NATIONAL ENVIRONMENT MANAGEMENT COUNCIL

BARAZA LA TAIFA LA HIFADHI NA USIMAMIZI WA MAZINGIRA

Public Disclosure Authorized

Public Disclosure Authorized

KIHANSI CATCHMENT CONSERVATION AND MANAGEMENT PROJECT

Public Disclosure Authorized PROCESS FRAMEWORK

FINAL REPORT

Public Disclosure Authorized

JULY, 2013 Kihansi Catchment Conservation and Management Project Process Framework

TABLE OF CONTENTS

TABLE OF CONTENTS ...... i ACRONYMS AND ABBREVIATIONS ...... ii

1. INTRODUCTION...... 1

2. METHODOLOGY ...... 1

3. PROJECT DESCRIPTION ...... 2 3.1 The Global Environmental Objective ...... 2 3.2 The Project Development Objective (PDO)...... 2

4. PROJECT AREA DESCRIPTION ...... 4 4.1 Physiographic characteristics ...... 4 4.2 Biological characteristics ...... 5 4.3 Socio-economic characteristics ...... 6 4.4 Water Supply for Domestic Use and Livestock ...... 7

5. LEGAL AND ADMINISTRATIVE FRAMEWORKS ...... 7 5.1 International agreements and conventions ...... 7 5.2 National legislation that will have an impact on the PF ...... 7 5.3 World Bank Policies ...... 10 5.4 Key policies that are relevant to the implementation of the PF ...... 10

6. EXPECTED LIVELIHOODS IMPACTS AND MITIGATIONS ...... 11 6.1 Benefits and ecological threats ...... 11 6.2 Potential social impacts ...... 11 6.3 Proposed mitigation measures ...... 13

7. KEY PRINCIPLES TO GUIDE SELECTION OF PROTECTED AREAS ...... 13 7.1 Guiding principles ...... 13 7.2 Eligibility criteria ...... 14

8. IMPLEMENTATION PLAN FOR IDENTIFIED AREAS UNDER PROTECTION ...... 15 8.1 Key implementers of the Process Framework ...... 15 8.4 Technical studies ...... 17

9. MONITORING AND EVALUATION (M&E) ARRANGEMENTS ...... 18 9.1 Monitoring and Evaluation (M&E) arrangements ...... 18 9.2 Financing ...... 19

10. POTENTIAL CONFLICTS OR GRIEVANCES AND DISPUTE RESOLUTION ...... 19

11. CONCLUSION ...... 20

12. REFERENCES ...... 21

ANNEX 1: Issues Raised During Stakeholders Consultations…………………………...... 22

ANNEX 2: Terms of Reference……………………………………………………………….24

MAPS OF THE PROJECT AREA…………………………………………………………...32

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ACRONYMS AND ABBREVIATIONS

BWO Basin Water Office DoE Division of Environment DWR Division of Water Resources EFA Environmental Flow Assessment EIA Environmental Impact Assessment EMA Environmental Management Act IPM Integrated Pest Management IRA Institute of Resource Assessment IWRDMP Integrated Water Resource Development and Management Plan KCCMP Kihansi Catchment Conservation and Management Project KCMP Kihansi Catchment Management Plan KST Kihansi Spray Toad KSCC Kihansi Sub-Catchment Committee LGA Local Government Authority LKEMP Lower Kihansi Environmental Management Project LKHP Lower Kihansi Hydropower Project NAWAPO The National Water Policy NBS National Bureau of Statistics NEMC National Environment Management Council NEP The National Environmental Policy OP Operation Policy PAD Project Appraisal Documents PAPs Project Affected Persons/Populations PF Process Framework RBWB Rufiji Basin Water Board SUA Sokoine University of Agriculture TAC Technical Advisory Committee TANESCO Tanzania Electricity Supply Company TAWIRI Tanzania Resource Institute TPRI Tanzania Pesticides Research Institute WB World Bank WBG World Bank Group WUA Water User Association WRMA Water Resources Management Act WSDP Water Sector Development Program

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1. INTRODUCTION

The proposed Kihansi Catchment Conservation and Management Project (KCCMP) aims at enhancing biodiversity conservation in the Kihansi catchment. The catchment is located in the Uzdungwa Mountains, the largest of the 12 Eastern Arc Mountains in Tanzania, which contains the highest ratio of endemic plant and animal species to area of any hotspots in the world.

Despite the catchment’s critical role for both water resource management and the protection of biodiversity, currently, a comparatively small part of the catchment is under formal protection – (Njelele, Udzungwa Scarp, Idewa, Ihangana Forest Reserves). In order to enhance the conservation of the critically endangered and highly endemic species of flora and fauna, the principle activities of KCCMP will include identification, demarcation, development of management plans and protection of important water sources and critical biodiversity hotspots

Implementation of the KCMP will lead to gazettement of water source areas and ecological hotspot areas found within the Kihansi River Catchment (KRC) into protected areas status, which is likely to impact on populations particularly resource users within and outside the catchment. Protection of biodiversity hotspots will be focused on the Kihansi Gorge (5.5 km2) and the Udzwunga Scarp East Forest Reserve (91 km2), areas which are uninhabited; while protection of important water source areas will focus largely on the non-cultivated areas of the Kihansi catchment where human population densities are low (~ 29 people/km2). In view of the above, it is essential to ensure that the processes for effective implementation of KCCMP, including the KCMP, are highly consultative, collaborative and participatory in order to avoid or minimize negative impacts to communities (populations).

The purpose of the process framework is therefore to establish the design for a consultative and participatory process by which members of potentially affected communities participate in design of project activities, determination of measures necessary to achieve resettlement policy objectives (e.g. definition of eligibility criteria, mitigation measures, grievances resolution mechanisms available to project-affected people), and implementation of relevant project activities and monitoring systems for tracking progress and assessing project impact/results.

METHODOLOGY

The overall methodology used included literature review, interviews and field visits. Key sources of documentation that have been reviewed were i) reports of the previous World Bank and other initiatives in the Kihansi catchment, Project Appraisal Document and other reports produced for the previous Lower Kihansi Environmental Management Project, ii) the World Bank Group documents including Operational Safeguard Policies (OP), project concept notes, project information document and Project Appraisal Document (PAD) for this project and other WBG reports related to the process frameworks for similar projects.

Interviews and meetings were arranged with officials and representatives of various stakeholder groups including ministries, departments and agencies at the national and

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district levels, private sector organizations, civil society organizations, academic institutions and potentially vulnerable communities. They include Sector Ministries (Environment, Water, Energy and Minerals, Natural Resources and Tourism, Agriculture, Land, Housing and Human Habitat Development), District Councils (Kilolo, Mufindi and Kilombero), academic and research institutions (University of Dar es Salaam – Zoology, Botany, Water Resources Engineering, Institute of Resource Assessment (IRA); Sokoine University of Agriculture (SUA), Tanzania Wildlife Research Institute (TAWIRI); Tropical Pesticide Research Institute (TPRI)); and Rufiji Basin Water Office (RBWO). At such interviews, discussions were focused on project objectives and impacts, suitability of activities/components including alternatives and budgets, implementation arrangements, readiness to implement, potential project impacts on Kihansi environment and people and remedial/mitigation measures.

Field visits were made to Kihansi catchment, surrounding areas and districts headquarters aiming at having direct observations, discussion with key implementers and consultative meetings with some community members and societies. Stakeholders consulted were drawn from a wide range of groups including public sector agencies at the sub-national levels, implementing institutions, civil society organizations, Water Users Associations (WUAs), traders, herbalists, woodcutters, hunters, farmers, women and youth, etc. Information sought aimed at facilitating assessment of given data/information on the description and spatial extent of the Kihansi catchment, description of legal, regulatory and administrative framework relevant for the KCCMP, analysis of potential impacts of KCCMP and proposed mitigation measures, key principles involved in the selection of protected areas and mechanism to be employed in conflict resolution.

PROJECT DESCRIPTION

3.1 The Global Environmental Objective The proposed activities to be funded by GEF will contribute to the achievement of GEF-5 Biodiversity Strategy Objective 2 -- mainstream biodiversity conservation and sustainable use into production landscapes/seascapes and sectors -- by enhancing biodiversity conservation in the Kihansi catchment of which 48% is under agricultural production. The project is to provide for the long-term conservation and management of globally critically endangered species and critical habitats in the Kihansi catchment. The Kihansi catchment, which is relatively small (580 km2), brings to the fore the cross- sectoral challenges associated with water allocation for agriculture, energy, environment and other water uses. In this context, the Kihansi catchment is critical for both water resource management and the protection of biodiversity.

3.2 The Project Development Objective (PDO) The project development objective is ‘to enhance biodiversity conservation in the Kihansi catchment1’. The project will compliment as well as assist on-going efforts of key resource regulatory authorities to conserve critically endangered and highly endemic plant and animal species in the Kihansi catchment. The project will be implemented within the following three key components:

1“Enhance” in the context of this project is defined as to provide for the long-term sustainability of species and institutions. Page | 2

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Component 1: Institutional capacity building for the management of the Kihansi catchment The objective of this subcomponent is to incorporate biodiversity conservation at a planning level into Integrated Water Resource Development and Management Planning (IWRDMP) under the WSDP. Under Lower Kihansi Environmental Management Project (LKEMP) – (2001-2011) support was provided for the development of the 2004 Environmental Management Act (EMA) Cap 191 and 10 implementing regulations. . LKEMP also influenced the preparation of the 2002 National Water Policy (NAWAPO), 2009 Water Resources Management Act (WRMA) and associated regulations. NAWAPO, EMA, WRMA and the associated regulations provide an important policy and legal framework for the integration of water allocation for biodiversity conservation in river basin planning. However, to fully operationalize this complex concept of biodiversity conservation in river basin planning in Tanzania, an operational framework and guidelines relevant to environmental water allocation in river basin planning and EIAs for water resources infrastructure project by integrating downstream impacts that relate to water availability, or environmental flow assessment; the key impact of which will be improved future water resources in environmental planning and decision making. Component 1 will also support preparation of a communication strategy and sustainable financing. None of these are physical interventions, but are aimed at improving knowledge, awareness and understanding of the complex issues at hand and improving sustainability of the project interventions. This component comprises of two sub-components; that is Development of Operational Guidelines for conducting Environmental Flow Assessment (EFA) and Development of a Sustainable Financing Plan for the Management of the Kihansi Catchment. The first sub-component will provide support for the development of operational guidelies and procedures to conduct Environmental Flow Assessment (EFA) in order to adequately address downstream impacts of water resource infrastructure in future Environmental Impact Assessments. This study will serve as a pilot program for the broader WSDP which is working in nine river basins in the country.

To improve the understanding among important stakeholders on the importance of incorporating downstream environmental flows in river basin plans, the project will provide support for the development and implementation of a communication strategy related to the incorporation of environmental flows into river basin and catchment planning.

Sub-component 2 aims at developing a financing plan for the management of Kihansi catchment through valuation of ecosystem services with the catchment along with a detailed examination of fixed and recurrent costs associated with catchment management.

Component 2: Conserve endangered species in the Kihansi catchment Component 2 has three distinct sets of interventions, including physical ones: i) biological interventions (monitoring, reintroduction, scientific experiments, etc.) related to KST and other endangered species; ii) preparation and implementation of the Kihansi catchment management plan; and iii) livelihood activities and interventions. The impacts would therefore be a function of the specific type, size and extent of the interventions. The component comprises of two sub-components namely Species and Habitat Conservation and Community Conservation.

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Sub-component 2.1 will focus on activities for continued reintroduction of the Kihansi Spray Toad (KST), which is a critically endangered species with a restricted habitat range. Furthermore, there will be activities on in-situ control and mitigation of chytrid fungus and other diseases that are detrimental to amphibian population, conservation of spray wetland habitat, ecological monitoring of Kihansi gorge, mapping and management of other identified endangered species and critical habitats in Kihansi gorge and preparation of Kihansi Catchment Management Plan.

Sub-component 2 will focus on community conservation and livelihoods, which will help guide and prioritize community conservation activities within the 14 upstream villages. Through participatory planning, support will be provided for pilot investments in alternate livelihood activities, especially to those persons who will somehow be affected by the restricted farming in valley bottoms. Capacity will also be built to various key implementers in order to enhance the national capacity and project sustainability in endangered species conservation and management and enforcement of water resources and environmental regulations.

Component 3: Project Management NEMC will be responsible for project coordination at the national, regional, district and village levels. This will entail facilitating and coordinating the Steering and Technical Advisory Committees as well as providing overall multi-sectoral coordination among the governmental sectors. In addition, under this component support will be provided for day-to-day project implementation and management including, procurement, and financial and environmental management. The component will provide support for office operating costs including annual audit costs.

PROJECT AREA DESCRIPTION

4.1 Physiographic characteristics Kihansi River catchment is located in the southern middle Udzungwa Mountains. Its altitude ranges from 300 m in the Kilombero floodplain rising sharply to 1200 m at dam site to 2000 m in the uppermost part. A sharp altitudinal change between the dam and floodplain is characterised by several waterfalls.

The Riverine system in Kihansi comprises the main River Kihansi and its several tributaries joining the main river at different locations before it drains into River Kilombero in the Kilombero floodplain. This Riverine system is subdivided into upstream and downstream river with respect to the Lower Kihansi Reservoir. Upstream system comprises River Kihansi (headwaters in Igeleke Village) which is joined by several small tributaries including Rivers Muhu, Mkalasi and its major tributary River Ruaha before flowing into the 1.616 Mm3 capacity Lower Kihansi reservoir. The river flows from the dam to be joined by rivers Mhalala, Jabali and Handaki within the Kihansi gorge. From the gorge, River Kihansi flows as a single river into the Kilombero floodplain where it is joined by the return flow of the tailrace before the TAZARA railway bridge, from which it meanders in the floodplain to discharge into River Kilombero.

The Kihansi Gorge, which is the most important habitat for critical species of fauna and flora is not easily accessible; it can only be accessed by foot from the Kihansi Dam or

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from the Kihansi Power Station (KPS). The footpaths up the nearly 900 meters from the KPS up to the Kihansi dam are narrow, slippery and steeply sloping making the journey through the gorge difficult and even dangerous for people who may not be used to such steep and hilly terrain. In view of the above, it is worth noting that are no on-going community related activities such as farming and/or settlements in this area. Currently, accessibility to the Kihansi Gorge is restricted to habitat and ecological monitoring aspects, which are carried out regularly as part of the Environmental Management Plan (EMP) for the Lower Kihansi Hydropower Plant.

The KCCMP will focus on the protection of the water sources that are located upstream of the catchment and will therefore have an impact on the flow of water within the Kihansi River and the Kihansi Gorge. These water sources, which have been identified by the communities in the catchment as part of the on-going activities in the Rufiji basin under the Water Sector Development Programme (WSDP), include:

a) Kilolo District: Kilomele, Madete, Ilambwa, Mahare, Kiguka, Ng’embe, Ngohwani, Msuyu, Kitalawe, Kidope and Mseve;

b) Mufindi District: Kidope, Lwanzala, Kimanyu, Mkulubanzi, Mlungu, Mongoro, Mnyazungwa, Muhu, Mapanda and Igeleke.

The major threat to water sources arises due to deforestation in search for more land for cultivation and uncontrolled valley bottom cultivation locally called ‘vinyungu’.

4.2 Biological characteristics Kihansi catchment forests have abundance of terrestrial and aquatic fauna including mammals, birds, fish and herptiles (amphibians and reptiles). Eight primate species occur in Kihansi and Udagaji gorges: Sykes Monkey, Uhehe Red Colobus, Black & White Colobus, Sanje Mangabey, Vervet Monkey, Baboon and two species of Galago. One of the Galagos is the rare Matundu Dwarf Galago. The Uhehe Red Colobus and Sanje Mangabey are globally rare being only known from the Udzungwa Mountains (including Kihansi) and so are of high conservation importance. In Kihansi gorge the estimated population size of Red Colobus was the largest, followed by Sykes Monkey and Black and White colobus. Sixteen bird species recorded from the Kihansi Gorge are of conservation concern (African Crowned Eagle, Swynnerton's Robin, Uluguru Violet- backed Sunbird, Sharpe's Akalat, Mountain Buzzard, Half-collared Kingfisher, African Black Duck, Giant Kingfisher, Orange Ground Thrush, Evergreen Forest Warbler, Square-tailed Drongo, Fu-elleborn's Boubou, Moustached Green Tinkerbird, Shelley's Greenbul, Fischer's Greenbul, White-chested Alethe). Seven of 12 globally or regionally threatened and near-threatened species are found in Kihansi. Eastern Arc endemic amphibians occurring in the Kihansi forest include: Nectophrynoides tornieri, Leptopelis uluguruensis, Probreviceps macrodactylus and Arthroleptides martiensseni. Eastern Arc endemic reptiles include: Cnemaspis udzungwae (an Udzungwa endemic) and Rampholeon brevicaudatus. A new species of Nectophrynoides (Nectophrynoides asperginis) or famously known as the Kihansi Spray Toad (KST) is only found in the Kihansi Gorge.

The 1995 EIA for Lower Kihansi Hydropower Project (LKHP) listed plants for the forest that were known to be endemic to the Eastern Arc, which is the area of high biodiversity and endemism. Some of these plants were poorly known scientifically or

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were significant range extensions. For example, collection of Oxyanthus haerdii in Kihansi was the first time the plant had been found since its initial discovery in 1959, and identification of the rare Cola scheffleri extended its range southwards by several hundred kilometres. The largest Udzungwa Forest Reserve extends into eastern part of the catchment within the sub-catchment of River Ruaha extending for the entire area between the river and eastern border of Kihansi catchment. There are two small forests, the Mwatasi and Igeleke Forests located on the northwest part of the catchment.

4.3 Socio-economic characteristics The main livelihood activities in the area include rain-fed agriculture; livestock keeping; fishing and fish-farming; trading on basic necessities; and harvesting of forest products. These activities are carried out mainly for subsistence. All villagers have access to agricultural land through customary ownership or through temporary use- rights. There are no individuals or groups of people who cannot access agricultural land in the area. Customary (traditional) ownership is the dominant form of land ownership in the area. Land is more accessible in the lowland areas in comparison to the upland villages. Only a small area of farmland is under irrigation (approximately 200 acres in Udagaji village) although the area has over 100 streams and rivers. Farming land is characterized by steep slopes in the upland areas, while the lowland farms are generally flat. There is a fruit and meat processing factory in Boma la Ng’ombe. Mlimba “A” and Boma la Ng’ombe have a number of grain mills and sawmills.

The dominant economic activities of Kihansi population are crop production (85%) and animal keeping (10%). Different crops are grown between the lowland and upland areas due to the difference in altitude and climate between the two areas. Maize; cassava; sweet potatoes; and some of the fruits/vegetables are grown in both areas. Upland crops include maize, wheat, finger millet, round potatoes, sweet potatoes and pyrethrum. Fruits grown in upland areas include bananas, pears, peaches, avocado, oranges and guava. Vegetables grown in those areas include beans, green peas, cabbages and tomatoes. Lowland crops include rice, maize, sorghum, cassava; sweet potatoes, pumpkins, pigeon-peas, groundnuts and sesame. Other lowland crops include coconuts, cashew nuts, cocoa, palm-oil and sugar cane. Fruits grown in lowland areas include bananas, oranges, mangos, pawpaw, sweet melons, lime fruits and guava. Vegetables grown in those areas include beans, cabbages, onions, okra and tomatoes.

Illegal hunting for bush-meat is among the activities carried out in lowland areas. Livestock keeping include cattle in lowland areas and dairy cows in upland areas. Goats, sheep, pigs, rabbits and chicken are kept in both areas. Pigeons are reared in lowland. Intercropping is widespread and often results in complicated cropping patterns.

Exploitation of forestry resources is primarily for fuel. The main source of energy is firewood obtained from wood forests and rain forest. Firewood is used for cooking. Electricity is also available in some areas of Mlimba and Kihansi TANESCO area from power produced at Lower Kihansi Power Plant. Alternative power sources include generators, which produce energy to various financially able persons as well as solar powers. Logging is becoming widespread following the flourishing market of timber within and outside the country. Preferred species for logging include Mninga, Mhongo, Mpangapanga, Msekeseke, Pamosa, Msufi and Mtondo/Mtondoro.

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Commercial and trade facilities are run by the private sector. Private businessmen operate shops of various merchandise, restaurants, hotels, guesthouses, bars and kiosks. Supplies are obtained from Ifakara, Kilombero and Mikumi Towns and Morogoro Municipality through roads and railway.

4.4 Water Supply for Domestic Use and Livestock Most of the population in the area is supplied with water for domestic use from rivers, streams, dug-out traditional wells and springs. Only Mlimba “A” and Boma la Ng’ombe have limited access to tap water. Shallow wells are also among the sources of water for domestic use. Most of the livestock in the upland areas are on zero-grazing but a good number of lowland livestock are free-range and utilize various ponds and streams for watering.

LEGAL AND ADMINISTRATIVE FRAMEWORKS

There is an overall national institutional and legal framework for the management and protection of the environment.. The responsibility for the management and protection of the environment presently lies with the Division of Environment (DoE) and the National Environment Management Council (NEMC) under the Vice President’s Office. NEMC is a public body established under the Environmental Management Act Cap 191, responsible for managing the environment in Mainland Tanzania and hence to ensure that EMA and its regulations are complied with accordingly.

5.1 International agreements and conventions Tanzania’s commitment is reflected in a number of global and international environmental and natural resource management conventions which the country is signatory to and has acceded to. These include The Convention on Biological Diversity (CBD), United Nations Framework Convention on Climate Change (UNFCCC), United Nations Convention to Combat Drought and Desertification (UNCCD), Vienna Convention for the Protection of the Ozone Layer, Montreal Protocol on Substances that Deplete the Ozone Layer and the London Amendments to the Montreal Protocol on Substances that Deplete the Ozone Layer, Basel Convention on the Control of Trans- boundary Movement of Hazardous Wastes and their Disposal, Convention on the Conservation of Migratory Species, Convention on International Trade in Endangered Species of Wild Fauna and Flora(CITES), Convention on Wetlands of International Importance (Ramsar), Convention Covering the Protection of the World Cultural and Natural Heritage and United Nations Convention on the Law of the Sea.

Tanzania is also a party to a number of Africa regional agreements such as the Bamako Convention on the Ban of the Import into Africa and the Control of Trans-boundary Movement and Management within Africa of Hazardous Wastes and The African Convention on the Conservation of Nature and Natural Resources.

5.2 National Legislation Relevant to the PF There is no specific legislation for the protection and conservation of biological diversity as a whole. The EMA (2004), The Wildlife Conservation Act (2009), The Forest Act (2002), The Water Resources Management Act (2009), The Land Use Planning Act (2009) and The Village Land Act (1999) form the current legislative basis

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for Wildlife Protection and Biodiversity Conservation in Tanzania. Some of the provisions of these legislation are insufficient and above all, the institutions set up to manage and implement these legislation have inadequate manpower as well as financial capacity to execute daily mandates. These policies and legislation designed to foster conservation and national management of natural resources date back to the colonial era.

5.2.1 The Environmental Management Act (2004) The Environmental Management Act (2004) repealed the National Environmental Management Act, 1983 and provides for continued existence of the National Environmental Management Council (NEMC). EMA introduces a concept of right of Tanzanians to clean, safe and healthy environment and right of Tanzanians to access to various segment of environment for recreational, educational, health, spiritual, cultural and economic purposes (Section 4 (1) and (2)). Under this Act, NEMC is mandated to undertake enforcement, compliance, review and monitoring of environmental impact assessment and has a role of facilitating public participation in environmental decision making, exercise general supervision and coordinating over all matters relating to the environment.

5.2.2 Village Land Act (1999) The Village Land Act No.5 of 1999 is arguably amongst the laws that most directly impact the well-being of most Tanzanians. Unlike the Land Act, the Village Land Act has in its provisions, which bear witness of some attempt to learn from past problems and experiences. The Act suggests that the major parts of the administration of land have been decentralized to the village and that there are firm guarantees in place to protect the smaller-holder security of tenure. Fundamentally, the Act vests all village land in the village. The precise distribution of authority between the Village Council and the Village Assembly is not always defined, but the underlying principle is clearly that Village Land is vested in the Village Assembly and that the Village Council administers the land through the authority of the Village Assembly.

The Village Land Act through Section 18 (1) states that a “customary” right of occupancy is in every respect of equal status and effect to a granted right of occupancy. The meaning of this statement is somewhat unclear as the holder of customary rights answers to a different set of rules with different hindrances and privileges than does a holder of a granted right of occupancy. This statement in its own right is unimportant because the status of customary rights will only be determined by the way in which the law will be administered.

However, Section 60 of the Act makes special provisions for the establishment of a Village Land Council “to mediate between and assist parties to arrive mutually acceptable resolution on any matters concerning the village land. Sections 11 and 58 of the Act show that for some reasons, the Village Land Council jurisdiction has been limited to cases related to land sharing arrangements with other villages and land sharing. Since the proposed KCCM Project will be carried out in the part of village lands, the provisions given in this Act will be applicable.

5.2.3 Wildlife Conservation Act (2009) The objective of this law is to protect, conserve and administer areas with great biological biodiversity; protect and conserve wildlife resources and its habitats. Section

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35 under this Act provides legal requirement of conducting EIA for significant intervention in wildlife protected areas and their associated dispersal areas. The act provides legal framework for various uses of wildlife resources within and outside protected areas.

5.2.4 The Forest Act (2002) The law provides the promotion and enhancement of the contribution of forest sector to the sustainable development and conservation and management of natural resources for the benefit of present and future generations. The law also encourage and facilitate the active participation of the citizens in the sustainable planning, management, use and conserve forest resources through the development of individual and community. To ensure ecosystem stability through conservation of forests biodiversity, water catchments and soil fertility.

5.2.5 The Water Resource Management Act (2009) This is a new legislation that has repealed the Water Utilization (Control and Regulation) Act (1974). The Act provides for institutional and legal framework for sustainable management and development of water resources; outlines principles for water resources management for prevention and control of water pollution and provides for participation of stakeholders and general public in implementation of the National Water Policy. Its main objective is to ensure that the Nation’s water resources are protected, used, developed, conserved, managed and controlled in ways that among others, meets the basic human needs of present and future generations, prevents and controls pollution of water resources and protects biological diversity especially the aquatic ecosystems.

According to Section 39 (1) of this act, owner or occupier of land on which any activity or process is performed or undertaken, or any other situation exists which causes pollution of a water source, shall take all reasonable measures to prevent any such pollution from occurring, continuing or recurring. It is stated under Section 39 (2) that a Basin Water Board may direct any person who fails to take the measures required under subsection (1) to commence taking measures before a given date, diligently continue with those measures or complete the measures before a given date.

Section 40 (1) states that where a person fails to comply or comply inadequately with a directive given under Section 39 (2), the Basin Water Board may take measures as it considers necessary to remedy the situation. Section 40 (2) provides more that the responsible person, any other person involved in the incident or any person with knowledge of the incident must, as soon as is practicable after obtaining knowledge of the incident, report the incident to the Basin Water Board or any public officer and the a responsible person shall take all reasonable measures to contain and minimise the effects of the incident, undertake clean-up procedures, or take such measures as the Basin Water Board may verbally or in writing direct and any verbal directions shall be confirmed in writing within fourteen days to have effect under this subsection

The KCCMP will strive to comply with the provisions of the Water Resource Management Act of 2009.

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5.2.6 Land Use Planning Act (2007) The Act established the Land Use Planning Commission, which is the principal advisory organ of the Government on all matters related to land use. The Act has the function of formulating policy on land use planning, coordinating the activities of all bodies concerned with land use planning matters, and evaluating existing and proposed policies and activities of the Government directed to the safeguarding of land against its wrongful, wasteful or premature use or development and, on that basis, recommend policies and programs which will achieve more effective protection and enhancement of the land quality and encourage better land use planning.

Other functions include recommending measures to ensure Government policies are complied with, including those for the development and conservation of land. This is also an important environmental provision, which introduces the requirements for environmental impact assessment at least in respect of land use matters.

5.3 World Bank Policies The Involuntary Resettlement Policy (OP/BP 4.12) covers direct economic and social impacts that emerge from Bank-financed investment projects, and are caused by involuntary taking of land resulting in relocation or loss of shelter, loss of assets or access to assets, loss of income sources or means of livelihood, whether or not the affected persons must move to another location or the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. The policy is triggered in situations involving involuntary taking of land and involuntary restrictions of access to legally designated parks and protected areas.

The objective of this policy is to avoid where feasible, or minimize the resettlement, exploring all viable alternative project designs. The policy calls for sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share project benefits and to improve their livelihoods. The standards of living should be restored, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.

This policy may be triggered because the proposed project is envisaged to entail some restriction of livelihood and other activities to selected critical habitats and water sources which will be earmarked for protection. Therefore, consistent with OP 4.12, this Process Framework has been prepared to manage any implications for communities relying on natural resources in these areas.

5.4 Key policies that are relevant to the implementation of the PF The key policies and strategies that will be of relevance during the implentation of this framework include the National Environmental Policy (1997), The National Agriculture and Livestock Policy (1997), The National Water Policy (2002), The National Forest Policy and the National Strategy for Urgent Actions on Land Degradation and Water Catchments (2006).

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EXPECTED LIVELIHOODS IMPACTS AND MITIGATIONS

6.1 Benefits and ecological threats Most of the socio-economic activities of Kihansi communities are carried out outside protected areas from the right bank of River Ruaha to the western catchment boundary. This leaves only the protected Udzungwa Scarp Forest (between the left bank of River Ruaha and eastern catchment boundary) where these activities are not carried out or illegally carried out.

Consequently, agriculture is widespread in the catchment with communities utilising natural resources outside protected areas for most of their livelihood needs and cultivation is extended to the river banks (popularly known as vinyungu), particularly in dry seasons. Agricultural practice is slash and burn, and has occasionally resulted into serious damages and changes to vegetation structure and faunal composition. Farms occur in gentle and steep slopes on the western portions of the reserve. Other uses and services from the unprotected areas include bee-keeping, firewood collection and wood /timber mainly for domestic use and subsistence income generation. Communities bordering the Udzungwa Scarp Forest Reserve (Uhafiwa, Ihimbo, Kipanga and Mbawi) do most of the illegal hunting of primates in the forest.

6.2 Potential social impacts The implementation of the Kihansi Catchment Management Plan to be supported by the proposed project is envisaged to support water and soil conservation activities and propose appropriate protection status and management systems for these sites. However, formal protection or gazettement of water source areas to a lesser degree and biodiversity hotspots is likely to result in undesirable impacts to community livelihoods. The possibility remains that implementation of project activities to protect important water sources and biodiversity hotspots might materially affect the current livelihoods of certain persons in the catchment, largely by restrictions in access to natural resources in these newly protected areas. The main community concerns are possible restrictions on their historical use of "natural" resources from natural forest such as harvesting of timber and fuel wood collection and restriction on cultivation and use of fertile riparian soils in vinyungu or valley bottom plots.

The land potential for gazettement as important water source areas is most likely is along the water courses and adjacent to forest reserves. Protection of water sources within the Kihansi catchment will involve prevention of steep slope cultivation or through appropriate agricultural practices including terracing and contour bands. This might entail joining parts of Igeleke and Mwatasi Forests (Figure 1) and consequently gazetting the area between the two forests and most of the Mhalala sub-catchment because of its immediately proximity to the Kihansi Gorge.. Apart from protection of other sources, entire lengths of rivers in Kihansi might need protection against destructions of the banks by compliance enforcement of 60 m or any established relevant distances from sources, as mandated in Section 57 of EMA Cap 191 and Section 34 of the WRMA of 2009.

This Process Framework outlines the key guiding principles, criteria and procedures which the project will follow in such cases, to ensure that eligible, affected persons are assisted in their efforts to restore or improve their livelihoods in a manner which maintains the environmental sustainability and territorial integrity of the relevant

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protected areas. In all such cases, the National Environment Management Council (NEMC) as the executing agency and respective Local Government Authorities would seek to address the livelihood issues of these persons in a manner which is fair, just, and in accordance with the Tanzanian laws and Regulations, as well as consistent with the World Bank's Safeguard Policies on Involuntary Resettlement (OP 4.12), Environmental Assessment (OP/BP 4.01), Natural Habitats (OP 4.04), Forest (OP/BP 4.36).

Figure 1: Location of socio-economic facilities in Kihansi River catchment (upstream)

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6.3 Proposed mitigation measures Mitigation measures against these anticipated negative social impacts of project activities will be developed under this project in consultation with, and taking into account of the needs of local communities. The project will be guided by the EMA (2004) and WRMA (2009) and the National Water Policy, which provide for community participation in the management of natural resources. The project will work with the Village governments, Village Environmental Management Committees and Water User Associations to develop Kihansi Catchment Management Plan as among envisaged outputs of KCCMP. Among the mitigations to be implemented by the project is establishment of woodlots as part of the catchment management plan as an alternative for firewood collection from natural forests that will be demarcated for protection. Awareness on alternative energy sources and efficient energy use technologies (e.g. using saw dust for cooking) and improved stoves will also be provided. The project will also provide support for pilot investments in alternative livelihoods activities in the Kihansi catchment based on community consultation and preferences in the use, timing, and application of pesticides, terracing, contour bunds, mulching, intercropping, shelter crops, the planting of insect trap crops, soil stabilizing grasses and shrubs, honey production, poultry keeping, fruit trees, and the marketing of fruits. Demonstration plots in the form of farm field schools will be established for communities to participate and learn both the theory and practice of soil and water conservation, IPM and appropriate agricultural practices. These activities will be promoted as alternatives to traditional valley-bottom cultivation.

KEY PRINCIPLES TO GUIDE SELECTION OF PROTECTED AREAS

7.1 Guiding principles The following principles will guide the project’s identification and protection of protected important water sources and biodiversity hotspots in consultation with communities living in core and buffer zones of those areas.

a) Livelihood activities inside the proposed protected areas: Currently there is no form of resource utilisation within the proposed protected areas. The area earmarked to be gazetted as a biodiversity hotspot is the Kihansi Gorge where there is no human settlement and access is already restricted. The restriction will likely be increased under the project after gazettement.

b) Information and communication: The Project will develop a Communication Strategy that will emphasize dissemination of clear, true and timely information to beneficiaries (including government and non-governmental organizations and the general public) as to the Project objectives, scope and benefits. The Project will strongly emphasize the provision of detailed information regarding the rights and obligations of the direct project beneficiaries, in a manner that is accessible and enables any questions, doubts or issues to be raised and resolved as quickly and efficiently as possible.

c) Participation: Broad public participation in the catchment particularly by those communities living in and near the protected areas will be strongly emphasized in

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the formulation, updating, execution, monitoring and evaluation of Management Plans. The community participation will be through the Village Environmental Committees (natural resources, biodiversity hotspots) and the Water User Association (important water sources).

d) Biodiversity conservation and sustainable development: Sub-catchment Management plans will aim to harmonize the needs of local human populations with the conservation of natural resources. These management plans will be prepared with full participation of communities that will be involved in the implementation of activities identified in the management plans.

e) Environmental education. Environmental education will be strongly emphasized so as to promote awareness and sound behaviour among the population of the importance of natural resource conservation.

f) No involuntary resettlement. To effectively implement the project, no involuntary physical displacement or relocation of people will take place as a part of implementation of this project.

g) Voluntary resettlement. In the case that current livelihood activities are not considered compatible with the conservation of important biodiversity hotspots and water sources, innovative measures to mitigate the impacts of those household will be developed with the participation of would-be beneficiaries in livelihood and catchment management demonstrations that would guarantee the reestablishment of existing socio-economic conditions. These households would be the priority beneficiaries of activities from the community conservation and livelihood activities sub-component.

h) Transparency. The dissemination and validation of management plan formulation, execution, monitoring and evaluation will be done in a fully transparent manner, such that all protected area community sectors are aware of the process. This process will be managed so as to guarantee that established criteria and procedures are applied transparently and equitably for all.

i) Co-responsibility. Management plan development and implementation will include clearly defined roles and responsibilities for all institutions involved, including national and local governmental entities, social organizations and communities.

7.2 Eligibility criteria Due to current limited accessibility in the proposed biodiversity hotspot (Figure 2), it is anticipated that access to resources will not be limited as a consequence of implementation of this project. However, restriction to cultivation near water sources is anticipated. This restriction will be in line with the provisions by the law as outlined in Sections 57 and 34 of the EMA of 2004 and WRMA of 2009, respectively. EMA and WRMA will form the basis for the identification and protection of water sources in the project area. The Water User Associations (WUAs) and Village Environmental Committees have the primary responsibility of protecting these important water source areas with or without the project. Gazettement of these water sources will not limit households to collect firewood and other forest products, but will rather focus on

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restricted valley bottom farming of ‘vinyungu’. Procedures will be put in place to ensure that such farmers who will be affected are included in the proposed community pilot investments under Sub component 2.2. These community investments will promote alternative livelihood activities as well as improve water quality and its flow into River Kihansi.

Figure 2: Kihansi gorge has limited accessibility to surrounding communities

8. IMPLEMENTATION PLAN FOR IDENTIFIED AREAS UNDER PROTECTION

8.1 Key implementers of the Process Framework Implementation of this Process Framework is the responsibility of NEMC. Supporting NEMC will be a number of actors such as the LGAs, Village governments and Village Environmental Committees, Community Based Organizations and NGOs. Identification and demarcation of biodiversity hotspots will be carried out by the Ministry of Natural Resources and Tourism and Tanzania Wildlife Research Institute. The Ministry of Water and Rufiji Basin Water Office (RBWO) will be responsible for the identification and demarcation of important water sources. Technical studies such as Socio-economic Diagnostics will be overseen by NEMC and carried out by private sector firms and/or NGOs (or other competent actors). Implementation of the CMP will be the responsibility of LGA in collaboration with the RBWO.

8.2 Public participation and consultation and community concerns Public consultations were carried out during designing of project activities as well as ESIA and Process Framework preparation exercise with the aim of explaining the objectives and scope of the project as well as to identify, discuss and respond to project issues of concern to different stakeholders. During the field visits and stakeholder consultations, information was gathered on the population, land use patterns and Page | 15

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agriculture and key economic activities within the catchment (see Annex 1). At present only an estimate of the categories of people to be affected by the relevant project components has been made as detailed consultation will be carried out during project implementation as part of the preparation of the Kihansi Catchment Management Plan, particularly on identification of important water sources from protection. Generally, most of the stakeholders view the proposed project as a positive initiative that will support and build on the earlier work done under LKEMP. Stakeholders view the overall objective and the project design as a constructive initiative in terms of biodiversity conservation, community support by prompting alternative livelihood activities as well as enhancing protection of water sources. Capacity building to raise community awareness on the issues of provision of alternative investment opportunities (referring to previous small grant schemes under LKEMP); protection of water sources; as well as improvement of water quality were seen to be of high priority during the discussion. These views were incorporated during the formulation of KCCMP.

Protection of critical biodiversity has existed already in the Kihansi Gorge during the previous IDA support to LKEMP and prior to the start of World Bank project as for the case of Njelele forest reserve. After the launch of the proposed project, there is no new restriction of access to natural resource in these areas. During consultations communities expressed their understanding on the biodiversity and the presence of endemic species in the catchment, particular the Kihansi Gorge as a habitat for the Kihansi Spray Toad and the conservation efforts under the earlier project, LKEMPHowever, the proposed project will enhance awareness of protected areas and involve communities in administrative action plans for biodiversity protection and monitoring including: media publicity, on-site and off-site training, posters and promotional graphics observing the conservation of water, soil management and vegetation cover in demonstration plots.

Based on the community’s past involvement and knowledge they were less concerned with the protection of biodiversity hotspots in the Kihansi Gorge where there is no human habitation and where access is already restricted. Communities have a clear understanding on the local environment, and are also aware that establishment of the protected areas will help improve the local living environment for future generations. But they are also clearly aware of various impacts of the project on their livelihood. Concerns were aired with regard to the restricted access to cultivation along valley bottoms and water source areas, which were not clearly defined at project preparation. Nevertheless, communities have no objection to the project implementation, from which they expect to benefit from conservation activities. They appeal the Government to provide electricity and a passable road to villages on the upstream of the Lower Kihansi Hydropower Dam. Since conservation initiatives in Kihansi catchment started during the construction of the dam, communities associate most of the conservation activities with the functioning of the dam. Therefore, the main argument is that, since these villages, particularly Ukami conserve the catchment to ensure continuous flow of water in Kihansi River for power generation, they deserve consideration form the benefits accrued from conservation.

Communities proposed that the new project emulates the participatory approach in identification and protection of water sources as implemented by the WSDP through RBWO. Under WSDP, communities establish Water User Association for sub

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catchments and agree on management and utilization procedure, which are formulated in constitutions and by-laws, which regulate utilization in protected areas. The by-laws are made binding and formal between the communities and the respective Local Government Authority.

8.3 Project information dissemination Information regarding the project’s goals, activities and advances will be disseminated at the local, regional and national levels in accordance with the communication strategy that will be prepared by this project. This strategy will be developed to specifically target key stakeholders such as local communities and NGOs, as well as local, regional and national institutions and the general Tanzanian public. At the national and regional level the project aims to disseminate its objectives and achievements and encourage public support during the implementation of its planned activities. For those communities living in the project area and in the surrounding buffer zones of potential protected areas, the strategy aims to encourage support for the sustainable use of natural resources and conservation; motivate local participation in the design and implementation of Management Plans; disseminate the mechanisms for, and encourage participation in, local community-based or village committees and establish a two-way communication channel between communities and those responsible for project development and implementation.

The communication strategy will disseminate key information to the public through a variety of channels, in both the public and private sector, such as governmental institutions, NGOs, private businesses, schools, and civil society.

8.4 Technical studies The following technical studies will be done to document the status and location of important water sources and biodiversity hotspots within the catchment. This will be in addition to what has been documented by the Rufiji Basin Water Office for the entire Rufiji Basin.

a. Rapid Ecological assessment: Rapid Ecological Assessment (REA) will be done focusing on Kihansi gorge to identify issues that are pertinent to biodiversity conservation. The REA will be done using field verification of existing information and aerial photography and/or satellite images. The results will be used as a basis for preparation of management plans, with priority set for endangered and endemic species.

b. Socio-economic Diagnostics: These diagnostics will be done to characterize the existing livelihood uses of the potential areas for protection and help to prioritize the identified water sources in terms of the level of degradation. Specifically, the diagnostics will: a) characterize existing land use, b) assess the local social dynamics, identifying key relationships between local actors, and the prevalent forms of social organization, c) characterize the local economic dynamics, identifying the role of actors and economic agents, and their relationships with the natural resources of the area and d) identify historic values linking the identity of local populations with the natural resources of the areas and their surroundings. Additionally, these diagnostics will assess the characteristics of the local populations, existing conflicts and infrastructure.

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c. Development of Management Plan: The project will develop and implement a catchment management plan (CMP) for the protected water source areas. Working with communities, the project will develop strategies that encourage medium- and long-term sustainable management and utilization of the protected areas. Building upon these inputs, the CMP will include the definition of the external pilot area boundaries (including both the core and buffer zones), as well as internal boundaries of differential use zones. These zones will be developed considering the livelihood activities and the compatibility of human uses with natural resource conservation. The allowable uses within internal zones will be defined, taking care to incorporate those persons whose existing uses and practices may be limited by these zones. The draft CMP will be disseminated and consulted with local stakeholders so as to validate and revise it where necessary. The final CMP will also be heavily disseminated so that stakeholders and local beneficiaries are knowledgeable about this key project activity.

d. Implementation of the Management Plan: The project will ensure the full implementation of CMPs in priority zones. For programs included within the CMPs that require community participation, by-laws will set forth the obligations and rights of each participant. Regular meetings will be held with local actors to update them on the CMP’s advances and results.

9. MONITORING AND EVALUATION (M&E) ARRANGEMENTS

9.1 Monitoring and Evaluation (M&E) arrangements Arrangements for monitoring the implementation of this Process Framework fit the overall project monitoring plan led by NEMC. The lead coordinating institution (NEMC), under the Project Coordinator, will be responsible for monitoring and evaluation (M&E) and will report on project performance based on the field visits and implementation reports to the Technical Advisory Committee (TAC) through the Director General – NEMC who will be the Chair. The TAC will consist of all implementing institutions of the project and will be required to report on the status of implementation of their activities. The outputs of the TAC will be reported to the Steering Committee that will comprise of Permanent Secretaries (PSs) or their representatives of the implementing institutions2 and chaired by the PS at the Vice President’s Office. The Steering Committee will make policy related decisions for the project.

The objectives of monitoring implementation of the PF are a) to ensure that the bodies established and tasked, inter alia, with implementing the PF are performing their duties adequately and if not, to ensure their capacity is built to do so, b) to ensure that the actions taken to resolve conflicts, to compensate losses, to distribute benefits catalyzed by the project and to improve overall welfare in the peripheral zones of the selected Protected Areas are having their intended impacts and to take corrective action if not and c) to conduct a final evaluation of whether or not the PAPs identified have been affected in such a way that their living standards are equal or higher than before the project.

2 Ministries of Water, Natural Resources, Agriculture, Energy, Finance and Regional Administration and Local Government. Page | 18

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A number of indicators will be used to determine the status of livelihood of affected communities. Definitive indicators and milestones of success will be developed in a participatory manner after the project start date by local community representatives chosen to represent the views of communities in the project area, established water user associations, Districts focal persons for districts of Kilolo, Mufindi and Kilombero and RBWO.

The project will establish an appropriate M&E system to track progress against the set indicators to provide an overall assessment of project performance. At the protected area level, M&E will be carried out in a participatory manner with the beneficiary communities. A number of indicators could be used to determine the status of PAPs and of affected communities. Definitive indicators and milestones of success will be developed in a participatory manner after the project start date by local community representatives chosen to represent the views of communities in the project area, established water user associations, Districts focal persons for districts of Kilolo, Mufindi and Kilombero and RBWB.

At the project level, M&E will include those indicators established in project documents and aligned with the GEF biodiversity tracking tool. The overall monitoring of project progress will be achieved through quarterly reporting.

The PF will be considered successfully implemented if affected individuals, households and communities maintain their project standard of living or improve on it, and local community support is built and remains supportive of the project.

9.2 Financing The activities mentioned above are included in the scope and costs of the project. With respect to subprojects to mitigate potential adverse impacts, the financing for these activities would come from component 2, Subcomponent, 2.2 regarding community conservation activities that will focus on improving water quality and quantity for the entire catchment.

10. POTENTIAL CONFLICTS OR GRIEVANCES AND DISPUTE RESOLUTION

A forum for communicating and debating potential conflicts will be established in line with the existing community conflict resolution system. The project may require the resolution of conflicts expected to include those i) related to land use in the buffer of protected areas and ii) regarding the use of natural resources in the protected areas. Such conflicts may be addressed through an existing mechanism provided in the Village Land Act of 1999 or use specific alternative resolution mechanism that will be developed by the project.

Section 60 of the Act makes special provisions for the establishment of a Village Land Council “to mediate between and assist parties to arrive at a mutually acceptable resolution on any matters concerning the village land”. However, the Village Land Council jurisdiction has been limited to cases related to land sharing arrangements with other villages and land sharing among community members. Since the proposed KCCM Project will be carried out in the part of village lands, the provisions given in this Act will only be partly applicable.

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The alternative mechanism is expected to function as follows: Initially, conflicts will be addressed at community level through the Village Environmental Committees and Water User Associations that will investigate the complaint, and attempt to resolve it through mediation, then through the respective LGA, and will include representatives from NEMC, local communities and NGOs working in the protected area. If the conflict cannot be resolved at this level, it will be escalated to NEMC. If still not resolved, the conflict will be addressed at the national project steering committee for policy decisions. In order to trigger this process, conflicts should be addressed to: The Project Coordinator, National Environment Management Council, 29-30 Regent Street, P. O. Box 63154, Dar es Salaam.

11. CONCLUSION

This process framework aimed to lay down processes that will lead to effective implementation of mitigation measures for the proposed impacts that were detailed in the Environmental and Social Impact Assessment report. The framework has put in place consultative measures to ensure that proposed measures are sustainable in order to achieve the overall objective or conservation of Kihansi catchment and its important biodiversity.

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REFERENCES

Butynski, T.M., Ehardt, C.L., Struhsaker, T.T. (1998). Notes on two dwarf galagos (Galagoides udzungwensis and Galagoides orinus) in the Udzungwa Mountains, Tanzania. Primate Conservation 18: 69-75. East African Community Treaty. 1999. IUCN Red List Lovett, J.C., J. Hatton, L.B. Mwasumbi, & J. Gerstle. (1997). Assessment of the impacts of the lower Kihansi hydropower project on the forests of Kihansi Gorge, Tanzania. Biodiversity and Conservation 6: 915-933. NORPLAN (1995). Lower Kihansi Hydropower Project. Environmental Impact Assessment. Report produced for Tanzania Electric Supply Company Ltd. (TANESCO), Dar es Salaam, Tanzania. NORPLAN (1999). Vegetation Survey in Kihansi Gorge, Tanzania. Report produced for Tanzania Electric Supply Company Ltd. (TANESCO), Dar es Salaam, Tanzania Poynton, J.C., Howell, K.M., Clarke, B.T. & Lovett, J.C. (1998). A critically endangered new species of Nectophrynoides (Anura: Bufonidae) from the Udzungwa mountains, Tanzania. African Journal of Herpetology 47(2): 59-67. Poynton, J.C., Howell, K.M., Clarke, B.T. & Lovett, J.C. (1998). A critically endangered new species of Nectophrynoides (Anura: Bufonidae) from the Udzungwa mountains, Tanzania. African Journal of Herpetology 47(2): 59-67. Rodgers, W.A. & Homewood, K.M. (1982). Biological values and conservation prospects for the forests and primate populations of the Uzungwa Mountains, Tanzania. Biological Conservation 24: 285-304. United Republic of Tanzania (URT). 1995. The National Land Policy (1995) United Republic of Tanzania (URT). 1999. The National Land Act, No. 4 United Republic of Tanzania (URT). 2002. The National Water Policy United Republic of Tanzania (URT). 2005 Environmental (Registration of Environmental Experts) Regulations United Republic of Tanzania (URT). 2005. The Environment Impact Assessment and Audit Regulations, Gn No. 349 of 2005 United Republic of Tanzania (URT). 2009. The Wildlife Conservation Act United Republic of Tanzania (URT). 1997. The National Environmental Policy United Republic of Tanzania (URT). 2002. The Forest Act United Republic of Tanzania (URT). 2009. The Water Resource Management Act, 2009 United Republic of Tanzania (URT). 2004. Environmental Management Act Cap 191 United Republic of Tanzania (URT). 2011. National Poverty Eradication Strategy

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ANNEX 1: Issues Raised During Stakeholder Consultations

Issues of Institution/Organization Recommended Actions RUFIJI RIVER BASIN  More awareness to surrounding communities over  Communities awareness programs is part importance of catchment management and increase of project activities understanding about the KST  Sediment Assessment has proven that communities’  The project will provide training on good agricultures activities have contributed to basin siltation agricultural practices  Land use changes in some villages close to Kihansi  The project should facilitate the planting of catchment have contributed to changes in vegetation natural water friendly trees close to species as a result of commercial tree plantation activities catchment areas  Introduction of Catchment Protected Areas. This can be  The project should speed up process to implemented through gazettement of potential Kihansi gazette some potential sites of Kihansi catchment parts catchment to form Protected Area  Land use Plan to villages along Kihansi catchment  KCCMP to facilitate Land use Plan to villages close to potential areas of Kihansi catchment  KILOLO DISTRICT  Restriction of farming in valley bottoms (Vinyungu) in  Introduction of catchment protected areas order to reduce pesticides contamination to water through gazettement of some potential sites  Establish bylaws to give power to village leaders to deal with their farmers  Involve Water User Associations (WUAs) in the  Facilitate and establish a sustainable funds management of the catchment for Water User Association  Land use planning to villages is the main guide to enforce  Facilitate land use plan to villages with this the bylaw for protection of catchment areas and restriction farming system and establish bylaws to of vinyungu farming give power to village leaders to deal with their farmers  Provision of alternative livelihoods to restrict vinyungu  Alternative livelihoods in agricultural farming sector could be bee keeping, fruit trees cultivation and natural trees and commercial plantation programs  Group of villagers for training through KCCMP be  Project to collaborate with Village and established by the villages and district authorities district authorities to select group for alternative livelihood trainings programs  The district and Tea Plantation has already initiated Tea  Project to collaborate with district councils groups for tea cultivation in Kabanga area hence any to avoid duplication of efforts and to cover training must consider Tea Growers Association other communities which are not covered by any other program within a district  Awareness and Publicity to community to show them  The project must create awareness in impacts of unregulated water use communities about the importance of proper water use  The district receives some funds from the central  The project to collaborate with district Government to support training and little capital fund to social development department to support women and youth training to those who will get little capital support for alternative livelihoods activities  The project group must include youth  Project should consider youth as part of community and avoid groups which have only village leaders  The district should involve financial Institutions to  The project to create a link between trained support those groups that will receive training from the village groups and Financial Institutions proposed project and district council to be guarantor of village groups for any financial matters from financial institutions MUFINDI DISTRICT

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 The previous project was not successful in agriculture  The project to find ways to support training to villagers through Demonstration Plots because agriculture tools for implementation of after training villagers did not receive supporting facilities proper agricultural practices for implementation  Bee keeping could be main alternative livelihood to many  Project to train and support in gears for villagers as this will complement on-going efforts within successful provision of alternative the Eastern Arc livelihood to villagers  Project to join hands with existing social development and conservation programs  Siltation in the Kihansi catchment can be reduced through  Project to support trees plantations preventing of soil erosion by planting certain plantation programs and train villagers on proper and contour farming practices on upper areas farming practices that will reduce erosion from farming activities  The project to consider start up facilities after training bee  Project to consider support of gears keeping farmers TANESCO    The project to trigger process of electrification to villages along Kihansi catchment  Water user Association in Kihansi catchment is not  The project in collaboration with Rufiji practically working Basin to strength water user association of Kihansi catchment WARDS AND VILLAGES  Wards and Villages authorities usually give awareness to  Project to facilitate Land Use Plan in order villagers on conservation of Kihansi catchment by to set areas of catchment out of villagers restricting farming (vinyungu farming), and other economic and social activities economic and social activities closer to water sources.  Set of protected areas through gazetting Also support plantation of water friendly trees closer to part of potential areas to become protected water sources. areas  Development of bylaws that focus on protection and conservation of catchment areas. The wards and villages will enforce bylaws  Water user Association to help in conservation programs  Conflict between few villagers who were in groups  Involve a wider group of communities in supported by LKEMP and those who were not in group the implementation (rather than providing funds for groups as in the previous phase)  To support more youths in conservation programs  The proposed project should support sectors such as  The project to develop projects that will Education and Health that cover a big population of involve many villagers in the communities villagers to reduce conflict among villagers in line with the project objectives  Villagers need electricity in order to feel their effort on  Project to make discussion with Rural conservation of Kihansi catchment. They also need Energy Authority (REA) and TANESCO electricity to stimulate other alternative livelihood as part of payment for ecosystem services activities. initiative under the project  Some activities such as tree planting programs need a  Project to identify such types of programs continual support even after completion of project and incorporate them in sustainable funding plan

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Annex 2: Terms of Reference

TERMS OF REFERENCE FOR THE ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT OF THE PROPOSED KIHANSI CATCHMENT CONSERVATION MANAGEMENT PROJECT IN KIHANSI CATCHMENT MOROGORO AND IRINGA REGIONS, TANZANIA

1. Introduction

The Kihansi Catchment is located in the Udzungwa mountains which is the largest block of the 12 Eastern Arc Mountains (EAM) in Tanzania. The Udzungwa mountains contain nearly one-half of all the remaining closed forests in the Eastern Arc and as result have the highest diversity of endemic and threatened plant and animal species including the Kihansi Spray Toad (KST) and Sanje mangabay monkeys.

The catchment refers to the upper watershed area above the dam and hydropower station and lies between 1,200m and 2,200m above sea level. The high-biodiversity Udzungwa forest reserve covers the land to the east, while the rest of the catchment is covered with forest, grassland and bush. The catchment is 584 km2 and spreads over the Kilolo and Mufindi administrative districts. The area receives rainfall between 1,000mm in the western and northern parts to 3,200 mm in the eastern part of the catchment. There are no significant high flow seasonal changes within years responding to wet and dry seasons and moderate flows are sustained throughout the year.

The National Environment Management Council (NEMC) is a public body established under the Environmental Management Act Cap 191, responsible for managing the environment in Mainland Tanzania. As part of fulfilment of her many mandates, the Council intends to implement a GEF project to be able to mainstream biodiversity conservation is catchment conservation. Due to the magnitude of the project and the type of activities to be implemented, it is foreseen that some positive and negative environmental impacts will arise. In this context NEMC is seeking a Consultant who will be able to carry out Environmental and Social Impact Assessment of the upcoming project, identify and devise a plan to mitigate the foreseen impacts.

2. The Kihansi Catchment Conservation and Management Project (KCCMP)

Background

The Government of Tanzania has ratified three key conventions: Convention on Biological Diversity (CBD), the United Nations Convention to Combat Desertification (UNCCD), and the United Nations Framework Convention on Climate Change (UNFCCC). As part of implementation of these global environmental conventions, the GoT officially submitted for endorsement by the Global Environmental Facility (GEF), a project proposal titled ‘Kihansi Catchment Conservation and Management Project (KCCMP)’. The Project is full-sized with a five year implementation period, with the key objective being ‘to enhance biodiversity conservation in the Kihansi catchment’. This development objective will be achieved through the implementation of activities categorised into three key components: a) Conserving endangered species in the Kihansi catchment; b) Development of operational guidelines for

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Kihansi Catchment Conservation and Management Project Process Framework conducting downstream Environmental Flow Assessment and a sustainable financing plan for the Kihansi catchment; and c) Project management.

The KCCMP is aligned under the CBD with five major Aichi Biodiversity Targets for 2011 – 2020: Strategic Goal A - Mainstreaming biodiversity across government and society; Strategic Goal B – Reduce direct pressures on biodiversity and promote sustainable use; Strategic Goal C – Improve the status of biodiversity by safeguarding ecosystems, species, and genetic diversity; Strategic Goal D - Enhance the benefits to all from biodiversity and ecosystem series; and Strategic Goal E – Enhance implementation through participatory planning, knowledge management, and capacity building

The project will be implemented within the three key Components

Component 1: Develop operational guidelines for conducting Environmental Flow Assessment and a sustainable financing plan for the management of the Kihansi catchment

The objective of this subcomponent is to incorporate biodiversity conservation at a planning level into Integrated Water Resource Development and Management Planning (IWRDMP) under the WSDP. Under Lower Kihansi Environmental Management Project (LKEMP) – (2001-2011) support was provided for the development of the 2004 Environmental Management Act (EMA) and 10 implementing regulations. These regulations and EMA provided an important legal framework for the integration of biodiversity conservation in river basin planning. However, to fully operationalize biodiversity conservation in river basin planning in Tanzania, an operational framework and guidelines relevant to river basin planning and EIA, which integrates environmental flow assessment, are required. This component comprises of two subcomponents; that is Develop operational guidelines for conducting Environmental Flow Assessment and Develop a sustainable financing plan for the management of the Kihansi catchment.

Component 2: Conserve endangered species in the Kihansi catchment This component focuses on operational level interventions in the Kihansi catchment to ensure the conservation of critically endangered plant and animal species and their critical habitat are conserved and sustainably managed over the long-term. The component comprises of two subcomponents namely Species and habitat conservation and Community conservation.

Within subcomponents there are number of activities to be implemented as detailed in Annex 1 as well as Project Apraisal Document.

Component 3: Project Management NEMC will be responsible for project coordination at the national, regional, district and village levels. This will entail facilitating and coordinating the Steering and Technical Advisory Committees as well as providing overall multi-sectoral coordination among governmental sectors. In addition, under this component support will be provided for day-to- day project implementation and management including, procurement, and financial and environmental management. The component will provide support for office operating costs including annual audit costs.

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Kihansi Catchment Conservation and Management Project Process Framework

The aim of developing the Terms of Reference (ToR) is to provide formal guidance to the project proponent and contracted Consultant for carrying out the ESIA of the proposed project on the range of issue that must be addressed in the ESIA process. Furthermore, they form the basis for subsequent review process.

3. Objectives of Environmental and Social Impact Assessment (ESIA)

The objective of the EIA is to identify, assess and evaluate the potential likely adverse bio- physical and socio-economic impacts of the proposed project activities in the proposed area and develop an Environmental and Social Management Framework outlining the necessary steps and procedures to avoid, minimize or mitigate identified impacts. The ESIA will provide decision-makers in VPO - NEMC and the other stakeholders with sufficient information to justify, on environmental grounds, the acceptance, modification or rejection of the project. It will also provide the basis for guiding subsequent actions, which will ensure that the project is carried out taking into account the environmental, socio-economic, cultural and health issues and concerns identified.

The objective focuses on: -

 Establishing baseline information on both natural and built environment including socio-economic conditions of the proposed project in Kihansi Catchment  Predicting and evaluate foreseeable impacts, both beneficial and adverse, of the proposed project  Develop Environmental Management Plan or mitigation measures that aim at eliminating or minimising the potential negative impacts and promote positive ones; and  Develop an environmental and social screening form and checklist to evaluate project activities related to identification of water sources and biodiversity hotspots and their protection so that unforeseen impacts, if any can be identified, and corresponding mitigation measures determined, managed and monitored throughout the life of the project.

4. Environmental and Social Impact Assessment Requirements The environmental management Act, Cap 191 requires that ESIA be undertaken for all new projects that may cause adverse environmental and social impacts. Under the environment Impact Assessment and Audit Regulations, 2005 the proposed project is categorized as an EIA obligatory project for which a full EIA is required.

Additionally, the project will be supported by the World Bank, requiring compliance with their environmental and social Safeguards policies. Based on a preliminary review of the project design, it is likely that the relevant policies include: Environmental Assessment (OP 4.01), Natural Habitats (OP 4.04), Pest Management (OP 4.09), Involuntary Resettlement (OP 4.12), Forests (OP 4.36).

4.1 Scope of Work

Task 1: Description of the Proposed Project The Consultant shall give details of:  Background of the project, highlighting the link between Kihansi dam operation and the spray toad reintroduction plan;

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Kihansi Catchment Conservation and Management Project Process Framework

 Location of all project – related development and operation sites;  General description of the proposed project and its major components, phases and activities to be implemented in each phase of the project life; and  Organisation relationships, mandates and interactions among the different parties to be involved in the project.

Task 2: Description of the environment

The Consultant shall: a) Provide information on biological environment on flora, fauna, rare or endangered species and sensitive habitats including parks, reserves, significant natural sites, forest and any other area that qualifies as a Critical Natural Habitat in accordance with OP 4.04. b) Provide general description of surface and ground water hydrology, existing sources of water pollution discharges and receiving water quality. c) An assessment of the socio-economic environment; including community demographics, gender issues, and existing land use practices in the catchment including specific details on the types and amounts of pesticides used among project affected persons. d) Identify areas that require special attention in the project implementation and their proposed mitigation measures. e) Recommend improved land use and options for reducing pesticide use.

Environmental Impact Assessment shall specifically focus on these ecological components in the environment to ensure that the proposed development does not harm the well-being of these characteristics.

Task 3: Legislative and Regulatory Considerations The Consultant shall describe pertinent local, national and international regulations, standards and institutional framework governing protection of sensitive areas, protection of endangered species, land use/catchment management etc. which are important to observe during the implementation of the project activities. The consultant shall clarify how each legal or institutional aspect is relevant to the project, and provide guidance as to what the specific implication is for project design and operation.

The Consultant shall describe the relevant World Bank Safeguard Policies, and assess which of those policies apply in the project context. The Consultant shall clarify how the project design must take such provisions into account.

Task 4: Determination of potential impacts of the proposed project The consultant shall identify potential impacts of the project on natural resources, humans and ecosystems. Describe the impacts quantitatively and qualitatively, where possible in terms of environmental costs and benefits. Impact analysis should clearly address direct, indirect and cumulative impacts. In the analysis, distinguish between:  Positive and negative impacts  Direct and indirect impacts  Long term and short term impacts  Reversible and irreversible impacts  Identify linkages among project components and the issues

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Kihansi Catchment Conservation and Management Project Process Framework

Evaluate the levels of significance of the impacts indicating the criteria used. Identification, prediction and analysis of impacts should be made for each phase of the project life. Explain significant information deficiencies or any uncertainties associated with prediction of impacts. Recommend appropriate mitigation measures for mitigating the negative impacts and identify opportunities from positive impacts and how they can be enhanced.

Among other issues, the determination of potential impacts should identify the following:  Potential for involuntary resettlement. In accordance with OP 4.12, involuntary resettlement includes those impacts associated with restriction of access to natural resources;  Potential impact of the project on forests and/or the rights and welfare of local communities;  Potential impact of the project on Critical Natural Habitats;  Potential for the project to lead to increased use of pesticides;

Task 5: Analysis of alternatives of the proposed project The Consultant shall describe at least three viable design alternatives that would achieve the same objectives. Consider and analyse alternatives in terms of location, design, technology and phases, operating and maintenance procedures. Compare alternatives in terms of potential environmental impacts, capital and operating costs, suitability under local conditions, institutional, training and monitoring requirements.

Task 6: Resource evaluation or cost benefit analysis The consultant shall describe the extent possible; quantify total/ environmental costs and benefits of each alternative incorporating the estimated costs of any associated mitigation measures. The zero alternative i.e. of not having the project must be included.

Task 7: Development of an Environmental and Social Management Plan Based on this assessment, the ESIA should set forth an Environmental and Social Management Plan (EMP). The ESMP shall spell out specific management measures including, budget estimates, schedules, institutional responsibilities, staffing and training requirements and any other necessary support services to implement the mitigation measures. The Consultant shall ensure the EMSP describes feasible and cost effective measures to (i) prevent or reduce significant negative impacts to acceptable levels and (ii) enhance positive impacts.

Task 8: Development of an environmental and social screening form and checklist As the area size and type of some of the activities that will be supported by the project in relation to protection of important water sources and biodiversity hotspots are not specified at this time, the consultant shall develop an environmental and social screening form and checklist to identify potential impacts and outline the specific environmental and social management measures that will be applied to all activities that may result in any potential identified impact.

Task 9: Development of an Integrated Pest Management Plan (IPMP) The Consultant shall prepare IPMP including: (i) measures to identify potential activities (supported by project or counterpart funds) where pesticides may be used, (ii) a list of pesticide products authorized for procurement under the project, and (iii) plan (and budget)

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Kihansi Catchment Conservation and Management Project Process Framework for ensuring safe pesticide handling equipment is provided to those who may be using pesticides).

Task 10: Resettlement Process Framework

The Consultant shall prepare a Process Framework for addressing potential social issues that may arise from protection of water sources and biodiversity hotspots. These shall include: measures to establish a process by which members of potentially affected communities participate in design of project components; determination of measures necessary to achieve resettlement policy objectives, and implementation and monitoring of relevant project activities as per OP 4.12.

Task 11: Development of an Environmental and Social Monitoring Plan

The Consultant shall prepare a detailed plan for monitoring the implementation of the ESMF during project life cycle. Include in the plan an estimate of the capital and operating costs and a description of other inputs needed to carry it out.

The Consultant shall be guided by the cost-effectiveness principles in proposing amelioration measures. Estimation of costs of those measures shall be made. The assessment will provide a detailed plan to monitor the implementation of the mitigation measures and impacts of the project during project operation.

Task 12: Public consultations: The assessment shall establish the level of consultation of the affected stakeholders throughout the project life span, level of involvement in implementing project activities as this is an important aspect for both environmental and project sustainability. The assessment will provide a framework for obtaining the views of affected groups, and in keeping records (with evidence) of meeting and other activities, communication, and comments and their disposition.

In addition, the Consultant shall conduct a formal public consultation on the draft Environmental Impact Assessment, after it has been approved by the Client and the World Bank, but prior to the document’s finalization. Such a consultation should be conducted only after the draft EIA has been made publically available, in the project area, through NEMC’s website, and through the World Bank’s InfoShop.

For each consultation event conducted, the Consultant shall provide record of the names of organisations, government and departments and individuals whose views will be obtained. It should also include a list of issues raised by those consulted, and explain if and how the project design was adjusted to respond to their concerns. This summary should be included as an Annex to the EIS.

Task 13: Reporting and submission Notwithstanding the above requirements, the contents and the structure of the report should be in accordance with Regulations 18 and 19 respectively of the EIA and Audit Regulations of 2005. The report should be concise and limited to significant environmental issues.

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Kihansi Catchment Conservation and Management Project Process Framework

The Executive Summary and the ESIA Main Report should be submitted according to the requirements of Regulations 19 to 21 of the EIA and Audit Regulations, GN No. 349/2005 for simplifying the review process.

4.2 Outputs a) The Consultant shall submit to the Client, three original bound hard and electronic copies each of the scoping report, the Environmental and Social Impact Statement (ESIA); Integrated Pest Management Plan (IPMP) and Process Framework. b) The Consultant shall also make 15 copies for the review process as stipulated in the EMA 2004; and work to ensure sufficient copies are available in the project area, through NEMC and published through the World Bank’s InfoShop. c) After the review process, the Consultant shall submit five hard copies and an electronic copy of the final reports, with all comments arising from the technical review incorporated into the reports.

4.3 Reference The Consultant shall provide a list of all information sources used, including unpublished documents and sources.

5. Consulting Team Team composition: The core team must be multi-disciplinary, with expertise in Hydrology, Ecology, Social Science and familiar with World Bank safeguard policies.  To undertake the ESIA and their profiles. One of the team members will be the team leader.  For each specialist proposed, curriculum vitae will be provided, setting out their relevant qualifications and experiences.

Key qualifications: The Lead Consultant must be in possession of a post graduate degree (MSc or PhD) in Ecology, Wildlife or related fields.

 The Consultant must be a registered EIA Expert with a minimum of three years working experience in environmental assessment.  Experience in carrying out environmental assessments and related assignment(s) in Tanzania or outside the country.

6. Mode of Payment Payment will be effected as follows:

a) 50% upon submission and acceptance of the technical and financial proposal and signing of the contract; b) 50% upon submission and acceptance of the final ESIA report acceptable at the Client.

7. Timeframe The Consultancy is expected to take a maximum of six weeks from the date of the signing of the contract to the submission of the final report.

8. Client Contribution

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Kihansi Catchment Conservation and Management Project Process Framework

a) NEMC will cover all costs associated with the field work that will be carried out by the Consultant (travel and daily subsistence allowance according to Government rates). b) Costs associated with printing, binding and distribution of the report will be covered by the Consultant. a) Costs that will cover travel and DSA for the two assistants from NEMC, and Costs associated with organizing and conducting site visits review meetings by the reviewing board (in this case NEMC).

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Kihansi Catchment Conservation and Management Project Process Framework

Maps of Project Area Streams and Sub Catchment

N

River Stream Dam Kihansi Conservation Area Village Boundary Sub Catchments Ilogombe Kihansi Falls Lower Ruaha Mapanda Kihansi Mhalala Conservation Area Mkalasi Mnyazungwa Muhu Ruvala Upper Ruaha

5 0 5 Kilometers

Figure 1. Rivers and streams in the Kihansi Catchment. (Source: SMEC International (2005) Landscape Wide Conservation Plan for the Upstream Kihansi Catchment).

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Kihansi Catchment Conservation and Management Project Process Framework

Generalized Land Cover 2005

Bom ala ng'o mbe

#

Kib eng u Mwa tasi

#

# # Ng'ing ula

Masisiwe

#

# # Nya wege te

Ilo go mbe

# # Mbawi

Ig ele ke

#

Kip ang a

N

#

#

Mapa nda Ih imbo

River

Road #

Village Uhafiwa Dam Catchment Kihansi Conservation Area Grouped Land Cover 2005 Forest

Grass/Bush Uka mi # Grass/Bush/S cultivation Intensive cultivation Semi intensive cultivation

5 0 5 Kilometers

Figure 2. Land cover types as of 2005 in the Kihansi Catchment. (Source: SMEC International (2005) Landscape Wide Conservation Plan for the Upstream Kihansi Catchment).

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Kihansi Catchment Conservation and Management Project Process Framework

Population Density 2002 - Population per Square KM

Bomalang'ombe

Kibengu Mwatasi 4730 #

#

# Ng'ingula # 2864 3786 2210

Masisiwe

# 1789

# Nyawegete 1909 # Igeleke 1911 378 6 # Mbawi 2317

# Ilogombe

# Kipanga

2374

# 3952

N Mapanda # 1605 Ihimbo

1231 Road # Uhafiwa Dam Catchment Kihansi Conservation Area Population 2002 Pop_2002 Ukami # Population Density 2002 2810 25 - 30 31 - 39 40 - 59 Kihansi 60 - 92 Conservation 93 - 112 Area

5 0 5 Kilometers

Figure 3. Human population density as of 2005 in the Kihansi Catchment. (Source: SMEC International (2005) Landscape Wide Conservation Plan for the Upstream Kihansi Catchment).

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Kihansi Catchment Conservation and Management Project Process Framework

Figure 4. Land use adjacent to the Kihansi Gorge. (Source: Mwansasu, S. 2007. Ecological Monitoring Report: Land Cover.)

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