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ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK Rural Energy Agency Ministry of Energy and Minerals Tanzania Energy Development and Access Project The World Bank E2242 v2
ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK
Rural Energy AgencyMinistry of Energy and Minerals
Tanzania Energy Development and Access ProjectThe World Bank
June 2012
E2242 v2
Table of ContentsAcknowledgments................................................................................................................................ 3Abbreviations........................................................................................................................................ 4Table of Contents................................................................................................................................. 11. Introduction................................................................................................................................... 5
1.1 Purpose................................................................................................................................... 51.2 Scope...................................................................................................................................... 6
2. The Project.................................................................................................................................... 72.1 Description.............................................................................................................................. 72.2 Components............................................................................................................................ 7
3. Environmental and Social Diagnosis..........................................................................................83.1 National Policy Framework......................................................................................................83.2 Legal Framework...................................................................................................................103.3 Institutional Framework.........................................................................................................123.4 Environmental and Social Characterization...........................................................................15
3.4.1 Biophysical environmental aspects.............................................................................153.4.2 Key environmental and social features........................................................................173.4.3 Characteristics of poverty............................................................................................19
4. World Bank Safeguard Policies.................................................................................................204.1 Description............................................................................................................................. 204.2 Safeguard Polices Triggered by the TEDAP..........................................................................21
5. Environmental and Social Management...................................................................................235.1 Project Cycle and Stakeholders.............................................................................................23
5.1.1 Identification and preliminary assessment...................................................................245.1.2 Assessment of appraisal.............................................................................................245.1.3 Legal agreement.........................................................................................................245.1.4 Construction................................................................................................................245.1.5 Operation..................................................................................................................... 24
5.2 Roles and responsibilities of stakeholders.............................................................................255.2.1 Ministry of Energy and Minerals and Rural Electrification Agency...............................255.2.2 National Environmental Management Council.............................................................255.2.3 Districts........................................................................................................................265.2.4 Developers.................................................................................................................. 265.2.5 Constructors................................................................................................................275.2.6 Electricity and Water Utility Regulatory Authority........................................................275.2.7 World Bank.................................................................................................................. 27
5.3 Key Environmental and Social Methodologies, Instruments, and Procedures.......................275.3.1 Environmental and social category..............................................................................275.3.2 Instruments for the environmental and social management........................................305.3.3 Studies for environmental and social management.....................................................305.3.4 Public participation and disclosure mechanism...........................................................32
5.4 Environmental and Social Management along the Project Cycle..........................................325.4.1 Stage 1: Identification and preliminary assessment....................................................325.4.2 Stage 2: Assessment..................................................................................................335.4.3 Stage 3: Legal agreement...........................................................................................34
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5.4.4 Stage 4: Construction..................................................................................................345.4.5 Stage 5: Operation......................................................................................................35
ANNEXES............................................................................................................................................ 37Annex 1. Sensitive Areas and Ecosystems in Tanzania.................................................................38Annex 2. World Bank Environmental and Social Safeguard Polices.............................................39Annex 3. Guidelines for the ESIA Process.......................................................................................43Annex 4. Guidelines for Environmental and Social Monitoring......................................................44Annex 5. Templates for Environmental and Social Management Instruments.............................47
5.1 Environmental and Social Screening Form.............................................................................475.2 Environmental and Social Monitoring Report..........................................................................505.3 Environmental and Social Final Report...................................................................................51
Annex 6. Studies Required by National Environmental Law..........................................................526.1 Guidelines for Environmental and Social Impact Assessment................................................526.2 Guidelines for Environmental and Social Management Plan...................................................54
Annex 7. Studies Required by World Bank Safeguard Policies.....................................................557.1 Chance Find Procedures.........................................................................................................557.2 Dam Safety Measures Report.................................................................................................587.3 Public Consultation Plan.........................................................................................................60
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Acknowledgments This Environmental and Social Management Framework (ESMF) was developed through the collective efforts of the Rural Energy Agency and the World Bank, under the TEDAP off-grid component. The purpose of this document is to provide a simplified and user-friendly tool for environmental and social management to be applied by rural energy project developers throughout the project cycle. The REA are grateful for the continued support of the development partners in promoting and facilitating sustainable development of rural energy projects.
The REA gratefully acknowledge the work of Nyinisael Palangyo, REA’s Environmental and Social Local Consultant, and Marco Zambrano, World Bank International Consultant, who worked together to develop this safeguard documents.
The REA would like to express appreciation to all who contributed in the development of the ESMF, particularly Dana Rysankova, World Bank Senior Energy Specialist; Raluca Golumbeanu, World Bank Operations Officer; Anil Cabraal, Lead Renewable Energy World Bank Consultant; and Helen Shahriari, World Bank Senior Social Specialist; for their support and guidance during the preparation of this document.
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Abbreviations ARAP Abbreviated Resettlement/Compensation Action PlanCBO Community-based organizationCITES Convention on International Trade in Endangered Species DS Dam SpecialistDSMR Dam Safety Measures ReportEA Environmental AssessmentEIA Environmental Impact AssessmentESFR Environmental and Social Final ReportESMF Environmental and Social Management FrameworkESMP Environmental and Social Management PlanESIA Environmental and Social Impact AssessmentESSF Environmental and Social Screening FormESMR Environmental and Social Monitoring ReportESFR Environmental and Social Final ReportEWURA Electricity and Water Utility Regulatory AuthorityGEF Global Environment FacilityGGESP Guidelines of Good Environmental and Social PracticesGDP Gross Domestic ProductGoT Government of TanzaniaIPP Independent Power ProducerM&E Monitoring and evaluationMoEM Ministry of Energy and MineralsNEMC National Environment Management CouncilNEAP National Environmental Action PlanNEP National Environmental PolicyNGO Nongovernmental OrganizationPCR Physical and Cultural ResourcesPCP Public Consultation PlanRAP Resettlement Action PlanREA Rural Energy AgencyREB Rural Energy BoardREF Rural Energy FundRMF Resettlement Management FrameworkTANESCO Tanzania Electric Supply Company LimitedTEDAP Tanzania Energy Development and Access ProjectToR Terms of ReferenceTRC Technical Review CommitteeVPO Vice President’s Office
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1. Introduction
The Government of Tanzania (GoT) has launched an ambitious access scale-up program through establishment of the Rural Energy Agency (REA) and the Rural Energy Fund (REF), using low-cost technology and transparent, results-oriented subsidies delivered to Tanzania Electric Supply Company Limited (TANESCO), a restructured utility, as well as to other competitive service providers (private, cooperatives, nongovernmental organizations [NGOs], and others). To maximize the impact, the program will focus on electricity provision to rural enterprises and social facilities, the latter to provide the benefits of increased access to a far broader cross-section of the population within 10 years faster than possible with just a household connection program.
Following the launch of Tanzania’s revised National Energy Policy, which was formally adopted in 2003, the government began restructuring the energy sector. The policy divided commercial and rural energy services, giving the Ministry of Energy and Minerals (MoEM) the responsibility for increasing government efforts to ensure that rural areas and poor households have access to modern energy services. This required a new institutional setup and a fund for subsidizing non-profitable energy provision. In 2005, a new law1 was passed, enabling the establishment of the REA and the REF. The REA board has since been appointed and its management is being recruited.
As part of this strategy, the GoT asked the World Bank to include an off-grid electrification component in the Tanzania Energy Development and Access Project (TEDAP).
To ensure adequate environmental and social management during the TEDAP implementation and to comply with the national environmental laws and the World Bank’s Environmental Assessment Policy (OP/BP 4.01), an Environmental and Social Management Framework (ESMF) was created as part of project preparation. Shortly after applying this instrument in the first package of subprojects, the REA and the Bank determined that the ESMF required improvements to simplify and facilitate its application during the project cycle.
1.1 Purpose
The overall purpose of the ESMF is to guide the REA and the developers in environmental and social management through the use of methodologies, instruments, procedures and responsibilities during the project cycle. The ESMF should be applied by the REA and developers during subproject implementation to comply with national environmental and social law and the Bank’s Environmental Assessment (OP/BP 4.01) Safeguard Policy.
The main objectives of the ESMF are to:
- Present the legal and institutional framework related to the environmental and social context in the energy sector that the project will support; and
1 The Rural Energy Act, 2005.
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- Introduce the environmental due diligence process to present methodologies, instruments, and procedures and responsibilities (role) for environmental and social management.
1.2 Scope
The ESMF is an instrument to be applied by the REA and the developers to guide them in environmental and social management in order to comply with environmental and social law and World Bank Safeguard Policies during the project cycle.
The ESMF accounts for the following World Bank environmental and social safeguards commonly triggered in small power plant energy projects: Environmental Assessment; Natural Habitats; Involuntary Resettlement; Physical and Cultural Resources; and Safety of Dams.
This updated version of the ESMF was developed by Nyinisael Palangyo, REA’s local Environmental and Social Consultant; with the support and coordination of the REA and Marco Zambrano, World Bank International Consultant This ESMF was presented and socialized in a workshop with the participation of the stakeholders in May 2011, and was approved by the REA General Director, Lutengano U.A. Mwaakahesya. Finally, this updated version of the ESMF was published on the REA Web site, in the REA’s offices, and in the World Bank InfoShop on June 25th, 2012 in compliance of the Bank’s disclosure policy.
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2. The Project
2.1 Description
The overall development objectives of the TEDAP are: (i) to improve the quality and efficiency of the provision of electric service and (ii) to establish a sustainable basis for access expansion. To that extent, the project will have a grid and an off-grid component. The present ESMF covers the off-grid component of the TEDAP.
The purpose of the off-grid component is to support an institutional set-up for the newly established REA and develop and test new off-grid electrification approaches for future scale-up.
The project’s global objective, in line with Global Development Facility (GEF) OP6,2 is to remove the barriers to and reduce the implementation costs of renewable energy technologies to help mitigate greenhouse gas emissions. Proposed GEF co-financing supports OP6 strategic priorities—expanding productive uses of renewable energy (institutional solar photovoltaic [PV] systems for social services) and promoting power sector policy frameworks supportive of renewable energy (stand-alone grids).
2.2 Components
To achieve these objectives, the TEDAP is structured into three components: (i) the grid component to focus on urgent investments in TANESCO transmission and distribution networks; (ii) the off-grid component to support an institutional set-up for the newly established REA and develop and test new off-grid electrification approaches for future scale-up; and (iii) the technical assistance component to support preparation of the comprehensive access expansion strategy and syndication plan, new investment packages (grid and off-grid), legal/technical/financial advisory, capacity building for TANESCO, REA, MoEM and NEMC, and monitoring and evaluation (M&E).
For the off-grid component, investments will concentrate particularly on the demonstration of sustainable solar market packages and PV market development (scaling up the Swedish International Development Agency’s ongoing operation); the implementation of several off-grid electrification mini-grids; and the testing of new service provision models (including private sector, cooperatives, and NGOs). The TEDAP will also support development of small, renewable, grid-connected projects. Consistent with the joint assistance growth strategy, the off-grid component will also focus primarily on those off-grid areas where provision of electricity can spur economic growth (subproject screening includes an analysis of the productive use potential). Before the REA was operational, the component was initially to be implemented by the MoEM, but has since been transferred to the REA.
2 OP6: Promoting the Adoption of Renewable Energy by Removing Barriers and Reducing Implementation Costs.
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3. Environmental and Social Diagnosis
3.1 National Policy Framework
Energy sector
The first National Energy Policy for Tanzania was formulated in April 1992, and revised in 2003. The overall policy objective is to:
Provide an input in the development process by establishing an efficient energy production, procurement, transportation, distribution, and end-user systems in an environmentally sound manner and with due regard to gender issues.
The key policy objectives are:
(i) To increase access to affordable and reliable energy services, meet the basic needs of the poor, stimulate productive capacity, and meet the energy needs for community services such as schools, clinics, and water supply facilities;
(ii) To stimulate economic development to provide input into the development process by establishing efficient energy production, transportation, distribution, and end-user systems in an environmentally sound manner with due regard to gender issues;
(iii) To build gender-balanced capacity in planning, implementation, and monitoring of energy sector projects;
(iv) To improve energy governance systems by differentiating the roles of policy making and legislation, and regulatory functions and the functions of the private and public operators;
(v) To reform the market for energy services by restructuring the TANESCO to increase efficiency and attract private investment in the sector;
(vi) To adequately take into account the environmental considerations for all energy activities by increasing access to improved technologies to in turn increase energy efficiency and conservation in all sectors and avoid the negative environmental impacts of energy consumption; and
i) To enhance the development and utilization of indigenous renewable energy sources and technologies for expansion of electrification to rural areas to reduce deforestation, indoor health hazards, and women’s time spent in search of fuel-wood.
Regarding rural energy specifically, key policy objectives include:
(i) Support research and development of rural energy;(ii) Promote application of alternative energy sources other than fuelwood and charcoal to
reduce deforestation, indoor health hazards, and rural women’s time spent in search of fuel-wood;
(iii) Promote entrepreneurship and private initiative in production and marketing of products and services for rural and renewable energy;
(iv) Ensure continued electrification of rural economic centers and make electricity accessible and affordable to low-income customers;
(v) Facilitate increased availability of energy services, including grid and off-grid electrification to rural areas; and
(vi) Establish norms, codes of practice, standards, and guidelines for cost-effective energy supplies.
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Following the launch of Tanzania’s revised National Energy Policy, which was formally adopted in 2003, the GoT began restructuring the energy sector. The policy divided the commercial and rural energy services, giving the MoEM the responsibility for increasing government efforts to ensure that rural areas and poor households have access to modern energy services. This required a new institutional set-up and a fund for subsidizing nonprofitable energy provision. In 2005, the Rural Energy Act was passed, enabling the establishment of the REA and the REF. REA is now fully staffed and both the REA and REF are operational.
The 2005 Rural Energy Act sets out the principles of rural energy development, procedures for establishment of the Rural Energy Board (REB), the REA and REF, as well as guidelines for management of the fund.
The GoT is now launching an ambitious access scale-up program through an establishment of the REA and the REF, using lower-cost technology and transparent, results-oriented subsidies delivered to TANESCO, as well as to other competitive service providers (private, cooperatives, NGOs, and others). To maximize the impact, the program will focus on electricity provision to rural enterprises and social facilities, the latter to provide the benefits of increased access to a far broader cross-section of the population than is possible with just a household connection program.
Environmental management
Tanzania published its National Environmental Policy (NEP) in December 1997, as well as a National Conservation Strategy for Sustainable Development, the National Environmental Action Plan (NEAP), and specific sectoral policies such as those on land, mining, energy, water, agriculture, population, and fisheries. The NEP recognizes the Environmental Impact Assessment (EIA) process as a means of ensuring that natural resources are soundly managed and of avoiding exploitation that could cause irreparable damage and social costs.
The NEP seeks to provide the framework for making the fundamental changes that are needed to incorporate environmental considerations into mainstream decision making. The NEP seeks to provide guidance and planning strategies in determining how actions should be prioritized, and provides for the monitoring and regular review of policies, plans, and programs. It further provides for sectoral and cross-sectoral policy analysis, so that compatibility among sectors and interest groups can be achieved and the synergies between them exploited. Therefore, the overall objectives of the NEP are:
(i) To ensure the sustainability, security and equitable use of resources in meeting the basic needs of present and future generations without degrading the environment or risking health and safety;
(ii) To prevent and control the degradation of land, water, vegetation, and air, which constitute our life support systems;
(iii) To conserve and enhance our natural and man-made heritage, including the biological diversity of Tanzania’s unique ecosystems;
(iv) To improve the condition and productivity of degraded areas, as well as rural and urban settlements, so that all Tanzanians may live in safe, healthy, productive, and aesthetically pleasing surroundings;
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(v) To raise public awareness and understanding of the essential links between the environment and development, and to promote individual and community participation in environmental action; and
(vi) To promote international cooperation on the environment agenda and expand participation and contribution to relevant bilateral, sub-regional, regional, and global organizations and programs, including the implementation of treaties.
3.2 Legal Framework
Energy sector
The principal legislation is the Electricity Ordinance (Cap. 131), which is the governing law of the sector and dates back to 1931. Since its enactment, it has been amended twice; in 1957 and 1961. More recently, a Water and Electricity Regulatory Act was also passed by Parliament.
The Electricity and Water Utility Regulatory Agency (EWURA) will issue licenses to the operators.
The 2005 Rural Energy Act established the Rural Energy Board, Fund, and Agency to be responsible for promotion of improved access to modern energy services in the rural areas of Mainland Tanzania and through a fund within the agency board to provide for grants and subsidies to developers of rural energy projects and for related and consequential matters.
The act sets out the principles of rural energy development, procedures for establishment of the REB, the REA and the REF, as well as guidelines for management of the fund.
Environmental management
Under article 27 of Tanzania’s Constitution, the public is called upon to ensure that the natural resources of the country are managed properly:
(1) Every person is obliged to safeguard and protect the natural resources of the United Republic, State property and all property jointly owned by the people; and
(2) All persons shall by law be required to safeguard State and communal property, to combat all forms of misappropriation and wastage and to run the economy of the nation assiduously, with the attitude of people who are masters of the fate of their nation.
On February 8, 2005, the 2004 Environment Management Act was signed into law by the president of Tanzania. The act provides legal and institutional framework for sustainable management of the environment; outlines principles for management, impact and risk assessments, prevention and control of pollution, waste management, environmental quality standards, public participation, compliance and enforcement; provides basis for implementation of international instruments on environment; provides for implementation of the NEP; repeals the 1983 National Environment Management Act and provides for
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continued existence of the National Environment Management Council (NEMC); and provides for establishment of the National Environmental Trust Fund and for other related matters. Table 1 outlines other key policies and laws relating to the Environmental Management Act.
Table 1. Other Existing Key Policies and Laws Relating to Environmental Management Act
Act Key elements Implementing authorityNational Environmental Management Council (NEMC) Act, No. 19 of 1983 (repealed by the 2004Environmental Management Act)
The act provides for the establishment of the NEMC, as well as all functions and other matters related and incidental to its establishment.
NEMC
Wildlife Conservation Act, No. 12 of 1974, as amended
The Act protects wildlife and vegetation by restricting the utilization of wildlife to license holders. The use of sensitive wildlife habitats is restricted during certain times of the year or for specified periods.
Ministry of Tourism and Natural Resources
Fisheries Act, No. 6 of 1970 The Act limits annual catches. Specific regulations were introduced in 1973 and 1982 restricting some methods of fish harvesting as well as prohibiting dynamiting and poisoning.
Division of Fisheries,Ministry of Tourism and Natural Resources
Mining Act, No. 17 of 1980, as amended
The Act sets out government policy on all forms of mining and is supported by various regulations 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.
Ministry of Energy and Minerals
Local (District and Urban) Authorities Act, No. 7 of 1982
Local authorities are empowered to enact bylaws regarding the protection of soil, agriculture, water supplies, and other natural resources. The act contains provisions to protect human health and regulate pollution.
Local Authorities
Town and Country Planning Ordinance, of 1966, Chapter 378
The ordinance was intended to establish a land-use planning scheme for designated areas. The National Land Use Planning Commission was established to advise government on land conservation and development.
National Land Use PlanningCommission
Public Health, Sewerage and Drainage Ordinance, Chapter 336
The ordinance prohibits the discharge of certain substances into sewers. Violation of the ordinance is an offense, and penalties may be imposed on offenders.
Ministry of Health and Social Welfare
Source: Authors’ compilation.
International agreements
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Tanzania is a party to many international agreements on biodiversity, climate change, desertification, endangered species, ozone layer protection, marine life conservation and others, including:
Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal (1989);
Convention Concerning the Protection of the World Cultural and Natural Heritage, Paris (1972);
Development, Production, and Stockpiling of Bacteriological (Biological) and Toxin Weapons, and Their Destruction, London (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 Transboundary
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); Phyto-Sanitary Convention for Africa, Kinshasa (1967); United Nations Convention on the Law of the Sea (1982); United Nations Framework Convention on Climate Change (1983); Vienna Convention for the Protection of the Ozone Layer; and Nile Basin Commission.
3.3 Institutional Framework
Administrative structure for the energy sector
The government’s role in the energy sector is to facilitate development, provide stimulus for private investment initiatives, and promote effective regulation, monitoring, and coordination of the sector. This responsibility lies with the MoEM, which supervises implementation of the energy policy, which is the main guidance for change, backed by legislation and regulation. The ministry also facilitates mobilization of resources into areas where market forces fail to ensure adequate energy services.
The roles and relationships of the different actors in the sector, including the ministry, regulators and operators, are determined by legislation, which provides the basis for the regulatory functions of the sector, ensuring that operators will be licensed, markets and performance monitored, and necessary regulatory measures applied.
The mission of the MoEM is to create conditions for the provision of safe, reliable, efficient, cost-effective, and environmentally appropriate energy services to all sectors on a sustainable basis, and thereby contribute to the economic growth of the country. The MoEM has two technical divisions and four support departments. The technical divisions are Energy and Petroleum Affairs and Minerals, while the support departments are Administration and Personnel, Accounts, Internal Audit, and Policy and Planning. Energy and Petroleum Affairs is divided into four sections—Electricity, Petroleum and Gas, Energy Development, and Renewable Energy—that are directly responsible for:
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(i) Formulating sector policy and strategy and implementing and monitoring programs in the areas of power, petroleum, new and renewable sources of energy subsectors, and energy efficiency;
(ii) Major energy procurement, development, resource allocation, and energy pricing policy formulation;
(iii) Coordinating energy sector development programs with other sectors and other countries in the region and beyond;
(iv) Supply and distribution of petroleum products;(v) Development, promotion, and dissemination of renewable energy technologies (RETs);
and(vi) Promotion of energy efficiency in all sectors of the economy.
The main supplier of electricity in Tanzania is TANESCO, which is a state-owned monopoly (parastatal). The existing installed generating capacity of TANESCO is 793 MW, composed of 561 MW hydro, 202 MW thermal, and 30 MW isolated diesel stations. Additional capacity in the form of a 100 MW independent power producer (IPP), medium speed diesel plant is expected on stream, and a 112 MW gas turbine plant at Ubungo now running on liquid fuel is being converted to run on natural gas from the Songo Songo gas fields.
Three IPPs supply power to the national grid: one is a 100 MW diesel plant, Independent Power Tanzania Ltd., and the other two are small power plants, Kiwira Coal Mine and Tanganyika Wattle Company—both supply bulk power of about 4 MW.
Tanzania also imports electricity through cross-border interconnections of about 8 MW and 5 MW from Uganda and Zambia, respectively.
Rural Energy Agency
The REA was established by the Act of Parliament No. 8 of 2005 as an autonomous institution to administer the REF. The REA is governed by the Rural Energy Board, which is also entrusted to oversee the administration of the REF.
The main function of the REA is to promote and facilitate the development of rural energy projects. The agency works with partners and collaborators from other government agencies and institutions, local government, private sector, community-based organizations (CBOs), and NGOs.
The agency, in partnership with project developers, identifies modern energy projects and facilitates investment in modern energy supply in rural areas. The goal is to provide access to modern energy services for rural households, schools, health centers, and other social infrastructures to contribute to poverty reduction initiatives in the country.
The REA is responsible for the environmental and social management of the TEDAP’s implementation of the off-grid component. The instruments to assure the environmental and social sustainability of the subprojects and compliance with environmental and social law and the World Bank’s Safeguard Polices are the ESMF and the Resettlement Management Framework (RMF).
National Environment Management Council
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The NEMC is the national authority responsible for ensuring compliance with the national environmental law. The main evidence proof compliance with the national environmental law is the environmental license, which confirms that the developers completed the environmental and social due diligence process.
The NEMC will also provide periodic oversight monitoring to ensure no adverse cumulative impacts occur from the activities of the operators at the national level, and will provide oversight and technical assistance to the districts when required. Therefore, the NEMC will perform three critically important roles:(i) Review, clearance, and approval of Environmental and Social Impact Assessment
(ESIAs) process for Category A and B;(ii) Train district officials to carry out monitoring; and(iii) Monitor oversight.
The NEMC will also be responsible for: (i) Ensuring that operators comply with Tanzania’s environmental laws and requirements
and the World Bank’s triggered Safeguard Policies; (ii) Receiving, reviewing, commenting on, requiring revisions where necessary, and clearing
of operators completed ESIAs for category A and B subprojects prior to issuance of the license and financing from the fund;
(iii) Reviewing and compiling monitoring reports for the district coordinators; (iv) Issuing directives, based on M&E reports, to the operators and district environmental
coordinators; and (v) Conducting, in cooperation with other ministries, programs to enhance environmental
education and increase public awareness.
Environmental sections
Environmental sections at the sectoral and district level are the collaborating partners in the ESIA process. The linkages between the NEMC and the sectoral and district environmental units are legally binding to ensure clear lines of command to facilitate effective implementation. The roles and responsibilities of these units are outlined below.
Sectoral environmental sections’ responsibilities include:
(i) With assistance from the NEMC, develop sectoral guidelines within the framework of the national ESIA guidelines;
(ii) Issue ESIA registration forms to operators and provide relevant information on policies and other administrative requirements; and
(iii) Assist the general ESIA process administration at the sectoral level.
District environment committees’ responsibilities include:
(i) Issue ESIA registration forms to operators and provide relevant information on policy, legal, and other administrative requirements at the district level;
(ii) Coordinate ESIA process at district level; and(iii) Link and liaise with the NEMC on all undertakings within the district.
The district environmental committee includes the following members, among others:
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District planning officer, coordinates the planning process; District natural resources officer, manages the development of natural resources/forestry,
wildlife, beekeeping, fisheries, and so forth; District agricultural and livestock development officer, responsible for land use and
management; District water engineer; District health officer; and Co-opted members (depending on nature of project).
3.4 Environmental and Social Characterization
3.4.1 Biophysical environmental aspects
Tanzania lies between 29°30’E and 40°30’E, and 1°00’S and 11°48’S. It is a land of contrasts, being the home of Africa’s highest mountain (Kilimanjaro, at 5,895 meters [m]) and its lowest point (the floor of Lake Tanganyika, which is 1,470 m deep). Located on the east coast of Africa, it covers an area of approximately 945,000 square kilometers (km2), of which the Zanzibar Islands cover 2,400 km2. The islands of Mafia, Pemba, and Zanzibar are included in this area. Of this area, 61,495 km2 are covered by the inland waters of the Great Lakes (Victoria, Nyasa, and Tanganyika). The country is bordered by Uganda to the north for 396 km; Rwanda and Burundi to the northwest for 217 km and 451 km, respectively; the Democratic Republic of Congo to the west for 459 km (a water border on lake Tanganyika); Zambia and Malawi to the southwest for about 338 km and 475km, respectively; Mozambique to the south for 756 km; and Kenya to the northeast for 769 km. The Indian Ocean, with shores characterized by coral reefs and small islands, lies to the east. The continental shelf within the 200 m depth contour varies from 4–60 km from the shore.
Tanzania experiences a variety of climatic conditions, ranging from the alpine deserts on the top slopes of Mount Kilimanjaro that are permanently covered by snow, to the tropical coastal areas that are under the influence of two monsoon winds. The northeast monsoon wind, which blows southwards from December to March, brings the hottest weather, while the southeast monsoon winds that blow northwards from March to September bring intermittent rains. The main rainy season on the coast is from March to May (the long rains) with a second season between October and December (the short rains). Mean annual rainfall varies from 400 mm in the central regions to over 2,500 mm in the highlands and the western side of Lake Victoria. Mean annual temperatures are influenced by altitude, ranging from 21°C in high mountain areas to 29°C at sea level.
Except for the coastal belt and islands, most of the country is part of the Central African Plateau (1,000–1,500 m above sea level) and characterized by gently sloping plains and plateaus, broken by scattered hills and low-lying wetlands. The Central African Plateau is deeply incised by two arms of the Rift Valley: the eastern arm, which includes lakes Natron and Manyara, and the deeper western arm, which contains Lake Tanganyika. Both arms of the rift converge in the south of the country near the northern end of Lake Nyasa/Malawi.
There are seven agro-ecological zones in Tanzania based on climate, physical geography, soils, vegetation, land use and tsetse fly occurrence, which are the main physical factors that influence opportunities and constraints for crop and livestock production.
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Tanzania shares three major lakes (Nyasa/Malawi, Tanganyika, and Victoria) with other countries in the region. Other lakes in the country include Masoko, Manyara, Natron, and Rukwa. Tanzania also has many permanent and seasonal rivers. Main rivers include the Kilombero, Mara, Pangani, Ruaha, Rufiji, Ruvu, and Ruvuma.
Tanzania’s wetlands cover about 10 percent of the country. They are classified as marine and coastal wetlands, inland wetland systems, rivers and inland flood plains, and artificial wetlands. The marine and coastal wetlands include the mangrove estuary swamps, coral reefs, seaweed and grasses, and intertidal mudflats. The inland wetlands include the Rift Valley lakes (Balangida, Eyasi, Manyara, Natron, Nyasa, Rukwa, and Tanganyika), some depression swamps (Bahi and Wembere), and Lake Victoria. The shores of the Rift Valley lakes provide a habitat for birds, while Lake Natron serves as the largest flamingo breeding ground in Africa. The soda lakes (Eyasi, Manyara, Natron, and Ngorongoro) are their feeding grounds. The waters of these lakes and the adjacent land are often inhabited by wildlife, which is a major tourist attraction in Tanzania. Annex 1 presents a list of sensitive areas in Tanzania.
Some swamps are important breeding sites for fish. Lake Tanganyika is home to about 217 endemic fish species, while Lake Nyasa/Malawi has the most diverse fish species population (over 600 species). Both lakes are world famous for their variety of aquarium fish. Lake Tanganyika is important nationally for sardine, while Lake Victoria has a naturally rich and diverse indigenous fish fauna (178–208 species). However, the introduction of Nile perch has led to the disappearance of several indigenous species.
The flora of Tanzania is extremely diverse, with over 12,700 plant species—a figure comprising more than one-third of the total plant species in Africa (UNEP 1998). Yet, Tanzania’s diverse flora are not evenly distributed throughout the country, they are found in six specific ecological zones, namely: (i) Moist Forest Mosaic; (ii) Coastal Forests and Thickets; (iii) Afromontane; (iv) Acacia—Savannah Grassland; (v) Acacia—Commiphora Thornbush; and (vi) Brachystegia—Julbernardia—Savannah Woodland. Proportionately, Tanzania has a much bigger land surface area devoted to resource conservation (29 percent) than most countries. The hierarchical protected-area system consists of national parks (12), game reserves (28), the Ngorongoro Conservation Area (1), and game-controlled areas (38) totaling 240,000 km2. In addition to the wildlife-protected areas, there are 540 forest reserves covering 132,000 km2, equivalent to 15 percent of the total woodland and forest area in Tanzania, not including the Mafia Island Marine Park.
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Figure 1. Tanzania Protected Areas
Source: NEMC.
Tanzania also has a highly diverse and widely distributed amphibian population that is particularly endemic to the coastal forests and the forests of the Eastern Arc Mountains. Tanzania has 293 reptile species that are also widely distributed throughout the country and not greatly threatened by habitat change. The number of bird species found in Tanzania is 1,065. Of these, 25 are endemic, and all but 3 species are limited to forest habitats. Some 302 species of terrestrial mammals reside in Tanzania. Of these 302 species, 13 species (4 percent) and 5 subspecies are endemic to Tanzania and Kenya, and 1 subspecies is endemic to Tanzania and Uganda.
The species of critical importance include chimpanzee, colobus and mangabey monkeys, elephant, and a dwindling population of black rhinoceros. The larger carnivores include lions, leopards, cheetahs, and African wild dogs. There are over 30 antelope species, and the giraffe population is the largest in Africa. Tanzania also has a rich menagerie of small mammal species, including bats (97species), shrews (32 species), and rodents (100 species).
Tanzania 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).
3.4.2 Key environmental and social features3
3 Data from Tanzania’s Joint Assistance Strategy, March 2007, and Tanzania’s National Strategy for Growth and Reduction of Poverty (MKUKUTA) of June 2005.
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According to the latest estimates, the population of Tanzania is estimated at 36 million people in approximately 130 tribes, with a 2.5 percent growth rate (national census 2002).
Despite its potential and rich resource endowment, Tanzania is one of the poorest countries in the world, with a gross domestic product (GDP) per capita of US$552 in 2010 (estimated by U.S. Department of State). The economy depends heavily on agriculture, which accounts for over 40 percent of GDP, provides 85 percent of exports, and employs about 80 percent of the workforce. Nearly 90 percent of the poor in Tanzania are in rural areas, and the sale of crop and livestock products accounts for about 75 percent of rural households’ cash income. The severe degradation of land, forests, and water resources that support agriculture has become an obstacle to the revival of the rural economy.
Official estimates suggest that over half of Tanzania’s 36 million people live below the international “dollar-a-day” poverty line. Poverty is more widespread in rural areas, with almost 61 percent of the rural population categorized as poor, compared to 39 percent of the urban population. Income distribution is uneven; in the 1998 rural survey, the lowest quintile accounted for only 7 percent of mean expenditures.
Tanzania’s low electricity access rates are serious constraints in rural areas. Despite healthy real economic growth (above 5 percent per year since 2001), low inflation and adequate foreign exchange reserves, access rates remain low for electricity: 13 percent of the overall population and less than 2 percent of the rural population. These low rates are a major constraint to higher rural nonfarm incomes and an improved quality of life that can be gained from improved household lighting, productive activities and from improved service delivery in rural health, education, and water facilities. Biomass, particularly fuelwood, constitutes 95 percent of rural energy consumption, contributing to environmental degradation.
With access to electricity at less than 2 percent, the low consumption of commercial energy in rural areas has suppressed economic growth, which is manifested in low levels of agricultural mechanization and industrialization. Presently, the existing energy supplies, especially electricity, are delivered at high cost. Investment and private participation in rural energy development are inadequate.
Health and education progress in Tanzania has been slow, although some achievements have been recorded in recent years. Life expectancy at birth increased from 44 in 1978 to 54 years for males and 56 years for females in 2002; infant mortality dropped from 100 to 68 per 1,000 between 2000 and 2004, while child mortality dropped from 141 to 112 per 1,000 between 2000 and 2004. However, infant, child, and maternal mortality rates still remain among the highest in the world, and more than one-third of all children under five are malnourished. HIV/AIDS incidence (human immunodeficiency virus/acquired immunodeficiency syndrome) is high, with 7 percent of the population between 15 and 49 years of age HIV positive. In the 1990s, HIV incidence increased significantly among this group and was higher among women, but recent data indicate a stabilization trend. Communicable diseases (HIV/AIDS, persistent malaria, acute respiratory infection, and diarrhea), malnutrition, and poor quality health care have been major factors in poor survival indicators. Finally, the proportion of the rural population with access to safe water remains low (47 percent in 2001).
Net primary school enrolment increased from 57 percent in 2000 to 95 percent in 2005, but the illiteracy rate remains high. The illiteracy breakdown by age and gender is:
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0 to14 years: 44.3 percent (male 7,988,898; female 7,938,979) 15 to 64 years: 53.1 percent (male 9,429,959; female 9,634,102) 65 years and over; 2.6 percent (male 405,803, female 524,713)
3.4.3 Characteristics of poverty
Based on the results of the in-country consultations with local communities, local and central governments, and civil society members during the preparation of this ESMF, 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, dependant
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.
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Environmental PoliciesOP/BP 4.01 Environmental AssessmentOP/BP 4.04 Natural HabitatOP/BP 4.09 Pest Management OP/BP 4.36 ForestOP/BP 4.37 Safety of Dams
Social PoliciesOP/BP 4.10 Indigenous PeopleOP/BP 4.12 Involuntary Resettlement OP/BP 4.11 Cultural Property
Legal PoliciesOP/BP 7.50 International WaterwaysOP/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
4. World Bank Safeguard Policies
4.1 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. Likewise, the World Bank has a Public Disclosure Policy that is of cross-character and applies in all the Safeguards Policies.
Figure 2. World Bank Safeguard Policies
Source: World Bank, Safeguard Policies.
The Safeguard Policies pursue three objectives: (i) ensuring that environmental and social issues are evaluated in the preparation and decision-making process; (ii) reducing and mitigating the environmental and social risks of Bank-financed programs or projects ; and (iii) providing mechanisms for consultation and information disclosure.
According to the agreements between the GoT and the World Bank, the REA will comply with all the Safeguard Policies in the subproject or activities funded under the TEDAP off-grid component, irrespective of whether or not they are being funded in whole or in part by the World Bank, the GoT, or any other donor. 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, and summaries are included in annex 2 of this ESMF. The Safeguard Policies can be used as part of the environmental and social management process presented in section 5 of this ESMF.
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4.2 Safeguard Polices Triggered by the TEDAP
In electrification/power projects, the environmental and social Safeguard Polices that are commonly triggered are:
- OP/BP 4.01 Environmental Assessment- OP/BP 4.04 Natural Habitats- OP/BP 4.11 Physical Cultural Resources - OP/BP 4.12 Involuntary Resettlement- OP/BP 4.37 Safety of Dams- OP/BP 7.50 Projects on International Waters
Table 2 presents the common settings in which the safeguards are triggered and generic directions to comply with them.
Table 2. Social and Environmental Safeguards Commonly Activated in Hydropower Projects
Safeguard Policy Trigger settings and requests
Environmental Assessment
This safeguard is typically triggered in projects where the work will affect, temporary or permanently, the natural environment and/or society, through direct, indirect, or cumulative impacts.
The project will develop the environmental and social studies (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 critical area from an environmental perspective.
Depending on the potential 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.
Involuntary Resettlement
This safeguard is triggered when projects require the relocation of people or compensation is required because of project impacts on livelihoods or natural resources. The affectation 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.
Cultural Properties
This safeguard might be triggered during projects constructed in zones of recognized archaeological/cultural/physical potential.
Investigations, Rescue, and the Chance Finds Procedures Plan are the most common instruments required.
Safety of This safeguard is relevant for projects involving small dams (mini- or micro–
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Safeguard Policy Trigger settings and requests
Dams hydroelectric power), normally less than 15 meters in height (OP/BP 4.37).
For small dams, generic dam safety measures designed by qualified engineers are usually adequate. For large dams, the Bank requires:
Reviews of the investigation, design, and construction of the dam and the start of operations by an independent panel of experts;
Preparation and implementation of detailed plans: a plan for construction supervision and quality assurance, an instrumentation plan, an operation and maintenance plan, and an emergency preparedness plan;
Prequalification of bidders during procurement and bid tendering; and Periodic safety inspections after completion.
For subprojects that involve the use of existing dams or those under construction, the Bank requires that the subproject sponsors arrange for one or more independent dam specialists to: inspect and evaluate the safety status of the existing dams or their appurtenances and performance history; review and evaluate the owner’s operation and maintenance procedures; and provide a written report of findings and recommendations for any remedial work or safety-related measures necessary to upgrade the existing dams to an acceptable standard of safety (this report is the Dam Safety Measures Report [DSMR]).
Projects on International Waters
This safeguard applies when potential international water rights may be an issue for subprojects on the following types of international waterways: rivers, canals, lakes, or similar body of water that forms a boundary between, or any river or body of surface water that flows through, two or more states; any tributary or other body of surface water; and any bay, gulf, strait, or channel bounded by two or more states or, if within one state, recognized as a necessary channel of communication between the open sea and other states, and any river flowing into such waters.
Projects on international waterways may affect relations between the Bank and its borrowers and between states (whether members of the Bank or not). The Bank recognizes that the cooperation and goodwill of riparians is essential for the efficient use and protection of the waterway. The Bank stands ready to assist riparians in achieving this end.
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 subprojects (ESIAs, ESMPs, RAPs, or others) as part of the participation and consultation process.
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5. Environmental and Social Management
The overall purpose of this section is to present, on the basis of a diagnosis (section 3) and the Bank’s Safeguard Policies (section 4), the main activities, instruments, and procedures for the environmental and social management that should be implemented by the REA along the project cycle to ensure the environmental and social sustainability of the subprojects and to comply with national environmental law and the Bank’s Safeguard Polices.
According to the Environmental Management Act, Cap 191 of 2004, environmental management can be referred to as protection, conservation, and sustainable use of various elements or components of the environment. Environmental management is exercised through the observation of principles that:
(i) The environment is the common heritage of present and future generations;(ii) Adverse effects should be prevented or minimized through long-term integrated
planning and coordinated efforts that consider the entire environment as a whole entity;(iii) The precautionary principle, which requires that if there is risk of serious irreversible
adverse effects occurring, a lack of scientific certainty should not prevent or impair implementation of precautionary measures to protect the environment;
(iv) The polluter pays principle, which requires that any person causing adverse effect on the environment shall be required to pay in full the social and environmental costs of avoiding, mitigating, and/or remedying those adverse effects;
(v) The public participation principles, which require the involvement of the people in the development of policies, plans, and processes for the management of the environment;
(vi) Access to environmental information, which enables citizens to make informed personal choices and encourages improved performance by industry and government;
(vii) Access to justice, which gives the public and interest groups the opportunity to protect their rights to participation and to contest decisions that do not take their interest into account;
(viii) The generation of waste should be minimized, and wherever practicable, waste should, in order of priority, be reused, recycled, recovered, and disposed of safely in a manner that avoids creating adverse effects, or if this is not practicable, is least likely to cause adverse effects;
(ix) The environment and natural resources are vital to people’s livelihoods and are to be used sustainably to achieve poverty reduction and social economic development;
(x) Nonrenewable natural resources must be used prudently, weighing the consequences for present and the future generations; and
(xi) Renewable natural resources and ecosystems must be used only in a manner that is sustainable and does not prejudice their viability and integrity.
At project level, such as development of small hydropower projects, environmental management can be exercised through the EIA process and implementation of mitigation and monitoring plans.
5.1 Project Cycle and Stakeholders
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
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and preliminary assessment; (ii) assessment or appraisal; (iii) legal agreement; (iv) construction; and (v) operation. The stakeholders involved in the TEDAP include: REA, NEMC, districts, developers, constructors, and the World Bank.
5.1.1 Identification and preliminary assessment
The first stage of the project cycle is where it is very important to include the subprojects’ environmental and social variables that will receive support from the TEDAP. The EIA’s and Audit Regulations 2005 first schedule stipulates that all hydroelectric power projects have to undergo the EIA process, which starts with project identification, followed by preparation of the project brief that is submitted to the NEMC with project registration forms and registration fees. If the proposed project seems to have significant environmental and social impacts, the project proponent shall be asked to prepare the Environmental and Social Screening Form (ESSF) and the terms of reference (ToR) of the environmental and social studies and submit them to the NEMC for approval.
5.1.2 Assessment of appraisal
In this stage, once the subproject has been categorized and the TOR has been approved, the project proponent prepares the studies required by the national law: the Environmental and Social Impact Assessment (ESIA) report, which also includes the Environmental and Social Management Plan (ESMP) and may require a Resettlement Action Plan, the communications plan, and others. NEMC is responsible for review of the ESIA report. The minister responsible for environment will issue an ESIA certificate after receiving recommendations from NEMC. The project proponent has to take the project through the approval process. Annex 3 presents the steps defined by the law for the ESIA process.
5.1.3 Legal agreement
In this stage, 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.
5.1.4 Construction
During construction, it is important to monitor implementation of the environmental and social measures and actions included in the plans. In this stage, the Environmental and Social Monitoring Report (ESMR) should be prepared to show proof of environmental and social management during construction. Once the subproject is completed, an Environmental and Social Final Report (ESFR) should be prepared to confirm that all the environmental and social measures are complete. The project proponent is responsible for ensuring compliance with the ESIA certificate conditions throughout the construction of the proposed project. Annex 4 presents guidelines for environmental and social monitoring activities.
5.1.5 Operation
During subproject operation, it is important to monitor environmental and social conditions to ensure that operational activities are not affecting the environment or surrounding communities.
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5.2 Roles and responsibilities of stakeholders
5.2.1 Ministry of Energy and Minerals and Rural Electrification Agency
The REA is responsible for the environmental and social management of the TEDAP off-grid component. The instruments that ensure the environmental and social sustainability of the subprojects and the compliance of the environmental and social law and the Bank’s Safeguard Polices is this ESMF and the Resettlement Management Framework (RMF).
The REA manages the REF and allocates one-off partial capital subsidies on a transparent basis for rural electrification subprojects. These capital subsidies are disbursed to the operators that meet eligibility criteria established in REA’s Operating Guidelines.
In addition, the REA approves eligibility of the subproject for the TEDAP credit line, which is administered through a trust agent, and channeled through Tanzanian commercial banks.
5.2.2 National Environmental Management Council
The NEMC is the national authority responsible for ensuring compliance with the national environmental law. The main evidence of compliance with the national environmental law is the environmental license that is certified once the developers complete the environmental and social due diligence process.
The NEMC, which is centrally located in Dar es Salam, has no decentralized structure and does not have the capacity to carry out 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 NEMC will oversee this process. The NEMC 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 when required.
The execution of the processes contained in this ESMF will be reviewed, cleared, and monitored by the NEMC, MoEM, and the districts.
Therefore, NEMC will perform three critically important roles as follows:
(i) Review, clearance, and approval of the operators ESIA/process for category A and B subprojects;
(ii) Train district staff to carry out monitoring; and(iii) Monitor oversight.
The NEMC is also responsible for:
(i) Ensuring that operators comply with Tanzania’s environmental laws and requirements, and any of the World Bank’s triggered Safeguard Policies;
(ii) Receiving, reviewing, commenting on, requiring revisions where necessary, and clearing of operators’ completed ESIAs for category A and B subprojects prior to issuance of the license from the regulator and financing from the REF;
(iii) Reviewing and compiling monitoring reports of the district coordinators; and
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(iv) Issuing directives, based on M&E reports, to operators and district environmental coordinators and, in cooperation with other ministries, support programs that enhance environmental education and increase public awareness.
5.2.3 Districts
Districts are responsible for:
(i) Receiving, reviewing, commenting on, and requiring revisions where necessary for category C subprojects’ ESMPs, prior to issuance of the license from the regulator and financing from the fund;
(ii) Regular and intrusive monitoring during planning, implementation, construction, operations, and maintenance stages of the subproject;
(iii) Preparing periodic monitoring reports on operator activities at all stages of operations and regularly sending these reports to the NEMC for compiling and monitoring of cumulative impacts across Tanzania;
(iv) Complying with the directives of the NEMC and the MoEM (consistent with national laws); and
(v) Issuing directives to subproject operators consistent with national laws on environmental requirements.
5.2.4 Developers
The developers are responsible for conducting the environmental and social studies required by national law and the Bank’s Safeguard Policies. Once the studies are complete, the developers should present all documentation required by the NEMC to obtain the environmental license. During project implementation and operation, the developers are responsible for ensuring implementation of the environmental and social plans, including:
(i) Complying with all national laws regarding the environment and with all social/poverty guidelines, parameters, and targets set by the GoT and all triggered World Bank Safeguard Policies;
(ii) Implementing their program activities according to and consistent with the provisions of this ESMF and incorporating, among others, all appropriate mitigation measures identified in their completed ESIA or ESMP into the construction planning cycle, technical and engineering designs and drawings, civil works contracts, and others as necessary;
(iii) Ensuring that mitigation measures are complied with during construction and postconstruction (that is, operations) stages of the subproject by self-monitoring their activities and periodically reporting to their respective district environmental coordinator;
(iv) Maintaining an adequate budget to implement the appropriate maintenance procedures and practices for their operations to ensure that the relevant mitigation measures identified in the ESIA or ESMP are implemented and sustained during operations; and
(v) Complying with any directives issued from the MoEM, the NEMC, and the districts.
Hence, the responsibilities of the subproject developer regarding environmental management include:
Preparing and submitting the Environmental and Social Screening Form (ESSF); Preparing the ESIA or ESMP according to subproject category;
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Preparing full RAP or Abbreviated Resettlement Action Plan (ARAP), depending on the number of people to be displaced (more than 10 but less than 200, ARAP can be used, more than 200 persons, full RAP required);
Signing the legal agreement with the REA; Preparing tender and including the environmental requirements in the tender document
and highlighting the corresponding obligations of the contractor; and Implementing environmental and social measures according to the ESMP.
5.2.5 Constructors
The constructors are the parties responsible for ESMP and RAP implementation to ensure adequate environmental and social management during construction.
5.2.6 Electricity and Water Utility Regulatory Authority
EWURA will be responsible for, among others, regulating the rural electricity subsector and issuing licenses and permits to approved operators. As specified in this ESMF, EWURA will only issue licenses after operators have received environmental and social clearances from the NEMC and/or the district environmental coordinators.
5.2.7 World Bank
The Bank is the responsible for following up on subprojects’ compliance with its Safeguard Polices. If the subproject has been classified as a subproject of moderate or high environmental and/or social risk (category A or B) for the magnitude of the works and the potential environmental and social negative impacts, the subproject needs the Bank’s “no objection” at different stages of the project cycle.
5.3 Key Environmental and Social Methodologies, Instruments, and Procedures
5.3.1 Environmental and social category
The magnitude of the negative environmental and social impacts differs depending on the nature of the subproject, its extent, and whether implementation occurs in sensitive areas. Therefore, it is very important to categorize the environmental and social risk level to determine the next steps, in terms of studies, to ensure adequate environmental and social management during the project cycle. The ESMF provides a three-step model to help categorize subprojects.
Step 1: First preliminary classification—magnitude of works
Based on national legislation and the type of small-scale nonrenewable and renewable energy subprojects, most of the subprojects—except mini-hydro-power and distribution lines—are classified as a category B. Projects for minihydro and distribution lines (TEDAP subprojects) could be category A. But this classification doesn’t include the “magnitude” of the subproject; moreover, it is important to know subproject type and scope.
The types of renewable energy subprojects for rural electrification include:
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Small hydropower (between 2 to 10 MW); Mini-hydro-power (between 0.5 to 2 MW); Micro-hydro-power (less than 0.5 MW); Distribution lines; and Decentralized solar PV energy.
In function of the scope of the works, projects could be:
New subproject (when the subproject proposed is a new investment); Upgrade (for existing units, but subproject will improve it to generate more energy); Rehabilitation (works to improve the existing subproject, but is not expect to generate
more energy); and Maintenance (periodic works to maintain subproject in optimal conditions) to improve
technical conditions.
Using this information, table 3 presents the first environmental and social classification in function of the magnitude of the works, where the number 1 represents the subproject with more potential for negative environmental and social impacts, and the number 4 the subproject with less potential for negative impacts.
Table 3. Environmental and Social Classification in Function of the Type of Subproject
Scope of worksType of subproject
A B C D Ea. New construction 1 2 3 3 4b. Upgrade 1 2 3 3 4c. Rehabilitation 2 3 3 4 4d. Maintenance 3 3 4 4 4
Step 2: Second preliminary classification—site sensitivity
To define the site sensitivity level (low, moderate, or high), table 4 can be used as a checklist to assess potential environmental and social issues.
Table 4. Site Sensitivity Checklist
Sensitivity Description
High
- National park or protected area—NEMC- High index of biodiversitya
- High degree of threat - CITES - High danger of environmental degradation (deforestation, hunt, and others) - Mountainous topography (>35% of slope) when the project expects
construction of access road - Zones vulnerable natural disasters (floods, earthquake, and others) - Sensitive or critical ecosystem areas in the direct influence area (wetlands,
mangrove swamps, primary or secondary forests, and others)—NEMC- Zones recognized as ethnic group area or with vulnerable populations in the
direct influence area of the project- Affectation of houses or productive lands (more than 200 families affected) - Presence of places of significant cultural and historical interest in the direct
influence area
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MODERATE
- Buffer protected areas—NEMC- Moderate index of biodiversitya
- Moderate degree of threat—CITES- Moderate danger of environmental degradation (deforestation, hunt, and
others)- Wavy topography (15–35% of slope) when the project expects the construction
of access road - Moderate risk to natural disasters (floods, earthquake, and others) - Sensitive or critical ecosystems areas in the indirect influence area (wetlands,
mangrove swamps, primary or secondary forests, and others)—NEMC- Zones recognized as ethnic group area or vulnerable populations in the indirect
influence area of the project - Affectation of houses or productive lands (more than 10 families but less than
200 families)- Presence of places of cultural and historical significance in the indirect
influence area
LOW
- Intervened areas out of zones, national parks, or buffer areas—NEMC- Low biodiversity degreea - Low degree of threat—CITES - Low degree of endemism—CITES - Low danger of environmental degradation (deforestation, hunt, and so forth) - Flat topography (<15% of slope), when the project expects the construction of
access road- Vegetation intervened - Zones at low risk to natural disasters (floods, earthquake, and others)- No sensitive or critical ecosystems areas in the direct influence area
(wetlands, mangrove swamps, primary or secondary forests, and others)—NEMC
- Absence of places with cultural and historical significance - No people affected by the project- Absence of ethnic groups
Note: CITES = Convention on International Trade in Endangered Species.a. Holdridge Zones Live 1992.
If at least one setting is high, the site sensitivity of the entire subproject is HIGH; if no setting in high, but at least one setting is moderate, the site sensitivity is MODERATE; and if there are no high or moderate settings, site sensitivity is LOW.
Step 3: Environmental and social category
The environmental and social category depends on the type of subproject (step 1) and the site sensitivity (step 2; table 5). The first column of table 5 contains the precategories or classifications obtained in step 1, and the remaining three columns contain the levels of site sensitivity obtained in step 2.
Table 5. Environmental and Social Category
Preliminary classification
Site sensitivityHigh Moderate Low
1 A A B2 A B B3 B B C4 B C C
Category A: Projects with high environmental/social risk, because the area of influence presents a high level of
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sensitivity and the civil works are of such a magnitude that they can alter the natural environment, biodiversity, the economic organization, and cultural property.
Category B: Projects with moderate environmental/social risk, because the area of influence presents a moderate level of sensitivity and the civil works are not as large. The environmental and social impacts are easily identifiable.
Category C: Those projects with low environmental/social risk. The natural environment, biodiversity, population, and cultural property are not at risk.
Note: Project exclusion:- Projects that irreversibly affect special or endemic fauna or flora in danger of extinction- Projects that negatively affect human health- Projects that cause irreparable impacts to cultural properties
5.3.2 Instruments for the environmental and social management
A series of environmental and social instruments (templates) have been designed for use by the developers, the REA, and the NEMC to systematize the environmental and social activities that will be developed along the project cycle, organize the processes, and keep records of the process.
The management instruments identified for the different stages of the project cycle are the (i) Environmental and Social Screening Form (ESSF); (ii) Environmental and Social Monitoring Report (ESMR); and (iii) the Environmental and Social Final Report (ESFR). Annex 5 contains templates of these internal management instruments.
a. Environmental and Social Screening Form
The ESSF was the first management instrument created by the developers during the first stage of the project cycle (Identification Stage) to identify the potential environmental and social risks, their categorization, and the environmental and social studies required by the subproject to be conducted during the assessment stage.
b. Environmental and Social Monitoring Report
The ESMR is the second management instrument developed by the REA and can also be used by the NEMC during works execution to follow up and monitor the implementation of the environmental and social measures identified in the ESMPs. The ESMR contains basic information about the periodic field visits, the persons who visited the subproject, the environmental and social aspects observed during the site visit, and recommendations for the developers/constructor.
c. Environmental and Social Final Report
The ESFR is the third and final management instrument to be developed by REA, and can also be used by the NEMC once the subproject’s works execution has ended to verify compliance with the environmental and social measures agreed upon in the plans.
5.3.3 Studies for environmental and social management
To comply with national environmental law and safeguards, all infrastructure projects must go through an environmental and social assessment process.
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a. Environmental and social studies required by national law
The environmental studies required by national environmental law (annex 6) are the ESIA when the subproject category is “A,” and the ESMP when the subproject category is “B.” Subproject category C requires just the application of the Guidelines of Good Environmental and Social Practices developed by the REA for small power plants.
b. Environmental and social studies required by the Bank’s Safeguard Policies
If any additional safeguard issues are identified, it will be necessary to conduct environmental and social studies to comply with the Bank’s Environmental and Social Safeguard Policies:
If Natural Habitat issues are identified, a special analysis of the natural habitat will be necessary to identify measures to prevent, mitigate, and/or compensate, the potential negative impacts into the ESIA document. When significant amounts of natural habitat will be converted or degraded by the project, the special analysis must explain why there is no feasible alternative and show that the overall benefits of the project exceed the environmental costs.
If Involuntary Resettlement is triggered, a full Resettlement/Compensation Action Plan or Abbreviated Resettlement/Compensation Plan must be developed. The guidelines to prepare these instruments are in the RMF.
In case of potential impacts in areas recognized for cultural or historical significance, the Physical Cultural Resources Policy is triggered, which requires use of the Chance Find Procedures Plan (annex 7.1) to prevent or minimize potential impacts.
In relation with the Dam Safety Policy, the Bank focuses on the safety of new and existing dams. During the useful life of a dam, the owner is in charge of looking over the adoption of appropriate measurements and the supply of the necessary resources to support dam safety, independent of the sources of financing or the stage of construction.
Small dams (mini- or micro-hydro-electric power) are normally less than 15 meters in height (OP/BP 4.37). In these cases, generic dam safety measures designed by qualified engineers are usually adequate.
For large dams, the Bank requires:
(i) Reviews by an independent panel of experts for the investigation, design, and construction of the dam and the start of operations;
(ii) Preparation and implementation of detailed plans, including a plan for construction supervision and quality assurance, an instrumentation plan, an operation and maintenance plan, and an emergency preparedness plan;
(iii) Prequalification of bidders during procurement and bid tendering; and (iv) Periodic safety inspections of the dam after completion.
In the case of existing dams, the Bank requires that the subproject owner arrange for one or more independent dam specialists to inspect and evaluate the safety status of the existing dams or their appurtenances and its performance history; review and evaluate the owner’s operation and maintenance procedures; and provide a written report of findings and
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recommendations for any remedial work or safety-related measures necessary to upgrade the existing dams to an acceptable standard of safety. The guidelines for preparing a Dam Safety Measures Report are presented in the annex 7.2.
Finally, to comply with the Bank’s public consultation and disclosure policy, a Public Consultation Plan (PCP) should be incorporated into the ESIA. The guidelines for preparing a PCP are presented in annex 7.3.
5.3.4 Public participation and disclosure mechanism
a. Public participation
Public participation is required during the scoping stages and while fulfilling the terms of reference for the impact assessment of the ESIA process. The developer is responsible for identifying interested and affected parties and ensuring that all parties concerned are given adequate opportunity to participate in the process. The developer should launch the public information program and issue public notices during the scoping and ESIA stages
Whenever there is strong public concern over a proposed project and impacts are expected to be extensive and far-reaching, the NEMC is required to organize a public hearing. The outcome of the public hearing should be considered when deciding whether or not a permit should be issued.
b. Disclosure
All subprojects should include a strategy for public information disclosure to keep the general public and those involved in the project informed about its purpose and potential environmental and social impacts. Information will be disseminated to local communities via the REA’s Web page and local media.
In general, the information published should contain: (i) Basic information on the subproject; (ii) Schedule of activities before the bidding process and during construction; (iii) Environmental and social studies, including the RAP, Heritage and Cultural Resources
Plan, and others; and (iv) The summary and results of the community dialogue and public participation.
5.4 Environmental and Social Management along the Project Cycle
Environmental and social management includes all the activities, responsibilities, and management instruments that all the stakeholders of the TEDAP should be engaged in during the project cycle to ensure the environmental and social quality of the subproject and compliance with national environmental and social laws and the Bank’s Safeguard Policies.
5.4.1 Stage 1: Identification and preliminary assessment
In this stage the project developer identifies the project. According to the environmental guidelines, the project proponent will register the project with the NEMC after completing the registration form, paying applicable fees and submitting the project brief, which the NEMC will use to screen the project. Therefore, the project proponent will have to describe all important
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environmental and social variables of the project using the Environmental and Social Screening Form (ESSF).
Activities that take place in this stage include:
Developers request the application form from the REA to apply to the resources of the TEDAP.
The application form includes the ESSF designed for and presented in this ESMF, which is the first environmental and social instrument in the project cycle. The main purpose of the ESSF is to determine the environmental category and the studies required by the national environmental law and the Bank’s Safeguards Policies. The project proponent will complete the form with assistance from environmental expert.
The application form, including the ESSF, is completed by the developers and submitted to the REA for its review. The REA and NEMC will use this instrument to screen the project and advise accordingly whether it is category A, B, or C and hence the level of ESIA required.
The REA reviews the application form, including the ESSF, with the support of the REA environmental and social specialists. If the REA has any comments or observations about the ESSF, it requests the developers to correct or clarify.
The REA archives the ESSF in the subproject file.
5.4.2 Stage 2: Assessment
In this stage, once the subproject has been categorized, all the environmental and social studies required by the national law (ESIA, ESMP, and others) and the Safeguard Polices (RAP, Communications Plan, and others) should be completed. At the end of this stage, all the subprojects should have the NEMC environmental license.
It is the responsibility of the developer to undertake the ESIA or ESMP, and therefore it is necessary to ensure that the ESIA or ESMP complies with both the NEMC and World Bank requirements. Based on the ESIA guidelines and studies required by the national laws and the World Bank, various templates can be developed to ensure uniform report content acceptable to all approving authorities (the REA, NEMC, and World Bank).
The activities that take place in this stage include:
The REA, knowing the subproject’s environmental category, identifies the environmental and social studies required by national law and the Bank’s Safeguard Policies.
The REA sends subproject documentation to the NEMC, including the ESSF, to confirm the environmental category and the environmental and social studies required by the national law.
The NEMC reviews the ESSF to confirm the environmental category and the environmental and social studies required to comply with national law. If the subproject is category A, it requires an ESIA in accordance with the guidelines developed by the NEMC; if the subproject is category B, it requires an ESMP developed in accordance with
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the guidelines developed by the NEMC; and if the subproject is category C, it requires the application of the Guidelines of Good Environmental and Social Practices developed by the REA for off-grid electric transmission and small power plant projects.
All subprojects (whether category A, B, or C) should be reviewed by the Bank. REA will send the Bank the application form and ESSF for its “no objection.”
The developers are responsible conducting the environmental and social studies. If the developer has already completed the environmental study (ESIA or ESMP), send the study to REA for its review and “no objection”. If the developer doesn’t have the environmental study, he or she takes into account the guidelines presented in this document in order to prepare the studies.
Preparation of all the studies requires including the NEMC and Bank requirements for public consultation and disclosure.
Once the environmental study has been reviewed by REA to ensure compliance with the Safeguard Policies and is acceptable to present to the NEMC, the REA sends a letter to the developer with the “no objection” to present the study to the NEMC.
If the subproject has its environmental license, it is also important to present the environmental study and the license to the REA for review to ensure that the study approved by the NEMC complies with the Bank’s Safeguard Policies. If the conclusion of REA is that additional studies are necessary to comply with the Safeguard Policies, the REA sends a letter to the developer requesting the additional studies.
The REA archives the studies generated in the subproject file.
5.4.3 Stage 3: Legal agreement
Once the environmental and social studies (required by the national law and the Bank’s Safeguards Policies) have been reviewed and approved by the REA and presented to the NEMC to obtain the environmental license, the REA begins preparing the legal agreement documentation;
The REA includes in the legal agreements a specific environmental and social clauses that state the developer’s obligation to comply with and implement all actions and measures identified in the environmental and social studies and plans developed during the previous stage; and
The legal agreement is signed by the REA and the developer.
5.4.4 Stage 4: Construction
Once the legal agreement has been signed, the developer begins the bid process to select the company to execute the subproject. The bid documents should include the environmental and social studies so that the technical and economic proposals can incorporate implementation of environmental and social measures. The economic proposals should include a specific budget to implement the environmental and social plans.
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Once the constructor company has been selected and contracted, the developer must obtain the respective environmental license. The works can’t begin without the environmental license.
During construction, the REA and NEMC will follow-up to ensure compliance with environmental and social plans. To conduct this follow-up, the REA will use the second management instrument designed in this ESMF, which is the Environmental and Social Monitoring Report (ESMR). The purpose of the ESMR is to record observations from the field visit and any resulting recommendations, so that developers can confirm that environmental and social aspects are being properly managed during project execution.
The REA sends the ESMR to the developers so they can review the observations and recommendations and incorporate as necessary.
The ESMR will be used each time the REA makes a field visit; the number of visits depends on the environmental and social risk levels.
Once subproject work has been completed, the REA should develop the third management instrument, the Environmental and Social Final Report (ESFR), to review implementation of the environmental and social plans.
The REA sends a letter (including the ESFR) informing the developer that the subproject is closing.
The REA archives the ESMR and ESFR in the subproject file.
5.4.5 Stage 5: Operation
The developer is responsible for the environmental and social management during the operation stage. At this time, the developer should again take into account all the measures and actions mentioned in the environmental and social studies.
A summary of the activities, responsibilities, and the environmental and social management instruments that the stakeholders are responsible for developing during the project cycle are presented figure 3.
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Figure 3. Flow Chart of the Environmental and Social Management of the TEDAP
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ANNEXES
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Annex 1. Sensitive Areas and Ecosystems in Tanzania
Areas prone to natural disasters (geological hazards, floods, rainstorms, earthquakes, landslides, volcanic activity, and others)
Wetlands (flood plains, swamps, lakes, rivers, and others) and water bodies.
Areas susceptible to erosion, for example, hilly areas with critical slopes and unprotected or bare lands
Areas of importance to threatened cultural groups
Areas with rare, endangered, or threatened plants and animals
Areas of unique socio-cultural, historic, archaeological or scientific significance, including related tourist areas
Polluted areas
Area subject to desertification and bush fires
Coastal areas and marine ecosystems such as coral reefs, islands, lagoons and estuaries, continental shelves, beach fronts, and intertidal zones
Areas declared as national parks, watershed reserves, forest reserves, wildlife reserves and sanctuaries, sacred area wildlife corridors, and hot spring areas
Mountainous areas, water catchment areas, and recharge areas of aquifers
Areas classified as prime agricultural lands or range lands
Greenbelts or public open spaces in urban areas
Burial sites and graves
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Annex 2. World Bank Environmental and Social Safeguard Polices
1. Environmental Assessment (OP/BP/GP 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 transboundary and global environmental aspects.
The environmental and social impacts of the TEDAP will come from the subproject/rural electrification packages’ activities that will receive financing under the TEDAP. However, since the location of these subprojects will not be identified before appraisal of the program, the EA process calls for the GoT to prepare this ESMF to establish a mechanism to determine and assess future potential environmental and social impacts during implementation of the subproject/rural electrification packages under the proposed TEDAP, and then set out mitigation, monitoring, and institutional measures to be implemented during subproject operations to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels.
Therefore, this ESMF establishes the EA process for implementation of subproject activities in the proposed TEDAP off-grid component.
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 subprojects are sited on lands already converted (excluding any lands that in the Bank's opinion were converted in anticipation of the subproject). 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 postdevelopment 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.
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3. 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 seems inevitable for certain types of subprojects in certain areas. This social issue is of crucial concern to the GoT and the Bank, because its impact on poverty, if left unmitigated, is negative, immediate, and widespread. Thus a Resettlement Management Framework (RMF) has been prepared by the government and approved by the Bank in compliance with OP/BP 4.12. The RMF provides guidelines for the RAP that must be prepared when any program investment triggers this policy. The RAP is prepared by the developer and submitted to the respective district executive director for approval. In some cases, the World Bank reserves the right to review any RAP as a condition for financing that particular subproject investment.
This policy would be triggered when a subproject causes the GoT 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 subproject 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 subproject construction to ensure that displacement or restriction of access does not occur before necessary measures for resettlement and compensation are in place. For subprojects requiring land appropriation, it is further required that these measures include provision of compensation and of other assistance required for relocation, prior to displacement, and preparation and provision of resettlement sites with adequate facilities, where required. In particular, the appropriation of land and related assets may take place only after compensation has been paid, and where applicable, resettlement sites, new homes, related infrastructure, and moving allowances have been provided to displaced persons. For program activities requiring relocation or loss of shelter, the policy further requires that measures to assist the displaced persons are implemented in accordance with the RAPs.
Where there is a conflict between the laws of Tanzania and the Bank’s OP/BP 4.12, the latter must take precedence if the Bank is to fund the subproject.
4. Safety of Dams (OP/BP 4.37)
The Bank may finance types of projects/programs that do not include a new dam, but will rely on the performance of an existing dam, such as water supply systems that draw directly from a reservoir controlled by an existing dam; diversion dams or hydraulic structures downstream
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from an existing dam, where failure of the upstream dam could cause extensive damage to or failure of a new Bank-funded structure; and/or irrigation or water supply projects that will depend on the storage and operation of an existing dam. Projects/programs in this category also include operations that require increases in the capacity of an existing dam, or changes in the characteristics of the impounded materials, where failure of the existing dam could cause extensive damage to or failure of Bank-funded facilities.
Activities in some electrification packages financed under the TEDAP off-grid component, such as hydropower subprojects, may involve the use/rehabilitation of existing dams (large and small), or the construction of new dams. Whereas other type subprojects may depend only on the use of existing dams. In these particular cases, the dams will probably used for one or a combination of these reasons;
As a reservoir; To manage water flow and levels in rivers/lakes; and Provision of head of water.
Therefore, for subprojects that use existing dams, the Bank requires that the subproject developer arrange for one or more independent dam specialists to:
Inspect and evaluate the safety status of the existing dams or their appurtenances and performance history;
Review and evaluate the owner’s operation and maintenance procedures; and Provide a written report of findings and recommendations for any remedial work or safety-
related measures necessary to upgrade the existing dams to an acceptable standard of safety.
The Bank may accept previous assessments of dam safety or recommendations or improvements needed in the existing dam if project sponsors or owners/operators of the dam provide evidence that:
An effective dam safety program is already in operation; and Full inspections and dam safety assessments of the existing dam that are satisfactory to
the Bank have already been conducted and documented.
For subprojects that involve the construction of new dams, the Bank requires that the dam be designed and its construction supervised by experienced and competent professionals. It also requires that the subproject sponsor adopt and implement certain dam safety measure for the design, bid, tendering, construction, operation, and maintenance of the dam.
The Bank distinguishes between small and large dams. Small dams are normally less than 15 m in height. This category also includes, for example, low embankment tanks. Large dams are 15 m or more in height. Dams that are between 10 and 15 m in height are treated as large dams if they present special design complexities—for example, an unusually large flood-handling requirement, location in a zone of high seismicity, foundations that are complex and difficult to prepare, or retention of toxic materials. Dams fewer than 10 m are treated as large dams if they are expected to become large dams during the operation.
For small dams, generic dam safety measures designed by qualified engineers are usually adequate.
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For large dams, the Bank requires:
(i) Reviews by an independent panel of experts on the investigation, design, and construction of the dam and at the start of operations;
(ii) Preparation and implementation of detailed plans, including for construction supervision and quality assurance, instrumentation, operations and maintenance, and emergency preparedness;
(iii) Prequalification of bidders during procurement and bid tendering; (iv) Periodic safety inspections after dam completion; and(v) A Dam Safety Measures report (DSMR).
5. Projects on International Waters (OP/BP/GP 7.50)
This policy applies when potential international water rights may be an issue for subprojects involving any of the following types of international waterways in Tanzania:
(i) Any river, canal, lake, or similar body of water that forms a boundary between, or any river or body of surface water that flows through, two or more states—for example, the lakes Victoria, Nyasa, and Tanganyika, which border neighboring states;
(ii) Any tributary or other body of surface water that is a component of any waterway described in (i) above—many rivers in Tanzania are either sourced from or flow directly into one these lakes; and
(iii) Any bay, gulf, strait, or channel bounded by two or more states or, if within one state, recognized as a necessary channel of communication between the open sea and other states, and any river flowing into such waters.
Projects on international waterways may affect relations between the Bank and its borrowers and between states (whether members of the Bank or not). The Bank recognizes that the cooperation and goodwill of riparians is essential for the efficient use and protection of waterways. Therefore, the Bank strongly appreciates riparians making appropriate agreements or arrangements to ensure cooperation and goodwill across the entire waterway or any part thereof. The Bank stands ready to assist riparians in achieving this goal.
This policy requires the GoT, if it has not already done so, to formally notify riparians of the proposed TEDAP and any details of subproject activities that will involve international waterways.
6. 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 subproject that will significantly damage irreplaceable cultural property, and will assist only those subprojects that are sited or designed so as to prevent such damage.
It is not anticipated that the subprojects 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.
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Annex 3. Guidelines for the ESIA Process
The environmental and social assessment process in Tanzania is presented in part VI of the EMA 2004, EIA and Audit Regulation of 2005, and also in the General Environmental Impact Assessment Guidelines and Procedure, prepared by NEMC (revised in March 2002), which contains five volumes:
Volume 1: The main document that elaborates the proposed EIA process; Volume 2: Screening and scoping guidelines; Volume 3: Guidelines on report writing; Volume 4: Guidelines for EIA review and monitoring; and Volume 5: Checklist of environmental characteristics.
The ESIA process involves the following six steps:
Step 1: The developer is required to register the subproject with the NEMC. The developer completes the Preliminary Environmental Assessment Registration Form.
Step 2: The developer sends the NEMC the registration form, including a brief project description and environmental and social screening to determine the level at which the ESIA should be carried out.
Step 3: With the support of environmental expert consultant, produce a scoping report and TOR for conducting the proposed ESIA study. The scoping report and draft TOR are submitted to the NEMC for review, improvement, and approval.
Step 4: Consultant conducts the ESIA study in accordance with the TOR approved by the NEMC.
Step 5: Before submitting the ESIA to the NEMC, the developer should submit the ESIA to the REA for review if the study includes the requirements of the Bank’s Safeguard Policies. Once the ESIA is reviewed and approved by the REA, send the ESIA to the NEMC for its review. The Technical Review Committee established by the NEMC reviews the ESIA and notifies the minister responsible for environment whether the ESIA is acceptable or not. The NEMC could request that the developer make corrections and improvements based on the ESIA.
Step 6: The developer, with the support of the consultant, includes the NEMC and REA recommendation and submits the final document to the NEMC for approval. If the document is acceptable, the NEMC prepares a recommendation for the environmental minister to issue an ESIA certificate.
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Annex 4. Guidelines for Environmental and Social Monitoring
The two objectives for monitoring are: (i) to alert project authorities and to provide timely information about the effectiveness of the environmental and social management process outlined in the ESMF so that changes can be made as required to ensure continuous improvement to the process; and (ii) to make a final evaluation to determine whether the mitigation measures designed into the operators’ subprojects/activities have been successful in such a way that the environmental and social condition of the subproject site has been restored or improved upon, or if conditions are worse than before, and to determine what further mitigation measures may be required.
A number of indicators would be used to determine the status of affected people and their environment (land being used compared to before, how many rural places/areas/communities have access to electricity compared to before, are marginalized groups being included, and so forth). Therefore, a program’s environmental and social management process will set two major socioeconomic goals by which to evaluate success:
(i) Has the subproject’s environmental state of natural resources, biodiversity, and flora and fauna been maintained or improved upon at the subproject sites; and
(ii) The effectiveness of the ESMF technical assistance, review, approval, and monitoring process.
To assess whether these goals are met, the districts and the NEMC will identify parameters for monitoring, institute monitoring milestones, and provide resources necessary to carry out the monitoring activities. The following are some pertinent parameters and verifiable indicators to measure the ESMF process, mitigation plans, and performance;
Number of district environmental coordinators who have successfully received ESMF training;
Number of subproject ESIAs/ESMPs cleared and approved and number not approved or referred for additional work;
Number of subprojects implementing ESMPs during construction and postconstruction; Percentage/number of impacts successfully mitigated in sample number of subprojects
using measures contained in approved ESIA/ESMP, at certain periodic intervals in the subproject’s life;
Efficiency of the developer (maintenance and operating performance); How many RAPs have been fully executed before project-affected people are physically
displaced? How many recorded grievances cases have been settled within one year? For subprojects involving dams, number of dams implementing dam safety measures
during construction and 1 year, 2 years, 3 years, and 4 years after construction; Out of the number of poor and vulnerable areas identified in each district in the social
assessment studies/rural electrification master plan, how many of them are: (i) Targeted for provision of electricity? (ii) At what rate are they being provided? And (iii) how many have benefited from this TEDAP?
What techniques are the districts/operators employing to ensure vulnerable groups are consulted and are benefiting from project activities? Are these techniques working?
At all stages of operations, at what frequency and rate are the districts monitoring operator activities?
How many districts are up to date with their periodic monitoring reports?
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Is the NEMC receiving the periodic monitoring reports of the districts and what are the main concerns of the NEMC at this stage?
Is the NEMC compiling the periodic reports of the districts and is it forwarding them to the MoEM?
Other indicators can be developed based on the results of the social assessment/participatory consultation.
Developers
The environmental and social impacts and their corresponding mitigation measures are to be monitored during implementation (construction/rehabilitation works) and operation (including maintenance) stages of the subprojects by the developers. No assignment of monitoring responsibilities to other parties will absolve developers from their responsibility to successfully manage, mitigate, or monitor any adverse impacts caused by their subprojects. Developers main roles and responsibilities for monitoring subproject impacts and their corresponding mitigation measures are:
(i) Developers, assisted by their service providers/consultants/experts, will monitor the environmental and social impacts and mitigation measures of their subproject activities as contained in their cleared and approved ESIA/ESMP and all other documents in their individual application4;
(ii) Developers will monitor and evaluate the environmental and social impacts of their subproject and the mitigation measures designed regularly and as frequently as specified in their application and will maintain suitable records to be made available to their respective district, NEMC, and REA officers;
(iii) Developers will monitor the impacts and mitigation measures during all phases of subproject execution, that is, from planning stage to construction, to operation and maintenance stages;
(iv) Developers will also be responsible for monitoring the environmental and social impacts and mitigation measures resulting from the actions of their contractors, subcontractors, transporters, suppliers, and all other third parties in the course of their duties; and
(v) Finally, developers are also responsible for monitoring the environmental and social impacts and mitigation measures of their subproject activities at other locations beyond their subproject sites, at end-user locations such as in rights of way, servitudes, and on nearby wetlands, game parks, and others.
Therefore, wherever environmental and social impacts are or can be attributed to their subproject activities, the appropriate mitigation measures will be applicable, consistent with this ESMF and the subproject’s ESIA and/or ESMP, and the developers would be responsible for monitoring and evaluation these measures. The developers will prepare and submit periodic monitoring reports to their respective districts and NEMC.
4 Application refers to the complete set of operator bid/tender documents, including the completed ESIA, ESMP, technical designs, drawings, civil works contracts, and others.
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Districts (environmental coordinator)
Districts will play the lead role in monitoring developer activities in their jurisdiction. Districts will carry out this role by ensuring that ESMPs contained in the cleared subproject application/design package are being implemented correctly. That is, districts will monitor the developers’ monitoring procedures and reports on a regular basis, perhaps quarterly. Districts will rely on a bottom-up feedback system, to them from the operators, by going through their monitoring reports and making regular site visits to inspect and verify the nature and extent of the impacts and the success or inadequacy of the mitigation measures.
Districts will prepare consolidated periodic monitoring reports for submission to the NEMC. Districts will need equipment and transportation to effectively carry out their tasks, and these will be provided by the TEDAP.
National Environment Management Council
The NEMC will do on-the-ground ESMF performance reviews/audits both for enforcement purposes and to reinforce training and keep developers and district environmental coordinators cognizant of their responsibilities. The NEMCs will carry out this role by:
(i) Reviewing in each district the ESIA for category A and B subprojects and the ESMP for category C subprojects submitted to their district environmental coordinator;
(ii) Reviewing the appraisal form completed by the district environmental coordinators and the clearance decision contained therein;
(iii) Visiting the subproject site during construction to ensure activities are in accordance with the ESMP and civil works contract, and after construction completion to ensure subproject is being implemented and operated as designed.
In addition to the on-the-ground environmental reviews and implementing the training program, the NEMC will also be monitoring the ESIA and plans. The NEMC will perform this role by reviewing periodic reports from the districts, preparing consolidated periodic monitoring reports, and making spot/unannounced site inspections at the district level and at subproject site locations. The NEMC will report its findings to the MoEM and the districts.
Rural Electrification Agency
The REA will monitor developer activities during construction using the ESMR management instrument discussed earlier. The REA will coordinate the monitoring activities with the NEMC and the districts (environmental coordinators).
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Annex 5. Templates for Environmental and Social Management Instruments
A5.1 Environmental and Social Screening Form
ESSFENVIRONMENTAL AND SOCIAL SCREENING FORM
1. General InformationName of the project proponent (developer)
Contact person:Address and telephone:
Project name:
Location: - Province:- District:
Evaluator name: Date of field visit:
2. Subproject
Description and general purpose of the project: ________________________________________________________________________________________________________________________
Infrastructure, material requirements, and activities to be undertaken- ________________________________________- ________________________________________
3. Environmental and Social ManagementImpact analysis: - Positive and negative impacts
- Direct and indirect impacts- Accumulative impacts
Measures: - Prevention measures- Mitigation measures- Compensation measures
4. First Preliminary Classification: Magnitude of the Subproject
Type of subproject:A. Small hydropower (>2 and <10 MW)B. Mini-hydro-power (0,5 to 2 MW)C. Micro-hydro-power (less than 0,5 MW)D. Decentralized solar PV energyE. Distribution lines
Scope of works: a. New constructionb. Upgrade c. Rehabilitationd. Maintenance
Matrix 1. Classification in Terms of Magnitude
Scope of worksType of subproject
A B C D Ea. New construction 1 2 3 3 4b. Upgrade 1 2 3 3 4c. Rehabilitation 2 3 3 4 4d. Maintenance 3 3 4 4 4
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5. Second Preliminary Classification: Site SensitivityHIGH MODERATE LOW
National park or protected area—NEMC High index of biodiversity (Holdridge
Zones Live 1992) High degree of threat—CITES High danger of environmental
degradation (deforestation, hunt, and others)
Mountainous topography (>35% of slope) when the project expect the construction of access road
Zones vulnerable natural disasters (floods, earthquake, and others)
Sensitive or critical ecosystem areas in the direct influence area (wetlands, mangrove swamps, primary or secondary forests, and others)—NEMC
Zones recognized as ethnic group area or with vulnerable populations in the direct influence area of the project
Affectation of houses or productive lands (more than 200 families affected)
Presence of places of significant cultural and historical interest in the direct influence area
Buffer protected areas—NEMC Moderate index of biodiversity—
(Holdridge Zones Live 1992) Moderate degree of threat—CITES Moderate danger of environmental
degradation (deforestation, hunt, and others)
Wavy topography (15–35% of slope) when the project expect the construction of access road
Moderate risk to natural disasters (floods, earthquake, and others)
Sensitive or critical ecosystems areas in the indirect influence area (wetlands, mangrove swamps, primary or secondary forests, and others)
Zones recognized as ethnic group area or vulnerable populations in the indirect influence area of the project
Affectation of houses or productive lands (more than 10 families but less than 200 families)
Presence of places of cultural and historical significance in the indirect influence area
Intervened areas out of national parks, or buffer areas—NEMC
Low biodiversity degree—(Holdridge Zones Live 1992)
Low degree of threat—CITES Low danger of environmental
degradation (deforestation, hunt, and so forth)
Flat topography (<15% of slope), when the project expects the construction of access road
Vegetation intervened Zones at low risk to natural
disasters (floods, earthquake, and others)
No sensitive or critical ecosystems areas in the direct influence area (wetlands, mangrove swamps, primary or secondary forests, and others)
Absence of places with cultural and historical significance
No people affected by the project Absence of ethnic groups
6. Environmental and Social CategoryCategory A:Projects with high environmental/social risk, because the road influence area has a high level of sensitivity and the civil works are of such magnitude that they can alter the natural environment, biodiversity, economic organization, and cultural property.
Category B:Projects with moderate environmental/social risk, because the road influence area has a moderate level of sensitivity, and the civil works are not of such a large scale. Environmental and social impacts that can appear in this type of project are easily identifiable.
Category C:Projects with low environmental/social risk, because the natural environment, biodiversity, population, and the cultural property are not at risk.
Matrix 2. Environmental and Social Category
Preliminary classification
Site sensitivityHigh Moderate Low
1 A A B2 A B B3 B B C4 B C C
7. Environmental and Social Studies Required by National Law
Category A: Category B:Category C:
Environmental and Social Impact Assessment (ESIA)Environmental and Social Management Plan (ESMP)Guidelines of Good Environmental and Social Practices (GGESP)
8. Environmental and Social Safeguard Policy Requirements
12345
Resettlement Action Plan (RAP) Abbreviated Resettlement Action Plan (ARAP) Chance Find Procedures Plan (CFPP) Dam Safety Measures Report (DSMR) Others: _______________________________
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9. Map, Design, and/or Other Supporting Drawing and Layout
10. Official Decision—NEMC
Comments _________________________________________________________________________________________________________________________________________________________________________________
Officer: Signature: Date:
11. Official Decision—REA
Comments _________________________________________________________________________________________________________________________________________________________________________________
Officer: Signature: Date:
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A5.2 Environmental and Social Monitoring Report
ESMRENVIRONMENTAL AND SOCIAL MONITORING REPORT
Project name: ________________________________ Env. & soc. category: _________
Project manager: ___________________________________ ___________________ Sign
Evaluator: Env & soc. expert: __________________________ ___________________ Sign
1. Environmental and Social EffectsSummary of the environmental effects of the project predicted during project planning.
2. Environmental and Social Effects Observed in the Field VisitSummary 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 SpecificationAssessment of how project is complying with environmental design specifications, including environmental protection and control, mitigation, and reimbursement and compensation measures, if any.
4. Results of the Field VisitProvide results of the evaluation of specific biophysical and socioeconomic effects, including deviations from baseline values if available.
5. Conclusions and Recommendations for Project OperationRecommended adjustments to project operations if any, including rationale for the recommendations.
6. Conclusions and Recommendations for Monitoring ProgramRecommended adjustments to the monitoring program, if any, including rationale for recommendations.
7. Other Observations, Recommendations, and Conclusions
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A5.3 Environmental and Social Final Report
ESFRENVIRONMENTAL AND SOCIAL FINAL REPORT
Project name: ______________________________________ Env. & soc. category: ___________
Project manager: ___________________________________ _______________________ Sign
Evaluator: Env & soc. expert: _________________________ _______________________ Sign
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. BackgroundCapture 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.
No. Mitigation measures
Accomplishment Time still needed to accomplish
measures ObservationsYes No %
4. Conclusions Based on the examination, prepare conclusions regarding fulfillment of the mitigation measures and recommendations.
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Annex 6. Studies Required by National Environmental Law
A6.1 Guidelines for Environmental and Social Impact Assessment
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 Tanzania’s needs for the ESIA.
2. Project Description
Describes the subproject 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 subproject (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 subproject 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.
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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.
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.
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A6.2 Guidelines for Environmental and Social Management Plan
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 subproject schedule.
6. Cost Estimates and Source of Funds
These are specified for the initial subproject investment and for the mitigation and monitoring activities as the subproject is implemented. Funds to implement the environmental and social plans will predominantly come from the developer, with possible assistance from the TEDAP.
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Annex 7. Studies Required by World Bank Safeguard Policies
A7.1 Chance Find 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
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(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.
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.
Nonsuspension 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.
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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
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.
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A7.2 Dam Safety Measures Report
This report is used when the purpose of the subproject is the rehabilitation of an existing dam or a dam under construction.
1. Purpose and Scope of Work
The purpose of the dam safety assessment is to prepare a reconnaissance-level assessment of quality management of a dam or weir, and of the reliability of the water source. The work will involve initial and wrap-up meetings with personnel responsible for the dam/weir; a field examination; and a DSMR of findings and recommendations. If deemed necessary, the report will provide a ToR for more thorough follow-up activities to identify (to feasibility level with cost estimates) the investments and other measures needed to ensure the safety of the dam/weir.
2. Qualifications of the Dam Specialist
The work will be carried out by a dam specialist (DS) independent from the owner/operator of the dam/weir and who has not been associated with the design, construction, and operation of the dam/weir. The DS will have appropriate qualifications and substantial experience with the design, construction, operation and maintenance of dams, especially in developing countries.
3. Investigations of Operating Conditions
The owner/operator of the dam/weir will provide the DS with the following information:- Construction year, first impoundment;- Dam size: height (m), crest length (m);- Reservoir size (m3);- Dam type;- Estimated population downstream that would be threatened by dam failure; and- Estimated replacement cost.
The DS will discuss with the owner/operator past and current operations and maintenance (O&M) practice with particular reference to:- Existing records;- Maintenance logbooks;- Instrumentation and monitoring;- Emergency preparedness;- O&M resources (human and financial); and- Status of reservoir sedimentation and measures to prolong the life of storage (reservoir
conservation).
4. Investigations of Structural Conditions
Depending on the type of dam/weir, a suitable checklist for the inspection activities will be used. Inspection details are left to the DS who will carry out the task; however the inspection report should contain the following information:- Construction year, first impoundment;- Dam/weir size: height (m), crest length (m);
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- Reservoir size (m3);- Dam type;- Geotechnical aspects of foundations;- Design flood return period (years);- Availability of as-built drawings;- Spillway reliability assessment;- Bottom outlet reliability assessment;- Seepage;- Deformations, settlements;- Conditions of slopes/concrete structures;- Active storage (m3);- Estimated population downstream that would be threatened by dam failure; and- Estimated replacement cost.
5. Investigations of Regulatory Framework
The DS will: Discuss the existing regulatory framework for dam/weir safety with relevant authorities
(regulator, line ministries, utilities, and others); Compare the existing regulatory framework, in matrix format, with comments as necessary
regarding the essential elements identified in the World Bank’s Regulatory Frameworks for Dam Safety—A Comparative Study5;
Identify opportunities and constraints to achieving the essential elements; and If judged feasible, develop reference ToR for an action plan aimed at achieving the
essential elements in the national context (priorities, institutional reforms, incentives, enforcements, and so forth)
6. Dam Safety Report
The DS will produce a Dam Safety Report that includes: Description of the dam/weir, ownership, and regulatory framework; Dam safety assessment according to international standards (such as the International
Commission on Large Dams); Structural measures required to bring safety to acceptable standards, including a
preliminary cost estimate differentiating interventions in three categories: (i) emergency (human life at immediate risk); (ii) urgent (likely to pose a risk to human life, major assets at risk); and (iii) significant (any needed rehabilitation beyond meaningful maintenance);
Nonstructural measures (instrumentation and monitoring, standby electricity supply, training, dam safety plans) to be implemented to make dam safety sustainable after rehabilitation; reference should be made to OP4.37 Safety of Dams, and appendices of Regulatory Frameworks for Dam Safety;
Preliminary assessment of reservoir sedimentation status and recommendations to prolong life of storage facilities;
Resources needed for reliable O&M (human resources and recurrent costs); Overall assessment of challenges and opportunities for the management of the dam/weir. ToR for the preparation of feasibility studies for any required rehabilitation measures
(structural and nonstructural).
5 D. Bradlow, A. Palmieri, and Salman M. A. Salman, Regulatory Frameworks for Dam Safety—A Comparative Study, World Bank Law, Justice, and Development Series, Washington, DC (2002).
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A7.3 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 subproject 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.
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
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Develop a budget.
Table A7.1 Methods and Levels of Public Involvement
Method Description Target
Level of public
involvement
Public involvement
analysisMedia announcement
Operator will describe what is occurring
Operator could solicit input from the general public
General public Education Information
feedback
No participation Some
participation
Storefront access
Operator has open door policy for public to walk in and discuss project, issues, and offer input
General public Education to information feedback
None to some participation
Newsletter Operator forwards regular progress newsletters to selected individuals and groups (stakeholders)
Identified stakeholders, groups, and individuals
Education No participation
Questionnaire This method is more for gathering information as a project input
General public Education and information gathering, but could be categorized as consultation as well
Could be reasonable participation
Interest group meetings
Operator holds regular meetings with different interest groups to educate
For information feedback For input to decision making
Identified stakeholders, groups
Education Information
feedback Consultation
or joint planning
No participation Some
participation More and possibly
significant participation
Advisory groups Operator forms an advisory group of representatives of various stakeholder groups
Advisory groups of selected individuals
Consultation Joint planning
Some participation
Significant participation
General meetings
Operator holds general meetings at strategic times during the process
General public Education Information
feedback
No participation Some
participationKnowledgeable and influential persons
Operator identifies the knowledgeable and influential individuals in the community
Knowledgeable and influential persons
Education Information
feedback Consultation
No participation Some
participation Some
participation, but could be very significant
Planning group Operator assembles a group from the stakeholders who will provide planning input
Planning group of selected or elected individuals
Joint planning Very significant participation
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