WORLD BANK GOVERNMENT OF MALAWI

Public Disclosure Authorized Credit No: 5622-MAI Contract No: RA/CON/14/24

Accelerating Malawi’s Economic Growth

ESIA REPORT FOR THE PROPOSED IMPROVEMENT OF MZIMBA TURN OFF- Public Disclosure Authorized MZUZU-KACHECHE (M1) ROAD Public Disclosure Authorized

Public Disclosure Authorized

July 2018

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TABLE OF CONTENTS

TABLE OF CONTENTS ...... i ACRONYMS / ABBREVIATIONS ...... vi EXECUTIVE SUMMARY ...... vii CHAPTER 1.0 INTRODUCTION ...... 1 1.1 Background ...... 1 1.2 Rationale for the Implementation of the Project...... 2 1.3 Rationale for Undertaking the Environmental and Social Impact Assessment ...... 2 1.4 Project Description ...... 3 CHAPTER 2.0 POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK ...... 7 2.1 National policy framework ...... 7 2.1.1 Roads Authority (RA) Vision, Mission and Environmental Policy Statement ...... 7 2.1.2 The National Environmental Policy, 2004 ...... 8 2.1.3 National Land Policy, 2002 ...... 8 2.1.4 National Forestry Policy, 1997 ...... 9 2.1.5 National Water Policy, 2004 ...... 9 2.1.6 National Decentralization Policy, 1998 ...... 9 2.2 National legal framework ...... 11 2.2.1 Constitution of the Republic of Malawi, 1995 ...... 11 2.2.2 The Environment Management Act, 1996 ...... 11 2.2.3 Land Act 2016 ...... 11 2.2.4 Customary Land Act, 2016 ...... 12 2.2.5 The Lands Acquisition Act, 1971 ...... 12 2.2.6 Malawi Forestry Act, 1997 ...... 12 2.2.7 National Local Government Act, 1998 ...... 12 2.2.8 Water Resources Act, 1969 ...... 13 2.2.9 Monuments and Relics Act (1990) ...... 13 2.2.10 Physical Planning Act (2016) ...... 13 2.2.11 Occupational Health and Welfare Act, 1997 ...... 14 2.2.12 Public Roads Act (Cap. 69:02) ...... 14 2.2.13 Water Works Act, 1995 ...... 14 2.3 World Bank Safeguard Policies ...... 14 2.3.1 Introduction ...... 14 2.3.2 Safeguards Policies triggered by the project ...... 15

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2.4 Administrative Framework of the ESIA Process ...... 16 CHAPTER 3.0 PROJECT ALTERNATIVES AND ANALYSIS ...... 19 3.1 Option 1: Do nothing ...... 19 3.2 Option 2: Undertake the Upgrading of the Road ...... 19 CHAPTER 4.0 APPROACH AND METHODOLOGY ...... 21 4.1 Review of relevant literature ...... 21 4.2 Progress review meetings ...... 22 4.3 Stakeholder consultation...... 22 4.4 Data analysis and report submission ...... 22 CHAPTER 5.0 BIOPHYSICAL, SOCIAL AND ECONOMIC ENVIRONMENT ...... 23 5.1 Biophysical baseline conditions ...... 23 5.1.1 Landforms ...... 23 5.1.2 Soils ...... 25 5.1.3 Climate ...... 31 5.1.4 Hydrology and Drainage ...... 31 5.1.5 Vegetation and Land use ...... 34 5.2 Social Environment ...... 40 5.2.1 Demography and Settlement...... 40 5.2.2 Health, HIV and AIDS ...... 40 5.2.3 Employment ...... 41 5.2.4. Water and Sanitation ...... 41 5.2.5. Education ...... 42 5.3 Economic Environment ...... 42 5.4 Infrastructure and Utilities ...... 42 5.4.1 Roads ...... 42 5.4.2 Power/Energy ...... 43 5.5 Infrastructure and Utilities ...... 43 5.5.1 Roads ...... 43 5.5.2 Power/Energy ...... 43 5.5.2.1 Supply and Demand of Electrical Power ...... 44 5.5.2.2 Other Sources of Energy ...... 44 CHAPTER 6. ENVIRONMENTAL PLANNING AND DESIGN ...... 45 6.1 Introduction ...... 45 6.2 Determination of the size of Road Reserves: ...... 45 6.3 Construction and General Operations ...... 45

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6.4 Reinstatement to original landform ...... 45 6.5 Gravel Pits, Quarry Sites and Sand Pits...... 46 6.6 Roadside Drainage Structures ...... 46 6.7 Water Abstraction ...... 46 6.8 Planning of Camps and Waste Disposal Sites ...... 46 6.9 Safety and public health ...... 47 6.10 Labour Force for the project ...... 47 CHAPTER 7.0 POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS ...... 48 7.1 Introduction ...... 48 7.1.1 Impact Identification, Prediction and Analysis Methods...... 48 7.1.2 Impact Evaluation and Interpretation Criteria ...... 48 7.2 Identified Positive environmental and social impacts ...... 49 7.2.1 Increased trading activities ...... 49 7.2.2 Increased job opportunities ...... 49 7.3 Identified negative environmental and social impacts during construction ...... 50 7.3.1 Loss of agricultural lands more especially along the road reserve boundary ...... 50 7.3.2 Destruction of forest and trees species ...... 50 7.3.3 Loss of human settlement, infrastructure and other liabilities ...... 51 7.3.4 Improper Waste Disposal ...... 52 7.3.4.1 Impacts of waste on soils ...... 53 7.3.4.2 Impacts of waste on water quality ...... 54 7.3.4.3 Impacts of waste on air quality ...... 54 7.3.4.4 Waste management plan ...... 55 7.3.5 Loss of cultural sites such as graveyards ...... 56 7.3.6 Spread of communicable diseases and conflicts ...... 56 7.3.9 Increased occupation health and safety risks ...... 57 7.4 Impacts during decommissioning of the road project ...... 57 7.5 Identified impacts when the road is in operation ...... 58 7.5.1 Loss of employment opportunities ...... 58 7.5.2 Increases road accidents ...... 58 7.5.3 High incidences of HIV and AIDS and other communicable diseases ...... 58 7.5.4 Increased air pollution and Green House Gas Emissions ...... 59 7.6 Assessment of Environmental Impacts ...... 59 CHAPTER 8.0 ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN (ESMP) ...... 62 8.1 Introduction ...... 62

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8.2 Objectives of the environmental and social monitoring plan ...... 69 8.3 Institutions responsible for the implementation of the ESMP ...... 77 8.4 Responsibility for Monitoring and Supervision ...... 77 8.4.1 National Level Monitoring ...... 78 8.4.2 District and City Level ...... 78 8.4.3 Community Level Monitoring ...... 78 8.4.4 Reporting Mechanisms ...... 79 CHAPTER 9.0 CONCLUSIONS AND RECOMMENDATIONS ...... 80 9.1 Conclusions ...... 80 9.2 Recommendations ...... 80 REFERENCES ...... 82 ANNEXES ...... 83 Annex 1 ESIA Terms of Reference ...... 84 Annex 2 Interpretation of the Soil Codes ...... 88 Annex 3 Expert Names and Qualifications ...... 89 Annex 4 List of Organizations and officials consulted ...... 90 Annex 5 Local People participating in focus group discussions ...... 98 Annex 6 Code of Ethical Conduct ...... 105 Annex 7 Sexual Harassment Policy...... 113 Annex 8 Labour Influx Management Plan ...... 119 Annex 9 Child Labour Policy ...... 123 Annex 10 Crime Management Plan ...... 126 Annex 11 Grievance Redress Mechanism ...... 131 Annex 12 Community Communication and Engagement Plan ...... xxii

List of Tables

Table 1: World Bank Safeguard Policies ...... 15 Table 2: Physical and chemical properties of Eutric-ferralic soil group ...... 28 Table 3: Physical and chemical Properties of Paralithic soil group ...... 28 Table 4: Physical and chemical properties of Fluvic Soil group ...... 29 Table 5: Dystric-ferralic Soil Group ...... 30 Table 6: Climatic parameters of the Agro-climatic zones through which the road passes ...... 31 Table 7: Protected trees along the Mzimba Turn-off to Kacheche Turn-off Road ...... 34 Table 8: Detailed Occurrence of Plant Species along the Mzimba Turnoff via Mzuzu City to Kacheche section of the M1 Road ...... 36 Table 9: Population Growth Trends by Council ...... 40 Table 10: Access to safe water in the project area ...... 41

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Table 11: Access to sanitation ...... 41 Table 12: Literacy Levels in the project area ...... 42 Table 13: Schedule of Bitumen Roads in Mzuzu ...... 43 Table 14: Summary of types of waste and their characteristics ...... 52 Table 15: Potential environmental and social impact matrix for the proposed road project ...... 59 Table 16: Environmental and Social Management Plan (ESMP)...... 63 Table 17: Environmental and Social Monitoring Plan ...... 70

List of Figures

Figure 1: Sketch Location of the Project in Mzimba District ...... 3 Figure 2: Design Specification for the proposed road ...... 5 Figure 3: Administrative Framework of the ESIA Process ...... 17 Figure 4: Digital Elevation Model for Mzimba Turn off through Mzuzu City to Kacheche section of the M1 Road ...... 25 Figure 5: Soils Map for Mzimba Turn Off via Mzuzu City to Kacheche section of the M1 Road ...... 27 Figure 6: Hydrology and Drainage System of Mzimba Turnoff via Mzuzu City to Kacheche section of the M1 Road ...... 33

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ACRONYMS / ABBREVIATIONS

ADC Area Development Committee ASFR Age Specific Fertility Rate CBO Community Based Organization CDR Crude Death Rate COMESA Common Market for Eastern and Southern Africa DADO District Agriculture Development Office DESC District Environmental Sub-Committee EAD Environmental Affairs Department EDF European Development Fund EIA Environmental Impact Assessment EPA Extension Planning Area ESIA Environmental and Social Impact Assessment ESCOM Electricity Supply Commission of Malawi ESAP Environmental and Social Action Plan ESMP Environmental and Social Management Plan GoM Government of Malawi MDC Mbelwa District Council MBS Malawi Bureau of Standards MoAWD Ministry of Agriculture and Water Development MoH Ministry of Health MoLMD Ministry of Labour and Manpower Development NAC National Aids Commission NEP National Environmental Policy NGO Non Governmental Organization NMT Non-Motorised Traffic NSO National Statistical Office RA Roads Authority RAP Resettlement Action Plan SADC Southern Africa Development Community SATCC Southern Africa Transport and Communications Commission TA Traditional Authority USA United States of America VAP Village Action Plan VDC Village Development Committee VSL Village Savings and Loan WRB Water Resources Board

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EXECUTIVE SUMMARY

The Malawi Government through the Roads Authority (RA) has obtained a loan from the World Bank, to rehabilitate the 147 Km section of the M1 Road from Mzimba Turn off via Mzuzu to Kacheche. The major works of the proposed project shall include rehabilitation and widening of the carriageway from Mzimba Turn off through Mzuzu City to Kacheche. This road is a major and important trade route connecting many countries in the Eastern and Southern Africa trade corridor and has a lot of economic potential.

The scope and nature of works that will be undertaken before, during, and after construction makes the road project fall within an environmental classification of Category 1. The classification of category 1 means that there is need to carry out an Environmental and Social Impact Assessment (ESIA) and develop a Resettlement Action Plan (RAP) as required by the Environmental Management Act (1996), Environmental Social Impact Assessment Guidelines and the World Bank’s Environmental Self-guard policies and in line with the Roads Authority Environmental and Social Management Guidelines for the Road sector. In addition the magnitude of the project is expected to trigger some of the World Bank Environmental and Social Safeguard Policies more especially the Environmental Assessment Policy (OP/BP 4.01) and Involuntary Resettlement Policy (OP/BP 4.12).

The estimated budget for Environmental and Social Management Plan (ESMP) implementation is USD1,700,000.00. It is estimated that a total of 6000 people will be employed on the project.

In order to achieve the objectives of the ESIA, the consulting team used various approaches and techniques including use of secondary sources of data through the review of various relevant documents such as study reports, policies, legislations, and national strategies, regional and global protocols related to road construction projects. The ESIA concludes that the project is highly economical and viable to the economies of countries in the Eastern and Southern Africa including Malawi. The ESIA identified positive impacts, as well as a number of environmental and social challenges that will emanate from the project that if not properly mitigated against will cause serious environmental and social damage to the environment of the project.

Positive impacts include improved road travel time which enhances increased trade in the Eastern and Southern Africa trade corridor and within Malawi. Some of the identified environmental and social issues include the following:  Loss of structure and property  Loss of agriculture land mainly for people cultivating along and within the road reserve boundaries  Increased level of wastes  Loss of forests and trees species  Siltation of rivers and streams  Loss of cultural site mainly grave yards  Increased levels of accidents  Increased incidences of communicable diseases such HIV and AIDS and Ebola

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With proper mitigation measures, these identified problems will not be as serious to cause permanent damage to the environment of the area considering that this is a rehabilitation project and the road works are going to follow the existing road alignment. The ESIA therefore makes the following recommendations:

 The Roads Authority with support from the Mzuzu City, Mzimba and Nkhata Bay District Councils and Ministry of Lands Housing and Urban Development should compensate the identified property owners that will be affected and compensate them in time in line with the World Bank Resettlement Framework  The contractors should start the construction works soon after crops are harvested to minimize crop loss by the people  The contractor should ensure that the borrow pits and the quarries are rehabilitated to restore the scenic views and reduce incidences of water logging  The contractor should ensure that all different forms and types of wastes from the project are properly managed  The Department of Forestry should intensify law enforcement, awareness and civic education activities in order to minimize the impacts of this project on the protected areas along the M1 and the Chikwangawa Plantation  The Mzuzu City, Nkhata Bay and Mzimba District Councils and other stakeholders at districts level should be fully involved in the monitoring of the implementation of the Environmental Social Management Plan (ESMP) and Resettlement Action Plan (RAP)  In order to minimise dispute and conflicts the village and district level dispute settlement mechanism which already exist in the project area need to be used  In order to effectively implement the ESMP, the government will need to allocate an estimated amount of USD1,700,000.00  The Ministry of Health and other stakeholders should increase civic education and awareness activities in order to reduce or minimize the spread of communicable disease  Upon completion of the road works, accidents will increase, more especially along the trading centres, therefore the National Road Safety Council and Road Traffic Directorate should strictly enforce the design speed limits of the road.  The National Road Safety Council should ensure to strengthen civic education and awareness activities in order to minimize road accidents more especially along the trading centres.  The Roads Authority should enforce the road boundary reserve adherence so that people should not encroach the road reserve again after construction.

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CHAPTER 1.0 INTRODUCTION

1.1 Background

The Malawi Government through the Roads Authority (RA) has obtained a loan from the World Bank, to undertake studies for the rehabilitatation of the 147 Km of the M1 Road from Mzimba Turn off via Mzuzu to Kacheche. The major works of the proposed project shall include rehabilitation and widening of the carriageway from Mzimba Turn off through Mzuzu City to Kacheche section of the M1 road. This road is a major and important trade route connecting many countries in the Eastern and Southern Africa trade corridor and has a lot of economic potential. Because of the scope and nature of works that will be undertaken before, during and after construction, the road project received an environmental classification of Category 1. The classification of category 1 meant that there was need to carry out an environmental and social impact assessment (ESIA) and develop a resettlement action plan as required by the Environmental Management Act (1996), Environmental Social Impact Assessment Guidelines and the World Bank’s Environmental Self-guard policies and in line with the Roads Authority’s Environmental and Social Management guidelines for the Road sector.

The estimated budget for Environmental and Social Management Plan (ESMP) implementation is USD1,700,000.00. It is estimated that a total of 6000 people will be employed on the project.

The Government of Malawi as the proponent of the project through the Roads Authority contracted MSV International Inc, USA in association with Ruo Consultants Ltd Malawi to prepare an Environmental and Social Impact Assessment (ESIA) for the project. Details of the project proponent are as follows:

Proponent Name: Roads Authority

Postal Address : Private Bag B 346, Lilongwe 3, Malawi

Physical Address: Functional Building, Off-Paul Kagame Road, Lilongwe

Contact Person: The Chief Executive

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1.2 Rationale for the Implementation of the Project The rationale for the implementation of this project is specifically based on the following: a) According to Economic Internal Rate of Return (6.75%), it is estimated that within 15 to 20 years, the project will generate between two billion to three billion USD of socioeconomic benefits to the areas along the road and offer jobs to 6,000 people both directly and indirectly. b) At present, this road is in continuous deterioration due to increasing heavy traffic and costing the government a lot of money for routine and periodic maintenance. c) The road links Malawi to Tanzania and the important port of Dar es Salaam and as such forms a vital link for the importation of strategic goods. The road forms part of the Common Market of Eastern Africa (COMESA) North South Corridor and it’s an alternative link to the port for Zambia.

1.3 Rationale for Undertaking the Environmental and Social Impact Assessment The requirement for undertaking the Environmental and Social Impact Assessment (ESIA) of this project emanates from the following reasons:

a) The project falls within the Prescribed and Gazetted list of projects that have a mandatory requirement to undergo an ESIA. The Environment Management Act (EMA) of 1996 requires that prescribed projects such as construction of roads undergo an ESIA before they are implemented. The Guidelines for ESIA in Malawi (1997) outline the activities for which ESIA is mandatory. On the basis of the aforesaid, ESIA is mandatory for this project.

b) The project has the potential to affect other operations being undertaken in the area and beyond through rerouting of vehicles thereby causing delays. c) The project will involve extraction of about 90,000 cubic metres of soil for widening the road leading to damaged landscapes. Heavy machinery and equipment shall be used thereby posing occupation safety and health risks. The ESIA provides measures for mitigating risks arising from such operations. d) Considering the scope and nature of works that will be undertaken before, during and after construction, the road project received an environmental classification of Category 1. The classification of category 1 means that there is need to carry out an environmental and social impact assessment (ESIA) and develop a resettlement action plan as required by the Environmental Management Act (1996), Environmental Social Impact Assessment Guidelines and the World Bank’s Environmental Safeguard policies more especially the Environmental Assessment Policy (OP/BP 4.01) and Involuntary Resettlement Policy (OP/BP 4.12) and in line with the Roads Authority of Malawi Environmental and Social Management guidelines for the Road sector.

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Therefore, this report constitutes accountability framework on the part of the proponent to ensure that the project construction and operation works are undertaken following principles of sustainable development. The ESIA is based on the final design draft information. The ESIA therefore, recommends some measures that should be introduced in the final design of the project as mitigations to some impacts.

1.4 Project Description

The proposed road project is in Mzimba District in the Northern Region of Malawi starting from Mzimba Turn Off through Chikangawa Forest Plantation and Mzuzu City to Kacheche section of the M1 Road. (Figure 1).

Figure 1: Sketch Location of the Project in Mzimba District

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The Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road was constructed between April 1987 and April 1990 with funding from the European Development Fund (EDF). The road has four uniform sections with respect to construction and maintenance history as follows: a) Mzimba turn off to Champhoyo section was constructed in 1983 and resealed in 2005. b) Champhoyo to Mbowe section was constructed in 1990 and resealed in 2005. c) Mbowe to Mzuzu section was constructed in 1982 and resealed in 2005. d) Mzuzu to Kacheche section was constructed in 1982 and resealed in 1998.

The road has a 5.6 -7.0 metre wide carriageway with 0.4-1.5 metre shoulders depending on location. The road traverses through a relatively flat to undulating terrain from Mzimba turn off to Kacheche turn off.

Currently the road is in fair to poor condition with some sections remaining in good condition.

Typical distress on the road listed in approximate order of severity, includes:  Aged surface which shows significant stone loss and provides no effective seal. This has resulted in water ingress into the pavement leading to all forms of distress.  Kerbs on high embankments have retained water in the base leading to significant rut development combined with all other distress indicators in the outer wheel path.  Significant edge break is noted on the shoulders, especially over embankments possibly resulting from livestock accessing the road as well as due to vehicles getting off the road.

Implementation of the project shall be done in four phases namely planning, construction, demobilization, and operation and maintenance. a) Planning phase: This includes surveying the road, identification of borrow pits sites, geometric design of the road, earthworks design, bridge and culvert designs, road pavement design and feasibility studies. b) Construction phase: This shall include mobilization of workforce; construction of camps; excavation of borrow pits; construction of drainage structures; construction of pavement layers; asphalt surfacing; construction of ancillary works such bus bays, kilometer posts, guardrails, road marking and landscaping. c) Demobilization phase: This will include laying off a number of workers, demolition of some structures which will be used for the road rehabilitation project and restoring areas occupied by the project to other beneficial uses. d) Operation and maintenance phase: will include commissioning of the road for use. As the road will be used, with time, some sections will be damaged and will be in need of maintenance.

The road design is per Southern Africa Transport and Communications Commission (SATCC) Guidelines. The figure presents the cross-sectional layout for the road design specifications.

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Figure 2: Design Specification for the proposed road

As an important regional trunk road, the road will have standardised lane and shoulder widths consistent with those provided throughout the North South corridor as specified in the SATCC Guideline:

 Roadway of 10m made up of 2 x 3.5m lanes and 2 x 1.5m shoulders  Sealed shoulders of a minimum 1.5m are provided throughout. Wider shoulders may be considered in areas where (i) they can be economically constructed and (ii) Non Motorised Traffic (NMT) levels are high.

Road horizontal alignment is controlled as per 80km/h design speed and 50km/h design speed for some sections. On vertical design, the alignment shall follow the exiting road elevation. Drainage shall have a minimum longitudinal gradient of 0.3%, and maximum longitudinal gradient of 7%. Subgrade compaction will be of heavy compaction standard of not less than 30Mpa. Slope protection shall be of stone pitching and on bridges there shall be mortar rubble masonry protection. In terms of the pavement structure there shall be a surface layer carriage way of 50mm asphalt, hard shoulder 10mm asphalt, base course 200mm and a crushed stone sub base 200mm gravelly soil. The technical standards for the bridges and culverts shall adopt Southern Africa Code. This code requires the local condition be fully considered in selection of the bridge structure. These conditions include geology, climate and hydrology. The project contractor will build camps which will be used to provide residence for workers as well as act as project administration offices, storage facilities for different building materials

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 6 of 100 and equipment, workshop for servicing the vehicles and road construction machinery. A number of factors will be considered when selecting sites for campsites. The factors shall include topography of the site, proximity of the site to the road, availability of water and other considerations. Furthermore campsites will be located away from settled areas. Makanjira Police Post has offered their premises for storage of equipment. Chingo Trading Centre has also been proposed for a camp site. Grid electricity will be used for lighting at the camp site. Silenced generators with the capacity of 7.5 Kilowatt will be used to compliment power supply. Water at the camp site will be stored in 10,000 litre tanks.

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CHAPTER 2.0 POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK

This chapter outlines the policies, legislative and administrative framework to guide the implementation of the project.

2.1 National policy framework

2.1.1 Roads Authority (RA) Vision, Mission and Environmental Policy Statement The RA policy statements state that by the year 2020, the Malawi public road network shall be developed and maintained up to a standard where all motorized and non- motorized traffic reach every society in the country in adequate, safe, reliable, efficient, economic and in an environmental friendly manner at all times of the year. The principles underlining the policy are as follows:

• Comply with the relevant health, safety legislation in accordance with Section 13(d) of the Malawi Constitution and adherence to the environmental best practices for the roads sector; • Prevent adverse environmental effects of road construction and ensuring that the infrastructure itself is environmental friendly through; . The inclusion of ESIA in the planning of the construction of roads and energy conservation; . Promotion of environmental protection and resource conservation; . Ensuring that roads do not impede drainage and cause water stagnation resulting in water pools that may become breeding places for disease vectors and pathogens; . Ensuring that drainage outlets do not become the primary sources of erosion; . Promoting the use of more energy-efficient and less polluting modes of transport Environmental and Social Guidelines • Enforce environmental management practices in line with international standards ISO 14,000 series; • Carry out on-site supervision on sites with consultants and contractors to ensure environmental due diligence; and that agreed environmental; health and safety standards designed to reduce associated risks during construction and operation, are being followed; • Report on the compliance with environmental commitments, the status of the mitigation measures and the results of the monitoring programmes to consultants, contractors, stakeholder and members of the public; and get feedback on the requisite environmental performance information; • Develop specified performance indicators to enhance the review of progress in implementing mitigation measures; and where necessary recommending remedial measures; • Conduct training in ESIA and in safe and practical and efficient work procedures to minimize the negative impacts and enhance positive impacts by adopting the precautionary principle; the polluter pays principle and best available technology that entails the least environmental cost (BATNEEC) • Prepare and implement environmental risk management and road safety plans;

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• Prepare environmental guidelines and best practices for road construction, maintenance and environmental management for use in the sector; • Compliment activities and endeavours of partners in the Transport Sector like Rail, Aviation and Marine Transport Systems.

The Statement provides policy direction and guidance for all road activities including construction. The Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road will be constructed in compliance with this policy.

2.1.2 The National Environmental Policy, 2004 The overall goal of the policy is to promote sustainable social and economic development through the sound management of the environment and natural resources. The specific policy goals address issues of environmental security for health and wellbeing of people, sustainable utilization and management of the country’s natural resources, long term self-sufficiency in food and energy, ecosystem integrity and sustainable environment and natural resources management. The policy promotes the rights of every person to a clean environment while also at the same time stating that every person has a duty to promote sustainable utilization and management of the environment and natural resources, including taking legal action against any person whose activities or omissions have or are likely to have adverse effects on the environment.

The policy recognizes the trade-offs between economic development and environmental degradation and calls for the use of ESIA and environmental monitoring as tools for minimizing impact of development on environment. The Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road will integrate the principles of the environmental policy into the project so that rehabilitation is done in an environmentally responsible manner with the participation of all stakeholders.

2.1.3 National Land Policy, 2002 The National Land Policy of 2002 provides an institutional framework for democratizing land management and outlines procedures for protecting land tenure rights, land-based investments and management of development at all levels. It basically seeks to optimize utilization of Malawi’s land resources for development.

The policy recognizes that in order for its provisions to be achieved, there is need to incorporate desirable principles of land use management, effective civic education and public appreciation of the constraints and trade-offs that need to be made. For example, the choice between having a good road and protecting natural resources must be understood by the public. The objectives of the policy includes promotion of tenure reforms that guarantee security and instil confidence and fairness in land transactions e.g. compensation, promotion of a decentralized and transparent land administration and enhancement of conservation and community management of land resources. Chapter 9 of the policy deals with the protection of the environment and land

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 9 of 100 resources. This policy will guide in making important decisions concerning compensations, resettlement and protection of natural resources especially when preparing the Resettlement Action Plan (RAP) for the Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road

2.1.4 National Forestry Policy, 1997 This policy aims at promoting sustainable contribution of forests, woodlands and trees towards the improvement of the quality of life in the country by conserving the resources for the benefit of the nation and to the satisfaction of diverse and changing needs of Malawi population, particularly rural smallholders. The policy prevents unnecessary changes in land-use that promote deforestation, or endanger the protection of forests which have cultural, biodiversity or water catchment values. It also discourages establishment of any development activities in gazette forests unless proven to be environmentally friendly for which suitable intersect oral and local consultations will be conducted. Above all, the policy advocates the carrying out of environment impact assessment where actions are likely to have significant adverse impacts on important forests and other resources. The contractors for the Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road will take full advantage of provisions under this legislation to minimise destruction of forests and related resources.

2.1.5 National Water Policy, 2004 The National Water Policy addresses all aspects of water management including development of water resources and service delivery conforming to the current global and regional trends and the requirements as reflected under the Sustainable Development Goals (SDG). The overall policy goal is sustainable management and utilization of water resources in order to provide water of acceptable quality and of sufficient quantities, and ensure availability of efficient and effective water and sanitation services that satisfy the basic requirements of every Malawian and for the enhancement of the country’s natural ecosystems. One of its objectives is promoting public and private sector participation in water resources management, development, supply and conservation. The policy is based on the premise that all people shall have access to potable water and adequate sanitation services to reduce incidences of water related diseases.

The protection and use of water resources has been accorded the highest priority over other uses by this policy. It is therefore important that the project to rehabilitate the Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road will not significantly contribute towards the degradation and depletion of water resources in the zone of influence and that there shall be continued involvement of the general public in handling water use and management issues.

2.1.6 National Decentralization Policy, 1998 The national decentralization policy was approved in 1998. The policy devolves administrative and political authority to the district level and integrates governmental agencies at the district and local levels into a single administrative unit. The highest administrative and political institution at district level is termed the District, City, Town or Municipal council and is

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 10 of 100 comprised of elected members with full executive powers and non-voting traditional and political leaders. The policy mandates local governments to regulate planning and development within their jurisdiction and also empowers them to have by-laws that specify among other issues, how specific development projects should minimise or avoid environmental degradation. The Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road will have to fulfil the planning requirements of the Mzimba District, Nkhata Bay District and Mzuzu City.

2.1.7 National HIV/AIDS Policy (2003)

The goals of the National HIV/AIDS Policy are: (1) to prevent the further spread of HIV infection; and (2) to mitigate the impact of HIV/AIDS on the socioeconomic status of individuals, families, communities and the nation. In order to attain these goals the policy initializes the improvement in the provision and delivery of prevention, treatment, care and support services for People Living with AIDS (PLWAs); reduction individual and societal vulnerability to HIV/AIDS by creating an enabling environment ; strengthening the multi- sectoral and multi-disciplinary institutional framework for coordination and implementation of HIV/AIDS programmes in the country and ensures that each sector formulates and implements sector-specific HIV/AIDS policies and that there is effective coordination between sectors in a multi-sectoral national response to HIV/AIDS. The project will endeavour to develop and implement own workplace HIV/AIDS programme. The Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road project will ensure to mainstream HIV and AIDs issues during planning, construction and operation of the road.

2.1.8 Malawi Disaster Risk Management Policy (2015) The policy has been developed to guide disaster risk management mainstreaming in the country by providing policy strategies that would achieve the long term goal of reducing disaster losses in lives and in the social, economic and environmental assets of communities and the nation as envisioned in theme three “Social Support and Disaster Risk Management” in the Malawi Growth and Development Strategy.

The policy is aimed at ensuring that disaster risk management (DRM) is mainstreamed in development planning and policies of all sectors in order to reduce the impact of disasters and ensure sustainable development in the country. Reduction of poverty through sustainable economic growth is the objective in the development strategy of the Government of Malawi (GoM), which is set to be achieved through economic growth and infrastructure development. The project will endeavour to integrate disaster related concerns in the design of the proposed road. The project to rehabilitate the Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road will ensure that it is implemented in such that it does not lead to any disaster but also that it is resilient to disaster risks.

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2.2 National legal framework

2.2.1 Constitution of the Republic of Malawi, 1995 The constitution of the Republic of Malawi provides a foundation for environmental management in Malawi. Section 13(d) outlines the principles of sustainable development. The constitution aims to prevent the degradation of the environment, provide healthy living and working environment for the people of Malawi, accord full recognition to the rights of future generation by means of environmental protection and the sustainable development of natural resources, and conserve and enhance the biodiversity of Malawi. This implies that all activities undertaken in Malawi including road construction or rehabilitation should integrate the principles outlined in the Constitution.

2.2.2 The Environment Management Act, 1996 The Environment Management Act, enacted in 1996, provides the legal basis for the protection and management of the environment and the conservation and sustainable utilization of the natural resources. Section 24 of the Act outlines the ESIA processes to be followed in Malawi and requires that all project developers in both the public and private sectors comply with the process. The “Prescribed List for which ESIA is Mandatory” that is gazetted under section 24 of the Act, sets out which activities must have an ESIA before they can be implemented. If a developer is proposing a “prescribed project”, ESIA applies, and the developer needs to submit a project brief. With respect to roads sector activities, construction of new or expansion of existing highways and feeder roads require an ESIA. Activities associated with road works – quarrying and mining for aggregate material, for example, are also prescribed activities. Furthermore, projects that have the potential to affect national parks, water resources, cemeteries and historical sites (among other screening criteria) also require ESIA. The Act under section 26 (3) further requires that no licensing authority issues any license for a project for which an ESIA is required unless the Director of Environmental Affairs (DEA) has given consent to proceed due to completion and approval of a satisfactory ESIA report or due to non- requirement of an ESIA. Prescribed activities for which ESIA is mandatory are outlined in the Guidelines for ESIA (1997). In accordance with the prescribed activities, the construction of the Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road requires an ESIA before it can be implemented.

2.2.3 Land Act 2016 The Land Act of 2016 repeals the Land Act of 1965 (Cap 57.01). The Land Act 2016 deals with land access, use and disposal issues. The law categories land into public and private land with public land including government and unallocated customary land used for benefits of a whole community. Private land is composed of freehold land, leasehold and customary estates. The Act also outlines the procedures for acquisition of customary land for public utilities and the conversion of customary land to registered land.

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It recognizes that every person has a natural dependence on land and that it is therefore important. Since the road largely passes through public and private land, the law has implications on the proposed project in that all land for the project should be acquired following formal land acquisition procedures and that the people who will lose property or will be displaced should be fairly compensated.

2.2.4 Customary Land Act, 2016 This law repeals the customary Land Development Act of 1967 (cap 59:01) and provides for the management and regulation of customary law. The main issue under the law is the formalisation of powers of traditional leaders on land allocation through land allocation. The law also established customary estates which makes all land parcels held by individual to be private land thereby safeguarding land tenure security of the individual family owners. The Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road project will need to abide by the new law in accessing and seeking to acquire land for the road expansion.

2.2.5 The Lands Acquisition Act, 1971 The Lands Acquisition Act (Cap 58:04) and the Public Roads Act (Cap 69:02) sets out in detail, the procedures for acquisition of customary land and freehold land. The processes and procedures for proclamation of the land to be acquired in this project should follow the steps as provided for in the existing Lands Acquisition Act (Chapter 58:04) Sections 3-11. Land for this project will be acquired from individuals and organisations. The procedures set out in the Act are followed to ensure that the private landowners are fairly and equitably compensated. The developer will confine the construction works to the existing road structure and within the road reserve area which is 30 m from the centre of the road to either side of the road to minimize impacts in the immediate environment and properties.

2.2.6 Malawi Forestry Act, 1997 The Forestry Act, 1997 provides for participatory forestry, forest management, research, education, forest industries and protection and rehabilitation of environmentally fragile areas. The act among other issues seeks to protect trees and other resources in forest reserves, conserve and enhance biodiversity, protect and facilitate management of trees on customary land, promote community involvement in the conservation of trees, promote sustainable utilization of timber and other forest produce and protect fragile areas such as river banks and water catchment. The road construction project will have to undertake measures to protect trees within the road alignment and limit the cutting down of trees to where it is absolutely necessary in consultation with relevant authorities and communities.

2.2.7 National Local Government Act, 1998 The act mandates local governments to regulate planning and development within their jurisdiction and also empowers them to have by-laws that specify among other issues, how

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 13 of 100 development projects should minimize or avoid environmental degradation. The Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road project will have to fulfil the planning requirements of the Mzuzu City, Nkhata Bay and Mzimba District Councils.

2.2.8 Water Resources Act, 1969 The Water Resources Act provides for the control, conservation, apportionment and use of water resources of Malawi. The Act vests ownership of all public water in the President while the control of all public water is vested in the Minister responsible for water affairs. The Act prohibits any person to divert, dam, store, abstract or use public water for any other purpose except in accordance with the provisions of the Act. Thus the project shall comply with this requirement by obtaining the necessary water user rights. The Act further prohibits any person to interfere, alter the flow of or pollute or foul any public water. Non-compliance is an offence. The Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road project will put in place measures to prevent altering of flow or pollution of public water. The measures to be put in place will be outlined in the environmental management plan as part of the ESIA.

2.2.9 Monuments and Relics Act (1990) The Act governs the management and administration of monuments and heritage sites in Malawi. Among other things, the provisions of the Act restrict unregulated development in protected areas. The contractor will report to the Department of Antiquities on the discovery of objects of historic importance. The same department should be consulted prior to commencing excavation activities so as to seek guidance on the possibility of unearthing objects of that nature.

2.2.10 Physical Planning Act (2016) The Act repeals the Town and country Planning Act of 1988 (Cap 23.01) .The Act seeks to regulate land use, land use planning and the developments of physical projects in Malawi. The act seeks to promote orderly spatial physical development in order to optimize use of and service infrastructure and protect and conserve fragile ecosystems in space. This is achieved by guiding physical developments through provision of planning permission following appropriate scrutiny by local planning committees or the Commissioner for Physical Planning. The Act regulates development by prescribing screening for environmental and socio- economic implications for large-scale development projects before planning permission is granted. In view of the above requirements, the proposed project is a large scale development and will have to undergo screening before permission is granted. The current ESIA for the project is part of screening and development control. The Roads Authority will therefore have to submit the plans for this project to the relevant Mzuzu City, Nkhata Bay and Mzimba District Councils for further scrutiny and granting of development permission in accordance to the provisions of this Act.

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2.2.11 Occupational Health and Welfare Act, 1997 The Act regulates the requirements for adequate environmental health and safety measures within workplaces. This Act applies to this project because of its risky nature. Employees are prone to accidents and chemical and biological hazards including disease epidemics. Special precautions such as provision of protective wear will therefore be taken by the contractor to have a safety policy and provide meaningful occupational health safety to all employees and the general public.

2.2.12 Public Roads Act (Cap. 69:02) This Act provides for road standards, safety and classification. The proposed road will fully comply with the provisions of the Act by ensuring that appropriate infrastructure for public safety and road durability are taken into account. Such infrastructure include road signage, packing bays, bridges, road markings, road shoulders, drainage systems, road crossings and junctions, road reserves, vertical and horizontal alignments and others. The public roads act covers the management of road reserves and streets. Land acquisition and resettlement issues are outlined in part II of the act. Section 44 provides assessment of compensations which can be paid under this act. The compensations cover surface and land rights of the owner or occupier of land. Section 45 provides for compensation for conversion of land into public use and the section states specifically that in case of customary land compensation is in respect to disturbance to people, section 49 and section 50 provide opportunities for land owners or occupiers to appeal to the High Court on grievances related to resettlement and compensations provided for in this act.

2.2.13 Water Works Act, 1995 The Act (Cap. 72:01) was enacted to provide for the establishment of the Water Boards and Water-areas; administration of such areas and development, maintenance and operation of water works. Section 3 establishes Water Boards for five areas including Northern Region Water Board. The Act makes it an offence for any person to cause water pollution. The Act also empowers water boards to make bye-laws for regulation of water use and prevention of pollution. The project will take due consideration for the protection of the Northern Region Water Board water retaining infrastructure against siltation, pollution and damage. A consultation meeting was held with management of the Water Board to map out strategies for protection of the water extraction points and water pipelines running along the road.

2.3 World Bank Safeguard Policies

2.3.1 Introduction In order to ensure the social and environmental sustainability of the projects, the World Bank developed the Safeguard Policies, divided in environment, social, and legal areas shown in table 1 below. Likewise, the World Bank has a Public Disclosure Policy that is of cross- character and applies in all the Safeguards Policies.

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Table 1: World Bank Safeguard Policies

Environmental Policies Social Policies OP/BP 4.01 Environmental OP/BP 4.12 Involuntary Resettlement Assessment OP/BP 4.11 Physical Cultural Property OP/BP 4.04 Natural Habitat Legal Policies OP/BP 4.09 Pest Management OP/BP 7.50 International Waterways OP/BP 4.36 Forest OP/BP 7.60 Projects in Disputed Areas OP/BP 4.37 Safety of Dams World Bank Additional Safeguard Instruments - Environmental, Health and Safety - WB Participation Sourcebook (1996) Guidelines - Disclosure Hand Book - Environmental Assessment - Electronic Resettlement Guidebook Sourcebook (and updates) Source: World Bank, Safeguard Policies.

The Safeguard Policies pursue three objectives: (i) ensuring that environmental and social issues are evaluated in the preparation and decision-making process; (ii) reducing and mitigating the environmental and social risks of Bank-financed programs or projects; and (iii) providing mechanisms for consultation and information disclosure.

According to the agreements between the GoM and the World Bank, RA will comply with all the Safeguard Policies in the subproject or activities funded under the World Bank. A complete description of the World Bank’s safeguards and their triggers can be found on the Bank’s official Web site, www.worldbank.org.

2.3.2 Safeguards Policies triggered by the project In this project and any other infrastructure and road projects under the SATTF, the environmental and social Safeguard Policies that are triggered are: OP4.01 Environmental Assessment; OP4.12 Involuntary Resettlement; and OP 4.11 Physical Cultural Resources. a) Environmental Policy

This policy requires environmental assessment (EA) of projects/programs proposed for Bank financing to ensure that they are environmentally sustainable, and also to inform decision making. EA is a process where the breadth, depth, and type of analysis depend on the nature, scale, and potential environmental impact of the projects. The Policy requires that the EA process takes into account the natural environment (air, water, and land); human health and safety; social aspects (involuntary resettlement, indigenous peoples, and cultural property); and trans-boundary and global environmental aspects. b) Resettlement Policy

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The resettlement policy applies to all displaced persons, regardless of the total number affected, the severity of the impact, or whether or not they have legal title to the land. Particular attention should be given to the needs of vulnerable groups among those displaced. The policy also requires that RAPs must be implemented before implementation/start of subproject construction to ensure that displacement or restriction of access does not occur before necessary measures for resettlement and compensation are in place. For subprojects requiring land appropriation, it is further required that these measures include provision of compensation and of other assistance required for relocation, prior to displacement, and preparation and provision of resettlement sites with adequate facilities, where required. In particular, the appropriation of land and related assets may take place only after compensation has been paid, and where applicable, resettlement sites, new homes, related infrastructure, and moving allowances have been provided to displaced persons. For program activities requiring relocation or loss of shelter, the policy further requires that measures to assist the displaced persons are implemented in accordance with the RAPs. c) Physical Cultural Resources.

The project is not expected to affect any monument or cultural heritage site as the rehabilitation works will stay within the present road alignment and existing right of way. The project however will adopt a Change Find Procedure based on the Monuments and Relics Act of Malawi to guide RA and contractors in case of chance finds of relics, objects of scientific, cultural and historical import and/or artifacts in the excavations of borrow pits, drainage and road slopes.

2.4 Administrative Framework of the ESIA Process Environmental Affairs Department (EAD) is the authority charged with administering the ESIA process and works with other institutions in the process. The Environmental Management Act (1996) sets out the powers, functions and duties of the Director of Environmental Affairs in administering the ESIA process. The figure below illustrates this process.

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Figure 3: Administrative Framework of the ESIA Process

The Act under section 10 provides for the establishment of the National Council for the Environment (NCE) and the establishment of the Technical Committee on the Environment (TCE) under section 16. The NCE is a policy making body which advises EAD and the Government in general, on environmental matters while the TCE provides technical advice on environmental matters.

Through the TCE, member agencies are informed of projects being appraised, review projects, participate in formulating ESIA terms of reference, develop project approval terms and conditions and recommend course of action to the Director. The NCE provides policy guidance

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As provided for in section 26 of the EMA, a prescribed project cannot receive the required authorization to proceed from the relevant licensing authority unless and until the Director of Environmental Affairs (DEA) issues a certificate stating that an ESIA is not required or on the basis of an ESIA report that he has approved the project. Under the EMA, the DEA is empowered to require changes to a project to reduce its environmental impact and to reject a project if, in his view, it will cause significant and irreparable damage to the environment.

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CHAPTER 3.0 PROJECT ALTERNATIVES AND ANALYSIS

There are two major options that were considered by the Roads Authority. These are ‘Do nothing option’ and ‘undertake the road upgrade option’. The environmental and social implications of each have been considered in selecting the project option.

3.1 Option 1: Do nothing In this option it is expected that the RA will continue with routing maintenance activities to keep the road open. RA will repair the failed sections only of the road. With this option it is expected that there is going to be accelerated deterioration of the road where rutting already exceeds 20mm resulting in more failures and possible disruption of access to traffic. Congestion in the trading centres areas around Mzuzu Roundabout and junction to Mzuzu University will increase and road safety will worsen.

3.2 Option 2: Undertake the Upgrading of the Road Under this option the road will be upgraded it to a carriageway with sealed shoulders at a design speed of 80km per hour and 50 km per hour. Within this option, consideration was given to the technical options for rehabilitating the road as follows:

Option 2.1: Patch and reseal Patch and reseal involves ripping and re-compact the base where rut depth exceeds 10mm and fill other ruts with slurry. Remove accumulated silt along Kerbs and reopen chutes. Repair failed sections and reseal with 13 mm Cape seal. Repair road marking and reflective road studs as well as repair guardrails on high embankments.

This option is expected to provide additional 10 to 15 years of life to existing pavement but no significant improvement to road safety and congestion in trading centres such as Chikangawa, Mzuzu Market area, Ekwendeni and others will increase. There will be need to implement general speed restrictions to 80km with 50km/hour in trading centres in order to reduce congestion and accidents.

Option 2.2: Patch, reseal and widening at trading centres This option is the same as option 2.1 but the addition is to widen the road in order to provide 7 m carriageway and 2 m sealed shoulders as well as new bus bays in the trading centres mentioned above. This option can provide additional life expectancy of 10-15 years to the existing pavement and some improvement to the road. Congestion in the trading centres will be reduced thereby improving safety on the road.

Option 2.3: Complete reconstruction and widening with double surface dressing This option will involve widening the road embankment to provide 7m carriage with 1.5m sealed shoulders throughout and 2m sealed shoulders in trading centres. Bus bays will be

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 20 of 100 constructed in all the trading centres and along the road. The embankment will be raised in line with the hydrological analysis of some areas. This option will affect 36% of the road length from Mzuzu City to Kacheche and will involve  Ripping the existing base and resurfacing  Ripping existing sub-base layer and stabilize as new selected sub-grade of 150mm  Reuse the original base material as sub-base 150mm  Import new granular base of 150mm  On the remaining 64% of the road, the works will adopt the option highlighted in option 2.2 discussed above.

This option is expected to provide additional 20 years of more on the life of the road. Road safely is greatly going to improve due to reduced congestions in the trading centres.

Option 2.4: Complete reconstruction with asphalt concrete dressing Complete reconstruction with asphalt concrete dressing is similar to option 2.3 but in addition will have a 40mm Asphalt surfacing. This option provides low maintenance cost over a period of more than 20 years of the design life of the road. The road surface will be smoother resulting in lower vehicle maintenance costs. There will be need to rejuvenate the spray after 10 years and reseal or overlay after 20 years. General speed restriction of 100km/hr. and 50 km / hr. in trading centres will be imposed. Complete reconstruction with asphalt concrete dressing is therefore considered the best option.

From above, the advantages of rehabilitating the road alternative far outweigh the disadvantages of the “No-Action” alternative. Even though the initial cost of the construction will be high, the accrued benefits to be derived from the “project development alternative” socially, culturally and economically supersede the “No-Action” alternative.

While it was considered that the environmental and social impacts of the considered road design alternatives were not significantly different, Option 2.4 was selected because of its low maintenance cost implications during the 20 year design period. This option will effectively lead to reduced congestion and improved road safety along the trading centres. It also provides for a smooth flow of traffic and the road users.

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CHAPTER 4.0 APPROACH AND METHODOLOGY

The approach and methodology for carrying out the assignment was informed by the consulting team’s understanding of the terms of reference. The consulting team used various approaches and techniques including use of secondary sources of data through review various relevant documents such as study reports, policies, legislations, and national strategies, regional and global protocols related to road construction projects. As prescribed by the ESIA Guidelines, the team conducted stakeholder consultations in all the trading centres and selected villages along the road. In addition, the ESIA team held consultations with traditional leaders along the road and government officials at Mzimba District Council and Mzuzu City Assembly. The team took cognizance of need to constantly meet with AIC Progetti the Road Design consultant to share notes and ideas during the entire period of the project. Sections below outline the process steps for carrying out this assignment.

4.1 Review of relevant literature The study team reviewed a number of policies, legislations, reports and various regional and global instruments that aim to promote and consolidate sustainable socio-economic development in the country through mainstreaming of the environmental considerations in planning and implementation of projects such as the Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road. Key reports, policies and legislations that were reviewed include the Constitution of the Republic of Malawi of 1995, the National Environmental Policy (NEP) of 2004, the Environment Management Act (EMA) of 1996, the National Forestry Policy of 1996, the National Forestry Act of 1997, the National Land Policy of 2002, the Land Act of 2016, the National Land Resources Management Policy and Strategy of 1998, the Water Resources Management Policy and Strategy of 1994, the Water Resources Act of 1969, the Resettlement Management Framework, Environmental and Social Management Framework, the World Bank’s Environmental Policy, the Bank’s Involuntary Resettlement Policy and the Environmental and Social Assessment Procedures (ESAP), Environmental Impact Assessment Guidelines and many others.

In line with the review of the policies and legislations and other relevant documents, the team paid particular attention to the various licences that the proposed project would require including (i) an Environmental Impact Assessment certificate; (ii) Waste and Hazardous Waste Licenses in accordance with section 38 and 39 of the EMA; (iii) a license to handle, store, transport or destroy waste arising from the road construction activities and the campsites; (iv) Air Pollution License in accordance with section 42 of the EMA; (v) Development permission from the Mzimba District Council Planning Committees and Mzuzu City Council Planning Committees in accordance with section 13 (2) of the Land Act; (vi) a license from the Forestry Department under the Forestry Act for the developer to enter a protected area (a Forestry Reserve if there is any forest reserve) where he will cut down trees to pave way for the road; and (vii) Water Right for water abstraction for use on the road construction activities to be obtained under the Water Resources Act.

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The review of relevant documents also informed the development of this ESIA report and assisted the team to have a thorough understanding of the social, economic and environmental situation of the project in relation to the national and regional situation.

4.2 Progress review meetings During the process of carrying out this assignment, a series of meetings were organized between the ESIA consulting team and the Road Design consulting team to share notes and discuss other issues relating to the project. A series of meetings were also organized between the ESIA team and the Road Authority to discuss the progress of the work.

4.3 Stakeholder consultation In line with the Environmental Impact Assessment Guidelines; Environmental and Social Management Framework and the Resettlement Management Framework, the team ensured that all those that have stakes in the project more especially the communities in the project area were consulted to give their views on the project. Specially designed stakeholder consultation data collection tools (checklist) were developed and used during the stakeholder consultation process. Apart from consultations with national level (Lilongwe), regional level stakeholders (Mzuzu), the consulting team conducted stakeholder meetings and interviews at district level and community levels targeting the Mzimba District Council, Mzuzu City Council, traditional leaders, villagers in the project area, business owners, industries, transporters, cross border traders, and many other stakeholders. At community level, the consulting team conducted focus group discussions and individuals interview with the identified stakeholders. The list of stakeholders consulted during the assignment is summarized in Annex 4 and Annex 5.

4.4 Data analysis and report submission

After the field visit to the project area and stakeholder consultations the team systematically analyzed the information and data collected in line with the terms of reference for the assignment. After the data analysis, then this draft ESIA, ESMP and Resettlement Action Plan have produced and submitted to the Roads Authority (RA) for their comments. Upon receipt of the comments, the consulting team will produce the final reports.

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CHAPTER 5.0 BIOPHYSICAL, SOCIAL AND ECONOMIC ENVIRONMENT

5.1 Biophysical baseline conditions This is a presentation of the biophysical baseline environmental conditions through which the Mzimba Turn-off –Mzuzu City to Kacheche road section of the M1 road traverses. These baseline conditions provide the basis for comparison of the before and after the road construction impacts.

The baseline data has been aggregated following biophysical environmental parameters such as the: landforms, soils, vegetation and land use, climate and hydrology and drainage. In general, the presentation of data on the biophysical environment and analysis has been biased towards how each of the above-mentioned factors influences the design and construction of the road and in turn be impacted by the road civil engineering works and these have specifically been explained in the presentation and analysis of each of the concerned environmental parameter.

Below is the description and analysis of each of the biophysical environmental conditions.

5.1.1 Landforms Landforms provide the environmental setting through which all other biophysical parameters could be analysed. From Mzimba Turn-off through Mzuzu City to Kacheche section of the M1 road passes through four major relief units and these are in the order of decreasing altitude: The High Plateau and Mountains, the Hill Zone, the Plains and the River Valley Floors (See Figure 4).

From Mzimba Turn-off up to near Raiply, the road passes through the Hill Zone- the Mzimba Hills. This area is at an altitude range of 1300-1600m above sea level (asl). These are characterised by a rolling to hilly relief with plateau remnants which are dissected by streams rising from the Viphya Mountains. This terrain unit will pose a major challenge through road cutting and filling in order to attain a class 1 bitumen standard road. The road cutting spoil will pose safe disposal challenges of such materials while the required fill-in material will lead to extensive excavation of borrow-pits. Both of these civil engineering works will culminate into huge haulage of earth materials to and fro the road construction sites.

From Raiply, up to past Thungwa (See Figure 4). the road traverses through the High Plateau and Mountainous Relief- the Viphya Plateau Highlands. This occurs at an altitude of over 1600m asl and it represents the Gondwana and post-Gondwana plantation surface of the Jurassic and Cretaceous age. It is dissected to various degrees leading to topography of undulating plateau and mountainous areas. Like the Hill Zones it will pose major challenges through road cuttings and filling and subsequent haulage of large volume of earth materials. Therefore, there is great need for proper planning during the design to minimise this challenge. After Thungwa the road passes again through the Hill Zone up to Lusangazi.

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From Lusangazi up to Ekwendeni the road passes through the Plain, starting with the Mzuzu Plain, and the Ezondweni- Ekwendeni Plain. The Mzuzu Plain is at an altitude range of 1200- 1400m asl while that of Ezondweni- Ekwendeni is at 1100-1300m asl. Both of these plains are characterised by moderate undulating valley side slopes with slope angles ranging from 3-10% and as such will have less road cutting and fillings as compared to those of Hill Zones and High Plateau and Mountainous Relief units.

The last segment of the road from Ekwendeni to Kacheche Turn-off passes through the Lower South Rukuru and Kasitu Valleys. This area is at an altitude of 1000 -1200m asl. It is gently undulating to flat and is made up of valley bottom with alluvial sediments deposited by South Rukuru and Kasitu Rivers. The main design and construction challenge is that it is prone to flooding during the rainy season.

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Figure 4: Digital Elevation Model for Mzimba Turn off through Mzuzu City to Kacheche section of the M1 Road

5.1.2 Soils The soil groups through which the road traverses have been mapped ( See figure 5) together with the physiographic units or slope category on which it occurs using the standard soil code

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 26 of 100 the interpretation of which is presented in Annex 2.'' The road passes through four exhibited major soil groups symbolized as: X2x2/4- Eutric- ferralic, A1f1/2- Fluvic, X4p4/5 Paralithic and X4r4 Dystric-ferralic (See figure 5).

Eutric-ferralic is the main soil group occupying one-half of the entire length of the road. The soil code of this group is indicated by the small letter case ‘x’ while the different soil colour is only indicative of the slope category. Eutric-ferralic soil group poses little design and construction challenges.

The second dominant soil group is Paralithic which occur mostly in areas under Hill Zones. Like Eutric ferralic it also poses little design and construction challenges.

The third dominant soil group is Fluvic and occurs in area covered by the River Valley Floor relief unit from Engwitini to Kacheche. Fluvic soil group is characterized by continuously being rejuvenated through the deposition on the surface by sediments transported by flush waters. These soils are derived by alluvium and are mostly deep. They exhibit considerable variation in particle size (stratification) both vertically and horizontally which may pose design and construction challenges since within 20m radius they would have different compression ratios.

The last and minor soil group is Dystric ferralic which in some cases occurs as intergrade. Like Eutric ferralic and Paralithic soil groups it also does not pose major design and construction challenges. Detailed parameter values of each of these soil groups have been presented in tables: 2, 3, 4 and 5 below.

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Figure 5: Soils Map for Mzimba Turn Off via Mzuzu City to Kacheche section of the M1 Road

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Table 2: Physical and chemical properties of Eutric-ferralic soil group

Physical Soil Properties Chemical Soil Properties Parameters Value Parameter Value Topsoil texture (0- Sandy Loam Soil Reaction (pH) 5.5 to 6.5 30cm) Subsoil texture (>30cm Sandy Clay Loam Salinity (EC in 0-2 (non mmhos/cm) saline) Effective soil depth >150cm Cation Exchange >10 medium to (cm) Capacity (me/100g high soil) Surface stoniness and Stony and fairy-rocky Nitrogen (%) 0.08-0.12 rockiness (Low) Drainage class Moderately well drainage Phosphorus (ppm) <6 very low Frequency of flooding None Potassium (me/100g >0.2 (medium soil) to very high) Dominant Slope Class 1-15% they occur Equivalent FAO class Eutric Cambisols or Haplic lixisols Source: Paris Land Appraisal Reports for Mzuzu ADDs

Table 3: Physical and chemical Properties of Paralithic soil group

Physical Soil Properties Chemical Soil Properties

Parameter Value Parameter Value

Topsoil texture (0- Sandy loam to clay Soil Reaction (pH) 5.5 to 6.5 30cm)

Subsoil texture Sandy clay loam to Salinity (EC in 0-2 (non saline) (>30cm clay mmhos/cm)

Effective soil depth 50-100cm Cation Exchange 5-10 (low) (cm) Capacity (me/100g soil)

Surface stoniness and 1-15% area is stony Nitrogen (%) 0.08-0.12 (Low) rockiness or fairly rocky

Drainage class Well drained soil Phosphorus (ppm) <6 ( very low)

Frequency of flooding None Potassium (me/100g >0.2 (medium to soil) very high)

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Physical Soil Properties Chemical Soil Properties

Parameter Value Parameter Value

Dominant Slope Class 13-25% they occur

Tendency to ponding None

Parent material Intermediate metamorphic rocks

Subsoil colour Red to reddish brown

Soil Family Msikawanjala ( typical soils found in Msikawanjala area or first described in Msikawanjala area)

Equivalent FAO class Haplic Lixisols, skeletic phase or Chromic Cambisols, skeletic phase

Source: Paris Land Appraisal Reports for Mzuzu ADDs

Table 4: Physical and chemical properties of Fluvic Soil group

Physical Soil Properties Chemical Soil Properties Parameters Value Parameter Value Topsoil texture (0- Sandy Clay Loam Soil Reaction (pH) 5.5 to 6.5 30cm) Subsoil texture (>30cm Sandy Clay to Clay Salinity (EC in 0-2 (none mmhos/cm) saline) Effective soil depth >150cm Cation Exchange >10 medium to (cm) Capacity (me/100g very high soil) Surface stoniness and Non-stony and non-rocky Nitrogen (%) 0.08-0.12 rockiness (Low) Drainage class Moderately well drainage Phosphorus (ppm) 6-18 (low) Frequency of flooding Slight to moderate ponding Potassium (me/100g >0.2 (medium soil) to very high) Dominant Slope Class 0-2% (flat to almost flat) they occur Equivalent FAO class Eutric Fluvisols Source: Paris Land Appraisal Reports for Mzuzu ADDs

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Table 5: Dystric-ferralic Soil Group

Physical Soil Properties Chemical Soil Properties Parameters Value Parameter Value Topsoil texture (0- Sandy clay loam Soil Reaction (pH) 4.0 to 5.5 30cm) Subsoil texture Sandy Clay to Clay Salinity (EC in 0-2 (none (>30cm mmhos/cm) saline) Effective soil depth 100-150cm Cation Exchange 5-10 (low) (cm) Capacity (me/100g soil) Surface stoniness 1-15%( stony to fairy Nitrogen (%) 0.08-0.12 and rockiness rocky) (Low) Drainage class Well drained soil Phosphorus (ppm) 6-18 (low) Frequency of None Potassium (me/100g >0.2 (medium flooding soil) to very high) Dominant Slope 25-55% steep Class they occur Equivalent FAO Haplic Acrisols or ferralic class Cambisols Source: Paris Land Appraisal Reports for Mzuzu ADDs

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5.1.3 Climate The road passes through three agro-climatic zones. See the table below. The road segment from MzimbaTurn-off to Raiply passes through and agro-climatic zone with a length of growing period (LGP) of 180-195 days and mean annual rainfall of 800-1200mm and a precipitation to potential evaporation ratio of >1.3. This means that of the 365days in a year about one-half of the days the area receives rainfall. This is further confirmed with a precipitation to potential evaporation ratio of greater than 1.3. This implies that this area is a wet area. Similarly, the road segment from Chikangawa to the City of Mzuzu has a length of growing period of 210- 225 days, and the number of dry months of 5-6. This means that this area receives rainfall for more than one-half of the number of days in a year. The implication of this is that the road civil engineering works are likely to be affected by rainfall events. Therefore there is need to factor in rainfall when determining the length of the project period. On the other hand, the road segment between Ekwendeni to Kacheche Turn-off has a LGP of 150-165 days and number of dry months of 7-8. This means that this area stays dry most of the time in a year. This observation should be taken into account in planning construction scheduling. It would be ideal that most of the dry season construction should be scheduled to take place from Chikangawa to Mzuzu while those nearing the rainy season should take place between Ekwendeni to Kacheche Turn-off road segment in order to minimise work disruption due to rainfall events. Detailed climatic parameters for each of these above-mentioned agro-climatic zones through which the road passes are presented in table 6 below.

Table 6: Climatic parameters of the Agro-climatic zones through which the road passes

Mzimba Turn-off to Chikangawa to Ekwendeni to Raiply Road segment Mzuzu City Road Kacheche Turn-off segment Road Segment Climatic Parameters Values Value Value Length of growing 180-195days 225-240days 150-165 days period-LGP (days) Mean Annual 800-1200mm 1200-1600mm 800-1200mm Precipitation Precipitation to Potential >1.3 >1.3 1-1.3 Evaporation ratio(P/PET) Mean Annual 17.5-20.0 oC 15.5-17.5 oC 22.5-25.0oC Temperature (oC) Number of dry months – 7-8 months 5-6 months 7-8months Dm Mean minimum annual 7.5-10oC 5.0-7.5 oC 22.5-25.0oC temperature-T-m(oC) Source: Paris Land Appraisal Reports for Mzuzu ADDs

5.1.4 Hydrology and Drainage The road passes through a number of perennial rivers such as: Kasitu River, Kafurufuru River, Kamwanjiwa River, Lunyangwa River, Chamono River, Luwazi River, Chisangano River and

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 32 of 100 from Enukweni to Kacheche Turn -off it runs almost parallel to Kasitu River. This means that there are abundant water sources for the road construction and for domestic use by the Contractors workforce throughout the year. However, in line with the Water Resources Act, permission for abstraction of water rights should be obtained from the Director of Water Resources Development Officer before their subsequent abstraction. The exhibited drainage pattern is rectangular as indicated by some tributaries being at right angle to the main river. See figure 6 below. This means that a number of rivers are structural controlled by the underlying geology. This means that some rivers follow geological linear structures such as joints, faults and dykes. Such a drainage pattern could be indicative of deep seepage of river water through these structures.

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Figure 6: Hydrology and Drainage System of Mzimba Turnoff via Mzuzu City to Kacheche section of the M1 Road

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5.1.5 Vegetation and Land use Construction of the road will lead to clearing and grubbing resulting into the destruction of about 65 tree species which occur along the road reserve and the surrounding forests reserves and Chikangawa Pine Plantation. Of major concern is the loss of 18 protected tree species which have been indicated in table 7 and will require permission from the Director of Forestry to be cut down in line with the Forestry Act. The road will also lead to the loss of ecosystem services being provided by a number of trees such as the provision of medicinal plants, edible fruits, and timber, as presented in table 8. Twenty nine endangered tree species under the IUCN Red List Status will be lost and this is not only of national significance but of global concern. The influx of people looking for employment opportunities and business during road construction will further lead to increased demand of forest products. Therefore it is imperative to put in place a robust surveillance system to be monitoring not only the activities of the Contractor workforce but also the influx of people for timely remedial action. In addition, the road passes through four main types of land use (see fig. 5) and these are:  Agriculture land on various slope categories and with varying degree of tree canopy cover and is being represented by code symbol A.  Forest and Plantations being represented by code symbol F.  Montane grassland being on various slope angles and being represented by code symbol G.  Built-up area being represented by code symbol B. Other minor land use and land covers include: Marshy areas, Rock Out-crops and Steep mountainous slopes being represented by code symbols: M, R, and Z respectively. Both the major and minor land use and land cover will invaluably be impacted by road construction as a result of the influx of people flocking to the road project area and will increasing demands for land-based resources of the area. Forests and forest products will particularly be sought for and thereby adversely affected. Therefore there will be need to closely work with the surrounding communities in putting in place a robust surveillance system for timely monitoring of impacts on these resources for remedial action.

Table 7: Protected trees along the Mzimba Turn-off to Kacheche Turn-off Road

Item Number Scientific Name of the Protected Tree Abundance 1 Parinari curatellifolia High 2 Isoberlinia angolensis High 3 Bridelia micrantha High 4 Pericopsis angolensis High 5 Faurea rocketiana High 6 Erythrina abyssinica medium to high 7 Albizzia gummifera High 8 Parinari curatellifolia High Macaranga capensis low to medium 9 Bersama abyssinica Low 10 Syzygium cordatum Medium 11 Burkea Africana Low

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Item Number Scientific Name of the Protected Tree Abundance

12 Anisophyllia pomifera Low 13 Toona ciliate High 14 Faidherbia albida High 15 Vachellia xanthophloea High 16 Pinus kesiya plantation High 17 Eucalyptus grandis High 18 Pinus patula High

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Table 8: Detailed Occurrence of Plant Species along the Mzimba Turnoff via Mzuzu City to Kacheche section of the M1 Road

Road Segment Protected Species Endangered /Rare Edible Species Medicinal Timber Species Common Species Species 0-17km: Mzimba Parinari curatellifolia Pericopsis Vangueria infausta Vangueria infausta Brideria micrantha Ficus Turn-off or angolensis stuhlmanii Mayiyasawa to Isoberlinia Faurea rocketiana Uapaca kirkiana Bridelia micrantha Faurea rocketiana Combretum Group Village angolensis molle Headman Bridelia micrantha Bridelia micrantha Brideria micrantha Zizyphus Parinari Uapaca Machecheta and mucronata curatellifolia kirkiana Muwelu Bulukutu Pericopsis angolensis Parinari Parinari curatellifolia Ozoroa insigns Faurea rocketiana Brachystergia curatellifolia utilis Toona ciliata Ficus sur Erythrina Uapaca kirkiana Julbernadia abyssinica paniculata Pericopsis Zizyphus mucronata vitex doniana Dombeya torrida Vachellia angolensis sieberana Cassia abbreviata Syzygium owariense Dombeya torrid Toona ciliata Brachystergia spiciformis Terminalia stenostachya 17-27km: Muwelu Faurea rocketiana Albizia versicolor Bridelia micrantha Maytenjus Faidherbia albida Brachystergia Bulukutu to Raiply heterophylla taxifolia to Chikangawa Erythrina abyssinica Bridelia micrantha Anisophyllia pomifera Dombeya torrid Parinari Vitex doniana curatellifolia Albizzia gummifera Parinari Parinari curatellifolia Dichrostachys Faurea rocketiana Ozoroa curatellifolia cinerea insigns Parinari curatellifolia Toona ciliata Ficus sur Bersama abyssinica Uapaca kirkiana Lannea discolor Burkea Africana Pericopsis Zizyphus mucronata Erythrina Dombeya torrida Ochna angolensis abyssinica schweinfurthia na Cassia abbreviata Syzygium owariense Anisophyllia Dodonea pomifera viscosa Vangueria infausta Cassia abbreviate Bauhinia thonningii Uapaca kirkiana Macaranga Dombeya capensis torrida

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Road Segment Protected Species Endangered /Rare Edible Species Medicinal Timber Species Common Species Species Lannea discolor Dalbergia nitidula Albizia versicolor Brachystergia microphylla Dichrostachys cinerea Protea gaguedii Maytenjus heterophylla 27-37km: Macaranga capensis Bridelia micrantha Parinari curatellifolia Bridelia micrantha Faurea rocketiana Burkea Chikangawa to africana Champoyo to Gwayi Bersama abyssinica Parinari Ficus sur Zizyphus Faurea rocketiana Erythrina curatellifolia mucronata abyssinica Bridelia micrantha Toona ciliata Zizyphus mucronata Ozoroa insigns Uapaca kirkiana Macaranga capensis Erithrina abyssinica Pericopsis Syzygium owariense Erythrina Dombeya torrida Toona ciliata angolensis abyssinica Cassia abbreviata vitex doniana Parinari Anisophyllia curatellifolia pomifera Borassus aethiopioca Isoberlinia angolensis 37-47km: Gwayi to Macaranga capensis Pericopsis Vangueria infausta Ozoroa insigns Faidherbia albida Bauhinia Zumwanda angolensis thonningii Erithrina abyssinica Faurea rocketiana Uapaca kirkiana Erythrina Parinari Dombeya abyssinica curatellifolia torrida Syzygium cordatum Bridelia micrantha Zizyphus mucronata vitex doniana Faurea rocketiana Dalbergia nitidula Parinari curatellifolia Parinari Syzygium owariense Dombeya torrida Brachystergia curatellifolia microphylla Bridelia micrantha Vangueria infausta 47-57km: Erythrina abyssinica Faurea rocketiana Zizyphus mucronata Ozoroa insigns Dombeya torrida Dombeya Zumwanda to torrida Luwafwa to Bridelia micrantha Bridelia micrantha Syzygium owariense Erythrina Parinari Dalbergia Thungwa abyssinica curatellifolia nitidula

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Road Segment Protected Species Endangered /Rare Edible Species Medicinal Timber Species Common Species Species 57-67km: Thungwa Pinus kesiya Bridelia micrantha Parinari curatellifolia Ozoroa insigns Pinus kesiya Bauhinia to Elephant Rock and plantatio thonningii to Nkhalapya Hill Toona ciliate Parinari Ficus sur Erythrina Dombeya torrida Dombeya curatellifolia abyssinica torrida Bridelia micrantha Zizyphus mucronata vitex doniana Parinari Dalbergia curatellifolia nitidula Macaranga Capensis Dombeya torrida Brachystergia microphylla 67-77km: Nkhalapya Pinus patula Uapaca kirkiana Pinus patula Hill to Mbowe Plantation Eucalyptus grandis Zizyphus mucronata Eucalyptus grandis 77-87km: Mbowe to Pinus patula Faurea rocketiana Ficus sur Ozoroa insigns Parinari Dombeya Lusangazi Plantation curatellifolia torrida Eucalyptus grandis Bridelia micrantha Zizyphus mucronata Erythrina Faurea rocketiana Dalbergia abyssinica nitidula 87-97km: Lusangazi Eucalyptus Bridelia micrantha Parinari curatellifolia Bridelia micrantha Eucalyptus Toona ciliata to City of Mzuzu microcorys microcorys Plantation Plantation Pericopsis angolensis Parinari Ficus sur Zizyphus Pericopsis Anisophyllia curatellifolia mucronata angolensis pomifera Parinari curatellifolia Zizyphus mucronata Ozoroa insigns Parinari Borassus curatellifolia aethiopioca Bridelia micrantha Syzygium owariense Erythrina Faurea rocketiana Isoberlinia abyssinica angolensis Anisophyllia vitex doniana pomifera 97-107km: City of Pinus kesiya Bridelia micrantha Parinari curatellifolia vitex doniana Pinus kesiya Borassus Mzuzu to Chinthuli Plantation aethiopioca to Engongoleni to Borassus aethiopum Parinari Ficus sur Erythrina Isoberlinia Ekwendeni curatellifolia abyssinica angolensis 107-117km: Pinus kesiya Faurea rocketiana Zizyphus mucronata vitex doniana Parinari Anisophyllia Ekwendeni to Plantation curatellifolia pomifera Zungala khowoya Eu.Grandis : Bridelia micrantha Syzygium owariense Ozoroa insigns Faurea rocketiana Borassus aethiopioca Parinari curatellifolia Vangueria infausta Erythrina Isoberlinia abyssinica angolensis

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Road Segment Protected Species Endangered /Rare Edible Species Medicinal Timber Species Common Species Species 117-127km: Zunga Pinus kesiya Pinus kesiya lakhowoya to Katula Plantation 127-137km: Katula Toona ciliate Bridelia micrantha Uapaca kirkiana Erythrina Uapaca kirkiana Toona ciliata to Embombeni abyssinica Borassus aethiopum Parinari Ficus sur Bridelia micrantha Dombeya torrida Anisophyllia curatellifolia pomifera Faidherbia albida Zizyphus mucronata Zizyphus Parinari Borassus mucronata curatellifolia aethiopioca 137-147km: Cassia abbreviate Pericopsis Parinari curatellifolia Cassia abbreviata Eucalyptus grandis Erythrina Embombeni to angolensis abyssinica Kacheche Albizia versicolor Faurea rocketiana Uapaca kirkiana Bridelia micrantha Dombeya torrida Macaranga capensis Faidherbia albida Bridelia micrantha Zizyphus mucronata Zizyphus Parinari Toona ciliata mucronata curatellifolia Vachellia Syzygium owariense Ozoroa insigns Anisophyllia xanthophloea pomifera Borassus eathiopica Erythrina Borassus abyssinica aethiopioca vitex doniana

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5.2 Social Environment

5.2.1 Demography and Settlement The Mzimba Turnoff via Mzuzu city to Kacheche Section of the M1 road runs through local councils of Mzimba, Nkhata Bay and Mzuzu City Council before entering Mzimba again. According to 2008 census results, the population growth in these local governments was significant as shown in table 9 the situation becomes important for the project when issues of density are taken into account. Specifically, population density is very high in Mzuzu (2791 per square km). In the two districts, the density is 70 in Mzimba and 53 in Nkhata Bay. This implies that issues of compensation have to be looked at as many households have developed close to the road while an existing pine plantation covers nearly half of the road length.

Table 9: Population Growth Trends by Council

Council Urban Rural District Growth Intercensal % Population population rate(1998-2008) increase 2008 2008 Both Male Female sexes Mzimba 20,994 727931 3.4 3.3 4.7 203,917 38.9 Nkhata Bay 11,269 215789 2.8 2.8 2.8 51,028 31.0 Mzuzu 133,968 133,968 4.4 4.1 4.7 46,988 54.0 Ekwendeni 9,398 ------Source: NSO, 2010, Population & Housing, 2008

5.2.2 Health, HIV and AIDS

The main referral health facilities along the MI Road are found at Mzimba, Mzuzu, Nkhata Bay, and Ekwendeni. However, there are also public health centres along the road near Chikangawa (Nkhata Bay), Mzuzu, and Enukweni.

The major health challenges are multiple diseases such as Malaria and HIV and AIDS. The Integrated Household Survey of 2011 reported that the percentage of fever and malaria cases in Nkhata Bay was at 39% while Mzuzu city at 33% and Mzimba was 28%. Other major illnesses include diarrhoea, respiratory infections headaches and HIV/AIDS. HIV and AIDS for example, has for a long time remained a challenge in these three local councils district and contribute to high morbidity and mortality. Prevalence of HIV is reported at 9.6% in Nkhata Bay, 6.3% in Mzimba (UNAIDS, 2014) and 10% in Mzuzu. Despite the availability of anti AIDS medication and awareness campaigns, the high prevalence rates implies increased mortality and increased number of orphans and child-headed households in need of various forms of support, a shortage of skilled staff, overcrowding in hospital wards (due to HIV/AIDS related illness) and overstretching of available HIV and AIDS related

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 41 of 100 services. The project to rehabilitate the Kacheche-Mzimba junction section of M1 road can contribute to the spread of the pandemic if remedial measures are not put in place.

5.2.3 Employment The major employment centres along the Kacheche –Mzimba Junction stretch of the M1 road at the urban centres of Mzimba, Raiply, Chikangawa, Mzuzu, Ekwendeni and Enukweni. The number of employed persons is not available at the level of urban settlement. There are 67,758 employed persons in urban centres in the north (NSO, 2014, p.57). Mzuzu being the third largest city in Malawi should therefore account for a larger share of the employed population.

5.2.4. Water and Sanitation Access to safe water is a serious challenge in the centres through which the road passes. As shown in the table below, a large population remains un-served with potable water. According to the National Water Policy, all households should be within 500 meters to a safe water point. Additionally, there must not be more than 500 meters between water points (especially boreholes). Boreholes and well s are a special case since water is abstracted from underground. There is no standard distance for taps, but the emphasis is 120 people per tap. Table 5.9 shows access to potable water in the major centres through which the road passes.

The issue of access to water should be considered together with access to safe sanitation. The 2008 census revealed the over 80%, of residents in these centres used traditional pit latrines. This situation significantly compromises the quality of water used for drinking in particular as some households rely on shallow wells and boreholes as sources of drinking water.

Table 10: Access to safe water in the project area

Centre IC ICY CWP UW PW BH SP R/S Mzimba 23 35 27 2 1 9 1 2 Mzuzu 16 44 22 8 2 7 0 1 Ekwendeni 10 74 11 1 1 2 0 1 Source: NSO, 2010

Table 11: Access to sanitation

Centre Flush VIP toilet Traditional No toilet Pit latrine toilet Mzimba 11 2 86 1 Mzuzu 16 2 80 1 Ekwendeni 10 2 86 2

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5.2.5. Education The region through this section of the M1 road passes, has a number of educations institutions. Some of these institutions are local while others are national in coverage. Specifically, among the national institutions are Mzuzu University, St John of God College, St John’s Nursing College, Ekwendeni College of Nursing, University of Livingstonia Ekwendeni Campus, and Mzuzu technical College. Apart from these institutions there are several government boarding and community day secondary as well as private secondary schools. At the lower level are many primary schools. Of interest here is the literacy situation which determines the level of awareness at the lowest level of the community. According to the integrated household survey (IHS3), literacy levels in the north generally and the districts, through which the road passes especially, are quite high as shown in the table below.

Table 12: Literacy Levels in the project area

District /City Literate Never went to school Mzuzu 93.1 3.8 Mzimba 72.8 16.3 Nkhata Bay 75.0 9.2 NSO, 2012, p.23

5.3 Economic Environment

The economy of region through the Mzimba Turn off via Mzuzu City to Kacheche section of the M1 road passes depends on a variety of economic activities. The most important are service, agriculture and forestry related industries. As a major city in Malawi, Mzuzu has nearby every branch of government and company. The forest based industry has in the recent past depended on the exploitation of Chikangawa pine plantation where a large industry, RAIPLY is the main industry. In Agriculture, the whole transport route is a major producer of tobacco and maize. Another important sector of the economy in the area is tourism. The Mzimba Turn off via Mzuzu City to Kacheche section of the M1 road passes through some of the most scenic areas of Malawi such as the Viphya Plateau and its elephant Rock. The road is also the main gate way to the Nyika National Park and Vwaza Game Reserve and it connects with the M5 now under construction. The M5 leads to the lake shore resorts and tourists facilities at Nkhata Bay and Chintheche where old Bandawe Mission is a well known tourist facility.

5.4 Infrastructure and Utilities

5.4.1 Roads The Mzimba Turn off via Mzuzu City to Kacheche section of the M1 road is the most important road in the whole of northern region as it connects four of the mainland districts of Mzimba, Nkhata Bay, Rumphi and Karonga. Mzuzu City had about 48km of tarred internal roads in 2013 as shown in the table below.

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Table 13: Schedule of Bitumen Roads in Mzuzu

No Road Description Classification Number Length 1 Katoto Filling Station – Dunduzu M001 10.3Km 2 Lusangazi – Kavuzi M005 17.5 KM 3 High Court – Mary Mount UD 3.2 KM 4 Lunyangwa - Zolozolo UD 2 KM 5 Clock Tower – Timber Yard UD 1 KM 6 Mobile Filling Station to PEP Shop UD 0.4 KM 7 Malawi Rural Finance Office – MSC UD 0.4 KM 8 ST John of God – Chibavi UD 2.2 KM 9 Stansfield Motors to Kentam UD 0.1 KM 10 Brick Yard – Bata Shop UD 0.5 KM 11 Petroda Filling Station to Farmers World UD 0.7KM 12 High Court – Mzuzu Hotel UD 0.4KM 13 Post Office – Clock Tower Via PVHO UD 1.0 KM 14 MTL Main Offices – Bus Deport UD 0.3 KM 15 Air Port Road UD 0.4KM 16 Mzuzu Central Hospital Road UD 0.9KM 17 CCAP – LMD Shop UD 0.3 KM 18 State House Road UD 0.8KM 19 Katoto Estate Roads UD 5.7KM

Total 48.1KM Source: Mzuzu City Social Economic Profile, 2013

5.4.2 Power/Energy Power is supplied by ESCOM. However, even though nationally, 21.2% of Malawians have electricity within 100 metres of their household, nationally less than 10% of them have access to electricity. The majority of households use bio-energy for both cooking and lighting. The implications of such wide spread usage of wood energy on the environment, in particular deforestation and climate cannot be underestimated. The main challenges of access to electricity for both cooking and lighting remains the limited capacity of ESCOM to generate power and also the cost charged to consumers. The element of cost is apparent in the disparity between cooking and lighting which implies that even the few households that have access to electricity use it sparingly only for lighting.

5.5 Infrastructure and Utilities

5.5.1 Roads

5.5.2 Power/Energy Power I the project area mainly supplied by ESCOM. Nationally, 21.2 percent of Malawians have electricity within 100 metres of their household, slightly higher than the district average of 20.3 percent (IHS3, 2012). 3.1 percent of residents have electricity in their household, up from 0.4 percent in 2005. The proportion of the population with access to electricity needs to improve substantially in an effort to reach Sustainable Development Goals.

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The electric power supply in the project area is managed by ESCOM from Mkula, Tedzani, and Wovwe Mini Hydro Power Generation Plant. Total installed capacity from Wovwe Generating Station is 4.5mw but available power is 3.5mw, 0.5mw is for spinning machine. A 132000 Volts are transmitted on transmission line from Nkula to Chintheche main Substation in Nkhata Bay District. From there a 66000 Volts is transmitted to Telegraph Hill Substation via Bwengu and Livingstonia Substation to Uliwa Substation, where it gets Synchronized with Wovwe power supply. Currently with support from the Millennium Challenge Account power supply to Mzimba district and Mzuzu City is being improved.

5.5.2.1 Supply and Demand of Electrical Power As of 2012, ESCOM provides electricity to approximately 3% of households in the project area. This means the majority of the people have no access to electricity and hence their sources of energy are limited to firewood and/or charcoal.

5.5.2.2 Other Sources of Energy In addition to electricity, other sources of energy are used in the project area households such as wood, charcoal, gas, and paraffin. Details are not available by district, but in Malawi, wood is the fuel most commonly used for cooking, reported by 85 percent of households. Use of wood is more common in rural areas (94 percent) than in urban areas (37 percent). Twelve percent of all households interviewed use charcoal for cooking, including 53 percent in urban areas and 4 percent in rural areas. Among all households interviewed, 98 percent use solid fuel for cooking. Almost all households in rural areas and 90 percent in urban areas use solid fuel and about 98% of households using solid fuel for cooking reported usage of an open fire or stove without a chimney.

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CHAPTER 6. ENVIRONMENTAL PLANNING AND DESIGN

6.1 Introduction

This section discusses the major environmental and social design and planning elements. This section guides the contractor in avoiding or minimizing certain negative impacts, capturing potential benefits, compensating for residual impacts, and general impact management. It is expected that in the designing and implementation of this project a balance against potential damage to sensitive environment and social needs will be achieved.

6.2 Determination of the size of Road Reserves:

This is a road rehabilitation project and the road reserve shall remain unchanged however it will involve moving some infrastructure that have been constructed within the road reserve. Ensure that the road reserve is adequate for any future expansion activities of the road. The road reserve will also facilitate number of things including passage of power lines and water reticulation, enhancing visibility for drivers and promoting scenic roadside views. The crops, trees, structures and properties within the road reserve that will be affected by the rehabilitation shall be inventoried. This activity, including the mandatory consultation with and compensation of their owners, shall be guided by the Resettlement Action Plan (RAP).

6.3 Construction and General Operations

Health and safety procedures will be seriously considered. The contractor will ensure that standard precautions for safety procedures are taken into consideration to prevent accidents, and spillages of oils other toxic substances. The contractors will prepare contingency plans for containing and treating accidental spillages which are going to be adhered to and monitored. Stockpiles and excavations are expected to be sprinkled with water in order to reduce dust generation especially on windy days. Sediment and other pollutant traps will be located at drainage exists from the workings.

6.4 Reinstatement to original landform

It is expected that once extractions from borrow pit areas are completed, the borrow pits are going to be backfilled to return the ground surface to its original landform and if not possible should be drained. The contractor will ensure that backfills are free of foreign materials that could degrade and pollute groundwater and affect the soil texture and structure. In line with the waste disposal guidelines this will require that toxic materials are removed and disposed of safely. The contractor will ensure that the backfills are adequately compacted to prevent erosion of surface materials and to avoid settlement and creation of depressions in which water could collect and become breeding ponds for malaria causing mosquitoes.

It is also important to replant the areas with trees and grass to prevent erosion and create a vegetation cover comprising indigenous grasses, shrubs and trees. The contractors will need to work with closely with the Regional Forestry Office-North, Mzimba District Forestry Office, Mzuzu ADD and , Mzimba District Agriculture Development Office to advise on the types of seedlings to be propagated and planted. The project area has experienced forestry, community development and agriculture extensions officers and other extension officer who will need to be engaged to advise on the process. Use of local

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 46 of 100 community participation in the exercises need to be promoted since they have traditional knowledge of what suitably grow in the area.

6.5 Gravel Pits, Quarry Sites and Sand Pits

There is need to take extra care in sourcing raw materials such as gravel, quarry stones and sand for the construction of the road. It is expected that a total area of at least 8 hectares will be affected for sourcing of quarry and all the hard rock. The project is also expected to require up 8 borrow areas of 2 hectares each. All borrow pits need to be fully rehabilitated soon after the completion of any the road segment in order to minimise environmental and social impacts. The contractor will need to ensure that sand mining is controlled and all mining sites be fully rehabilitated before decommissioning the project. The contractor shall comply with all the permit requirements from government authorities for the quarries and borrow pits.

6.6 Roadside Drainage Structures

The contractors should ensure that the drainage structures are constructed and positioned to allow for adequate drainage since some parts of the project area are water logged. In order to minimise water logging and flooding the contractor will need to construct appropriate drainage systems to avoid water retention on the road surfaces and sides. Where necessary check dams will need to be constructed more especially in steep slope side drains sections to reduce velocity of runoff water and minimize soil erosion. The contractor should provide for road crossing structures for pedestrian and cyclists as well as livestock through provision of crossing points.

6.7 Water Abstraction

The contractors will need to give due consideration to the abstraction of water for construction purposes to ensure not to affect the water needs of the people and livestock in the area. Since the project area has rivers such as Mzimba, Kasito, Luwinga and others, water abstraction rights needs to be sought from the Water Resources Board (WRB) in collaboration with the Northern Region Water Board.

6.8 Planning of Camps and Waste Disposal Sites

Prior discussion with the Nkhata Bay and Mzimba District Council, Mzuzu City Council and the Traditional Leaders in the areas is required before placement of the labour camps and waste disposal sites which will require about 4.0ha and 0.5ha respectively. The general principle is to allocate the labour camps on land of low community value not very close to existing settlements to minimize conflict and avoid transfer of impacts caused by camps to these settlement areas. Labour camps for the project are expected to be sited towards the centre of the road project and the contractor need to ensure that pulling down or rehabilitation during and at the end of the project is easy. There will be need to site the labour camp near a reliable water supply but where it will not interfere with the local community water supplies.

Retention bunds should be constructed around fuel and oil storage areas and all drainages and effluent should be treated before being discharged into the drainage system. The contractor will need to discuss with the Councils and local leaders to identify appropriate sites for dumping of waste and follow

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 47 of 100 national waste management guidelines in waste disposal. It is estimated that the contractor will need 1.0ha of land for waste disposal. It is advisable to engage the traditional leaders and Mzimba and Nkhata Bay District Council and Mzuzu City Councils before deciding the actual location of the waste dumping site.

6.9 Safety and public health

It is expected that the contractor will follow occupation, safety and health precautions standards during the construction of the road. The list below though not exhaustive provides some of the areas that need to be considered. The contractor needs to ensure that  Adequate road signs to warn pedestrians and drivers of construction operations and diversions are constructed  Provide for speed limit for construction vehicles  Hoarding around deep excavation and noise emitting plant operations  Fencing around plant and fuel storage facilities, periphery of construction sites and plant operating sites  Follow standards and procedures for storing and handling of toxic materials  Contain any spillage materials to avoid pollution of the ground and surface water:

6.10 Labour Force for the project

In order to minimize conflicts with local residents and communities, the contractor will need to recruit local people in particular from the project area. This will be an opportunity as source of employment and livelihood for the local people in the project area. Promote intensive use of labour for such pieces of work like grubbing, drawing of water, hand knapping of masonry stone and construction of masonry structures, filing of gabion boxes, painting road surface markings and vegetation planting schemes on earthworks and others. Promote and employ women to work in the project as one way of strengthening their position in the society.

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CHAPTER 7.0 POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS

7.1 Introduction

The rehabilitation of the Mzimba Turnoff via Mzuzu to Kacheche section of M1 Road is expected to have both positive and negative impacts at the designing, construction and decommissioning stage of the project. These impacts are going to be more during the construction and decommission of the road project than during the designing phase. This section of the report presents the identified potential impacts of the project and their social, economic and environmental impacts at each stage of the project.

7.1.1 Impact Identification, Prediction and Analysis Methods The rehabilitation of the road is expected to cause environmental stresses of various magnitudes, importance, probability and duration which could be exerted at different phases of the project. This ESIA has predicted and analysed the impacts to determine the extent of change likely to be brought about by the project using a number of characteristics including the following:

Magnitude / extent: the measure in general degree, extensiveness or scale of impact. Nature of Impacts: Whether positive, negative, direct or indirect, cumulative, etc. Duration: the period of time over which an impact may occur and remain on site, from once-off to total life. Likelihood: probability or certainty of an impact occurring before mitigation is applied. Timing: The stage at which the impact occurs, whether during construction, operation or decommissioning or whether immediate or delayed. Significance: a measure of the importance of a particular action on the environmental factor in relation to its characteristics and based on specific standards, criterion or accepted policy. This helps the decision maker to focus on specific impacts likely to bring about adverse change to the environment and people and provide practical solutions. Irreversibility: An indication of whether an impact can be reduced reversed or stopped.

7.1.2 Impact Evaluation and Interpretation Criteria After identifying the positive and negative environmental impacts of the proposed project an analysis to determine the extent and significance of impacts was carried out in line with the phases of the road which include designing, construction, decommissioning and operation phase. The aspects considered in the analysis included magnitude; significance; probability of occurrence; and duration of impacts.

Magnitude: a measure of the general degree, extensiveness, or scale of impact, was scored at three levels i.e. household level, local level and regional level. Significance: a measure of the importance of a particular action on the environmental factor in the specific instance under consideration was scored using values ranging from +3 to -3. A score of 1 represents low/ minimal impact, 2 moderate impact and 3 representing a high impact. Negative impacts were assigned a minus sign and positive impacts are given a plus sign.

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Probability of occurrence: provides an estimate of the probability of an impact occurring before mitigation is applied. The impacts were rated according to the following scale: Possible - impact may occur but it is not likely; Probable - the impact is very likely to occur; and Definite - impact is unavoidable

Duration: refers to the period of time over which an impact may occur, from once-off to continuous for the life of the project. Duration of impacts was considered in terms of the following criteria:  Short Term (less than 5 years);  Medium Term (between 5 and 10 years); and  Long term (over 10 years)

7.2 Identified Positive environmental and social impacts

7.2.1 Increased trading activities The rehabilitation of the road shall have a significant positive economic impact of the area Mzuzu city and the district councils as well as the country in general since accessibility and motorization of traffic will be improved. The improved accessibility of the road will enhance business activities at the border, along the road, in all the trading centres. Flow of business activities between Malawi and Tanzania is going to improve due to increased traffic which will boost the countries revenue collection through increased taxes. Road side vending is going to increase and more people are going to construct various business houses such as eco-tourist lodges, bars and other agro processing activities. The increased flow of traffic will promote the growth and development of agro-based industries in the district. Increased business activities will lead to improved employment opportunities along the road and the district. Increased business activities along the road and in the various trading centres along the road will provide better trading and employment opportunities for local people in the area. The increased flow of traffic between Tanzania and Malawi will result into the growth of the Mzuzu City, Nkhata Bay and Mzimba Boma and all the trading centres along the road which will lead to the emergency of small, medium and large scale enterprises.

Enhancement Measures: In anticipation it is important for the Mzuzu City Mzimba and Nkhata Bay District Councils to consider re-planning or zoning to allow for increased and improvement of social and economic amenities in the project area. This will not only discourage illegal developments along the trading centres and but also promote further economic activities in the project and all the trading centres along the project area. The ministries responsible for industry, trade, tourism, health, agriculture and others need to reposition themselves to prepare for the increased economic activities of the area.

The increased economic activities will bring with it other social and economic challenges such as prostitution, theft, road accidents, diseases such as HIV and AIDS and others. It is therefore very important for the City and District Councils to strategically position itself in order to prepare for these expected challenges and impacts which may arise due to the rehabilitation of the road.

7.2.2 Increased job opportunities The road construction project is expected to recruit more mostly from the areas around the project area. This will further boost the economic activities of the area since many people are going to have a sustained source income for the up liftment of their households. The people employed for this project

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 50 of 100 will require goods and services from within the area creating a cycle of economic activities and growth. Increased job opportunities means increased buying power by the local people leading to more revenue in terms of taxes for the government.

Enhancement measures: It is imperative therefore that the Mzuzu City, Mzimba and Nkhata Bay District Councils develop robust physical development plans to sustain the job opportunities that will be created by the implementation of the project.

7.2.2 Increased Accessibility The rehabilitation of the road will bring about improved linkage to markets, hospitals and other social amenities by surrounding local communities and people from other areas.

Enhancement measure: Government will need to constantly maintain the Road each time it develops faults.

7.3 Identified negative environmental and social impacts during construction

7.3.1 Loss of agricultural lands more especially along the road reserve boundary It is expected that during the rehabilitation of this road people will be affected because they are going to lose farming and grazing areas which they have been using. In addition it is estimated that about 8.0 ha of land will be required for the establishment of the campsite. People revealed that they know that they are growing crops in the road reserve but they grow crops and graze their livestock because they are usually fertile and moist during dry seasons. It is expected that these people or families are going to lose these gardens where they are now growing crops like maize, fruit fruits and others. However, they are aware that their activities are taking place within the road reserve and any time a project comes they will be affected.

Mitigation measures: Construction of the road should be done during the dry season when many people have harvested their crops to minimize the loss to their crops and grazing land. The RA need to conduct awareness meetings to inform the people along the road as to when the road construction works are going to start so that those who are cultivating and graze animals along the road reserve should stop.

7.3.2 Destruction of forest and trees species It is expected that the construction of the road will significantly affect a number of tree species due clearing for road construction and influx of people into the area as a result of the improved road access. Table 6 has identified a number of tree species that are going to be significantly affected due the rehabilitated of the road. The improvement of the road is also going to affect various fruit tree species that people have planted within the road reserve and are deriving livelihoods out of them. However people are already aware and recognise the importance of rehabilitating the road. They also recognise the economic benefits that will emanate from the rehabilitation of the road. What they are expecting is to be made aware of when some construction works will start so that they can be prepared to ensure that they transplant some of the fruit and banana tree since they are within the road boundary. Such fruit trees include mangoes, various types of citrus, bananas and others.

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The improved access to the road will also put pressure on Chikangawa Forest Plantation and various other forestry reserves along the road project. The anticipated increased influx of people into the area as a result of the improvement of the road would mean more firewood, charcoal and building materials from these forest reserves and illegal cutting of trees and forest fires.

Mitigation measures: Before commencement of the project, the Regional Forest Office, Plantation Office and District Forestry Office should ensure that community awareness activities are organized on the need to conserve and manage the forests and trees in the two forest reserves as well as increase its law enforcement and patrolling activities in the forestry reserves to ensure that the people do not encroach and start cutting down trees wantonly and encroaching into the forest plantation. The Regional Forestry Office and DFO should work closely with the people in the areas more especially the traditional healers to identify the medicinal tree species that are endangered so that they can be replanted. There will be need to plant avenue tree along the road at 20 meter from the road centre line where necessary. It will also be important for the contractor not to cut down trees unnecessarily and set forest fires during the construction of the road to ensure that the tree species are preserved.

7.3.3 Loss of human settlement, infrastructure and other liabilities The road project will serious affect infrastructure such as shops, dwelling houses and others more especially along the trading centres from Mzuzu city to Kacheche. There are such liabilities such as electricity poles, telephones lines, water pipes and others that will need to be removed and replaced.

Mitigation measures: Properties and infrastructure that is going to be affected during the construction of the project have been identified and valued; the affected owners are going to be compensated in line with the the project’s Resettlement Action Plan . The organizations such as Electricity Supply Commission of Malawi (ESCOM), Northern Region Water Board need to be informed and involved to ensure that they shift their poles and pipes before the road construction starts. It is important that the RA should work closely with the Mzuzu City, Mzimba and Nkhata Bay District Councils to ensure that the people affected are properly identified and compensated before the construction of the road starts to reduce and avoid conflicts. The affected people should also be made aware of the start date of the project to enable them move some of their valuable properties before they are demolished. The process of identification, valuation and compensation of owners of the affected properties, crops, structures and community infrastructure will be guided by the project’s Resettlement Action Plan (RAP).

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7.3.4 Improper Waste Disposal Different types of wastes are expected to be produced at various stages of the road project and types of activities as summarized in the table below.

Table 14: Summary of types of waste and their characteristics

Project Activity Anticipated types of General characteristics of waste waste Detailed engineering None None designing of the road Construction and  Domestics solid  Food remains, packaging materials such as operation of the waste from plastic papers, glass, cans, wood, rags, metals campsites campsites glass etc.  Building materials, debris  Trees and debris from clearing the camp sites  Effluent from  Washrooms containing soaps and detergents, wash bays,  Septic tank liquid waste and antiseptics, bathrooms etc.  Oils from vehicles and other machinery,  Oils and paints paints.  Gases and smoke  Fumes from construction vehicles  Dust from moving vehicles during clearing of campsites Clearing of vegetation  General solid  Tree branches and trunks, leaves, grass, top along the road waste and oil soil, sand rocks and pebbles spills  Smoke and gases from moving vehicles  Gases and smoke  Smoke from burning debris, cooking from moving  Tree branches, trunks, leaves, grass, soils, vehicles rocks, sand, pebbles  Stock piles of materials Cut and fill to remove  Gases, dust and  Carbon dioxide, monoxides, sulphur, nitrogen top layer and fumes from compounds, particulate matter, etc. from construction or road blasting and operation of machinery and vehicles. related infrastructure mining of quarry  Waste water  Excavation of  Top soil mixed with organic debris and gravel sub-layers materials and fill materials  Excavated materials that are not suitable for embankment backfill Excavation of gravel  Gases, waste  Operation of machinery and vehicles (Carbon sub-layers and other fill water dioxide, monoxides and other gases, materials particulate matter, runoff Blasting and mining of  Gases, dust,  Sulphur, nitrogen, and other gases, smoke, quarry and gravel fumes, oil fumes, oil spillage, pebbles, Carbon dioxide, spillage monoxides, etc. Construction of  Negligible  None temporary reservoirs

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Project Activity Anticipated types of General characteristics of waste waste Application or drainage  Runoff, oil  Runoff can contain high levels oils, , smoke of excess water from spillage etc. the road Transportation of soil,  Gases, oils, dust  Carbon dioxide, smokes, air contamination quarry and other materials Construction of road  Solid waste,  Stone aggregates, oil leakages into streams related infrastructures gases, oils and rivers, CO2, carbon monoxides, silt, stones, particulate matter, cement metal, timber, etc. Application and  Gases, oils,  Carbon dioxide, monoxides, nitrates, cement, compaction of base runoff, soil dust layer and sub base particulate matter Construction of road  Oil spillage, run  Carbon dioxides, monoxides, cement, tax, shoulders and drainage off, gases concrete blocks pieces, bricks etc. systems Landscaping and  Gases,  Carbon dioxides, monoxides, smoke, soil dust rehabilitation of particulate etc. degraded sites matters, oil spills including borrow pits and detours Decommissioning and  Demolition  Debris (sand, bricks, timber, metal, plastics, operation wastes, general oils, lime, obsolete or damaged materials, solid waste, explosives, runoff), demolished concrete and waste water asphalt slabs.

7.3.4.1 Impacts of waste on soils Wastes from the rehabilitation of the road will have impacts on the soils upon which many people along the project area depend for their livelihoods. People grow their crops along the road and therefore the wastes will have serious impacts on the fertility of the soils along the road. Some of wastes will be non-biodegradable which if not disposed of properly will render the areas along the road useless for farming and grazing activities. Some of the activities that may affect the soils along the road project include:

Clearing and excavation- this removes the top soil and vegetation making it prone to soil erosion both during dry and wet seasons. The runoff from the road can cause siltation of streams and rivers affecting fish breeding ground considering that the streams and river along the road provide a very good ground for fish breeding. Clearing and excavation may cause accelerated or uncontrolled sedimentation in the water courses and road side drains as well as affect the growth of the various tree species which have medicinal values.

Storage and disposal of waste materials (asphalt, oils, fuel, oils, sand, cement act). Very often if these materials are spilled on the soil contamination is strong and recovery is difficult. Careless storage and dumping of these types of waste may lead to permanent damage of the soil structure along the road project which in turn will affect the agriculture and livestock activities of the people of the area.

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Creation of borrow pits and quarries- excavations of borrow pits loosen up the soil and exposes it is to erosive agents such as rain and wind. The borrow pits if not maintain will affect the scenic value of the area, cause accidents as well as become breeding grounds for mosquito carrying malaria.

Movement of vehicles and other heavy construction machinery has a serious effect on soil structure and texture. Movement of heavy machinery can cause compaction of soil outside the road alignment.

Mitigation measures: In order to reduce and minimize the impacts of waste on the soil, the drainage systems collecting water from the road should discharge to natural lines in order not to cause erosion. Unwanted wasted should be carefully disposed of in designated place only. The contractors should ensure construction of erosion and sedimentation control mechanism such as diversion banks and filtration structures. Where necessary, rehabilitation and planting of avenue trees and grass on all slopes and unstable areas is a must. The borrow pits, quarry sites sand pits and others should be fully rehabilitated at the end of the project in order to mitigate the negative impacts of the same.

7.3.4.2 Impacts of waste on water quality Rehabilitation of the road can lead to the contamination of the streams and rivers. Contamination of these streams and rivers can have a serious environmental effect on the fauna and flora along the streams and rivers. These streams are high productive areas for the people in the areas since it is where they grow their crops such as rice, bananas, maize, cassava, fruits and graze their animals. These rivers are also fishing grounds as well as breeding ground for fish. As identified in table 19, different activities of the road contraction will generate different types of wastes that if not careful handled can end up contaminating the rivers and streams. Effluent and run off from the camp sites and storage areas can contain high levels of pollutants including human wastes, asphalt compounds, inorganic and organic pollutants, fuels, oils, lime, cement and other elements. If not properly handled, these elements and particles will affect the water quality in the rivers due to siltation which affect the aquatic life or in some cases cause flooding due to waste overload.

The road project crosses a number of rivers and streams and provides the main point where contamination and pollution will take place. It is also highly likely that the water used for the rehabilitation of this project will be abstracted from these rivers. It is therefore recommended that the Constructor seek guidance and authority from the Water Resources Board so that they can obtain a Water Right certificate before any construction start in the project.

Mitigation Measures: Negative impacts on the rivers and streams can be mitigated by storing materials outside drainage lines so as to minimize sedimentation, ensuring that construction activities take place during dry season when precipitation is at the lowest levels. It will also be necessary to maintain the original geometry and geomorphology of the river cross points and plant vegetation in order not to disturb them. There is need for the contractors to discuss and agree with the Mzimba, Nkhata Bay District and Mzuzu City Councils to designate some areas where waste can be dumped. It is important therefore to ensure that waste is dumped in those designated places in order to reduce negative impacts.

7.3.4.3 Impacts of waste on air quality The road rehabilitation project will have serious impact on the air quality and some of the pollutants of the air have been identified in table 18. Some compounds such as asphalt are associated with certain gastro-intestinal disorders in people according to health officers. In all road construction projects

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT REPORT For the Proposed Improvement of Mzimba Turn Off-Mzuzu-Kacheche section of the M1 Road Page 55 of 100 transportation of materials and equipment generates a lot of dust and various other emissions which stimulate respiratory reactions in people and livestock. Blasting at the quarry can also cause a lot of noise and dusts and flying stones which may be hazardous to people in the area. Though the dust from quarrying and vehicular transport may be short term to people in the areas, their impacts can be serious when they cause respiratory diseases. There are a number of gases as identified in table 18 that may be produced during the construction of the road and cause discomfort amongst people. Apart from the gasses, various offensive odours that are going to be produced from the industrial actions such as burning of waste, blasting and others.

Mitigation measures: The impacts will be on both the workers, villagers close to the project sites and environment. It is necessary during the construction phase of the project for the contractor to provide masks to its workers more especially those working near heavy machinery. Ensure that regulation provided under the Environmental Management Act and other regulations are followed during the implementation of the project. Ensure that trucks transporting materials such as sand, asphalt and others are fully covered in order to minimize dust. The work areas such as detours should always be watered and construction works generating a lot of noise should never be carried out between 18.00 h ours and 06.00 hours. Ensure that vehicles and machinery are routinely maintained to reduce noise.

It is expected that after the completion of the road rehabilitation traffic is going to increase along the road. Being the major trading route, it is expected the government will put measures and enforce regulations to ensure that road worth vehicle are being driven along the road. Planting of avenue trees along the road will also act sinks for the gases that are going to be produced by moving traffic.

7.3.4.4 Waste management plan The Mzimba, Nkhata Bay District and Mzuzu City Councils needs to designate waste dumping sites for the project to ensure that waste generated from the project are properly disposed of. Considering that the district and the city are growing it is necessary for the two councils to develop a waste management strategy and plan. In the absence of a robust district and city level waste management strategy or plan, the Nkhata Bay, Mzimba and Mzuzu City Councils should be guided by the national waste management guidelines that have to be followed when disposing of various types of waste from the road project.

It will also be important for the contractors to follow and government to enforce the SADC rules on traffics emissions and adopt more stringent air quality standards used at regional level in order to minimize the impacts of pollution from the moving trucks.

In general waste management requires concerted efforts by the contractor, city council, district council, RA and local communities to ensure that that waste generated from this project are properly management and disposed off in designated areas that will be agreed between the contractor and the Council. It is a fact that waste management will be handled by the contractors under the guidance of the Roads Authority and the various stakeholders mentioned. It will be necessary for the RA to strengthen its monitoring role or engage other institutions such as NGO to monitor compliance to waste management standards the contract during the project period.

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7.3.5 Loss of cultural sites such as graveyards There are several graveyards that were identified along the road project which are likely to be significantly affected by the rehabilitation of the road. The construction of the road may necessitate exhuming remains of people and reburied to nearby grave yards or re-alignment of the road.

Mitigation measures: There is need for the Mzimba District Council to engage the traditional leaders in the project area to discuss the relocation of the graveyards before the construction of the road. Consent of the relatives and traditional leaders will need to be obtained before relocating the graveyards. The process of relocating graves should be guided by the project’s Resettlement Action Plan. Relocation of graves should be done according to the customs and traditions of the community.

7.3.6 Spread of communicable diseases and conflicts The rehabilitation of the road will result in an increased migration of people from other areas to the project in search for employment and the contractors are going to recruit people both from within and outside the project. The disparities of income levels between the local people and the workers may be a cause for wife or husband grabbing which may lead to increased levels of HIV and AIDS in the project area. The wife or husband grabbing may lead also to fights between the workers and the villagers.

Mitigation measures: There is need to increase HIV and AIDS awareness and behaviour change interventions in the project area both during and after in order to minimize the spread of HIV and other communicable diseases in the district. The district and city councils need to engage the local leaders in the area to raise aware about the project in order to prepare the local people about the impacts of influx of migrant workers and consequences of HIV and AIDS. The Health Centres along the project area, Mzuzu Central Hospital, Mzimba Hospital need also to be prepared for the increased pressure due to the increase in population as result of the road project. Annex 7 provides the Labour Influx Management Plan that will also assist in mitigating the spread of communicable diseases. In addition, labours will be required to adhere to Code Ethical of Conduct (Annex 5)

7.3.7 Sexual harassment especially school going girls

The rehabilitation of the road will result in an increased migration of people from other areas to the project in search for employment and the contractors are going to recruit people both from within and outside the project. These workers are mostly without families and hence engage in extramarital affairs especially with school going girls who easily get enticed. This will lead to unwanted pregnancies and increased school drooping.

Mitigation measures: The Contractor will develop a ‘Code of Conduct’ and include it a part of the ESMP(Annex 5). On the basis of this code, the Contractor will enter into agreement with each worker committing to uphold the provisions of the code. Breach of the code will lead to disciplinary action which will include dismissal. The code shall be part of the contract

7.3.8 Child Labour

There has been a tendency for some Contractors to recruit under-aged for cheap labour. This makes these people to dessert school and get exposed to pressures which they can not cope with mentally and physically

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Mitigation measures: There shall be a contractual agreement that will desists the Contractor from engaging child labour (Annex 8).Contravention of that agreement will lead to Contract termination.

7.3.9 Community and Occupational health and safety risks Construction projects always have a direct occupational health and safety risks to the employees and people around the project areas. Dangerous operation take place during road construct including blasting of rocks, handling of hazardous waste and other inflammable materials. If not well manage these can cause serious injuries to people who may result as a result of human errors or accidents. During road construction people are exposed to various types of risks including flying stones, moving vehicles, oil leakages, fumes, dusts, toxic emissions and other chemical substances, noises, strong smells which can lead to accidents and deaths in the project area. Wrong combination of chemicals, selection of equipment, poor planning and coordination of activities can lead to serious accidents in the project area. The exposure of communities and workers to dusts, noises and other particles may lead to injury, diseases which may cause death.

Mitigation measures: There is need for the RA and the contractors to provide and install adequate road signages to direct traffic during construction, and warning signs in visible places for the people to see as well as barrier fences around deep excavations and ravines. There is need for the contractors to also provide adequate sanitation systems in the workers camps so as to reduce or control the spread of diseases.

The contractor needs to provide protective materials to all its employees and impose their use. The contractors need to provide such materials as protective masks, reflective ware, dust protection masks, leather boots, and hard hats for workers in places quarries and other dangerous places. Close supervision of the workers to ensure that they are putting on protective clothing is necessary and ensure that workers are standing away from dangerous places during such as activities as blasting. Need for the development of comprehensive work place safety regulations by the contractors cannot be overemphasized.

7.4 Impacts during decommissioning of the road project During decommissioning of the project there are a number of negative impacts which include increased levels of waste due to demolition of campsites, loss of aesthetic value of a number of places due to barrow pits and quarrying, loss of jobs by many people, loss of business by traders amongst many others. There is also going to be increased influx of business people to settle along the rehabilitated road which may lead to loss of trees and forests. The increased business activities along the new road and growth of the trading centres, Mzuzu city and Mzimba and Nkhata Bay districts and other trading towns may lead to opening up of the forest reserves and increased levels of encroachment into the plantation for building materials, firewood and charcoal. Flow of traffic along the road may lead to increased incidences of communicable diseases such as HIV and AIDS and others.

Mitigation measures: During decommissioning, the contractors is expected to follow proper waste disposal management systems to ensure that all the debris, left over materials, oils, cement, building materials are properly disposed of at agreed waste disposal sites. All the stockpiles of remaining materials such as soil, stones, and others are removed and borrow pits are rehabilitated. The contractor

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7.5 Identified impacts when the road is in operation The opening of the road will bring a lot of economic and social impacts including improved flow of traffic, growth of the Mzuzu City, Nkhata Bay, Mzimba and other trading centres, increased business opportunities and improved revenue generation by the Malawi revenue Authority. However there are anticipated negative impacts that have been identified and discussed (Table 18) below.

7.5.1 Loss of employment opportunities The road construction is going to provide employment opportunities to many people in the city and district and outside the district and therefore its closure will mean many of them will lose such opportunities. The loss opportunities by many people may lead to increased cases of theft, vending which may lead to encroaching into the road reserve and forest reserve and plantation.

Mitigation measures: The City Council and District council and civil society organizations should intensify their efforts to encourage people to invest and open businesses. The CSO should encourage people to open village banks such as Village saving loans scheme (VSL) which will enable them invest and generate financial resources to continue to do business. The district council should also encourage other financial institutions to invest in the project area so that many people have access to financial services and credits.

The Road Authority should intensify awareness campaigns to encourage people take care of the road and the road infrastructure at the same time refrain from enforcing into the road reserves.

7.5.2 Increases road accidents The RA has been design for 100km/hr. and 50km/hr. (trading centres) speed limits. If these are not enforced there is bound to be increased levels of accidents along the road more especially along the trading centres and from livestock crossing the road since the area has considerable amount of livestock.

Mitigation measures: Planting of avenue trees and grass along the road will help reduce livestock from crossing the road thereby reducing accidents caused by crossing livestock.

In addition the Road Traffic Department should ensure to enforce the designed speed limits and punish the offenders. The Road Safety Council need to intensify their civic education and awareness campaigns in order to reduce traffic accidents along the road. There may be a need to install guard rails along high embankments or deep ravines and appropriate road signs at school zone, wildlife crossing and sharp curves. Road signs, and guardrails should be part of the deliverables and program of work of the contractors.

7.5.3 High incidences of HIV and AIDS and other communicable diseases It is expected that once the road is rehabilitated, there is going to be increased flow of people and traffic into and through the road rendering the people in the area vulnerable to communicable diseases such

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Mitigation measure: The government through the Ministry of Health with support from the NGOs and faith organizations should intensify civic education and awareness activities in the area to inform people about the communicable diseases and how they can be avoided or controlled. The increased flow of people into the district may also require that the Ministry of Health place additional members of staff in the health centres in order to handle the increased workload. Awareness seminars of the HIV/AIDs should be conducted among construction workers and the local communities.

7.5.4 Increased air pollution and Green House Gas Emissions The rehabilitation of the road will mean increased flow of vehicle carrying goods and services cross border into Tanzania and other countries. In addition, there is going to be increased farming activities which will result into increased production of greenhouse gases that may have an effect on the climate. Increased traffic is also expected to increase the levels of noise coming from the vehicles and people passing through the road.

Mitigation measures: Planting of avenue trees and grassing all the landscaped areas will minimise the impacts of air pollutions from the moving traffic. In addition the Roads Authority should enforce SADC standards on pollution from vehicles in order to minimize the impacts of the air pollution. The Malawi Government should ensure that vehicle coming and operating into the country are fully serviced.

7.6 Assessment of Environmental Impacts The table below presents the assessment of the identified impacts. The impacts that are deemed significant are consequently presented in the Environmental Management Plan (EMP) in which mitigation measures have been recommended.

Table 15: Potential environmental and social impact matrix for the proposed road project

Project activities Expected impacts Extent or Likelihood Duration Overall magnitude significance Designing phase None None None NA NA Construction phase Camps and Air, water, and Definite Definite Short and -2 storage sites water pollution; medium poor sanitary conditions; spread of Definite Definite Short and -2 communicable medium diseases such as HIH and AIDs Land clearing Loss of vegetation Definite Definite Short term to -1 and top soil medium

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Project activities Expected impacts Extent or Likelihood Duration Overall magnitude significance Cut and fill Siltation of streams Definite Definite Short to -1 operations and rivers medium Paving of Air pollution Definite Definite Short terms -1 shoulders and carriage way Construction of Siltation of rivers Definite Definite Short to -3 bridges and streams medium Extraction and Air pollution and Definite Definite Short terms -1 hauling of land degradation materials Drainage and Soil erosion and Definite Definite Short to -2 road siltation medium infrastructure Burrow pits Poor sanitary Definite Definite Long term +1 conditions; loss of aesthetic value Waste dump sites Water, soil, air, Definite Definite Long term +1 water pollution; land degradation; loss of aesthetic value Asphalt plants Water, soil and air Definite Definite Medium +2 and quarries pollution; noise Water reservoir Incidences of water Probable Probable Short term -1 construction borne diseases General impacts Stream flow Probable Probable Short term -3 disruption Pollution of ground Possible Possible Short terms -1 water Destruction of Possible Possible Short to +1 forests and tree medium species Destruction of Possible Possible Medium to +1 endangered species long term Increases of Probable Probable Short and +1 Communicable medium diseases Social cultural Possible Possible Short terms -2 conflicts Loss of agricultural Possible Possible Medium and +2 and grazing land long term Increased job Possible Possible Short terms -2 opportunities Occupation health Possible Possible Short to +1 and safety hazards medium Decommission Waste from Possible Possible Short terms +1 and operation demolished phases campsites

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Project activities Expected impacts Extent or Likelihood Duration Overall magnitude significance Stockpiles of sand, Possible Possible short terms -2 soil, stones, etc. Influx of settlers to Possible Possible Medium -3 do business terms High incidences of Possible Possible Medium +2 communicable diseases Increased road Possible Possible Long-term +1 accidents Loss of tree species Probable Probable Long-term +2 and forests Loss of employment Probable Probable Medium term -1 opportunities Loss of aesthetic Possible Possible Long term -2 value Poor sanitation due Possible Possible Long term +1 to borrow pits

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CHAPTER 8.0 ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN (ESMP)

8.1 Introduction

This section of the report presents the environmental management plan for the identified impacts of the projects. The environmental management plan summarizes the identified environmental issues and the mitigation measures and strategies against the impacts to ensure that the impacts are minimized, reduced or reversal. The ESMP has also outlined a monitoring plan and key responsibilities and stakeholders responsible for ensuring that the key recommendations and strategies are implemented as summarized in the table below.

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Table 16: Environmental and Social Management Plan (ESMP)

Phase of the road and Expected Proposed mitigation measures Responsible Recommended Cost estimates Impacts authorities for period for implementation implementation Preconstruction phase of the road Loss of 528 properties such as buildings  Identify and value the property RA, Mzuzu City Prior to K 1,104,167,580.00 and land and land affected Council, Mzimba, commencement of  Organise meetings with local Nkhata Bay District construction works leaders and property owners Council, traditional  Compensate the affected people leaders, Ministry of Notify people when to move and Lands monitor progress Construction/Rehabilitation phase of the road Loss of agricultural and grazing land  Organise awareness meetings Nkhata Bata, Mzimba Immediately K5,000,000.00 more especially along the road reserve with local leaders and people in District Council, RA, constructors move the project area to stop people TA DADO, DEO, into the project area from farming along the road Contractors reserve  Start construction works immediately after crops have been harvested

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Phase of the road and Expected Proposed mitigation measures Responsible Recommended Cost estimates Impacts authorities for period for implementation implementation Contamination of streams and rivers by  Identify a waste dumping sites Nkhata Bay, Mzimba Before construction K3,880,000.00 oils, bitumen spillages and other where waste from the project District and Mzuzu works and hazardous wastes could be dumped City Councils throughout the  Provide drip pans at dispensing Contractor project points During and after the  Provide adequate bund wall to project contain oil spillages  Dispose construction wastes in designated places  Promote good sanitation and hygiene in the camp sites Siltation of streams and rivers  Construct proper drainage Contractor, Regional During design and K5,000,000.00 structures to reduce erosion Forestry Officer, construction of the  Incorporate erosion control Plantation Manager, road and throughout measures District Forestry the project  Conduct regular water quality Officer, Northern monitoring Region Water Board, District Agriculture  Plant trees along the river banks Officer

Increased air pollution from emissions  Enforce SADC emission Road Traffic and Throughout the K3,500,000.00 from vehicles, machinery, waste disposal standards Road Safety council, project sites, campsites etc  Machine operators should be Contractor provided with personal protective equipment such mouth caps,  Regular maintenance of vehicles and machinery

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Phase of the road and Expected Proposed mitigation measures Responsible Recommended Cost estimates Impacts authorities for period for implementation implementation Increased levels of GHGs which may  Enforce regulations against RA, MBS, Contractor Throughout the K3,000,000.00 cause climate change procurement, sale and use of project fuels and oils not meeting the MBS specifications  Uncontrolled burning of waste should be prohibited Contamination of soils by oils, fuels and  Proper waste disposal in designated Contractor Throughout the K2,500,000.00 other hazardous substances areas project  Separation and treatment of hazardous waste before disposal  Oil and fuel collection systems to be fitted in all storage and refuelling areas including maintenance workshops

Loss of forests and trees along the  Do not remove trees Contractor, RA, DFO, During and after K5,000,000.00 project area unnecessarily along the project RFO, and Plantation construction works area Manager  Minimize clearing of trees and forests around the borrow pits  Carefully plan the road works not to affect the standing trees in the road alignment  Seek formal request of protected trees from the Director of Forestry before clearing such as Mbawa  Replant trees and grass

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Phase of the road and Expected Proposed mitigation measures Responsible Recommended Cost estimates Impacts authorities for period for implementation implementation Deforestation and encroachment into  Conduct civic education and Plantation Manager, During construction K10,000,000.00 Chikangawa Plantation and forest awareness activities DFO and reserves along the project area  Strengthen law enforcement to decommissioning of control bushfires, charcoal the project burning and wanton cutting of trees from the forest reserves Loss or disturbance of cultural sites such  Discuss with the affected Road Designer, RA, During the design K1,500,000.00 as graveyards relatives to relocate their graves Contractors, Nkhata and construction  Or re-align the road away from Bay, Mzimba District phase the grave yards Councils Increased safety and health risks for the  Provide protective clothing to Contractor During the entire K3,000,000.00 workers, people around the project, workers period of the project travellers  Put road signage on all the dangerous places  Proper rehabilitation of the road kerbs and auxiliary areas  Ensure that all operations are closely supervised Disturbance in traffic flow due to  Introduce one way route. Contractor Construction period K2,500,000.00 introduction of diversions  Provide adequate signage  Recruit and train traffic control personnel

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Phase of the road and Expected Proposed mitigation measures Responsible Recommended Cost estimates Impacts authorities for period for implementation implementation Increased HIV and AIDS and other  Conduct civic education and CBO, NGOs, MoH During construction K3,500,000.00 communicable diseases amongst workers awareness activities and entire period of and local people  Increase access to ART services the project by those affected by HIV and AIDS

Decommissioning and operation of the road Loss of employment by the employees of  Provide terminal pay to the Contractor Decommissioning of K4,000,000.00 the contractors workers on time CBO, NGO the project  Establish and promote village banks Increased accidents due to speeding of  Increase road signage on the Contractor During construction K12,000,000.00 vehicles road Road Traffic and operation of the  Enforce speed limit according to Directorate road the design of the road Road Safety Council  Increased road safety awareness and civic education  Construction speed humps at all the trading centres  Provide for Zebra crossing in busy places of the road Increased HIV and AIDS and other  Intensify civic education and CBO, NGOs, MoH During and after K10,000,000.00 communicable diseases amongst workers awareness activities on HIV and decommissioning of and local people AIDS the project  Increase access to ART services in the project area

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Phase of the road and Expected Proposed mitigation measures Responsible Recommended Cost estimates Impacts authorities for period for implementation implementation Increased air pollution and GHG  Enforce emission control Road Traffic, Entire period K15,000,000.00 emissions due to increased flow of traffic standards on vehicles MoAWD  Promote conservation farming Total estimated costs K1,193,547,580.00

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8.2 Objectives of the environmental and social monitoring plan

The main aims of the EMP are to:  Recommend relevant mitigation measures that will minimize the negative environmental and social impacts of the project  Identify appropriate institutional mechanisms and frameworks responsible for the implementation and monitoring of the mitigation measures  Recommend measures that enhance environmental sustainability and benefits  Put in a place a plan for monitoring and managing the impacts of caused by the road project  Specify the timeframes and resources required for the implementation of the plan

The estimated cost of the monitoring activity are shown in the table below:

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Table 17: Environmental and Social Monitoring Plan

Expected Impact Proposed mitigation measures Monitoring Principal Frequency Cost indicators monitoring estimates/Annually authority

Loss of property and land  Identify and value the property  No. of properties RA, Mzuzu Monthly K3,000,000.00 and land affected valued City Nkhata  Organise meeting with local  No of meetings; Bay and leaders and property owners  No of people Mzimba  Compensate the affected compensated; District people  No. of complaints Councils  Notify people when to move raised and resolved and monitor progress Loss of agricultural and  Organise awareness meetings  No. of meetings RA, Mzimba Monthly K2,500,000.00 grazing land with local leaders to stop and affected and Nkhata Bay farmers from farming along farmers District the project areas Councils  Start construction works immediately after crops have been harvested

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Expected Impact Proposed mitigation measures Monitoring Principal Frequency Cost indicators monitoring estimates/Annually authority

Contamination of stream  Identify waste dumping sites  No. of dump sites RA, Mzimba Monthly K2,500,000.00 and rivers by oils, where waste from the project designated and Nkhata Bay bitumen spillages and will be dumped  Water quality Districts and other hazardous wastes  Provide drip pans at Mzuzu City dispensing points Councils,  Provide adequate bund wall to Northern contain oil spillages Region Water  Dispose construction wastes in Board, Water designated places Resources  Promote good sanitation and Board hygiene in the camp sites Siltation of streams and  Construct proper drainage  Water quality Mzimba Quarterly K1,500,000.00 rivers structures District  Incorporate erosion control Council, measures Northern  Conduct regular water quality Region Water monitoring Board, Water  Plant trees along the river lines Resources Board

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Expected Impact Proposed mitigation measures Monitoring Principal Frequency Cost indicators monitoring estimates/Annually authority

Increased air pollution  Enforce SADC emission  Air quality data MBS,RA Monthly K2,000,000.00 from vehicles, standards  Certificate of machinery, waste  Machine operators should be fitness for vehicles disposal sites, campsites provided with personal etc protective equipment such as mouth caps  Regular maintenance of vehicles and machinery Climate change due to  Enforce regulations against  Air quality data EAD Annually K2,000,000.00 increased levels of GHGs procurement, sale and use of fuel not meeting the specifications  Uncontrolled burning of waste should be prohibited

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Expected Impact Proposed mitigation measures Monitoring Principal Frequency Cost indicators monitoring estimates/Annually authority

Contamination of soils  Proper disposal of waste in  Soil quality Mzimba Quarterly K3,500,000.00 from oils, fuels and other designated places measures District and hazardous substances  Separate and treatment of Mzuzu City hazardous waste before Councils, EAD, disposal RA  Proper maintenance and MBS, disposal of oils from vehicle and machinery  Enforce ban of use of such chemicals containing dangerous substances Loss of forests and tree  Replant trees along the road  No of tree species Regional Quarterly K4,000,000.00 along the project area reserve planted and saved Forestry Office,  Minimize clearing of trees and Mzimba forests around the borrow pits District Forest  Carefully plan the road works Office, Mzuzu not to affect the standing trees City Council, in the road alignment RA  Formal request of protected trees from the Director of Forestry before clearing

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Expected Impact Proposed mitigation measures Monitoring Principal Frequency Cost indicators monitoring estimates/Annually authority

Deforestation and  Conduct civic education and  No. of illegal Mzimba DFO, Quarterly K3,400,000.00 encroachment into forest awareness activities activities reported Chikangawa reserves and Chikangawa  Strengthen law enforcement to Forest forest plantation control bushfires, charcoal Plantation, burning and wanting tree Regional cutting from the nearby forest Forestry Office reserves Loss or disturbance of  Negotiate with affected people  No. of graves Mzimba Quarterly K1,500,000.00 cultural sites such as to relocate their graveyards relocated District graveyards  Or re-align the road away from Council, RA the grave yards if possible Increased safety and  Provide protective clothing to  No accidents and RA, Mzimba Every K1,500,000.00 health risks for workers, workers health hazards District month people around the project  Put road signage on all the reported Council, Mzuzu and travellers dangerous places. City Council,  Provide barrier fences MoLMD around deep excavations  Proper rehabilitation of the road kerbs and auxiliary areas  Ensure that all operations are closely supervised

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Expected Impact Proposed mitigation measures Monitoring Principal Frequency Cost indicators monitoring estimates/Annually authority

Increased HIV and AIDS  Conduct civic education and  No of people MoH Monthly K2,000,000.00 and other communicable awareness activities accessing ART diseases amongst workers  Conduct awareness seminars services and local people among workers and local communites  Increase access to ART services in the project area Decommissioning and operation of the road Loss of employment  Provide terminal pay to the  Reduced Mzuzu City and Quarterly K2,500,000.00 workers on time destitution Mzimba  Establish and promote village District Council saving banks Increased road accidents  Install road signages on the  No of accidents RA, RTD Half yearly K2,000,000.00 road (school zone, wildlife reported crossing, speed limit, sharp curves, etc.)  Install guardrails along high embankments or deep ravines  Enforce speed limit according to the design of the road  Increased road safety awareness and civic education

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Expected Impact Proposed mitigation measures Monitoring Principal Frequency Cost indicators monitoring estimates/Annually authority

Increased HIV and AIDS  Intensify civic education and  No of cases of new MoH Monthly K500,000.00 and other communicable awareness activities infections diseases amongst workers  Increase access to ART and local people services in the project area Increased air pollution  Enforce air pollution control  Levels of GHG EAD Annually K1,000,000.00 and GHG emissions from standards on vehicle emissions moving vehicles  Plant trees along the road reserve to act as carbon sinks Total K29,900,000.00

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8.3 Institutions responsible for the implementation of the ESMP

Various institutions have been identified in Table 18 for the implementation and monitoring of the implementation of the ESMP. However, in line with the Environmental Management Act (EMA) the key institutions responsible for the implementation of the ESMP are the Environmental Affairs Department (EAD) and the Roads Authority (RA) who are to ensure that the ESMP is implemented and monitored. The Roads Authority through its Environmental Planning Unit and with supervision of an external film, is responsible for planning, implementation and monitoring of all the environmental mitigation measures as identified in Table 18. The external film shall have a full time environmental and social specialist who will collaborate with the ESMU and work closely with the Contractor’s Saftey Health and Environmental Officer. The Roads Authority is responsible for ensuring that that the contractors fully comply with its commitments to ensure that the mitigation measures are implemented. In line with the EMA, the Roads Authority will report to the EAD. The EAD is expected to collaborate and advise Roads Authority and other government institutions in relation to the mitigation measures identified in the ESMP. The contractor has all the obligations to ensure that that the mitigation measures are comply to and implemented. Nkhata Bay, Mzimba District Councils and Mzuzu City Council has the biggest responsibility through their District and City Environmental Subcommittees (DESC) to ensure that the contractors is complying to avoid or minimize environmental, social and health impacts during the rehabilitation and operation of the road construction.

It is also these subcommittees through which disputes arising from the project will be channelled and resolved. The project area already has established village level dispute settlement mechanisms that are also responsible for the handling grievances that may emanate during the construction of the project. Normally disputes will be raised through the traditional leaders and local committees in a particular project area through to the DESCs. The ESAI team found that there are already dispute settlement mechanisms such as Civil or Crime Protection Committees that exist within the villages, trading areas and towns which are going to be used during the project period. These dispute settlement structures are fully functional and need to be used during the project period.

8.4 Responsibility for Monitoring and Supervision

Monitoring the implementation of this ESMP is going to be done at national, district and community levels by such relevant authorities as described below.

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8.4.1 National Level Monitoring The key departments and institutions at national level will include Environmental Affairs, Department of Lands, Malawi Bureau of Standards (MBS) and Roads Authority who are going to work closely with other relevant governments departments and organizations to monitor the overall implementation and management of the ESMP. The EAD will be responsible for ensuring implementation of the ESMP and auditing compliance while the Department of Lands will ensure that all the necessary compensation procedures have been followed and are complied to. On the over hand the MBS will ensure that the contractor is applying internationally and national approved standards in terms of chemicals used during the contraction of the road. The national level stakeholders will provide an institutional framework for feedback to the contractor and the World Bank as the financier of the road project.

It is expected that monitoring will determine whether the mitigation measures undertaken by the contractor and other agencies responsible for implementation of activities are being carried out. It is expected that during and after the project environmental audits will carried to ascertain compliance to the standards and recommendations set in the ESMP. The contractor is expected to employ a robust internal mechanism to oversee the planning, implementation and monitoring and compliance to the mitigation measures. The RA is also expected to conduct internal monitoring through an external supervision film that will engage and environmental and social specialist for that purpose who will make recommendations to the contractors for corrective measures and changes as well as provide regular feedback to the RA and other national stakeholders.

8.4.2 District and City Level The Mzimba Nkhata Bay District Councils and Mzuzu City Environmental Subcommittees will (which comprise technical heads of relevant departments of the council) be responsible for ensuring that the district has a waste management plan to be able to guide the contractor on waste management issues and also monitor implementation of the ESMP by the contractor. The subcommittees will need to regularly visit the project area to inspect compliance and advice for changes where necessary. It is also the subcommittees that will provide regular feedback to the RA on what the contractor’s actor in relation to the ESMP for the project. The Mzimba, Nkhata Bay and Mzuzu city environmental subcommittees will work closely with civil society organizations (CSO) and other institutions at district level to ensure that issues of encroachment into protected areas, HIV and AIDS, conflicts between workers and villagers are minimized.

8.4.3 Community Level Monitoring It is expected that the Area Development Committee, Area Executive Committees, Village Development Committees, Village/Civil Protection Committees and the various extension workers

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8.4.4 Reporting Mechanisms Various institutions and structures are identified at all levels including community, district and national level levels. In addition, all these structures have grievance mechanisms which are used in case of a conflict. It is expected therefore that the various committees at village level, will report to the ADC through the district development committee and through to the national level structures on the implementation of the ESMP. The ESMP has identified the frequency of reporting which may be changed during the course of implementing the project depending issues that may arise.

As an execution agency the Road Authority is expected to utilise the identified structures to ensure smooth implementation of the ESMP.

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CHAPTER 9.0 CONCLUSIONS AND RECOMMENDATIONS

9.1 Conclusions

The rehabilitation of the Mzimba Turn off via Mzuzu City to Kacheche section of M1 road is an important undertaking for the country and the COMESA and SADC Regions. Apart from improving the national economy the project will strengthen the economic ties between the various economic regions of Africa. The road project is expected to facilitate trade between Tanzania and Malawi as well as the rest of the Eastern and Southern Africa Countries.

Just as any other construction project, rehabilitation of this road is likely to have a number of positive and negative environmental impacts during the all the phases of the project in particular during construction, decommissioning and operation phases. A number of key negative environmental and social impacts have been identified including the following:  Loss infrastructure and property  Loss of agriculture land mainly along the road reserve  Increased level of wastes  Loss of forests and trees species as a result of constructions works and the influx of people into the area and increased demand for charcoal and firewood  Siltation of rivers and streams  Loss of cultural site mainly grave yards hat are within the road reserve  Increased levels of accidents due to speeding of vehicles  Increased incidences of communicable diseases such HIV and AIDS

With proper mitigation measures, these impacts will not be as serious to cause permanent damage to the environment of the area considering that this is a rehabilitation project and the road works are going to follow the existing path. It is expected that the identified mitigation measures will be implemented to ensure that the benefits for which this road was designed for road are realized.

9.2 Recommendations

There are a number of recommendations that the ESIA team is proposing including the following:  The Roads Authority with support from the Mzimba and Nkhata Bay District Councils, Mzuzu City Council and Ministry of Lands should compensate identified property owners that are

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going to be affected and compensate on time in line with the World Bank Resettlement Framework  The contractors should start the construction works soon after crops are harvested to minimize crop loss by the people  The contractor should ensure that the borrow pits and the quarries are rehabilitated to restore the scenic views and reduce incidences of water logging  The contractor should ensure that all different forms and types of wastes from the project are properly managed  The Department of Forestry through the Regional Forestry Office, Chikangawa Plantation, District Forest Office should intensify law enforcement, awareness and civic education activities in order to minimize the impacts the impacts of this project on the protected areas of forest reserves and Chikangawa plantation  The Mzimba, Nkhata Bay District and Mzuzu City Councils and other stakeholders should be fully involved in the monitoring of the implementation of the Environmental Social Management Plan (ESMP) and Resettlement Action Plan (RAP)  In order to minimise dispute and conflicts the village and district level dispute settlement mechanism which already exist in the project area need to be used and should also adhere to the Grievance Redress Mechanism(Annex 10) and the Community Engagement Plan(Annex11)  In order to effectively implement the ESMP and the RAP, the government will need to allocate an estimated amount of USD1,700,000.00 specifically for RA monitoring of the ESMP and RAP implementation.  The Ministry of Health and other stakeholders should increase civic education and awareness activities in order to reduce or minimize the spread of communicable disease  Upon completion of the road works, there is bound to be increased levels of accidents more especially along the trading centres, therefore the National Road Safety Council and Road Traffic Directorate should strictly enforce the design speed limits of the road.  The National Road Safety Council should ensure to strengthen civic education and awareness activities in order to minimize road accidents more especially along the trading centres.  The Roads Authority should enforce the road boundary reserve adherence so that people should not encroach the road reserve again after construction.  The Contractor should have a Safety, Health and Environment Officer who will be supervised by a counterpart on the external consultant film.  The Contractor will develop a ‘Contractor’s ESMP’ that will include specific details of the mitigation measures. The implementation of this ESMP is budgeted at MK1,193,547,580.

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REFERENCES  Environmental Affairs Department, (1996). The Environment Management Act, Lilongwe.  Environmental Affairs Department, (2004). The National Environmental Policy, Lilongwe.  GoM, (1969). Land Act. , Lilongwe.  GoM, (1969). Water Resources Act, Lilongwe.  GoM, (1988). Town and Country Planning Act, Lilongwe.  GoM, (1995). Water Works Act, Lilongwe.  GoM, (1995). Constitution of the Republic of Malawi. Lilongwe.  GoM, (1998). National Decentralization Policy,  GoM, (1998). National Local Government Act, Lilongwe.  GoM, (1997). Malawi Forestry Act, Lilongwe. Lilongwe.  GoM, (1997). Occupational Health and Welfare Act,  GoM, (1997). National Forestry Policy, Lilongwe.  GoM, (2000). National Parks and Wildlife Act, Lilongwe.  GoM, (2002). The National Land Policy, Lilongwe.  GoM, (2004). National Water Policy, Lilongwe.  GoM, (2007). Malawi Economic Growth and Development Strategy. Lilongwe.  GoM, (2008). Public Roads Act (Cap. 69:02). Lilongwe.  Mzuzu City Social Economic Profile, 2013.  Roads Authority(2007). EIA Guidelines for the Road Sector. Lilongwe.  National Statistics Office. (1998). Population Census Report. Zomba.  National Statistics Office. (2008). Population Census Report. Zomba.

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ANNEXES

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Annex 1 ESIA Terms of Reference

TERM OF REFERENCE FOR CONDUCTING AN ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT AND PREPARATION OF THE RESETTLEMENT ACTION PLAN FOR THE KACHECHE –MZIMBA JUNCTION THROUGH MZUZU SECTION OF M 1 ROAD

1.0 Introduction

1.1 Background

With support from the World Bank, the Roads Authority plans to rehabilitate the 147 Km of the Mzimba Turn off- Mzuzu to Kacheche section of the M1 Road. The major works of the proposed project shall include rehabilitation and widening of the carriageway. This is a major and important trade route connecting many countries in the Eastern and Southern Africa trade corridor and has a lot of economic potential. Because of the scope and nature of works that will be undertaken before, during and after construction, the road project has received an environmental classification of Category 1. This means that there is need to carry out an environmental and social impact assessment and develop a resettlement action plan as required by the Environmental Management Act (1997), Environmental Social Impact Assessment Guidelines and the World Bank’s Environmental Self-guard policies.

These terms of reference outlines the objectives, expected outputs, tasks for carrying out an environmental and social impact assessment and development of the resettlement action plan (RAP) for the project.

1.2 Objectives and expected outputs of the assignment

1.2.1 Objectives

1. To conduct an environmental and social impact assessment for the Mzimba Turn Off through Mzuzu to Kacheche Section of the M1 Road rehabilitation project. 2. To prepare a Resettlement Action Plan (RAP) for the affected people along the Mzimba Turn Off through Mzuzu to Kacheche Section of the M1 Road rehabilitation project.

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1.2.2 Expected outputs

The expected outputs of the assignment include the following:

i. Environmental and social impact assessment report that includes the Environmental and Social Management Implementation Plan and Monitoring Plan as one document ii. Environmental management plan and action plan and; iii. Resettlement action plan for the affected people along the project 2.0 Scope of work

The scope of the work and tasks for the assignment is defined in line with the Environmental Management Act (1996), the Environmental and Social Impact Assessment Guidelines (1997) and the World Bank’s Environmental and Social management Framework (2014) Environmental and Social Safeguards Policies of the World Bank and Resettlement Management Framework (2014) prepared by the Environmental and Social Management Unit of the National Roads Authority. The detailed tasks include the following:

2.1 Provide detailed description of the project from Kacheche through Mzuzu to Mzimba Junction of M1 Road section including the details of the proponent, alternatives under consideration, mode of waste disposal, general design of the road, size of land for the project site including electricity, water reticulation, waste disposal and access roads. Provide a site specifics map of the area (Scale 1:50,000) showing the proposed road route.

2.2 Describe and analyse the baseline environment of the project. Collect, analyse and present baseline information on the environmental characteristics of the existing situation in the proposed road project. The description and analysis should among others include: i. Physical environment which includes topography, landforms, geology, soils climate and meteorology, air quality, hydrology, etc. ii. Biological environment such as flora and fauna types and diversity, endangered species, sensitive habitats, etc. iii. Social and cultural environment, including present and projected, where appropriate identify areas of cultural significance, population and migration, social economic characteristics of different stakeholders such as women groups, business people, faith based communities, traders in and around the trading centres, vendors, the people land use, planned development activities, community structure, gender, employment and labour market, sources and distribution of income, cultural properties, etc.

2.3 Identify and describe all pertinent regulations and standards governing the environmental quality, solid and liquid waste management, health and safety, protection of sensitive areas, land use control at national and local levels and ecological and socio-economic issues.

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2.4 Identify potential environmental and social impacts that could result from the project. Describe and analyse all significant changes expected due to the proposed road project focusing on both negative and positive impacts. The impacts could include economic, environmental, ecological and social impacts which could both be positive or negative impacts as a result of the interaction between the proposed project and the environment that are likely to bring about changes in the baseline environmental and social conditions of the area. It is expected that during the analysis, the consultant shall consider both biophysical and socio-economic factors that will include the impacts of: population change and migration; socio-economic characteristics of the difference target groups along the proposed road project; forms of social organization and co-operation; physical and social infrastructure; change in economic activities; development resources; vegetation clearance; mechanical disturbance; removal of structure /sites; effects on flora and fauna; air quality; improved access; accident rates; and visual/aesthetic change.

The potential impacts must relate to the project cycle of the project which include following:

 Project planning- determination of route, land acquisition, relocation, compensation and housing of displaced people, etc.  Project construction works- land clearing, earth moving, access roads, waste disposal and management systems, drainage systems, dust, loss of scenic values of land scape, threat to cultural and historical sites or artefacts.  Project operation-generation and removal of waste, emission of pollutants from vehicles, maintenance of the road, access routes, interaction between migrant workers and local community, accidents, HIV and AIDS, effects of route on the land values, planning and management of ribbon development along the routes and others.  Project decommissioning- allowing productive use of the land for example campsite, reconstruction of damaged environment

2.5 Analyse and describe occupational and health concerns. Describe and analyse all occupational health and safety concerns likely to arise as a result of construction and operations of the proposed road project. Make recommendations on corrective and remedial measures to be implemented under the environmental management plan.

2.6 Undertake a full public participation and consultations on the positive and negative impacts of the project: Carry out a social due diligence which will involve a description of the social, economic and cultural status of the project area. Organise meeting and forums for public participation to enable interested & affected parties to present their concerns and opinions regarding the proposed project.

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2.7 Propose mitigation measures to the identified environmental and social impacts of the proposed project. Propose feasible mitigation measures for the negative impacts that could result from the proposed project.

2.8 Develop an Environmental Management Plan (EMP) to mitigate negative impacts of the project. Develop a comprehensive (EMP) that sets up mitigation, monitoring and institutional measures to eliminate, minimize or reduce to acceptable levels of the adverse environmental impacts and or minimize socio-economic benefits of the proposed project. Provide a cost outlay for the proposed measures as well as their institutional and financial support mechanisms.

2.9 Develop an Environmental Monitoring Plan. Provide specific descriptions and technical details of monitoring measures, including parameters to be measured, methods to be applied, and sampling locations, frequency of measurements or data collection, and definitions of thresh-holds that will signal the need for corrective actions. Describe the monitoring and reporting procedures as well as the timeframes and implementation mechanisms. Provide details of the staffing requirement and cost outlays for the implementation of the plan.

2.10 Prepare a Resettlement Action Plan (RAP) in line with the World Bank policy framework guidelines on Involuntary Resettlement (OP 4.12) the Environmental Management Act (EMA 1996) and the legal requirements of the country.

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Annex 2 Interpretation of the Soil Codes

These soil groups have been mapped together with the physiographic units on which they occur using standard soil codes for appropriate management. The code starts with capital letter followed by a number which is then followed by a small letter which is then followed by a number for example: X2e1

Capital Letter: This stands for the soil parent material:

 A represents fluvial, colluvials, and or lacustrine sediments  D represents medium to fine-grained and mixed coarse to fine-grained sedimentary rocks  X represents felsic and intermediate igneous and metamorphic rock Number after capital letter: Stands for physiographic unit or soil category on which the soil group occurs:

 1 0-2% slope  2 2-6% slope  3 6-13%slope  4 13-25% slope  5> 25% slope This categorisation of slopes/physiographic units is based on the Food and Agriculture Organization of the United Nations soil classification

Small letter: The small letter represents the soil group or the soil name. This means that the colour does not indicate the soil name but rather the small letter of the soil code indicated within the mapping unit

 e Eutric-fersialic the details of which has been included in the text and table  f Fluvic as above  p Paralithic as above  x Eutric ferralic as above Number after small letter: Represents soil unit and gives physical and chemical properties as presented in the text for each soil group.

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Annex 3 Expert Names and Qualifications

Name and Designation Qualifications

Robert Kafakoma-Team Leader /ESIA MSc. Forestry and Land Use Management- Specialist University of Oxford

Mtafu Manda- Sociologist MSc. Urban Planning-University of London

Engineer Ashley Kanyoza – Civil Engineer MSc. Civil Engineering- Strathclyde University, Scotland

James Chimphamba – Natural Resources MSc. in Land and Water Management ,Silsoe Expert College-Cranfield, England

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Annex 4 List of Organizations and officials consulted

Name Organizati Contact Position Date Issue Summary Of Remarks Of Officials Consulted on/Instituti on

Drainage system will be destructed causing depletion of water bodies and water species. Water bodies are directed usually in unknown direction

causing erosion in farms and gardens. Soil erosion due to excavations. Loss of forest species such as protected species, unique species and all species along the road. There will be need to replant trees

and the constructor should plan for drainage systems

to avoid severe destructed.

Positive impacts include easy transportation of forest products to markets, improvement in communication among others.

Mr. Moyo Edward Mzimba District Department Council Forestry 0888774406 Assistant District Forestry Officer 16 2016 August Project Impact There are properties and gardens along the M1 road

particularly those located within road reserve that

will be demolished and relocated. These will require

proper compensation to avoid noise and stopping the project by property owners. Property assessment

should be done by a registered valuer to determine actual value of properties affected. Government should also have a proper relocation plan for those affected.

Mrs. MuyafulaLucy Mzimba District Council 0881912420 District Lands Officer 201616, August, Project Impact Road extension project will enable easy movement of goods and people. However, the road needs to be constructed to good standards. To achieve this, there

is need to use high quality construction materials

department of such as quarry, bitumen. The contractor to be - recruited should have full stock of well standardized machinery in order to successfully undertake the

project. Road signage need to be erected at

rks designated places, and culverts and bridges should also be constructed to high standards to ensure durability of the road.

Mr. Allan Jere Mzimba District Council 0999294305 Building Supervisor public wo 201616 August, Project Impact

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Name Organizati Contact Position Date Issue Summary Of Remarks Of Officials Consulted on/Instituti on

The road expansion project will enhance free flow of goods considering that Mzimba water board relies on the Northern Region Water Board which is in Mzuzu for chemicals, materials, cash among others. In this regard there will be a general easy transportation of goods and services to and from Mzuzu. However, Vibrations caused by construction machinery may affect the NRWB pipes that pass across the road. Construction machinery

that scrape the soil off may also expose the water pipes. In the event that the water pipes need to be diverted for the road project to be successfully done, there will be a lot of costs incurred by the water Board. Dust emissions may affect the quality of water at Machecheta water treatment plant as the sedimentation tanks are left open and this will

reduce the quality of water and increase the cost of water treatment for the board. To mitigate this, there

is need to water the ground before construction to

prevent dust emissions. The fear by the NRWB is that the road expansion project will coincide with the water treatment project which may cause some problems for the board.

Mr Chimbayo Wilfred office) Northern (Mzimba Water Board Region 0884517526 Coordinator/Engineer Scheme 16 2016 August Project Impact There will be a lot of dust emissions during road

construction which will affect the quality of water at

the plant. Sedimentation tanks are left open and dust

will reduce the quality of water and increase the cost

of water treatment for the board. To mitigate this,

the contractor should ensure that the ground is adequately watered before construction to prevent further loss of water quality.

Mr. ChihanaAudings Mr Gibson Kaunda water NRWB Machecheta planttreatment 0881128047 0884933727 In charge 201616 August, Plant Operator Project Impact

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Name Organizati Contact Position Date Issue Summary Of Remarks Of Officials Consulted on/Instituti on

The road expansion project will lead to easy traffic flow through incorporation of other types of traffic such as cyclists, people in addition to vehicles. The project will also tremendously reduce the occurrence of road accidents because it will be wide enough. Drivers will be able to overtake each other. Also in instances where one car has broken down on the road, other vehicles will be able to pass without a problem. However, the road expansion may also mean an increase in accidents since most drivers

will see the expansion of the road as an opportunity

to speed. To mitigate this, there is need for sufficient

road signs to be erected at designated places as these

signs communicate to road users. For example, there is need to have pedestrian crossings at all major trading centres and schools.

ConstableS.M Nkhata ConstableMvula J.J RaiplyPolice Post 0882765206 088364042 Traffic Officer Traffic Officer 17 2016 August Project Impact The project will enable easy vehicular movement transporting of forest products particularly heavy vehicles which carry harvested trees. There will be general increase in contribution of the forest products to national and regional GDP resulting from a reduction in transport costs and travel time. However, the project will lead to loss of natural

vegetation especially those along the road, land clearing especially during setting up of workers’ camps and creation of diversions, fire outbreaks in

workers’ camps, dust emissions during road

construction which will affect trees, respiratory diseases among human beings, and river siltation. To mitigate this, there will be need to splash water on the ground for the dust to settle down and replant removed vegetative cover.

Mr E. Kadeza Mr D. Mlambira PLANTATIONVIPHYA Mr D. Bonongwe 0881793386 0884565246 Forestry Assistant 0881113830 Policy & Law Officer 17 2016 August Forestry Assistant Project Impact Project will enable easy transportation of agricultural produce thereby increasing farmers’ access to markets. Business opportunities will also improve and trade enhanced. However, following road expansion, drivers will be speeding and this

will increase the occurrence of road accidents. Creation of diversions may also delay movement on

the road. The project needs to be completed within

reasonable time to avoid inconveniences.

Completion of the project within reasonable time will depend on the commitment of the workers and the contractor.

Mr MsowoyaLovemore NASFAM 0882259189 Salesman 18 2016 August Project Impact

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Name Organizati Contact Position Date Issue Summary Of Remarks Of Officials Consulted on/Instituti on

The road expansion project will provide easy transportation of goods and services as there will be a diversity in the mode of transport. The road expansion will also mean physical development for the country. Businesses will improve. Education will also be enhanced since it will be easy and cheap to travel longer distances. There will be a reduction in road accidents. The road project may also provide greater opportunities for the school’s prosperity. However, there will be relocation of people especially those who have developed within the road reserve. Noise pollution especially when classes are in session. Increase in road accidents due to speeding vehicles. Social interaction with workers may lead to change in behaviour among students. There will also be a lot of dust emissions during road construction. These negative impacts can be mitigated by watering the ground before construction starts to reduce dust emissions. For those people who will be relocated, there is need for fair compensation. Road accidents can be mitigated by erecting required road signs at designated places.

The major concern is that the road should be

constructed to good standards so that it is

sustainable in the long run. Also, communities must

be sensitized on the importance of constructing

outside the road reserves in order to reduce expenses that the government incur in terms of compensations.

Mr Elliot Nyirenda ChamboSecondary School Girls 0993452670 Principal 19 2016 August Project Impact There are school going children in both primary and

secondary schools located along the M1 road. The

contractor need to ensure safety of these children

during road construction in order to avoid accidents.

Mr Patson Mtumbuka District Education Offices (Mzimba North) 0999467819 /088151929 4 Coordinatin g PEA 19 August 2016 Project Impact

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Name Organizati Contact Position Date Issue Summary Of Remarks Of Officials Consulted on/Instituti on

The road expansion project is a good development mainly because it will reduce road accidents. There will also be an easy ferry of products. Other benefits of road extension project include creation of employment opportunities, and establishment of

new businesses and expansion of existing ones. However, there may also be an increase in accidents

since most drivers will be over speeding. Road diversions created during road construction, illegal migrants may find their opportunity to avert immigration officers. There will also be an increase

in theft particularly stealing of construction

t

materials such as cement. Theft can be mitigated by tightening security in camps and engaging community police to ensure good custodianship of these materials.

Mr E.K. Kanyaza (North)Immigration Office 0888897217 Deputy Officer Immigration Regional 22 2016 August Project Impac

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Economically, the project will create job opportunities particularly when the contractor employs local people. The road expansion will improve commercial activities by attracting local and foreign investment along the road stretch. Local suppliers of quarry, bitumen, cement will also benefit from the road expansion project due to market availability.

In social terms, there will be an improvement in peoples’ livelihoods because of improvement in standards of living. One of the enhancement measures include providing guidelines and conditions on the kind of unskilled labour required and total number of local people to be employed so that local people are given priority in order to benefit more from the project.

The community through the local governance structures and CSOs/NGOs should all be responsible to ensure the project yields intended results. The CSOs, NGOs will be involved with regards to issues of human rights, safety and health, the environment.

Some negatives of the project include spread of HIV and AIDS due to interactions between workers and the community, moral decay of society in communities along the road stretch due to economic improvement which may lead to change in social behaviour in some people. Major impact on the environment relate to environmental degradation due to excavations and removal of vegetative cover along the road. The general outlook of the environment will change and there will be erosion of the soil. Some plant and animal species will be disappearing. There will also be illegal developments since most people will be flocking to

the areas where the road expansion is taking place in search of both employment and business opportunities. There will also be a lot of inconveniences and disturbances during the road expansion project.

The road extension can also result in growth of illegal developments. This can be mitigated by

proper coordination between the District/City

a

Council through Councillors and MPs of the area and associated departments such as Department of Lands and Physical Planning in order to prevent haphazard development.

Mr C.B Band (North) Department of Planning Physical 0999558457 PlanningPhysical (North) for ActingCommissioner Regional 22 2016 August Project Impact

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Name Organizati Contact Position Date Issue Summary Of Remarks Of Officials Consulted on/Instituti on

The road expansion project will minimize road

accidents. There will also easy moment leading to easy access to information and quick information dissemination. On the other hand, accidents may

also increase as drivers may over speed. The

negative impact can be mitigated by putting up adequate road signage.

Mr A.M NKHATA District Information Office 0999349007 District Information Officer 22 2016 August Project Impact Machinery used during road construction scrap the

soil off, expose and even damage NRWB pipes that pass across the road. In the event that the water pipes get damaged, then there is need for compensation by

the government to the board to replace destroyed pipes. This means the road project will lead to disturbances to provision of portable water to the general public.

Grace Ngosi Grace NRWB office) (Mzuzu 0999352855 Water Quality Officer 201622 August, Project Impact There are properties and gardens along the M1 road particularly those located within road reserve that

will be demolished and relocated. These will require proper compensation to avoid noise and barring of the project by property owners. Property assessment should be done by a registered valuer to determine actual value of properties affected. Government should also have a proper relocation plan for those

affected. The communities should be sensitized on

issues relating to HIV and AIDS before project commencement. The road should have a tree belt as a way of compensating for the trees that will be affected during the road expansion project.

Mr Patrick KABAMBE RegionalLands Department(North) 0996618152 Lands Officer 22 2016 August Project Impact Some female students will start relationships with workers constructing the road. The spread of diseases such as HIV and AIDS and unwanted

pregnancies will also be rampant. There is need to

civic educate students, members of staff and parents on possible negatives of the project and advise the community that the workers will be around temporarily.

Mr Mkandawire L.P Enukweni CDSS 0996252162 Headmaster 201619 August, Project Impact

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Name Organizati Contact Position Date Issue Summary Of Remarks Of Officials Consulted on/Instituti on

The road extension project can increase road accidents particularly when pupils are crossing the road. The school ground, woodlot and teachers’ houses are along the road so there is fear the area will be greatly affected. Mitigation measures include relocating school ground and compensating for the buildings which will be lost. Provision of crossing kit to assist pupils crossing the road, provision of humps and pedestrian crossing at

school crossing points are other suggested safety

measures.

Positive impacts include creation of job opportunities, improvement in communication.

Mr. Soko Enukweni School Primary 0881155361 Headmaster 201619 August, Project Impact When the road widens there will be decrease in the occurrence of road accidents. The road construction will cause disturbances such as noise pollution and distract pupils from classes as they will be curious

with construction vehicles. The project will bring

unwanted pregnancies and spread of HIV and AIDS

as what happened during construction of Ezondweni road. Disturbances in marriages, increased rate of school dropouts are also examples of negatives the project is likely to cause.

Mr Michael Chirwa Eng’longolweni 0888143453 Headmaster 201619 August, The main positive impact of the road extension project is creation of job opportunities. Negative impacts include machinery can lead to noise pollution and emission of dust which become an eye

sore, creation of diversion can lead to a further loss

of flora and fauna. A wider road can increase speed hence causing accidents. There will be need of adequate road signs and make sure diversion are done carefully to not take much of the area.

Mr Abel Kayange Ekwendeni CDSS 0993621691 Deputy Headmaster 201619 August, Project Impact

The project will reduce occurrence of road accidents

because it will be wide enough. Drivers will be able

to overtake each other. In instances where one car has broken down on the road, other vehicles will be able to pass without a problem. Reversely, the road

expansion may also lead to an increase in accidents

759 as drivers will start over speed vehicles. To mitigate this, there is need to erect sufficient road signs at designated places to communicate to road users.

Constable Mkumika Gordan Constable Chatsika Joyce blockDunduzu Road 0999115193 0993455 Traffic Police Officer 201619 August, In charge

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Name Organizati Contact Position Date Issue Summary Of Remarks Of Officials Consulted on/Instituti on

- The road expansion will help in controlling traffic for instance speed reduction and reducing congestion and will provide job opportunities. The

project will also improve the outlook of the city. However, there is a new USP which propose a bypass road on the west. This is toad to be constructed

Mr Simwaka Mzuzu City Council Planning Development Department and Senior Officer Planning 201622 August, Project Impact

Transportation of farm produce from rural areas to

the city will be much easier. Widening the road would also mean good sharing of the road by all

road users. The negative impacts include reduced

water quality due to excavations, creation of barrow pits which act as breeding grounds for mosquitoes,

and there will be loss of flora and fauna.

Mr Mpezeni Department of Water Resource Development (North) 0999669590 Water Development Officer Resource 22 August, 2016 Project Impact

Road extension will improve communication, create

employment opportunities to the local people. One

of the negatives of the project is increased road

accidents due to over speeding vehicles.

Mr Kaonga Mzuzu University 0888823286 Director of Projects and Estates 22 august, 2016 Project Impact

The project will create employment opportunity,

improve communication both local and

international. The project on the reverse side will

lead to loss of flora and fauna, loss of farm land and

gional general disturbance of the ecosystem.

Mr Kagulo Regional Forestry Office 0888387232 Re Forestry Officer 22 2016 August, Project Impact

Road extension project will lead to expansion in

revenue base for the country due to enhanced local

2016 and international trade.

Susan Makwakwa Malawi Revenue Authority (North) 0882003229 Team Leader 22/08/ Project Impact

Annex 5 Local People participating in focus group discussions Name Position Place Contact Date Wilfred Chiumia Chief (G.V.H Msenjere Machecheta Trading Centre 0881917372 16/08/2016 Chiumia Chris Thole Community member Machecheta Trading Centre 0889020284 16/08/2016 Francis Kapufya Community member Machecheta Trading Centre 0881917372 16/08/2016 Grace Chiumia Community member Machecheta Trading Centre 0997866705 16/08/2016 Bose Kumwenda Community member Machecheta Trading Centre 0881917372 16/08/2016 Nyembazi Community member Machecheta Trading Centre 0889020284 16/08/2016 Chirwa Tionge Nyika Community member Machecheta Trading Centre 0881917372 16/08/2016 Stylin Manda Community member Machecheta Trading Centre 0881917372 16/08/2016

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Name Position Place Contact Date Getrude Hunga Community member Machecheta Trading Centre 0889020284 16/08/2016 Yawezi Chiumia Community Policing Machecheta Trading Centre 0997866705 16/08/2016 Chairman Alnord D. Church Leader Machecheta Trading Centre 0889020284 16/08/2016 Chiumia Mawase Hunga Chief (G.V.H Bokosi) Machecheta Trading Centre 0884897890 17/08/2016 Vester Bulukutu Market Chairman Machecheta Trading Centre - 17/08/2016 Saukani Chirwa Shop owner Machecheta Trading Centre 0881046881 17/08/2016 Lucky Banda Trader (Shop owner) Machecheta Trading Centre 0881451364 17/08/2016 Kondwani Hunga Shop owner Machecheta Trading Centre 0885222763 17/08/2016 Handross Mwale Shop owner Machecheta Trading Centre 0882873854 17/08/2016 Wezzie Mgabe Shop owner Machecheta Trading Centre 0881087118 17/08/2016 Hellena Chirwa Shop owner Machecheta Trading Centre 0994548932 17/08/2016 Thokozile Theu Shop owner Machecheta Trading Centre 0881103704 17/08/2016 Lincy Ngulube Shop owner Machecheta Trading Centre 0880464799 17/08/2016 Allam Hunga Shop owner Machecheta Trading Centre 0999510626 17/08/2016 Magret Hunga Shop owner Machecheta Trading Centre 0882970660 17/08/2016 Rose Gondwe Shop owner Machecheta Trading Centre 0881446805 17/08/2016 Maria Chirwa Shop owner Machecheta Trading Centre 0998578502 17/08/2016

Mrs. B. Nyirenda Community member RAIPLY Trading Centre 0884657291 17/08/2016 Mrs. Singini Community member RAIPLY Trading Centre 0885166232 17/08/2016 Doreen Chirwa Community member RAIPLY Trading Centre 0994151129 17/08/2016 Eness Tembo Community member RAIPLY Trading Centre - 17/08/2016 Sibongile Thole Community member RAIPLY Trading Centre - 17/08/2016 Febbie Moyo Community member RAIPLY Trading Centre - 17/08/2016 Emmie Simkonda Community member RAIPLY Trading Centre 0883651145 17/08/2016 Gift Kayira Community member RAIPLY Trading Centre 0882254356 17/08/2016 Austin Mtonga Community member RAIPLY Trading Centre 0885719825 17/08/2016 Moses Hauya Community member RAIPLY Trading Centre 0993829817 17/08/2016 Madalitso Community member RAIPLY Trading Centre 0885324210 17/08/2016 Nyirenda Madalitso Banda Community member RAIPLY Trading Centre 0888680702 17/08/2016 Emmanuel Thole Community member RAIPLY Trading Centre - 17/08/2016 Jennet Banda Trader (Shop owner) RAIPLY Trading Centre 0999246664 17/08/2016 Hilda Kalua Trader (Shop owner) RAIPLY Trading Centre - 17/08/2016 Gloria Trader (Shop owner) RAIPLY Trading Centre - 17/08/2016 Mwakalinga Bridget Chavula Trader (Shop owner) RAIPLY Trading Centre 0993553304 17/08/2016 Wisdom Trader (Shop owner) RAIPLY Trading Centre 0884898141 17/08/2016 Nyirenda Zizwani Trader (Shop owner) RAIPLY Trading Centre 0882506222 17/08/2016 Tamara Trader (Shop owner) RAIPLY Trading Centre - 17/08/2016 Emmanuel Trader (Shop owner) RAIPLY Trading Centre 0881932025 17/08/2016

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Name Position Place Contact Date Adolf Shaba Chair-Market RAIPLY Trading Centre 0882506227 17/08/2016 Committee Gift Trader (Shop owner) RAIPLY Trading Centre 0998081235 17/08/2016 Ronald Trader (Shop owner) RAIPLY Trading Centre - 17/08/2016

Kondwani Banda Vice Chair Market Chikangawa Trading Centre 0884347173 17/08/2016 Committee

Earnest Trader (Shop owner) Lusangazi Trading Centre 0888363862 18/08/2016 Simangwa Moses Kachale Trader (Shop owner) Lusangazi Trading Centre 0884208018 18/08/2016 Jailos Kavuta Trader (Shop owner) Lusangazi Trading Centre 0997494719 18/08/2016 Bonney Phiri Trader (Shop owner) Lusangazi Trading Centre 0884970733 18/08/2016 Dickson Manda Trader (Shop owner) Lusangazi Trading Centre 0884212355 18/08/2016 Mr. J.K Muva Trader (Shop owner) Lusangazi Trading Centre 0881865152 18/08/2016 Mr. F. Luhanga Trader (Shop owner) Lusangazi Trading Centre 0881901240 18/08/2016 Mr. M. Mhango Trader (Shop owner) Lusangazi Trading Centre 0888165602 18/08/2016 Emma Chinyama Trader (Shop owner) Lusangazi Trading Centre 0888165602 18/08/2016 Mathews Trader (Shop owner) Lusangazi Trading Centre 0881345949 18/08/2016 Ng’ambi Lea Mkonda Community Member Lusangazi Trading Centre 0888837989 18/08/2016 Joice Gero Community Member Lusangazi Trading Centre 0885690323 18/08/2016 Violet Kaweta Community Member Lusangazi Trading Centre 0880464951 18/08/2016 Mrs. N. Community Member Lusangazi Trading Centre 0884450911 18/08/2016 Ndawandawa Ginny Simbeye Community Member Lusangazi Trading Centre 0880374304 18/08/2016 Joice Manda Community Member Lusangazi Trading Centre - 18/08/2016 Victoria Nzunda Community Member Lusangazi Trading Centre - 18/08/2016 Caroline Community Member Lusangazi Trading Centre 0882148809 18/08/2016 Chilembwe Grant Mlotha Community Member Lusangazi Trading Centre 0881922750 18/08/2016 Aless Community Member Lusangazi Trading Centre 0881112703 18/08/2016 Esther Jere Community Member Lusangazi Trading Centre 0885719567 18/08/2016 Lidness Mphande Community Member Lusangazi Trading Centre 0882500286 18/08/2016 Victoria Kauta Community Member Lusangazi Trading Centre 0881343328 18/08/2016 Rachael Nyondo Community Member Lusangazi Trading Centre 0881082106 18/08/2016 Official Nyondo Community Member Lusangazi Trading Centre 0997121910 18/08/2016 John Somboka Community Member Lusangazi Trading Centre 0884330373 18/08/2016 Wycliffe Community Member Lusangazi Trading Centre 0881387214 18/08/2016 Chilebwe Ocean Kauta Community Member Lusangazi Trading Centre 0885098827 18/08/2016 Silvelio Kaunga Community Member Lusangazi Trading Centre 0881451700 18/08/2016 Favour Mzunda Community Member Lusangazi Trading Centre 0881200901 18/08/2016

Tamara Chirwa Community Member Enukweni Trading Centre 0881779765 18/08/2016

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Name Position Place Contact Date Suzen Community Member Enukweni Trading Centre - 18/08/2016 Mnyenyembe Costas Mzia Community Member Enukweni Trading Centre - 18/08/2016 Trouble Tembo Community Member Enukweni Trading Centre 099944250 18/08/2016 Tapiwa Community Member Enukweni Trading Centre - 18/08/2016 Vinkhumbo Lonely Nkhata Community Member Enukweni Trading Centre - 18/08/2016 Mervis Nhlema Community Member Enukweni Trading Centre 0883686536 18/08/2016 Jennifer Maleka Community Member Enukweni Trading Centre 0998232642 18/08/2016 Medai Chipeta Community Member Enukweni Trading Centre - 18/08/2016 Esther Mhango Community Member Enukweni Trading Centre 0995053036 18/08/2016 Fanny Mwale Community Member Enukweni Trading Centre 0995684588 18/08/2016 Maria Chimaliro Community Member Enukweni Trading Centre 0884439894 18/08/2016 Richard Munthali Community Member Enukweni Trading Centre 0884242890 18/08/2016 Stanley Community Member Enukweni Trading Centre - 18/08/2016 Mughogho Komani Community Member Enukweni Trading Centre 088848514 18/08/2016 Nyirongo Frankoh Kapiyo Community Member Enukweni Trading Centre 0995684583 18/08/2016 Raphael Community Member Enukweni Trading Centre 0996899244/088 18/08/2016 Msowoya 2306982 Newton Community Member Enukweni Trading Centre 0881366000 18/08/2016 Mughogho Abel Phiri Chief (G.V.H Magwaza) Enukweni Trading Centre 0998603989 18/08/2016 Ruth Kanu Trader (shop owner) Enukweni Trading Centre 0888809436 18/08/2016 Keshna Simwaka Trader (shop owner) Enukweni Trading Centre 18/08/2016 Wezzie Botha Traders (shop owners) Enukweni Trading Centre 0995562463 18/08/2016 Musitara Trader (shop owner) Enukweni Trading Centre 0884588988 18/08/2016 Jofe Nkhoma Trader (shop owner) Enukweni Trading Centre - 18/08/2016 Simwa Chimaliro Trader (shop owner) Enukweni Trading Centre 0888624763 18/08/2016 Wayisanga Trader (shop owner) Enukweni Trading Centre 0882497088 18/08/2016 Kumwenda Elvas Nkhuika Trader (shop owner) Enukweni Trading Centre 0884409257 18/08/2016 Tryness Nyirenda Trader (shop owner) Enukweni Trading Centre 0882174429 18/08/2016 Sella Manda Trader (shop owner) Enukweni Trading Centre - 18/08/2016 Mercy Trader (shop owner) Enukweni Trading Centre 0888822922 18/08/2016 Timothy Trader (shop owner) Enukweni Trading Centre 0885578864 18/08/2016 Christina Trader (shop owner) Enukweni Trading Centre 0885687439 18/08/2016 Answer Trader (shop owner) Enukweni Trading Centre 0885573867 18/08/2016 Gomani Chief (V.H. Gomani) Enukweni Trading Centre 0884928996 18/08/2016 Wallen Trader (shop owner) Enukweni Trading Centre 0994425080 18/08/2016 Atusaye Trader (shop owner) Enukweni Trading Centre 0885079407 18/08/2016 Joseph Sulu Trader (shop owner) Enukweni Trading Centre 0888682508 18/08/2016 Twaibu Trader (shop owner) Enukweni Trading Centre 0888714045 18/08/2016

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Name Position Place Contact Date Banda Henry Ngulube Trader (shop owner) Enukweni Trading Centre 0888392809 18/08/2016 Liston Kalinga Trader (shop owner) Enukweni Trading Centre 0999378555 18/08/2016 Zakeyo Malunga Trader (shop owner) Enukweni Trading Centre 088250000 18/08/2016 Mr. Msumba Trader (shop owner) Enukweni Trading Centre 0888029718 18/08/2016 Mr. Sinkala Trader (shop owner) Enukweni Trading Centre 0884200885 18/08/2016 Alick Trader (shop owner) Enukweni Trading Centre 0881755546 18/08/2016

John Kumwenda Chairman-Market Chiskombe 0884055963 19/08/2016 committee Collings Kaonga Trader (shop owner) Chiskombe 0885707129 19/08/2016 Evans Trader (shop owner) Chiskombe 0884887889 19/08/2016 Mkandawire Jakobo Singini Trader (shop owner) Chiskombe 0881934870 19/08/2016 Kuwusa N’goma Trader (shop owner) Chiskombe 0888629399 19/08/2016 Samson N’goma Trader (shop owner) Chiskombe 0888056931 19/08/2016 Samson Harawa Trader (shop owner) Chiskombe 0884075153 19/08/2016 Tyson Moyo Trader (shop owner) Eng’congolweni 0888685667 19/08/2016 Saulosi Trader (shop owner) Eng’congolweni 0884157886 19/08/2016 Mkandawire Suzgo Trader (shop owner) Eng’congolweni 0888141229 19/08/2016 Mkandawire Kennedy k. Trader (shop owner) Eng’congolweni 0881803833 19/08/2016 Mapesi John J. Trader (shop owner) Eng’congolweni 0888622251 19/08/2016 Kumwenda Mrs. Chisi Trader (shop owner) Eng’congolweni 0994110299 19/08/2016 Jenet Chavula Trader (shop owner) Eng’congolweni 0884651301 19/08/2016 Jessi Zgambo Trader (shop owner) Eng’congolweni 0881078380 19/08/2016 Isabel Trader (shop owner) Eng’congolweni 0885141592 19/08/2016 Makwakwa Nancy Mhango Trader (shop owner) Eng’congolweni 0993762916 19/08/2016

Leah Tembo Community member Ekwendeni - 19/08/2016 Ivy Moyo Community member Ekwendeni 0884136248 19/08/2016 Grace Shaba Community member Ekwendeni - 19/08/2016 Eunice Shaba Community member Ekwendeni - 19/08/2016 Anna Banda Community Member Ekwendeni - 19/08/2016 Annie Soko Community Member Ekwendeni - 19/08/2016 Elizabeth Chipeta Community member Ekwendeni 0991100976 19/08/2016 Rose Banda Community Member Ekwendeni 0995790009 19/08/2016 Emelda Shonga Community member Ekwendeni - 19/08/2016 Faress Mhango Community member Ekwendeni 0991720942 19/08/2016 Alice Gawani Community member Ekwendeni 0884797113 19/08/2016 Queen Lungu Community member Ekwendeni - 19/08/2016

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Name Position Place Contact Date Wynes Nyirongo Community member Ekwendeni 0881208663 19/08/2016 Stanely Msachi Community member Ekwendeni 0881791124 19/08/2016 Melton Moyo Community member Ekwendeni - 19/08/2016 Mathews Shaba Community member Ekwendeni - 19/08/2016 Songelwayo Community member Ekwendeni - 19/08/2016 Banda Kennedy Shaba Chief Ekwendeni - 19/08/2016 Yaphet Banda Community member Ekwendeni - 19/08/2016 Maliseni Phiri Trader Ekwendeni 0995494910 19/08/2016 Alick Kalua Trader Ekwendeni 08812770301 19/08/2016 Brighton Trader Ekwendeni 0999910800 19/08/2016 Chiumia Frank Kachule Trader Ekwendeni 0881272132 19/08/2016 Mbanase Jere Trader Ekwendeni 088140781 19/08/2016 Walusungu Trader Ekwendeni 0994322602 19/08/2016 Mwakwakwa Chifuniro Chuba Trader Ekwendeni - 19/08/2016 Peter Kasanga Trader Ekwendeni 0882875599 19/08/2016 Kumbukanu Trader Ekwendeni 0991154832 19/08/2016 Ndhlovu Juliet Chihana Trader Ekwendeni 0888854219 19/08/2016 Esther Kaonga Trader Ekwendeni - 19/08/2016 Chiheni Trader Ekwendeni 0992230710 19/08/2016 Nyirongo

Lackson Njunga Community member Kacheche - 18/08/ 2016

Arnold Community Member Kacheche 0884042806 18/08/ 2016 Kumwenda Chorus Community Member Kacheche 0888171243 18/08/ 2016 Mkandawire Regina Community Member Kacheche - 18/08/ 2016 Kumwenda Matias Lungu Community Member Kacheche 088775626 18/08/ 2016

Kettie Banda Community member Kacheche - 18/08/ 2016

Monica Lungu Community member Kacheche - 18/08/ 2016

Memory Lungu Community member Kacheche - 18/08/ 2016

Maria Njunga Community member Kacheche 0888056931 18/08/ 2016

Yollam Community member Kacheche - 18/08/ 2016

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Name Position Place Contact Date Earman Community member Kacheche 088299581 18/08/ 2016 Kumwenda Robert Kalua Community member Kacheche 0884979199 18/08/ 2016

Lyness Luwe Community member Kacheche 0882017544 18/08/ 2016

Ethel Nyirenda Community member Kacheche - 18/08/ 2016

Tryness Gondwe Community member Kacheche 0884042086 18/08/ 2016

Rosaria Bwalya Community member Kacheche - 18/08/ 2016

Sophie Mzumara Community member Kacheche - 18/08/ 2016

Winnie Nyasulu Community member Kacheche 0885534141 18/08/ 2016

Forgive Community member Kacheche - 18/08/ 2016 Kumwenda Venson Gondwe Community member Kacheche 0881068902 18/08/ 2016

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Annex 6 Code of Ethical Conduct

REHABILITATION OF MZIMBA TURN OFF-MZUZU-KACHECHE (M1) ROAD

CODE OF ETHICAL CONDUCT

Project Period

Submitted to Supervision Consultant

Prepared by Contractor

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Date of Preparation

Contents

1.0 PREAMBLE ...... 107 1.1 Objective ...... 107 1.2 Scope and Implementation Mechanism ...... 107 1.3 Legal Framework ...... Error! Bookmark not defined. 2.0 GUIDELINE FOR CODE OF CONDUCT FOR LABORS AND OTHER EMPLOYEES ...... 107 2.1 Follow Government Laws, Company Rules, Regulations and Procedures ...... 107 2.2 Respect All Human Rights and be Courteous ...... 108 2.3 Diligently and in a Disciplined Manner ...... 108 2.4 Team Work ...... 109 2.5 Pursue Excellence in Works at Working Site...... 109 2.6 Compliance to the CEC outside Workplace ...... 110 2.7 Rewards and Punishment System ...... 110 2.8 Confession ...... 112 2.9 Acceptance of CEC by Employee ...... 112

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1.0 PREAMBLE Code of Ethical Conduct (CEC) is a set of organization’s guideline to its workers and management to help them conduct their actions in accordance with its primary values and standards. Therefore

...... (Name of the Company) CEC provides guidance and support to individuals carrying their work in ways that are compatible with its values. For this CEC to be effective, it will be promoted and championed throughout the company and its neighbourhood. Company Management staff, other employees (including local employee and foreigners), Suppliers and Sub-contractors must be provided with wide awareness about the CEC and the CEC must be supported by appropriate disciplinary and whistle-blowing or speak up procedures. The primary purpose for this CEC is to provide the company with a clear benchmark for ethical behaviour.

1.1 Objective The company’s objective in establishing this "Code of Conduct" is to promote ethics, honesty and professionalism within the company and among its employees. The company believes the action of every employee affects its entire organization and reputation. Any employee is obligated to strive for the extension of the Company’s interests within legal limits and responsible of preventing damages or loss of the Company’s interests. The company expects all employees to abide by this Code in carrying out their duties and functions so as to ensure the company’s sustainable development and growth.

1.2 Scope and Implementation Mechanism This policy and its related procedures and measures are applicable to all construction employees (including local employee and foreigners), suppliers and sub-contractors both onsite and off-site.

Implementation of this CEC will be done through inductions to new employees, and regular onjob trainings, seminars, workshops etc. to current employees. This CEC will be signed by all employees and shall be part of their contracts. Copies of this CEC will be shared with suppliers or service providers and sub-contractors both onsite and off-site, this will be considered as part of the contract between them and ...... (NAME OF THE CONTRACTOR).

2.0 GUIDELINE FOR CODE OF CONDUCT FOR LABORS AND OTHER EMPLOYEES

2.1 Follow Government Laws, Company Rules, Regulations and Procedures ...... (NAME OF THE CONTRACTOR) employees shall not breach government laws, company rules and regulations. Shall not work under manner related to working under the influence of alcohol or drug, stealing, assaults, fighting against, excessive absenteeism, and poor working performance.

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2.2 Respect All Human Rights and be Courteous a. Discrimination; A ...... (NAME OF THE CONTRACTOR) employee shall not discriminate or harass other employee (local or foreigner) or any other person concerned with the project on grounds of sex, tribe, religion, nationality, ethnicity, marital status or disability.

b. Respect for all; A ...... (NAME OF THE CONTRACTOR) employee will respect other employees, their rights, as well as their right to privacy especially when handling private and personal information.

c. Sexual Harassment; A ...... (NAME OF THE CONTRACTOR) employee shall refrain from having sexual relationships at the workplace. Likewise he/she will avoid all types of conduct which may constitute sexual harassment such as rape, sexual assault, offering or receiving preferential treatment, promises or rewards and offering or submitting to sexual favors, intentional physical conduct which is sexual in nature such as unwelcome touching.

2.3 Diligently and in a Disciplined Manner a. Diligent; for efficient performance a ...... (NAME OF THE CONTRACTOR) employee will perform his/her duties diligently and with a high degree of discipline. An employee shall therefore use the time, skills and expertise one has so as to attain the expected goals.

b. Discipline; Obey and effect lawful directives, Carry out assigned duties efficiently, Keep punctuality with respect to hours of arrival at work, at all official appointments or engagements and not absent oneself from duty without proper permission, authorization or reasonable cause; Avoid the use of rude and abusive language, Finish assigned duties within required time and standards. c. Use or possession of illegal drugs or alcoholic beverages is STRICLY PROHIBITED at all times during the work day, on or off the job-site. Drug/alcohol use at any time shall be grounds for IMMEDIATE DISMISSAL.

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d. Employees shall protect all company and project assets and use them only for appropriate company-approved activities. Employee shall not engage in any activity that may create a conflict of interest for the company or for themselves individually.

e. Safety and Attire; an employee will maintain personal hygiene, use Personal Protective equipment (PPE) according to the nature of the work and dress in respectable attire in accordance with the acceptable norms of the company. Job-sites must be left clean and secured at the end of each work day.

f. Child labor; Children shall not be allowed on job-sites...... (NAME OF THE CONTRACTOR) shall employ only a person who is eighteen years old or above.

g. Secrecy and Confidentiality; any employee shall not disclose Secrecy and confidential or official information which has Confidentiality been communicated to or has been availed while discharging official duties without due permission of the authorized person of the company.

2.4 Team Work The company will strive to promote team work by offering help and support to employees whenever it needed. Team work will be achieved by observing the following:-

1. Senior workers giving instructions which are clear and understandable to juniors and vice versa;

2. Being ready to offer an assistance to any staff/employee whenever necessary at a working front.

3. Finish assigned duties within required time and standards with respect to time.

2.5 Pursue Excellence in Works at Working Site Employee should strive to achieve the highest standards of performance; carry out assigned duties efficiently by keeping punctuality with respect to hours of arrival and leaving the work. Also be ready to acquire new knowledge and skills continuously and use them effectively.

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...... (NAME OF THE CONTRACTOR) employee shall be allowed to organize lawful for the purpose of promoting efficiency.

2.6 Compliance to the CEC outside Workplace Just like employees are vigilant about workplace they should also be vigilant about their overall conduct outside the workplace. Inappropriate conduct can harm an employer regardless of where it occurs.

So while outside the working place workers should behave well not limited to the following:

i. Behaving in a manner that is appropriate when interacting with general public, and other Staff;

ii. Acting at all times in such a manner to represent ...... (NAME OF THE CONTRACTOR) in the community in a positive manner;

iii. Avoid all acts of sexual harassment to the people around the community; and

iv. Avoid conduct which is not criminal but place others in harm way.

2.7 Rewards and Punishment System Correcting or reporting on violations of integrity rules is an action of protecting the rights of employees, shareholders, and the company. Once found to be factual, suitable rewards will be given to the reporter. Punishment will be administered, when an employee violates the rules of integrity.

The matrix below specifies the penalties for violating CEC items i.e. what they should not do as ...... (NAME OF THE CONTRACTOR) employees.

SN Act of violation of CEC Penalty

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1. Indiscipline: Failure to carry out reasonable instructions of Call for disciplinary hearing for judging the the employer; Commission of insubordination of the case. Disciplinary action would include the employer; Not keeping punctuality with respect to hours of following according to the nature of act of arrival at work; Absent oneself from duty without proper violation: permission; Unacceptable behavior towards fellow • Verbal or Written warning employees or public members and other people related to • Fine this project; Poor working performance; Causing damage • Suspension or loss to the employer’s property either through • Dismissal negligence or failure to carry out instructions. 2. Stealing, assaults, fighting against other workers, excessive • IMMEDIATE DISMISSAL but an employee absenteeism. will be given the right to be heard • Reporting to Police

3. Use or possession of illegal drugs or alcoholic beverages at • IMMEDIATE DISMISSAL but an employee all times during the working hours, on or off the job site. will be given the right to be heard • Reporting to Police

4. Not respecting other employees, their rights, as well as Call for disciplinary hearing for judging the their right to privacy especially when handling private and case. Disciplinary action would include the personal information. following according to the nature of act of violation: • Verbal or Written warning • Fine • Dismissal 5. Sexual Harassment :Not refraining from having sexual Call for disciplinary hearing for judging the relationships at the workplace; and not avoiding all types case. Disciplinary action would include the of conduct which may constitute sexual harassment such following according to the nature of act of as rape, sexual assault, offering or receiving preferential violation: treatment, promises or rewards and offering or submitting • Reporting to Police to sexual favors, intentional physical conduct which is • Suspension sexual in nature such as unwelcome touching. • Dismissal 6. Discriminate or harass other employee (local or foreigner) Call for disciplinary hearing for judging the or any other person concerned with the project on case. Disciplinary action would include the grounds of sex, tribe, religion, nationality, ethnicity, marital following according to the nature of act of status or disability. violation: • Verbal or Written warning • Suspension • IMMEDIATE DISMISSAL 7. Failure to maintain personal hygiene, use Personal Call for disciplinary hearing for judging the Protective equipment (PPE) according to the nature of the case. Disciplinary action would include the work and dress in respectable attire in accordance with the following according to the nature of act of acceptable norms of the company and not leaving job-site violation: clean and secured at the end of each work day • Verbal or Written warning • Fine • Suspension • Dismissal

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8. Disobeying transport management guideline for drivers and Disciplinary action would include the Call for Operators. disciplinary hearing for judging the case. Disciplinary action would include the following according to the nature of act of violation: • Verbal or Written warning • Fine • Suspension • Dismissal 9. Disclosing secret and confidential or official information Call for disciplinary hearing for judging the whose secrecy or confidentiality has been communicated case. Disciplinary action would include the to or has been availed while discharging official duties following according to the nature of act of without due permission of the authorized person of the violation: company. • Verbal or Written warning • Suspension • Dismissal

2.8 Confession In the case where the violator of the integrity rules makes the confession afterwards, his punishment may be reduced or waived.

In the case of a group violation of the integrity rules, the first one making the confession may be waived from his/her punishment.

2.9 Acceptance of CEC by Employee I, ………………………………………………………………., an employee of...... (Name of the Company), have read and clearly understood this Code of Ethical Conduct (CEC) and in case I violate this CEC appropriate disciplinary actions shall be taken as prescribed in this CEC. Name of employee: ………………………………………………………..

Position: ……………………………………………………………………..

Signature: ……………………………………………………………………

Date: …………………………………………………………………………..

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Annex 7 Sexual Harassment Policy REHABILITATION OF MZIMBA TURN OFF-MZUZU-KACHECHE (M1) ROAD

SEXUAL HARASSMENT POLICY

Project Period

Submitted to Supervision Consultant

Prepared by Contractor

Date of Preparation

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1. Policy Statement ...... (Name of the Company)is committed to providing a safe environment for all of its employees free from discrimination on any ground and from harassment at work including sexual harassment...... (Name of the Company) will operate a zero tolerance policy for any form of sexual harassment in the workplace, treat all incidents seriously and promptly investigate all allegations of sexual harassment. Any person found to have sexually harassed another will face disciplinary action, up to and including dismissal from employment. All complaints of sexual harassment will be taken seriously and treated with respect and in confidence. No one will be victimized for making such a complaint.

2. Definition of Sexual Harassment Sexual harassment is an unwelcome conduct of a sexual nature which makes a person feel offended, humiliated and/or intimidated. It includes situations where a person is asked to engage in sexual activity as a condition of that person’s employment, as well as situations which create an environment which is hostile, intimidating or humiliating for the recipient. Sexual harassment can involve one or more incidents and actions constituting harassment may be physical, verbal and non-verbal. Examples of conduct or behavior which constitute sexual harassment include the following:

a. Physical Conduct: Unwelcome physical contact including patting, pinching, stroking, kissing, hugging, fondling, or inappropriate touching Physical violence, including sexual assault Physical contact, e.g. touching, pinching and the use of job-related threats or rewards to solicit sexual favours.

b. Verbal conduct: Comments on a worker’s appearance, age, private life, etc. Sexual comments, stories and jokes Sexual advances Repeated and unwanted social invitations for dates or physical intimacy Insults based on the sex of the worker condescending or paternalistic remarks.

c. Non-Verbal Conduct: Display of sexually explicit or suggestive material, sexually suggestive gestures, whistling, and leering.

Anyone can be a victim of sexual harassment, regardless of their sex and of the sex of the harasser...... (NAME OF THE CONTRACTOR) recognizes that sexual harassment may also occur between people of the same sex. What matters is that the sexual conduct is unwanted and unwelcome by the person against whom the conduct is directed.

...... (NAME OF THE CONTRACTOR) recognizes that sexual harassment is a manifestation of power relationships and often occurs within unequal relationships in the workplace, for example between manager or supervisor and an employee. Anyone, including employees of ...... (NAME OF THE CONTRACTOR), clients, customers, casual workers,

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Page 115 of 100 contractors or visitors who sexually harass another will be reprimanded in accordance with this internal policy.

Any sexual harassment act is strictly prohibited whether it takes place within ...... (Name of the Company) premises or outside, including at social events, business trips, training sessions or conferences sponsored by ...... (Name of the Company).

4. Complaints Procedures Anyone who is subject to sexual harassment should, if possible, inform the alleged harasser that the conduct is unwanted and unwelcome...... (NAME OF THE COMPANY) recognizes that sexual harassment may occur in unequal relationships (i.e. between a supervisor and his/her employee) and that it may not be possible for the victim to inform the alleged harasser.

If a victim cannot directly approach an alleged harasser, he/she can approach one of the designated staff members responsible for receiving complaints of sexual harassment. This person could be another supervisor, a member of the human resources department, etc.

When a designated person receives a complaint of sexual harassment, he/she will:

• Immediately record the dates, times and facts of the incident(s). • Ascertain the views of the victim as to what outcome he/she wants. • Ensure that the victim understands the company’s procedures for dealing with the complaint. • Discuss and agree the next steps: either informal or formal complaint, on the understanding that choosing to resolve the matter informally does not preclude the victim from pursuing a formal complaint if he/she is not satisfied with the outcome. • Keep a confidential record of all discussions. • Respect the choice of the victim. • Ensure that the victim knows that they can lodge the complaint outside of the company through the relevant country/legal framework.

Throughout the complaints procedure, a victim is entitled to be helped by a counsellor within the company...... (NAME OF THE COMPANY) will nominate a number of counsellors and provide them with special training to enable them to assist victims of sexual harassment...... (NAME OF THE COMPANY) recognizes that because sexual harassment often occurs in unequal relationships within the workplace, victims often feel that they cannot come forward...... (NAME OF THE COMPANY) understands the need to support victims in making complaints. Complaints and grievances on sexual harassment will be handled through Grievance Redress Mechanism (GRM) that will be established on project basis.

a. Informal Complaints Mechanism If the victim wishes to deal with the matter informally, the designated person will:

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• Give an opportunity to the alleged harasser to respond to the complaint. • Ensure that the alleged harasser understands the complaints mechanism. • Facilitate discussion between both parties to achieve an informal resolution which is acceptable to the complainant, or refer the matter to a designated mediator within the company to resolve the matter. • Ensure that a confidential record is kept of what happens. • Follow up after the outcome of the complaints mechanism to ensure that the behavior has stopped. • Ensure that the above is done speedily and within 5 days of the complaint being made.

b. Formal Complaints Mechanism If the victim wants to make a formal complaint or if the informal complaint mechanism has not led to a satisfactory outcome for the victim, the formal complaint mechanism should be used to resolve the matter.

The designated person who initially received the complaint will refer the matter to a senior human resources manager to instigate a formal investigation. The senior human resources manager may deal with the matter him/herself refer it to a committee of three others in accordance.

The person carrying out the investigation will:

• Interview the victim and the alleged harasser separately. • Interview other relevant third parties separately. • Decide whether or not the incident(s) of sexual harassment took place. • Produce a report detailing the investigations, findings and any recommendations. • If the harassment took place, decide what the appropriate remedy for the victim is, in consultation with the victim (i.e. an apology, a change to working arrangements, a promotion if the victim was demoted as a result of the harassment, training for the harasser, discipline, suspension, dismissal). • Follow up to ensure that the recommendations are implemented, that the behavior has stopped and that the victim is satisfied with the outcome. • If it cannot determine that the harassment took place, he/she may still make recommendations to ensure proper functioning of the workplace. • Keep a record of all actions taken. • Ensure that the all records concerning the matter are kept confidential. • Ensure that the process is done as quickly as possible and in any event within days of the complaint being made.

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c. Outside Complaints Mechanisms A person who has been subject to sexual harassment can also make a complaint outside of the company. They can do so through Malawian Labour institutions e.g. Ministry of Labour through the District Labour Officer in Mzimba and Nkhataby or Malawi Police Victim Support Unit.

5. Sanctions and Disciplinary Measures Anyone who has been found to have sexually harassed another person under the terms of this policy is liable to any of the following sanctions:

• Verbal or written warning • Reduction in wages • Transfer • Demotion • Suspension

• Dismissal

The nature of the sanctions will depend on the gravity and extent of the harassment. Suitable deterrent sanctions will be applied to ensure that incidents of sexual harassment are not treated as trivial. Certain serious cases, including physical violence, will result in the immediate dismissal of the harasser.

6. Implementation of This Policy ...... (NAME OF THE COMPANY) will ensure that this policy is widely disseminated to all relevant persons through the service provider on Gender Based Violence and Child Abuse and Exploitation. It will be included in the staff handbook. All new employees must be trained on the content of this policy as part of their induction into the company. Every year, ...... (NAME OF THE COMPANY) will require all employees to attend a refresher training course on the content of this policy. It is the responsibility of every manager to ensure that all his/her employees are aware of the policy.

7. Monitoring and Evaluation ...... (NAME OF THE COMPANY) recognizes the importance of monitoring implementation of this sexual harassment policy and will ensure that it anonymously collects statistics and data as to how it is used and whether or not it is effective.

Supervisors, managers and those responsible for dealing with sexual harassment cases will report on compliance with this policy, including the number of incidents, how they were dealt with, and any recommendations made. This will be done on a yearly basis – or on monthly basis

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Page 118 of 100 at project level. As a result of this report, the company will evaluate the effectiveness of this policy and make any changes needed.

Name: ......

Position: ......

Signature: ......

Date: ......

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Annex 8 Labour Influx Management Plan Expected Adverse Potential Mitigation Measures Responsibility Impact

Social Impacts

All i. Establishment and operation of an effective GRM Roads Authority/ accessible to community members—ideally with Project Engineer/ involvement of NGOs—to facilitate early Social Specialist identification of problems and targeted mitigating interventions by Borrower; ii. Provision of information to communities on how to use the GRM to report issues; iii. Monitoring and taking appropriate actions to ensure CESMP provisions are met; iv. Inclusion of relevant provisions in the ESMP v. Inclusion of relevant provisions in the contract. Risk of social conflict i. Consultations with and involvement of local Roads communities in project planning and Authority/Social implementation; Specialist/ Project ii. Awareness-raising among local community Engineer and workers.

iii. Provision of information regarding Worker Contractor Code of Conduct in local language(s); iv. Provision of cultural sensitization training for workers regarding engagement with local community.

Increased risk of i. Police monitoring to prevent drugs illicit behaviours and trafficking; crime (including ii. Sensitization campaigns both for workers and local communities prostitution, theft and substance abuse) iii. Sourcing of local workforce; iv. Creation of supervised leisure areas in workers’ camp; Contractor v. Cooperation with local law enforcement; vi. Introduction of sanctions (e.g., dismissal) for workers involved in criminal activities; vii. Provision of substance abuse prevention and management programs. Adverse impacts on i. Liaison with civil society organizations to create community dynamics integrative action plans; ii. Provision of upfront information on potentially detrimental impacts on local communities. Roads Authority

iii. Provision of services in the workers’ camp to Contractor reduce the need for workers to use local community facilities (internet, sports); iv. Provision of entertainment and events for workers within camp to reduce incentives for mixing with local community.

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Influx of Additional i. Communications campaign to manage Population expectations and discourage spontaneous (“Followers”) influx of job seekers; ii. Local government to address this additional influx of the “followers” to ensure that no District illegal and unsafe settlements develop; Commissioner’s iii. Explore options for orderly accommodation office on open space that can be monitored by law enforcement. iv. Contractor to hire workers through labour/ recruitment offices and avoid hiring “at the Contractor gate” to discourage spontaneous influx of job seekers. Increased burden on i. Workers’ camp to include wastewater disposal public service and septic systems; Provision ii. Identification of authorized water supply source and prohibition of use from other community sources; iii. Separate service providers for community and workers’ camp/construction site; iv. Worker Code of Conduct on water and electricity consumption Increased risk of i. Contracting of an HIV service provider to be communicable available on-site; diseases (including ii. Implementation of HIV/AIDS education Contractor program; STDs and HIV/AIDS iii. Information campaigns on STIs among the workers and local community; iv. Education about the transmission of diseases; Ministry of Health v. Provision of condoms; vi. Monitoring of local population health data, in particular for transmissible diseases. Gender-based i. Instruction and equipping of local law violence, including enforcement to act on community complaints; sexual harassment, ii. Information and awareness raising campaigns for Government community members, specifically women and child abuse and girls; exploitation iii. Provision of information to host community about the contractor’s policies and Worker Code of Conduct (where applicable iv. Training of School Management Committee and head teachers on sexual violence and protection of children particularly adolescent girls

1. Mandatory and regular training for workers on required lawful conduct in host community and legal consequences for failure to comply with laws; v. Commitment / policy to cooperate with law Contractor enforcement agencies investigating perpetrators of gender-based violence; vi. Creation of partnership with local NGO to report workers’ misconduct and complaints/reports on gender-based violence or harassment through the GRM; vii. Provision of opportunities for workers to regularly return to their families;

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viii. Provision of opportunities for workers to take advantage of entertainment opportunities away from rural host communities.

Child labour and i. Communication on hiring criteria, minimum age, District Labour school drop out and applicable laws. Officer ii. Ensuring that children and minors are not employed directly or indirectly on the project. Contractor

Increased traffic and i. Local government engagement with contractor rise in accidents and communities to identify accident hotspots and formulation of solutions. Preparation and DC implementation of a traffic management plan to be approved by supervision engineer;

ii. Building additional/separate roads to project and workers’ camp sites; iii. Organization of commute from camp to project to Contractor reduce traffic; iv. Road safety training and defensive driving training for staff; v. Sanctions for reckless driving.

Environmental Impacts

Inadequate waste i. Inspection of waste disposal arrangements Resident Engineer disposal and creation ii. Reduction of waste generation; Sound practices of illegal waste for waste disposal.

disposal sites Contractor

Wastewater i. Regular inspection to ensure proper functioning. Resident Engineer Discharges ii. Ensuring workers’ camp and associated facilities are connected to septic tank or other wastewater systems which are appropriate and of sufficient capacity for the number of workers and local conditions.

Contractor

Increased demand on Water conservation and recycling of water; Consideration freshwater resource of use of rainwater where feasible; Avoiding contamination of fresh water sources. Contractor

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Camp related land Placement of workers’ camp away from environmentally RE/Contractor use, access roads, sensitive areas to avoid impacts on the local wildlife; noise and lights Routing of new access routes for workers’ camp to avoid/minimize environmentally sensitive areas.

Increased Cooperation with environmental organizations in the area deforestation, to seek their advice and allow for early feedback on adverse ecosystem impacts. Environmental degradation, and Planner/ Contractor species loss Only wood from commercial sources to be used on the project; Use of wood for fuel prohibited; Reduction in energy demand, reduced noise and light generation, contractor reduced and safe use of dangerous chemical substances.

Increased Close monitoring of impact on natural resources with Environmental and use/demand on enforcement of contract or legislative options; Social Planner natural resources Minimized land use change and use of other natural resources; Avoidance of deforestation around camp area; Prompt and effective response to environmental and social issues raised by supervision engineer. Contractor

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Annex 9 Child Labour Policy

REHABILITATION OF MZIMBA TURN OFF-MZUZU-KACHECHE (M1) ROAD

CHILD LABOUR POLICY

...... (PROJECT PERIOD)

Submitted to Supervision Consultant

Prepared by Contractor

Prepared on:

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1. INTRODUCTION ...... (Name of the Contractor) says “No to Child Labour”. This is the basis of Company Commitment to find practical, meaningful and culturally appropriate measures to support the elimination of child labour in workplaces. It therefore endorses the need for appropriate initiative to progressively eliminate child labour and abuse in ...... (Name of the Contractor) worksites.

2. LEGAL FRAMEWORK This policy has been prepared with respect to Child Labour Act; Prohibition of Child Labour

3. POLICY ...... (Name of the Contractor) construction Company Limited does not employ any person below the age of eighteen at the workplace...... (Name of the Contractor) prohibits the use of child labour and forced or compulsory labour at its work units. No Employee is made to work against his/her will or work as bonded/forced labour, or subject to corporal punishment or coercion of any type related to work.

4. IMPLEMENTATION The policy publicly available throughout the company and clearly communicated to all employees in a manner which it can be understood through induction programs and policy manuals. The implementation of the policy is the responsibility of the Human Resources Department and the security staff who do not permit minors to enter the working places. There is a zero tolerance policy toward its breach. Employment contracts and other records documenting all relevant details of the employees including age are maintained at all units and are open to verification by any authorized personnel or relevant statutory body. These units will be providing annual reports to functional head on any incidents and records of child labor for review.

5. MONITORING AND EVALUATION ...... (Name of the Contractor) Company Limited recognizes the importance of monitoring implementation of this Child Labour Policy and will ensure that it anonymously collects statistics and data as to how it is used and whether or not it is effective.

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Supervisors, managers and those responsible for dealing with sexual harassment cases will report on compliance with this policy, including the number of incidents, how they were dealt with, and any recommendations made. This will be done on a quarterly basis – or on monthly basis at project level. As a result of this report, the company will evaluate the effectiveness of this policy and make any changes needed.

Name: ......

Position: ......

Signature: ......

Date: ......

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Annex 10 Crime Management Plan

REHABILITATION OF MZIMBA TURN OFF-MZUZU-KACHECHE (M1) ROAD

CRIME MANAGEMENT PLAN

...... (PROJECT PERIOD)

Submitted to Supervision Consultant

Prepared by Contractor

Prepared on:

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TABLE OF CONTENTS

CRIME MANAGEMENT PLAN ...... Error! Bookmark not defined. 1. INTRODUCTION ...... 127 2. ENGAGEMENT OF SECURITY COMPANY ...... 128 3. SECURITY AND FENCING SYSTEM ...... 128 4. POLICE AND JUDICIAL ENGAGEMENT ...... 128 5. PROPER RECORDS OF PROPERTIES ...... 128 6. EMPLOYEES ENGAGEMENT AND COMMUNICATION ...... 128 7. COMMUNITY ENGAGEMENT ...... 129 8. ENROLLMENT OF EMPLOYEES ...... 129 9. CRIME MONITORING, REGISTRATION AND REPORTING ...... 129

INTRODUCTION This is the Crime Management Plan (CMP) for the Rehabilitation of Rehabilitation of Mzimba Turn Off-Mzuzu-Kacheche (M1) Road). The overall objective of this CMP is to ensure proper management of all kind of crimes through prevention, recording of crime incidences and taking

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Page 128 of 100 of appropriate measures in collaboration with local government authorities including engagement of the police and judicial system as appropriate.

ENGAGEMENT OF SECURITY COMPANY ...... (NAME OF THE CONTRACTOR) will engage a security company to deal with all kind of crimes which might be occurring during the rehabilitation/ construction period. The engaged security company will look after the company properties from being stolen and damaged by criminals around different project sites. The area which are given higher attention are quarry site and crushing plant site, borrow pits, contractor’s and engineer’s camp.

SECURITY AND FENCING SYSTEM Supervisors and watchmen shall inspect all properties around and sign off before handing over properties to the watchmen for full control of the company properties. The engaged security company will employ the people that are ethical and with integrity. The company properties will be safer only if are well contained / fenced properly, the fence ensures controlled access to camps and properties.

POLICE AND JUDICIAL ENGAGEMENT Any theft, corruption and fraud is a police case or matters, the police will be involved directly to investigate the scenario and come up with findings. ZCC will give them full support purposely to avoid re-occurrences of the situation. This is a point of justice, all misunderstandings to any person directly allegedly and is not satisfied with actions taken over him or other party the only place to seek for the grabbed rights is before the court.

All procedures should be well followed and without delay i.e. “rights delay is rights deny”.

PROPER RECORDS OF PROPERTIES All company properties should be very well recorded before, during and after completion of work. This will help the company to know the actual utilization of mobile equipment. Any property which is given out should be recorded on time by a specialist on data entry purposely to keep a record for future use and references.

EMPLOYEES ENGAGEMENT AND COMMUNICATION The company properties will be more safe only if the employees are directly involved to look after the company properties. The motivation to employees who are working with the company properties should be treated in a good manner and their image reflect as part and parcel of the company.

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COMMUNITY ENGAGEMENT The community along the project should be involved to help the company on getting the information on where, when and who is involving in a crime. Project beneficiaries are familiar with the environment in which the crime incidents are happening. ZCC has prepared Grievance Redress Mechanism (GRM) and Community Communications and Engagement Plan (CCEP) for ensuring effective management of social matters. The GRM and CCEP will be implemented in conjunction with this CMP.

ENROLLMENT OF EMPLOYEES To reduce or avoid crime incidents, the company shall establish a system of security screening to any employee before engaging him or her in the company system. This will help to get relevant information on the behaviour of the person being considered for employment. The human resources office should use any necessary effort to get the full information of the applicant before employing any person. And this should be workable to all employees such as foreigners and local employees because a criminal does not have a mark.

CRIME MONITORING, REGISTRATION AND REPORTING ...... (NAME OF THE COMPANY) recognizes the importance of monitoring implementation of this CMP and will ensure that it accurately collect statistics and data as to how it is used and whether or not it is effective. Supervisors, managers and those responsible for dealing with crimes will report on compliance with this plan, including the number of incidents, how they were dealt with, and any recommendations made. This will be done on monthly basis i.e. as part of Monthly Compliance Report (MCR) on the implementation of all environmental and social safeguards tools. As a result of this report, the company will evaluate the effectiveness of this plan and make any changes needed.

All kind of crimes will be recorded in crime register as shown in the following page.

CRIME REGISTER FORM No......

1. Place/ Point of the Incident………………………………………

Date…………………………………Time……………………………………

2. Person (s) Involved

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S/N Name Home Address Phone Age Gender Company number Employee Yes No 1. 2.

3.

4.

5.

3. Description of the Incident

……………………………………………………………………………………………………………… ………………………...…………………………………………………………………………………… …………………………………………………...………………………………………………………… ……………………………………………......

4. Action(S) Taken by the Company

……………………………………………………………………………………………………………… ………………………………………………………………………………………………………………

5. Registered by:

………………………………. …………………….. …………………...... ………………

Name Designation Signature Date

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Annex 11 Grievance Redress Mechanism

REHABILITATION OF MZIMBA TURN OFF-MZUZU-KACHECHE (M1) ROAD

Grievance Redress Mechanism

Project Period

Submitted to Supervision Consultant

Prepared by Contractor

Date of Preparation

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TABLE OF CONTENTS

ABBREVIATIONS AND ACRONYMS ...... ii 1. INTRODUCTION ...... 1 1.1Purpose of This Document ...... 1 1.5. Key Project Stakeholders Relevant to GRM ...... 2 2. GRIEVANCE REDRESS MECHANISM ...... i 2.1. Grievance Types ...... i 2.2. Stakeholders Consultation...... i 2.3. Grievance Procedures ...... ii 2.3.1 Grievance Management Process ...... ii 2.3.2 Grievance Uptake ...... iv 2.3.3 Grievance Documentation ...... v 2.3.4 Response and Acknowledgement ...... v 2.3.5 Fast Track ...... vi 2.3.6 Investigation of the Grievance ...... vii 2.3.7 Grievance Resolution and Appeal ...... vii 2.3.8 Grievance Closure ...... ix 2.4. Roles and Responsibilities for GRM Implementation ...... ix 3. GRIEVANCE MANAGEMENT TIMEFRAME ...... x 4. INTERNAL AND EXTERNAL COMMUNICATION ...... xi 5. SHEDULE, BUDGET, MONITORING AND REPORTING ...... xii 5.1. Schedule ...... xii 5.2. Training and Budget for GRM Implementation...... xiii 5.3. Monitoring, Reporting and Continuous Improvement ...... xiii 5.4. Grievance Profile ...... xiv 6. APPENDICES ...... xvi Appendix 1: Terminology (Terms and Definitions) ...... xvi Appendix 2: Grievance Intake Form ...... xvii Appendix 3: Grievance Acknowledgement Letter (To Be Translated into Tumbuka) ...... xviii Appendix 4: Grievance Follow-Up Form ...... xix Appendix 5: Grievance Resolution Acceptance / Refusal Letter (To Be Translated into Tumbuka) xx

i

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ABBREVIATIONS AND ACRONYMS

CCEP Community Communication and Engagement Plan CLO Community Liaison Officer CMP Crime Management Plan ESMP Environmental and Social Management Plan GRC Grievance Redress Committee GRM Grievance Redress Mechanism HIV/AIDS Human Immunodeficiency Virus/ Acquired Immunodeficiency Syndrome HR Human Resources HSE Health, Safety and Environment HSMP Health and Safety Management Plan NGOs Non-Governmental Organizations PPE Personal Protective Equipment RE Resident Engineer RA Roads Authority TMP Traffic Management Plan

ii

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1. INTRODUCTION

1.1Purpose of This Document This document describes the procedures that will be followed by the contractor to address grievances/ complaints submitted by the people who may be impacted by the project. It intends to provide clarity and predictability on how grievances/complaints will be received, assessed, sorted, and resolved, and monitored. Specific activities for each of these steps are described in Chapter 2.

The central aim of this Grievance Redress Mechanism (GRM) is to help reduce tension between the Contractor and its affected communities and workers. This document is designed to improve the company’s current procedures for managing grievances and complaints in accordance with international best practices. Some of the terminology used in grievance management may vary from one project or function to the next. To avoid confusion, see Appendix 1 – Terminology for definitions of the terms used in this document.

In addition, this GRM will help to improve the Project social performance since the number and nature of the received grievances and complaints is an indicator of the manner in which the Project is conducted and the behavior of employees and contractor. A high number of grievances will indicate the need for adjusting some procedures and practices in order to reduce the level of negative impacts or conflict with the local population. It is expected that the effective implementation of this GRM will help to establish good relations between the Project/ Contractor and the local community/ the affected community. This GRM is to be used in conjunction with the other related tools including site-specific Environmental and Social Management Plan (ESMP), Community Communication and Engagement Plan (CCEP), Crime Management Plan (CMP), Traffic Management Plan (TMP), and also HIV/AIDS awareness program and site-specific Health and Safety Management Plan (HSMP). An effective grievance mechanism is an important channel for feeding information from communities and the workforce into the company and functions as an integral part of a community engagement and internal communications program.

The specific objectives of this GRM are as follows:

• To create accessible, responsive and demonstrably fair channels to resolve communities’ and workers’ grievances and complaints in a mutually acceptable process.

• To implement effective dialogue and open lines of communication with the public.

• To creates an extra channel for receiving information about community and worker grievances and complaints with the company.

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• To serve as a release valve for community and worker grievances and complaints stemming from a project and provides early warning of potential problems that are developing.

• To prevent unrealistic expectations or negative perceptions from the local population towards the Project.

• To establish a system of investigation, response and quick grievance resolution.

• To prevent grievances and complaints from accumulating and escalating to conflicts such as protests, sabotage or strikes that can be very costly to a company in terms of its reputation and in terms of work time, land access or additional demands.

• To allow the company to understanding the project risks associated with a grievances. Protests, campaigns and strikes can arise from ‘unfounded’ grievances or misunderstandings as well. The grievance mechanism provides one channel that a company can use to rectify these sorts of misunderstandings or explain why a grievance is unfounded or is not within the company’s jurisdiction.

• To manage negative publicity and activist campaigns. A company that operates responsibly and has effective grievance management channels can actively manage strike threats and hence reduce opportunities for activists to influence aggrieved workers.

• To improve the Project social performance through the analysis of grievances and complaints.

1.5. Key Project Stakeholders Relevant to GRM Table 3 next page presents a list of key stakeholders for the rehabilitation of the road section. The plan is to keep the stakeholders updated of the rehabilitation works as per contractor’s work plan so as to avoid frictions as much as possible. Reliable and timely communications through appropriate channels will very likely to build a better relationship between the Contractor and other project stakeholders.

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Table 1: Key Stakeholders for the Rehabilitation of the Road Category of Names stakeholder 1. Government Authorities • Mzimba District Council Officials, Nkhatabay District Council Officials ,Roads Authority, Central Government

2. Government Agencies • Mzimba District Council Officials, Nkhatabay District Council Officials, Roads Authority, Central Government, MRA, Police etc.

3. Business Owners/ • Various Operators

4. Road users All kind of road users including pedestrians, cyclists, vehicles etc. 5. Smallholder farmers Smallholders and rice growers along the road

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2. GRIEVANCE REDRESS MECHANISM

2.1. Grievance Types The Project will receive any kind of grievances and complaints such as those about local hiring, unfulfilled agreements, unplanned impacts and infrastructure damage, grievances and complaints about the public consultation process, land negotiation, or construction impacts, grievances about social and environmental performance, economic conditions, cultural contexts, child labour, sexual harassment, racism etc. The table below summarized anticipated types and sources of grievances and complaints for the project.

Table 2: Expected Community and Work Grievances Community issues Workers issues

• Regarding environmental issue, dust for • Contract workers are informed about safety passengers and community residing requirements and can become unhappy if they do not along the road especially those located have access to Personal Protective Equipment (PPE). at diversions, competition for water. • Workers whose contracts are not renewed frequently • Social issues – land acquisition, complain. infrastructure/ property damage, sexual harassment, child labour, security • Worker dismissal without been given a chance to be concerns, etc. heard.

• Employment for local community • Criminal cases (Village around the project area).

• Unfulfilled development commitments • grievances about lack of PPE in communities.

2.2. Stakeholders Consultation Consultation to the key stakeholders on the GRM is required to create support for the process. If they support the process, people will use it and the system will be effective for the company. The consultations should focus on community, RE office, Roads Authority regional office and workers’ leaders (formal and informal). For the workers’ grievance process, workers union leader’s and workers’ delegates should also be consulted, as well as at least one focus group of workers from each working site. A key consideration for the consultations will be to ensure the appropriateness of grievance channels and mechanisms for increasing the access of women, youth and other groups with limited voice and to manage the concerns of leaders over making alternative grievance channels available.

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2.3. Grievance Procedures

2.3.1 Grievance Management Process The diagram/ Figure 2 next page gives a step-by-step overview of the proposed grievance management process. Each step is described in detail after the diagram.

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Figure 2: Grievance Resolution Flowchart

Depending on the nature and complexity of the grievance, relevant representatives from District Commissioner’s Office, local police station, health centers, religious institutions, Non-governmental Organizations (NGOs)/Community Based Organizations (CBOs).

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2.3.2 Grievance Uptake Community grievances may be received from a variety of sources, among them being individuals, communities, civic or other non-governmental organizations (NGOs), government officials and others. All grievances will be received by the Social Specialist/ Community Liaison Officer (CLO)/ Sociologist through mechanisms of identifying and receiving grievances presented in Table 5 below. Information on these various channels to submit grievance or complaint will be displayed on the notice board at contractor’s camp, engineering camp, and local government offices around the project area.

Table 3: Mechanisms to Identify and Receive Grievances Mechanism Description 1. Direct contact to the site Through phone number, letter, email and social media such as office WhatsApp or physically by visiting the site office. Anonymous grievances will be accepted by phone. 2. Contact with local The SP/CLO will be in constant contact with the local authorities, authorities so that local leaders may articulate any type of grievance. 3. Visits to local communities Grievances will be received through the SP/CLO who, as part of implementation of Community Communication and Engagement Plan (CCEP), will periodically visit the communities to hold meetings with the community members, local authorities, community leaders, etc. The SP/CLO will also hold informative workshops periodically. Local workers will also be able to express grievances and complaints to their SP/CLO, or in their place of work. 4. Suggestion Boxes Suggestion boxes will be available to the contractor’s camp, engineering camp and at local government offices around the project area. This is potential channel for anonymous grievances for workers and community. 5. Exit Interviews GRM should consider introducing exit interviews as a way to gather feedback from employees on issues that they may not have been willing to raise while they were still working for the company. 6. Information table Having an information table at the work site on a regular day each week, where workers can ask questions or express concerns, is also a simple and effective way to encourage two-way communication.

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2.3.3 Grievance Documentation SP/CLO will be responsible for documenting the grievances and complaints from different stakeholders in the form presented in Appendix 2: Grievance Intake Form.

2.3.4 Response and Acknowledgement

2.3.4.1 Response Once the grievance is received, the SP/CLO will determine if it is related to the project development. All grievances related to the project development will be responded on the spot and offered immediate resolution while those non-project grievances will be submitted into different body/institution. After receiving and document the grievance, the CLO will proceed in the following manner:

• Speak with the person who lodged the grievance to learn as much as possible about the case. What exactly happened? When? Who were the people involved? It is important to listen attentively to the person while he/she expresses his/her grievance.

• Determine whether the grievance is a grievance, complaint, suggestion or request and assign it to the appropriate process.

• Determine whether the grievance can be managed by GRM, under its accountability.

• Determine whether the grievance is a HR or a community issue. Grievance investigations will be managed in two streams: community grievances will be managed by the community development team and workers grievances will be managed by the HR team. For most grievances it will be clear which team should manage it. Grievances by local workers that link to the selection process for hiring may need to be managed by a combination of the community development team and the HR team. These should be managed through the community process to enable the broadest involvement in the investigation and resolution. For HR issues where workers representatives or the union should be involved, the proper union process should be used.

• Determine whether the grievance is urgent. Most grievances can be managed through the standard grievance process that will take between two and four weeks to resolve. Occasionally, a grievance may be raised that is more urgent and that is likely to escalate if it is not managed in a more expedient way. The urgency screen enables the contractor to fast-track urgent grievances and convene a senior management committee urgently, so that a response and other intervention can be initiated before a crisis is present.

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• Communicate and explain the grievance to the GRM committee.

• Determine the possible corrective action(s) or mitigation of the grievance. The nature of the corrective action, the time in which it must be implemented.

2.3.4.2 Acknowledgement An appropriate acknowledgement should be delivered to the grievant explaining the timeframes and the process. This should always include a written acknowledgement as presented in Appendix 3 (Acknowledgement Letter) and should also include an appropriate oral explanation. This will include providing information to people who have submitted a grievance outside the purview of GRM and who need to submit their grievance to a different body. For anonymous grievances, it may be appropriate to post an acknowledgement on community or worker notice boards.

Once the grievance acknowledgement letter has been delivered, it and the grievance timeframe should be entered into the grievance log. Other key information to be documented at this stage include: grievance status and whether it will be managed through the HR or communities process; name of the manager responsible for managing the grievance.

2.3.5 Fast Track The aim of the fast-track process is to minimize damage to Contractor’s operations, his relationships with stakeholders and his reputation as well as to minimize harm to people. Sometimes it may happened that the grievance received has the potential to escalate into a protest, strike and reputational issue or to cause harm to company assets or people. Grievances of these type should be raised immediately to the senior management levels and managed through a fast-track process. The table below provides criteria for selecting the normal or fast-track grievance management process.

Table 6: Fast Track Grievance Matrix Criterion High risk Low risk 1. Number of grievant A group of families or workers, a One grievant, one family, one whole community (not just the worker leaders) 2. Level of outrage / social Everyone is talking about this and Everyone is talking about this but support people are quite upset only a few people are upset. Only a few people are talking about this. vi

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3. Presence of political or There are signs that external or No sign of external escalation external agents seeking to political actors want to escalate escalate Overall escalation risk: More than one high-risk factor – or Only one high-risk factor and no a clear escalation risk is present signs of impending escalation

The fast-track grievance process enables ZCC to act quickly to minimize damage by reassigning resources. It should always involve engagement with the grievant and other relevant stakeholders and should acknowledge the grievance as a source. Fast-tracked grievances should be flagged in the grievance log and a different sort of acknowledgement both in writing and in person should be extended to the grievant and other interested parties.

2.3.6 Investigation of the Grievance Grievances may be founded on fact or may be founded on perception, or in some cases may be opportunistic or misplaced. The investigation process serves to ascertain the facts of the case and use these facts to propose suitable resolutions to the grievance. The extent of investigation for anonymous grievances is limited and it may be impossible to do very much to resolve these grievances, although an investigation should be attempted and its outcomes documented.

Investigations will be coordinated by the Social Specialist (SP)/Community Liaison Officer (CLO), in the case of community grievances and by the HR officer in the case of worker grievances. The SP/CLO will send out reminders prior to deadlines for acknowledging and responding to a grievance, if there is no record in these actions being complete as per Appendix 4: Grievance Follow-Up Form.

Typically many grievances need collaboration between internal departments in order to reach effective resolution. It is helpful to have an agreement between departments about who the key contact person will be for each department for resolving grievances.

The expected outcome of an investigation is to establish the facts of the situation. The investigation should also try to identify any misunderstandings and perceptions that contribute to the grievance. These facts should be logged in the grievance log along with the identities of those involved in the investigation.

2.3.7 Grievance Resolution and Appeal

2.3.7.1 Grievance Resolution Criteria The resolution must meet certain criteria in order to be considered adequate, in that case when resolving a grievance the contractor should aim for the following: vii

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• Remedy problems instead of paying compensation or providing additional benefits. This means that the best resolution for damage to property caused by the company is to restore the damage, rather than to pay compensation for the damage.

• Remedies should address root causes, where possible, rather than only addressing symptoms. For instance, grievances about lack of PPE should include a process for distributing and keeping PPE rather than simply replacing or buying more PPE without addressing the root cause of the problem. They should also address developing a stronger safety culture within the company.

• Remedies should rest on existing standards and criteria to the extent possible. E.g., remedies for damage should refer national standards for compensation, although they should not necessarily be limited to recognized amounts if these are inadequate to replace or repair damage.

• Remedies should seek to provide fair compensation for losses. Compensation should aim to return to a level equal to the situation prior to the grievance. Providing generous compensation tends to encourage opportunistic grievances, whereas providing inadequate compensation can damage company relationships and reputation among stakeholders.

• ZCC’s contribution to resolving grievances should be in proportion to its contribution to the problem. ZCC’s aim should be to fully mitigate any impacts or harm caused by the company to its affected communities. For situations fully under the control of ZCC, this means that ZCC will take full responsibility for its impacts. For indirect impacts and issues or for issues where a third party is involved, it is reasonable to expect that ZCC will only compensate in alignment with its level of responsibility. In the case that damage is caused by subcontractor working for ZCC, then ZCC has a higher burden to remedy, if the subcontractor refuse to remedy issues themselves, but should first seek to persuade the subcontractor to remedy the grievance.

2.3.7.2 Grievance Resolution The GRM is designed to resolve grievances as quickly and efficiently as possible. The grievance will be resolved into three levels depend on the nature and complexity of the grievance received. These levels are described in the Table 7 below.

Table 7: Grievances Resolution Resolution level Description First resolution Involve those grievances resolved with an explanation, clarification, or delivery of information. These cases will be closed and documented, if not SP/CLO will conduct investigation and provide resolution which will be approved by project manager.

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First review If grievant was not satisfied with first resolution, grievance will be presented and discussed to the Grievance Redress Committee (GRC) for resolution. This task will be conducted in the presence of the person or the representatives of the local community lodging the grievance. Second review If the grievant is not happy with the resolution provided in the first review, the contractor will contact representative from Roads Authority, local government leader e.g. VDC for reviewing the case with GRC to provide the third resolution. This task will be conducted in the presence of the person or the representatives of the local community lodging the grievance.

2.3.7.3 Grievance Appeal If the grievant does not accept the resolution provided in the third review of resolution, that case will closed and the grievant may seek redress through courts.

2.3.8 Grievance Closure Where there is an agreement between the grievant and the contractor on how the grievance will be resolved, a minute will be drafted and signed by them as per Appendix 5. After due implementation of it, a new minute will be signed stating that the grievant has been resolved. If the grievant does not accept the resolution option or if he/she does but an agreement is not reached, the case will be closed and the grievant may seek redress through courts. Anonymous grievances will usually be regarded as closed once a resolution is proposed.

2.4. Roles and Responsibilities for GRM Implementation The Contractor is responsible for resolving grievances and complaints associated with the project within the project life time. This mechanism will be available to any person, group, community or local employee of the Project who considers himself/herself affected by Project activities. Table 8 below outlines the roles and responsibilities for the implementation, management and oversight of the GRM.

Table 8: Roles and Responsibility for GRM Implementation and Oversight Responsible person Roles and Responsibilities Project Manager and other key Responsible for supporting an effective grievance management decisionmakers process by providing adequate staff, resources and funds for its implementation.

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Social Specialist/ Community Liaison Leads the Grievance Procedure and all other social plans and Officer (CLO) or Sociologist programs. Responsible for publicity of the grievance process at the community level, Collect grievances from the community and document them. Evaluate and transmit the feedback obtained from stakeholders to the contractor so that this information can be addressed if is applicable-in project decisionmaking and Oversee the grievance procedure effectiveness and Conduct grievance and provide first resolution which will be approved by project manager. Grievance Redress Committee (GRC): A GRC will be established to oversee how the mechanism is Comprises of Project Manager, CLO/ performing. Reviewing grievances especially during first review Sociologist, Representative from and participate in second review. GRC will meet quarterly to Supervision Consultant, Workers’ Union regularly review a report of the grievance log and will resolve any Representative, representative from outstanding grievances. Also may meet on an ad hoc basis to appropriate local authorities (e.g. village resolve urgent cases through fast track process. Development Committee or Market committee, district council etc.) Human Resource Department • Oversees Human Resources (HR) grievances and complaints so that follow-up is timely. • Manages grievance process with workers’ union and associations. Departmental Grievance Representatives Each department will name a representative to be the point contact (DGR) person for grievances related to a specific department (e.g. health and safety, environment). This person will participate in grievance investigations and will support in determining and implementing remedies in coordination with the SP/CLO / GRC.

3. GRIEVANCE MANAGEMENT TIMEFRAME Reliable and realistic timeframes are a key part of a grievance management process since they add an element of certainty to the grievance management process and increase trust in the process when they are followed. Adherence to that, ZCC grievance management process will follow grievance management time frame presented in Table 10 below.

Table 10: Grievance Management Timeframe Process Time frame 1. Acknowledge all grievances Within one week of receiving the grievance 2. Endeavour to have an initial resolution for a within one week of receiving the grievance grievance

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3. For grievances where the investigation is more Within three weeks time consuming, the grievant should be informed of the situation and the timeframe to be followed 4. First review should aim to be completed within two weeks of receiving the grievance 5. Second review Within four weeks of receiving the grievance

4.INTERNAL AND EXTERNAL COMMUNICATION GRM need to be accessible to all members of society and all members of the workforce (including employees working for contractor). A first step in achieving accessibility is to ensure that all community members are aware of and understand the grievance management procedure. Publication of the GRM should consider both community and worker audiences and should involve a range of different communication channels including public meetings, village council meetings, notice boards, morning meetings and informal engagement. The Social Specialist/Community Liaison Officer (CLO) will be responsible for implementing an appropriate Community Communication and Engagement Plan (CCEP) in collaboration with the management team.

Successful implementation of the GRM will rest on effective internal communication about the process to create buy-in from the managers, and a practical understanding of grievance flow, roles and responsibilities, documentation and monitoring from supervisors and community development staff, who will play key implementation roles. The following are the recommended content for training sessions:

• Senior Managers: The importance of the GRM to risk management, overview of the process and a more detailed and practical understanding of the roles each department will play in investigations, fast-track grievances and appeals. They will also need to understand the importance of monitoring indicators and be able to interpret the statistics that will be shared with them in monthly reports and during management meetings. Training of senior managers will focus on creating their buy-in for the process, so that they can then ‘champion’ the process and provide due weight to high priority and unresolved grievances. In addition, they should have enough information to be able to collaborate fully in the process when grievances involve issues in their areas of responsibility. Because the GRM point person in each department is likely to be the most senior representative, their training should include investigations procedures and methods for determining the most appropriate options for grievance resolution.

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• Supervisors and Social Specialist/Community Liaison Officer: These people will be most directly involved in implementing the GRM. They need to receive practical training based on case-study examples that help them to understand: The distinctions between grievances, complaints and requests, so that they can manage each appropriately, Decisions to fast-track grievances and how to make them and Decisions to document grievances and how to make them. The grievance management process, including a discussion of each of the steps, its importance and how to implement it correctly, correct procedures for documenting grievances, time frames for grievance management, identifying appropriate grievance resolution options, communication with grievant during the process, closing grievances, including communication and documentation requirements, key messages to share about the grievance management process with community and worker stakeholders, monitoring the grievance management process and how do we know if the process is functioning well.

5.SHEDULE, BUDGET, MONITORING AND REPORTING

5.1. Schedule On the current timeline, GRM implementation is planned to start immediately after its approval by the Employer, Roads Authority (RA) through the Supervision Consultant throughout the construction phase. A detailed mini-plan will be developed for the roll-out, including information on the following:

1. Any consultation prior to the implementation.

2. Internal training on the procedure.

3. Key messages to accompany consultations and internal communications procedure.

4. Development of any communications materials to support implementation.

5. Schedule of meetings to communicate the implementation with both workers and communities.

6. Follow-up informal meetings in communities to check understanding and to collect grievances more broadly.

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7. Follow-up process with workers to ensure understanding and to encourage use of the GRM.

8. Monthly assessment of use of the process and associated analysis at least quarterly to review performance and suggest.

5.2. Training and Budget for GRM Implementation All other personnel involved in the implementation should receive training at their places of work during working hours and meetings with communities and with Contractor’s workers should occur as part of the ongoing stakeholder engagement and internal communications strategies.

Budget should be made available on implementation of this GRM including salary for Community Liaison Officer (CLO), costs to cover the production of initial community and worker communications materials, as well as some information regarding additional stakeholder engagement requirements (including transportation and communications costs).

5.3. Monitoring, Reporting and Continuous Improvement All management systems need to be monitored and analyzed regularly so that problems can be identified and corrective measures implemented. The aim of the GRM is to function as an effective feedback mechanism to prevent issues and concerns from escalating into protests and reputational issues for the company. To do this effectively it needs to be trusted by community members as a channel for resolving issues, and it has to receive and resolve grievances effectively. A clear sign of a dysfunctional grievance process is one that receives no (or extremely few) grievances. The following are the useful monitoring indicators:

• Number and type of grievance received (divided into community/worker grievances, if useful divided into grievance sub type (e.g., environmental issue, worker transport issue, commitment delay, etc.).

• Distribution of community grievances by community and of worker grievance. (NB: High numbers of grievances in one area may be a sign that the process is trusted in this area and not in others and, as such, is not necessarily an indicator of poor performance.).

• Written comments analyzing the trends in distribution of grievances.

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• Grievance resolution: % of grievances acknowledged, resolved, appealed and implemented within the agreed timeframe.

• Written comments analyzing the resolution of grievances: e.g., explain which grievances are tardy, why, and what, if anything, can be done to improve resolution and implementation of remedies.

The key indicators (for inclusion in monthly, quarterly and annual reports that shall be submitted to the Supervision Consultant and then to the Employer, RA) are the number of grievances received and the number of grievances resolved to the satisfaction of all parties within the proposed time frame. It is important to note that the aim of a GRM is NOT to achieve a zero grievance level. An effective GRM receives grievances, investigates and manages them in an efficient manner and generally achieves resolution of grievances within the expected time frame. Zero grievances is an indicator that the process is not effective, suggesting it is not known, not accessible or not trusted.

5.4. Grievance Profile As shown in the figure below, typically when an effective grievance management is launched it receives a wave of grievances, complaints, disputes, suggestions and requests. As the company demonstrates fair and strict management of grievances workers and community members learn which issues can be raised effectively through the grievance process and which cannot. After this, so long as the process continues to be known and accessible, the grievance process serves to identify and remedy issues effectively.

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Figure 3: Typical Grievance Profile When Setting Up a Successful Process

ZCC will endeavor to achieve the above grievance profile.

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6. APPENDICES

Appendix 1: Terminology (Terms and Definitions) Grievance A complaint against a company for a specific action that has caused, or is perceived to have caused, damage, including a request for compensation for the harm caused. Complaint A more generic expression of discontent about a company based on actions or perceptions. Disputes Disagreement about something between two parties that is outside ...... (NAME OF THE CONTRACTOR) immediate sphere of accountability, but that impacts on the company in some way. For example, a dispute between two workers that is affecting their work performance or a dispute between community members and a district chairman over unfair practices used to recommend workers to GRM. Request When a stakeholder or group of stakeholders asks for or demands some sort of benefit from the contractor. Requests may be presented in conjunction with grievances; however, the benefit typically does not ‘fit’ as compensation for the grievance in the case of a request. Resolution A mutually agreeable solution to a grievance that is signed (or otherwise personally acknowledged) by both parties. Remedy The actions to which the company and grievant agree in order to resolve the grievance.

Appeal A recourse open to a person laying a grievance, if they are not satisfied in the first instance with the remedy offered by the company. Affected community For the purposes of ZCC, affected communities are considered to be (i) those that are located along the project road; (ii) those located outside the project road but have provided land for sourcing road construction activities; (iii) business owners/ utility companies along the project road; (iv) some of the larger towns (e.g. Mzuzu) that serve as recruiting hubs for the company; and (v) all kinds of project road users. Legal recourse State justice processes that people submitting grievances are free to use concurrently with the grievance process or if the grievance process does not produce a satisfactory resolution. Outside company A company has direct responsibility to resolve grievances resulting from its own actions or accountability the actions of one of its employees or subcontractors (or their employees) on third parties in the course of their work activities. All other issues are outside company’s direct accountability and there are often other recognized systems for dealing with them. However, there are often disputes that impact on company operations that are not within its direct sphere of accountability. In these cases a company may partner with external authorities to increase the chances of an effective resolution being reached Communications Communications is a specialty area of social management focused on effective diffusion and reception of messages in effective formats. Stakeholder Any sort of engagement in which there are exchanges between company social team members Engagement or other relevant members of the management team and community or internal (employee, contractor, etc.) stakeholders. Formal Engagement Formal stakeholder engagement typically occurs in pre-planned meetings. They are often meetings between the contractor and groups of stakeholders.

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Informal Informal stakeholder engagement is unplanned (more spontaneous) engagement. It can take a Engagement variety of formats from impromptu meetings to phone calls, exchanges during company events (e.g., film nights), and in person conversations. Informal engagement is a key part of an effective stakeholder engagement system. Disclosure A process for publicizing pertinent information about an issue including information about both positive and negative aspects of an issue. Responsive When consultations uncover concerns and recommendations about an issue from stakeholders, a responsive process considers each issue seriously and provides a response, positive or negative to the stakeholders. It seeks to respond in a fair manner rather than ignoring or underestimating concerns.

Appendix 2: Grievance Intake Form

Other departments involved in the grievance: Environment Human resource Health and Safety

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Type of Complaint

Employment Disagreement Misconduct of company Access to information Property damage Dispute employee/contractor

Name of Contractor’s Person to Address the Grievance: ______

Location: ______

Phone Number: ______

Appendix 3: Grievance Acknowledgement Letter (To Be Translated into Tumbuka) Company Address

Date

Grievant Address

Dear [Grievant Name],

Re. Grievance Number ########

Thank you for submitting your grievance to the ...... (NAME OF THE CONTRACTOR) (ZCC) - worker /community Liaison department. ZCC is committed to maintaining strong relationships with the communities and workers that enable it to operate and strives to address grievances in a responsible and timely manner.

Because we wish to give due weight to your grievance it is currently in an investigation process where relevant people will be contacted to understand more about the grievance. If we need more information about your grievance from you we will contact you during this process.

We will investigate your grievance to ascertain the facts of your case and once this is complete, ZCC will propose a resolution to the grievance based on these facts. We make every effort to be consistent in our approach to grievances and take into consideration the facts of the situation and the extent to which ZCC is responsible for the situation. Our aim is to reach a resolution that is fair to you and also fair to the company.

We aim to provide you with this initial proposed resolution within one week of receiving your grievance. In your case we aim to provide you with this information by [Insert Due Date here]. Our Community Liaison Officer / appropriate member of the management team [insert appropriate clause depending on whether it is a community or worker grievance] will bring you a written version of the proposed grievance and will explain anything in the resolution that is not clear to you. You will then have the choice of:

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a. Accepting the resolution. b. Rejecting the resolution and asking for an appeal. c. Asking for some time to consider the resolution. d. Continuing your grievance through other means.

If you choose to accept the resolution then you will be asked to acknowledge the resolution. If further action is required to complete the grievance then the timing of this action will be included in the proposal. We will ask you to acknowledge the completion of the action when it is done, so that the grievance can be closed.

We value your support of our operations and trust that a mutually agreeable and fair solution can be reached to your concern.

Regards,

______Signature

______[Name and position of suitably qualified person]

Appendix 4: Grievance Follow-Up Form

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Acknowledgement sent out and received Resolution shared and approved Investigation started Remedy outstanding Investigation results Remedy complete Resolution determined Closed

Appendix 5: Grievance Resolution Acceptance / Refusal Letter (To Be Translated into Tumbuka)

Company Address Date Grievant Address

Dear [Grievant Name],

Re. Grievance Number ######## Thank you for submitting your grievance to the ...... (NAME OF THE CONTRACTOR) (ZCC) - worker /community liaison department. We are pleased to present our findings and proposed

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resolution to your issue. This letter provides a description of the issue raised, the results of the ZCC investigation of the issue and a proposal for resolution.

Summary of Issue:

Remedy Sought by Grievant:

I have read / had this form read to me and agree with the content ______signed

Investigation Findings:

Proposed Resolution:

Include information in this section both of the remedy and of the time / place / manner of delivery.

Once this letter has been explained to you, you have four choices: a) Accept the resolution b) Reject the resolution and asking for an appeal c) Request for some time to consider the resolution Follow up meeting set for [Date] d) Continue your grievance through other means.

I have read / had this form read to me and agree with the content ______signed

We ask that you fill out the section above in duplicate, keeping a copy for yourself and providing the second copy to ZCC for our files.

Thank you for submitting your grievance to ZCC. ZCC is committed to maintaining strong relationships with the communities and workers that enable it to operate and strives to address grievances in a responsible and timely manner and we hope that this process has been managed in accordance with these principles.

Regards,

Signature [Name and position of suitably qualified person]

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Annex 12 Community Communication and Engagement Plan

REHABILITATION OF MZIMBA TURN OFF-MZUZU-KACHECHE (M1) ROAD

Community Communication and Engagement Plan

Project Period

Submitted to Supervision Consultant

Prepared by Contractor

Date of Preparation

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TABLE OF CONTENTS

ABBREVIATIONS AND ACRONYMS ...... xxiv 1. INTRODUCTION ...... 1 1.1 Brief Description of the Project ...... 1 1.2 Nature and scope of works for the proposed project...... 1 1.3 Purpose of This Document ...... 2 2. COMMUNITY COMMUNICATIONS AND ENGAGEMENT PLAN ...... 2 2.1 Purpose of the CCEP...... 2 2.2 Focus Areas ...... 3 2.3 Target Audiences ...... 3 2.4 Strategies and Tools ...... 3 2.5 Key Massages and Themes ...... 4 3. IMPLEMENTATION OF CCEP ...... 8 3.1 Priority Actions and Work Plan ...... 8 3.2 Communication Flow ...... 8 3.3 Use of Community Committees ...... 9 3.4 Communication Mechanisms ...... 9 3.5 Required Capacity ...... 11 3.6 Monitoring and Reporting ...... 12 4. APPENDICES ...... 12 Appendix 1: Grievance Intake Form ...... 12 Appendix 2: Grievance Acknowledgement Letter (To Be Translated into Chichewa) ...... 13 Appendix 3: Grievance Follow-Up Form ...... 14

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ABBREVIATIONS AND ACRONYMS

CCECC China Civil Engineering Construction Corporation CCEP Community Communication and Engagement Plan CEC Code of Ethical Conduct CLO Community Liaison Officer CSR Corporate Social Responsibility DGR Departmental Grievance Representatives ESMP Environmental and Social Management Plan GRC Grievance Redress Committee GRM Grievance Redress Mechanism HIV/AIDS Human Immunodeficiency Virus/ Acquired Immunodeficiency Syndrome HR Human Resources HSE Health, Safety and Environment HSEO Health, Safety and Environmental Officer HSMP Health and Safety Management Plan NGOs Non-Governmental Organizations PPE Personal Protective Equipment PRO Public Relations Officer RE Resident Engineer TMP Traffic Management Plan

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1. INTRODUCTION

1.1 Brief Description of the Project The proposed road project is to rehabilitate the 147 Km section of the M1 Road from Mzimba Turn off via Mzuzu to Kacheche. The major works of the proposed project shall include rehabilitation and widening of the carriageway from Mzimba Turn off through Mzuzu City to Kacheche. This road is a major and important trade route connecting many countries in the Eastern and Southern Africa trade corridor and has a lot of economic potential. The Mzimba Turn Off-Mzuzu City to Kacheche section of the M1 Road was constructed between April 1987 and April 1990 with funding from the European Development Fund (EDF). The road has four uniform sections with respect to construction and maintenance history as follows: e) Mzimba turn off to Champhoyo section was constructed in 1983 and resealed in 2005. f) Champhoyo to Mbowe section was constructed in 1990 and resealed in 2005. g) Mbowe to Mzuzu section was constructed in 1982 and resealed in 2005. h) Mzuzu to Kacheche section was constructed in 1982 and resealed in 1998.

The road has a 5.6 -7.0 metre wide carriageway with 0.4-1.5 metre shoulders depending on location. The road traverses through a relatively flat to undulating terrain from Mzimba turn off to Kacheche turn off.

1.2 Nature and scope of works for the proposed project

Implementation of the project shall be done in four phases namely planning, construction, demobilization, and operation and maintenance. e) Planning phase: This includes surveying the road, identification of borrow pits sites, geometric design of the road, earthworks design, bridge and culvert designs, road pavement design and feasibility studies. f) Construction phase: This shall include mobilization of workforce; construction of camps; excavation of borrow pits; construction of drainage structures; construction of pavement layers; asphalt surfacing; construction of ancillary works such bus bays, kilometer posts, guardrails, road marking and landscaping. g) Demobilization phase: This will include laying off a number of workers, demolition of some structures which will be used for the road rehabilitation project and restoring areas occupied by the project to other beneficial uses. h) Operation and maintenance phase: will include commissioning of the road for use. As the road will be used, with time, some sections will be damaged and will be in need of maintenance.

The road design is per Southern Africa Transport and Communications Commission (SATCC) Guidelines. The figure presents the cross-sectional layout for the road design specifications.

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1.3 Purpose of This Document The aim of this document is to improve ...... (NAME OF THE COMPANY) social performance by strengthening external communications. It presents a brief analysis of strategic communication priorities identified at different levels within ...... (NAME OF THE COMPANY) and provides a set of guiding principles for effective communication. It focuses on those aspects of external engagement that require the guidance and support of a competent Community Liaison Officer.

This Community Communication and Engagement Plan (CCEP) is aligned with the other social management plans and programs developed by the Contractor, namely the Grievance Redress Mechanism (GRM), the Crime Management Plan (CMP), Borrow Pits Rehabilitation Plan, the Traffic Management Plan (TMP), Code of Ethical Conduct (CEC); and the HIV/AIDS Program – all meant to implement a site-specific Environmental and Social Management Plan (ESMP).

2. COMMUNITY COMMUNICATIONS AND ENGAGEMENT PLAN

2.1 Purpose of the CCEP Having communication plan in place is an essential component for good project management. An external communications plan is a road map for getting company messages across to priority external audiences. The CCEP ensures that all project stakeholders are equally informed of how, when, and why communication will happen. Communication is often a very effective way to solve problems, deal with risks, and ensure that tasks are completed on time.

For ...... (NAME OF THE COMPANY), the overarching aim of this CCEP is to minimize the social risks to the company and maximize opportunities for mutual gain with its stakeholders. Specific objectives include:

• Developing a coordinated approach to communication with external stakeholders; • Creating a better balance of responsive and proactive approaches; • Improving two-way communication with stakeholders regarding activities and decisions that affect them (or that could potentially affect them); and

• Minimizing social impacts to stakeholders and social risks to ...... (NAME OF THE COMPANY).

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2.2 Focus Areas According to the experience around social risks and impacts, the following are identified as priorities for community communications and engagement:

1. Address reputational risk issues;

2. Create and integrate new corporate and national specialist positions or specialist communications support;

3. Improve documentation of external communications activities;

4. Introduce more systematic and strategic approach to stakeholder engagement; 5. Strengthen two-way external communication and engagement processes so the company has access to information that enables ongoing strategic stakeholder engagement and continues to identify and manage key social risk issues effectively;

6. Develop proactive media relations and communications planning;

7. Build staff capacity for engagement, communications and media relations;

8. Improve grievance management process; and

9. Improve monitoring and reporting.

2.3 Target Audiences Knowing about target audiences is critical for communications plan. To adapt communication to each audience effectively requires an understanding of each key audience to enable staff to see things from their point of view and tailor communication to be as effective as possible. The key stakeholders identified in Section 1.4 are essentially...... (NAME OF THE COMPANY)’s target audiences for communications and engagement.

2.4 Strategies and Tools The Communications Plan should clearly determine how to prioritize and implement the communication components, strategies and tactics. Given the nature of the project, simple, quick and inexpensive actions will be undertaken as outlined below and expounded in section 3.4.

• Communication materials Fact sheet, a simple document outlining the aim of the project, some bite-size supporting information, and required action from the reader.

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PowerPoint deck that describes the project activities and conveys key messages. This will be used for both larger presentations and also to “talk through” topics during one-on-one meetings. It will be adapted for different audiences. Talking points to ensure internal stakeholder leaders are conveying the same, clear messages.

• Series of individual meetings with key stakeholders who have not yet been engaged to inform them about and begin to involve them in project activities as appropriate.

• Identifying “ambassadors” who can help spread messages. This will be helpful when many one-on-one meetings or group presentations are needed (so one person is not burdened with conducting them all). The local workforce is an important conduit for this type of role.

2.5 Key Massages and Themes Key messages are the core content for all engagement and communication tools. They are the foremost ideas that the company wants target stakeholders to remember as a result of their communication efforts, whether that communication is a written piece, a formal presentation or a simple conversation. Key messages should be an integral part of every engagement and communications planning process, which is identical for any situation – whether it’s normal business or a crisis – and serve one or more of the following three purposes:

1) To inform the public about an issue, program or crisis;

2) To generate or rebuild public confidence in the company; and

3) To stimulate stakeholder action.

While there may be one overarching message for a particular social initiative or aspect of the company, different audiences will need key messages tailored to their communications needs. Key messages also grow and change over a project’s life-time. It is a good idea to develop a master list of key messages to use in staff training and when orienting new staff. Key messages are updated as circumstances change but the entire list should be reviewed annually and results of changes should be shared with managers at management meetings and with relevant staff who will interact with communities or workers or the communications department. The priority issues and social risks identified as part of ...... (NAME OF THE COMPANY)’s Environmental and Management Plan (ESMP) forms the basis of the company’s key messages for community communications.

The following themes/topics are priorities to be addressed by key messages in the implementation of this CCEP as appropriate:

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2.5.1 Minority Gender ...... (NAME OF THE COMPANY) will be committed to consider the minority gender by assigning with light duty job such as environment cleanliness, cooking, washing clothes, and flag raisers to control the traffic during the construction period and job opportunities for minority gender will be advertised openly to the community posted on the village offices and on the board of advertisement purposely to give equal application opportunity.

2.5.2 Child Labour According to Malawi’s labour laws, a child under eighteen years of age shall not be employed in a mine, factory or as a crew on a ship or in any other worksite including non-formal settings and agriculture, where work conditions may be considered hazardous. In view of this legal requirement, where the employer is in doubt about the age of an applicant, employment opportunities will be given by considering birth certificates, voting card and driving licence issued by relevant authorities as a guideline to determine the exact ages of the applicant.

2.5.3 Child Abuse ...... (NAME OF THE COMPANY) will ensure that the rights of the children will be highly protected from any environment which abuses their rights such as school drop-out and harsh treatment against a child. For this purpose, as part of the HIV/AIDS program, ...... (NAME OF THE COMPANY) has engaged an Service provider to deal with all kind of child abuse, and the community and school children are educated through various campaigns conducted along the project road.

2.5.4 Land Acquisition and Compensation Any land, before being acquired for project activities, will be evaluated by the relevant government authorities and compensation done according to the valuation report. The land acquired for construction is land for borrow pits, quarry, area for stockpiling and land for diversions which runs out of road reserve.

2.5.5 Relationship with Host Community In construction industry people tend to shift from place to place searching for employment and this involves skilled and unskilled labour. The ethics and behaviour of employment seekers is unlimited and everyone with different historical background. Training for the application of ...... (NAME OF THE COMPANY)’s Code of Ethical Conduct (CEC) will herald a key success for the employees to behave in a good manner and become a good friend of the community. The company will register all employees living off camp for easy monitoring of their behaviour and ethics and the village government officers will be directly involved to help the company on this aspect.

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2.5.6 Sexual Harassment This inhuman action can appear in a different faces, in employment opportunities, mistreatment of minority gender, oral or physical harassment against a certain gender. The company is committed to fight against any kind of harassment at workplace and outside workplace, freedom of every employee will be protected by specialist team in that aspect and the point to lodge all issues.

2.5.7 Record of Grievances The company is very keen to deal with all grievances coming from all construction corridor by establishing a mechanism to deal with the concerns of the community. The special sheet or form for recording the grievances has been prepared for proper documentation. The department will be loyal to every grievant and all information will be treated in a positive way and required solution will be considered on time, the purpose is to satisfy the grievant and community as well. A Grievance Redress Mechanism (GRM) has been prepared and will be implemented in conjunction with this Community Communication and Engagement Plan (CCEP).

2.5.8 Employment Opportunities The local community along the project road will be highly considered in recruiting labor for the rehabilitation of road. Most unskilled labor will be recruited from within the area subject to their working ethics and performance. The employment opportunities will be posted on boards of advertisement to all villages along the project purposely to give equal job application and responsible department will shortlist applicants depending on the place coming from within the construction zone.

2.5.9 Corporate Social Responsibility Corporate Social Responsibility (CSR) is the informal expectation that a business operates in a way that is respectful to communities and the environment. Examples of CSR includes companies avoiding pollution, making safe products and coordinating recycling activities. On this aspect the company has identified the areas which need much support, such as public events, sports and games, and supporting community development projects like providing building materials for health facilities, schools, etc.

2.5.10 Gender Issues The company will consider all gender issues such as gender stereotype, gender sensitivity, gender equality, gender mainstreaming, during the rehabilitation of the road. The employment opportunities will be highly considering gender and some jobs women will be preferred rather than men - jobs like flag raisers, environmental cleaning, cooking and other light jobs.

2.5.11 Racism at Workplace In construction industry the employees come from different areas whereby expatriates/ foreigners work together with local people/ Malawian nationals...... (NAME OF THE COMPANY) will not allow any kind of segregation of colour against colour, economic status, position, individual belief and also the regional where the employee come from. All employees will be treated

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2.5.12 HIV/AIDs Awareness and Prevention Program The contractor shall deploy a locally available labor to avoid causing a large influx of newcomers in the project area and hence reduce HIV/AIDS transmission risks. The contractor will engage a qualified NGO and Service providers or skilled practitioners to operate HIV/AIDS awareness program along the project road.

The Contractor shall allow employees to take part in a continuing HIV/AIDS awareness and prevention campaign for the duration of the project. As part of the campaign, the Contractor will display HIV/AIDS awareness posters in all buildings frequented by workers, where such buildings fall under the control of the Contractor. The awareness posters will be provided by the service provider managing HIV/AIDS awareness and prevention program.

HIV/AIDS awareness shall also be included in the orientation process of all workers and will also involve local community. The scope of program activities shall include the following:

• Increasing awareness, knowledge and correct information on Strategic Behaviour Change on HIV/AIDS to key project population/ centers along the project road;

• To increase knowledge and access to voluntary counselling and testing (VCT) information and services in Secondary and primary Schools in the catchment area;

• Increasing condom distribution outlets – Bars, Guest Houses, Night Clubs, Food vendors, Market vendors and Customers who are Directly, socially affected and Intermingled with high risk groups, Commercial Sexual Workers, Highway Track drivers who are travelling the long ways/Transit to Malawi and from Malawi to Tanzania

• Child abuse; • Sexual harassment; • Discrimination and gender-based violence; • Sexual abuse at workplace; • Child labor/ exploitation; and • Gender equality and communication.

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3. IMPLEMENTATION OF CCEP

3.1 Priority Actions and Work Plan The table below outlines the activities that ...... (NAME OF THE COMPANY) is encouraged to undertake in order to solidify its community communications and overall social performance. It also includes plans for communicating the CCEP to all staff to ensure that they fully understand it, take ownership of it, and commit to its application and success.

Table 1: Priority Actions for CCEP Implementation Activity Responsible output 1. Increase human resources i.e. Project Manager Social Specialist /CLO recruited. recruitment of competent Social Specialist/ Community Liaison Officer (CLO)/Public Relations Officer (PRO). 2. Develop Grievance Redress Mechanism Project Manager done (GRM). HSEO

3. Improve documentation and reporting HSEO Ongoing process system. 4. Deepen stakeholder analysis, Communications Reports particularly in terms of gauging Managers public perception 5. Implement monthly bi-monthly CLO/PRO Meeting held information and community engagement sessions 6. Review performance through CLO/PRO KPI reviewed assessment of Key Performance Indicators (KPIs) and make necessary changes as appropriate. 7. Ongoing implementation and CLO/PRO and HSEO CCEP Implemented as an ongoing activity evaluation of CCEP and other social management tools.

3.2 Communication Flow The company is committed that the communication with all project affected persons will be conducted to villages along the project, dissemination of the information concerning project activities will be purposely disseminated to give equal access to the information. Two way communications, between ...... (NAME OF THE COMPANY) and the target audience, will be highly emphasized for effective feed backing.

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Message

Feedback Sender

Receiver Medium

Figure 1: Communication Flow Chart

To disseminate information to the large community all the available means of communication will be used such as print media, word of mouth, press releases and also local media found within the construction zone.

3.3 Use of Community Committees For effective implementation of this CCEP, the company will use the local government leaders and some community members to help the company on issues concerning the community. Local leaders will be trained and fully supported to become part and parcel of the company to communicate all negative and positive issues which might occurs and mitigation measures to be taken during this period of rehabilitation the road. Community committees’ formulation will consider gender representation and will be highly appreciated so as to have equal representatives within the community for easy information penetration.

3.4 Communication Mechanisms The Social Specialist/Community Liaison Officer (in collaboration with other ...... (NAME OF THE COMPANY) staff) will convene monthly meetings with village government leaders through community committees to discuss matters of mutual interests as presented in this CCEP.

The table below present community communication mechanism as also part and parcel of Grievance Redress Mechanism (GRM).

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Table 2: Mechanisms for Communication between Contractor and Target Stakeholders Mechanism Description Target Stakeholder 1. Direct contact to Through phone, letter, email and social media All – local government the site office such as WhatsApp or physically by visiting the site authorities, office. government agencies, Anonymous grievances will be accepted by business owners/ phone. operators, road users, and smallholder farmers along the road as mentioned in section 1.4 2. Contact with local The Social Specilaist/CLO will be in constant Local community authorities contact with the local authorities, so that local leaders may articulate any type of grievance. 3. Visits to local Grievances will be received through the CLO who, Local community communities as part of implementation of CCEP, will periodically visit the communities to hold meetings (at least once per month) with the community members, local authorities, community leaders, etc. The CLO will also hold informative workshops periodically. Mechanism Description Target Stakeholder

Local workers will also be able to express grievances and complaints to their CLO, or in their place of work.

4. Suggestion Boxes Suggestion boxes will be available to the All contractor’s camp, engineering camp and at local government offices around the project area. This is potential channel for anonymous grievances for workers and community. 5. Informal meetings Project teams would benefit from planning Local community systematic community engagement activities of a more informal nature, such as conversing randomly with people while they go about their daily activities (women at the village market or water pump, youth hanging around a restaurant or bar, seniors sitting under a mango tree, etc.). These are meetings that do not target anyone in particular and that do not have any specific theme or agenda.

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6. Exit Interviews GRM and CCEP should consider introducing exit Workers interviews as a way to gather feedback from employees on issues that they may not have been willing to raise while they were still working for the company. 7. Information table Having an information table at the work site on a Workers regular day each week, where workers can ask questions or express concerns, is also a simple and effective way to encourage two-way communication.

3.5 Required Capacity The implementation and continuous improvement of this CCEP (and GRM) will require increasing the currently limited capacity and specialized staff resources. This can best be achieved in a combination of the following ways as presented in the following subsections.

3.5.1 Recruiting Social Specialist/ Community Liaison Officer ...... (NAME OF THE COMPANY)’s communications and overall stakeholder engagement activities, alongside GRM activities, will require more capacity to ensure there is a systematic approach to documenting and following up on grievances. This will make it easy to track grievances and grievances can easily be recorded and drawn to the attention of appropriate levels of management. Accordingly, a competent Community Liaison Officer (CLO) should be recruited to lead and manage implementation of the CCEP in tandem with the GRM.

3.5.2 Training and Budget All other personnel involved in the implementation of the CCEP and other social management tools will receive training at their places of work during working hours and meetings with communities and with Contractor’s workers should occur as part of the ongoing stakeholder engagement and internal communications strategies.

Staff at a variety of levels of the Contractor will learn more about grievance management through stakeholder engagement and communications. Contractor staff could become more effective, motivated and valuable to the company through capacity-building, at least, in communications planning and practical community relations training (consultation planning, listening, delivering key messages, etc.).

Budget should be made available on implementation of this CCEP and GRM including salary for SP/CLO, costs to cover the production of communications materials, operating costs, as well as some

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3.6 Monitoring and Reporting Monitoring of and reporting on CCEP implementation will be done on monthly basis as part of monitoring of and reporting on the implementation of GRM

4. APPENDICES

Appendix 1: Grievance Intake Form

Other departments involved in the grievance: Environment Human resource Health and Safety

Type of Complaint

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Employment Disagreement Misconduct of company Access to information Property damage Dispute employee/contractor

Name of Contractor’s Person to Address the Grievance: ______

Location: ______

Phone Number: ______

Appendix 2: Grievance Acknowledgement Letter (To Be Translated into Chichewa) Company Address

Date

Grievant Address

Dear [Grievant Name],

Re. Grievance Number ########

Thank you for submitting your grievance to the China railway Seventh Group Co. Ltd (...... (NAME OF THE COMPANY)) - worker /community Liaison department...... (NAME OF THE COMPANY) is committed to maintaining strong relationships with the communities and workers that enable it to operate and strives to address grievances in a responsible and timely manner.

Because we wish to give due weight to your grievance it is currently in an investigation process where relevant people will be contacted to understand more about the grievance. If we need more information about your grievance from you we will contact you during this process.

We will investigate your grievance to ascertain the facts of your case and once this is complete, ...... (NAME OF THE COMPANY) will propose a resolution to the grievance based on these facts. We make every effort to be consistent in our approach to grievances and take into consideration the facts of the situation and the extent to which ...... (NAME OF THE COMPANY) is responsible for the situation. Our aim is to reach a resolution that is fair to you and also fair to the company.

We aim to provide you with this initial proposed resolution within one week of receiving your grievance. In your case we aim to provide you with this information by [Insert Due Date here]. Our Community Liaison Officer / appropriate member of the management team [insert appropriate clause depending on whether it is a community or worker grievance] will bring you a written version of the proposed grievance and will explain anything in the resolution that is not clear to you. You will then have the choice of:

a. Accepting the resolution. b. Rejecting the resolution and asking for an appeal. c. Asking for some time to consider the resolution. d. Continuing your grievance through other means.

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If you choose to accept the resolution then you will be asked to acknowledge the resolution. If further action is required to complete the grievance then the timing of this action will be included in the proposal. We will ask you to acknowledge the completion of the action when it is done, so that the grievance can be closed.

We value your support of our operations and trust that a mutually agreeable and fair solution can be reached to your concern.

Regards,

______Signature

______[Name and position of suitably qualified person]

Appendix 3: Grievance Follow-Up Form

Acknowledgement sent out and received Resolution shared and approved Investigation started Remedy outstanding Investigation results Remedy complete

Resolution determined Closed

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Appendix 4: Grievance Resolution / Acceptance / Refusal Letter (To Be Translated into Tumbuka

Company Address Date Grievant Address

Dear [Grievant Name],

Re. Grievance Number ######## Thank you for submitting your grievance to the China Railway Seventh Group Co. Ltd (...... (NAME OF THE COMPANY)) - worker /community liaison department. We are pleased to present our findings and proposed resolution to your issue. This letter provides a description of the issue raised, the results of the ...... (NAME OF THE COMPANY) investigation of the issue and a proposal for resolution.

Summary of Issue:

Remedy Sought by Grievant:

I have read / had this form read to me and agree with the content ______signed

Investigation Findings:

Proposed Resolution:

Include information in this section both of the remedy and of the time / place / manner of delivery.

Once this letter has been explained to you, you have four choices: a) Accept the resolution b) Reject the resolution and asking for an appeal c) Request for some time to consider the resolution Follow up meeting set for [Date]

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d) Continue your grievance through other means.

I have read / had this form read to me and agree with the content ______signed

We ask that you fill out the section above in duplicate, keeping a copy for yourself and providing the second copy to ...... (NAME OF THE COMPANY) for our files.

Thank you for submitting your grievance to ...... (NAME OF THE COMPANY)...... (NAME OF THE COMPANY) is committed to maintaining strong relationships with the communities and workers that enable it to operate and strives to address grievances in a responsible and timely manner and we hope that this process has been managed in accordance with these principles.

Regards,

Signature [Name and position of suitably qualified person]