Environmental and Social Management Framework

Accelerating Malawi’s Economic Government of Malawi Growth

Southern African Trade and Transport Facilitation Programme

World Bank Prepared by:

Roads Authority Environment Management Unit (EMU)

Environmental and Social In coordination with: Management Framework World Bank Safeguard Team

September 2014

This Environmental and Social Management Framework (ESMF) was developed by the Environment Management Unit (EMU) of the Roads Authority (RA) of Malawi in coordination with the World Bank’s Safeguards Specialists, during the Southern Africa Trade and Transport Facilitation Programme (SATTFP) preparation, in order to comply with the Bank’s Environmental Assessment Policy (OP/BP 4.01). This instrument is part of the Project Operation Manual and should be applied during the Programme implementation.

September 2014

The Environmental and Social Management Framework was updated in January 2021

Table Contents

Table Contents ...... iii Abbreviations ...... vi Glossary ...... viii Chapter 1: Introduction ...... 1 1.1 Background ...... 1 1.2 Objective of the Framework ...... 2 1.3 Rationale for Adopting World Bank safeguard Operational Policies for the Additional Financing ...... 2 1.4 Summary of Safeguards Implementation Performance of the SATTFP 2 ...... 3 1.5 Scope of the Framework ...... 4 Chapter 2: The Programme ...... 6 2.1 Background ...... 6 2.1.1 Regional Level ...... 6 2.1.2 The North – South Corridor ...... 7 2.2 Programme Description ...... 9 2.2.1 Components ...... 10 2.2.2 Beneficiaries ...... 12 2.3 Institutional arrangements ...... 12 Chapter 3: Law regulatory and instititional Framework...... 14 3.1 Policy Framework ...... 14 3.2 Legal Framework ...... 14 h. Provisions of the Gender Equality Act (2012) ...... 17 3.3 World Bank Safeguard Policies ...... 17 3.3.1 Description ...... 17 3.3.2 Safeguard Policies triggered by the Programme ...... 18 Applicable WBG EHS Guidelines ...... 19 3.4 Institutional Framework ...... 20 3.4.1 Ministry of Transport and Public Works: Road Sector ...... 20 3.4.2 Malawi National Roads Agency: Roads Authority ...... 20 3.4.3 Environment Management Unit ...... 21 3.4.5 Environment Authority ...... 22 Chapter 4: General Environment and Social Setting ...... 25 4.1. Environment and Geographical aspects...... 25 4.1.1. Location ...... 25 4.1.2 Climate ...... 28 4.1.3 Ecologically senstive areas...... 28 4.1.4 Biodiversity ...... 28 4.2. Socioeconomic Characteristics ...... 29 4.2.1 Demographic aspects...... 29 Chapter 5: Environmental and Social Impacts in the Road sector ...... 31 5.1 Identification of the environmental and social impacts ...... 32 5.2 Environmental and Social measures: Environmental and Social Management Plan ...... 36 5.2. CESMP and Management Strategy Implementation Plans preparation ...... 43 Parameters to be monitored ...... 44 Chapter 6: Environmental and Social Management in the Road Authority ...... 2 6.1 Project Cycle ...... 2

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6.1.1 Identification and Preliminary Assessment ...... 3 6.1.2 Assessment or Appraisal ...... 3 6.1.3 Legal Agreement ...... 3 6.1.4 Construction ...... 3 6.1.5 Operation and Maintenance...... 3 6.2 Roles and Responsabilities of the Stakeholders ...... 3 6.2.1 The Road Authority ...... 3 6.2.2 Malawi Environmental Protection Agency (MEPA) ...... 4 6.3 Methodologies for the environmental and social management ...... 6 6.3.1 Environmental and Social Preliminary Assessment ...... 6 6.3.2 Environmental and Social estimated budget ...... 10 6.3.3 Environmental and Social Studies ...... 10 6.3.4 Public participation and disclosure mechanism ...... 11 6.4 Tools for the environmental and social management ...... 12 6.4.1 Environmental and Social Screening Form (ESSF) ...... 12 6.4.2 Environmental and Social Monitoring Report (ESMR) ...... 13 6.4.3 Environmental and Social Final Report (ESFR) ...... 13 Chapter 7: Environmental and Social Assessment Process ...... 14 7.1 Objectives and Functions ...... 14 7.2 Steps in the Environmental and Social Assessment Process ...... 15 7.3 Stakeholders in the Environmental and Social Impact Assessment Process ...... 16 7.4 Environmental and Social Management in the Project Cycle ...... 17 7.4.1 Planning and Pre-Feasibility Phase ...... 17 7.4.2 Feasibility Study and Preliminar Design Phase ...... 20 7.4.3 Tendering, Contracting and Detailed Design Phase ...... 24 7.4.4 Construction Phase ...... 26 7.4.5 Operation and Maintenance Phase ...... 29 Chapter 8. Grievance Redress Mechanism (GRM) ...... 32 8.1 Introduction ...... 32 8.2 Objectives of the GRM ...... 32 8.3. Grievance Types ...... 32 8.4 Implementation of the GRM ...... 33 8.5 Grievance Management Timeframe ...... 36 8.6 Grievance Profile...... 36 8.7 World Bank (WB) Grievance Redress Service ...... 37 Chapter 9. Public Consultations and Disclosure...... 38 9.1 General ...... 38 9.2 Objective of Consultation...... 38 Stakeholders Consulted ...... 38 Findings of Stakeholders Consultations ...... 38 Public Disclosure...... 40 Introduction...... 40 Public Disclosure Plan...... 40 Chapter 9: Indicative Budget Requirements ...... 42 9.1 Budget Requirements ...... 42 Annexes ...... 43 List of Stakeholders Consulted during Updating of the ESMF and issues raised ...... 44 Annex 3: Environmental and social impacts and measures in the Road Sector ...... 49 Annex 4: Guidelines to prepare the Environmental Studies required by Law ...... 67 4.1 Environmental and Social Impact Assessment (ESIA) ...... 67 4.2 Environmental and Social Management Plan (ESMP) ...... 69

Annex 5: Guidelines to prepare the Safeguards Studies required by the World Bank ...... 70 5.1 Chance Finds Procedures ...... 70 5.2 Public Consultation Plan ...... 72 Annex 6: Guidelines for the Participation and Disclosure process ...... 75 Annex 7: Templates of the Environmental and Social Management Tools ...... 77 7.1 Environmental and Social Screening Form (ESSF) ...... 77 7.2 Environmental and Social Monitoring Report (ESMR) ...... 81 7.3 Environmental and Social Final Report (ESFR) ...... 82 Annex 8: Templates of the Grievance Redress Management Syste ...... 83 8.1 SATTFP Community Grievance Log & Resolution Form ...... 83 8.2 District Grievance Log & Resolution Form ...... 84

Abbreviations

ARAP Abbreviated Resettlement/Compensation Action Plan CBO Community-based organization COMESA Common Market for Eastern and Southern Africa DEA Director of Environment DIA Direct Influence Area DSE Department of Safety and Environment (of the MOTWP) EAC East African Community MEPA Malawi Environmental Protection Agency ECPRW Environmental Code of Practice for Road Works EIS Environmental Impact Statement EMA Environmental Management Act (1996) EMC Environmental Management Committee (district level) EMU Environment Management Unit of the Road Authority ESFR Environmental and Social Final Report ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESMR Environmental and Social Monitoring Report ESSF Environmental and Social Screening Form GBV/SEA Gender Based Violence/Sexual Exploitation and Abuse GoM Government of Malawi HIV/AIDS Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome IDA International Development Agency IIA Indirect Influence Area LGA Local Government Authority LMP Labor Management Procedures MBS Malawi Bureau of Standards MoTPW Ministry of Transport and Public Works NCE National Council for the Environment NSSD National Strategy for Sustainable Development NEAP National Environmental Action Plan, 1994 NEP National Environment Policy, 1997 NSC North-South Corridor NGO Non-Governmental Organization PAPs Project Affected People PPRA Public Procurement Regulatory Authority RA Roads Authority RAP Resettlement/Compensation Action Plan RMF Resettlement Management Framework SADC Southern Africa Development Community SATTFP Southern African Trade and Transport Facilitation Programme SEP Stakeholder Engagement Plan STDs Sexually Transmitted Diseases TCE Technical Committee on Environment TEC Tender Evaluation Committee THC Total hydrocarbon

ToR Terms of Reference WB World Bank

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Glossary

− Biodiversity: Short form for biological diversity‟. Biodiversity refers to the wealth of ecosystems in the biosphere, of species within ecosystems, and of genetic information within populations.

− Biosphere: That part of the earth – atmosphere system that supports and is characterized by life, encompassing all terrestrial and aquatic ecosystems.

− Biota: A collective term that denotes all the living organisms in a particular space.

− Cumulative impacts: Those impacts that result from the incremental impacts of individual events, when added to other past, present and foreseeable future events. The individual impacts contributing to the cumulative impacts may be minor on their own, but the impacts collectively may be significant.

− Direct impacts: Those impacts that are caused by a specific action and which generally occur at the same time and place as the action.

− Ecology: The study of relationships of organisms to their environment (or surroundings). It considers individual organisms, as well as large units of landscape, such as forests, estuaries and river basins.

− Ecosystem: Ecosystems are the basic structural units of the biosphere, characterized by interdependent interaction between the component species and their physical surroundings. Each ecosystem occupies a space where macro-scale conditions and interactions are relatively homogeneous.

− Ecotone: A habitat that occurs at the boundary between adjacent, but significantly different ecosystems. Ecotones are in general relatively biologically diverse, as they may contain species native to both bordering ecosystems.

− Endemism: A condition where species occur only in a single, spatially limited and distinct location, such as isolated islands, mountain valleys, caves, lakes, and craters. Endemic species are often highly specialized to the limited environmental conditions in which they exist, and are thus vulnerable to changes introduced from outside.

− Environment: Surrounding conditions that include all those physical, chemical, biological and socio- economic factors that impinge on an individual, a community, or a population.

− Environmental and Social Management Framework (ESMF): A management instrument that will be implemented by RA in the “Southern Africa Trade Transport Facilitation Project – SATTFP”, in order to ensure compliance with Malawian national law and the World Bank Safeguards Policies.

− Environmental and Social Management Plan (ESMP): A synthesis report containing all proposed mitigation and monitoring actions, and, defining a timeline, specific, assigned responsibilities, and follow- up actions. The ESMP is one of the most important outputs of the environmental assessment process.

− Environmental and Social Impact Assessment (ESIA): The systematic process by which the effects on the bio-geo-physical and socioeconomic environment of a proposed human action or set of actions are evaluated, producing a set of recommendations which serves as influential input to the design of the action or actions.

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− Environmental Audit (EA): The evaluation of effectiveness of environmental management and monitoring practices and procedures during and after a project (e.g., post-project evaluation) so that remedial measures can be taken. An audit may also be a comparison of actual impacts against predicted impacts.

− Environmental expert: Environmental expert means an individual person or a firm of experts which has requisite qualifications prescribed by the regulations on registration of environmental experts made under the Environmental Management Act and duly certified and registered in the Register of Environmental Experts as may be kept and maintained by the National Environment Commission (NCE).

− Environmental impact: An effect (positive or negative) on an environmental resource or value resulting from infrastructure development projects.

− Environmental Impact Assessment Process: A systematic procedure to consider the possible environmental impacts of proposed projects before a decision is made to approve the project.

− Environmental Impact Statement (EIS): A document that contains the results of an EIA study.

− Environmental Inventory (EI): A description of the environment where a particular proposed action is being considered. Other similar terms include: Environmental baseline study (EBS), Environmental Identification (EI), and Environmental Setting (ES).

− Environmental management: Management and control of the environment and natural resource systems to ensure the long-term sustainability of development efforts.

− Environmental monitoring: Continuous or periodic surveillance of the project activities to ensure that mitigation measures are followed during project implementation. It involves repeated observation and measurement of environmental quality parameters to observe changes over a given period.

− Environmental planning: All planning activities with the objective of preserving or enhancing environmental values or resources.

− Environmental review: A process that entails preparing a detailed EIA, a Preliminary Environmental Assessment, or no further action or analysis depending on the results of screening process.

− Environmental scoping: It is an early, open identification of potentially significant environmental impacts and the elimination of insignificant impacts or impacts that have already been addressed by other EIAs. It may also simply refer to procedures for determining the scope of environmental issues to be covered in the EIA process.

− Environmental screening: It is the determination of the level of environmental impact assessment required for a particular proposed activity or project. It may also refer to procedures for categorizing projects based on professional judgment.

− Gender Based Violence: violence directed against a person because of that person's gender or violence that affects persons of a particular gender disproportionately and shall mean all acts of gender-based violence that result in, or are likely to result in physical harm, sexual harm, psychological, or economic harm or suffering. It can include violence against women, domestic violence against women, men or

children living in the same domestic unit. Although women and girls are the main victims of GBV, it also causes severe harm to families and communities.

− Impact: The effect of any action that affects one or more elements of the natural, social, or economic environment, either negatively or positively.

− Indicators: Physical, chemical, biological, or socio-economic attributes that provide some indication of the environmental condition.

− Indigenous peoples: Collectively, the members of cultural groups that have a historical, ancestral, spiritual, and functional connection to the land on which and from which they live. In popular usage, indigenous peoples are distinguished from members of those cultural groups whose connection to the land on which they live is limited to the historical period.

− Indirect impacts: Those impacts that are closely, but indirectly linked to the project activities that induce changes in the natural environment, population, economic growth, and land use.

− Key stakeholders: The inhabitants of an area affected by a project, who have the most to lose or gain from the completion of the project, and whose concerns must be addressed in an environmental assessment.

− Labour Management Procedures: A plan for identifying labor requirements and sets out the procedures for addressing labor conditions and risks associated with the proposed project, which is aimed at helping the project to determine the resources necessary to address project Labor issues.

− Limited environmental impact assessment: Limited environmental impact assessment (limited EIA) means an EIA, where only the environmental issues, which are exceeding the environmental screening criteria, will be addressed in the environmental impact study and the environmental impact statement

− Mitigation measures: Actions taken to reduce, avoid, or offset adverse (negative) impacts. Mitigation options include: (1) prevention (e.g., rejecting a project), (2) amelioration (e.g., modifying the design) and (3) compensation (e.g., replacing an economic activity or investment).

− Natural areas: Terrestrial and aquatic areas where the component ecosystems are characterized primarily by native species, and where human activities have not altered the ecological function to the point where the ecosystem has changed its character or distribution.

− Participation: A process through which stakeholders influence and share control over development initiatives and decisions on resources that affect them.

− Periodic maintenance: Activities that are typically scheduled over a period, such as road resurfacing and bridge repairs.

− Project Affected People (PAP): Individuals, groups or communities, or other organizations, whose interests may be directly affected by the location, construction and operation of the project.

− Project area: The area that includes the immediate and the proximate area of a project that the project may have an environmental or social impact on.

− Proponent: The agency, unit, or individual who proposes, and is responsible for a project. For road projects it will typically be the relevant road authority.

− Public involvement: The dialogue, encompassing consultation and communication, between a Roads Authority and the stakeholders. It includes dissemination, solicitation, and presentation of information.

− Resettlement/Compensation: A term often used to describe the process of re-establishing lifestyles and livelihood following the relocation of affected persons.

− Resettlement/Compensation Action Plan (RAP): A plan to address the issues of involuntary resettlement, compensation and rehabilitation of people and communities affected by a project.

− Resilience: A measure of how quickly an ecosystem or environmental variable returns to its natural state after cessation of a disturbance.

− Routine maintenance: Refers to activities such as grading, grass cutting, drain clearing, pothole patching, and shoulder repairs, usually performed on a daily, weekly or monthly basis.

− Significance: An expert evaluation and judgment of the magnitude of impact or the degree to which a proposed activity or project may (potentially) impact on the environment if implemented.

− Significant impact: A substantial or potentially substantial, adverse change in any of the physical, biological, or social factors of the natural or built environment.

− Social impact: An effect (positive or negative) on a social issue resulting from an infrastructure project.

− Stakeholder: Any person or group having interest in or being directly or indirectly affected by a proposed or past project.

− Stakeholders Engagement Plan: A Stakeholder Engagement Plan is a formal strategy to communicate with project stakeholders to achieve their support for the project. It specifies the frequency and type of communications, media, contact persons, and locations of communication events. − − Synergistic effects: Those effects that result from the combination and interaction of individual impacts. The effects are often greater than the sum of the individual contributing impacts.

Chapter 1: Introduction

1.1 Background

The Southern Africa Trade and Transport Facilitation Programme (SATTFP) Malawi originated from the objectives of the Tripartite1. The HMEPAs of State and Government of the COMESA/EAC/SADC Tripartite met on June 12, 2011. The summit represented the official launch of negotiations with all twenty-six participating countries on the Tripartite Free Trade Area (FTA). It was also agreed that the integration process will be anchored on three pillars: (a) market integration to stimulate intra-regional trade based on the Tripartite FTA; (b) infrastructure development to enhance connectivity and reduce costs of doing business across borders; and (c) industrial development.

The SATTFP Programme in Malawi is supported by the recommendations of the Africa Infrastructure Country Diagnostic (AICD) and the World Bank’s New Africa Strategy. The AICD highlights that Africa’s infrastructure networks increasingly lag behind those of other developing countries and are characterized by missing regional links and stagnant household access. It notes that regional integration can contribute significantly to reducing infrastructure costs, by allowing countries to capture scale economies and manage regional public goods effectively

In this context, in order to ensure adequate environmental and social management during the Programme implementation and the projects execution, and to comply with the national environmental laws and the World Bank’s Environmental Assessment Policy (OP/BP 4.01), this “Environmental and Social Management Framework (ESMF)” was prepared during the project preparation phase. This is based on the Malawi’s Environmental Impact Assessment Guidelines (1997) developed by the Malawi Environmental Protection Agency (MEPA) of the Ministry of Environment and Climate Change Management and also the Environmental Guidelines of the Road Sector (2004) developed by Environment Management Unit (EMU) within the Roads Authority (RA) in the Ministry of Transport and Public Works (MoTPW).

The Government of Malawi has requested for additional financing of the SATTFP from the World Bank to cover cost overruns and to enable the Government to complete the proposed activities under the project. Given that the ESMF was prepared in 2014 and that some key environmental and social legislation and the dynamics around social issues such as Gender Based Violence, Sexual Exploitation and Abuse has changed, the ESMF has been updated in February 2021 to enable the project implementers adequately address such issues in the additional financing. The major changes in the ESMF are the inclusion of new provisions in the Malawi Environment Management Act that was revised in 2017 and Public Roads (Amendment) Act (2017), an elaborate Grievance Redress Mechanism (GRM), GBV mitigation measures (prevention and response) to align to current WB requirements. The main risks, impacts and mitigation measures with the exception of the GBV/SEA risk remain the same as is in the parent project and as was included in the initial ESMF.

However, given the Environmental and Social performance of the project, the ESMF include requirements in bidding documents for contractors to develop Management Strategies and Implementation Plans (MSIPs) to address specific Environmental and Social (ES) risks. The ESMF also include roles and responsibilities of the Roads Authority, Supervising Engineer and Contractors in the implementation of these MSIPs.

1 The Tripartite is an umbrella organization consisting of three of Africa’s RECs: the East African Community (EAC), Common Market for Eastern and Southern Africa (COMESA) and Southern Africa Development Community (SADC), established with the objective of accelerating economic integration.

The project has prepared a separate stakeholder engagement plan that contain a coprehensive assessment and analysis on all the stakeholders to be engaged in the project. This will ensure that all affected and interested groups are adequaltely consulted during the implementation of the project. In additional, Labour management Procedures have been prepared for the project to ensure that labour issues are properly handled during implementation of the subprojects.

The Project has developed a separate Stakeholders Engagement Plan (SEP) in line with International best practices applied on projects to ensure that all stakeholders are adequately consulted. Different stakeholders will be engaged during the implementation of the activities under the additional financing. The SEP defines a programme for stakeholder engagement, including public information disclosure and consultation. The SEP also contain a comprehensive assessment and analysis on all the stakeholders to be engaged in the project. This will ensure that all affected and interested groups are adequaltely consulted during the implementation of the project.

In additional, Labour Management Procedures (LMP) have been prepared for the project to ensure that labour issues are properly handled during implementation of the subprojects. The SEP and the LMP compliments this Environmental and Social Management Framework (ESMF) and Resettlement Management Framework (RMF) that were prepared for the project.

1.2 Objective of the Framework

The overall purpose of the ESMF is to include effective environmental and social management during the “project cycle”, in order to ensure the quality of the projects and to comply with the national laws and the World Bank Safeguards Policies. The RA, through the EMU, should implement the ESMF during the “project cycle” of the projects that the Programme will support.

Some specific objectives of the ESMF are:

- Present the policy, legal and institutional framework related to the environmental and social context in the road sector; and

- Introduce an environmental due diligence process to present methodologies, instruments, procedures, and responsibilities (role) for environmental and social management.

This instrument should be applied by the RA in the SATTFP Programme, but it can be use also in another projects or programmes that the RA will be implementing in order to assure a good environmental and social management in these operations.

1.3 Rationale for Adopting World Bank Safeguard Operational Policies for the Additional Financing

The project will maintain the use of World Bank safeguard Operational Policies (4.01 Environmental Assessment, 4.11 Physical Cultural Resources, and 4.12 Involuntary Resettlement). The rationale for maintaining the use of OPs, rather than applying the new World Bank Environmental and Social Framework (ESF), includes the following: a. The proposed Additional Finance is necessary to address a financing gap, thereby ensuring that all physical infrastructure investments identified within the original parent project are implemented.

b. The project has been proactively retrofitted to include as part of RA’s Grievance Redress Mechanism (GRM) parallel processes outlining the proper protocols for confidentiality and response pathways in handling of sexual exploitation and abuse (SEA) and sexual harassment (SH). c. All activity-related Environment and Social Management Plans (ESMPs) and Resettlement Action Plans (RAPs) are being retrofitted to conform to the updated frameworks, which are designed to meet the core principles of the ESF. d. For both on-going and upcoming sub-projects, a detailed Stakeholder Engagement Plan (SEP) and Labor Management Plan (LMP) complement the project’s safeguard management. The SEP sets out public consultation processes for community dialogue and awareness raising that will be carried out in project areas to ensure people potentially affected by the project remain fully informed. The LMP acknowledges local community impacts that may arise due to labor influx at project sites with cogent measures to mitigate related risks. e. The remaining larger civil works packages will use the World Bank Standard Bidding Documents (January 2021), which, in addition to explicit Management Strategies and Implementation Plans to address the ESMPs, include additional remedial measures that can be taken unilaterally by World Bank in cases of contractor non-compliance with associated safeguard requirements. Specific measures will include (i) briefing prospective contractors on the Environmental, Social, and Occupational Health and Safety Standards, and SEA-related requirements during pre-bid meetings; (ii) incorporating into bid documents requirements to minimize use of expatriate workers or non-local labor, as much as possible; (iii) requiring that contractors and consulting firms submit “Codes of Conduct” with their bids; (iv) requiring contractors to establish anti-sexual harassment policies, adopt specific measures for implementing environmental, social, and occupational health and safety standards, and mitigation measure on SEA; and (v) requiring firms pay the NGO to provide worker training on SEA, HIV/AIDS mitigation, and Code of Conduct obligations.

1.4 Summary of Safeguards Implementation Performance of the SATTFP 2

The project encountered safeguard implementation challenges between October 2019 and June 2020. Briefly, these safeguard issues included: (i) contractor environmental management practices related to quarry management; (ii) inadequate site protection of the Songwe quarry site; and (iii) a related community land dispute at the contractor campsite. RA responded promptly to manage the respective social and environmental issues while building upon recent good practices. To rectify the concerns, the contractor submitted an acceptable Quarry Management Plan and completed corrective actions related to site rehabilitation (i.e. safe benching of slopes, proper drainage systems to prevent ponding) and community protection measures (including public consultations and improvements to security fencing). Malawi Roads Authority (RA) developed, completed and continues to meet the protocols included in its community consultation and communication plan, which included proper documentation of agreements with affected households, to ultimately resolve and close all registered grievances at the Karonga Songwe campsite in April 2020. The community dispute was resolved with all PAPs and an agreement was reached. Additional measures taken by the project to mitigate the reoccurrence of similar incidents in future works programs include clear requirements that contractors will submit Management Strategies and Implementation Plans (MSIP) to manage the following key Environmental, Social, Health and Safety (ESHS) risks in alignment with related ESIA/ESMPs. The framework has therefore been strengthened to provide further focus on the following Contractor requirements: • Traffic Management Plan to ensure safety of contractor workers and local communities from construction traffic. • Water Resource Protection Plan to prevent contamination of drinking water; • Strategy to avoid and manage waste generation; • General strategy to avoid creation of noise nuisance, vibration and air pollution (due to e.g. dust).

• Boundary Marking and Protection Strategy for mobilization and construction to prevent offsite adverse impacts; • Strategy for obtaining Consents/Permits prior to the start of relevant works such as opening a quarry or borrow pit; • Strategy to manage occupational health and safety, incl. HIV prevention measures for contractor’s staff/workers and a grievance mechanism for workers to raise workplace related concerns; • Strategy to manage community health and safety incl. Gender Based Violence, Sexual Exploitation and Abuse, Child Labour and Violence Against Children prevention and response plan; HIV/STIs prevention plan; conflict resolution; • Strategy to ensure recruitment of locals and inclusion of youth and women in employment opportunities; The civil works packages to be financed through the AF will use the World Bank Standard Bidding Documents (January 2021), which, in addition to explicit MSIPs, include additional remedial legal measures that can be taken unilaterally by World Bank in cases of contractor non-compliance with associated safeguard requirements. Other specific measures to be undertaken by RA will include (i) briefing prospective contractors on the Environmental, Social, and Occupational Health and Safety Standards, and SEA-related requirements during pre-bid meetings; (ii) incorporating into bid documents requirements to minimize use of expatriate workers or non-local labor, as much as possible; (iii) requiring that contractors and consulting firms submit “Codes of Conduct” with their bids; (iv) requiring contractors to establish anti-sexual harassment policies, adopt specific measures for implementing environmental, social, and occupational health and safety standards, and mitigation measure on SEA; and (v) requiring firms pay the NGO to provide worker training on SEA, HIV/AIDS mitigation, and Code of Conduct obligations

1.5 Scope of the Framework

The ESMF is an instrument to be applied by RA, and specifically by the EMU, to guide it in environmental and social management.

The instrument is structured as follows:

− Chapter 1, presents the background of the SATTFP, the objectives and the scope of the ESMF;

− Chapter 2, describes the SATTFP “Project” and its components;

− Chapter 3, presents an diagnosis or overview of the National Policy, legal and institutional framework; and a environment and social characterization of Malawi;

− Chapter 4, describes the Bank’s Safeguards Policies that should takes into account during the Programme implementation;

− Chapter 5, present the main environmental and social impacts and measures in the road sector;

− Chapter 6, the Environmental and Social Management where include methodologies, tools and internal procedures of the Environmental Affairs Department in order to ensure adequate environmental and social management; and

− Chapter 7, a summary of the Environmental Assessment Process based on the Environmental Impact Assessment Guidelines (1997) developed by Environmental Affairs Department.

The instrument includes 7 Annexes, which contain additional information that complement the document and the formats that should be used as part of the environmental and social management during the project cycle.

This ESMF was developed by the RA and specifically with the Envirnmental Management Unit (EMU) in coordination with the Bank’s Safeguard Specialists. According with the Bank's requirements of consultation, the final document was socialized with the stakeholders in a workshop held in Lilongwe on September 24, 2014. The results and evidence of this consultation process is included in the Annex 1. Also the ESMF was disclosed in the RA website and the World Bank InfoShop in compliance with the Bank’s disclosure policy.

Chapter 2: The Programme

2.1 Background

2.1.1 Regional Level

The Eastern and Southern Africa region is highly diverse but with considerable potential for significant gains from deeper integration. The countries of the region range from South Africa; the continent’s most advanced economy, with advanced manufacturing and service industries, and superior logistic services, to some of the smallest and poorest, inter alia Swaziland, Malawi, and the Democratic Republic of the Congo. In addition, the region contains a number of countries, such as Zambia, Malawi, Burundi, Lesotho, and Rwanda, with untapped agricultural potential and natural resources, and a labor endowment that is trained, relatively inexpensive, and well-positioned to compete globally.2

The region has enjoyed above global average rates of economic growth over the period 2000-2008 driven by increasing global demand for primary commodities, but complemented by growing inter-regional trade, albeit from a low base. The region’s trade with the rest of the world increased significantly, tripling between 2000 and 2011 from US$50 billion to US$260 billion. However, this value falls to about US$60 billion, if South Africa is excluded.3 Exports from the region include copper, other minerals and agricultural commodities from South Africa, DRC, Zambia, Zimbabwe and Malawi, while imports include chemicals, mining parts and equipment, general consumer goods, etc.

Despite this growth, intra-regional trade remains modest: Regional trade in Southern Africa amounted to only 13 percent of total trade in 2011, and the region compares poorly in this respect with other world regions. As examples, regional trade in Europe reached 70 percent of total trade in 2011; in North America, 40 percent; and in Association of Southeast Asian Nations (ASEAN), 30 percent.4 Trade with South Africa accounts for more than half of total intra-regional trade: For example, 60 percent of Zambia’s regional exports and 50 percent of its regional imports are with South Africa. Over 90 percent of Malawi’s regional imports are from South Africa, while South Africa is a destination for only 10 percent of Malawi’s exports.

The countries of the region face a number of common problems: the region includes a large number of relatively small states, a number of which are landlocked; it is geographically remote from both the more mature markets of Europe, America and Japan, and the emerging markets of China, India, Indonesia and Brazil; a number of countries have high rates of unemployment and poverty, particularly among the low- skilled, a large informal sector, and an overreliance on primary commodities; and from a global perspective, the region represents a number of disparate and relatively small markets, whose aggregation is complicated by physical and institutional barriers, such as distance, the poor quality of the infrastructure, and continued intra- regional policy and regulatory discrepancies, despite a number of earlier initiatives.5

Improving the regional transport network is a necessary condition for both competitiveness and regional and global economic integration. High transport prices/costs, including time, are a major obstacle to increasing

2 The World Bank Group (2011a), Harnessing Regional Integration for Trade and Growth in Southern Africa. 3 International Monetary Fund (2011), Direction of Trade Statistics, (based on goods value exports US MM) 4 International Trade Center (2012) Trade Map, International Trade Statistics Database. 5 The East African Community (EAC) Customs Union and Common Market, the Common Market for Eastern and Southern Africa (COMESA) Free Trade Area, and the Southern African Development Community (SADC) were all designed and established, to a great extent, to facilitate regional trade.

trade and economic growth: Amjadi and Yeats (1995)6 concluded that, in Africa, transport costs represent a higher trade barrier than import tariffs and trade restrictions. Freund and Rocha (2011)7 report an inverse correlation between inland travel time and export performance, with a one day decline in the former leading to a seven percent increase in the latter. Recent research points to predictability as being, at times, even more important for logistic performance. The delivery of exports in Eastern and Southern Africa is twice as unpredictable as in an average emerging country, measured by standard deviation from mean clearance times. The cost of each additional day of delay is estimated to be as much as US$ 200-400, adding to high transport costs/prices.8

2.1.2 The North – South Corridor

The broader North-South Corridor (NSC) extends some 3,900 km from Dar es Salaam in Tanzania to Durban in South Africa. The corridor encompasses both road and rail networks, and maritime and inland water ports, and is a very important strategic trade route. The so-called broader NSC actually comprises two sub-corridors, the Dar es Salaam Corridor (more commonly known as the Dar Corridor), connecting Malawi, Zambia and the DRC, and the traditional North – South Corridor, from Durban to DRC, Zambia, Zimbabwe, Botswana, Malawi and northern Mozambique. The former extends for about 1,900 km from Dar es Salaam in Tanzania to Kapiri Moshi in Zambia, and includes branches linking to the neighboring countries of the DRC, and Malawi; whilst the latter runs from Durban in South Africa to the DRC, linking Zambia, Zimbabwe, Botswana, Malawi and northern Mozambique.

The region appears relatively well endowed with physically continuous road and rail networks, linked to maritime and inland ports. However, there are major deficiencies in all the surface transport modes: the infrastructure is frequently poor or incomplete, inadequately maintained, or there are limitations in organizations, management, and coordination, particularly at the ports and border crossing operations. Overall, the core regional road network is in fair condition, but some sections are in poor or very poor condition, notably in Zimbabwe, Malawi, Zambia, Malawi, and Mozambique.9 Railway performance is poor and unreliable, and as a result, 80 percent of all freight on the corridor is moved by road transport. Transport costs along the corridor are some of the highest in the world, requiring almost seven days for the 2,000 km trip by road (carrying one Twenty Foot Equivalent Unit [TEU]) from Dar es Salaam port to Lusaka in Zambia, and costing US$ 5,000.10 The figure that follows presents the transport corridors for Malawi.

6 Amajadi A., & Yeats A.J. (1995) Have Transport Costs Contributed to the Relative Decline of Sub-Saharan African Exports, World Bank Policy Research Working Paper 1559. 7 Freund, C., & Rocha, N. (2011) What Constrains Africa’s Exports? The World Bank Economic Review, Volume 25, Number 3, pages 361-386. 8 Arvis, J.F., G. Raballand and J.F. Marteau (2010) The cost of being landlocked: logistics costs and supply chain reliability, The World Bank Group. 9 Nathan Associates (2011), Definition and Investment Strategy for a Core Strategic Transport Network for Eastern and Southern Africa. A study funded by PPIAF. 10 World Bank (2012), Op Cit.

Figure No. 1: Malawi Transport Corridors

Source: Road Authority

There are main international sea ports at the end points of both rail and road networks on the NSC, with the Port of Dar es Salaam in the north and the Port of Durban in the south. Durban and Dar are the largest ports on the corridor and the only ones with sufficient volumes to justify direct calls by major shipping lines. Secondary ports, such as Nacala and Beira located on branches off the corridor, receive calls from feeder vessels coming from hub ports in the area, particularly Durban. Beira Port is constrained by the absence of a direct rail connection and limited depth of the port. Whilst Nacala Port is situated in a deep-water bay offering

natural protection for very large vessels, it currently remains a relatively small feeder port.

A further major impediment to trade flows on the corridor are the border crossings. The NSC is served by main border posts at Kasumulu/Songwe, Tunduma/Nakonde, Kasumbulesa/DRC, Chirundu, Beitbridge, Mchinji/Mwame, among others. A recent analysis of the road corridor from Durban to Lubumbashi in the DRC revealed that border posts were responsible for 15 percent of the total monetary costs (comprising one percent, one percent and 13 percent for Beit bridge, Chirundu and Kasumbalesa, respectively) and 37 percent of the total travel time (comprising 13 percent, 11 percent and 13 percent for Beitbridge, Chirundu and Kasumbalesa, respectively) for the movement of a consignment.11 The analysis also revealed mean processing times of 39 hours at Chirundu, 48 hours at Beit Bridge, and 49 hours at Kasumbalesa.

Road transport along transit corridors has been identified as a major factor in the spread of Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome (HIV/AIDS). Transport workers, their spouses, and their sexual partners have long been identified as vulnerable groups at high risk of HIV/AIDS.12 This finding reflects that: (a) the former are often absent from home for prolonged periods, increasing the likelihood of unsafe sexual activity; (b) there is often a lack of knowledge among long-distance truck drivers as to risky and safe behavior; (c) there is often higher than average level and frequency of alcohol consumption among this group, increasing the incidence of risky behavior; and (d) the increased mobility can itself facilitate HIV transmission from areas of high prevalence to areas of low prevalence but high vulnerability, both nationally, and across borders.

Malawi, along with other countries in the region, has a nationally adopted HIV/AIDS program. Awareness of the risk of HIV/AIDS has been increased through education initiatives in the schools. The incidence of HIV among adults in Malawi has declined slightly from an estimated 14.5 percent in 2005 to 10.8% percent in 2012. Nevertheless, activities addressing the risks of HIV/AIDS transmission among truck drivers and surrounding communities along transit corridors have not been implemented in a systematic manner. Empirical evidence has revealed that commercial sex workers and long-distance truck drivers represent one of the most vulnerable population groups in Malawi. In addition, National AIDs Commission of Malawi, the national body leading the multi-sectoral response to the HIV/AIDS epidemic, has confirmed an acute need for improved HIV mitigation activities in the transport sector.

Similarly, fatalities and injuries from road traffic crashes represent a significant and growing economic and social cost in Africa. Road Safety is both a development and a public health priority in low and middle- income countries in Africa. Road crashes disproportionately harm the poor, plunging families into poverty, and forming a substantial drain on a country’s resources. Road traffic crash mortality rates were nearly five times higher in Africa in 2002 (averaging 28.3 fatalities per 100,000 head of population) than in the best performing Western European countries (approximately six fatalities per 100,000 head of population in the United Kingdom, The Netherlands, and Sweden).13

2.2 Programme Description

11 Nathan Associates (2011), Definition and Investment Strategy for a Core Strategic Transport Network for Eastern and Southern Africa. A study funded by PPIAF. 12 See inter alia The World Bank Group (2008), Lessons Learned from Mainstreaming HIV/AIDS in Transport Sector Projects in Sub-Saharan Africa. Washington D.C, The World Bank Group (2009) Transport against HIV/AIDS: Synthesis of Experience and Best Practice Guidelines. Transport Paper 25. 13 World Health Organization/The World Bank Group (2004) World report on road traffic injury prevention.

The Southern Africa Trade and Transport Facilitation Programme (SATTFP) is a regional, multi-sector, and multi-phase project intended to further facilitate trade integration in the region by contributing to the alleviation of institutional, legal, policy, and road infrastructure constraints along the constituent parts of the North South Corridor (NSC). The Project design involves the identification of institutional, policy and social priorities for the corridor as a whole then, based on the identified framework, the design and implementation of suitable interventions in sequence at a national level. The first phase will focus on the Northern Corridor between Songwe Boarder and the Capital City of Malawi, Lilongwe given the issues related to the transport of goods from the port of Dar res Salaam to Lilongwe and further to Zambia, DRC and South Africa.

2.2.1 Components

Component 1: Improving Road Infrastructure The first component comprises three sub-components to strengthen asset management, improve thecondition of the road network, and mitigate accident blackspots:

(a) Component 1(a): The Karonga – Songwe Section of the M1 Corridor This sub-component will support the improvement of the 46 km Karonga – Songwe section of the M1 road. The interventions will include a mix of reconstruction and overlay with surface dressing and widening with drainage improvements to complete rehabilitation to 7 meter carriageway and 2 meter shoulders on each side to accommodate safe movement of the non-motorized traffic. To mitigate increased road safety risks to local population and non-motorized road users due to increased volumes and traffic speeds along the section, the interventions will include implementation of proper road safety measures and will be subjected to an independent road safety audit in the design stage. The European Investment Bank (EIB) has confirmed their interest in potentially funding the remaining priority sections of the M1 corridor (70 km Kacheche-Chiweta section and 147 km Mzimba Turn off - Mzuzu – Kacheche section); and

(b) Component 1(b): Accident Blackspot Intervention This sub-component will support the mitigation of priority accident blackspots on the north-south corridor. A risk based Road Safety Assessment carried out on the 2,809 km paved road network in Malawi with grant funding from the Global Road Safety Facility (GRSF), identified 70 accident blackspots. The blackspots have been ranked according to the Benefit-Cost ratio where the blackspot treatment with highest reduction in fatality and serious accident costs per investment is ranked highest.

At a workshop in Lilongwe on March 12, 2014, seven out of 70 priority blackspots, five of which are between Lilongwe and Blantyre, were confirmed with stakeholders for inclusion in the project. Almost 400 fatal accidents and 250 serious accidents have been registered on these 70 blackspots over the period of 2008-2012. The improvement of road safety at these locations is important for reducing fatalities on Malawian roads, and are a key part of the DRTSS strategy.

Component 2: Improving Social Infrastructure The second component comprises two sub-components to mitigate the social costs associated with increased transport volumes on key regional trading corridors:

(a) Component 2(a): Improving management of road safety This sub-component involves supporting the implementation of the recommendations of the draft results focused road safety strategy, which is now being prepared with support from the European Union. Specifically, it proposes to fund the design and implementation of pilot road safety projects in support of defined targets, including those implemented under component 1(b) above. It is provisionally expected to include (i) the purchase of equipment for the DTRSS (handheld speed detection radars, breathalyzers), (ii) the undertaking of baseline surveys (seatbelt wearing,speeding, drunk driving, etc.), (iii) an educational road safety campaign, (iv) a study to estimate the socio-economic cost of road traffic accidents, (v) the purchase

and installation of accident analysis software; (vi) the procurement of mobile weigh scales; and (vii) technical assistance to design and support the DRTSS in implementing the pilot; and

(b) Component 2(b): Improving health services and emergency response This sub-component will refurbish and extend priority health facilities in trauma care, and provide technical assistance to develop the capacity of the staff in the local health facilities, in HIV/AIDS awareness, counseling and testing. It will also support the piloting of an emergency response service for road traffic accidents as a pilot on a defined section of the NSC. This sub-component is intended to mitigate the impact of the growth in transit traffic, facilitated by the SATTFP, on the resident population along the corridor.

Component 3: Improving Trade Facilitation The objective of this component is to reduce the cost of cross border transport by modernizing, simplifying and harmonizing the trade and transit procedures and policies. This is expected to be realized by the following provisional list of sub-components: (a) A feasibility study to assess options for establishing a National Single Window (NSW) facility. This study will identify options, and the processes and additional resources required to establish the NSW;

(b) Support for establishment of NSW based on the option, key elements of development, the approach, and operational models recommended in the context of Malawi. With support from the African Development Bank (AfDB), the GoM is implementing the migration of its Customs clearance system from the current ASYCUDA++ to ASYCUDA World. This upgrade provides a flexible interface with different ICT systems and could potentially become an option for the platform of the NSW. The National single window is part of a regional customs interconnectivity;

(c) A feasibility study of the upgrading and modernization of border post facilities at Mwanza, Dedza and Songwe. This study will identify and assess options to improve the physical infrastructure, the processes and the procedures, to implement the Cabinet Order to reduce the number of agencies at the border from 14 to 5 on the Malawi side of the border, and the establishment of IBM; and

(d) The upgrading and modernization of border post facilities at Songwe on the Tanzania border, and Dedza and Mwanza, border crossings on the Mozambique border, and the introduction of IBM to address lack of interagency co-operation, no structured sharing of information, no co-ordination in operating hours between agencies on the same and opposite sides of the border, insufficient parking space, no Information and Communication Technology (ICT) connectivity, and a lack of coverage and necessary equipment for physical inspections. For Songwe-Kasumulu crossing, the Malawi Revenue Authority (MRA), the body responsible for border post operation and development, has signed a Bilateral Agreement with their Tanzanian counterparts (Tanzania Revenue Authority, TRA) on March 10, 2014, confirming the willingness of all parties to work towards the agreed objective and establishment of OSBP. A copy of the signed Agreement has been provided to the Bank. For the border posts at Mozambique border, a similar agreement with Mozambique will be needed to realize the full benefits, and the Ministry of Industry and Trade (MIT) is currently preparing a draft for signature. For the Dedza OSBP, a Memorandum of Intent was signed between Malawi and Mozambique in 2008. The Bank will support the signing of the Bilateral Agreements for all participating border crossings through the ongoing regional integration dialogue facilitated under the SATTFP program. The physical infrastructure investments in border post improvements will be implemented in parallel with the necessary institutional and operational reforms to reduce the number of agencies at the border from 14 to 5, in a manner consistent with the Cabinet order of the GoM, and commence the establishment of IBM.

Component 4: Institutional Strengthening and Implementation Assistance The fourth component will provide necessary project management, implementation assistance and capacity building to the RA, and strengthening of the institutional framework for transport. This complements the substantial ongoing program of technical assistance being provided by the EU in the sector. The specific activities to be funded through the project include:

(a) The procurement of consultants to prepare a National Transport Master Plan, to guide the sustainable development of the transport sector to 2030; (b) The procurement of qualified consulting engineers to assist RA in the preparation of designs and supervision of works to mitigate the accident blackspots; (c) The procurement of qualified consulting engineers to assist RA in the supervision of the implementation of civil works on the Karonga – Songwe section; (d) The procurement of consultants to prepare the feasibility study, detailed design, Environmental and Social Impact Assessment (ESIA)/Environmental and Social Management Plan (ESMP) and Resettlement Action Plan (RAP), if required, for the works on the other remaining priority sections of the M1 (Kacheche – Chiweta and Mzimba Turn off – Mzuzu – Kacheche), to be potentially funded by the EIB; (e) The procurement of consultants to undertake a quality review of the processes of scheme identification, design, implementation, supervision and handover, together with the independent technical audit of works undertaken in the project; (f) The procurement of consultants to operationally establish the road asset management system in the RA; (g) The procurement of integrated accounting and contract management software to the RA; (h) Support to the RA to assist the Project Implementation Team (PIT) in project implementation; (i) A study to ascertain the structure, responsibilities and necessary resources for a network manager in the rail sector; and (j) Capacity building and training in the Ministry of Transport and Public Works.

All equipment and training financed by the Project in respect of the border agencies and DRTSS is directly related to trade facilitation activities and road safety and do not include weapons, lethal equipment or any other police or military equipment of such nature or support for specific case investigations. The equipment consists of physical facilities, office and information technology equipment, road safety equipment, and/or vehicles. The intervention is critical to the project at the regional level and to the overall economic development of Malawi and falls within the Bank’s development mandate.

2.2.2 Beneficiaries

The beneficiaries of the project will encompass road users, passenger and freight, and their families, residents along the road corridor, tradable sectors of the economy and ultimately, consumers and producers both inside and outside the sub-region.

2.3 Institutional arrangements

The project proponent and the executing agency of the Programme is the Roads Authority (RA) who will be assisted by the Environment Management Unit (EMU), and by design and supervision consultants and other sector consultants to engage the Contractor and Sub-contractors in the implementation of the projects. To minimize potential environmental and social negative impacts, the projects will require the support of various

institutions in the project area. In this instrument presents the actions and responsibilities for the ESMF implementation through the project cycle.

In regards of the reporting arrangements, RA’s Environment Management Unit (EMU) or Consultant's appointee to deal with environmental management will cooperate with other experts such as District Land Officers, District Valuers, Community Development Officers and District Environmental Officers to provide the Environmental and Social Planner at the RA with environmental reports of the project implementation as part of the progress reports and annual environmental monitoring reports.

Chapter 3: Law regulatory and instititional Framework

3.1 Policy Framework

The Government of Malawi’s commitment to environmental management and sustainable development is reflected in its three main environmental policy documents: the National Environment Action Plan (NEAP 1994), the National Strategy for Sustainable Development (NSSD 2002), and the National Environment Policy (NEP 1997). Furthermore, relevant policy developments in the sector ministries include: Transport; Industry; Water; Construction; Tourism; Wildlife; Forest; Agriculture; Land; Mining; Fisheries; National Parks and Wildlife; Energy; Gender; and Health.

3.2 Legal Framework

The overall legal framework for environmental planning and management in is laid down in the Environment Management Act (1996) and regulations made under this act. In addition the Public Roads Act (1968) and regulations made under it specifies the sector specific provisions for environmental planning and management in the road sector. a. Provisions of the Environmental Management Act, 2017

Malawi has enacted the Environmental Management Act (EMA) 2017 that has replaced the 1996 Act. The Environment Managemtn Act (EMA) is an Act that makes provision for the protection and management of the environment; the conservation and sustainable utilization of natural resources and for matters connected therewith and incidental thereto. Section 3(1) states that 3 (1) every person shall take all necessary and appropriate measures to protect and manage the environment, to conserve natural resources and to promote sustainable utilization of natural resources in accordance with this Act and any other written law or policy relating to the protection and management of the environment or the conservation and sustainable utilization of natural resources. To achieve this, the Act in section 7(1) provides for the establishment of the Malawi Environment Protection Authority (MEPA) which is the principal agency for the protection and management of the environment and sustainable utilization of natural resources.

Among its functions stipulated in Section 9(2-f), the MEPA is tasked to review and approve Environmental and Social Impact Assessments (ESIAs), Strategic Environmental Assessments (SEAs) and other relevant environmental assessments in accordance with this Act. Section 25 allows the MEPA to establish such advisory committees as may be deemed necessary and appropriate for the conduct of its regulatory responsibilities. This implies that the MEPA may engage experts from outside its permanent staff as advisers, reviewers or technical experts to assist in the review of ESIAs, SEAs and other relevant environmental assessments.

Part IV of the Act stipulates provisions for ESIA as it is stated in section 31 (1) that the Minister may, on the recommendation of the Authority, specify, by notice published in the Gazette, the type and size of a project which shall not be implemented unless an ESIA is carried out. The section further points that a person shall not undertake any project for which an ESIA is required without the written approval of the Authority, and except in accordance with any conditions imposed in that approval. Any other licensing authority shall not grant a permit or licence for the execution of a project unless an approval for the project is granted by the

Authority, or the grant of the permit or licence is made conditional upon the approval of the Authority being granted. In this way, the Project Client will have to obtain an EIA Certificate first before commencing activities of the proposed sub projects under the SATTFP. Director General b. Environmental Impact Assessment Guidelines, 1997

The overarching regulations for any environmental assessment of projects in Malawi are the Environment Impact Assessment made under the EMA. The EIA guidelines outline the process for conducting EIA and to facilitate compliance by developers as outlined in the Environment Management Act, 1996. The guidelines also provide a list of prescribed projects to undergo mandatory EIA. The guidelines are used by developers who intend to carry out an EIAs as a reference document. The guidelines are a tool for integrating environmental concerns into development plans in both the public and private sectors. They provide important information to the EIA process to facilitate the requirement under section 29 of EMA that the developer (proponent) submits the EIA Report to MEPA where the Technical Committee on Environment (TCE) provides the necessary advice in decision making process and makes recommendation for approval to the National Council for the Environment (NCE). Every developer is required to comply with the processes set by these guidelines. c. Regulation on Environmental Experts

A directory of recommended ESIA Experts was developed by the MEPA and consequently approved by the National Council for the Environment (NCE). It is compulsory to assign an independent environmental expert to carry out environmental impact assessment studies. The expert must be on approved list. A list of registered environmental experts may be obtained from the MEPA. d. Environmental Standards

Any project must comply with existing Malawi environmental standards during the site preparation and construction phases as well as the operation phases of the road project. Currently the following standards have been issued under the EMA and the Malawi Bureau of Standards Act (1972): − Water quality standards − Standards for discharge of effluents − Air quality standards − Standards for emissions to air − Noise and vibration standards − Solid waste regulations − Soil quality standards

Relevant standards may be purchased from the Malawi Bureau of Standards (MBS). e. Others Environmental Law

The next table outlines other key policies and laws related to the Environmental Management Act.

Table N° 1: Other Existing Key Policies and Laws relating to Environmental Management Act

Act Key elements Implementing authority National Parks and The Act protects wildlife and vegetation by restricting Department of

Act Key elements Implementing authority Wildlife Conservation the utilization of wildlife to license holders. The use of National Parks Act (2004), sensitive wildlife habitats is restricted during certain and Wildlife times of the year or for specified periods. Fisheries Act (2004) The Act regulates annual catches and fishing periods. Department of Specific regulations restrict some methods of fish Fisheries harvesting as well as prohibiting dynamiting and poisoning. Mines and Mineral Act The Act sets out government policy on all forms of Department of mining and is supported by various regulations Mines covering claims, prospecting rights, mining rights, and royalties. Mining license applicants are required to submit plans for environmental protection. Each industry is required to establish realistic resource- recovery standards and to adhere to them. Mining plans must be presented before operations begin. Local Government Act Local authorities are empowered to enact bylaws Local Authorities (1998) regarding the protection of soil, agriculture, water supplies, and other natural resources. The act contains provisions to protect human health and regulate pollution. Source: Environment Management Unit (EMU) compilation, 2013

f. Environmental International Agreements

Malawi is a party to many international agreements on biodiversity, climate change, desertification, endangered species, ozone layer protection, and others, including:

− Basel Convention on the Control of Trans-boundary Movements of Hazardous Wastes and Their Disposal (1989); − Convention Concerning the Protection of the World Cultural and Natural Heritage, Paris (1972); − Convention on Biological Diversity; − Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES, 1973); − Convention on the Ban of the Import into Africa and the Control of Trans-boundary Movement and Management of Hazardous Wastes within Africa, Bamako, Mali (1991); − United Nations Convention to Combat Desertification in Countries Experiencing Serious Drought and/or Desertification, Particularly in Africa (1994); − Lusaka Agreement on Co-operative Enforcement Operations Directed at Illegal Trade in Wild Fauna and Flora (1994); − Montreal Protocol on Substances That Deplete the Ozone Layer (1987); − United Nations Framework Convention on Climate Change (1983); and − Vienna Convention for the Protection of the Ozone Layer;

g. Provisions of the Public Roads (Amendment) Act (2017) The Public Roads Act of 1962 as amended was enacted to consolidate and amend the law relating to Public Roads. In this Act the highway authority is assigned responsibilities for the construction, care and maintenance of any road or class of road in accordance with the Act.

The Environmental Guidelines for the Road Sector (2004) were issued under the Act and agreed with the MEPA. These regulations complement the regulations made under the EMA and present the specific requirements for environmental assessment and management. 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 compensation which can be paid under this act. The compensation 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 compensation provided for in this act.

h. Provisions of the Gender Equality Act (2012) An Act to promote gender equality, equal integration, influence empowerment, dignity and opportunities, for men and women in all functions of society, to prohibit and provide redress for sex discrimination, harmful practices and sexual harassment, to provide for public awareness on promotion of gender equality and to provide for connected matters. Section 6(1) of the Act states that a person who commits an act of harassment if he or she engages in in any form of unwanted verbal, non-verbal or physical conduct of a sexual nature in circumstances, would have anticipated that the other person would be offended, humiliated or intimidated, and (2) a person who sexually harasses another in terms of the foregoing subsection is liable to a fines and imprisonment specified under subsection (2).

Section (7) of the Act makes provision for Government to take active measures to ensure that employees have developed and are implementing appropriate policy and procedures aimed at eliminating sexual harassment in the workplace.

3.3 World Bank Safeguard Policies

3.3.1 Description To ensure the social and environmental sustainability of the projects, the World Bank developed its Safeguard Policies, divided in environment, social, and legal areas (Figure No. 4). Likewise, the World Bank has a Public Disclosure Policy that is of cross-character and applies in all the Safeguards Policies.

Figure No 4: World Bank Safeguard Policies

Social Policies Environmental Policies OP/BP 4.10 Indigenous People OP/BP 4.01 Environmental Assessment OP/BP 4.12 Involuntary Resettlement OP/BP 4.04 Natural Habitat OP/BP 4.11 Physical Cultural Property OP/BP 4.09 Pest Management OP/BP 4.36 Forest Legal Policies OP/BP 4.37 Safety of Dams OP/BP 7.50 International Waterways OP/BP 7.60 Projects in Disputed Areas

World Bank Additional Safeguard Instruments - Environmental, Health and Safety Guidelines - Environmental Assessment Sourcebook (and updates) - WB Participation Sourcebook (1996) - Disclosure Hand Book - Electronic Resettlement Guidebook

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, the RA will comply with all the Safeguard Policies in the projects 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.

3.3.2 Safeguard Policies triggered by the Programme

In infrastructure and road projects, the environmental and social Safeguard Policies that commonly triggered are:

- OP/BP 4.01 Environmental Assessment - OP/BP 4.11 Physical Cultural Property - OP/BP 4.12 Involuntary Resettlement

More detail information about these policies is presented in the Annex 2.

The next Table No. 2 presents the common settings in which the safeguards are triggered and generic directions to comply with them. The policies that apply to each specific project will be decided on a case-by- case basis during the project cycle.

Table N° 2: Social and Environmental Safeguards commonly activated in the road sector

Safeguard Trigger settings and requests Policy Environmental This safeguard is typically triggered in projects where the work will affect, temporary or Assessment permanently, the natural environment and/or society, through direct, indirect, or (OP/BP 4.01) cumulative impacts. The project will develop the Environmental and Social Impact Assessment (ESIA), Environmental and Social Management Plan (ESMP), and others required by national law and the Bank’s guidelines to ensure the social and environmental sustainability of the project and to obtain the respective environmental permissions.

Natural Habitats This safeguard is most likely triggered for projects located in a protected area or in a (OP/BP 4.04) critical area from an environmental perspective. Depending on the negative impacts to the natural habitats (flora and fauna), these projects will require special studies to protect or preserve the species identified at risk of being affected. If a project can cause irreversible damages, it will be excluded from financing.

Indigenous or This policy is triggered when a project is located in recognized areas of indigenous or Vulnerable vulnerable groups, where a project benefits or affects these communities. The criteria to Groups define these vulnerable groups are included in the Bank’s OP/BP 4.10. (OP/BP 4.10) In these cases an Indigenous or Vulnerable Group Plan (VGP) is required, in order to ensure an adequate consultation process and participation of these groups.

Physical This safeguard might be triggered during projects constructed in zones of recognized Cultural archaeological/cultural/physical potential. Property Investigations, Rescue, and the Chance Finds Procedures Plan are the most common (OP/BP 4.11) instruments required in cases when the Policy is triggered.

Involuntary This safeguard is triggered when projects require the relocation of people or compensation Resettlement is required because of project impacts on livelihoods or natural resources. The affectation (OP/BP 4.12) could be minimal or substantial depending on whether houses or productive lands (legal or illegal) are impacted. These cases require a Resettlement Action Plan (RAP) developed in accordance with the Bank’s guidelines.

In accordance with the Bank’s Public Disclosure Policy, generally a Communication and Disclosure Program is required to present all the environmental and social documents developed for the projects (ESIAs14, ESMPs15, RAPs16, or others) as part of the participation and consultation process.

Applicable WBG EHS Guidelines The World Bank Group, Environmental, Health and Safety (EHS) General Guidelines of April 2007 superseded the World Bank Handbook issue of 1998. In terms of specific guidelines to control environmental externalities (e.g. wastewater quality etc.), The WBG EHS guidelines have been set out by IFC and the World Bank Group to provide general guidelines for its members when involved in a project or when providing

14 ESIA: Environmental and Social Impact Assessment 15 ESMP: Environmental and Social Management Plan 16 RAP: Resettlement/Compensation Action Plan

financial support to a project. These guidelines contain general and industry-specific examples of Good International Industry Practice (GIIP). In summary, the following WBG EHS Guidelines are relevant to the SATTFP project:

1. General EHS Guidelines, Environmental: a. Wastewater and Ambient Water Quality b. Hazardous Materials Management c. Waste Management 2. Construction and Decommissioning a. Environment b. Occupational Health and Safety c. Community Health and Safety a. improvements of the One Stop Border Posts 3. Infrastrucure 4. Community Health and Safety a. Traffic Safety

3.4 Institutional Framework

3.4.1 Ministry of Transport and Public Works: Road Sector

The MoTPW is the main stakeholder in the road sector. The MoTWP formulates policies, sets standards, and specifications; defines the long-term strategic plans; and participates to the management of the executive agencies. As stipulated in the Government Instrument, the roles and functions of the MoTPW are:

− Formulation of policies, plans and strategies towards development, upgrading and Management of the Construction Sector covering short, medium and long term; − Setting standards and Monitoring of quality compliance in Construction, Rehabilitation and Maintenance of Roads, Ferries, Bridges, and Government Buildings; − Monitoring & Supervision of Construction, Rehabilitation and Maintenance of Roads, Ferries, Bridges, and Government Buildings; − Supervision and Monitoring of preliminary and detailed designs of Trunk and Regional Roads; − Monitoring, supervision and coordination of various activities of Agencies/Parastatals, Boards and Institutions which are under the Ministry; − Sourcing of internal and external funds for financing of various projects under the Ministry; − Supervision of axle load control and transport safety; and − Human Resources development for Ministry’s Employees at all levels.

All road sector responsible ministries, department, agencies etc. have overall responsibility to protect the environment while planning or executing road projects or managing road operations in accordance with the prescriptions in the Public Roads Act. However, particular responsibilities to protect the environment within the road Sector lies with the RA through the EMU that coordinates with MEPA.

3.4.2 Malawi National Roads Agency: Roads Authority

The Roads Authority was established by an Act of Parliament No. 3 of 2006 as a semi-autonomous agency under the MoTWP. Apart from the Act, RA is guided in its operations by other Acts governing organizations it

interacts with in its day to day operations. It is the authority for the construction, rehabilitation and maintenance of national roads and other categories of roads that fall under other authorities such town and local assemblies.

The main objective of Roads Authority is to support the socio-economic growth and help reduce poverty through: promotion of trade; support for the economic sectors such as agriculture, mining, tourism, industry; and provision of access to social services such as health, education and recreation.

The roles and functions of RA are:

- Determination of what needs to be done on the road network; - Planning for carrying out the required interventions, based on priority ranking; - Engaging contractors to carry out the works; - Supervising the works; - Establishing and operating toll roads where feasible; - Establishing and maintaining an appropriate databank for the national road network; - Establishing and operating weighbridges and enforcing axle load control on national road network; - Carrying out / commissioning research in support of the operations when necessary; and - Advising the MoTWP on standards and specifications for road works.

In relation to its structure, a Chief Executive Officer (CEO) heads the agency, there are five functional Directorates: Maintenance, Major Projects, Planning and Development, Procurement and Corporate Services. In relation with the Regional Offices, there are 3 regions managed by Regional Managers who report directly to the CEO.

3.4.3 Environment Management Unit

The RA established an environmental unit to provide overall policy and strategic guidance in environmentally sound road sector planning and management and to supervise coordinate and monitor the implementation of environmental legislation in the road sector.

The Environment Management Unit (EMU) serves as the road sector environment section in compliance with the prescriptions in the EMA, 1996 and its functions include:

− Advising on, and in collaboration with other bodies, implementing the policies of the Government on the protection and management of the environment in the road sector; − Coordinating the activities related to the environment within the RA; − Ensuring that environmental concerns are integrated into road sector’s planning and project implementation in a way which protects the environment; − Collaborating with other institutions or agencies, evaluate existing and proposed policies and legislation and recommend measures to ensure that those policies and legislation take adequate account of effects on the environment; − Preparing and coordinating the implementation of environmental action plans for the road sector at the national and local levels as required under the EMA; − Promoting public awareness of environmental issues associated with road projects through educational programs and dissemination of information; − Conducting other functions as are necessary to comply with the purposes of the EMA; − Undertaking analysis of environmental impact of sector legislation, regulations, policies, plans, strategies and programs through strategic environmental assessment; − Ensuring that sector standards are environmentally sound;

− Overseeing the preparation and implementation of Environmental and Social Management Plan required for investments in the sector; − Ensuring compliance with various regulations, guidelines and procedures issued by the Minister Responsible for the Environment; and − Providing environmental advice and technical support to district level staff working in the road sector. − Providing guidance on the preparation of Management Strategies and Implementation Plans for addressing ES risks and monitoring their implementation; and − Reviewing Contractors Environmental and Social Management Plans (C-ESMP) and monitoring their implementation.

3.4.3.1 Roads Authority Environmental and Social Staffing Plan

Upon an internal functional review that was completed in July 2019, an Environmental and Social Planning section was established under the Planning and Development Department and is currently staffed by one (1) Senior and one (1) Environmental and Social Planning Officer. RA Board of Directors aaproved the plan in February 2021. The proposed structure for the unit entails the following roles:

• Environmental and Social Manager to report to the Director of Planning and Design and theChiefExecutive Officer • Senior Environmental Planner Reporting to the ES Manager • Senior Social Planner- reporting to the ES Manager • (2) Environmental Planners - reporting to the Senior Environmental Planner • (2) Social Planners - Reporting to the Senior Social Planner

To effectuate new level of staffing in place, the new RA- ESPU organizational model requires approval by Office of President and Cabinet (OPC), which can potential be presented to OPC by end-May 2021. RA intends to effectuate an increased level of staffing to meet the Environment and Social Planning Unit in its expanded organizational model, with a commitment to hire one (1) manager and four (4) environmental and social safeguard specialists upon formal approval of the new structure.

3.4.5 Environment Authority

The envisaged institutional framework for environmental management in the country includes the following levels of governance:

− The Minister responsible for the environment; − The Office of Director General Malawi Environmental Protection Agency − Sector ministries and their environmental sections; and − Local government authorities (LGAs), they are: city, municipal, district, township, ward.

The EMA contains detailed descriptions of roles and responsibilities. A brief overview is as follows: a. The Minister Responsible for the Environment

The Minister responsible for the environment is responsible for matters relating to environment, including providing the necessary policy guidance for promotion, protection and sustainable management of environment in Malawi. The Minister has the authority to issue EIA certificates (environmental permissions), which must be obtained by the Road Authority prior to any site preparations or constructions works for road projects. The Minister also has the authority to issue Environmental Stop Order in case of non-compliance

with the environmental terms and conditions stated in the certificate, and to approve amendments to the EIA certificate based on application from the certificate holder. b. The Malawi Environmental Protection Agency

The Director General (DG) of MEPA is appointed by the President of the Republic of Malawi. The main functions of the DG are to promote integration of environmental considerations into development policies, plans, programs, strategies and projects; to advise Government on legislative and other measure for the management of the environment; to advice Government on the implementation of relevant international environmental conventions; to monitor and assess the overall environmental performance of sector ministries; and to prepare and issue annual state-of-the-environment reports. c. The Sector Ministries

According to the EMA, sector ministries are required to establish sector environmental sections headed by a sector environmental coordinator. For the road sector, this is implemented through the environment section of the RA. The local government authorities include the city councils, municipal councils, district councils, town councils, ward, and village. A District Environment Sub-Committee (DESC) is established for each jurisdiction with the responsibility to oversee the implementation of the EMA at the local level. The functions of the DESC include among other things conflict resolution, inspection, and examination of polluting activities, and general enforcement of environmental legislation.

Chapter 4: General Environment and Social Setting

4.1. Environment and Geographical aspects

4.1.1. Location

Malawi is situated in southeastern Africa. It is wholly within the tropics; from about 9°30S at its northernmost point to about 17°S at the southernmost tip. The country occupies a thin strip of land in between Zambia and Mozambique protruding southwards into Mozambique along the valley of the Shire River. In the north and north east it also shares a border with Tanzania. Malawi is landlocked and is connected by rail to the Mozambican ports of Nacala and Beira.

Figure No. 2: Map of Malawi

Source: Nations Online Project.

The Great Rift Valley traverses the country from north to south. In this deep trough lies Lake Malawi, the third-largest lake in Africa, comprising about 20% of Malawi's area. The Shire River flows from the south end of the lake and joins the Zambezi River 400 kilometers (249 mi) farther south in Mozambique.

West of the Great Rift Valley, the land forms high plateaus, generally between 900 and 1,200 meters (2,953 and 3,937 ft) above sea level. In the north, the Nyika Uplands rise as high as 2,600 meters (8,530 ft). The area to the west of the lake in northern and central Malawi has been categorised by the World Wildlife Fund as part of the Central Zambezian Miombo woodlands ecoregion.

Figure No. 3: Food Entitlement

Source: Nation on line Project

South of the lake lie the Shire Highlands, with an elevation of 600–1,600 meters (1,969–5,249 ft), rising to elevations of 2,130 and 3,002 meters (6,988 and 9,849 ft) at the Zomba Plateau and Mulanje Massif respectively. In the extreme south, the elevation is only 60–90 meters (197–295 ft) above sea level. The figure below shows areas designated as protected for environmental conservation and areas considered as vulnerable in terms of food security.

As shown, only some parts of Karonga (thus between Songwe and Karonga Township) are project areas considered as vulnerable with between 5% and 10% of the population considered as food insecure. The other sections are however regarded secure interms of food and hence regarded as not vulnerable.

Malawi is one of Sub-Saharan Africa's most densely populated countries. All government ministries and the Parliament are located in Lilongwe. Blantyre and Lilongwe remains Malawi's major commercial center and largest cities. The total area of the country is 118,484 km², but this includes 24,404 km² of water surface, mainly composed of Lake Malawi, but there are other sizeable lakes, such as Lake Malombe, Lake Chilwa and Lake Chiuta. The land area is 94,080 km².

4.1.2 Climate

Malawi's climate is generally tropical. A rainy season runs from November to April. There is little to no rainfall throughout much of the country from May to October. It is hot and humid from September to April along the lake and in the lower Shire Valley, with average daytime maximum around 27 to 29 °C. The rest of the country is warm during those months with a maximum temperature during the day around 25 °C. From June through August, the lake areas and south are comfortably warm, with daytime maxima of around 23 °C, but the rest of Malawi can be chilly at night, with temperatures ranging from 10–14 °C). Karonga in the far north shows little variation in temperature with maximum daytime temperature remaining around 25 to 26 °C (77.0 to 78.8 °F) all year round but is unusual in that April and May are the wettest times of the year due to strengthening southerly winds along the lake.

4.1.3 Ecologically senstive areas

The country is dominated by Lake Malawi, which drains into the Zambezi River through the Shire River. The Karonga-songwe road runs parallel to the lake at some points is very close to the lake. The whole of the country, except for one eastern district is part of the Zambezi drainage system. Lake Chiuta and the surrounding plain is drained by the Luchenza river, which is part of the Ruvuma River drainage system. Lake Chilwa, about 35 km south of Lake Chiuta is unusual as it has no outlet although when it overflows it flows into Lake Chiuta through a swampy plain. High rates of evaporation ensure that the lake seldom fills up – much of the lake is only 1 metre deep or less.

Malawi has forest reserves, wildlife reserves, and national parks that are designated as protected areas. There are 5 National parks, 4 wildlife reserves and 82 gazetted forest reserves. Most are small and few are well- protected. The protected areas will not be affected by the project activites as they are not not near any of them. Rivers in the project areas are some of the sensitive areas that might be affcted by the project activities. The major rivers include; Songwe River, North Lukuru, Mua River, Lilongwe River, Linthipe River, Diamphwe River, and Mwanza River whose water is used by South, Central and Lilongwe Water Boards to supply households with tap water. The Project's subcomponents that will involve construction activities may source water from smaller rivers within the corridor and appropriate permits will be acquired in line with this ESMF before any abstractions. Current environmental issues in the project area are deforestation; land degradation; water pollution from agricultural runoff, sewage, industrial wastes; siltation of spawning grounds endangers fish populations that should be addressed by the subsequent specific environmental assessments under the project.

4.1.4 Biodiversity Flora in the project area is composed of woodland with sparsely distributed Mopane, baobab, acacia, and mahogany trees, grasslands, thicket, and scrub. There are indigenous softwoods in the better-watered areas. Fauna in the Malawi includes large mammals such as baboon, monkey, hyena, wolf, nocturnal cat, badger, warthog, and porcupine. There are birds, reptiles including crocodile, tortoise, marsh terrapin, chameleon, lizard, and many varieties of snakes; Main types of fish from Lake Malawi are Oreochromis Spp (Chambo), Baplochromis spp (Kampango), Lethrinops spp (Chisawasawa), Clarias spp (Mlamba), Bathyclarias spp (Bombe), Lebeo mesons (Ntchila), Opsaridium microlepis (Mpasa) and Opsaridium microcephalus (Sanjika). The corridor is also rich in insect life and has species in common with tropical West Africa and Tanzania. The Mangochi to Chiponde section of the corridor cuts through heavily forested hilly areas that are home to Branchystegia tree species and a few mammalian species and reptiles that include monkeys and snakes. Malawi also has diversity large, diverse populations of millipedes, terrestrial mollusks, and butterflies. The marine environment has

more than 7,805 invertebrate species, and there are also about 789 species of freshwater invertebrates (mostly aquatic insects). The development of the various infrastructure in the corridor especially road rehabilitation will have an impact on the flora and fauna in the area and the specific instruments that will be prepared under the project should mitigate these impacts.

Natural vegetation in the project area has been altered significantly by human activities. Swamp vegetation has given way to agricultural species as swamps have been drained and cultivated. Much of the original woodland has been cleared, and, at the same time, forests of softwoods have been planted in the highland areas. High population density and intensive cultivation in Malawi have also hindered natural succession, while wells have been sunk and rivers dammed to irrigate the dry farmland for agriculture in the project area.

4.2. Socioeconomic Characteristics

4.2.1 Demographic aspects

The population of Malawi is 17,563,749 according to latest Malawi Housing and Populatuion census of 2018. Malawi has an annual population growth rate is 2.9%. In 2021 the population is estimated at 19 million. Children under the age of 18 years constitute about 50% of the population size which indicates a high dependency ratio. Females are about 52% of the population while males are about 48% of the population. About 85% of the population live in rural areas and depend on smallholder farming while only 15% of the population live in towns where as much as 75% of the urban population live in poor peri-urban and informal settlements. About 55% of the smallholder farmers have a landholding size of less than 0.5 ha of cultivable land. As a result of this constraint, most rural households face difficulties in producing enough crops for both food and cash. The majority (about 70%) in urban areas live in unplanned settlements, where there are inadequate services.

4.2.2 Poverty Poverty levels in Malawi are estimated at 60% and 65% of populations in rural and urban areas respectively. According to demographic surveys the poor people are: (i) rural households; (ii) female-headed households, other households with less than two adult members, elderly, and handicapped persons; and (iii) urban households. These groups are not mutually exclusive. The reasons for these categories are:

− Rural households: - Low agricultural productivity, declining soil fertility, and environmental degradation; - Lack of access to land, land fragmentation, and insecurity of land tenure; - Lack of access to markets and absence of rural commercial activity and alternative income-earning opportunities; - Low-quality education, lack of access to education, and high cost of education; - Poor health services and health standards and rise in HIV/AIDS incidence negatively impact productivity; - Poor nutritional intake; - Lack of access to low-cost capital or micro-credit or micro-grants; - Lack of access to affordable and sustainable household energy sources; and - Vulnerability.

− Female-headed households: - Shortage of household labor; - Declining soil fertility;

- Many women have to take care of unemployed/unemployable husbands, dependent parents, and dependent orphans; - Low education attainment, poor access to land and credit, limited paid employment opportunities; and - Poor social services, such as water, health, education, and more.

− Urban poor: - Rapid increase in urban population; - No employment opportunities, particularly among poorly educated young people; - Poor basic social services and infrastructure; - Lack of housing; - Lack of land; and - High food prices due to low agricultural productivity, high transport costs, and restrictions on petty trade.

Malawi does not have a groups of people considered as indigenous. One of the reasons is that the country is overpopulated thereby forcing intertribal social interactions. There are a variety of religious groups and a lot of intermarriages. This has facilitated cultural value exchanges among groups.

4.2.3 Gender and GBV risk

All the four main types of GBV (emotional or psychosocial, sexual, physical and economic) are prevalent in Malawi with varying degrees. Incidence of physical violence is quiet high. According to the Gender Based Violence Study the most common form of physical violence experienced among both females and males in Malawi was beating, hitting, or battering. Experience of this form of violence was twice as high among females as compared to males 24.5% versus 12.4%. (National Statistics Office et al 2012)

Generally data on all the types of violence show that two in five women, representing 41%, experience either physical or sexual violence. 16% experience physical violence only; 13% experience sexual violence only and 12% experience both physical and sexual violence. 65% of girls and 35% of boys experience some form of child abuse during their lifetime. About 23% of girls and less than 2% of boys aged 15 to 19 years are married before their 20th birthday. (Government of Malawi Multiple cluster survey, 2006). Malawi Demographic Health Survey 201017 shows the sexual violence for women aged 15 -49 years as follows: Northern Region: 32.2%, Central Region: 25.2% and Sothern Region 23.7%.

The common kinds of sexual violence within civil works are rape; defilement; coerced sexual intercourse; attempted rape; defilement; sexual harassment, unwanted sexual touch or any forced sexual touching that the other person may find degrading or humiliating. The prevalence of common forms of sexual violence such as rape and defilement according to the NSO Study 201318 was 0.8 % for males for rape against 1.3 percent for females. The figures were almost the same for defilement at 0.5 % for females and 1.3 % for males. Unfortunately, women who are sexually abused have to deal with a number of potential consequences e.g. pregnancy, STIs and HIV/AIDS. (Pelser et al, 2005)19 This pause challenges to a survivor to cope due to

17 National Statistical Office (NSO) and ICF Macro. 2011. Malawi Demographic and Health Survey 2010. Zomba, Malawi, and Calverton, MD: NSO and ICF Macro.

18 National Statistical Office; Ministry of Gender, Children and Community Services; European Union; UN Women; and UNFPA. 2012. Gender Based Violence Baseline Survey Report. Lilongwe, Malawi.

19 Pelser, E., L. Gondwe, C. Mayamba, T. Mhango, W. Phiri, et al. 2005. Intimate Partner Violence: Results from a National Gender- Based Violence Study in Malawi. Crime & Justice Statistical Division, National Statistical Office. Pretoria, South Africa: Institute for Security Studies.

stigma and discrimination from the society. Most survivors in school end up dropping and this has adverse challenge and leaves girls and women in vicious cycle of poverty.

4.2.4. Labour

The total population in Malawi was an estimated 18 million people in 2018, out of which 7.5 million were active on the labour market. The urbanization rate has increased slightly from 15% in 2007 to 17% in 2017. 66% of the population is under the age of 25. The population is fast growing and very young. The employment-to-population ratio of 76% is higher than the subSaharan Africa average of 65%. Labour inactivity rate has been estimated at around 19 percent of the working age population and 41 percent of the youth population in 2016. (Malawi Labour Market Profile 2016).

In Malawi most people are employed in the agricultural sector (64%), which is notorious for its vulnerable and uncertain working conditions along with low labour productivity. Manufacturing employment has a very low proportion (4.1%) of total employment. Unemployment rate in Malawi is estimated at 21%. The project will employ about 2000 workers under the additional financing to work on the Songwe Border Post project, Accident Black Spots and Trauma units. The project has developed stand alone labour management proceedures to compliments this ESMF in addressing labor related issues that may arise in the course of the implementation of the project activities.

Chapter 5: Environmental and Social Impacts in the Road sector

This chapter presents general information about the main environmental and social impacts, the prevention, mitigation and compensation measures, and the monitoring activities in order to assure good environmental and social practices during the projects execution. The detail of this information is presented in the Annex 3.

5.1 Identification of the environmental and social impacts

The main environmental and social negative impacts could affect the next elements: a) Effects related to the road sitting; b) Social effects; c) Loss of ecological and productive values; d) Hydrological and water resources; e) Traffic impacts; f) Air, water and noise pollution; and g) Effects Post project maintenance. a. Effects related to the road sitting. Sitting of a road is the most critical decision in construction. b. Social effects. The most important effects in the social aspercts are: local uncertain; severance and social disruption; increased risk of child labour, disturvance to existing properties frontage, or public utilities; resetlement (Adverse socio-economic impacts on both those resettled and on the host population, conflict between those resettled and the host population, and adverse impacts on the environment in and around the resettlement area); Unrest and dissatisfaction over distribution of labor opportunities and others; Disease risk associated with workers in labor camps; impacts on health and social well-being of local communities; labor camp may become a permanent settlement; Population increase as a result of immigration; hazar when quarry or pits is abandoned; aesthetic visual impacts of quarries and borrow pits; Aesthetics visual of right of way on landscape; Destructiuon or lacking-in of archeological, historic and cultural values; c. Loss of ecological and productive values. The main impacts are: Loss of important species and productive values; Loss of roadside vegetation; Loss of riverside vegetation; Spoil disposal leading to loss of habitat; Loss of roadside water supplies; Disruption to groundwater supplies; Disruption to animal migration; Impacts on local resources through demand for fuel, food and building materials; Impacts on local wildlife through recreational activities by workforce; Post construction increase in harvest of environmentally sensitive products; Introduction of plant and animal perst; and loss of agricultural land; Impediment on mineral resources exploitation. d. Hydrological and water resources. The mian negative impacts are: Affect of sediment on water bodies (increase turbidity, setting of sediments on the botton of the water bodies, settling of sediment can have a wide range of impacts, interference with acuatic organism and sediment particles in the water can harm the gills of fish and block the filtering mechanisms of filter-feeders such as mollusks); Erosion and sedimentation; Impacts on drainage; Removal of material from river and stream beds; Erosion due to changes in dreinage; and spoil disposal leading to sedimentation. e. Traffic impacts. The main impacts are relñated with: Traffic impacts of movilazong equipment and movement during the construction; Traffic flow disruption due to the road bed construction; and Traffic accidents on complete road. f. Resettlement Impacts: Resettlement impacts such as loss of property, loss of cultivable land, loss of residence, permanent or temporary loss of business, disruption of public service utilities, loss of cultural resources including graveyards, increased burden on and competition for public service provision will be minimal on the accident black spot (ABS) component since most of the work will be done within the road reserve and will affect a few traders (less than 200) who will still continue plying their trade with the trading centres after being compensated. For the ABS component therefore Abbreviated Resettlement action Plans are being prepared. On the upgrading of Songwe Border Post however, the resstlement impacts will be significant and although there are less than 200 PAPs a full Resettlement Action Plan (RAP) may be required.

g. Air, water and noise pollution. The main impacts are related with: Water pollution from sewage and rubbish disposal; Oil pollution during the construction; Run-off or slumping of stockpiles into stream; Run-off of sediment-laden or polluted water from quarries and pits; Highway run-off pollution; Accidental spills of hazardous material during operation; Noise pollution in nearby settlements and wildlife areas; Vibration impacts during construction phase; Noise impacts from road operation; Air pollution during construction phase; and Dust and air pollution from road operation. h. Post project maintenance. Impacts due to poor maintenance.

5.1.1Gender Based Violence and Sexual Explitation and Abuse.

The implementation of the project will likely result in an influx of people in the construction sites resulting in the potential for Gender-Based Violence (GBV) and Sexual Exploitation and Abuse (SEA). Increase in disposable income for workers and communities working the project could also result in GBV/SEA incidences. Such incidences may arise in situations where large numbers of contractor workers interact with poor communities, where household representatives that receive project benefits are forced to surrender the cash to spouses, where benefits may be used to lure adolescents into unsafe sexual practices, or in cases of forced sexual relationships in return for favors. All forms of SEA, VAC and sexual harassment are unacceptable, regardless of whether they take place on the work site, the work site surroundings, at worker’s camps or within the local community.

There are well-founded concerns that projects involving major civil works can increase the risk of Gender- Based Violence (GBV), and in particular, Sexual Exploitation and Abuse (SEA). The project can create a power differential between those who are engaged in civil works and the project-affected communities, which can increase the opportunities for the members of the project-affected communities to be sexually exploited and abused. The risk of incidents of sex between laborers and minors, both girls and boys, can also increase. Besides the risks of SEA, incidents of Sexual Harassment (SH) can occur within project related entities. Perpetrators could be fellow workers and supervisors. Labor influx can also increase risk of sex-trafficking.

The Good Practice Note on Addressing Gender-Based Violence in Investment Project Financing involving Major Civil Works (GBV Good Practice Note) recognizes that major civil works may exacerbate GBV risks, notably risks for sexual exploitation and abuse (SEA) as well as sexual harassment (SH), by a range of perpetrators linked to project implementation in both public and private spheres in a number of ways, such as the following: a. Projects with a large influx of workers may increase the demand for sex work—even increase the risk for sex trafficking of women—or the risk of early marriage in a community where marriage to an employed man is seen as the best strategy for an adolescent girl’s livelihood. Furthermore, higher wages for workers in a community can lead to an increase in transactional sex. The risk of sexual relations between laborers and minors, even when it is not transactional, can also increase. b. Projects create changes in the communities in which they operate and can cause shifts in power dynamics between community members and within households. For example, men in the community may be agitated when they think that workers are interacting with women in the community or when female project employees begin to bring more income than usual back to the household. Hence, abusive behavior can occur not only between project staff and those living in and around the project site, but also within the homes of those affected by the project.

The RA and the Contractor is required to put in place administrative measures to prevent and minimize Gender Based Violence (GBV) and Violence Against Children (VAC) with proposed preventive and mitigation

strategies. The GBV risk of each subperoject is assessed and categorised as Low risk, moderate risk, substantial risk and high risk. For Low GBV-Risk Projects the following mitigation measures will suffice.

• Include assessment of GBV risks in the project’s Environmental and Social Impact Assessment (ESIA); • Inform project affected communities about GBV risks, as part of stakeholder consultations; • Map out GBV prevention and response services in project area of influence; • Adequately reflect GBV risks, and measures to address them, in key safeguards instruments (i.e., Project ESMP, Contractor ESMP); • Assess and strengthen the Implementing Agency’s capacity to prevent and respond to GBV as part of project preparation • Make certain the availability of an effective grievance redress mechanism (GRM) with multiple channels to initiate a complaint (parallel GBV GRM may be warranted for “substantial” and “high” risk projects); • Clearly define the GBV requirements and expectations in the bid documents, including the requirement for a Code of Conduct (CoC) which addresses GBV (for ICB and NCB); • Address how GBV-related costs will be paid in the contract, in the procurement documents; • During implementation, ensure that CoCs are signed and understood by all contractor and consultant staff. • During works, separate facilities for women & men, GBV-free zone signage.

For Moderate GBV Risk Projects additional mitigation measures will include; • Develop a GBV Action plan including an Accountability and Response Framework, as part of project ESMP • Consider having a GBV specialist in the Implementing Agency • Consider having a GBV specialist in the supervision consultant’s team • Evaluate the contractor’s GBV response proposal in the C-ESMP and confirm prior to finalizing the contract the contractor’s ability to meet the project’s GBV requirements.

For Substantial GBV Risk Projects additional mitigation measures will include; • GBV specialist in the IA (i.e. the Project Mgmt. Unit) to support project implementation is recommended; • GBV specialist in the supervision consultant’s team recommended; • Consider oversight through an independent Third Party Monitor (TPM) with experienced GBV staff; • Implementation Agency to recruit GBV Services Providers to facilitate access to timely, safe and confidential services for survivors to be considered

For High GBV Risk Projects additional mitigation measures will include; • Oversight through an independent Third Party Monitor (TPM) with experienced GBV staff • Implementing Agency to recruit GBV Services Providers to facilitate access to timely, safe and confidential services for survivors (including money for transportation, documentation fees, and lodging if needed). • Reports must be made in accordance with project’s SEA, child sexual exploitation and abuse and sexual harassment Allegation Procedures • Establish and operationalize GRM whose approach is sensitive to issues of GBV and SEA • Development of GBV prevention and response plan as part of ESMP template (Annex 7); • Community engagement and consultation to include GBV/SEA sensitization

5.1.2 Spread of Covid 19 on construction sites.

Implementation of project activities especially civil works will bring together large numbers of people risking the spread of COVID 19. Contractors will be required to put in place measures at all work sites to prevent the spread of COVID 19 among workers and the community. Some of the mitigation measures include but not limited to the following; • Develop and implement COVID 19 prevention guidelines, using Use the WHO and WB’s ESF/Safeguards Interim Note: COVID-19 Considerations in Construction/Civil Works Projects and the Roads Authority COVID-19 prevention guidelines during project implementation, as applicable • Conduct fever test to all employees and visitors to the work sites to make sure that their temperature is in allowable range. • All workers shall present their ID Cards to make sure that no one is above 70 years old or below 18 years old are parts of construction work Observe social distances 1 -2 meters between two contractor’s workers or between contractor’s worker and consultant’s supervisor to be respected strongly, • Practice personal hygiene: Cleaning water and soap will be available at the campsite gate as well as at the work sites to ensure that everyone washes his/her hands before entering and when leaving the campsite. Where the use of water and soap is not possible, hand sanitizer will be provided to both contractor’s workers and consultant’s personnel. • All foremen, staff will be instructed to properly displaying workers on the sites by respecting the required Social distancing rules, both on the site as well as inside the offices. • Daily site visits will be conducted by the safety officer in order to make sure that social distancing rules are being properly and effectively implemented. • Frequent sensitization and toolbox talk will be conducted on the sites for effective implementation of social distancing rules • Provide PPE: Face masks, gloves, and any other required PPE shall be given to all Contactor’s workers as well as Consultant’s staff. Never share masks, gloves or any PPE. • Short term and regular sensitization sessions will be conducted for effective use of Personnel Protective Equipment, with a special emphasis on the use of COVID-19 protection equipment. • .Workers hiring process will be rigorous and all workers will be checked by the a Doctor and the project nurse to ensure they are healthy and that no one is suffering from any transmissible disease. • Conduct a daily tour within all workers to make sure that no one has any symptoms related COVID - 19, and once we find someone with such symptoms emergency number will be called for the help. • All Contractor’s and Consultant vehicles, trucks and machinery will be provided permanently with hand sanitizers and drivers as well as any other person must sanitizing their hands entering in the vehicles/trucks/machines and when going out. • Through different sensitization programs all workers will be shown the proper ways to behave when greeting, coughing or sneezing in order to prevent themselves from being contaminated or contaminating others with COVI-19 and other communicable diseases. • Frequent sensitization programs will be conducted on the sites in order to deepen understanding level of all workers about hand hygiene culture and prevention of COVID 19.

5.2 Environmental and Social measures: Environmental and Social Management Plan

5.2.1 Environmental and Social Management

Environmental and Social Management is necessary to avoid, minimize, or offset adverse impacts, and enhance positive and beneficial impacts during project implementation period. Environmental and Social Management Plan /ESMP/ must be fully integrated into the overall project management effort at all levels, which should be aimed at providing a high level of quality control, leading to a project which has been properly designed, constructed, and functions efficiently throughout its life. The ESMP is also used for warranting that all the preceding analysis is used to preserve/improve the quality of the overall biophysical and socio-economic environment within the project influence area. ESMPs provide an essential link between the impacts predicted and mitigation measures specified within the ESIA and implementation and operation activities. World Bank guidelines state that detailed ESMP’s are essential elements for Category A projects, but for many Category B projects like the proposed Subproject of SATTFP, an ESMP alone will suffice. Environmental and social impacts identified through screening and impact analysis are to be mitigated and / managed to reduce their impacts. The general objective of the ESMP is to identify and document environmental and social impacts, mitigation and enhancement measures, and to develop procedures and plans to ensure that the mitigation measures identified to the impacts generated due to the proposed subprojects will be carried out during the preconstruction, construction, operation and decommissioning phases of the project. A generic ESMP matrix has been provided in this ESMF to guide the development of the sub-projects specific ESMPs.

Table 5.1: Matrix for potential Positive environmental and social impacts

Potential Positive impacts Source of impacts Proposed Mitigation Measures Responsibility for implementation of mitigation Improved road infrustructure The construction of a RoadsMeasures Authority • Regular maintenance of the road Karonga- songwe Road infrastructure Improvements of • Supervision and monitoring works Accident Black spots Improved Road Safety The construction of a Roads Authority, • Regular maintenance of the road Karonga- songwe Road Road Traffic infrastructure Directorate Improvements of • Sensitize communities to care for road Accident Black spots signs • Replacement of signage once vandalized Provision of speedy medical Construction of Trauma MoH, RA • Regular maintenance of the road attention to those involved in Care Units traffic accidents and its associated infrastructure saving of lives. • Supervision and monitoring works • Ensure that the TCC have adequate staff Reduced time for the clearing of Construction of One Min of Trade, • Regular maintenance of the road goods and passangers stop Border Posts MRA, RA infrastructure • Supervision and monitoring works • Ensure that the improved OSBPs have adequate staff Increase in employment The project consruction • Employ people from surrounding Contractors opportunities activities will create job communities; and opportunities for people • Provide equal employment from surrounding opportunities for both men and project areas

women including the youth Increased business opportunities The construction works Contractors • Purchase goods and services from the for local suppliers of goods and shall increase business services opportunities for the local communities local suppliers of goods and services

Table 5.2: Matrix for potential negative environmental and social impacts

NO Potential Negative Source of impacts Proposed Mitigation Measures Responsibility impacts for implementation 1 Increased risk of loss of Construction of road, • Minimise resettlement by siting Roadsof mitigation Authority land and Property improvement of Black infrastructure away from residents Measures spots and the improvement • Develop a Resettlement Plan for the of OSBP PAPs with GRM and ensure its implementation; • Carry out sensitization meetings on planned project activities and likely impacts including loss of land/property; • Develop and implement livelihoods restoration plans 2 Loss of vegetative Clearance of land for road, • Promotion of afforestation; Contractor Blackspots, OSBP • Limiting the clearance of vegetation to land that will be affected by the project activities • compensate for loss of trees prior to commencement of works 3 Loss of habitat for Clearance of land for road, • Limiting the clearance of vegetation to Contractor wildlife Blackspots, OSBP land that will be affected by the project activities

NO Potential Negative Source of impacts Proposed Mitigation Measures Responsibility impacts for implementation • Conduct awareness campaigns with of mitigation workers on protection of wildlife Measures 4 Noise and vibrations from Project civil and • Use well serviced machinery; Contractor construction equipment earthworks during • Limit the use of heavy machinery; and trucks construction phase. • Fit silencers to all machinery with exhaust pipes. 5 Increased risk of The construction activities • Develop and implement traffic Contractor disturbance to flow of for roads and other management plan; traffic infrustructure in the • Install road signs include speed limit project will result in signs; and affecting movement of • Provide detours for vehicles and traffic pedestrians 6 Pollution from spillage of Leakages or spillage of • Develop and implement waste Contractor petroleum products diesels and oils from management plan that would promote; storages and maintenance • Provide waste receptacles such as bins workshops on the and toilets; construction sites. • Collect and dispose of used oil at sites designated by respective municipal/district councils; • Bund all areas (with concrete) used for maintenance works and storage of oils and fuel. 7 Dust emissions from Project construction • Sprinkle water to minimize dust Contractor construction works during activities on roads, inland construction phase exam centres and infrustucture for value chain addition 8 Creation of borrow pits Top soil stripping; • Develop and implement borrow pit Contractor and quarries excavation of construction and quarry management plans soil and road gravel • Obtain materials from licensed borrow

NO Potential Negative Source of impacts Proposed Mitigation Measures Responsibility impacts for implementation pits and quarries of mitigation • Rehabilitate borrow pits after Measures excavation activities prior to completion of contracts; • Fence of quarries and pits to restrict access 9 Increase in surface runoff Clearance of vegetation • Limit the clearance of vegetation to Contractor and soil erosion. and poor compaction of land that will be affected by the roads and on other project project activities; infrustructure • Promote afforestation. 10 Increased risk of labour labour influx and increase • GBV/SEA sanitizations by GBV Contractor influx leading to GBV in disposable income service provider; and SEA resulting into interactions • Signing and adherence to Workers’ between migrant workers Code of Conduct; and surrounding • Establish and operationalize GRM community or amongst whose approach is sensitive to issues workers themselves of GBV and SEA; and leading to GBV/SEA • Map out GBV/SEA service providers in the project areas; • Community engagement and consultation to include GBV/SEA sensitization; 11 Increased Risks of labour influx and increase • Source much of the labor force from Contractor HIV/AIDS and other STIs in disposable income surrounding communities as this may resulting into interactions decrease influx of migrant workers; between migrant workers • Develop a Work place HIV/AIDS and surrounding policy and enforce its implementation; community or amongst • Conduct sensitization meetings on the workers themselves; dangers of contracting HIV and AIDS and other STIs to workers and communities;

NO Potential Negative Source of impacts Proposed Mitigation Measures Responsibility impacts for implementation • Provision of HTC Services; and of mitigation • Provision of free condoms to workers. Measures 12 Occupational Safety and Construction activities • Develop an Occupational Safety and Contractor, Health Risks may bring along Health Plan and enforce its use to PMSU occupational safety and reduce or avoid occupational health health risks to workers and risks; • Provide appropriate personal protective equipment (PPE) to people working in high-risk sub projects and enforce its use; • Provide first aid kits and ensure they are fully stocked at all times; and • Provide adequate warning sign in all areas where safety risks are high. • Report any accidents or incidents to the World Bank within 24 hours of accident occurrence. 13 Public Safety Risks The construction site could • Cordon off working areas; Contractor be dangerous to • Conduct sensitization meetings to surrounding communities communities; and and stray animals that • Level the borrow pits after might walk across the site construction works 14 Disturbance of public Removal or movement of • . Replace all public utilities disturbed Contractors utilities existing public utilities • Sensitize communities before such as water and movement of public utilities electricity supplies 15 Risks of child labour in Recruitment of under aged persons • Recruit people who are aged 18 and Contractor some activities at road and within senior staff quarters may above rehabilitation/upgrading encourage local children to drop out activities of school to work on construction sites

NO Potential Negative Source of impacts Proposed Mitigation Measures Responsibility impacts for implementation 16 Increased Generation of Poor management of liquid and solid • Develop and implement waste Contractorsof mitigation liquid and solid waste waste on construction sites and management plan; Measures campsites • Provide waste receptacles such as bins and toilets. ; • Dispose-off collected waste in the manner agreed with respective local councils

5.2. CESMP and Management Strategy Implementation Plans preparation Contractors are expected to prepare activity-specific Contractor Environment and Social Management Plans (C-ESMP) and other key Management Strategy and Implementation Plans (MSIPs) to ensure that all impacts are mitigated at the highest possible level. The general objective of the proposed CESMP is to communicate key project environmental and social risks and impacts management obligations that apply to the Contractor and its sub-contractors and employees while carrying out any form of construction activity under the project. Considering the nature and type of the subproject under the project, the Key Management Strategy and Implementation Plans (MSIPs) which will be prepared and implemented including but not limited to the following: • Code of Conduct (COC) • Occupational Health and Safety Plan (OHSP) • Public/ Community Health and Safety Management Plan (PHSMP) . • Gender-Based Violence, Sexual exploitation and abuse, Sexual Harassment, and Violence against Children (GBV, SEA/SH/ VAC) and Labor Influx prevention and response action plan, (PRAP). • Traffic management plan (TMP). • Water resources protection and Stormwater management plans (WRPSMP) • Emergency Procedures and Contingency Plan (EPRP) • Incident Notification procedure (INP) • Dumping site Management and Rehabilitation plan (DMRP) • Quarry/Borrow Site Management and Restoration/Rehabilitation plan (QBMRP) • Contractor Camp Management Plan (CCMP) • Medical Waste Management Plan (MWMP) • Integrated Pest management Plan (IPMP) • Blasting Management Plan (BMP). The CESMP to be prepared and the associated management strategy and implementation plans (MSIPs) will go into details of what needs to be done to properly manage environmental and social risks that might arise during, construction, rehabilitation and upgrading activities. Some MSIPs go even beyond the proposed subproject construction period and focus on the rehabilitation of different sites like quarry, borrow pits, and dumping sites. Once prepared, the C-ESMP document will be updated every six months by the contractor to capture any change that might be experienced during the project implementation period.

5.3 Environmental and social Monitoring Environmental and social monitoring is a vital for environmental and social management as it provides the basis for rational management decisions regarding impact control. Objectives of the project environmental and social monitoring plan are to: • Check on whether mitigation and benefit enhancement measures have been adopted and are proving effective in practice.

• Provide a means whereby any impacts which were subject to uncertainty at the time of preparation of the ESIA/ESMP, or which were unforeseen, can be identified, and to provide a basis for formulating appropriate additional impact control measures. • Provide information on the actual nature and extent of key impacts and the effectiveness of mitigation and benefit enhancement measures which, through a feedback mechanism, can improve the planning and execution of future, similar projects. Monitoring is the long-term process that normally begins at the start of the project and should continue throughout the life of the project. The project E&S monitoring activities will be fully integrated with other construction, supervision, and monitoring activities carried out by the contractor, Road Authority (RA), other subproject proponents, and construction supervision consultant/Resident Engineer (RE). The majority of monitoring activities will comprise visual observations, carried out at the same time as the engineering monitoring activities. Site inspections will take place with an emphasis on early identification of any environmental and social problems and the initiation of suitable remedial action. Where remedial actions have been required on the part of the Contractor, further checks will need to be made to ensure that these are being implemented to the agreed schedule and in the required form. Each part of the site where construction is taking place needs to be formally inspected from an environmental and social management viewpoint regularly. A subprojects Monitoring Plans will be included in the respective ESMP specifying the type of monitoring, who will do it, how much it will cost to carry out monitoring, and what other inputs, such as training, are necessary. Monitoring will be undertaken at different levels as follows: • The Resident Engineer (RE) will monitor the project in line with the ESMP at the worksites during project implementation. • The DESC will monitor their specialized technical areas and contribute to the comprehensive district monitoring reports to be presented to the DEC by the DPD. • RA and EAD may also monitor the projects in conjunction with the District Council and compile a monitoring report that will be sent to the secretariat and contractor of the concerned sub-project. Parameters to be monitored The activities under the project will affect some parameters that need to be monitored throughout the project period. A summary of some important parameters to be monitored is presented below. Soils a. Vegetation b. Resettlement and Compensation c. Community and occupational Health and Safety d. Gender-Based Violence e. Monitoring of Accidents

Table 6.3. Matrix of Generic Emvironmental and Social Monitoring Plan for Positive Impacts

ITE POTENTIAL PROPOSED MONITORIN RESPONSIBLE FREQUENC M ENVIRONMENTAL ENHANCEMEN G INSTITUTION( Y No. / SOCIAL IMPACT T MEASURES INDICATORS S) 2 Improved road Safety Regular frequency of Roads Authority 5 years maintenance of the maitanance Directorate of road infrastructure Road Traffic 3 Facilitate speedy Maintenance of frequency of MoH 5 years assistance to people infrastructure maitanance involved in accidents Supervision of works 5 Increased employment Recruit workers No. of people RE, Roads Bi-annual opportunities from within the employed by Authority, District project site; the project Council 6 Increased business Purchase goods No. of people RE, Roads Bi-annual opportunities and services from engaged in Authority, District the local supplying Council communities goods and services from surrounding communities. 7 Increased risk of loss Develop and No. of people Roads Authority, before start of of land and Property implement compesated District Council works Resettlement Plan for the PAPs with GRM and ensure its implementation;

8 Loss of vegetative Promotion of Number of trees Contractor Anually afforestation; Planted District Council

9 Loss of habitat for Conduct No. of workers Contractor, RE Anually wildlife awareness sensitized campaigns with workers on protection of wildlife 10 Noise and vibrations Use well serviced No. of serviced RE, Contractor Anually from construction machinery; Machinerly equipment and trucks 11 Increased risk of Develop and no of signs RA, RE, Quarterly disturbance to flow of implement traffic erected Contractor traffic management plan;

12 Dust emissions from Sprinkle water to Frequency RE, Council, monthly construction works minimize dust water sprikling contractor during construction

phase

13 Creation of borrow Develop and No. of RA At the end of pits and quarries implement borrow rehabilitated RE the project pit and quarry pits and management plans quarries

14 Increased risk of GBV/SEA No. of prople RA, RE, GBV SP Monthly labour influx leading sanitizations sensitized to GBV and SEA by GBV service provider; 15 Increased Risks of Conduct No. of prople RA, RE, GBV SP Monthly HIV/AIDS and other sensitization sensitized STIs HIV and AIDS and other STIs 16 Occupational Safety Develop an No. of work RA, RE, GBV SP Monthly and Health Risks Occupational related Safety and incidents and Health Plan accidents and enforce its use to reduce or avoid occupational health and risks; 17 Public Safety Risks Cordon off No. of incidents RA, RE, GBV SP Monthly working areas; and accidents involving communities 18 Disturbance of public . Replace all Number of RA, RE, District Start of the utilities public utilities Unitilities Council project disturbed replaced 19 Risks of child labour Recruit people Number of RE, District Annualy in some activities at who are aged children Council road 18 and above employed rehabilitation/upgradin g activities 20 Increased Generation Provide waste Number of bins RE, District Monthly of liquid and solid receptacles provided Council waste such as bins and toilets. ;

Chapter 6: Environmental and Social Management in the Road Authority

The overall purpose of this section is to present, on the basis of the Malawi environmental law and the World Bank’s Safeguard Policies, some methodologies, instruments and internal formats and procedures for the environmental and social management that should be implemented in the project, specifically of the Environment Management Unit (EMU) is the responsible for the application of these methodologies, instruments and formats during the project cycle, to ensure the environmental and social sustainability of the projects that will be financed in compliance with national law and the Bank’s Safeguard Polices.

Before presenting the methodologies, instruments and internal formats, it is important to define the project cycle and the role and responsibilities of the stakeholders that is involve in the project cycle.

6.1 Project Cycle

The environmental and social management are in the function of the project cycle and the role/responsibility of project stakeholders. The project cycle has five stages: (i) identification and preliminary assessment; (ii) assessment or appraisal; (iii) legal agreement; (iv) construction; and (v) operation or maintenance. The stakeholders involved include: RA, Environmental Affairs Department, Local Councils, Constructors, and the World Bank.

Figure No. 5: Project Cycle

Preliminary Assessment

Operation and Assessment Maintenance

Legal Construction Agreement

6.1.1 Identification and Preliminary Assessment

The first stage of the “project cycle” is where it is very important to include in the projects the environmental and social variables. The Environment Management Act 1996 stipulates that all infrastructure projects have to undergo the EIA process, which starts with project identification, followed by preparation of the project brief that is submitted to the Director General with registration fees.

The first tool “Environmental and Social Screening Form (ESSF)” should be apply in order to identify the Environmental and social risk level of the project, the studies required, the estimated budget and the requirements in terms of consultation and public participation.

6.1.2 Assessment or Appraisal

In this stage, once the project has been classified and categorized, and the Terms of Reference (ToR) has been prepared by MEPA, the RA prepares the studies required by the national law and the World Bank Safeguards Policies. The MEPA reviews the environmental study report. . The Minister responsible for environment will issue an environmental certificate after receiving recommendations from MEPA. The RA has to take the project through the approval process.

6.1.3 Legal Agreement

It is important to include all the environmental and social requirements in the legal contracts to ensure implementation of the environmental and social measures and action during project execution.

6.1.4 Construction

During construction, it is important to monitor implementation of the environmental and social measures and actions included in the plans (ESMP, RAP/ARAP and others). For these activities the EMU should prepare the second internal tool during this stage “Environmental and Social Monitoring Report (ESMR)”. This tool should be applied each time that the responsible of the project follow-up and supervision. Once the project is done, the EMU should prepare the third tool for the environmental and social management “Environmental and Social Final Report (ESFR)”. RA should approve this last tool before the project closing.

6.1.5 Operation and Maintenance

During project operation and maintenance, it is important to monitor environmental and social conditions to ensure that operational activities are not affecting the environment or surrounding communities in an adverse manner. Chapter 7 presents guidelines for the monitoring and follow-up of environmental and social aspects during the operation phase.

6.2 Roles and Responsabilities of the Stakeholders

6.2.1 The Road Authority

The Roads Authority (RA) is responsible for the environmental and social management of the road component of the Programme. The instruments that ensure the environmental and social sustainability of the projects and compliance with environmental and social law and the World Bank Safeguard Polices is this Environmental and Social Management Framework (ESMF) and the Resettlement Management Framework (RMF).

Specifically the responsibility for environmental and social management in the RA rests with the Environment Management Unit (EMU). This unit is responsible for applying the present document and the RMF. The RA will also be responsible for provision of guidance on the preparation of C-ESMPs and MSIPs and their monitoring.

6.2.2 Malawi Environmental Protection Agency (MEPA)

The MEPA is the national institution under the Ministry of Natural Resources and Forestry that was formed under the new Environment Management Act 2017 and replaces the Environmental Affairs Department. MEPA is responsible for overseeing issues concerning environment and natural resources management by among other things ensuring compliance with the national environmental law. The main evidence of compliance with the national environmental law is the Environmental Certification that is approved once the developers complete the environmental and social due diligence process and reports of compliance from inspections and audits.

The MEPA has decentralized structure with Environmental District Officers and Environmental Inspectors at in local councils who are responsible for on-the-ground monitoring of implementation of mitigation measures or other activities of the private operators. Therefore, regular and intrusive monitoring will have to be carried out at the district level, and the MEPA will oversee this process. The MEPA will also provide periodic oversight to ensure no adverse cumulative impacts from project activities at the national level, and will provide oversight and technical assistance to the districts.

Therefore, MEPA will perform three critically important roles as follows:

– Review, clearance, and approval of the operators ESIA process for Category A and B projects; – Ensure that district staff have the capacity to carry out monitoring; and – Oversight of monitoring activities.

The MEPA delegates in the Districts are responsible for:

− Receiving, reviewing, commenting on, and requiring revisions where necessary for Category C projects’ ESMP, prior to issuance of the license from the regulator and financing; − Regular and intrusive monitoring during planning, implementation, construction, operations, and maintenance stages of the project; − Preparing periodic monitoring reports on operator activities at all stages of operations and regularly sending these reports to the MEPA for compiling and monitoring of cumulative impacts; and − Issuing directives to project operators consistent with national laws on environmental requirements.

6.2.3 Supervising Engineers (SE) The Supervising Engineer will supervise the implementation of the project. The SEs will have Environmental, Social, GBV/SEA and HIV/AIDS specialists to ensure that all requirements of prepared ESMPs are fully implemented. The SEs will also be responsible for monitoring of the activities of the contractor and implementation of ESMPs and C-ESMPs. The SE will also supervise the implementation of MSIP parepared by the contractor to manage specific ES risks. 6.2.4. Contractors

The Contractors will be responsible for the implementation of developed ESMPs and develops and implements Contractor environmental and social management plan and Management Strategies and Implementation Plans (MSIP) to ensure sound implementation of environmental and social management during construction.

6.2.5. World Bank

The World Bank is responsible for follow-up projects compliance with its Safeguard Polices. If the project has been classified as HIGH environmental and social risk (Category A), the project requires the Bank’s “no objection” at different stages of the project cycle.

6.2.6 Other Key Stakeholders

National Level At the national level various institution will be involved directly or indirectly for the implementation of subproject under SATFFP as well as this ESMF. These institutions are, among others The Ministry of Transport and Public Works (MoTPW), The Roads Authority (RA), Malawi Revenue Authority (MRA); Ministry of Trade and Roads Fund administration.

The Ministry of Transport and Public Works through the Roads Authority: The Ministry of Transport and Public Works through the Roads Authority will have the overall responsibility for coordinating and monitoring the implementation of the project.

Ministry of Industry and Trade MoIT is responsible for the promotion of participation of Malawians in trade and economic activities. Will be responsible implementing some components (component 3- upgrading of the Songwe OSBP) of the project.

Malawi Revenue Authority (MRA) MRA is responsible for collecting revenue on behalf of Malawi Government. MRA has stations on all border posts including the Songwe border post. MRA will be responsible for the support of most activities under component 1 on on the upgrading and modenisation of the Songwe One Stop Border Post.

Directorate of Road Traffic and Safety Services The DRTSS will be responsible for road safety and road traffic regulation. Including Vehicle registration, Vehicle inspection to guarantee vehicle roadworthiness, Driver testing and licensing, Awareness and enforcement of road traffic rules, regulations, and Axle Load Control. DRTSS will be responsible implementing component 2 of the project on development of accidental black spots including supervision and monitoring.

Roads Fund Administration RFA is responsible for Mobilization of Roads Fund resources. The RFA arranges for the collection and management of funds assigned to the Roads Fund for the construction, maintenance and rehabilitation of public roads in Malawi. The RFA will administer and account for the project funds

District Level

The District Councils, under the general direction of the District Commissioner, will work closely with project staff to take stock of the progress for each project activity in their respective areas of jurisdiction. The Council will hear the views of the communities on the progress, expected benefits, and challenges being faced during the implementation period of the projects and the anticipated challenges during the time of exit. The District Commissioner will also be the moderator between conflicting views and interests of both the communities on one hand; and the implementing and executing agencies on the other. In addition, all aspects related to resettlement of affected persons, headcounts, requirements, and property losses shall be heard by the District Commissioner who shall in turn bring up the findings to the appropriate authorities for action.

Local Area Level The DESC will be responsible for the technical work at the local level. They will assist AEC in carrying out the screening process and determining whether or not an ESIA is required. The AEC and DESC will be responsible for completing the Environmental and Social Screening Form to identify the potential environmental and social impacts of the project activities and to propose the corresponding mitigation measures. The screening process will be under the supervision of the DEC. The RA will work closely with the district level teams to ensure that environmental and social concerns are adequately addressed in the review, approval, and implementation of sub-projects, including regular monitoring and reporting (as per identified E&S indicators, incidents/accidents, grievance mechanism functionality, etc).

In addition to the stakeholders described under this section, the project has prepared a separate stakeholder engagement plan that contain a coprehensive assessment and analysis on all the stakeholders to be engaged in the project. This will ensure that all affected and interested groups are adequaltely consulted during the implementation of the project.

6.3 Methodologies for the environmental and social management

This sub-chapter shows the 4 key aspects for the internal environmental and social management: a) Environmental and social preliminary assessment; b) Environmental and social studies required by the national law and the World Bank Policies; c) Environmental and social estimated budget; and d) Public participation and disclosure mechanism. Additionally, to obtain all the previous information, internal tools were design in order to facilitate and systematize the information generated.

6.3.1 Environmental and Social Preliminary Assessment

Prior to the formal Environmental and Social Assessment process, it is important to determine the “environmental and social risk level” of each project. This environmental and social risk level should include a review of the Bank’s environmental and social safeguards. To determine the risk level is necessary to analyze the magnitude, scope, and location (sensitive areas) of the proposed project. The result of this analysis will define the studies and budget required to comply with the national law and the WB Safeguards Policies. To define the environmental and social risk level, the EMU should carry out the following methodology, comprising five (5) steps:

Step 1: Magnitude of road project

The magnitude of a road project depends of hierarchy of the road (Primary or Regional road, Secondary or District road, Municipal or Rural road)); and the scope of the work that will be executed (new road, reconstruction, improvement, rehabilitation and maintenance).

Hierarchy of Roads:

- Primary or Regional road: A road of strategic importance for the overall interest of the national and international economy and 30 meters measured on each side from the center-line of the road; including a) road connecting the national capital to the provincial and special zone capitals, b) road to international borders, c) road of importance with regard to socio- economic and national defense or security purpose;

- Secondary or District road: A road of importance for the economic, political, socio-cultural development and for the national defense and security purpose at the provincial level, 18 meters measured on each side from the center-line of the road; including a) inter-provincial road b) road connecting a provincial capital to district centers, river ports, tourist and important historic sites;

- Municipalities or Rural road: A road connecting villages to villages and to various production and service centers of the village, 9 meters measured on each side from the center-line of the road;

Scope of Works:

− New road constructions, i.e. new roads, by-passes, and realignment of existing roads.

− Upgrading, i.e. adding new lanes and changing of road surfaces, widening lanes and shoulders, adding extra lanes in steep slopes/inclines, improving curves, and strengthening bridges.

− Rehabilitation, i.e. improving drainage, slopes, embankments and other structures, strengthening of pavements, complete resurfacing and recuperating civil works.

− Maintenance that requires either opening of new borrow pits or quarries, or establishment of labor camps in an environmentally sensitive area.

Matrix No. 1 defines the first classification of the road as a function of the Magnitude of the works:

Matrix N° 1 Environmental and Social Classification on function of the MAGNITUDE

Scope of road Hierarchy of the road works Regional District Rural New Road I I II Upgrading I II II Rehabilitation II II III Maintenance III IV IV

This first environmental and social classification gives a first result for the environmental and social risk level according to the Magnitude of the road project.

Step 2: Environment Site sensitivity

To define the level of the environment site sensitivity in the project area (LOW, MODERATE or HIGH), the following table can be used as a checklist to assess potential issues in relation to the environmental safeguards.

Table No. 3: Environment Site Sensitivity Checklist

Sensitivity Description Trigger 1.1 Protected areas in the DIA (National Parks, Forest Reserve, etc.)  1.2 High danger of environment degradation (deforestation, hunting, others)  1.3 Sensitive or critical ecosystem in the DIA (wetlands, mangrove swamps,  primary or secondary forests, and others) HIGH 1.4 Mountainous topography (>35% of slope)  1.5 Vulnerable areas to natural disasters (floods, earthquake, and others) 1.6 Presence of places of significant cultural and historical interest in the DIA   2.1 Protected Areas in the IIA or in buffer zones  2.2 Moderate danger of environment degradation (deforestation, hunting, others)  2.3 Sensitive or critical ecosystems in the IIA (wetlands, mangrove swamps,  MODERATE primary or secondary forests, and others) 2.4 Wavy topography (15-35% of slope)  2.5 Moderate risk to natural disasters (floods, earthquake, and others) 2.6 Presence of places of cultural and historical significance in the IIA   3.1 Intervened areas out of protected areas (national parks, or buffer areas)  3.2 Low danger of environmental degradation (deforestation, hunt, and so forth)  3.3 No sensitive or critical ecosystem areas in the direct influence area  (wetlands, mangrove swamps, primary or secondary forests, and others) LOW 3.4 Flat topography (<15% of slope),  3.5 Zones at low risk to natural disasters (floods, earthquake, and others) 3.6 Absence of places with cultural and historical significance   DIA: Direct influence area; IIA: Indirect influence area

If at least one setting is high, the site sensitivity of the entire Project is HIGH; if no setting is in high sensitivity but at least one setting is in moderate, the site sensitivity is MODERATE; and if no high and moderate sensitivities are indicated, the site sensitivity is LOW.

Step 3: Environmental risk level (Category)

The environmental risk level is in function of the project magnitude (Step 1), and the environment site sensitivity (Step 2). Applying the next Matrix obtains this environment risk level:

Matrix N° 2 Environmental Risk Level or Category

Project Grade Site Sensitivity High Moderate Low I A A B II A B B III B B C IV B C C

Classification A: Those projects with HIGH environmental risk, because the road area of influence presents high level of sensibility and the civil works are of such a magnitude of which they can alter the natural environment, biodiversity, and his cultural property.

Classification B: Those projects with MODERATE environmental risk, because the road area of influence presents moderate level of sensibility, nevertheless the civil works are not of big magnitude. The environmental impacts are easily identifiable.

Classification C: Those projects with LOW environmental risk. The natural environment, the biodiversity, and the cultural property is not in risk.

Step 4: Social risk level:

The “social risk level” depends if a project construction affect people (house or land) or if the project will benefit or affect vulnerable or ethnic groups (indigenous). The SOCIAL SITE SENSITIVITY might be HIGH, MODERATE or LOW:

- HIGH social risk level: Project is likely to have a significant adverse impact on resettlement/compensation or/and vulnerable groups.

- MODERATE social risk level: Project is likely to have a significant adverse impact on resettlement/compensation or vulnerable groups.

- LOW social risk level: No resettlement/compensation and vulnerable groups in the project influence area

Step 5: Environmental and Social risk level:

As a result of the Step 3 and 4, the final clasification of the environment and social risk could be:

- Clasification A + High or Moderate SOCIAL risk level - Clasification B + High or Moderate SOCIAL risk level - Clasification C

In order to facilitate the application of this methodology, section 6.3.5 presents the internal tool (Environmental and Social Screening Form – ESSF) designed to apply this methodology during the project preliminary assessment (screening).

6.3.2 Environmental and Social estimated budget

It is important to know, at this preliminary stage, the estimated environmental budget for the ESMP implementation, in order to include this in the total budget of the project. The budget estimated amount is also a function of the environmental risk level classification.

Matrix No. 3 is used to estimate the percent (of the total project investment) for each environment risk level.

Matrix N° 3 Estimated Environmental Budget for the ESMP

Project Pre- Environment Site Sensitivity classification High Moderate Low I 6% 5% 4% II 5% 4% 3% III 4% 3% 2% IV 3% 2% 1%

6.3.3 Environmental and Social Studies

As mention in Chapter 7 (Environmental Assessment Process), the type and scope of environmental studies depends on the environmental Category of the national law and the Bank’s classification in terms of the environmental and social risk level. Separate summaries of the specific environmental studies required by Malawian national law and the World Bank’s Safeguards Policies as a function of the environmental and social risk level are as follows: a. Environmental and social studies required by Malawian national law

The environmental studies required by Malawian national environmental law are as follows:

− Category A: Environmental and Social Impact Assessment (ESIA); − Category B: Environmental and Social Management Plan (ESMP); and − Category C: Environmental Guidelines of the Road Sector20

20 This instrument was developed in 2004 and is expecting to up-date as part of the environmental and social strengthening.

A detailed explanation for, and content of, each of these studies is presented in Chapter 7 (Environmental Assessment Process), and Annex 4 present guidelines to prepare the ESIA (Annex 4.1) and the ESMP (Annex 4.2) reports. In regards of projects classified as C, requires the application of the Environmental Guidelines of the Road Sector developed (2004) summarized in the Annex 3. The Environmental Guidelines document is expecting to be review and up-date with this Programme as part of institutional strengthening component.

b. Environmental and social studies required by the Bank’s Safeguard Policies

If any additional safeguard issues are identified, it will be required specific requirements to comply with the World Bank Environmental and Social Safeguard Policies, as follows:

− If the Natural Habitat Safeguard Policy (OP/BP 4.04) is triggered, a special analysis of the specific natural habitat or species should be necessary in order to assure that the project will not affect irreversibly that habitat and if the project is viable from the environmental point of view, is necessary to identify specific measures to prevent, mitigate, and/or compensate, the potential negative impacts. This specific study may be part of the ESIA document.

− If the Involuntary Resettlement Safeguard Policy (OP/BP 4.12) is triggered, and the Project Affected People (PAPs) is more than 200 people, a full Resettlement Action Plan (RAP) should be develop during the assessment process; or if the PAPs are less than 200 people, and Abbreviated Resettlement/Compensation Plan (ARAP) should be developed. The guidelines and contents of these instruments are in the Compensation and Resettlement Guidelines (CRG).

− If the Cultural Property Safeguard Policy (OP/BP 4.11) is triggered, is necessary to include as part of the ESIA document, an specific study about this potential negative impact and prepare an specific Plan to prevent, mitigate and/or compensate any potential impacts. Chance Find Procedures is presented in the Annex 5-a.

− Finally, to comply with the Bank’s public consultation and disclosure policy, a Public Consultation Plan (PCP) should be incorporated into the ESMP. The guidelines for preparing a PCP are presented in Annex 5-b.

6.3.4 Public participation and disclosure mechanism

The projects should contain an element of dialogue with local actors, including the community, during the phase of evaluation, to inform them on the purpose of the project and the potential environmental and social impacts (positives and negatives). The required quantity and depth of this type of dialogue depends of the environmental and social categorization. The guideline for the participation and disclosure is included in the Annex 6.

Projects Classified A: HIGH level of environmental and social risk

Projects with Classification “A” designation will be required to carry out at least two dialogue/communication exercises with local actors, including the community. The first dialogue is to discuss the purpose of the project and to collect information on the population affected or who benefit from the project. In the second dialogue, the results of the environmental and social studies will be presented to the communities.

In case of the presence of ethnical groups, appropriate methods and procedures of dialogue that guarantee their participation should be designed.

Projects Classified B: MODERATE level of environmental and social risk

For these projects it is required to carry out at least one dialogue/communication exercise with local actors, including the community. This dialogue should include the following aspects: a) purpose of the project; b) results of the environmental evaluation; and c) presentation of the complementary studies required, where applicable.

Projects Classified C: LOW level of environmental and social risk

Although a dialogue process is not required, it will be necessary to maintain a good information system to keep the community informed about the project and its progress. b. Disclosure required in function of the environmental and social categorization

All the projects should include a strategy for public information disclosure, in order to keep the general public and the actors involved in the project informed about its purpose and the potential environmental and social impacts. The disclosure of information will be done through the Internet and using the local media to reach the local community.

The information that will be published should contain: i) basic information about the project; ii) schedule of activities before the bidding process; iii) environmental and social categorization; iv) terms of reference of the environmental and social studies; v) list of enterprises participating in the bid process; vi) the summary and the results of the community dialogue; vii) the environmental and social studies developed; viii) in the cases that apply, the Resettlement Action Plan; Vulnerable Group Plan and Heritage and Cultural Resources Plan; ix) any another important study that have done on the project; x) the announcement of the constructor; xi) the contracts with environmental and social commitments to be executed during the construction; and xii) annual progress reports.

In addition, the following information should also be made public in adequate local media: i) the place, date and participants in the dialogue, ii) the rough draft of the study of environmental impact and iii) the rough draft of the project plans to ensure that the participating local actors to the dialogue have the adequate information with sufficient advance notification in order to be able to participate effectively in the dialogue.

6.4 Tools for the environmental and social management

A series of environmental and social tools (formats) have been designed for the use of RA, specifically for the Environment Management Unit (EMU), to ensure adequate environmental and social management and that systematic reporting and documentation, as a product of this management, is generated throughout the project cycle.

The tools that should be utilized during the project cycle are: a) Environmental and Social Screening Form (ESSF); b) Environmental and Social Monitoring Report (ESMR); and (iii) Environmental and Social Final Report (ESFR). Annex 7 contains formats for these internal management tools.

6.4.1 Environmental and Social Screening Form (ESSF)

The ESSF is the first management instrument that the EMU will use during the first stage of the project cycle (Identification Stage) to analyze the potential environmental and social risks and determine the environmental

and social risk level, to identify the environmental and social studies required in order to comply with Malawian national and the World Bank Safeguards Policies, and to gauge the estimated budget.

The format of this instrument is presented in Annex 7.1.

6.4.2 Environmental and Social Monitoring Report (ESMR)

The ESMR is the second environmental and social management tool that should be developed by the EMU during works execution, to follow up and monitor the implementation of the environmental and social mitigation measures identified in the ESMPs, RAPs and others reports, which are prepared for the specific projects. The ESMR contains basic information about periodic monitoring field visits, the technical staffs that visit the project, the environmental and social aspects observed during the site visit, and recommendations for the constructor.

The format of this tool is presented in Annex 7.2.

6.4.3 Environmental and Social Final Report (ESFR)

The ESFR is the third and final environmental and social management instrument that should be developed by the EMU once the works done, in order to review the compliance of all the environmental and social measures identified in the ESMPs, RAPs, and others instruments developed for the specific project.

The format of this instrument is presented in the Annex 7.3.

Chapter 7: Environmental and Social Assessment Process

This Chapter presents a summary of the main aspects of the Environmental Assessment Process presented in the “Environmental Impact Assessment Guidelines” developed by the Malawi Environmental Protection Agency (MEPA) was formed under the new Environment Management Act of 2017 and replaces the Environmental Affairs Department.

7.1 Objectives and Functions

The general objective of the Environmental and Social Impact Assessment (ESIA) process in the road sector is to identify the positive and negative impacts of a proposed road project on the natural and human environment and then to formulate appropriate remedial/mitigation measures to avoid or minimize adverse negative impacts and to enhance beneficial impacts. The ESIA process may help develop more environmentally friendly road projects by reducing negative environmental impacts through alternative approaches, design modifications, and remedial measures. The application of ESIA to road construction, upgrading, improvements, rehabilitation, and maintenance and to transport operations is a preventive strategy.

The specific objectives of the environmental assessment process for a road project are:

− Identify potential environmental impacts and document that a thorough and site-specific mapping of the project environment has been carried out; − Ensure environmentally sound and socially fair planning and implementation of the project; − Ensure that stakeholders/potentially affected people are informed about the project and that their viewpoints and concerns are considered in the planning and implementation of road project; and − Reveal the environmental and socio-economic background for an informed decision-making regarding the project.

The functions of the environmental and social assessment process are to:

− Clearly describe a project, including alternative project proposals; − Describe the baseline conditions for the project environment; − Identify potential environmental and socio-economic impacts; − Propose mitigation measures to minimize negative impacts and to enhance positive impacts; − Improve and optimize the project; − Prepare Environmental and Social Management Plans which “translate” mitigation into an operational plan that can be implemented by the Roads Authority and the contractor; − Present to managers and decision-makers a clear assessment of potential impacts that a project (or a strategic level initiative) may have on environmental quality; − Provide adequate information to the public and obtaining vies from the public; − Support authorities in making good decisions; and − Apply to a project (or a strategic level initiative) methodology that assesses and predicts impacts and provides the means to prevent and mitigate impacts and to enhance benefits.

The environmental assessment process is not only a decision-making tool, but also provides a specific forum to systematically undertake public consultation in a manner that allows stakeholders to have direct input to the environmental management process.

7.2 Steps in the Environmental and Social Assessment Process

The formal environmental assessment process in Malawi involves the following steps: a. Environmental screening of the project, i.e. determining whether environmental and social impact assessment (ESIA) is required or not; b. Scoping of the ESIA study and preparation of Terms of Reference for the environmental expert; c. Conducting the ESIA study and an environmental and social management plan (ESMP); d. Obtaining ESIA certificate (environmental permission); e. Implementing the environmental and social management plan (ESMP); f. Monitoring (compliance monitoring) during construction; g. Self-auditing (impact and effect monitoring); and h. Control auditing by the MEPA.

A flow diagram of the environmental assessment process appears in the Figure N° 6.

Figure N° 6: The Environmental and Social Assessment Process

Source: Environmental and Social Impact Assessment Guidelines, 1997

7.3 Stakeholders in the Environmental and Social Impact Assessment Process

Stakeholders having responsibility in the ESIA process are identified in the Stakeholder Engagement Plan (SEP)and should be engaged and fully consulted as provided in the SEP. The SEP compliments this ESMF and was developed in line with international best practices applied on projects to ensure that all stakeholders are adequately consulted. The SEP defines a programme for stakeholder engagement, including public information disclosure and consultation.

The stakeholder responsibilities in the process appear in the next Table. This table also indicates the time limit for response by the environmental authorities as per the prescriptions of the environmental assessment and audit guidelines.

Table N° 4: Responsibilities in the environmental and social assessment process

Activities Road Authority Environmental Environment Minister Time limit Management Affair Environment for response Unit Department Environmental Submitting project Determines registration brief whether an EIA is (application for required or not. ESIA certificate) Environmental Determining level of 7 days after and social ESIA required receipt of screening project brief Scoping of Holding Participating in Reviewing 14 days after ESIA study and consultations with reviewing scoping report receipt of ToR for interested and process and ToR for ToR consultancy affected people, and environmental preparing and expert and submitting scoping approval of ToR report and ToR for for environmental environmental expert expert ESIA with Conducting ESIA, Participating in Reviewing ESIA Approval ESMP preparing ESMP, reviewing and holding submitting ESIA process public hearings as Report required ESIA certificate Make Granting recommendation ESIA on permitting certificate decision Implementing Incorporating Supervising Conducting ESMP mitigation measures road authority compliance into design, monitoring construction and inspections operations. Environmental Monitoring and Monitoring and and social submitting preparing monitoring monitoring monitoring reports reports Environmental Self-auditing and Supervising Approval 12 - 20 and social self- submitting annual road authority months after

auditing audit reports commencem ent operation

7.4 Environmental and Social Management in the Project Cycle

7.4.1 Planning and Pre-Feasibility Phase

The following environmental actions are required in the planning and pre-feasibility phases of a road project:

− Environmental screening of the project by the RA; and − Scoping of the ESIA study, including preparation of Terms of Reference for the environmental and social consultants. a. Environmental and Social Registration and Project Brief

− The project proponent, usually the road authority, must submit a project brief to MEPA; and − The project brief must be submitted to MEPA together with the prescribed registration fee.

Project Brief:

The project brief is not meant to be a huge document describing the project and its environmental and social characteristics and implications in detail. On the other hand, it should contain information sufficient for the environmental authority to determine whether an ESIA is required or not for the project.

According to the EIA Guidelines 1997, the required information in the project brief is as follows: i. Nature of the project; ii. Location of the project, including the physical area that may be affected by the project activities; iii. Activities that will be undertaken during the project construction, operation and decommissioning phases; iv. Design of the project (including location of work camps and sources of materials); v. Materials to be used, products and by-products, waste generation and methods of waste disposal (including stones, gravel and water); vi. Alternatives to be considered, at a minimum the do-nothing alternative; vii. The potential environmental impacts of the projects based on available information; viii. Mitigation measures considered during construction, operation and decommissioning; ix. An action plan for prevention and management of possible spills and accidents during construction, operation and decommissioning; x. A plan to ensure the health and safety of workers and neighboring communities; and xi. A project budget estimate;

The RA must submit ten hard copies and one electronic copy of project brief form to the MEPA together with the prescribed fees. One hard copy and one electronic copy must be submitted to the MoTWP and the EMU for information. b. Environmental and Social Screening

Upon receipt of registration a project brief, MEPA will screen the project to determine whether an environmental and social impact assessment (ESIA) is required or not. Within 7 days of receipt of a

satisfactory project brief, the MEPA will respond to the Roads Authority with its decision, including a justification for its decision.

The result of the environmental screening will be one of the following:

- EISA is required because the project is likely to cause significant socio-economic or environmental impacts. In this case the Roads Authority may go on to determine the scope of the EIA study and prepare Terms of Reference for the environmental expert to be approved by MEPA.

- Environmental and Social Management Plan (ESMP) is required because it cannot be determined whether the project may cause significant socio-economic or environmental impacts until further information is generated; or

- ESIA is not required because the project is unlikely to cause significant socio-economic or environmental impacts. In this case the MEPA will issue an exempting notification to the developer to proceed with the project

If the MEPA deems the provided project brief unsatisfactory, it will request the Roads Authority for additional information, before an environmental screening of the proposed project can take place.

MEPA may decide to involve an Advisory Committee in the screening process. c. Scoping of the ESIA Study

Prior to the feasibility study, the ESIA study must be scoped. The Roads Authority conducts the scoping study. The purpose of the scoping study is to determine the approach and methodology of the study, the extent and the focus areas of the study. In addition, Terms of Reference (ToR) for the environmental expert who will undertake the EIA study be prepared. The scoping study and the ToR must be prepared by the Roads Authority and submitted to the MEPA for approval.

The accuracy and results of the scoping process depends on the project description, so it is important that the project description be as detailed as possible.

The scoping process includes the following steps: i. Identifying and describing project alternatives; ii. Identifying the study parameters, including environmental and socio-economic issues of concern; iii. Determining the study area (the area of influence); iv. Conducting preliminary consultation with interested and affected people and developing the consultation methodology for the ESIA study; v. Reviewing and revising the study area and scope of the study based on consultations, as required; vi. Preparing ToR for the study; vii. Preparing a time plan for the study; viii. Identifying the skills and human resources needed to undertake the study; ix. Drafting the report attached with draft ToR for the study and submitting it for review to MEPA; and x. Possibly revising the draft scoping report based on inputs from the MEPA and the MOTWP and resubmit for final approval

The ESIA study must always include at least two alternatives, i.e. the main project proposal (often referred to as Alternative 1) and the situation of not implementing the proposed road project (often referred to as the zero- alternative). In addition, other alternatives may be assessed in the ESIA study, as applicable. For road projects

this would most often be in terms of alternative alignments, but it could in principle also be in terms of alternative technologies, such as bridge types, surfacing, slope stabilization etc. d. Conducting preliminary consultation:

The Roads Authority must conduct preliminary consultations of potentially affected people in connection with the scoping process. The preliminary consultations serve three purposes:

− It allows to identify key social and environmental issues based on a consultative process; − It helps identify the most appropriate methodology for public consultation; and − It informs local people/groups about the proposed road project.

Therefore, the preliminary consultations should:

− Identify local groups (e.g., local government, NGOs, and CBOs); − Identify key issues to be included in the study based on preliminary consultations (e.g., geology, natural resources, and cultural practices); − Outline the consultation process for ESIA study.

This local baseline information should be collected during the scoping phase. The scoping report should clearly identify which environmental and social issues are identified as critical and exactly how the public will be involved during the ESIA study.

Consulting affected groups and stakeholders facilitates data collection, problem resolution, and the successful implementation and operation of the road project. Involving local people is likely to result in a more sustainable project, as local people may develop a sense of project ownership and may commit to maintaining the road. e. Preparing a Time Plan and a Budget for the Study:

A realistic time plan and budget for execution of the ESIA study should be included in the scoping report.

The study should focus its time and resources on the areas where potential impacts are likely to occur and on the issues that are critical to the project. It is important to consider time constraints and the financial budget at the beginning of the project (at planning/pre-feasibility phase) to avoid delays in conducting the ESIA, and to ensure the effectiveness of the procedures.

The following issues should be considered when estimating the time and budget for an EIA study:

− Availability of information from existing database to minimize the need for field study; − Seasonal aspects of the project area; − The availability of in-house expertise; and − Possibility of carrying out the EIA study in parallel with technical and economic feasibility studies.

Preparing the Scoping Report for the ESIA Study

The Roads Authority must prepare and submit the scoping report to MEPA for approval. The scoping study report must address the following issues:

− How the scoping was undertaken;

− Identification of issues and problems; − Synthesis of results of the scoping exercise, including details of potential negative and positive impacts of the proposed project; − Stakeholder groups identified and how they were involved in the scoping exercise; − Spatial, temporal and institutional boundaries of the project − Project alternatives to be considered. At a minimum the do-nothing alternative must be included, i.e. the situation of not implementing the proposed project; and − Terms of Reference for the environmental expert(s), including approach and methodology of the EIA study, scope and focus areas.

Submission of Draft Scoping Report and Draft ToR for Approval

The Roads Authority must submit one hard copy and one electronic copy of the draft scoping report and the draft Terms of Reference for the environmental expert to MEPA for approval.

One hard copy and on electronic copy should also be submitted to the MoTWP and Environment Management Unit of the Roads Authority for information and possible comments. d. Terms of Reference for the Environmental and Social Expert

As part of the scoping exercise, Terms of Reference (ToR) for the environmental expert should be prepared and attached to the scoping report. Depending on the size of the project and the nature of the foreseen environmental impacts the ESIA is usually carried out by a team of experts, including 2 or more of the following fields of expertise:

− Biologist/geographer/environmental scientist − Sociologist/socio-economist − Geologist/hydro-geologist/hydrologist − Marine ecologist/coastal zone specialist (for coastal or marine projects) − Traffic planner − Noise and vibrations specialist − Air quality and climate specialist − Urban planner/ land use planner − Environmental engineer − Economist/ environmental economist. e. Preliminary Environmental and Social Impact Assessment

If a project type is listed on list B (the non-mandatory list) ESIA may or may not be required. In order to determine whether and ESIA is required a preliminary environmental impact assessment must be undertaken. If the project is likely to cause significant environmental and/or social impacts, an ESIA will be required. If the preliminary assessment reveals that the project is not likely to cause significant impacts, an EIA will not be required.

7.4.2 Feasibility Study and Preliminar Design Phase

The environmental and social impact assessment (ESIA) study is usually carried out concurrently with the feasibility study of the project with the aim of submitting a draft environmental impact statement (EIS) at the end of the feasibility study period, and getting it reviewed and approved, and obtaining the EIA certificate for the project by the end of the preliminary design phase.

On behalf of the road authority, an independent environmental expert/firm must carry out the EIA study and prepare the EIS. The Roads Authority is responsible for submission of the report to the MEPA. Based on the outcome of the draft EIA the NCE will decide whether a public hearing is necessary. If required, MEPA will conduct the public hearing.

Based on comments and inputs from the review (and the public hearing), the environmental expert will finalize the ESIA. Upon approval of the ESIA, the Minister responsible for the environment will make his environmental permit decision, i.e. permit the project, and issue an ESIA certificate to permit the project. An overview of the process is presented in the next Figure. a. The ESIA Study

The typical activities of an EISA study include:

− Project context and project justification; − Project description; − Description of alternatives; − Baseline study to reveal existing environmental conditions in the study area, including field investigations; − Identification and analysis of impacts; − Analysis and comparison of alternatives; − Proposing mitigation measures and assessing residual impacts; − Preparing an Environmental and Social Management Plan (ESMP) with mitigation plans for detailed design, construction and operation of the road, emergency plan and monitoring plan; − Preparing the environmental and social impact statement (ESIS).

As mentioned before, in the Annex 4.1 and 4.2 presents guidelines for the preparation of the ESIA and ESMP studies.

Submission of the ESIA:

The Roads Authority must submit the environmental impact statement (ESIS) together with a filled ESIS submission form. The submission form appears in the Appendixes. The EISS must be accompanied by the Resettlement/Compensation Action Plan (RAP) and a road safety audit report, if such documents have been produced. The Roads Authority must submit ten hard copies and one electronic copy of the draft ESIS MEPA. One hard copy and one electronic copy of the draft ESIS and the ESIS submission form must be submitted to the MoTPW and the Environment Management Unit for information.

Review of the ESIA:

Upon submission of a draft environmental impact statement (EIS), the MEPA in consultation with relevant Advisory Committees will review the adequacy of the EIS and provide its comments and inputs to the RA. NCE’s comments to the Roads Authority and its environmental expert are usually provided in a meeting where also the TCE representative is present. Based on the comments and inputs from the NCE and the TCE, the environmental expert will finalize the EIS, and the Roads Authority must submit the EIS to the NCE who will provide recommendations regarding a decision to the Minister Responsible for the Environment.

In the course of the review process, the MEPA may decide to conduct public hearings to obtain further views of the public regarding the project in concern. The MEPA will be responsible for conducting public hearing(s).

The outcomes of the public hearing(s) will feed input into the finalization of the EIS and the environmental permitting process together with the comments and inputs from the review process.

ESIA Certificate:

Based on an adequate EIS, the Minister responsible for the environment (advised by the NCE) will make his decision regarding environmental permitting of the project. In making a decision, the Minister responsible for the environment shall take into account:

− The findings and recommendations of the EIS; − The comments made by relevant ministries, institutions and other interested parties; − The concerns raised at public hearings, where applicable; − Advice of the Director of Environment and; − Other relevant information, as required.

If the project is in compliance with requirements under the Environmental Management Act, 1996, the Minister responsible for the environment will issue an ESIA certificate with attached environmental conditions for the certification. The EIA certificate will be communicated to the road authority, and a copy of the certificate will be made available for inspection by the general public in the Environmental Affairs Department. b. The Environmental and Social Management Plan (ESMP)

The Roads Authority should prepare an Environmental and Social Management Plan (ESMP) for any road project, irrespective of whether an ESIA has been carried out or not in order to make sure that the Environmental Guidelines for Malawi Road Sector are followed and, in case an ESIA was carried out, to ensure that mitigation measures proposed in the EIS are implemented satisfactorily and timely. If an ESIA is carried out for a project, the ESMP will form an integral part of the EIS. If not, the RA possibly assisted by an environmental consultant, should prepare the ESMP.

The ESMP captures the critical project-specific issues to be managed and ensures that commitments made during the planning phase are incorporated into the design, construction and operational phases of the project. The ESMP presents the implementation responsibilities during the construction and operation phases. The ESMP is prepared using the following information:

− The findings and recommendations of the ESIA study; − The Environmental Guidelines for Malawi Road Sector; − Relevant environmental standards; − Other relevant pieces of legislation; − Other government agency input; and − Outcomes of community consultation.

An ESMP should contain the following elements: i. An implementation plan for management of environmental and social impacts, including: − Mitigation measures to be incorporated into the detailed design, − Construction phase activities, − Operation phase activities; ii. An emergency plan for accidents and spills, covering:

− Construction phase, − Operation phase; iii. An environmental monitoring plan, covering: − Construction phase, − Operation phase; iv. Reporting requirements by: − Road authority, − Contractor; v. Cost estimates and funding sources to implement the ESMP; and vi. Construction guidelines that specifically address how the contractor will incorporate environmental considerations into the works.

The implementation plan for management of environmental and social impacts should be structured according to the following phases of the road project: i. Measures to be incorporated into the detailed design of the road; ii. Measures to be taken during construction; and iii. Measures to be taken during operation of the road.

Environmental Emergency Plan:

The environmental emergency plan must identify critical incidents and vulnerable areas and populations during construction and operation of a road. The plan must assign roles and responsibilities for action in case of an emergency.

Typical emergencies in vulnerable areas during construction may include:

− Landslides and soil erosion on slopes; − Siltation of water bodies due to spill of materials, e.g. in connection with a bridge construction or similar river crossing; − Pollution of water bodies due to spills of oil or chemicals during construction; − Accidents from use of explosives in quarries; or − Direct or indirect exposure of people to toxic compounds from spills and unintended discharges during construction.

The emergency plan for the road operation phase does not include normal traffic operations, but should address spills of fuel and chemicals in sensitive or inhabited areas. The plan must assign roles and responsibilities for action in case of an emergency. Inclusion of emergency telephone numbers to relevant authorities and institutions may be helpful.

Environmental and Social Monitoring Plan:

Environmental follow-up (or compliance monitoring) is carried out during the construction phase (but it may also be extended in some cases to the operational phase). The objectives of the follow-up are to ensure the application of the EIA environmental measures and the regulatory requirements, including the mitigation

measures. The follow-up activities may also, if required, re-orient the construction works and eventually improve project implementation.

The objectives of the environmental monitoring activities (i.e., effects monitoring) are to check whether the impact predictions were adequate and to verify the efficiency of mitigation and compensation measures. c. The Resettlement Action Plan (RAP)

The social impacts of road projects should be avoided or reduced by using road bypasses to avoid built-up areas. Many social impacts may be related to land acquisition and the management of the resettlement process. Major potential impacts include:

− Displacement of people from an area; − Loss of land, property, and businesses; − Economic losses for affected individuals and families (e.g., loss of crops and economic fruit trees) with a temporary or permanent loss of income for subsistence (e.g., loss of a roadside location for an informal business); − Equity issues (i.e., people with fewer resources and skills become more vulnerable); − Social disruption and break-up of families due to displacement and relocation; − Health problems and various forms of psychological depression; − Loss of community benefits and social disintegration.

In general, involuntary resettlement should be minimized and where displacement is unavoidable, a Resettlement/Compensation Action Plan (RAP) should be implemented as a development program and in accordance with the World Bank requirements.

The RAP should be prepared as a separate document and should be summarized in the EIS. In addition, relevant mitigation measures should be included in the ESMP. The principal objective of a RAP should be to re-establish (or even improve) the social and economic productivity of the displaced community.

In order to assure the compliance of the national and the Bank’s Involuntary Resettlement Policy (OP/BP 4.12), a Resettlement Management Framework has been prepared by the RA with the support of the Bank’s safeguards team, for the Programme implementation. d. The Road Safety Audit (RSA)

If a road safety audit has been performed in accordance with the Guide to Road Safety Audit, 2009, the audit report should be attached with the EIS for information. A summary of its findings and recommendations should be included in the EIS. If a road safety audit has not been performed for the road project in concern, the EIA must address road safety issues and recommend measures to reduce risks of accidents. In any case, it should be stated in the EIS, whether a road safety audit was carried out or not.

7.4.3 Tendering, Contracting and Detailed Design Phase

Tendering, contracting of contractor(s), and detailed design phases are the phases, where the Roads Authority will make sure that the conditions in the EIA certificate are converted into actions which will ensure that the road project implementation will comply with environmental standards and requirements. The overall environmental management actions during these phases include:

− Incorporating mitigation measures into detailed design;

− Itemize relevant environmental and socio-economic measures and include them in the Bill of Quantities for the project; − Include environmental requirements in the tender documents; and − Include special conditions on environmental performance and management in the contract.

A focused and concise ESMP will be helpful in this process, because it may be attached in part or in whole to the tender documents or the contract agreement. a. Inclusion of the Environmental and Social Mitigation Measures into Detailed Design

For the recommendations of the EIS to be effectively incorporated into the design process, there must be a collaboration and coordination between the ESIA study team and technical/ engineering design team to ensure that important mitigation measures are integrated into the detailed design and technical specifications. The ESMP and the environmental strip map contain the specific requirements for inclusion of environmental considerations into the design. The Environmental Guidelines of the Malawi Road Sector, 2004, serves as a guide on good practices in road design.

It is the responsibility of the Roads Authority to oversee that all relevant environmental considerations are included in the detailed design of the road and to make sure that the road design is in compliance with conditions of the EIA certificate. It is advised that the Roads Authority involve the environmental expert who carried out the EIA study in this process. b. Bill of Quantities (BoQ)

The Roads Authority must ensure that all relevant environmental and socio-economic measures are itemized and included in the Bill of Quantities for the road project, including:

− Technical measures; − Logistic measures; − Measures to ensure environmentally and socially construction works; − Compensation of project-affected people (PAP) cf. the specifications of the resettlement/compensation action plan (RAP); − Road safety measures; − Environmental supervision of construction works; and − Training on environmental and social aspects related to the road works.

It is advised that the Roads Authority involve the environmental expert who carried out the ESIA study in reviewing the BoQ with respect to environmental management requirements. c. Contract Tendering and Reviewing Bids

All environmental and social issues should be covered in the contract conditions and specifications to be able to enforce good environmental practice. Each environmental and social clause should state: what needs to be done; where it needs to be done; when and how the actions will take place; and who is responsible. Clauses should be explicit, leaving little room for misinterpretation.

The contractor must be obliged to assign a competent and qualified person who will supervise and oversee that the road works take place in accordance with good environmental practices and in compliance with the conditions of the ESMP and the ESIA certificate.

Environmental management requirements should be included as special conditions in the contract agreement with the contractor. It is advised that the Roads Authority involve the environmental expert who carried out the ESIA study in reviewing the tender documents with a view to inclusion of the relevant specifications for environmental management.

The Roads Authority may require the contractor to present an environmental management implementation plan. This plan should show in detail how the contractor intends to comply with the ESMP and the environmental conditions of his/her contract. Specifically, the contractor describes the means and mechanisms to ensure respect of the legal and environmental requirements and the good operation of the construction works, equipment, and installations. Construction sites are constantly changing and systems must be in place to review and modify control measures to ensure that they remain effective. d. Environmental and Social Training of Contractors and Workers

Once the contract is awarded and when required by the ESMP, an environmental-management training program should be initiated. Training should be provided to all principal stakeholders involved in environmental management, including the Roads Authority and the contractor’s staff (e.g. occupational health and safety training), as well as members of the local community. For training to be cost effective, it should involve on-the job training. For example, practical training may involve doing some re-vegetation of steep slopes to prevent soil erosion by using special grass (e.g. vetiver grass, Vetiveria zizanioides). Other training may focus on building the capacity of the Roads Authority staff or creating general environmental awareness (e.g., public awareness program on the link between road operation, maintenance, and the environment).

In addition to the general training, workers should also be aware of their rights and working conditions as required by Labour Management Procedures developed for this project in line with international best practice. The LMP also ensres safety, health and welfare at work; promotes appropriate labor practices which include non-discrimination and equal employment opportunity to all eligible community members; protects workers, including vulnerable workers such as women, persons with disabilities, migrant workers, contracted workers, community workers and primary supply workers, as appropriate; prevents the use of all forms of forced labor and child labor; provides workers with accessible means to raise workplace grievances.

7.4.4 Construction Phase a. Environmental and Social Follow-Up Activities

During the construction phase, the Roads Authority must monitor the contractor performs his/her work in compliance with the ESMP and the conditions of the ESIA certificate. The Roads Authority must also ensure that remedial actions be taken in case of non-compliance.

In practical terms, the Roads Authority will ensure suitable requirements for environmental supervision is part of the contractors‟ contractual obligations through a requirement for an environmental supervisor. The Roads Authority will further ensure that the supervising road engineer has the responsibility to follow up on environmental management and performance issues.

Environmental management and performance should be a standard point of discussion at each construction site meeting, and the contractor’s environmental supervisor should be present at these meetings. Members of the

relevant Environmental Management Committee (EMC) and or the Environmental and Social Planner form the Roads Authority may be invited as appropriate.

The main monitoring and follow-up issues and activities during the construction phase of a road project include:

Pre-construction activities

− The contractors assignment of an environmental supervisor; − Going through the ESMP at the initial construction site in order to make sure that contents, roles and responsibilities of the ESMP are understood and will be adhered to and make agreements on activities and time schedule; − Environmental supervision of site preparations; and − Environmental training of staff and others, as required.

Construction activities

− Regular updates on progress of ESMP implementation on the monthly meetings between the contractor (and his/her environmental supervisor) and the supervising road engineer; − Supervision by the contractor’s environmental supervisor; − Supervision by the supervising road engineer; − Environmental compliance monitoring; − Follow- up activities in case of emerging unforeseen environmental issues; − Follow-up activities in case of non-compliance; and − Self-audits by the Roads Authority as deemed necessary.

Activities during demolition of work site

− Final environmental report from the contractor; − Self-audit by the road authority; and − Control auditing by the National Environment Management Council, as required. b. Environmental and Social Supervision

Regular and continual environmental supervision is important to ensure that the contractor complies with the requirements of the Environmental and Social Management Plan (ESMP) and the conditions of the EIA certificate.

The contractor’s environmental supervisor in collaboration with the supervising road engineer is responsible for overseeing that the environmental management requirements are met. The environmental supervisor is further responsible for proposing remedial actions in case of non-compliance or occurrence of non-acceptable environmental or socio-economic effects, and for identifying needs for follow-up environmental training of the contractor’s staff and management and carry out this training.

The environmental supervision should cover all aspects of the contractor’s work. Environmental supervision must include regular site visits and should not be based on second-hand information. However, the contractor should upon advice by the environmental supervisor notify the Roads Authority on any irregularity or event outside the control of the contractor, if the irregularity might result in undesired environmental or socio- economic effects.

The RA and the supervising road engineer should assist the contractor in ensuring corrective measures to counteract undesired environmental or socio-economic effects of such events. c. Environmental and Social Compliance Monitoring

The environmental and Social monitoring should focus on:

− The extent to which the contractor is complying with the environmental specifications and contract conditions (compliance monitoring); and − Any unforeseen environmental impacts (i.e., the failure or inadequacy of the mitigation measures) and recommendations on how to manage unforeseen impacts.

The objectives of environmental compliance monitoring are as follows:

− Applying the identified mitigation measures; − Ensuring that mitigation measures, contract conditions, and specifications are fully implemented during construction; − Identifying additional mitigation measures, as needed; − Assessing the efficiency of the mitigation measures and make recommendations for not only the current project, but also for future projects; and − Resolving problems encountered during the construction phase.

The environmental monitoring team usually includes:

− The Contractor’s environmental supervisor; − The supervising road engineer; − Any other road engineers or technicians required by the road authority; and/or − Any other environmental specialists required by the road authority. d. Meeting and Communications

Progress on the implementation of the Environmental and Social Management Plan (ESMP) should be a standard agenda item on the construction site meetings, and the contractor’s environmental supervisor should be present at the discussion of this item. In addition, other environmental specialists from the EMU may be invited, as required.

These following sub-items pertaining to environmental management should be put on the agenda of the construction work meetings:

− Review the status of any problem addressed in the previous meeting; propose additional mitigation measures, if a problem has not been solved; − Review the main construction activities and any environmental problem that occurred since the last meeting; − Review the construction activities and general environmental performance, as listed in the ESMP.

Decisions made should be minuted and records of the minutes should be kept with the RA. The records should be made available to the relevant environmental management committees (EMCs) and the RA’s EMU upon request. e. Final Inspection and Handing Over of Site

This stage mainly involves demobilizing (decommissioning) temporary infrastructure, installations, and equipment, and restoring the sites.

The environmental specialists of the Roads Authority should be present at the final inspection and handing over of the site. The environmental specialists of RA are its officers of the Environment Management Unit (EMU).

In the hand-over process, the contractor’s compliance to environmental contract conditions and specifications is confirmed. Specific attention should be paid to the clearance of waste and returning disturbed land to a natural and useable condition. An inspection of all off-site activities, such as quarry sites, should be conducted. f. Self-Auditing

A self-audit of a road project may be instituted by the Roads Authority in concern and by the MoTWP. Either of these institutions has the authority to cause a self-audit to held for a road project at any time during the construction phase.

The purpose of a self-audit is to control whether all relevant environmental conditions in the ESMP and the EIA certificate are complied with, to investigate the effects of the environmental management measures, and to propose remedial actions in case of unsatisfactory performance or unsatisfactory effect of the environmental management measures during the construction.

A self-audit should be carried out by a team of experts, who are not directly involved in the implementation of the project in concern. It could be a hired consultant, a team comprising representatives of the MoTWP the road authority’s environmental management unit, or a combination hereof. The Roads Authority and the contractor are obliged to provide the audit team with all required data and information for the audit. g. Control Auditing during Construction

The MEPA may at any time during the construction phase cause a control audit to be held. The objectives and activities of a control audit will be determined by MEPA, and the RA will bear the costs of this type of audit. The Roads Authority and the contractor are obliged to provide all relevant data and information to the MEPA’s audit team. The MEPA may decide that the environmental conditions of the EIA certificate may be reviewed and revised based on the outcome of a control audit.

7.4.5 Operation and Maintenance Phase a. Environmental Monitoring and Follow-up

The following measures should be considered during the maintenance phase:

− Ensure timely maintenance to prevent/ minimize road degradation, flooding, road accidents, traffic noise, and landscape degradation; − Maintain grass and other roadside vegetation to slow water flow and trap suspended matter, and hence to prevent/reduce soil erosion; and − Prune bushes, trees, and cut grass frequently to prevent safety and fire hazards related to excessive amounts of vegetation along the road. b. The Road Authority’s Environmental Auditing

Some ESIA certificates require the submission of an audit report, usually about one year after completion of the construction works. The post-project evaluation serves this purpose, as well as providing the necessary feedback to the project-planning phase for cost-effective environmental management. The goal of a post- project evaluation is to confirm that the project was implemented in accordance with the terms and conditions of the ESIA certificate and to take remedial measures, as required.

The critical goal of a post-project evaluation should be to apply the lessons learned from completed projects to future road works. Important tasks include:

− Evaluating and implementing remedial actions during road operation; − Conducting consultation with key stakeholders; − Incorporating lessons learned into future road project planning; and − Monitoring and evaluating effects.

Public participation in the audit process should be encouraged in order to obtain the views and concerns of the concerned parties with respect to impacts of the road and the road operation. c. Control Auditing during Operation

The MEPA at any time during the road operation phase cause a control audit to be held. The objectives and activities of a control audit will be determined by the NCE, and the NCE will bear the costs of this type of audit. The MEPA may decide that the environmental conditions of the EIA certificate may be reviewed and revised based on the outcome of a control audit. d. Environmental Management in Road Maintenance

The Roads Authority is responsible for proper environmental management of road operations and road maintenance during the operation phase of the road. The relevant environmental bodies may request for advice on emerging situations, as required. The Environmental and Social Management Plan (ESMP) may include environmental management requirements for the operation phase of the road.

Even if the ESMP is not covering the operation phase, relevant environmental and socio-economic issues should be addressed properly in road maintenance plans and road maintenance projects. The management requirements may focus on:

− The need for monitoring and follow-up on road traffic operations, especially safeguarding against noise and dust exposure, air pollution and road accidents; and − The need for routine and periodic maintenance activities that will remedy undesired environmental impacts during operation, such as measures to:

– Ensure proper road drainage; – Safeguard against erosion of the road; – Safeguard against erosion of the surroundings caused by the road; – Ensure proper surfacing to reduce noise and dust generation; – Proper maintenance of shoulders and walking/biking paths; – Preventing people from exposure to noise, dust and air pollution resulting from road operations and vehicle emissions; and – Undesired use of the road reserve. e. Environmental Management of Vehicles and Traffic Operation

Traffic operation is a major source of ambient noise, dust and air pollution. The problem is particularly pertinent in densely populated and heavily trafficked areas, where both noise and exposure to dust and air pollutant may rise to hazardous levels.

General plans, programs, or a measure to manage emissions from vehicles to ensure compliance with vehicle emission standards is the responsibility of the MoTWP. f. Decommissioning

In certain upgrading projects, however, realignments will lead to abandonment of shorter or longer road sections. In such cases a restoration plan for the abandoned sections should be part of the ESIA study for the upgrading project.

Chapter 8. Grievance Redress Mechanism (GRM)

8.1 Introduction Grievance redressing mechanism is designed in view that the proposed sub project activities may affect the the communities and affect the balance in the society. The project activities and other resettlement and compensation issue bring about property issues, affect means of livelihood, and the organization of social and spatial This ultimately creates community grievances and complains and therefore, the project grievance redressing system is needed to ensure timely and fair resolution of complaints. The proposed GRM for the project has its own Grievance redress committees (GRCs) with a budget for implementation. Grievances are actively managed and tracked to ensure that appropriate resolution and actions are taken. A clear time schedule has been defined for resolving grievances, ensuring that they are addressed in an appropriate and timely manner, with corrective actions being implemented if appropriate and the complainant being informed of the outcome. The purpose of a Grievance redressing mechanism is to establish a way for individuals, groups, or communities affected by the project activities to contact responsible body if having an enquiry, a concern, or a formal complaint. Grievance handling mechanism addresses affected persons’ concerns and complaints promptly, using an understandable and transparent process that is gender-responsive, culturally appropriate, and readily accessible to all segments of the affected persons.

8.2 Objectives of the GRM The Grievance Redress Mechanism (GRM) provides a platform for stakeholder engagement and involvement in management of grievances In addition, the GRM helps 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.

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 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 contractor in terms of its reputation and in terms of work time, land access or additional demands. • To improve the Project social performance through the analysis of grievances and complaints.

8.3. Grievance Types The Project receives 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, GBV, VAC etc. The table below summarized anticipated types and sources of grievances and complaints for the project.

TABLE 1: 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. Recruitment and Contract Management infrastructure/ property damage, Security Concerns • Workers without contracts

• Gender Based Violence, sexual harassment, Violence Against Children, • Lack of clarification to overtime pay Child Labour

• Employment for local community • Sexual Harrasment & GBV (Village around the project area). • Worker dismissal without been given a chance to be • Unfulfilled development commitments heard. Unfair dismissal in communities. • Criminal cases

8.4 Implementation of the GRM For every subproject under the SATTFP, the RA facilitates the formation of three committees at Contractor level, Community Level and at District level (District Council) respectively. The committee at community level is referred to as the Community Grievance Redress Committee (CGRC) and the committee at the Districts level will be referred to as the District Grievance Redress Committee (DGRC).

Composition of the GRM Communities Community Level Contractor (Workers GRM) District Level • Youth Representative A total of 6 to 10 workers with a • Director of Public Works, • Women Representative representation of not less than 40% • District Gender and Social • Local NGO representative of either sex. Welfare Officer, • Community member • Workers Representatives • District Lands Officer, • Member from community • Contractor Representative • District Labour Officers, policing (ESHS Personnel) • HIV/AIDS Officer • Social welfare • Consultants Representative • NGO Representative and • Community Development • Service providers • District Environmental Officer Officer • District Labour Officer • Police Officer (from Victim • Child Protection Officer Support Unit) • GBV SP • Police Officer (From • HIV/AIDS SP Community policing department) • Magistrate • RA

The GRM structure has 5 stages from when a grievance is first reported to when it is resolved.

Stage 1: Complaint Uptake All the PAPs in the community presents their complaints or grievances to the CGRC. In addition, complaints drop-in boxes are also be provided in all the villages to facilitate easy uptake of grievances. Complaints are also channelled directly to the following address in writing or telephone:

The Project Coordinator Southern Africa Trade and Transport Facilitation Programme Roads Authority Private Bag B346 Lilongwe 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 are accepted by phone. 2. Contact with CGRC PAPs in the community presents their complaints or grievances to the CGRC 3. Visits to local communities Grievances are received through the SP/CLO and the GBV service providers periodically visit the communities to hold meetings with the community members, local authorities, community leaders, etc. The SP/CLO also holds informative workshops periodically. Local workers also expresses grievances and complaints to their SP/CLO, or in their place of work.

4. Suggestion Boxes Suggestion boxes are made available to the contractor’s Yard, 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 also conducts 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.

The CGRC records all received complaints or grievances in a Community Grievance Log and Resolution Form., Annex 8. The case are only referred to District Grievance Redress Committee if it has not been resolved at the CGRC. Otherwise, the preferred scenario is to have grievances resolved at lowest levels possible. Criminal cases are not handled by the respective CGRC, are reported directly to the police.

Stage 2: GRM Registry All grievances received are publicly entered into an accessible entering recording system as the GRM registry is maintained at both community and district levels. The community log and resolution form are provided in triplicate. For any case heard, closed or referred, a copy of this case is sent to the DGRC. This enables the district to keep a register (Annex 1B), of all cases recoded and handled by any GRM committee in their district. Using this information, councils are able to generate a matrix of cases and agreed resolutions and be able to follow up if the resolutions are being implemented.

Stage 3: Investigation, Assessment and Response When a complaint is received by GRC, the GRM provides that a resolution be provided within 15 working days. This is so to make sure that grievances/complaints are resolved as early as possible and that feedback is provided to the complainant. Once complaints are received, the CGRC assesses whether the complaint/grievance is related to the project or not. In case, complaints are not related to the project, Persons Affected with Project (PAPs) are advised to channel their complaints to the right institutions.

Stage 4: Resolution and Closure Where a resolution has been arrived at and the PAP accepts the resolution, the PAP is required to sign the resolution and closure section in the Grievance Community Log and Resolution Form as attached. Two

members of the CGRC (Chairperson and Secretary) also counter signs. In the event that the grievance has not been resolved at CGRC, it is referred to District GRC and if the resolution is not reached at this level, the PAP has the option of seeking legal redress from civil courts.

Stage 5: GRM Monitoring and Evaluation The GRM evaluation can be undertaken alongside any other evaluation exercises for the project. This will be possible using copies of registers that Councils and RA keeps. The monitoring assists in tracking whether the GRM system is working efficiently and effectively and informs the project to make any necessary adjustments. The evaluation helps to assess the impact of GRM in response to people’s complaints and whether the GRM principles were met or not during the project implementation. 8.5 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, the project grievance management process follows grievance management time frame presented in Table 10 below.

8.5 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 grievance within one week of receiving the grievance 3. For grievances where the investigation is more time Within three weeks 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

8.6 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.

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

8.7 World Bank (WB) Grievance Redress Service Communities and individuals who believe that they are adversely affected by a WB supported project, may submit complaints to existing project-level grievance redress mechanisms or the WB Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed in order to address project- related concerns. Project affected communities and individuals may submit their complaint to the WB independent Inspection Panel which determines whether harm occurred, or could occur, because of WB non- compliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directly to the WB’s attention, and WB Management has been given an opportunity to respond. For information on how to submit complaints to the WB‘s corporate Grievance Redress Service (GRS), please visit http://www.worldbank.org/GRS. A detailed feedback and grievance redress mechanism (GRM) will be prepared by the RA. It will be ensuring that the grievance mechanisms will include the necessary procedures for disclosure and resolution of environmental and social related grievances of the proposed Project. The grievance mechanism will detail procedures on how grievances related to proposed projects are dealt with, including how, when and where project information is disclosed, who will receive and respond to grievances, when grievances are referred to higher levels, and how grievances are ideally resolved. It is anticipated that the grievance mechanism will contain procedures for addressing grievances at different levels, including at village, city, district and national level with multiple lines of reporting and special attention to grievance channels for vulnerable groups. In case of any request, it is anticipated that grievances can be put forward both in writing and orally.

Chapter 9: Public Consultations and Disclosure 9.1 General Public and stakeholder consultations with relevant institutions and beneficiaries are an important component in the project planning process of the Project. Stakeholder consultations should be carried out during planning, screening, and during the environmental and social assessment to identify key environmental and social issues and determine how the concerns of all parties will be addressed. The Public and stakeholder consultations during ESMF preparation and the plan for future consultation and disclosure that helps to guide consultation and disclosure are discussed in subsequent sections. 9.2 Objective of Consultation This consultation provides a framework for achieving effective stakeholder involvement and promoting greater awareness and understanding of issues so that the proposed SATTFP will be carried out effectively within a specified budget and time to the satisfaction of all concerned parties. The main objectives of the consultations are to: • Gather views of stakeholders on the programs and record the project targeted stakeholders' level of awareness, attitudes, and opinions towards the proposed Project. • Provide information to all projects concerned stakeholders about the project activities, potential impacts, and respective enhancement and mitigation measures. • Accommodate the stakeholders' concerns during the project implementation. • Establish the social implications of the project on the different stakeholders. • Maintain the rights of contacted stakeholders’ participation with respect to policies and projects that affect their livelihoods, as per requirements of the national and the WB policy and legal frameworks. • Information to shape the programs of the Project and establish the social implications of the project on the different stakeholders. Stakeholders Consulted During the preparation of this ESMF, The RA consulted stakeholders at national, district, and community levels. The stakeholders consulted included officials and experts from relevant line Ministries and regional and District Council. The stakeholders and public consultations were conducted between in 2014. Another round of consultations was conducted in November 2020. The process was pertinent to gather the participants' views on the implementation of the proposed project and its associated benefits and impacts. The methods of the consultations included round table discussions, focus group discussions, and one-to-one discussions. Findings of Stakeholders Consultations During consultations with various stakeholders, the participants indicated that they are willing to support the project as it provides several benefits for the community members within and around the

project area. There were however concerns that stakeholders expressed that may affect the success of the project. A summary of issues discussed during consultations concerns associated with the implementation of the project are presented below: Table 9-1:A Summary of Views of Stakeholders Consulted Issues Raised Response/ Comments provided Increased risk of road accidents; The Roads authority will work closely with the Directorate of Roads Traffic to sensitize communities along the road corridor. The project ESIA/ESMP will recommend that the Contractors be required to develop and implement a Traffic Management Plan to avoid and/or mitigate traffic incidents and risks during construction as well as operation phase.

Disruption of the movement of The contract will develop and implement a comprehensive traffic vehicles thereby inconveniencing management plan during the construction period. road users if not properly Motorist will be adequately sensitized and proper road signs will managed. be mounted to guide traffic

Employment opportunities for The project will ensure that as much as possible surrounding locals communities are employed for unskilled work in the project. Compensation of Project Affected All PAPs will be compensated regardless of having legal People (PAPs) ownership of land. This is in line with the world bank policy on involuntary resettlement Employment opportunities for The project will ensure that as much as possible surrounding locals communities are employed for unskilled work in the project. Labor influx impacts The project will put in place a Grievance redress mechanism for the community to voice out all their concerns. All workers of the contractor will be required to sign and adhere to a Code of Conduct to ensure that they do not misbehave in the community. The project will provide an opportunity for employment for local labor that supports their livelihood and live in harmony with the project contractor and other parties, including sub-contractor GBV/SEA and HIV/AIDS The project will engage specialized people to conduct GBV and impacts HIV/AIDs awareness in the area. Firms will be engaged as GBV, HIV/AIDS service providers Increased pressure on local social The contractors will be required to provide for their workers services in the area due to the separate services such as water and electricity. The contractors

Issues Raised Response/ Comments provided coming in of the project such as will have first aid kits on site and as budget allows and if market, schools, clinics, water, applicable the Contractor will provide support to the health post and electricity working within the project area. Impacts of quarries, borrow pits The contractors will be required to develop Quarry site rehabilitation plans to be approved by relevant ministries. The plans will include a perimeter fence to stop people from accessing the construction site.

Public Disclosure Introduction The World Bank Operational Policy OP 4.01 requires that the GoM and the World Bank disclose this ESMF report and any other project safeguards instruments as separate and stand-alone documents. The ESMF and other safeguards instruments are required to be approved and disclosed before appraisal according to Bank policies and National procedures. The disclosure should be both in GoM where it can be accessed by the public, including affected groups and NGOs, and at the World Bank external website. The RA and District Councils will make copies of the ESMF and other instruments available in selected public places (copies of the documents will be made available at District Council Offices to be accessed by all interested parties) for information and comments. The sub-projects will be announced through different forms of media. The announcement will include a brief description of the proposed subprojects under SATTFP, references to where and when the ESMF and other safeguards instruments can be viewed, duration of the display period, and contact information for comments. Public Disclosure Plan In line with World Bank Operational Policy OP 4.01, the original ESMF was made available at the relevant institutions at all levels and was publicly disclosed both in-country and at the World Bank's external website. The Road Authority will make copies of the ESMF available in selected public places in English and local language in compliance with the World Bank’s Public Consultation and Disclosure Policy. The updated ESMF will be disclosed on Roads Authority website and copies made available at District Council offices once it is approved by the World Bank. All ESIAs, ESMPs, RAPs, and other safeguards instruments that have/will be prepared for projects will also be disclosed on the RA and World Bank’s external website. Copies of the ESMPs, ESIAs, RAPs, etc. shall be made available to communities and interested parties’ inaccessible locations through the District Councils. Copies of the ESIAs, ESMPs, RAPs, should also be provided to the implementing agencies and submitted to the World Bank.

Third Party Monitoring

While a standard project monitoring framework is able to collect quantitative information related to project output, outcome and impact, it can miss subtle issues related to project implementation. TPM can provide additional perspectives and a more comprehensive picture of project performance, impacts and results. The main objective of the Third Party Monitoring is to assess the effectiveness of the implementation of project activities and strengthen monitoring and evaluation systems and obtain additional data on the achievement of progress development. In particular, the third party monitor will identify constraints incurred during implementation and suggest measures for addressing them, document best practices, and enhance project performance by gathering and analysing high level information.

Role of Third Party Monitoring

Third Party monitoring for the project shall be coordinated by the Ministry of Transport and Public Works and will entail: • Tracking environmental and social performance of the project • Monitoring contractor, consultants and Roads Authority’s compliance to ES requirements • Verifying compliance and progress on project commitments. • Reviewing stakeholder engagement and grievance management. • Review the effectiveness of Gender Based Violence, Child Abuse and Exploitation and Child labor interventions and provide guidance to contractors, service providers and Roads Authority. • Undertaking site visits to review documents and meet with workers, management, and stakeholders. • Identifying corrective and preventive actions as needed in a manner acceptable to the Bank. • Providing information for the RA to disclose to stakeholders, showing performance of the project or implementation of commitments.

Chapter 10: Indicative Budget Requirements

9.1 Budget Requirements A summary of the estimated budget requirement for the implementation of the ESMF is provided in table 9-1 below. The environmental and social management cost is not included in the ESMF budget, as it will be covered directly or indirectly by the respective subproject budget, i.e. through allocation for project’s administrative and logistical expenses or through inclusion of cost for mitigating measures in contracts with contractors. Table 0-2: Indicative summary of estimated ESMF budget Activity Description Total cost [USD] Implemenation of Social Safeguards Lumpsum 160,000 in the AF GBV service provider Lumpsum 180,000 Implementation of SEP Lumpsum 105,000 Implemetation of LMP Lumpsum 20,000 Review of E and S Guidelines Lumpsum 50,000 Total 516,000

42 Environmental and Social Management Framework Roads Authority of Malawi

Annexes Annex 1: Results of the Socialization and list of participants

Environmental and Social Management Framework Roads Authority of Malawi

List of Stakeholders Consulted during Updating of the ESMF and issues raised

Name Institution contact

Gift Nangwale Roads Authority +265 999320709

Allan Kaziputa Roads Authority +265888639441

Eleanor Kwapata Roads Authority +265996087281

Isaac Mpaso Roads Authority +265993792427

Shadrick Magombo Ministry of Labour +265999419252

Memory Kalima Ministy of Labour +265884196660

Environmental Affairs Cathy Musa-Katambo Department +265999346466

Nisile Mwaisunga Environmental Affairs +265999416636 Department

Dimond Chikhasu Ministry of Trade +265888311619

Sharmy Banda Roads Authority +265888 843 907 0882 400 596 Chiku Mpando Roads Authority

Anne Kandoje Directorate of Road Traffic +265 994 667 099 Services and Safety (DRTSS)

Owen Nalivaka Directorate of Road Traffic +265 99 922 4760 Services and Safety (DRTSS) Environmental Affairs Joana Chikafa Department +265 991 337 764

Hellen Nyirenda Ntcheu District Council +265 999 265977 Balaka District Council Aida Mkwezalamba +265999682117

Charlotte Neema Neno District Council +265881915762

Joseph Fulugensio Dedza District Council +265881768359

Environmental and Social Management Framework Roads Authority of Malawi

Robert Phiri Karonga District Council +265995241391 Khumbo Mbeye Karonga District Council +26599309116

Joseph Khonje MRA +265888857461

Annex 2: World Bank Safeguards Polices

1. Environmental Assessment (OP/BP 4.01)

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 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.

The environmental and social impacts of the SATTFP will come from the road and others infrastructure projects that will receive financing under the SATTFP. However, since the location of these projects will not be identified before appraisal of the Programme, the EA process calls for the GoM to prepare this ESMF to establish a mechanism to determine and assess future potential environmental and social impacts during implementation of the projects under the proposed SATTFP, and then set out mitigation, monitoring, and institutional measures to be implemented during project operations to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels.

Environmental and Social Management Framework Roads Authority of Malawi

Therefore, this ESMF establishes the EA process for implementation of project activities in the proposed SATTFP project.

2. Natural Habitats (OP/BP 4.04)

The World Bank does not support projects that, in the Bank's opinion, involve significant conversion or degradation of critical natural habitats. Wherever feasible, Bank-financed projects are sited on lands already converted (excluding any lands that in the Bank's opinion were converted in anticipation of the project). The Bank does not support projects involving the significant conversion of natural habitats unless there are no feasible alternatives for the project and its location, and comprehensive analysis demonstrates that overall benefits from the project substantially outweigh the environmental costs. If the EA indicates that a project would significantly convert or degrade natural habitats, the project includes mitigation measures acceptable to the Bank. Such mitigation measures include, as appropriate, minimizing habitat loss (for example, strategic habitat retention and post-development restoration) and establishing and maintaining an ecologically similar protected area. The Bank accepts other forms of mitigation measures only when they are technically justified.

In deciding whether to support a project with potential adverse impacts on a natural habitat, the Bank takes into account the borrowers/developers ability to implement the appropriate conservation and mitigation measures. If there are potential institutional capacity problems, the project should include components to develop the capacity of national and local institutions for effective environmental planning and management. The mitigation measures specified for the project may be used to enhance the practical field capacity of national and local institutions.

3. Indigenous Peoples (OP/BP 4.10)

The World Bank policy on indigenous or vulnerable peoples underscores the need for Borrowers and Bank staff to identify indigenous peoples, consult with them, ensure that they participate in, and benefit from Bank-funded operations in a culturally appropriate way, and that adverse impacts on them are avoided, or where not feasible, minimized or mitigated.

This policy contributes to the Bank's mission of poverty reduction and sustainable development by ensuring that the development process fully respects the dignity, human rights, economies, and cultures of Indigenous Peoples or Vulnerable Groups. For all projects that are proposed for Bank financing that affect Vulnerable Groups, the Bank requires the borrower to engage in a process of free, prior, and informed consultation. The Bank provides project financing only where free, prior, and informed consultation results in broad community support to the project by the affected indigenous or vulnerable peoples. Such Bank-financed projects include measures to (a) avoid potentially adverse effects on the Indigenous Peoples’ communities; or (b) when avoidance is not feasible, minimize, mitigate, or compensate for such effects. Bank-financed projects are also designed to ensure that the Indigenous or Vulnerable Groups receive social and economic benefits that are culturally appropriate and gender and intergenerational inclusive.

The Bank recognizes that the identities and cultures of indigenous or vulnerable peoples or groups are inextricably linked to the lands on which they live and the natural resources on which they depend. These distinct circumstances expose indigenous peoples to different types of risks and levels of impacts from development projects, including loss of identity, culture, and customary livelihoods, as well as exposure to disease. Gender and intergenerational issues among indigenous peoples also are complex. As social groups with identities that are often distinct from dominant groups in their national societies, indigenous peoples are frequently among the most marginalized and vulnerable segments of the population. As a result, their economic, social, and legal status often limits their capacity to defend their interests in and rights to lands, territories, and other productive resources, and/or restricts their ability to participate in and benefit from development.

Environmental and Social Management Framework Roads Authority of Malawi

At the same time, the Bank recognizes that indigenous or vulnerable groups play a vital role in sustainable development and that their rights are increasingly being addressed under both domestic and international law.

Identification. Because of the varied and changing contexts in which indigenous peoples live, and because there is no universally accepted definition of “Indigenous Peoples,” this policy does not define the term. Indigenous peoples may be referred to in different countries by such terms as "indigenous ethnic minorities," "aboriginals," "hill tribes," "minority nationalities," "scheduled tribes," or "tribal groups". For the case of Malawi, in terms of this policy, such groups will be referred to as vulnerable groups, and their characteristics in varying degrees are:

(a) Self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; (b) Collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; (c) Customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and (d) An indigenous language, often different from the official language of the country or region.

4. Involuntary Resettlement (OP/BP 4.12)

The developer will make dedicated efforts to avoid impacts on people, land and property, including people’s access to natural and other economic resources. Nevertheless, land appropriation, compensation, and resettlement of residents seem inevitable for certain types of projects in certain areas. This social issue is of crucial concern to the GoM and the Bank, because its impact on poverty, if left unmitigated, is negative, immediate, and widespread. A Compensation and Resettlement Guidelines (CRG) has been prepared by the government and approved by the Bank in compliance with OP/BP 4.12. The CRG provides guidelines for the Resettlement Action Plan (RAP) that must be prepared when any program investment triggers this policy. In some cases, the World Bank reserves the right to review any RAP as a condition for financing that particular project.

This policy would be triggered when a project causes the GoM to appropriate land or other assets resulting in: (i) relocation or loss of shelter, (ii) loss of assets or access to assets, and (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location.

This policy, in most cases, is not triggered because people are being affected by physical displacement. Typically, this policy is triggered because program activity requires appropriation of land, whereby a physical piece of land is needed and people may be affected because they are cultivating on that land, they may have buildings on the land, they may be using the land for water and grazing of animals, or they may otherwise access the land economically, spiritually, or any other way that may not be possible during and after the project is implemented. Therefore, people in most cases are compensated for their loss (of land, property, or access) either in kind or in cash, or both.

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 project construction to ensure that displacement or restriction of access does not occur before necessary measures for resettlement and compensation are in place. For projects 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

Environmental and Social Management Framework Roads Authority of Malawi 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.

Where there is a conflict between the laws of Malawi and the Bank’s OP/BP 4.12, the latter must take precedence if the Bank is to fund the project.

5. Cultural Property (OP/BP 4.11)

Cultural property includes sites having archaeological (prehistoric), paleontological historical, religious, and unique natural significance. The Bank will normally decline to finance a project that will significantly damage irreplaceable cultural property, and will assist only those projects that are sited or designed so as to prevent such damage.

It is not anticipated that the projects financed by the SATTFP will adversely affect sites having archeological, paleontological, historical, religious, or unique natural significance as defined under OP/BP 4.11. However, a screening mechanism is proposed to ensure that any such sites are identified and avoided, or impacts mitigated, in line with the cultural resources policy. The public, project contractors, and operators will be notified of the potential for chance finds, and chance find procedures will be included in construction contracts.

Environmental and Social Management Framework Roads Authority of Malawi

Annex 3: Environmental and social impacts and measures in the Road Sector

1. Identification of the environmental and social impacts

1.1 Effects related to Road Sitting g. Road Sitting

Sitting of a road is the most critical decision in road construction. It will largely determine the type and magnitude of environmental impacts (physical, social and economic). The following should be avoided: alignments through lands of indigenous peoples, protected areas, critical vegetation communities and wildlife habitat, lands unsuited to the land use changes that are likely to be brought about by both planned and unplanned results of the existence of the road, and locations where potential hazards exist.

1.2 Social Impacts a. Local Uncertainty

The local population generally hears rumors or stories about road projects well before construction or even land acquisition occur. During this phase the community generally lacks accurate detailed knowledge of the proposed activities and feels serious concern about the effects that the project will have on them. Since land acquisition affects people’s livelihood, this is a common matter for concern. People will frequently postpone making important changes to their property, income production or lifestyles while there is any uncertainty about the effects that they will suffer from the road project. b. Severance and social disruption

Roadways, particularly where they are major highways or involve steep embankments, can disrupt existing, long-established social relationships through making it physically difficult for people to move between houses or between communities. This affects not only foot traffic but also local transportation such as bicycles, horse-drawn vehicles, agricultural tractors, motorcycles and other forms of transport which do not combine well with high speed traffic. There is also the risk of affecting farmers’ access to their farmland, or between one part of their land and another, making it difficult to move livestock and machinery from one part of the farm to another. c. Disturbance to existing properties frontage, or public utilities

Where new roads are created or existing roads are widened there are likely to be impacts on existing property frontages or on public utilities such as water and electricity supplies. Both types of impacts involve costs, whether to individuals or to the community. d. Resettlement

This refers to resettlement where inhabitants are moved away from their original locality because their dwelling places or income earning land will become part of the right of way for a road. It is important to note that settlers who are occupying a proposed right of way illegally and who are moved to another location (or are forced to move themselves) should be included in resettlement programs. However, some consideration needs to be given to the length of settlement in the right of way – it is not unknown for people to move into a right of way after a project is announced so as to receive benefits such as compensation and resettlement.

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The major potential impacts of resettlement include:

− Adverse socio-economic impacts on both those resettled and on the host population. These impacts will occur for all groups but are likely to be greatest for ethnic minorities, the aged (who are less able to adapt to a new environment and changes in lifestyle), and groups who depend on a specific aspect of their present environment for their livelihood.

Groups, which have strong cultural ties to their present location, will require particular measures and may warrant diversion of the road to avoid having to resettle them. Examples include groups which have strong spiritual ties to a place or to a feature of a place and who believe that their existence as a people is dependent on those ties. Strong cultural ties to burial sites are also not uncommon.

− Conflict between those resettled and the host population. Very significant and long-term impacts can occur where there are major cultural differences between those resettled and the original population in the resettlement area. Not uncommonly these impacts are expressed as an ongoing lack of cooperation and communication that may escalate into overt violence.

Even without major cultural differences, there is likely to be resentment among the host population of those resettled into their area. This stems from a range of perceptions, including: the impression that those resettled are receiving preferential treatment from the government; feelings that the local resources are inadequate to support an increased population; and a general fear and distrust of outsiders.

− Adverse impacts on the environment in and around the resettlement area. New settlements make new demands on their environment. In addition, the preparation of the resettlement area, including the construction of infrastructure such as roads, houses, and water supplies, and the clearing of land for agriculture, are likely to have environmental impacts. These must be regarded as impacts of the original road project that caused the resettlement and must be assessed as part of that project.

New settlers in an area will lack the local ecological and resource management knowledge accumulated by local people over many generations. For this reason they are likely to engage in unsustainable resource exploitation. Even where they are aware of the environmental limitations of their new area, the depressed economic circumstances resulting from resettlement may force them to engage in unsustainable resource use merely in order to survive. e. Unrest and dissatisfaction over distribution of labor opportunities and other benefits

Road projects generally involve significant employment of unskilled and semi-skilled labor and also provide opportunities for gaining training or experience which provides access to future employment. If local communities, see these advantages going to outsiders there are likely to be reactions against the road project.

Similarly, the establishment of a large labor force in a concentrated locality generates opportunities for commercial transactions such as the provision of food and drink. There is a risk that local small business people will lose out on these benefits to outsiders who have experience in such interactions with projects. This can also cause or exacerbate dissatisfaction among local communities.

f. Disease risk associated with workers in labor camps

Environmental and Social Management Framework Roads Authority of Malawi

Workers in labor camps may be at risk of a number of diseases. These diseases may have an adverse impact on the road construction schedule, on the cost of the project, on the long-term health and income of the workers, and on the local population.

Typically, diseases and illnesses may be water borne, either through a vector associated with water, as in the case of malaria, dengue fever, and schistosomiasis, or directly through disease organisms in the water supply to the camp as in the case of amoebic dysentery. Some of the road workers may also be carriers of mosquito-borne diseases.

Attention should also be paid to sexually transmitted diseases, particularly HIV/AIDS. This may be brought into the area by infected road workers who then pass on the disease to the local population, possibly through the services of prostitutes. In other situations, particularly where a large labor force is involved, the labor camp may attract prostitutes from outside the local area, and this may introduce HIV/AIDS to the workforce and to the local community. g. Impacts on health and social well-being of local communities

The considerations involved here are much the same as for the previous heading (Disease Risks to Workers in Labor Camps). However, in addition, where construction crews are from different ethnic backgrounds to the local community there is the potential for misunderstandings and clashes. These difficulties can exacerbate other minor irritations caused by the presence of the construction workers and might lead to a lack of cooperation or even outright hostility. Where road workers remain in the area and become permanent settlers any small social frictions may develop into more open hostilities.

There is also the consideration that the changes brought about by improved access to the community may result in social and economic problems. Road projects improve access to communities and generally result in increased interaction between communities and outsiders who use the route. In some cases, such as where a locality develops into a refueling and refreshment stop for road users, this contact may be extensive. This can result in health impacts on local communities and in particular an increase in HIV/AIDS infections. h. Labor camp may become a permanent settlement

Labor camps that are located in the one place for long periods of time, particularly where workers have their families with them tend to become permanent settlements. This applies more to the temporary unskilled and semi-skilled construction workers than to skilled employees. Since such camps are typically constructed as temporary facilities their amenities, e.g. for waste and sewage disposal, are also of a temporary nature and not generally suited to long-term settlement. There is a general tendency for such settlements to take on slum-like characteristics. i. Population increase as a result of Immigration

The improved or new access provided by road construction may lead to a local population increase as a result of in-migration. Where this occurs gradually over a long period environmental impacts are less likely to be severe than where the increase occurs over a short time. Rapid population increases can result from road projects where: there is a major project being undertaken at some point along the road (e.g. a hydropower project); there are significant opportunities to exploit valuable resources somewhere along or adjacent to the road; or where there is a serious shortage of land for settlement or agriculture in other parts of the country.

Rapid increases in population can have significant impacts on the natural and socio-economic environment of the area, due to demands on local resources, the need for infrastructure, lack of waste disposal facilities, and conflicts with original communities.

Environmental and Social Management Framework Roads Authority of Malawi

These impacts of road construction can be difficult for existing government services to control because of the unexpected significant extra workload and possibly the imposition of new responsibilities for which staff are not trained or budgets are not available. j. Hazard when quarry or pits is abandoned

When quarries or borrow pits are abandoned after construction is completed they can become a hazard to local communities, either through the danger that they pose to people and livestock who might fall into them (whether full of water or not), or through disease risk resulting from the breeding of disease vectors (e.g. mosquitoes or snails) in water collected in them.

Abandoned quarries can also represent a significant visual impact on the landscape. k. Aesthetic visual impacts of quarries and borrow pits

Abandoned quarries and borrow pits can represent significant visual impacts on the landscape. Apart from the magnitude of the impact that these features cause directly, their presence can lead to an ongoing lack of consideration for visual landscape values in the area that encourages other impacts. l. Aesthetics visual impacts of right of way on landscape

Where roads pass through areas of high scenic value the intrusion of the road and associated earthworks and structures into the landscape may detract from those values. m. Destruction or lacking-in of archeological, historic and cultural values

Items of archaeological, historical and cultural value are important not only to local people but also as a source of tourism revenue, either now or in the future. It is therefore important that these values receive appropriate protection. Road works can destroy archaeological, historical and cultural values through direct physical damage. However, another impact comes about when the sites are not destroyed but are sealed under road surfacing. This has the effect of preventing scientific access to the material – possibly for very long periods of time. In such cases some decision needs to be made as to whether it is best to take the opportunity to carry out some recording of the site – possibly on a sampling basis, so as to have a better appreciation of the nature and value of the site and also to make at least some data available for present day use by experts.

The existence of archaeological sites is often unsuspected until artifacts are uncovered during construction work. Where there is some likelihood that archaeological sites exist along a route, an appropriately qualified person can be tasked with accompanying the equipment making the first earthworks, in order to identify sites of importance, as they are uncovered. There should be provision for work to be halted in a location for a defined period while the significance of uncovered sites is assessed. Similarly, there should be provision for further delays if it is determined that sites are of high significance.

Where roads provide new access by passing close to archaeological or historical sites there is the potential for loss or reduction of these values through the resulting improved access for illegal removal and vandalism.

Quarries pose a particular risk to pre-historic archaeological values through the destruction of caves and rock shelters. These sites frequently contain layers of debris in the floors which constitute a record of the lifestyles of the pre-historic population at the site, as well as a record of the ecology of the area at the time.

Environmental and Social Management Framework Roads Authority of Malawi

Quarrying in areas with caves or rock shelters not only risks totally destroying these sites but also carries a risk that they will be damaged by quarry staff.

1.3 Loss of ecological and productive values a. Loss of important species, communities, habitats and landscapes

Road projects can have significant impacts on important animal and plant species and communities as well as on landscapes.

These impacts are more common in the case of construction involving new right of way where there is destruction of habitats such as forest or wetland. However, where an area has been settled for some time human changes to the original ecosystem may mean that the only areas in which some species survive is in the remnants of the original ecosystem which persist along the sides or roads.

In general, the total area destroyed directly by the construction of a new road is not great – usually some tens of hectares – depending, of course, on the length of the road. However other factors can significantly increase the importance of this loss, including:

− Additional areas destroyed for labor camps, workshops, borrow pits, quarries, etc.; − Areas impacted by harvesting of fuel-wood, cutting construction timber for camps, formwork, etc. − Impacts of induced development (in-migration, opening of agricultural land, logging, industrial areas) resulting from road construction; and − Dividing of home ranges of some species by the road, thus reducing the effective habitat area. b. Loss of roadside vegetation

Roadside vegetation can have a range of important functions, including:

− Providing shade to travelers; − Providing visual amenity; − A source of vegetable and animal food for local people; − A source of building material for local people; − A habitat for plant and animal species; − A migratory pathway for bird, mammal, reptile and insect species; and − A corridor for wildlife between otherwise separated vegetation patches.

Road widening projects typically remove roadside vegetation – often unnecessarily. Similarly, road construction projects tend to clear the whole width of the right of way, even though this is seldom necessary. Median strips between divided traffic lanes are also frequently cleared of vegetation for no good reason.

In some cases cleared verges and median strips are replanted with exotic species – these generally do not provide an equivalent ecological function to native species and may be (or become) pest species. c. Loss of riverside vegetation

Riverside vegetation performs a number of highly significant ecological functions. These are frequently essential to the maintenance of aquatic systems and should be strenuously protected. The functions of riverside vegetation (and also usually of vegetation beside lakes and ponds) include:

Environmental and Social Management Framework Roads Authority of Malawi

− Shading of water to maintain temperatures within ranges in which aquatic life can live; − Supporting aquatic food chains through inputs of vegetative material, either directly through leaves and branches falling into the water, or indirectly as run-off of decomposed matter from the leaf layer under the vegetation (non-native vegetation species generally do not provide good food sources since native decomposing organisms are not adapted to break down the exotic plant material); − Providing habitat for species such as insects which become part of the aquatic food chain; − Creating breeding, shelter and feeding habitat for aquatic species when trees and larger branches fall into the water (non-native species do not provide such good habitat as they do not decompose as readily to provide hollows); − Preventing bank erosion during peak flow periods; and − Trapping sediment flowing from land-based sources that would otherwise raise turbidity in the water. d. Spoil disposal leading to loss of habitat

Spoil disposal can lead to loss of habitat through direct covering of habitat (usually only significant in the case of highly endangered or highly restricted habitats) or through erosion of disposal areas leading to sedimentation of (usually aquatic) habitats. e. Loss of roadside water supplies

It is not unusual for roadside pools (including abandoned borrow pits) to become an important source of water during the dry season. In some cases these pools are also part of the local protein supply through the fish and other aquatic life caught there. They may also be used for washing livestock such as buffalo and as places for harvesting reeds and other water plants for roofing or construction.

Road widening projects have the potential to destroy these water supplies, at least temporarily and possibly permanently. f. Disruption to groundwater supplies

Quarrying, particularly in limestone areas, can disrupt groundwater supplies by rupturing impervious layers and allowing the water stored in the aquifer to escape into deeper formations. This can have impacts over very extensive areas and can completely destroy community and agricultural dry season water supplies. g. Disruption to animal migrations

Roadways can block or disrupt animal migrations. This usually occurs as a result of the break in the habitat that roads create. A very wide range of animal groups can be affected, ranging from elephants to very small animals such as mice and squirrels. Where roads cross waterways they can impact the migrations of aquatic species such as fish and frogs. For some species this involves moving with advancing floodwaters across areas which are dry for much of the year and are therefore not obviously fish migration routes. It is important to obtain local knowledge of fish migrations and the water conditions which such migrations require.

Since animals undertake migrations in order to meet some biological need (e.g. moving to seasonally available food sources or breeding areas) disruption of migration routes can result in the loss of the affected animal population.

Local communities should always be surveyed to gather information about animal migrations in their area before the construction of a new right of way.

Environmental and Social Management Framework Roads Authority of Malawi

h. Impact on local resources through demand for fuel, food, food and building materials

The establishment of labor camps and workshops can impact on the local resource base in a number of ways, including:

− Cutting of trees for fuel for cooking and heating; − Harvesting plant and animal products for food; − Buying up of locally produced food supplies so that there is insufficient for local people (who may be unable to pay the high cash prices paid by construction crews); and − Cutting of trees, reeds, etc., for construction of camp buildings and workshops.

In addition, trees may be cut for fuel to heat bitumen.

All of these factors can adversely impact both the local ecology and the local communities. i. Impact on local wildlife through recreational activities by workforce

It is not uncommon for construction crews to engage in hunting or trapping of local wildlife during their free time. This may be done for relaxation or in order to vary their protein supply. Impacts can be quite severe where there is a large workforce or where the local wildlife is rare, endangered, or merely susceptible to disturbance. Such impacts can also affect local human populations where they make it more difficult for them to secure necessary protein supplies. j. Post construction increase in harvest of environmentally sensitive products

One of the most significant secondary impacts of road projects can be the increase in harvesting of environmentally sensitive products. This most commonly occurs as a result of improved access to markets, either because transport times are reduced (as in the case of fresh fish and meat from wildlife) or because bulky items can be more easily transported (as in the case of timber). Additional pressure leading to increased harvests comes from the increase in population resulting from in-migration following road construction.

A particularly damaging situation occurs when roads promote trade in wildlife. This happens most often when a road is constructed in or near an area with high wildlife values and also runs to or across an international border.

Prior to road construction harvesting of food and construction products will generally be for subsistence purposes or perhaps for manufacture of easily transported products – in any case, volumes sold out of the area will have been limited by the difficulties of transport. In such situations the level of harvest is commonly sustainable.

When roads provide greatly improved access to markets local people are likely to take advantage of this opportunity to increase their income by increasing the amount of resources that they harvest. In many cases they are actively encouraged in this by buyers from outside the area who now have access. The ability to sell greater volumes of the resource can lead to the introduction of more “efficient” harvesting technology that might previously have been unnecessary. Such new technologies might not only harvest more of the resource, they may also cause damage to the ecosystem in the harvesting process, thereby exacerbating the un-sustainability of the process.

The end result of the improved access to markets for local products may be that these are quickly exhausted, leaving the people in a worse situation than they were before road construction. k. Introduction of plant and animal pest

Environmental and Social Management Framework Roads Authority of Malawi

Bringing heavy equipment and construction supplies into an area has the potential to inadvertently introduce plant and animal pests to the area. Introductions of pest species in this way can easily cross international borders. Such pests can have a very significant long-term impact on the environment and the economy.

Ways in which pests are typically introduced through road construction projects are by seeds carried in mud and dust on construction equipment and by animals which are carried in the spaces in materials such as pipes.

Animal pests, particularly reptiles and amphibians, can similarly be transported long distances. l. Loss of agricultural land

Agricultural land, already leveled and cleared, provides what seems an ideal alignment for roads. The loss of land to the right of way itself may be relatively insignificant, though it still may be significant in local terms. However, the development attracted to the area by the improved access created by the road (induced development), coupled with increasing land values along roads, can lead to conversion of large tracts of agricultural land to other uses. This potential conversion needs to be considered in planning and in impact assessment.

In general roads, particularly national roads, should not be routed through agricultural land. m. Impediment to mineral resources exploitation

It is unlikely that a road would totally prevent access to an important mineral deposit. However it may happen that a road or highway is placed in such a location that it makes exploitation of a mineral deposit difficult or more expensive. Regard also needs to be had to the settlement and industry likely to locate itself along the road. These will cover much larger areas than the road itself, and can block access to underlying mineral deposits.

1.4 Hydrological and water resources a. Affect of sediment on water bodies

Sediment has a variety of harmful impacts on water bodies. The overall effects of these are to reduce the productivity of aquatic systems, reduce important functions such as flood control and water supply, and affect human health.

This impacts the environment in a number of ways, such as preventing light penetration which inhibits the growth of aquatic vegetation and reduces the chances of fish seeing their prey to capture it. Waters with high turbidity tend to have higher temperatures and lower dissolved oxygen concentration - this can lead to the death or reduced breeding success of aquatic organisms.

Suspended sediment, particularly clay particles, can provide a site for harmful bacteria which makes them more difficult to eliminate through normal water treatment processes. This can have human health impacts as well as increasing the cost of treating water supplies to an acceptable quality.

Increased turbidity can also reduce or remove the aesthetic/visual values of a water body.

− Settling of sediment on the bottom of the waterway;

- Settling of sediment can have a wide range of impacts: - Smothering aquatic plants and bottom living organisms; - Covering fish spawning areas and food supplies;

Environmental and Social Management Framework Roads Authority of Malawi

- Reducing the capacity of channels to carry water, thus affecting functions such as flood regulation, water supply, and navigation.

− Interference with aquatic organisms; and

- Sediment particles in the water can harm the gills of fish and block the filtering mechanisms of filter-feeders such as mollusks. - b. Erosion and Sedimentation

One of the major direct environmental effects of road construction (particularly of rural roads) is erosion and subsequent sedimentation. Construction in the rainy season, or improper construction methods which leave soils exposed unnecessarily after dry season construction, can lead to significant erosion. Improper drainage from roads in areas of high rainfall can ruin roads and have adverse impacts on adjacent land, particularly in steep areas. Even during the dry season, or in areas of generally low rainfall, if the drainage and erosion prevention is badly designed, a short but intense rainfall can cause significant erosion downstream of road drainage. Erosion is not only damaging to land and vegetation but also causes serious sedimentation problems in nearby surface waters. c. Impacts on drainage

The design of roads can have detrimental impacts on the drainage of surrounding areas. For example, roads built on embankments which interfere with cross drainage, and roads on causeways which do not allow adequately for maintaining natural water flows can permanently impair the biological cycles and productivity of wetland ecosystems. Similarly, roads can cause flooding of adjacent areas by blocking the flow of water. Road works which cause damming of run-of water can also raise the groundwater table, with detrimental impacts on crops, vegetation and water supplies.

Road works can also lead to diversion of water away from wetlands and water supplies. This can have significant impacts on both wildlife and human populations.

Attention needs to be paid not only to natural drainage but also to existing constructed drainage systems. Local irrigation channels (sometimes indistinguishable from roadside drains) can be crucial to the production of dry season crops.

Where road works divert water from its previous course this can lead to flooding impacts in the area receiving the diverted water. d. Removal of material from river and stream beds

Removal of sand, gravel and rocks from streams can have a number of significant impacts, including:

− Destruction of breeding, feeding and shelter habitats of fish and other aquatic life; − Increase in sediment load of downstream water through disturbance; and − Changes in bottom profile leading to changes in direction and velocity of water flow – this then leads to changes in direction and flow of water which can cause erosion of stream base or banks. Where banks erode there is likely to be secondary impacts due to the loss of riparian vegetation and deposition of sediment downstream. e. Erosion due to changes in drainage

Environmental and Social Management Framework Roads Authority of Malawi

Where drainage is diverted by road works the increased flows in the discharge area can cause severe erosion. This might happen at the point where water is released from a drainage structure, or further downstream where a number of drainage discharges come together to produce high flow volumes. f. Spoil disposal leading to sedimentation

Spoil disposal can lead to severe sediment impacts, particularly where spoil is disposed of in steep areas or into or near watercourses, or where spoil is not properly stabilized.

1.5 Traffic impacts a. Traffic impacts of mobilizing equipment and movement during the construction

The movement of large equipment along public roads introduces risks of traffic accidents, particularly when such equipment is over-width or over-length.

In addition, movement of equipment during construction is often along or across lanes being used by normal traffic. This poses a risk of collision between construction equipment and normal traffic. b. Traffic flow disruption due to road bed construction

Normal traffic flows can be severely disrupted by roadbed construction. This can have economic as well as human health impacts.

1.6 Traffic accidents on complete road

Any project which generates increased traffic or results in higher travel speed will have a potential risk of increased numbers of traffic accidents.

1.7 Air, water and noise pollution a. Water pollution from sewage and rubbish disposal

Labor camps can generate large quantities of wastes which have the potential to impact on the quality of nearby water supplies as well as on landscape and wildlife values. In addition, where human waste from labor camps pollutes local water supplies this may cause health problems for local people.

Rubbish from labor camps can have a variety of impacts, including providing a breeding place for flies and other vermin, being spread around the countryside by wind and animals to reduce visual values, attracting wildlife to feed on rubbish with the wildlife possibly becoming a local pest or suffering impacts from improper foods. b. Oil pollution during construction

Oil pollution can arise from a range of sources during road projects. These include:

− Improper disposal of oil and grease during maintenance; − Leaks from fuel and lubricant stores and leaks and spills during filling of storage tanks; − Oil leaks from machinery such as generators; and

Environmental and Social Management Framework Roads Authority of Malawi

− Pollution from bitumen and solvents during storage or while applying bitumen surface, especially when application happens during rain periods.

Oil pollution does not need to be a major spill in order to create impacts. Significant impacts can also arise from continuous small amounts of oil pollution over a period of time. The most serious impacts tend to happen when the oil reaches water bodies, but pollution of habitats can also lead to impacts.

The most damaging aspects of oil pollution are the toxic effects of the more volatile components and the coating of organisms with oil which affects their ability to function. This latter effect can result from interfering with respiration (e.g. of invertebrates or small vertebrates), from hindering movement, or by other effects such as the loss of insulating properties of fur and feathers when coated in oil.

c. Run-off or slumping of stockpiles into stream

Stockpiles of earth, sand or other building materials should not be placed adjacent to watercourses. Under the effects of rain and wind these materials can move into streams leading to significant local and sometimes more widespread impacts. d. Run-off of sediment-laden or polluted water from quarries and pits

Heavy rain can lead to accumulated dust and sediment being flushed out of quarries and pits and carried into nearby water bodies. The section on Effect of Sediment on Water bodies describes the potential environmental impacts of this. e. Highway run-off pollution

Surface run-off from highways may contain sufficient fuel drip page and spilled materials (including toxic and hazardous materials) to adversely affect aquatic ecology and environmental aesthetics. f. Accidental spills of hazardous material during operation

Some materials can have significant environmental impacts if spilled on roadways. This might occur as a result of a container falling from a vehicle or through the vehicle being involved in an accident. While significant effects are usually localized, the accidental introduction of some substances into waterways can have widespread impacts. Some pesticides fall into this category. g. Noise pollution in nearby settlements and wildlife areas

Noise pollution can have significant impacts on human health, including damage to hearing and increasing stress levels. It can be particularly impacting in the vicinity of hospitals and similar institutions. Noise can significantly disrupt teaching in schools and can result in significant production losses and even death of stock in intensive livestock rearing facilities.

Where there are wildlife breeding areas (e.g. wetlands with breeding water birds) close to production sites the breeding success of these can be significantly reduced through such impacts as: preventing courtship behavior and nest building; causing stress to parent animals that affects their ability to forage for food; disturbing parent animals so that they abandon young animals; and causing adults or young to stampede with resultant deaths and injuries. h. Vibration impacts during construction phase

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Vibration can damage building structures and service infrastructure as well as having a psychological impact on residents. The most serious vibration impacts come from pile-driving, though the operation of heavy equipment can also cause vibration impacts. i. Noise impact from road operation

The movement of vehicles along roads can have serious impacts, particularly on residential areas, schools and hospitals. j. Air pollution during construction phase

The major source of air pollution during the construction phase is dust and similar particulate matter. This can arise from:

− The operation of equipment such as rock crushers; − Movement and operation of construction machinery along the roadway and access tracks; − Dust blowing off loads of fill as they are transported; − Dust blowing from stockpiled material; − Loading and unloading of fill; and − Normal traffic using the unsealed road surface or bypass lanes.

Air pollution can also arise from the emissions from motors of equipment and vehicles used in road construction and from long lines of normal traffic waiting to pass through the construction area. This may become a problem locally for construction crews or for local residents.

Short-term exposure to high levels of dust can lead to immediate health problems through causing or exacerbating bronchial complaints and sinus and eye conditions. In addition, long-term exposure to some types of dust can have the additional impact of causing lung disease which can ultimately be fatal. Workers in quarries and rock-crushing plants are particularly susceptible to this condition.

In addition, dust can impact on crops in a variety of ways, including:

− Preventing or reducing pollination fertilization, with resultant crop loss or decrease; − Destroying natural protective leaf coatings and rendering the crop less healthy or more susceptible to disease and pests; − Reducing photosynthesis by blocking sunlight falling on leaf surfaces, thus reducing plant growth and seed/fruit production; and − Lowering market value of leafy vegetables. k. Dust and air pollution from road operation

Traffic passing along a completed road gives rise to dust and air pollution, even where the road has a hard surface. The most significant pollutants will be carbon monoxide and lead (where leaded fuels are in use). Lead in particular can have significant health impacts, particularly on children. Busy roads should not be sited close to school buildings.

1.8 Post project maintenance a. Impacts due to poor maintenance

Road maintenance plays an important role in avoiding or reducing ongoing impacts of road projects. Impacts such as erosion and sedimentation and road accidents are exacerbated by inadequate maintenance. Gravel roads are even more dependent on adequate and regular

Environmental and Social Management Framework Roads Authority of Malawi maintenance than are bitumen roads. Without such maintenance, gravel road sections can deteriorate and eventually become a transport bottle-neck in the local road system.

Whether or not a road is properly maintained after completion of construction or upgrading will depend on the capacity of the responsible authority to carry out maintenance – this in turn depends on the availability of adequate numbers of appropriately trained staff, appropriate equipment and adequate funding. Impact assessment of road projects should take capacity to carry out proper maintenance into account in identifying and evaluating impacts.

2. Environmental and Social Management Plan

RA should request an Environmental and Social Management Plan (ESMP) for every road project, irrespective of whether an ESIA has been carried out or not in order to make sure that the “Environmental Code of Practice for Road Works – ECPRW” is followed and, in case an ESIA was carried out, to ensure that mitigation measures proposed are implemented satisfactorily and timely. If an ESIA is carried out for a project, the ESMP will form an integral part of the ESIA. If not, the Roads Authority assisted by an environmental consultant, should prepare the ESMP.

2.1 Contents of the ESMP

− The findings and recommendations of the EIA study; − The Environmental Code of Practice for Road Works; − Relevant environmental standards; − Other relevant pieces of legislation; − Other government agency input; and − Outcomes of community consultation.

An ESMP should contain the following elements: i. An implementation plan for management of environmental and social impacts of the project, including: − Mitigation measures to be incorporated into the detailed design, − Construction phase activities, − Operation phase activities; ii. An emergency plan for accidents and spills, covering: − Construction phase, − Operation phase; iii. An environmental monitoring plan, covering: − Construction phase, − Operation phase; iv. Reporting requirements by: − Roads Authority, − Contractor; v. Cost estimates and funding sources to implement the ESMP; and

Environmental and Social Management Framework Roads Authority of Malawi vi. Construction guidelines that specifically address how the contractor will incorporate environmental considerations into the works.

The ESMP also should include an Environmental Emergency Plan in order to identify critical incidents and vulnerable areas and populations during construction and operation of a road; and Environmental Monitoring Plan, in order to follow-up the environmental and social measures during the construction phase (but it may also be extended in some cases to the operational phase).

2.2 Environmental and Social Measures

Table No. 4 presents a summary of the environmental and social measures to prevent, mitigate and/or compensate the potential negative impacts for the road rehabilitation project.

Table: Environmental and Social Measures

Phase Environmental and Social measures Mobilization Phase:

− Vegetation clearance in − Such vegetation clearance will try as much as possible to avoid indigenous road reserve trees and minimum and necessary clearance will be enforced to reduce vegetation loss. − The sitting of temporary projects infrastructure (borrow pits, access roads, road upgrading camps, stockpiling areas) should avoid woodlands and wetlands. − Vegetation clearance for temporary infrastructure should be limited to the minimum. Areas cleared of vegetation should be re-vegetated to prevent soil erosion. However, plants and grasses for re-vegetation should be sourced within the project area to avoid introduction of exotic species. − Clearance of the vegetation should be limited to the core area of the project. In this case the diversions to accommodate traffic should be established within

the ROW i.e. within the road reserve not beyond 60 m.

− All road diversion should be closed when they are no longer in use, to allow

the vegetation to recover.

− Notify the Engineer by giving the nature and location of the findings. The − Disturbances to Engineer will consult the National Museums of Malawi. historical and archaeological findings − The Contractor shall exercise necessary care so as not to damage artifacts or fossils uncovered during excavation operations and shall provide such during site clearance cooperation and assistance as may be necessary to preserve the findings for

removal or other disposition by the employer.

− Where appropriate by reason of a discovery, the Engineer shall order delays in the time of performance or changes in the work, or both. If such delays, or changes or both are ordered, the time of performance and contract price shall

be adjusted in accordance with the applicable clauses in the Contract

Conditions.

Environmental and Social Management Framework Roads Authority of Malawi

Construction Phase: Physical Biological Impacts

− Loss of farmlands for − Through public consultation, the used borrow pits wherever they will be borrow sites or sources found, may be used as water sources for livestock, if the community requests of construction for that. Such borrow pits will be identified and their banks will be made with materials gentle slopes to avoid abrupt vertical falls of animals and children just in case they are used as swimming places. − Part of the charges for purchase of construction materials shall be channeled back for the rehabilitation or reinstatement of the borrow areas.

− Loss of farms along the − Compensation in places where the farm cannot be avoided or left in place road reserve

− Contamination of water − Hydrocarbon spills around construction camps and working sites should be from leakages (oil and avoided to minimize health hazards to water sources. grease) of fuels and − Refueling of construction equipment shall not be permitted within 100m of lubricants from the the water sources. Thus, the contractor must ensure that unnecessary activities construction equipments should not be done near the swampy area. − Dripping pans shall be used while servicing the construction equipment. − Any construction equipment dripping oils and lubricants shall be withdrawn from work until the leakages are sealed. − Dripping pans to be used to contain all hydrocarbon leakages on construction equipments − Refueling on designated areas. − In case of hydrocarbon spills, the contaminated soils will be collected and treated to remove the hydrocarbon and prevent the hydrocarbons from being washed away into water bodies. The contaminated soil can be treated by applying different remediation technologies like Phytoremediation, chemical treatment or soil washing.

− Poor air quality from − Water sprinkling to reduce the dust at the construction site. dust and emissions − Use of dust masks to operators and those working in the dusty areas. around the construction − Use of goggles for all operators. site and material hauling − Construction machines/equipment will be well maintained to ensure total fuel routes combustion. All vehicles involved in construction works will be frequently checked and well serviced during the whole road construction period so that the level of exhaust emissions is reduced. − Speed of vehicles hauling construction materials will be reduced and the construction materials will be covered with tarpaulins.

− Poor disposal of solid − Biodegradable materials wastes such as food leftovers, cardboards, papers will and liquid waste be collected and disposed off along with other wastes in the required disposal site. Other materials such as plastics, metal straps, reinforcing bars, unusable timber crates, steel cable pieces, pipes, etc., will be collected and recycled. − The wastewater will be collected or septic tanks and disposed off to the designated wastewater disposal points. − Upon completion of construction activities, all construction waste materials such as unusable aggregates with concrete debris, chip pings, sand will be sieved and the good one will be separated for reuse at other sites by the contractor, the residuals will be disposed as solid wastes. Socio-Economic Impacts

− Increase in traffic levels − Only essential traffic will be allowed to the construction site to the surrounding area − Sensitization of the communities about the increased traffic leading to increased − Alternatively finished materials such ready-made concrete products, pre-cast accidents elements or pre-assembled materials can be delivered at site only when the need arises.

Environmental and Social Management Framework Roads Authority of Malawi

− Noise pollution − Noises emitted from borrow and quarry sites, asphalt plants and the road construction equipment will add to an existing noise problem. Noise from traffic and the construction activity are anticipated to be temporary, the residents have to be notified when the noise expected is high, but for construction workers exposed to noise of the order above 85 dB (A) will be provided with the ear protective devises such as ear muffs and ear plugs. Also to safeguard health and safety of the workers, the contractors will be required through contractual arrangements to supply safety gear including coveralls, overalls, hard hats, goggles, dust-masks, etc.

− Reduced access for local − Traffic management shall be put in place including itineraries for the site communities traffic on daily basis. − Prepare and install temporary traffic signs that are legible both during the day and at night indicating that the road works are in progress. − Contractor should always set aside an alternative detour/route to avoid misunderstanding with those on emergency trips.

− Involvement of child − Conduct education and awareness to communities in relation to child labor labor and truancy − Ensure that casual labors are recognized by village, government leaders in order to avoid/combat child labor

− Socio-cultural changes − Sensitization of the communities will help making the families understand how to deal with the incoming challenges.

− Increased risk to − Proper warnings on boards or posts will be provided to control unwanted construction/project visitors from entering the construction site. personnel − Sensitization and training of the surrounding communities regarding the risks associated with construction activities. − Constant surveillance for security to make sure that there are no "uninvited guests" in the project area. − Proper occupational and health safety training programs should be done − All employees working on the construction site will be sensitized to use Personal Protective Equipment (PPE) when at work to avoid occupational risks. Such equipment include hard hats, ear plugs or ear muffs, dust coats or overalls, gloves, dust masks, goggles for eye protection, hard toed boots, etc.

− Destruction of utilities − Compensation in places where properties cannot be avoided or left intact.. and services within right − Road alignment to be changed where possible to avoid relocating some of the of way expensive properties. − Structures outside the construction width but within the road reserve may be left intact during the initial stages but with time they will need to be relocated to pave way for future expansion of the road if any. − Businesses permanent and temporary along the ROW will be displaced to allow for construction activities. Displacement may be temporary where the business is close to construction works but not within the road reserve.

− Increased transmission of − Sensitization and health awareness campaigns to all involved in the project communicable diseases including service providers. − Construction workers to undergo health screening according to the National HIV/ AIDS Policy. − Project will assist the nearby health facility in sensitization of those involved in a project.

− Resettlement of properties − Illegal occupants will be allowed to harvest their crops and no plating more crops after the harvest. − Those within 30m from the center line of the road alignment, valuation of their properties will be carried out and resettlement plan will be prepared to

Environmental and Social Management Framework Roads Authority of Malawi

take care of these properties. − Alternatively, structures outside the construction width but within the road reserve may be left intact during the initial stages but with time they will need to be relocated to pave way for future expansion of the road.

Operation Phase

− Increase in HIV/ AIDs − Contractor to initiate STD and HIV/ AIDs awareness campaigns at the labor cases camps and settlements along the project roads. − Contractor to arrange for facilities for games and other recreation activities for labor after work. Such activities shall include common sports activities in the project area.

− Encroachment on the road − Provide concrete bollards or similar at 200 m intervals along the project road reserve to demarcate the road reserve.

− Increased numbers of − Strategically placed warning road signs for drivers will ensure reduced risk. road kills Public awareness on the road use will be emphasized including providing safe and dedicated access to pedestrians and bicyclists.

− Soil erosion − Placement of adequate culverts and open channels to avoid overflow, thus carry storm water to the main channels. − Soil control measures on the slopes such as re-vegetation with flat growing grass particularly with the local species − Reinstate the gullies with the spoil.

− Flooding − The road section in that area should be designed in a way that controls flooding of the road, e.g. to be uplifted and the flood diversion areas be designed to enhance flood ways of storm water and thus avoid flood dangers.

Demobilization Phase: − Packaging materials, useless papers, wood and steel crates, cardboard, wrapping materials, boxes, sacks, drums, cans and chemical containers and any other unused materials. − During demobilization such kind of waste needs proper management otherwise it may turn out to be a nuisance and they can even cause diseases. However, all useful materials shall be moved from site. The wastes generated in this phase will receive the treatment. − For socio-economic impacts, protection of access to livelihood resources for affected populations; and initiatives to ensure sustainable community benefits, including employment, training, assistance with social service infrastructure development and social service delivery (in partnership with government and community based groups).

Source: ESIA, Environmental Consulting Benchmark, July 2011

3. Environmental and Social Monitoring Plan

Monitoring is the long-term process that normally begins at the start of the project and should continue throughout the life of the project. Its purpose is to establish benchmarks so that the nature

Environmental and Social Management Framework Roads Authority of Malawi and magnitude of anticipated environmental impacts are continually assessed. Therefore, monitoring involves the continuous or periodic review of mitigation activities to determine their effectiveness. Consequently, trends in environmental degradation or recovery can be established and previously unforeseen impacts can be identified and dealt with during the project road's life.

The Monitoring Plan included in the ESMP specifies the type of monitoring, who will do it, how much it will cost to carry out monitoring and what other inputs, such as training, are necessary.

Environmental and Social Management Framework Roads Authority of Malawi

Annex 4: Guidelines to prepare the Environmental Studies required by Law

4.1 Environmental and Social Impact Assessment (ESIA)

Executive Summary

Stand-alone, comprehensive, and summarizing of all salient points of the ESIA—should not exceed 15 pages.

Acknowledgments

Acknowledgments to all of those who were instrumental in the conduct and completion of the ESIA.

1. Introduction

Explains the purpose, structure, and audience of the ESIA, as well as the World Bank’s and Malawi’s needs for the ESIA.

2. Project Description

Describes the project in detail, including goals, objectives, beneficiaries, outcomes, value, schedule, and implementing bodies.

3. Legal and Administrative Framework

− Describes the main legal instrumentation for environmental control and management, particularly specific instrumentation regarding the type of project (for example, hydropower/dams), and the general effectiveness of the legal instruments. Indicates government bodies responsible for each of the relevant instruments.

− Lists relevant ratified international conventions, and where appropriate and relevant, a track record to confirm compliance with those conventions.

− Describes the institutional framework for administration of the relevant environmental legislation and implementation of policy, and analyzes the capacity and effectiveness of institutions.

4. Project Alternatives

Discusses the various project alternatives that were considered and weighs the environmental merits of each. Rationalizes the selected project on various grounds, including environmental aspects.

5. Methodology

Describes how the assessment was conducted, including: screening, scoping, and bounding; composition of the assessment team; impact scoring system used (if used); the public participation program (refer to annex A7.3); sources of data and information; field studies conducted; and other major inputs to the assessment.

6. Biophysical and Social Environment

Describes both the physical and social environment in which the project will take place, including soils, fauna, flora, protected areas, other special areas, biodiversity, population, ethnicity, relevant cultural patterns and traits, employment, health and relationship of the people to the resources, land use, and development patterns. Some of these areas will be surveyed to obtain primary data.

Environmental and Social Management Framework Roads Authority of Malawi

7. Potential Environmental and Social Impacts

Identifies the important potential impacts (biophysical and social), the most effective mitigation to conduct, the residual impacts to be expected, and the cumulative effect to be expected. Impacts may or may not be rated on a scale of, for instance, very significant, significant, moderately significant, low significance, or no significance.

Includes descriptions of World Bank Safeguard Policies that may be triggered and how these will be addressed.

8. Environmental Management

− Includes a detailed description of how each of the impacts will be mitigated along with cost, scheduling, and the responsible body.

− Includes a monitoring procedure with schedule, cost and responsibilities, as well as a monitoring feedback mechanism.

− Includes a self-assessment of institutional capacity-building needs for effective environmental management with a schedule and cost of various types of the capacity building required.

9. Literature Cited

A complete reference to all literature cited in the assessment and preparation of the ESIA report.

Annexes

Various volumes covering separate studies (for example, social assessment, biological studies, and others) as well as an annex including detailed descriptions of impacts and most effective mitigations.

Environmental and Social Management Framework Roads Authority of Malawi

4.2 Environmental and Social Management Plan (ESMP)

1. Description of Adverse Impacts

Anticipated impacts are identified and summarized.

2. Description of Mitigation Measure

Each measure is described with reference to the effects it is intended to address. As needed, detailed plans, designs, equipment description, and operating procedures are included.

3. Description of Monitoring Program

Monitoring provides information on the occurrence of impacts. It helps identify how well mitigation measures are working, and where better mitigation may be needed. The monitoring program should identify what information will be collected, how, where, and how often. It should also indicate what level of impact will trigger a need for further mitigation. How environmental impacts are monitored is discussed below.

4. Responsibilities

The people, groups, or organizations that will carry out the mitigation and monitoring activities are defined, as well as to whom they will report and be responsible. There may be a need to train people to carry out these responsibilities and to provide them with equipment and supplies.

5. Implementation Schedule

The timing, frequency, and duration of mitigation measures and monitoring are specified in an implementation schedule and linked to the overall project schedule.

6. Cost Estimates and Source of Funds

These are specified for the initial project investment and for the mitigation and monitoring activities as the project is implemented. Funds to implement the environmental and social plans will predominantly come from the developer, with possible assistance from the SATTFP.

Environmental and Social Management Framework Roads Authority of Malawi

Annex 5: Guidelines to prepare the Safeguards Studies required by the World Bank

5.1 Chance Finds Procedures

Contracts for civil works involving excavations should normally incorporate procedures for dealing with situations in which buried Physical and Cultural Resources (PCR) are found unexpectedly. The final form of these procedures will depend upon the local regulatory environment, including any chance find procedures already incorporated in legislation dealing with antiquities or archaeology.

Note: The general guidance provided applies when there will be an archaeologist on call. In exceptional situations in which excavations are being carried out in PCR-rich areas such as a United Nations Educational, Scientific, and Cultural Organization World Heritage site, there will normally be an archaeologist on site to monitor the excavations and make decisions. Such cases will require a modified version of these procedures, to be agreed upon with the cultural authorities.

Chance find procedures commonly contain the following elements.

1. PCR Definition

This section should define the types of PCR covered by the procedures. In some cases, the chance find procedure is confined to archaeological finds; more commonly it covers all types of PCR. In the absence of any other definition from the local cultural authorities, the following definition could be used: “movable or immovable objects, sites, structures or groups of structures having archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance.”

2. Ownership

This paragraph should state the identity of the owner of the artifacts found. Depending on the circumstances, the owner could typically be the state, the government, a religious institution, the landowner, or it could be left for later determination by the concerned authorities.

3. Recognition

This is the most difficult aspect to cover. As noted above, in PCR-sensitive areas, the procedure may require the contractor to be accompanied by a specialist. In other cases, the procedures may not specify how the contractor will recognize a PCR, and a clause may be requested by the contractor disclaiming liability.

4. Procedure upon Discovery

Suspension of Work

This paragraph may state that if a PCR is found during execution of the works, the contractor shall cease activity. However, it should specify whether all works should cease, or only the works immediately involved in the discovery, or, in some cases where large buried structures may be expected, all works may be stopped within a specified distance (for example, 50 meters) of the discovery. This issue should be informed by a qualified archaeologist.

After stopping work, the contractor must immediately report the discovery to the resident engineer.

The contractor may not be entitled to claim compensation for work suspension during this period.

Environmental and Social Management Framework Roads Authority of Malawi

The resident engineer may be entitled to suspend work and request that the contractor provide excavations at the contractor’s expense if the engineer thinks that a discovery was made and not reported.

Demarcation of the Discovery Site

With the approval of the resident engineer, the contractor is then required to temporarily demarcate and limit access to the site.

Non-suspension of Work

The procedure upon discovery may help the resident engineer decide whether the PCR can be removed and work can continue, for example, in cases where the find is one coin.

Chance Find Report

The contractor should then, at the request of the resident engineer, and within a specified time period, complete a Chance Find Report, recording:

▪ Date and time of discovery; ▪ Location of the discovery; ▪ Description of the PCR; ▪ Estimated weight and dimensions of the PCR; and ▪ Temporary protection implemented.

The Chance Find Report should be submitted to the resident engineer and other concerned parties as agreed upon with the cultural authority and in accordance with national legislation. The resident engineer, or other party as agreed, is required to inform the cultural authority accordingly.

Arrival and Actions of Cultural Authority

The cultural authority ensures that a representative will arrive at the discovery site within an agreed upon time, such as 24 hours, and determines the action to be taken. Such actions may include, but are not limited to:

− Removal of PCR deemed to be significant; − Execution of further excavation within a specified distance of the discovery point; or − Extension or reduction of the area demarcated by the contractor.

These actions should be taken within a specified period, for example, seven days.

If the cultural authority fails to arrive within the stipulated period (for example, 24 hours), the resident engineer may have the authority to extend the period by a further stipulated time.

If the cultural authority fails to arrive after the extension period, the resident engineer may have the authority to instruct the contractor to remove the PCR or undertake other mitigating measures and resume work. Such additional works can be charged to the contract. However, the contractor may not be entitled to claim compensation for work suspension during this period.

Further Suspension of Work

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During this seven-day period, the cultural authority may be entitled to request the temporary suspension of the work at or in the vicinity of the discovery site for an additional period of up to, for example, 30 days.

The contractor may or may not be entitled to claim compensation for work suspension during this period. However, the contractor will be entitled to establish an agreement with the cultural authority for additional services or resources during this further period under a separate contract with the cultural authority.

5.2 Public Consultation Plan

The purpose of community involvement is not to find the “right” answer from the community, but to engage the community in the project so that they can share ownership and have the opportunity to inform the design process. It will also give the community the comfort of knowing early on in the process the mechanism through which affected individuals/households can make their voices heard. In developing a strategy for public involvement, there are a number issues to keep in mind:

− Define goals clearly; − Secure commitment to effective implementation; − Plan consultation timing and phasing; − Provide adequate resources; − Identify and acknowledge site-specific sensitivities; − Identify and acknowledge historical context; − Recognize the interest of developers/operators; and − Be prepared to hear different views.

In building a public involvement program, the following outline must be followed:

− Identify all stakeholder groups (typically integrated with social assessment). Who will be affected directly and indirectly? Who else might have an interest or feel that they are affected?

− Identify the key issues for which public involvement will be required (scoping). These key issues would include: ➢ Environmental and social issues, or decisions at stake; ➢ Key organizations and interested parties involved; ➢ Local authorities and the agencies involved; ➢ Size of the issue or importance of the decision; and ➢ Urgency and time frame.

− Understand the decision-making process: ➢ Identification of parties making the decisions; and ➢ Where in the project cycle decisions are made.

− Determine the necessary level of involvement. Meaningful public involvement takes place at three levels:

➢ Conveying information to the public; ➢ Listening to the opinions and preferences of the public; and ➢ Involving the public in decision-making.

The nature and size of the project, combined with both the nature and number of stakeholders and the status of national legislation, will largely define when, where, and at what level public involvement is required for an EA and the environmental management plan.

Environmental and Social Management Framework Roads Authority of Malawi

Timely disclosure of information is key, and it may be useful to develop systems to ensure that stakeholders receive information on time and in an accessible format. While it is important that consultation take place before major decision points, the aim should be to facilitate consultation throughout the preparation and implementation phases. This implies that consultation will often be necessary as part of the research effort of the environmental assessment and in the development of mitigation measures during the analysis phase of the study. When building information disclosure systems:

− Select most effective involvement techniques to be used; − Define a communication methodology; and − Develop a budget.

Table: Methods and Levels of Public Involvement

Level of Method Description Target public Public involvement involvement analysis Media − Operator will describe what General public − Education − No participation announcement is occurring − Information − Some participation − Operator could solicit input feedback from the general public Storefront access − Operator has open door General public − Education to − None to some policy for public to walk in information participation and discuss project, issues, feedback and offer input

Newsletter − Operator forwards regular Identified − Education − No participation progress newsletters to stakeholders, selected individuals and groups, and groups (stakeholders) individuals

Questionnaire − This method is more for General public − Education and − Could be reasonable gathering information as a information participation project input gathering, but could be categorized as consultation as well Interest group − Operator holds regular Identified − Education − No participation meetings meetings with different stakeholders, − Information − Some participation interest groups to educate groups feedback − More and possibly − For information feedback − Consultation significant − For input to decision making or joint participation planning Advisory groups − Operator forms an advisory Advisory − Consultation − Some participation group of representatives of groups of − Joint planning − Significant various stakeholder groups selected participation individuals General meetings − Operator holds general General public − Education − No participation meetings at strategic times − Information − Some participation during the process feedback Knowledgeable − Operator identifies the Knowledgeable − Education − No participation and influential knowledgeable and and influential − Information − Some participation persons influential individuals in the persons feedback − Some participation, community − Consultation but could be very significant Planning group − Operator assembles a group Planning group − Joint planning − Very significant from the stakeholders who of selected or participation will provide planning input elected individuals

Environmental and Social Management Framework Roads Authority of Malawi

Annex 6: Guidelines for the Participation and Disclosure process

The purpose of community involvement is not to find the ‘right’ answer from the community, but to engage the community in the sub project so that they can share ownership and to give them the opportunity to inform the design process. It will also give the community the comfort of knowing early on in the process the mechanism through which affected individuals/households will be treated. In developing strategy for public involvement there are a number of key issues that must be considered:

− Define goals clearly − Secure commitment to effective implementation − Plan consultation timing and phasing − Provide adequate resources − Be aware of site specific sensitivities − Be aware of the historical context − Recognize the interest of developers/operators − Be prepared to hear different views.

In planning for the process of a public involvement program, the following must be followed:

− Identify all stakeholder groups (typically integrated with social assessment). Who will be affected directly and indirectly? Who else might have an interest or feel that they are affected?

− Identify the key issues around which public involvement will be required (scoping). These key issues would include: ➢ environmental and social issues, or decisions at stake ➢ key organizations and interested parties involved ➢ local authorities and the agencies involved ➢ size of the issue or importance of the decision ➢ urgency and time frame

− Understand the decision making process ➢ identification of parties making the decisions ➢ where in the project cycle decisions are made

− Determine the necessary level of involvement. Public involvement takes place at 3 levels: ➢ conveying information to the public ➢ listening to the opinions and preferences of the public ➢ involving the public in making decisions

− Identify key points to be included in the public involvement process

Timely disclosure of information is important and it may be useful to develop systems to ensure that stakeholders receive information on time and in an accessible format. Whilst it is important that consultation take place before major decision points, the aim should be to facilitate consultation throughout the preparation and implementation phases. This implies that consultation will often be necessary as part of the research effort of the EA and in the development of mitigation measures during the analysis phase of the study.

− Select most effective involvement techniques to be used

Environmental and Social Management Framework Roads Authority of Malawi

− Define a communication methodology − Develop a budget

Table: Methods and Levels of Public Involvement

Method Description Target Level of Public Public Involvement Involvement Analysis Media − Operator will describe what is General − Education − No participation announcement occurring; public − Operator could solicit input − Information − Some participation from the general public feedback Store front − Operator has open door policy General − Education to − None to some access for public to '‘walk in” and public information participation discuss project, issues and feedback offer input Newsletter − Operator forwards regular Identified − Education − No participation progress newsletters to stakeholders, selected individuals and groups, groups (stakeholders) individuals Questionnaire − This method is more for General − Education and − Could be gathering information as input public information reasonable to the project gathering participation Interest group − Operator holds regular Identified − education − No participation meetings meetings with different stakeholders − information − Some participation interest groups to educate – groups feedback − More and possibly − for information feedback − consultation or significant − for input to decision making joint planning participation Advisory groups − Operator formulates an Advisory − consultation − Some participation advisory group comprised of groups − joint planning − significant representatives of various comprised of participation stakeholder groups selected individuals General − Operator holds general General − Education − No participation meetings meetings at strategic times public − Information − Some participation during the process feedback Knowledgeable − Operator identifies the Knowledgea − Education − No participation and influential knowledgeable and influential ble and − Information − Some participation persons individuals in the community influential feedback − Some participation persons − Consultation but could be very significant Planning group − Operator assembles a group Planning − Joint planning − Very significant from the stakeholders who group participation will provide planning input comprised of selected individuals

Environmental and Social Management Framework Roads Authority of Malawi

Annex 7: Templates of the Environmental and Social Management Tools

7.1 Environmental and Social Screening Form (ESSF)

ENVIRONMENTAL AND SOCIAL ESSF SCREENING FORM

1. General Information Name of the project:

Implementing Agency:

Location: - Region: - District: - City/Village: Evaluator name: Date of field visit:

2. Project

Description and general purpose of the project: Specific works and activities to be undertaken ______- ______- ______

3. Stakeholders

Direct: Indirect: - ______- ______- ______- ______

4. Potential impacts and measures Impacts Measures Positive: Direct: - ______- ______- ______- ______

Indirect: - ______- ______- ______- ______

Negative: Direct: - ______- ______- ______- ______

Indirect: - ______- ______- ______- ______

Environmental and Social Management Framework Roads Authority of Malawi

5. First Step: Classification in function of the Magnitude of the project

Scope of the project: A. New Project Matrix 1. Classification in function of the Magnitude B. Upgrading C. Rehabilitation Hierarchy of the road D. Maintenance Scope of works Regional District Rural Hierarchy of the road: a. New construction I I II a. New construction b. Upgrade I II II b. Upgrade c. Rehabilitation II II III c. Rehabilitation d. Maintenance III IV IV

d. Maintenance

6. Second Preliminary Classification: Environmental Site Sensitivity HIGH MODERATE LOW  Protected Areas in the DIA (National  Protected Areas in the IIA or in  Intervened areas out of Protected Parks, Forest Reserve, etc.) Buffer Zones (National Parks, etc) Areas (national parks, etc.)  High danger of environmental  Moderate danger of environmental  Low danger of environmental degradation (deforestation, hunt, etc.) degradation (deforestation, others) degradation (deforestation, etc.)  Sensitive or critical ecosystem in the  Sensitive or critical ecosystems in  No sensitive or critical ecosystems DIA (wetlands, mangrove swamps, the IIA (wetlands, mangrove in the influence area (wetlands, forests, and others) swamps, forests, and others) mangrove swamps, forests, others)  Mountainous topography (>35% of  Wavy topography (15–35% of  Flat topography (<15% of slope), slope) when the project expects slope) when the project expects when expects the construction of construction of road, pipelines, etc. the construction of road, pipelines, access road, pipelines, etc.  High risk to natural disasters (floods,  Moderate risk to natural disasters  Low risk to natural disasters earthquake, others) (floods, earthquake, others) (floods, earthquake, others)  Presence of places of significant  Presence of places of cultural and  Absence of places with cultural cultural/historical interest in the DIA historical significance in the IIA and historical significance

Environmental Site Sensitivity: ______

DIA: Direct Influence Area; IIA: Indirect Influence Area

7. Environmental Risk Level: Category

Category A: Matrix 1. Environmental Category Projects with high environmental risk level Preliminary Site sensitivity Category B: classification High Moderate Low Projects with moderate environmental risk level I A A B II A B B Category C: III B B C Projects with low environmental risk level IV B C C

8. Social Risk Level Social Risk Level  In the Direct Influence Area HIGH  Potential Vulnerable Group (affect/ benefit) is expecting in the project: OP/BP 4.10  In the Indirect Influence Area MODERATE If is High, apply next section VGSF  No presence of Vulnerable Groups LOW

 More than 200 PAPs HIGH  Potential Resettlement/Compensation issues is expecting in the project:  More than 10 PAPs less than 200 PAPs MODERATE If is High or Moderate, apply next section RSF  Less than 10 PAPs LOW

9. Environmental and Social studies required by National Law and Safeguard Policies  OP/BP 4.01  Cat. A  Environmental and Social Impact Assessment (ESIA)

Environmental and Social Management Framework Roads Authority of Malawi

 Cat. B  Environmental and Social Management Plan (ESMP)  Cat. C  Good Environmental and Social Practices Guidelines

 OP/BP 4.10  HIGH  Vulnerable Group Plan (VGP)  OP/BP 4.12  HIGH  Resettlement Action Plan (RAP)  OP/BP 4.12  MODERATE  Abbreviated Resettlement Action Plan (ARAP)

 OP/BP 4.11  HIGH  Chance Find Procedures Plan (CFPP) to be include as part of the ESIA or PESIA  Others: ______

10. Environmental Budget for the ESMP implementation

- Estimated budget of the project: US$ ______Matrix 2. Environmental Budget for the ESMP implementation - Estimated budget for the ESMP US$ ______implementation Preliminary Site sensitivity classification High Moderate Low TOTAL estimated budget of the project: US$ ______I 6% 5% 4% II 5% 4% 3% Nota: This budget doesn’t include the III 4% 3% 2% resettlement and vulnerable group plans IV 3% 2% 1%

implementations)

11. Map, Design, and/or Other Supporting Drawing and Layout

12. Observations

Comments: ______

Officer: Signature: Date:

Environmental and Social Management Framework Roads Authority of Malawi

If in Section 8 of the ESSF, the information about the Involuntary Resettlement is “checked”, the next form should be applied.

RESETTLEMENT/COMPENSATION SCREENING FORM (RSF)

Not Probable Involuntary Resettlement Effects Yes No known Possible Remarks − Will the project include any physical construction work? − Does the project include upgrading or rehabilitation of existing physical facilities? − Is any project effect likely lead to loss of housing, other assets, resource use, or incomes/livelihoods? Estimated number? − Is land appropriation likely to be necessary? Estimated area? − Is the site for land appropriation known? − Is the ownership status and current usage of the land known? − Will easements be utilized within an existing right of way? − ¿Are there any people without land titles who live or earn their livelihood at the site or within the right of way? Estimated Number? − Will there be loss of housing? Estimated number? − Will there be loss of Agricultural plots? − Will there be losses of crops, trees, or fixed assets? − Will there be loss of businesses or enterprises? − Will there be loss of incomes and livelihoods? − Will people lose access to facilities, services, or natural resources? − Will any social or economic activities be affected by land use– related changes? If involuntary resettlement impacts are expected: − Are local laws and regulations compatible with the World Bank’s Involuntary Resettlement Policy? − Will coordination with the RA be required to deal with land appropriation? − Are training and capacity-building interventions required prior to resettlement planning and implementation?

Information on affected persons: − Any estimate of the likely number of households that will be Number: affected by the project? − Are any of the households poor, headed by a woman, or vulnerable Number to poverty risks? − ¿Are any of the PAP from vulnerable groups? If yes, explain: Number: Involuntary Resettlement/Compensation Classification: After reviewing the answers above, the project team leader and social development/resettlement specialist agree, subject to confirmation, that the project is categorized as noted below.

[ ] HIGH risk Significant resettlement impact (more than 200 people affected), Full Resettlement/Compensation Action Plan (RAP) is required. [ ] MODERATE risk Limited resettlement impact (less than 200 people affected), Abbreviated Resettlement Action Plan (ARAP) is required. [ ] LOW risk No resettlement impact, No resettlement plan is required.

[ ] Consultant support is required to prepare RAP or ARAP.

Environmental and Social Management Framework Roads Authority of Malawi

7.2 Environmental and Social Monitoring Report (ESMR)

ENVIRONMENTAL AND ESMR SOCIAL MONITORING REPORT

1. General Information Name of the project:

Implementing Agency:

Location: - Region: - District: - City/Village: Evaluator name and Date of field sign: visit:

1. Environmental and Social Effects Summary of the environmental effects of the project predicted during project planning.

2. Environmental and Social Effects Observed in the Field Visit Summary of the environmental effects observed in the field visit: - Predicted effects and nature of observation; and - Unpredicted effects and nature of observation.

People participating in the field visit:

Name Institution Charge Sign

3. Compliance of the Environmental and Social Specification Assessment of how project is complying with environmental design specifications, including environmental protection and control, mitigation, and compensation measures, if any.

4. Results of the Field Visit Provide results of the evaluation of specific biophysical and socioeconomic effects, including deviations from baseline values if available.

5. Conclusions and Recommendations for Project Operation Recommended adjustments to project operations if any, including rationale for the recommendations.

6. Conclusions and Recommendations for Monitoring Program Recommended adjustments to the monitoring program, if any, including rationale for recommendations.

7. Other Observations, Recommendations, and Conclusions

Environmental and Social Management Framework Roads Authority of Malawi

7.3 Environmental and Social Final Report (ESFR)

ENVIRONMENTAL AND SOCIAL ESFR FINAL REPORT

1. General Information Name of the project:

Implementing Agency:

Location: - Region: - District: - City/Village: Evaluator name and Date of field sign: visit:

1. Activities Realized On (date) ______, the final review of the environmental and social aspects corresponding to the activity ______was conducted to verify fulfillment of the mitigation measures proposed for the project, as well as to ascertain if other negative impacts have appeared during the period in which the activity took place.

There was content the commission integrated by the following persons:

Name Institution Charge Sign

2. Background Capture case record including dates, brief narration of the problem, and recommendations from previous opportunities.

3. Results of the Examination Describe in detail the conditions in which the mitigation measures were developed, the grade of fulfillment, and current state, explaining when necessary reasons why measures have not been completed. Completing the table below will help visualize this information.

Accomplishment Time still needed to No. Mitigation measures Yes No % accomplish measures Observations

4. Conclusions Based on the examination, prepare conclusions regarding fulfillment of the mitigation measures and recommendations.

Environmental and Social Management Framework Roads Authority of Malawi

Annex 8: Templates of the Grievance Redress Management Syste

8.1 SATTFP Community Grievance Log & Resolution Form

District Name: Name of Catchment: Sub Project Name Dates: Names Dr/Mr/Ms/Mrs) Address/Contact TA& VGE Contacts/Email

Ref Date of Official Grievance/Complaint Follow- Resolution Referred No. Grievance Recording up/Investigation Made to Date Person Assigned

If case is closed, GRM Committee members & complainant to sign below GRM Committee Chair______Name & Signature of PAP ______GRM Committee Secretary______Date: ______Referred to District Ref No. Date of Referral Official Referring: Name of Complainant:

Environmental and Social Management Framework Roads Authority of Malawi

8.2 District Grievance Log & Resolution Form

Government of Malawi

OSBP/GRM…………………/………………. District Reference No. 1. Complainant’s Information (This information must be provided. The identity of complainants will be kept confidential if they request so) Names & Titles Sub Project Positions/Organizations Addresses: (Dr/Mr/Ms/Mrs) Name: (if any)

Name of Village: Case Ref. No. Contact Tel: Please indicate how you prefer to be contacted (e-mail, mobile, etc.): 2.Brief Description of the Grievance or Complaint:

3 Previous Efforts to Resolve the Complaint (a) Have you raised your complaint with any other authorities/institutions? Yes No (b)If yes (Please, provide the following details) When?

• How and with whom the issues were raised • What was the outcome/resolution:

(c)If No, why? Or if yes, Outcome was referral from BGRMC

(d)How do you wish to see the complaint resolved?

(e) What harm do you believe the OSBP project caused or is likely to cause to you? (f) Why do you believe that the alleged harm results directly from OSBP (g)Do you have any other supporting documents that you would like to share?

Environmental and Social Management Framework Roads Authority of Malawi

(h) Outcome at District Level

4. If a referred case, or case recorded at District is closed:

(i) PAP Signature______(ii) District GRM Chair______

(iii) District GRM Secretary______

If not closed, PAPs will be advised to seek justice from Civil Courts, Comment:

Signature: Date: