry, X-ray diffraction and Transmission Electron Microscopy methods of identifying and quantifying asbestos fibers in bulk building materials. The identification of materials as containing asbestos is done by analysis of bulk samples, usually with Polarized Light Microscopy. The analytical procedures described and the equipment to perform the analyses is similar to that found in academic or commercial geology laboratories, but specialized training to identify and quantify asbestos fibers in bulk building materials is needed as well as quality control and proficiency testing programs. ▪ Polarized Light Microscopy, Gravimetry, X-ray diffraction and Transmission Electron Microscopy methods of identifying and quantifying asbestos fibers in bulk building materials. U. S. Occupational Safety and Health Administration (Department of Labor) (www.osha.gov/SLTC/asbestos) / (www.osha.gov/SLTC/asbestos/standards.html) ▪ Occupational Exposure to Asbestos (Construction Industry Standard) 29CFR1926.1101. (1994). Regulations for: Permissible Exposure Limits of 0.1 f/cc over a full shift (8 hr timeweighted average) and short-term exposure limit of 1.0 f/ml for 30 minutes; employee exposure monitoring for compliance with the PELs; work practices for friable and non-friable ACM; respiratory protection; worker decontamination and hygiene facilities; notification of employees and other employers of employees; medical surveillance; record-keeping and training. ▪ OSHA Method ID 160 Asbestos in Air (1994). Phase Contrast Microscopy method similar to NIOSH 7400. Ontario Ministry of Labour (Canada) (www.e- laws.gov.on.ca/DBLaws/Source/Regs/English/2005/R05278_e.htm) ▪ Ontario regulation 278/05 Designated Substance — asbestos on construction projects and in buildings and repair operations (2005). Regulations covering: respiratory protection and work procedures; inspections for asbestos; management of friable and non-friable asbestos; advance written notice; asbestos bulk sampling and analysis; glove bag requirements and procedures; negative air enclosures; and clearance air testing requirements (0.01 f/cc by Phase Contrast Microscopy). WorkSafe British Columbia (Canada) (www2.worksafebc.com/publications/OHSRegulation/Part6.asp) ▪ Part 6 Substance Specific Requirements: Asbestos. Regulations covering: identification of asbestos- containing materials; substitution with non-asbestos materials; worker training; exposure monitoring; containment and ventilation of work areas; work practices; decontamination; respirators and protective clothing. Republic of South Africa, Department of Labour (www.acts.co.za/ohs/index.htm - type ‘asbestos’ in search box) ▪ Occupational Health and Safety Act, 1993; Asbestos Regulations, 2001.Regulations covering: notification; assessment and control of exposure; Occupational Exposure Limit of 0.2 f/cc - 4 hr TWA measured by Phase Contrast Microscopy; training; air monitoring; medical surveillance; non-employee exposure; respirators, personal protective equipment and facilities; asbestos building materials including asbestos cement sheeting and related products; disposal.

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APPENDIX 4. SOME ALTERNATIVES TO ASBESTOS-CONTAINING PRODUCTS

Asbestos product Substitute products Asbestos-cement Fiber-cement roofing using synthetic fibers (polyvinyl alcohol, polypropylene) and corrugated roofing vegetable/cellulose fibers (softwood kraft pulp, bamboo, sisal, coir, rattan shavings and tobacco stalks, etc.); with optional silica fume, fly ash, or rice husk ash.

Microconcrete (Parry) tiles; galvanized metal sheets; clay tiles; vegetable fibers in asphalt; slate; coated metal tiles (Harveytile); aluminum roof tiles (Dekra Tile); extruded uPVC roofing sheets; recycled polypropylene and high-density polyethylene and crushed stone (Worldroof); plastic coated aluminum; plastic coated galvanized steel. Asbestos-cement Fiber-cement using vegetable/cellulose fibers (see above), wastepaper, optionally flat sheet (ceilings, synthetic fibers; gypsum ceiling boards (BHP Gypsum); polystyrene ceilings, cornices, facades, partitions) and partitions; façade applications in polystyrene structural walls (coated with plaster); aluminum cladding (Alucabond); brick; galvanized frame with plaster-board or calcium silicate board facing; softwood frame with plasterboard or calcium silicate board facing. Asbestos-cement High pressure: Cast iron and ductile iron pipe; high-density polyethylene pipe; pipe polyvinyl chloride pipe; steel-reinforced concrete pipe (large sizes); glass-reinforced polyester pipe.

Low pressure: Cellulose-cement pipe; cellulose/PVA fiber-cement pipe; clay pipe; glass-reinforced polyester pipe; steel-reinforced concrete pipe (large diameter drainage). Asbestos-cement Cellulose-cement; polyethylene; fiberglass; steel; galvanized iron; PVA cellulose fiber- water storage cement tanks Asbestos-cement Galvanized iron; aluminum; hand-molded cellulose-cement; PVC rainwater gutters; open drains (mining industry)

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APPENDIX 5. CONSIDERATIONS FOR WORKING WITH ASBESTOS MATERIALS IN EXISTING STRUCTURES

A. Evaluation of alternatives

1. Determine if the project could include the installation, replacement, maintenance or demolition of: • Roofing, siding, ducts or wallboard • Thermal insulation on pipes, boilers, and ducts • Plaster or fireproofing • Resilient flooring materials • Other potentially asbestos-containing materials

2. If the use of asbestos-containing materials (ACM) has been anticipated for new construction or renovation, provide information about alternative non-asbestos materials and their availability. For new construction, determine the expected difference for the entire project—on initial and operating costs, employment, quality, expected service life, and other factors—using alternatives to ACM (including consideration of the need for imported raw materials).

3. In many cases, it can be presumed that ACM are part of the existing infrastructure that must be disturbed. If there is a need to analyze samples of existing material to see if it contains asbestos, provide information on how and where can that be arranged.

4. Once the presence of ACM in the existing infrastructure has been presumed or confirmed and their disturbance is shown to be unavoidable, incorporate the following requirements in tenders for construction work in compliance with applicable laws and regulations.

B. Understanding the regulatory framework

1. Review the host country laws and regulations and the international obligations it may have entered into (e.g., ILO, Basel conventions) for controlling worker and environmental exposure to asbestos in construction work and waste disposal where ACM are present. Determine how the qualifications of contractors and workers who maintain and remove ACM are established, measured, and enforced.

2. Determine whether licensing and permitting of the work by authorities is required.

3. Review how removed ACM are to be disposed of to minimize the potential for pollution, scavenging, and reuse.

4. Incorporate the following requirements in tenders involving removal, repair, and disposal of ACM.

C. Considerations and possible operational requirements related to works involving asbestos

1. Contractor qualification • Require that contractors demonstrate having experience and capability to observe international good practice standards with asbestos, including training of workers and supervisors, possession of (or means of access to) adequate equipment and supplies for the scope of envisioned works, and a record of compliance with regulations on previous work.

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2. Related to the technical requirements for the works

• Require that the removal, repair, and disposal of ACM shall be carried out in a way that minimizes worker and community asbestos exposure, and require the selected contractor to develop and submit a plan, subject to the engineer’s acceptance, before doing so.

• Describe the work in detail in plans and specifications prepared for the specific site and project, including but not limited to the following:

Containment of interior areas where removal will occur in a negative pressure enclosure; - Protection of walls, floors, and other surfaces with plastic sheeting; - Construction of decontamination facilities for workers and equipment; - Removing the ACM using wet methods, and promptly placing the material in impermeable containers; - Final clean-up with special vacuums and dismantling of the enclosure and decontamination facilities; - Disposal of the removed ACM and contaminated materials in an approved landfill;29 - Inspection and air monitoring as the work progresses, as well as final air sampling for clearance, by an entity independent of the contractor removing the ACM.

• Other requirements for specific types of ACM, configurations and characteristics of buildings or facilities, and other factors affecting the work shall be enumerated in the plans and specifications. Applicable regulations and consensus standards shall be specifically enumerated.

3. Related to the contract clauses30

• Require that the selected contractor provide adequate protection to its personnel handling asbestos, including respirators and disposable clothing.

• Require that the selected contractor notifies the relevant authorities of the removal and disposal according to applicable regulations as indicated in the technical requirements and cooperates fully with representatives of the relevant agency during all inspections and inquiries.

______29 Alternative guidance for circumstances where approved landfills are not available for disposal of hazardous substances, such as asbestos, guidance is provided in the EHS General Guideline, reference above as well as in the Guideline on Waste Management Facilities. http://www.ifc.org/ifcext/sustainability.nsf/AttachmentsByTitle/gui_EHSGuidelines2007_WasteManagement/$FIL E/Final+-+Waste+Management+Facilities.pdf 30 Standard contract clauses for asbestos work exist but are too extensive for this short note. To view an example, the U.S. National Institute of Building Sciences “Asbestos Abatement and Management in Buildings: Model Guide Specification” has a complete set – in copyright form – and the clauses and instructions for using them fill a twoinch binder.

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4. Related to training and capacity building

• Determine whether specialist industrial hygiene expertise should be hired to assure that local contractors learn about and apply proper protective measures in work with ACM in existing structures.

Originator: World Bank, Operations Policy and Country Services

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