consultants for development - world bank · web view2013/01/21 · although land in general is...

Environmental and Social Management Framework

Local Governance and Service Delivery ProjectRepublic of South Sudan

DRAFT

Dege ConsultDecember 2012

E4109

ESMF - LGSDP South Sudan

List of Content

1 Executive Summary.............................................................................................................11.1 Introduction.................................................................................................................11.2 Objective and Scope of Work.....................................................................................11.3 Rationale for Preparing the ESMF..............................................................................21.4 Policy and Legal Framework......................................................................................21.5 ESMF Implementation................................................................................................31.6 Capacity Building for ESMF implementation............................................................31.7 Environmental and Social Impacts.............................................................................3

2 LGSD and its components...................................................................................................63 Purpose and methodology..................................................................................................10

3.1 Purpose......................................................................................................................103.2 Methodology.............................................................................................................10

4 Socio-economic and environmental context......................................................................114.1 Socio-economic and cultural setting.........................................................................124.2 Environment and natural resource setting.................................................................13

5 Regulatory and Administrative framework.......................................................................165.1 Transitional Constitution..........................................................................................165.2 Land Act....................................................................................................................165.3 Draft Environment Policy.........................................................................................175.4 South Sudan Development Plan................................................................................175.5 Existing institutional setup........................................................................................18

6 Applicable World Bank Safeguard Policies......................................................................196.1 OP 4.01 Environmental Assessment.........................................................................226.2 OP 4.10 Indigenous Peoples.....................................................................................226.3 Chance find of physical cultural resources...............................................................23

7 Potential impacts and mitigating measures........................................................................238 Capacity development........................................................................................................32

8.1 Safeguards staff.........................................................................................................328.2 Training.....................................................................................................................328.3 Technical assistance..................................................................................................378.4 Operational support...................................................................................................37

9 Subproject management procedures..................................................................................379.1 Subproject preparation and application....................................................................379.2 Screening, appraisal and approval of subprojects.....................................................389.3 Disclosure of subproject information........................................................................38

10 Environmental Management Plan (EMP)..........................................................................3811 Chance find of physical cultural resources........................................................................4112 ESMF Monitoring, reviews and evaluation.......................................................................42

12.1 Monitoring................................................................................................................4212.2 Reviews.....................................................................................................................4212.3 End-of-project evaluation.........................................................................................42

13 ESMF implementation Budget..........................................................................................4314 Public consultation, disclosure and grievances..................................................................43

14.1 Public consultation....................................................................................................4314.2 Disclosure.................................................................................................................43

ii


14.3 Feedback and Grievance mechanism........................................................................44Annex A - Literature................................................................................................................45Annex B - List of people consulted.........................................................................................46Annex C - Checklist for screening of subprojects...................................................................47Annex D - List of subproject that are not eligible for funding................................................50Annex E - Procedures for chance find of physical cultural resources.....................................51Annex F - Form for appraisal of subproject.............................................................................53Annex G - Form for field appraisal..........................................................................................56Annex H Format for Documenting Voluntary Land Donation by Individual for Subprojects

58Annex I - Template safeguards procedures for contracts........................................................59Annex J - ESMF reporting form..............................................................................................62Annex K - Guidelines for annual reviews................................................................................63Annex L: Template for Environmental Management Plan (EMP)..........................................65

iii


Abbreviations

Abbreviation ExplanationBDC Boma Development CommitteeCBO Community Based OrganizationCDC Community Development CommitteeCDD Community-Driven DevelopmentCDG County Development GrantsEIA Environmental Impact AssessmentEMP Environmental Management PlanESMF Environmental and Social Management FrameworkFP Facilitating PartnerFTI Fast Track InitiativeGRSS Government of the Republic of South SudanIDP Internally Displaced PersonLGB Local Government BoardLGSD Local Governance and Service Delivery ProjectMoCYS Ministry of Culture, Youth and SportsM&E Monitoring and EvaluationMoE Ministry of EnvironmentMoFEP Ministry of Finance and Economic PlanningMoGCSW Ministry of Gender, Child and Social WelfareNGO Non-Governmental OrganizationOP Operational PolicyPCSO Project Coordination and Support OfficePDC Payam Development CommitteePDG Payam Development GrantsPMU Project Management UnitRoSS Republic of South SudanSSDP South Sudan Development PlanTA Technical AssistanceUNDP United Nations Development ProgrammeUNICEF United Nations Children's FundUSD United States DollarWB World Bank

iv

1 Executive Summary

1.1 IntroductionIn order to support the Government of the Republic of South Sudan's (GRSS) efforts to deliver services to the population, the World Bank (WB) and bilateral donors are supporting the development of the Local Government Service Delivery Project (LGSD). LGSD aims at supporting improvements in local governance and deliver services to communities through strengthening of community engagement and local government capacities in planning, implementation and oversight of local development activities.

The project development objective of the LGSD is to improve local governance and service delivery in participating counties in South Sudan. LGSD will support a simple process for planning, implementation and oversight of small-scale public infrastructure subprojects corresponding to community priorities, through four inter-related components.

a. Component 1: Block Grants to Counties for Payam Development. The objective of this component is to incentivize citizen engagement and county capacity development by providing grants (rule-based resources) through the intergovernmental fiscal transfer system to finance community-driven public infrastructure investments.

b. Component 2: Community Engagement. The objective of this component is to facilitate and strengthen the engagement of communities in the planning, implementation and oversight of local development activities, with a particular focus on vulnerable social groups (including women, elderly, youth, disabled, displaced, returned, minority ethnic groups etc.) and their access to social and economic infrastructure.

c. Component 3: Institutional Strengthening. The objective of this component is to increase the capacity of county governments to fulfill the roles and functions required to effectively implement the local development investment cycle.

d. Component 4: Project Management Support. This component will support the management of the project, including technical, financial, procurement, social and environment safeguards, monitoring and evaluation; spot checks and Annual Performance Audits of county grant management and individual subprojects as well as annual Project Financial Audits; implementation of a grant monitoring system, project monitoring framework and system as well as project evaluations; and implementation of a grievance mechanism related to all project supported activities.

These components operate in an integrated and complementary manner to strengthen elements of the annual local public investment management cycle of counties, which progresses from participatory identification of and allocation of resources to subprojects, sub-project implementation, reporting and oversight mechanisms. The efficacy of this cycle is dependent on relationships between three main stakeholders—the county governments, communities and higher tiers of government.


1.2 Objective and Scope of WorkThe objective of this assignment is to assist the Ministry of Finance and Economic Planning (MoFEP) and the Local Government Board (LGB) in assessing the potential impacts of LGSD with respect to the applicable World Bank safeguards policies and to draft an ESMF with the following objectives: To identify the potential positive and negative social and environmental impacts of project

supported subprojects; To identify measures for mitigating adverse social and environmental impacts and

measures to enhance positive impacts; To establish clear procedures and methodologies for the environmental and social

screening, planning, review, approval and implementation of subprojects to be financed under LGSD;

To specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to subprojects;

To determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF;

To establish the project funding required to implement the ESMF; and To provide practical resources for implementing the ESMF.

The ESMF was developed based on an extensive literature review, as well as discussions and interviews with key resource persons working for GRSS ministries and donors. Discussions were also held with the civil society representatives and more consultations with community representatives are scheduled and will inform finalization of the ESMF.

1.3 Rationale for Preparing the ESMFIt is anticipated that the proposed subproject activities under LGSD will generate potential environmental and social impacts, and measures need to be put in place in order to mitigate the negative impacts and enhance the positive impacts. This involved the review of the relevant environmental and social policies of RoSS namely the draft Environment Policy and draft Environmental Bill, the Land Act 2009 and the relevant World Bank Safeguards Policies including the environmental and social management requirements outlined in the Environmental Assessment policy (OP.4.01). LGSD activities will generate small, reversible and localized impacts, and since the specific activities and exact locations are not known, the indicative list of subprojects was used to identify the likely positive and negative environmental and social impacts. The ESMF, as a safeguard instrument, has been prepared to identify, analyze and mitigate any potential impacts of the project.

1.4 Policy and Legal FrameworkOnly a limited number of RoSS policies and legislations have been developed since independence. The main ones of relevance to environmental and social safeguard measures are the Transitional Constitution, the 2009 Land Act, the National Development Plan, the draft Environmental Policy and draft Environmental Bill.

2


OP 4.01 World Bank (WB) Operational Policy on Environmental Assessment and Operational Policy 4.10 on indigenous people are triggered by the LGSD. Several subprojects to be financed under Component 1 will have positive environmental and social impacts. Others could potentially result in adverse impacts on the environment. However, given the anticipated small scale of the subprojects, the negative environmental impacts are likely to be localized, temporary, and easily mitigated through sensible construction management techniques, and diligent management practices. This ESMF therefore helps the project comply with the OP 4.01 World Bank. OP 4.11 on Physical Cultural Resources is not triggered. Any project activity that would affect physical cultural resources (graves, sites of religious/spiritual significance, known or unknown sites of cultural significance, etc.) will be excluded from the project.

OP 4.10 on Indigenous Peoples is triggered. Analysis by Bank and other experts confirms that the majority or all people in the project area meet the requirements of the policy. As Indigenous Peoples are the sole or the overwhelming majority of direct project beneficiaries in South Sudan and the elements of an Indigenous Peoples Plan (IPP) have been incorporated into the overall project design. OP 4.12 on Involuntary Resettlement is not triggered as no land acquisition will be required for subproject implementation. Any subproject requiring land acquisition will be excluded. The ESMF provides a format for recording voluntary community donations of land for subprojects.

1.5 ESMF ImplementationThe capacity for implementation of the environmental and social management measures as laid out in the Laws and Policies is very limited across the five administrative units, namely - National, State, County, Payam and Boma. The existing capacity of the implementing institutions - MoFEP, LGB, state Ministries of Local Government and Ministries of Finance, and participating counties- to implement the ESMF and other environmental and social safeguard instruments is very limited. However, checklists for screening; formats for preparation, appraisal and approval of LGSD subprojects along with a format for Environmental Management Plan (EMP) as well as procedures for public disclosure and addressing grievances are included in the ESMF.

1.6 Capacity Building for ESMF implementationThe project has provided for capacity building and technical support to MoFEP, LGB, PMU, FPs, state ministries of Local Government and Ministries of Finance, and county level institutions in environmental and social safeguards management including implementing and monitoring to increase their effectiveness. A senior safeguards specialist and safeguards officer at the national PMU will oversee safeguards implementation in LGSD; liaise with National and State Environmental Ministries on a regular basis; ensure compliance with ESMF and other safeguard instruments; build capacity and troubleshoot for the state and county level focal points; prepare and implement EMP and other instruments as required; and raise awareness and build capacity of various stakeholders at the state, county and payam levels. Earmarked budget of USD 86,000 will support capacity development of these focal points..

3


1.7 Environmental and Social ImpactsBased on the indicative list of subprojects, consultations and professional judgment, the following are the indicative list of positive and negative social and environmental impacts.

The identified key positive environmental and social impacts include: Increased employment opportunities (laborers, guards etc. during construction) Increased employment opportunities (guards and small-scale craftsmen: plumbers,

carpenters etc. during use and maintenance) Increased income (improved market access, increased agricultural production) Improved access to basic social services (e.g. education, health care, water, etc) Improved health Improved aesthetics due to more environmentally friendly construction. Improved capacity of state and county focal points due to on-the-job training in

environmental and social assessment. Improved capacity of MoE to handle chance find of physical cultural resources.

The ESMF has also identified the following key potential negative environmental and social impacts during construction and use and maintenance of subproject facilities: Loss of vegetation cover causing erosion of soil and siltation of streams Dumping of construction debris Use of limited or sensitively located local construction materials such as aggregate and

wood Dust and noise pollution due to movement of equipment, digging Pollution of surface and ground water due to oil and fuel spills and exposure of ground

water table Chance find of physical cultural resources Health hazards due to inadequate cleaning and maintenance of latrines Stagnant water causing health hazards Health hazards caused by inadequate storage and disposal of medical and other wastes Pollution of soil and water resources due to inappropriate collection and disposal of refuse

and waste Change of water flow causing water shortage, change of water course, etc. downstream Safety concerns due to speeding vehicles Lowering of water table

Mitigation measures identified for key adverse environmental and social impacts of the subprojects that relate to construction and/or rehabilitation of physical structures are presented below.

Subproject Potential negative impact Mitigating measuresEnvironmental impacts

Loss of vegetation cover causing erosion of soil and siltation of streams

Cutting of vegetation to be kept at a minimum, replanting around construction

Application of appropriate erosion-protection measures, in particular when working on slopes

Works adjacent to a water resource require temporary barriers on slopes to prevent silt from entering the water resource

4


Subproject Potential negative impact Mitigating measures Dumping of construction debris Disposal of construction debris should occur

at waste dumps Use of limited or sensitively located local

construction materials such as aggregate and wood

Ensure aggregate is only obtained from locations with no risk of river bank collapse, landslides, loss of flora and fauna, etc.

Minimize the use of wood for construction Dust pollution due to movement of

equipment, digging Prevention of excessive dust emissions

including cement dust by careful handling and working under moist conditions as much as possible

Noise pollution due to use of equipment Use of noisy equipment should be concentrated during day-light hours

Pollution of ground water due to oil and fuel spills and exposure of ground water table

All solid waste, fuels or oils should be collected

Ensure the presence of oils spill containment at the construction site

The bottom of the pit is at least 1.5 m above the water table

Latrines should be located at least 30 m from any water source

Occupational health and safety due to hazards from handling of equipment

The contractor should protect workers by ensuring the use of protective equipment

Chance find of physical cultural resources Follow procedures in chapter 11 for chance find of physical cultural resources

Stemming of water flow during construction of bridges causing water shortage, change of water course, etc. downstream

Leave some channels to allow for continued flow downstream.

Design bridge to ensure minimum changes in water flow

Social Impacts Health hazards due to inadequate cleaning and maintenance of latrines

Maintenance plans for school latrines must be developed

Health hazard due to stagnant water at water points acting as breeding ground for malaria carrying mosquitoes and other vector-borne diseases

All water facilities must have proper drainage

Health hazards caused by inadequate storage and disposal of medical and other wastes

Provide collection and disposal system for medical or others wastes, e.g. incinerators or transfer to special dump sites

Safety hazards due to collapsing latrine pits

Latrine design standards must be adhered to

Safety concerns due to speeding vehicles Provide speed control bumps where road is close to community to avoid accidents and dust and noise pollution

Interference with culturally sensitive sites, graveyards, spiritual sites

Avoid siting haffirs/boreholes or other water supply structures or any infrastructure even if it involves changing the dimensions and sizes

5


2 LGSD and its components

LGSD aims to support improvements in local governance and service delivery by strengthening community engagement and local government capacities in the planning, implementation and oversight of local development activities. The project responds to the unique imperatives in South Sudan—the need to deliver early benefits to communities in the context of weak government capacity while at the same time strengthening government institutions and legitimacy—by combining features of traditional local government and community-driven development operations.

The project development objective of the LGSD is to improve local governance and service delivery in participating counties in South Sudan. LGSD will support a simple process for the planning, implementation and oversight of small-scale public infrastructure subprojects corresponding to community priorities, through four inter-related components. These components operate in an integrated and complementary manner to strengthen elements of the annual local public investment management cycle of counties, which progresses from participatory identification of and allocation of resources to subprojects, sub-project implementation, reporting and oversight mechanisms. The efficacy of this cycle is dependent on relationships between three main stakeholders - the county governments, communities and higher tiers of government.

Component 1: Block grants to counties for payam development. The objective of this component is to incentivize citizen engagement and county capacity development by providing grants (rule-based resources) through the intergovernmental fiscal transfer system to finance community-driven public infrastructure investments. Therefore the project will support Payam Development Grant (PDG), which will complement the existing CDG (funded by the GRSS budget and focusing on county government prioritized infrastructure investment). The PDG will provide dedicated resources within county budgets that respond to payam level priorities for small infrastructure investments. Counties will be the formal budgeting, procurement and accounting authority for the PDG. County eligibility for the PDG will require signature of a Participation Agreement, adequate reporting of prior grant use, and a ‘clean’ audit report for the prior budget year. Allocations to participating counties will be made on an annual basis through a population weighted formula from a national resource envelope. By establishing clear criteria for eligibility of both counties (based on administrative rigor and engagement with communities) and subprojects (based on their responsiveness to community demand), the PDG will also contribute to institutionalizing precedents for sound and responsive county management of the CDG and other resources. An overview of the allocation of PDG, fund flow and reporting and oversight arrangements is included in figure 2.1 below.

Figure 2.1: PDG allocation, fund flow, reporting and oversight arrangements

6


The PDG menu includes mainly public goods such as social and economic infrastructure; it may also include ‘club goods’ benefiting local associations where justified.1 In order to ensure recurrent budget coverage, improvements to existing schools and health facilities may be funded with the PDG, but unstaffed new facilities will not be eligible. Facilities with essential staff that are currently being run from temporary or substandard structures will be eligible. County governments will be permitted to reserve a maximum of US$5,000 from their annual PDG allocation to cover their own administrative and logistical expenses related to grant planning, management and monitoring. Counties will be responsible for implementing and reporting on PDG financed subprojects, and will be supported to do so under Component 3.

Component 2: Community engagement. The objective of this component is to facilitate and strengthen the engagement of communities in the planning, implementation and oversight of local development activities, with a particular focus on vulnerable social groups (including women, elderly, youth, disabled, displaced, returned, minority ethnic groups etc.) and their access to social and economic infrastructure.

1 Eligibility criteria for club goods (i.e. semi-public collective assets) will be the number of beneficiary households (at least 15-20), nature and equity of resulting benefits, contribution of the investment to enhancing returns from ongoing social or economic activities, and a clear consensus and prioritization during the Boma and Payam planning process.

7


Activities supported under this component will include: (a) a carefully designed communication campaign to disseminate the key features of the project and the processes to ensure citizen voice and oversight as well as government accountability; (b) a social and conflict analysis to map the social, ethnic and demographic composition of bomas and payams, leadership structures and inter as well as intra-community tensions; (c) a facilitated inclusive process to establish representative BDCs and PDCs consistent with the government’s Participatory Planning and Budgeting Guide for Local Governments in Southern Sudan2; (d) a facilitated planning process involving BDCs, PDCs and government representatives to identify priority infrastructure investments for financing under the annual grant envelope, and to determine the selection and phasing of subprojects for subsequent years; (e) the participation of communities in the management and oversight of local public infrastructure investments to ensure that they are used in accordance with agreed plans, that infrastructure and service delivery meet established standards, and that access to benefits corresponds to agreed development plans; and (f) a feedback and grievance mechanism established to provide multiple channels and modalities to enable community members, especially those from vulnerable groups, to ensure the integrity and responsiveness of decision-making and resource management by PDCs, FPs, and county and project staff.

Payam

Boma

Village

Village Village

Village

Subproject Management Team/Subproject Supervision Team

Payam Administrato

r

Boma Development

Committee

Payam Development

Committee

Boma Development

Committee

Boma Development

Committee

County Legislative Council

GENERAL ADMINISTRATION Commissioner

Executive Director

PLANNING UNIT Planning Officer

FINANCE UNIT County Accountant

Procurement Officer

SECTOR DEPARTMENTS Education, Health, Agriculture,

Social Development, Public Works (County Engineer)

COUNTY

PAYAM

BOMA

Through this facilitated local planning and prioritization process, communities will take into consideration: available resources and service deficits at the boma and payam levels; the particular needs of women, youth and vulnerable groups; the drivers and manifestations of local conflict; and the potential for subprojects to promote greater equity or mitigate potential 2 Membership guidelines that require representatives of women, youth, elders and special groups (disabled, displaced, returnees as applicable) in addition to the traditional Chiefs, will be followed.

8


conflict. The payam planning process and resulting Payam Action Plan will also feed into the County Development Plan, which in turn would provide the framework for activities by state government and by non-governmental actors and other donor agencies operating in a particular county so that their activities support the implementation of priority initiatives at the level of both the county and the payams.

Component 3: Institutional Strengthening. The objective of this component is to increase the capacity of county governments to fulfill the roles and functions required to effectively implement the local development investment cycle. This component thus operates in conjunction with the provision of PDG resources in Component 1, and community engagement activities in Component 2. Institutional strengthening of county governments, and of state governments in their roles to support and supervise them, will contribute to improving local governance and thus ‘building the state from below.’ Training will prioritize PDG recipient counties, although within resource constraints staff from other counties may be eligible to participate. Priority areas for LGSD institutional strengthening include those capacities supporting a responsive, effective and transparent local development investment cycle, focusing on the following dimensions: (i) participatory local development planning and budgeting; (ii) financial management; (iii) procurement; (iv) technical (engineering) aspects of local infrastructure planning and implementation; (v) monitoring and reporting; (vi) environmental and social safeguards; (vii) social accountability; and (viii) communication and information dissemination.

Component 4: Project Management Support. This component will support: (a) the management of the project, including technical, financial, procurement, social and environment safeguards, monitoring and evaluation; (b) spot checks and annual County Performance Audits of county grant management and individual subprojects as well as annual Project Financial Audits; (c) implementation of a grant monitoring system, project monitoring framework and system as well as project evaluations based on data collection at initiation, mid-term and completion; and (d) implementation, in collaboration with the CA, of a grievance mechanism related to all project supported activities. Recognizing that various elements of the project (grant allocation and access, planning and budgeting, procurement, institutional strengthening, and the application of safeguards, social accountability and communication/information dissemination) could elicit feedback from participants or become a focus for local disputes, the feedback and grievance mechanism will be integrated into the design of each component, and described fully in the Operations Manual.

The Key institutional actors with respect to the implementation of the LGSD include:

a) MoFEP and LGB at national level and Ministries of Finance and Local Government at state level, which will have overall responsibility for project implementation;

b) The National Project Management Unit (PMU) and state-level Project Coordination and Support Offices (PCSOs) that will provide support to national and state government in core project management and fiduciary functions, primarily financial management, procurement, environmental and social safeguards, and monitoring and evaluation;

c) Technical Assistance (TA) through a competitive tendering process to provide technical support to counties in the areas of local development planning, financial management, procurement and small infrastructure engineering; and

9


d) NGO FPs that will provide facilitation support to communities to ensure that they can effectively engage in the planning, implementation and oversight of local development activities.

3 Purpose and methodology

3.1 PurposeThe purpose of this assignment is to assist the Ministry of Finance and Economic Planning (MoFEP) and the Local Government Board (LGB) in assessing the potential impacts of LGSD with respect to the applicable World Bank safeguards policies and to draft an ESMF with the following objectives:

To identify the potential positive and negative social and environmental impacts of project supported activities, subprojects;

To identify measures for mitigating adverse, and enhancing the positive social and environmental impacts;

To establish clear procedures and methodologies for the environmental and social screening, planning, review, approval and implementation of subprojects to be financed under the Project;

To specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to subprojects;

To determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF;

To establish the project funding required to implement the ESMF requirements; and

To provide practical resources for implementing the ESMF

3.2 MethodologyThe ESMF is primarily based on an extensive literature review as well as discussions and interviews with key resource persons working for donor agencies and government ministries.

The literature review provided information on the existing environmental and social context of the RoSS. Furthermore, the review of relevant GRSS policies and laws, WB safeguard policies, and the Bank’s Appraisal Document for LGSD, provided the background to identification of potential environmental and social impacts. A list of relevant literature is included in Annex A and a list of people consulted is included in Annex B.

Interviews with key resource persons, especially the staff from relevant GRSS ministries, NGOs, UNDP, UNICEF as well as deliberations during workshops held in conjunction with the WB Technical Mission, which took place from 22nd October to 2nd November in Juba, provided additional information and qualified the literature review.

More consultations with community representatives are scheduled and will inform finalization of the ESMF.

10


Based on the potential adverse environmental and social impacts of the LGSD subprojects a list of mitigating measures has been developed along with procedures for screening of these subprojects. The potential positive social and environmental impacts have also been identified with measures to enhance them. Finally, based on the above, the training and assistance required ensuring appropriate screening, mitigation and follow-up on implementation is included in this document.

4 Socio-economic and environmental contextRoSS is located in the Nile catchment area, bordering 6 countries: Sudan, Ethiopia, Kenya, Uganda, Democratic Republic of Congo, and the Central African Republic. RoSS covers over 644,000 km2 with altitudes varying between 600 and 3,000 m above sea level, the lowest point found in the extreme north of Upper Nile and the highest in the mountains of eastern Equatoria. A map of RoSS is included below.

Map 5.1: Map of the Republic of South Sudan

11


4.1 Socio-economic and cultural settingRoSS has approximately 8 to 10 million people3, half of which are below 18 years old and 83 % live in the rural areas with an overall life expectancy of 42 years4. The average household size is 7. RoSS is expected to be very close to the bottom of the HDI list5. There are approximately 164,000 IDPs and 200,000 refugees in RoSS.4

RoSS has been marginalized during decades of rule by North Sudan, and indicators for basic social services paint a dire picture of the present situation. Half of the population of RoSS lives for less than 1.25 USD /day with 1.6 million people depending on food aid. The poverty, however, is not equally spread with some states having more people below the poverty lines. Poorest is Northern Bahr-El-Ghazal (NBG) with 76 % of the population living below the poverty line; the population of Upper Nile is relatively better off with only 26 % living below the poverty line.4

The under-five mortality rate is 135/1,000 live births, and the maternal mortality rate is 2,054 per 100,000 live births - one of the highest in the world. Only one in four of adults are literate.4 Other basic indicators are included in table 4.1 below.

Table 4.1: Basic indicators4 and 6

Indicator Most recent data

Poverty and human development

Poverty line $26 per monthProportion of population living in poverty 51%

Average monthly consumption per capita $33 (79% spent on food)

Proportion of households that used cash in the previous 7 days 53%Proportion of households that own a phone (urban, rural) 15% (59%, 8%)Youth aged 15-24 with comprehensive knowledge about HIV/AIDS 11%

HealthInfant mortality (per 1,000 live births) 84Under-five mortality (per 1,000 live births) 135Maternal mortality (per 100,000 live births) 2,054

HIV/AIDS Estimate of HIV/AIDS prevalence among adults aged 15-49 3.1%

Education

Literacy rate above age 15 years (m, f) 27% (40%, 16%)Net enrolment rate, primary (m, f) 44% (51%, 37%)Average promotion rate, all primary grades 64%Primary school pupils per classroom 134

Food Security and Nutrition

Proportion of arable land cultivated 4%Children under five severely or moderately underweight 30%

Water, sanitation and hygiene

Access to an improved water source (urban, rural) 55% (67%, 53%)Access to improved sanitation (urban, rural) 20% (53%, 13%)Proportion of households using sanitary means of excreta disposal 15%

3 According to the 2008 census it was 8.2 million, which was being criticised by some for not including all. Considering that approximately 2 million IDPs and refugees have returned, the number could now exceed 10 million.4 "South Sudan 2012 Consolidated Appeal-Mid Year Review", UN, 20125 The whole of Sudan ranked 154 in the 2011 Human Development Report. 6 "UN & Partners Work Plan 2011 Mid-Year Review", UN, 2011

12


4.1.1 ConflictThere are numerous on-going and dormant conflicts in RoSS. Some of them arise from tensions over the use of shared natural resources. Environmental issues such as desertification, land degradation, and climate change are becoming factors in these conflicts, both as causes and results. For example, the overlap of rangeland with land for cultivation is a major source of conflict, especially when overstocking increases rangeland’s vulnerability to degradation.

Four main categories of natural resources linked to conflict are oil and gas reserves, water, timber, and land. Over the past decades, conflicts have increased among pastoral groups and host communities. And there is the potential for growing inter-community conflicts due to growing competition for land as a result of land degradation, displacement of pastoralists and population growth among cattle herders and farmers, increased cattle raiding among pastoralists in some of the states, and reduced food security and water availability due to rainfall variability and extended and recurrent droughts.

4.1.2 PollutionThe industrial sector in RoSS is limited with industries typically being small-scale workshops for wood processing and metalworking and a number of water purification companies. Large-scale industrial activities are anticipated to increase in the future.

Pollution of water sources is increasing due to urbanization with waste water from households, slaughter houses, hospitals, etc, that has been discharged directly into the environment leading to pollution of soil, water and air.

4.1.3 Environmental healthThe majority of the population lives with inadequate access to safe water and sanitation facilities. Inappropriate waste management systems mean that they are exposed to health risks. Limited access to safe water and inadequate sanitation coupled with inappropriate hygiene behaviors is a major cause of diarrhea and other water-borne diseases contributing to the high child mortality rate.

Waste management is mainly a problem in areas with high population density, especially towns. Uncontrolled and open waste dumpsites promote vectors, flies, rodents, pathogens and nasty odors. Insufficient management of waste from health facilities might cause health risks due to unsafe disposal of medical wastes.

4.2 Environment and natural resource setting

4.2.1 Climate Overall the climate of RoSS is tropical with wet (April to December) and dry seasons with annual rainfall varying between 200 mm in Eastern Equatoria to 1,200-2,200 mm in the forest zone in Western Equatoria and 700-1,300 mm in the northern states. The rainy season causes seasonal flooding of floodplains. The mean temperatures are between 26 and 32 ºC.

A report from FEWSNET concludes that the climate in Southern Sudan is changing quite drastically: summer rains have declined by 10-20 % and temperatures have increased by more

13


than 1 ºC since the 1970s. Roughly speaking, the productive rain fed crop area is shrinking from the north and from the east, leaving the people in Kordofan, Upper Nile, Jonglei and Eastern Equatoria states more food insecure - if present trends continue people of NBG, Warrap, Unity and Central Equatoria states will also increasingly be affected by climate changes.

Climate changes can, besides its direct impact on food production, also lead to increased conflicts over scarce resources: pastoralists are forced to move to where there is pasture and water, often leading to conflicts with other groups of pastoralists or with farmers. It is not known how climate changes will affect the Nile.

4.2.2 Oil and mineralsOil exploration is carried out mainly in the states of Jonglei, Lakes and Upper Nile with potential significant negative impacts on the livelihoods of the local communities and the environment, including land degradation and water contamination; dumping of hazardous materials, human wastes, and solid wastes; disruption or relocation of human communities and habitat loss.

There is believed to be substantial minerals in RoSS, including gold, copper and iron. Most of the minerals are still to be explored and unless handled carefully has the potential to adversely affect the environment.

4.2.3 Land resources Land ownership in RoSS can be divided into three categories: customary, private and public. For details of each category, please refer to table 4.2 below.

Table 4.2: Categories of land ownership7

Ownership Characteristics

Customary

Covers most of rural areas. Is used for residences, agricultural, forestry, and grazing. May be granted for life to the landholder and are inheritable. Can be subject to usufruct rights and sharecropper agreements but cannot be alienated. Allocated by traditional authorities subject to pre-notification of local government

authorities and pre-approval of local government authorities for non-residential land over 250 feddans (about 105 hectares)

Private Held in perpetuity and includes the right to transfer and dispose of the land.

Public

Land pertaining to the State, including roads and other public transportation thoroughfares; watercourses over which community ownership cannot be established; and forest and wildlife areas formally labelled as national reserves or parks.

By default, land over which no private ownership including customary ownership is established is declared public.

Although land in general is readily available, land ownership are not always clear with powerful individuals claiming private ownership of community land.

7 Source: “South Sudan Food Security and Land Governance Fact Sheet”, LANDac – The ISacademy on land governance, compiled by the Royal Tropical Institute (www.landgovernance.org), 2012

14


Erosion of land, particularly on sloping areas with poor vegetation cover is a serious problem that is worsened by cultivation, over-grazing, and land clearing. Erosion can cause loss of soil quality and siltation of water resources.

4.2.4 Water resources and wetlandsRoSS lies within the watershed of the Nile and has both ground and surface water. The surface water is found in lakes and rivers, most notably the Nile. Pollution, construction of dams, irrigation and other diversions of water can affect downstream ecosystems, depriving people of their livelihood and destroy habitats.

The main wetlands of RoSS are the Sudd and Machar. The Sudd wetlands are designated as a Ramsar Site. Three protected areas, the Shambe National Park, Zeraf and Fanyikang Game Reserves are located in the Sudd wetlands. The Sudd wetlands are threatened with pollution as a result of drainage for agricultural production, brick making and industrial expansion and oil exploration.

4.2.5 LivestockDespite the cultural and economic importance of livestock in RoSS the number of livestock is not known. Livestock keeping depends on rangelands that are being degraded by recurrent droughts and depletion of forests for fuel wood, construction and charcoal production.

Livestock grazing can result in degradation of land through overgrazing of rangelands that reduces the vegetation cover and the production of organic matter, in turn increasing wind and water erosion, and thus decreasing soil fertility and leads to desertification especially of semi-arid and arid lands.

4.2.6 AgricultureIt is estimated that 90% of the total area of RoSS is suitable for agriculture, but that only 2% is used for agricultural production. Agriculture remains largely traditional, limiting households to cultivate an average of less than 1.5 ha. Agriculture is predominantly rain-fed with main crops being maize, sorghum, finger millet, cassava, sweet potato, and groundnuts.

Despite the agricultural production potentials, especially in the green belt in the southern part of the country, a large proportion of the population of RoSS is food insecure. Increased rain-fed and irrigated agriculture could produce food for local consumption and export.

Agricultural production might affect the environment negatively through contamination from pesticides and fertilizers and might reduce the diversity of flora and fauna. Soil erosion and silting of surface water sources is also a potential consequence of increased agricultural production.

4.2.7 Forest and woodland resourcesForest and woodlands cover approximately 30 % of RoSS. Cutting of trees for fuel, charcoal production and construction as well as clearance for grazing and urbanization is causing deforestation which might lead to soil erosion, habitat loss and changes in water flows. Illegal and uncontrolled exploitation of forest resources contributes to this.

15


Wild fires, overgrazing and over-cutting during successive wars with low and declining productivity, have degraded the forests and woodlands. The vast majority of South Sudanese depend on firewood or charcoal as their main source of energy, resulting in substantial cutting of trees.

4.2.8 FisheriesLakes, wetlands, the Nile and other rivers not only sources of livelihood of a large proportion of the population of RoSS but also an important source of food. There is a risk that the current unregulated fishing compounded by pollution and siltation is not sustainable and could eventually lead to a decline in fish productivity.

5 Regulatory and Administrative framework

Only a limited number of national policies and legislation have been developed by GRSS with others being in the drafting and approval stages, most of which remains confidential and not available for review. The main available relevant documents are the Transitional Constitution, the 2009 Land Act, the draft Environment Policy and the National Development Plan.

5.1 Transitional ConstitutionThe supreme law of RoSS is the 2011 Transitional Constitution of the Republic of South Sudan. The constitution states that all levels of GRSS shall "protect and ensure the sustainable management and utilization of natural resources including land, water, petroleum, minerals, fauna and flora for the benefit of the people" and shall "protect cultural heritage, monuments and places of national, historic or religious importance from destruction, desecration, unlawful removal or illegal export".

With regards to the environment, the constitution specifies that every person has the right to live in a clean and healthy environment and that the environment shall be protected for future generations; more specifically, the environment shall be protected from pollution and degradation, and ecologically sustainable development and use of natural resources must be ensured. The constitution also states that it is the duty of citizens to protect the environment and preserve natural resources, and that communities must be involved in the use of natural resources.

5.2 Land ActThe Land Act from 2009 is important for the sustainable management of land in South Sudan. The purpose of the act is to regulate land tenure and protect rights to land in RoSS while creating an enabling environment for economic development of land and natural resources. The Land Act classifies land into public land, community land and private land. Public land is owned collectively by the people of RoSS and is held in trust by GRSS. Community land is owned by communities if it is registered, used or managed by communities.

The Land Act states that traditional leaders may grant customary rights for residential, agricultural and grazing purposes provided the relevant authorities are notified.

16


The Act contains provisions on protection of access to communal grazing land and water points on communal grazing land.

Prior to any decision related to lands - whether in urban or rural areas - the land administration shall consult with the communities concerned and land used for investment purposes shall be subject to social, economic and environmental assessment.

Land can be appropriated by GRSS if the land is to be used for public purposes, including for government premises, sanitary improvements, urban development, and roads construction. The owner has the right to just and equitable compensation. Persons who lost their rights to land due to displacement caused by the war also have the right to compensation.

5.3 Draft Environment PolicyAn Environment Policy was drafted in 2010, and an Environment Bill, also drafted in 2010, is to be presented to the Council of Ministers shortly. The draft Environment Policy will provide guidance for sustainable management of the environment in view of anticipated developments especially with regards to oil exploration, housing, roads, deforestation, pollution, resource related conflicts, and overuse of fish resources.

The draft policy recognizes the limitations posed by inadequate institutional capacity and limited budget allocations for environmental protection. The draft policy also recognizes the need for decentralization and devolution of environmental management to the lowest levels of government.

For implementation of the policy, a number of instruments are to be developed, including development of an institutional framework, creation of environmental awareness, procedures for environmental assessments and audits, and establishment of standards. For more details of the envisioned institutional setup, please refer to section 5.5 below.

5.4 South Sudan Development PlanThe 2011 South Sudan Development Plan (SSDP) is the roadmap for the future development of RoSS. The objective of the SSDP is "To ensure that by 2014 South Sudan is a united and peaceful new nation, building strong foundations for good governance, economic prosperity and enhanced quality of life for all." This is to be achieved through improved governance, rapid improvement of livelihoods and expansion of employment opportunities, improvement and expansion of education and health services, and by deepening peace and improving security.

The focus of SSDP is on building the strong institutions required to promote a transparent and accountable state and improving capacity at all levels of government. The plan also emphasizes the importance of promoting private sector-led economic growth and the delivery of basic services in reducing the incidence of poverty among the population. However, it also recognizes that these actions can only be successful in the long run by maintaining relative peace and security. The Economic Pillar of the SSDP includes improvements of roads while the Social and Human Development Pillar includes health and sanitation facilities.

17


SSDP identifies seven crosscutting issues as important, including environment and equality. The SSDP recognizes the protection of the environment as a key policy and will address it in legislation and policy development, and environmental impact assessments will be taken into account. Natural resources are recognized as crucial to the economic development and are to be used in an environmentally sustainable manner.

5.5 Existing institutional setupGRSS has five administrative units: national, state, county, payam and boma. At national and state level sectoral ministries are established and at county, payam and boma level there are administrations with units for the various sectors. GRSS at present has 29 ministries of which the most important with regards to environmental and social safeguards of the LGSD are the Ministry of Environment (MoE); the Ministry of Gender, Child and Social Welfare (MoGCSW); and the Ministry of Culture, Youth and Sports (MoCYS).

At present MoE, including the Directorate of Environment has approximately 30 staff at national level (Juba) whereas only three states have environmental officers, two of which are not MoE staff but falls under other ministries. MoE is responsible for development and implementation of environmental policy and legislation, including performing the following functions and duties: Develop and execute policies and programmes on environmental protection and

conservation throughout South Sudan; Establish the government's environmental policy and monitor its effectiveness and impact; Develop Environmental Impact Assessment standard methodologies and procedures for

GRSS development policies and for private sector investment; and Advise and support states and local governments in their responsibilities for environment

protection and build their capacity to assume all functions.

MoGCSW is responsible for promoting gender equality and equity with the following functions: Articulate and execute GRSS policy on gender equity and social services; Develop policies and programmes to promote the welfare of physically and mentally

handicapped persons and other vulnerable groups; Develop policies and programmes in regards to social welfare for the aged, disabled,

orphans and street children; Develop policies and programmes in regards to women affairs; and Supervise and regulate all organizations, societies and unions that are concerned with

women and social welfare.

The vision of MoYCS is to transform RoSS into a culturally harmonious and vibrant society with ethnic and cultural diversity. The functions include: Foster cultural interaction between different parts of Southern Sudanese society; Protect and preserve tangible and intangible cultural heritage records of Southern Sudan; Identify, gazette, maintain and oversee national monuments; and Advise and support states and local governments in their responsibilities for culture, youth

and sports and build their capacity.

18


Furthermore, GRSS has established a land commission as an independent agency with responsibility for management of land, involving issues such as ownership, registration, conflict resolution and development of policy and legislation in this regard. The 2009 Land Act lays out the institutional arrangement for land management at the lower administrative levels, but has not yet been implemented.

The draft environment policy anticipates that state governments will be responsible for ensuring that environmental and social impact assessments are undertaken. The counties are expected to evaluate county and payam level applications and ensure mitigating measures are implemented. The payam level is expected to support development of environmental awareness and solve local conflicts over resources. The boma level is, amongst other things responsible for promoting traditional best practices of environmental resource management and to ensure that local communities are involved in all stages of decision-making.

6 Applicable World Bank Safeguard Policies

To ensure that World Bank funded initiatives does not have adverse impacts or cause harm, 10 operational safeguard policies - aimed at ensuring that interventions are implemented in environmentally and socially appropriately - have been developed.

Depending on the context and the characteristics of the WB funded interventions none, some or all of the operational policies are triggered. For the LGSD, five operational policies (4.01, 4.09, 4.10, 4.11, and 4.12) are of potential relevance. These five policies are listed in table 6.1 below along with the trigger of the operational policy and an analysis if the policy is triggered or not. OP 4.01 on Environmental Assessment and OP 4.10 Indigenous Peoples are triggered.

Table 6.1: Potential relevant operational policiesOperational Policy

Description Trigger Triggered

4.01 Environmental assessment

The objective of this policy is to ensure that projects are environmentally and socially sound and sustainable, and that decision-making is improved through appropriate analysis of their environmental impacts.OP 4.01 covers impacts on the natural environment (air, water and land); social aspects, human health and safety; physical cultural resources; and transboundary and global environmental aspects.

The policy is triggered if a project is likely to have potential adverse environmental and social impacts.

Yes, see details in section 6.1 below

19


Operational Policy


4.09Pest Management

The objective of this policy is to promote the use of biological or environmental control and reduce reliance on synthetic chemical pesticides; and if necessary, to strengthen the capacity of the country’s regulatory framework and institutions to promote and support safe, effective and environmentally sound pest management.

The policy is triggered if procurement of pesticides isenvisaged

No. Agricultural subprojects involving purchase of pesticides are not eligible for funding.

4.10 Indigenous Peoples

The objective of this policy is to ensure that the project respects the dignity, human rights, economies and cultural uniqueness of indigenous peoples.

The policy will ensure that adverse effects during the development process are avoided, or when avoidance is not feasible, ensure that adverse effects are minimized, mitigated or compensated. The policy will also ensure that indigenous peoples receive social and economic benefits that are culturally appropriate and gender and intergenerational inclusive.

The policy is triggered when the project potentially affects indigenouspeoples

Yes. Analysis by Bank and other experts confirms that the majority or all people in the project area meet the requirements of the policy. Per the requirements of OP/BP 4.10, when Indigenous Peoples are the sole or the overwhelming majority of direct project beneficiaries, the elements of an Indigenous Peoples Plan (IPP) should be included in the overall project design; a separate IPP is not required.

4.11 Physical Cultural Resources

The objective of this policy is to assist with avoiding or mitigating adverse impacts of projects on physical cultural resources, e.g. movable or immovable objects, sites, structures, groups of structures, natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance.

Physical cultural resources may be above ground, underground, or underwater. The cultural interest may be at the local, provincial or national level, or within the international community.

The policy is applicable to all projects requiring a category A or BEnvironmental Assessment under OP 4.01 and to projects located in or in the vicinity of cultural heritage sites.

No. Any project that would have an impact on physical cultural resources will be not be funded. However, there might be “chance finds” that would require avoidance or mitigating measures. For more details, see section 6.3 below.

20


Operational Policy


4.12 Involuntary Resettlement

The objective of this policy is to(i) avoid or minimize

involuntary resettlement where feasible, exploring all viable alternative project designs;

(ii) ensure community participation in planning and implementation of resettlement programmes;

(iii) assist displaced persons in improving their livelihoods and standards of living standards, or at least in restoring them.

The policy covers not only physical relocation, but any activities resulting in: (i) relocation or loss of shelter; (ii) loss of assets or access to assets; (iii) loss of income sources or means of livelihood, and iv) restrictions on access to parks and protected areas.

No. Given the generally low population density in RoSS, land is generally available for construction of small-scale infrastructure facilities, be it community or public land or through documented voluntary community donations. Any sub-project activities that will require acquisition of land will be not be eligible for funding.

The Policy 4.01 requiring environmental assessments is triggered. The Environmental Assessment policy calls for the LGSD as a whole to be screened to determine the extent and type of environmental assessment process. Projects are assigned one of four project categories:

Category “A” projects:Category A project have impacts that are expected to have ‘significant adverse environmental impacts that are sensitive, diverse8, or unprecedented. The environmental assessment is to consider the project's negative and positive environmental impacts and compare them with those of feasible alternatives. An Environmental Impact Assessment (EIA) is always required for projects that are in this category.

Category “B” projects:Category B projects have "potential adverse environmental impacts on human populations or environmentally important areas - including wetlands, forests, grasslands, and other natural habitats - that are less adverse than those of Category A projects". Category A projects are site-specific and most or all are reversible, and in most cases mitigating measures can be readily designed. Like for Category A projects, the environmental assessment it considers the project's positive and negative impacts and compare them with alternatives and proposes preventive, minimising, mitigating OR compensatory measures. Although an EIA is not always required, some environmental analysis is necessary, typically in the form of en Environmental Management Plan (EMP) - for details of this, please refer to chapter 10.

Category “C” projects:Category C projects have "minimal or no adverse environmental impacts". After classification of a project as a Category C project, no further action is required.

8 A project is sensitive" if it may be irreversible (e.g., lead to loss of a major natural habitat) or raise issues covered by OP 4.04 - Natural Habitats; OP/BP 4.10 - Indigenous Peoples; OP/BP 4.11 - Physical Cultural Resources or OP 4.12 - Involuntary Resettlement.

21


Category “FI” projects: A proposed project is classified as Category FI if it involves investment of Bank funds through a financial intermediary, in subprojects that may result in adverse environmental impacts.

The subprojects of LGSD will be of small-scale, site-specific in nature and are expected to i) have only limited environmental impact on humans and the environment, ii) will be reversible, and iii) for most subprojects mitigating measures can be easily designed. The LGSD is thus classified as Category B (see definition of categories above).

More details on OP 4.10 on Indigenous Peoples are in section 6.2 .

All subprojects that would trigger OP 4.11 on Physical Cultural Resources and OP 4.12 on Involuntary Resettlement will not be eligible for funding. However, there is the possibility of chance find of physical cultural resources for which mitigating measures have to be developed.

6.1 OP 4.01 Environmental AssessmentThis policy requires environmental assessment of projects proposed for World Bank financing to ensure that they are environmentally and socially sound and sustainable. The breadth, depth, and type of analysis of the environmental assessment depend on the nature, scale, and potential environmental impact of the proposed project, in the case of LGSD of the proposed subprojects.

Some of the subprojects could potentially have adverse environmental impacts, e.g. construction or repair of health and educational facilities, markets, roads, drainage and dikes, water and sanitation facilities, cattle dips, and small-scale irrigation facilities. Details on the potential impacts of these subprojects are included in chapter 7.

The ESMF checklist is designed to identify the potential impacts, and assist the implementing bodies at local level, communities and extension teams with practical measures of avoiding or mitigating them. Moreover, for some subprojects with impacts on the nearby environment, the ESMF will assist the implementing bodies and the local government authorities in preparing an acceptable EMP before commencement of the work.

6.2 OP 4.10 Indigenous PeoplesOP 4.10 on Indigenous Peoples is triggered. In South Sudan indigenous peoples are the sole or overwhelming majority of the population, and thus also of the beneficiaries of the LGSD.

The LGSD will eventually cover the entire country, with its main approach being a local participatory planning process that aims at including all vulnerable sub-groups (whether ethnic/tribal/kinship minority groups, women, youth and displaced) in consultations to agree on the subprojects to be implemented. The LGSD supports the intentions and outcomes of OP 4.10 by (a) including as an early activity in the participatory county planning process a mapping of ethnic tribal groups with identification of particularly vulnerable minority groups and the nature of their vulnerabilities, so that measures can be taken to ensure their inclusion in the planning process; (b) applying the principle of “equitable access to benefits” across all

22


vulnerable sub-groups (whether ethnic/tribal/kinship minority groups, women, youth and displaced) within the county; (c) monitoring delivery of equitable benefits across ethnic groups with particular emphasis on the vulnerable (e.g. by accountability arrangements that disclose information on budgets and spending and that involve communities in monitoring); and (d) establishing a simple feedback and grievance mechanism that is accessible to the different groups. The LGSD is thus embedding the basic principles of OP 4.10 of a free, prior, and informed consultation leading to broad community support for the project.

Due to the above reasons, no separate Indigenous Peoples Plan (IPP) is required.

6.3 Chance find of physical cultural resourcesAlthough subprojects that will have a negative impact on physical cultural resources are on the negative list, physical cultural resources might unexpectedly be encountered (chance find) during implementation of subprojects, e.g. in conjunction with excavation for construction of infrastructure facilities. For more on this, please see chapter 11.

7 Potential impacts and mitigating measures

Table 7.1 below contains a summary of eligible subprojects that can be funded using the participatory process for planning under the LGSDP, involving development of payam and county development plans based on inputs from bomas and communities.

Table 7.1: Indicative subprojects Type Sector Items

Local Public Infrastructure

Water Construction or repair of hand-pumps (non-motorized), tanks, dug wells, and haffirs for public use or in primary health care or education facilities

Sanitation Provision or repair of latrines for public use or in primary health care or education facilities

Storm water Repair of flood protection infrastructure (drainage / guttering / dykes)Roads Rehabilitation of local roads (using labor based methods only);

construction or rehabilitation of foot paths; culverts and bridgesHealth Construction, repair or extension of existing PHCC or PHCU where

health worker is already presentPurchase of furniture or equipment for existing PHCC or PHCU

Education Construction, repair or extension of existing primary schools where teacher is already presentPurchase of furniture or equipment for existing primary schools

Economic Infrastructure

Markets Construction or repair of public market placesLivestock Construction or repair of livestock dipsIrrigation Repair of small scale community irrigation schemes, subject to approval

of technical design

Not all of the above subprojects will necessarily be implemented and others not on the list might be included as experience is gained with implementation of the various subprojects during the first year of LGSD.

23


Common for most of the subprojects are that some kind of physical infrastructure will be constructed or rehabilitated which might have adverse environmental and social impacts. Furthermore, the use and maintenance of facilities can also have adverse impacts. The exact scale of the impact will be site-specific as will the mitigating measures to be taken.

For most of the subprojects it is expected that they will have positive economic and social impacts. These include improved service delivery; improved access to markets; increased employment opportunities especially for subprojects that involve construction or rehabilitation, be it through a contractor or through communities; development of the private sector; and increased accountability downwards as well as upwards in the public sector.

An overarching issue related to construction of physical infrastructures is allocation of land. Such lands might restrict use or access to livelihoods of individuals or communities. As described in chapter 6 subprojects requiring involuntary resettlement will not be eligible for funding. All land for construction of facilities will have to be obtained through voluntary donations and it has to be ensured that the construction of facilities will not restrict use and access of the land and its resources itself or of neighboring land and resources, e.g. water points. Public lands allocated by the Government for subprojects, will be without any encumbrances. A format for documenting the voluntary donation a of land for the purpose of subprojects is presented in annex H.

Subprojects on lands with physical cultural resources will also not be eligible for funding. However, there is the potential of discovering physical cultural resources during excavation. Procedures for how to deal with such chance finds have been developed (see chapter 11 for details).

A list of other subprojects not eligible for funding is included in annex D.

Table 7.2 contains the potential impact of the different subprojects anticipated. The first row of the table contains potential impacts and mitigating measures of construction of general physical infrastructures applicable to all construction work. Depending on the level of rehabilitation required, some or all of the impacts and mitigating measures might also be relevant for rehabilitation. A standard template for safeguard measures to be included in contracts for construction or rehabilitation of infrastructure is included in annex I.

Some of the subprojects also have specific impacts and accompanying mitigating measures, e.g. construction of pits latrines requires digging pits that might potentially pollute the groundwater. These subproject specific impacts and mitigating measures are described in subsequent rows in the table.

Use and maintenance of the physical infrastructure might also have subproject-specific impact. These and mitigating measures are also included in separate rows in table 7.2.

24


Table 7.2: Potential impact and mitigating measures of subprojectsSubproject Potential negative impact Mitigating measures Potential positive impactConstruction or rehabilitation of physical structures

Loss of vegetation cover causing erosion of soil and siltation of streams

Dumping of construction debris Use of limited or sensitively located

local construction materials such as aggregate and wood

Dust pollution due to movement of equipment, digging

Noise pollution due to use of equipment

Pollution of ground water due to oil and fuel spills and exposure of ground water table

Pollution of surface water due to oil spills

Occupational health and safety due to hazards from handling of equipment

Chance find of physical cultural resources

Cutting of vegetation to be kept at a minimum, replanting around construction

Application of appropriate erosion-protection measures, in particular when working on slopes

Ensure aggregate is only obtained from locations with no risk of river bank collapse, landslides, loss of flora and fauna, etc.

Minimize the use of wood for construction Works adjacent to a water resource require temporary barriers on

slopes to prevent silt from entering the water resource Disposal of construction debris should occur at waste dumps Prevention of excessive dust emissions including cement dust by

careful handling and working under moist conditions as much as possible

Use of noisy equipment should be concentrated during day-light hours

All solid waste, fuels or oils should be collected The contractor should protect workers by ensuring the use of

protective equipment The bottom of the pit is at least 1.5 m above the water table Latrines should be located at least 30 m from any water source Follow procedures in chapter 11 for chance find of physical cultural

resources Ensure the presence oils spill containment at the construction site

Increased employment opportunities for community members (laborers, guards etc. during construction)

Improved aesthetics due to more environmentally friendly construction.

Improved capacity of state and county focal points due to on-the-job training in environmental and social assessment.

Improved capacity of MoE to handle chance find of physical cultural resources.

Use and maintenance of schools

Health hazards due to inadequate cleaning and maintenance of school latrines


Health hazard due to stagnant water at school water points acting as breeding ground for malaria carrying mosquitoes and other vector-borne diseases

Maintenance plans for school latrines must be developed Latrine design standards must be adhered to All water facilities must have proper drainage

Improved access to education Increased employment

opportunities for community members (guards) and small-scale craftsmen (plumbers, carpenters etc.)

Dege Consult 25


Subproject Potential negative impact Mitigating measures Potential positive impactUse and maintenance of health facilities

Health hazards caused by inadequate storage and disposal of medical and other wastes

Health hazards due to inadequate cleaning and maintenance of latrines


Provide collection and disposal system for medical or others wastes, e.g. incinerators or transfer to special dump sites

Maintenance plans for latrines must be developed

Improved access to health care Increased employment

opportunities for community members (guards) and small-scale craftsmen (plumbers, carpenters etc.)

Use and maintenance of markets

Pollution of soil and water resources due to inappropriate collection and disposal of market refuse and waste

Noise pollution from movement of trucks etc. carrying market goods.

Health hazards due to poor storage of market goods providing breeding grounds for disease carrying rodents and vectors.



Privacy concerns and sexual violence due to lack of gender separated latrines


Establish waste collection procedures Identification of suitable locations for waste disposal Establish timing rules for movements of trucks Undertake public awareness campaign on storage of market goods Maintenance plans for latrines must be developed Latrine design standards must be adhered to Ensure all water facilities have proper drainage Create awareness on safe collection and disposal of wastes

Improved access to markets Increased employment

opportunities for community members (guards) and small-scale craftsmen (plumbers, carpenter etc.)

Dege Consult 26


Subproject Potential negative impact Mitigating measures Potential positive impactConstruction or rehabilitation of roads and bridges

In addition to the potential impacts mentioned in the section on general construction or rehabilitation impacts at the top of this table: Stemming of water flow during

construction of bridges causing water shortage, change of water course, etc. downstream

In addition to the mitigating measures described in the section on general construction mitigating measures at the top of this table: Leave some channels to allow for continued flow downstream. Design bridge to ensure minimum changes in water flow



Improved capacity of state and county focal points due to on-the-job training in environmental and social assessments.

Improved capacity of MoE to handle chance find of physical cultural resources

Use and maintenance of roads and bridges

Dust and noise pollution due to movement of vehicles etc

Erosion during rain due to drainage Safety concerns due to speeding

vehicles Pot holes with stagnant water providing

breeding ground for disease-carrying vectors

Bridges causing changes in water flow causing flooding, erosion or siltation

Provide speed control bumps where road is close to community to avoid accidents and dust and noise pollution

Adequate design of drainage systems Ensure adherence to design quality and regular maintenance to

avoid pot holes Design bridge to ensure minimum changes in water flow

Improved access to basic social services

Improved access to markets Increased employment

opportunities for small-scale craftsmen (carpenter etc.)

Dege Consult 27


Subproject Potential negative impact Mitigating measures Potential positive impactConstruction or rehabilitation of water facilities, e.g. drilling and installation of hand pumps

In addition to the potential impacts mentioned in the section on general construction or rehabilitation impacts at the top of this table: Contaminated water due to a proximity

of latrines and waste disposal sites Interference with culturally sensitive

sites, graveyards, spiritual sites

In addition to the mitigating measures described in the section on general construction or rehabilitation mitigating measures at the top of this table: Water facilities should be located at least 30 m from any latrine or

waste disposal site Avoid siting haffirs/boreholes or other water supply structures even

if it involves changing the dimensions and sizes





Use and maintenance of water facilities

Lowering of water table Health hazard due to stagnant water at

water points acting as breeding ground for malaria carrying mosquitoes and other vector-borne diseases

Health hazard due to bacteriological contamination of water

Health hazard due to poisonous substances in ground water, e.g. arsenic, fluoride

Establish abstraction limit Ensure water facilities have proper drainage Bacteriological and chemical testing of water Ensure adequate chlorination procedures for water source

Improved access to safe water Increased employment

opportunities for small-scale craftsmen (plumbers, masons etc.)

Improved health

Dege Consult 28


Subproject Potential negative impact Mitigating measures Potential positive impactConstruction or rehabilitation of sanitation facilities

In addition to the potential impacts mentioned in the section on general construction or rehabilitation impacts at the top of this table: Contamination of groundwater due to

inappropriate location of latrines

In addition to the mitigating measures described in the section on general construction or rehabilitation mitigating measures at the top of this table: The bottom of the pit is at least 1.5 m above the water table Latrines should be located at least 30 m from any water source





Use and maintenance of sanitation facilities




Maintenance plans for latrines must be developed Latrine design standards must be adhered to Separate latrines for men/boys and women/girls must be

constructed

Improved access to latrine facilities

Increased employment opportunities for small-scale craftsmen (plumbers, masons etc.)

Improved privacy for girls Improved health

Construction of flood protection infrastructure

In addition to the potential impacts mentioned in the section on general construction or rehabilitation impacts at the top of this table: maintenance of latrines Stemming of water flow during

construction., change of water course, etc. downstream

In addition to the mitigating measures described in the section on general construction or rehabilitation mitigating measures at the top of this table: Leave some channels to allow for continued flow downstream Estimate and allow the minimum ecological flow to downstream





Dege Consult 29


Subproject Potential negative impact Mitigating measures Potential positive impactConstruction or rehabilitation of livestock dips

In addition to the potential impacts mentioned in the section on general construction or rehabilitation impacts at the top of this table: Contamination of groundwater due to

inappropriate location of livestock dips

In addition to the mitigating measures described in the section on general construction mitigating measures at the top of this table: Livestock dips should be located at least 30 m from any water

source




Use and maintenance of livestock dips

Health hazards due to unsafe storage and use of chemicals

Health hazards due to unsafe disposal of expired chemicals and empty containers

Pollution of soil and groundwater due to spillage

Erosion of nearby areas due to (temporary) high density of livestock

Training of livestock herders in safe storage and use of chemicals Training of livestock herders in safe disposal of expired chemicals

and empty containers Provision of proper onsite safe chemical storage Establish separator and containment pond in case of significant

impact

Improved livestock health Improved income

Construction or rehabilitation of small-scale irrigation schemes

In addition to the potential impacts mentioned in the section on general construction or rehabilitation impacts at the top of this table: Stemming of water flow during

construction., change of water course, etc. downstream

In addition to the mitigating measures described in the section on general construction mitigating measures at the top of this table: Design water intake to ensure minimum changes in water flow





Dege Consult 30


Subproject Potential negative impact Mitigating measures Potential positive impactUse and maintenance of small-scale irrigation schemes

Over-use of water deprives downstream communities access to water

Ensure design does not deprive downstream communities of water Estimate and allow minimum ecological flow to downstream

Improved agricultural production

Improved income Increased employment

opportunities for small-scale craftsmen (plumbers, masons, etc.)

Dege Consult 31

ESMF - LGSD South Sudan

8 Capacity development

Taking into consideration the limited institutional capacity of GRSS and the lack of an explicit legislative environmental framework, support to develop the capacity to sufficiently screen and assess the environmental impact of the LGSD is required.

8.1 Safeguards staffIt is envisaged that the LGSD PMU will employ a full-time Senior Safeguards Specialist who will be recruited internationally/regionally and nationally recruited Safeguards Officer. These experts will oversee implementation of LGSD social and environmental safeguards measures; liaise closely with the Ministry of Environment at national and state level; will be responsible for implementation of the ESMF, and will provide support to and supervise state and county-level safeguard focal points. The Senior Specialist will conduct a detailed training needs assessment and based hereupon develop detailed training programmes for the state and county level focal points. The senior specialist together with the safeguard officer and state safeguard focal points will also be responsible for monitoring and audit of safeguards implementation in subprojects as per chapter 12.

The state, county and payam level focal points will be appointed among existing staff. The state focal points will support and supervise the county level safeguard focal points. The focal points at state and county level will regularly follow up and monitor the implementation of subprojects to guarantee compliance with the ESMF and will work in collaboration with the State Ministry/Directorate of Environment to manage the environmental and social safeguards issues in the project.

State and County level safeguard focal points will also apply screening checklists to subprojects; conduct environmental and social management activities; ensure sound implementation of ESMF; be responsible for development, implementation and monitoring of the environmental and safeguard tools (EIA, EMP); provide training and capacity building activities to local government staff at county, payam and boma levels and to community members; conduct regular supervision; and prepare progress reports.

8.2 Training The objective of the training activities are to ensure that relevant state and county government staff are able to design and contract community-driven subprojects taking into consideration environmental and social aspects, and to ensure that local government officials have the capacity to analyze environmental and social impacts, prescribe mitigating measures and appraise, approve and supervise implementation of subprojects.

The Senior Safeguards Specialist is expected to require some additional exposure to regional and international standards. Such training is expected to be available at the regional and international level. Participating in one regional and one international training course is foreseen.

Dege Consult 32


The state focal points will require initial training on environmental issues in general, on the safeguards policies, and on the use of the checklists. The Senior Safeguard Specialist will provide the training. Annual follow-up training is anticipated. The training will take place in Juba.

Training of county focal points will be required, both on general environmental issues and on the specific screening procedures and mitigating measures described in the ESMF/LGSD Operations Manual. Initial as well as annual follow-up training is anticipated, taking into consideration also the turnover of staff.

As the state focal points might not be identified, or have not yet received training during the Fast Track Initiative (FTI), the Senior Safeguards Specialist in collaboration with other institutions at national level will organize the training of the county focal points in the 8 counties selected for participation in the FTI. Training of county focal points will provide a good opportunity for the Senior Safeguards Specialist to obtain solid experience from the county level that will be useful for subsequent training of state focal points and for the development/refinement of county focal point training materials.

Initial training of the remaining county focal points (32) will be done by the state focal points and the Safeguard Officer at PMU as will all annual follow-up training. Training of county focal points will take place in state capitals.

Training courses on environmental and social issues, possible impacts of subprojects, and grievance mechanisms to payam/boma/community levels will be undertaken by the FPs. The FPs will be organizing other training/awareness sessions for the communities, into which these aspects will be integrated. Based on the general guidelines indicated below, annual detailed training plans with details of topics to be covered and selection of participants will be developed by the Senior Safeguards Specialist.

As a general guideline, training and awareness/ sensitization of LGSD environmental officers, engineers, and line agency staff at the state and county level on issues of environmental and social impacts is required. The sensitization/awareness training will aim to build awareness and sensitize a broad audience, particularly LGB/MOFEP officials, staff of MOFEP/LGB, professional staff in the relevant line ministries, etc. to the requirements and key aspects of LGSD ESMF.

In addition, a more detailed and specific training module will be developed and delivered to the state and county level focal points, and other relevant staff in the line ministries, including from the Ministry/directorate of Environment, involved in implementation of the LGSD. This training will include regular updates and refresher modules delivered during ESMF implementation.

The training and capacity building activities proposed to support ESMF implementation are: General training and awareness/sensitization for relevant stakeholder at national,

state, county, payam level and local communities on the contents and implementation requirements of the LGSD ESMF.

Dege Consult 33


In depth training for focal points at state and county level on implementation of the ESMF including all aspects of environmental management, EIA, public consultation, and integration of environmental management into development planning.

Table 8.1 sets out the training requirements for each of these groups, which will be updated by Senior Safeguards Specialist at PMU. For each training session, the value of inviting participation of other stakeholders, such as those from local authorities will be considered. The Senior Safeguards Specialist and Safeguards Officer at PMU will design the generalized and in-depth training modules; and deliver the training in state capital cities.

Table 8.1: Training and Sensitization RequirementsParticipants

Safeguard officer at PMU

State focal points

Countyfocal points

PayamExtension officers

State Line Agencies and LGB

County Line Agencies and LGB

Executive Chief at Boma level

EIA T T T NA NA NA NAPublic consultation T T T A NA NA NAIntegrating environmental and social management into development planning

T T T S A A A

Applying ESMF T T T S S S AInternational standards on environmental and social management issues

T S A NA NA NA NA

T = detailed training, S = sensitization to the issues, A = raised awareness, NA=not applicable

For each group, training will be provided to enhance the expertise of participants on the relevant areas: In-depth training to a level that allows trainees to go on to train others, including technical

procedures where relevant; Sensitization, in which the trainees become familiar with the issues to a sufficient extent

that it allows them to specify requirements for further technical assistance; and Awareness-raising in which the participants acknowledge the significance or relevance of

the issues, but are not required having technical or in-depth knowledge of the issues.

Training to state and county level staff and line agency staff at the payam level on issues of environmental management, is required in the form of initial training followed by regular refresher courses and updates.

The Senior Safeguards Specialist and Safeguards Officer at national PMU level and Safeguards Focal Points at state level will provide training to others, e.g. state focal points will train county focal points. A cascade model of training will be adopted with regular oversight from the PMU level. Details of the training are set out in table 8.2. Programs will also include refresher courses from time to time in all of the topics identified.

Dege Consult 34


Table 8.2: Proposed Training PackagesAudience Training Component Length TimingSafeguards Officer at PMU

Detailed Training in EIA, Public Consultation and Integrating Environment into Development Planning, Applying ESMF, International Standards on Environmental and Social Management issue.

5-day workshop for the first year and 1-day refresher courses annually

Regular training to bring Safeguards Officer up to required level, and regularly updating

State focal points

Detailed Training in EIA, Public Consultation and Integrating Environment into Development Planning, Applying ESMF, International Standards on Environmental and Social Management issue.

4-day workshop for the first year and 2-day refresher courses annually

Regular training to bring selected State safeguard focal points up to required level, and regularly update them

Countyfocal points

Detailed Training in EIA, Public Consultation and Integrating Environment into Development Planning, Applying ESMF, International Standards on Environmental and Social Management issues (less detailed than for state officers).

3-day workshop for the first year and 2-days refresher courses annually

Regular training to build capacity of County-level staffs

PayamExtension officers

Sensitization and raised awareness in Public Consultation and Integrating Environment and Social management concern into Development Planning, Applying ESMF.

1-day sensitization workshop as required

Sensitize and raised awareness to build capacity of PayamExtension officers

State Line Agencies and LGB staff

Sensitization and raised awareness in Integrating Environment and Social management concern into Development Planning and Applying ESMF.

1-day sensitization workshop per state as required

Coinciding with some of these topics in other LGSDP staff’s training

County Line Agencies and LGB staff

Sensitization and raised awareness in Integrating Environment and Social management concern into Development Planning and Applying ESMF.

1-day sensitization workshop per state as required

Coinciding with some of these topics in other LGSDP staff’s training

Executive chief at Boma level

Raised awareness in Integrating Environment and Social management concern into Development Planning and Applying ESMF.

Half-day awareness raised workshop during project implementation period

Coinciding with some of these topics in other LGSDP staff’s training and consultation during project implementation period

An example of an agenda for a proposed 2 day training workshop on ESMF implementation and integration of environment and social management concerns into development planning is provided in table 8.3 below.

Dege Consult 35


Table 8.3: Sample training agenda Day Session Content1 Introduction to

Environmental and Social Management Plans

This session will introduce participants to the theory and application of ESMF as a decision making tool. It will outline the principles of ESMF and provide clear definitions on EMP practice terminology (e.g. classification of impacts, natural resource base (water, soil, land, biodiversity, air, etc., mitigation and monitoring) and social baseline (employment, social, health, etc).

World Bank Safeguard Policies and national legislation

This section will discuss the relevant principal World Bank safeguard policies and their application to subprojects under the LGSDP. In addition, the applicable South Sudan legislation will be discussed in terms of the relevant environmental and social laws and policies which apply to activities under the program.

Screening of LGSD subprojects

A list of potential activities to be financed under the projects will be discussed. Application of the screening checklist will be explained using case studies.

2Impact identification

Potential impacts related to various types of activities will be discussed, in terms of their significance (adverse or minimal, positive or negative), magnitude (long term versus short term), and impact category (localized or cumulative).

Mitigation and monitoring

Mitigation measures as they apply to irrigation and drainage investments will be discussed, in terms of their application, cost and feasibility. Monitoring measures will also be recommended to measure the effectiveness of mitigation plans and to monitor performance.

Responsibilities for planning and reporting

For each target audience, responsibilities for environmental and social management will be discussed as they relate to LGSDP implementation. This will include responsibilities for planning, management of impact identification and mitigation/monitoring, partnerships with NGOs and technical service providers, partnerships among community members, and reporting.

Integrating Environmental and Social management concerns into development planning

Defining process, procedures and responsibilities for environment and social management related activities and actions into the preparation of sub project development plans and budgets.

A budget for the cost of training activities is included in table 8.4 below. A contingency is included to cater for training of new county or state focal points in instances where the first appointed focal point has resigned and for re-training of non-performers.

Table 8.4: Budget for training activities Training activity Duration

[days]Cost/

participant/day* [USD]

No. of participants

Total cost [USD]

Safeguard OfficerRegional training course 5 650 1 3,250International training course 5 1,000 1 5,000

Subtotal 8,250State focal points

Initial training 4 450 10 18,000Annual follow up training 2 450 15 13,500

Subtotal 31,500County focal points

Initial training of 8 FTI counties 3 425 8 10,200Initial training of remaining 32 counties 3 125 32 12,000Annual follow up training 2 125 50 12,500Subtotal 34,700

Total 74,450Contingency for additional training due to staff 11,550

Dege Consult 36


Training activity Duration [days]

Cost/participant/day*

[USD]

No. of participants

Total cost [USD]

turnover and non-performance (13 %)Grand total 86,000

* Inclusive of participants' transport and per diems and, if applicable, trainers' (state focal points and in the case of initial training of FTI counties the safeguard officer/specialist) transport and per diems.

8.3 Technical assistanceAs most of the expected subprojects under the LGSD are expected to have small-scale and limited impacts that can be easily mitigated (environmental categories B or C) by employing best practices, it is anticipated that the state focal points and the safeguards officer/senior safeguards specialist will be able to provide the required technical assistance on safeguards management to county and payam-level focal points.

In cases where the environmental assessments are more complicated the county and payam-level focal points will request assistance from the senior safeguards specialist and safeguards officer at national level and focal points at state level.

8.4 Operational supportTo ensure that monitoring and supervision is provided as intended the LGSD budget incorporates budget lines for travel cost of the senior safeguards specialist and the safeguards officer employed at the PMU. It is anticipated that the senior safeguards specialist and the safeguards officer will visit each state regularly, and the counties as requested by the state focal point officers. The state focal points will visit all participating payams twice a year9 and any time as necessary and requested by the implementing bodies at payam level. The cost of travelling for focal points will be covered through the allocation for county administrative and logistical expenses.

9 Subproject management procedures

This chapter describes the overall procedures that all subprojects must go through in order to ensure adequate attention to environmental and social safeguards. To ensure that the procedures described here conform to the detailed subproject grant approval procedures as per the Operations Manual for the LGSD, these procedures will be elaborated and incorporated as relevant in the final Operations Manual.

9.1 Subproject preparation and application During planning and preparation of subprojects, the FP’s are required to ensure that environmental and social impacts of subprojects are minimized. Table 7.2 in chapter 7 will be used by FPs to obtain an overview of potential environmental and social impacts.

9 Each payam is likely to have approximately 2 projects per 2 year.

Dege Consult 37


As numerous subprojects applications are likely to be submitted for funding, the final assessment of environmental and social impacts is most effectively done only after the subproject has been approved in principle. Subprojects will thus not be finally approved until a detailed impact assessment has been approved and disclosed. The Operations Manual will contain detailed procedures and formats for this purpose.

9.2 Screening, appraisal and approval of subprojectsOnce a subproject has been approved in principle, a screening of the subprojects potential environmental and social impacts are undertaken using the checklist in Annex C. The screening of the subproject might result in a request for development of an Environmental Management Plan (EMP) (see chapter 10 for more information on the EMP). If an EMP is developed, it must be disclosed as described in section 9.3 below.

A number of subprojects are not eligible for funding, e.g. if they potentially have a negative impact on physical cultural resources, require land acquisition, or significant impacts on natural habitats, forests and other. A list of such subprojects is included in Annex D.

If there is the potential of chance find of physical cultural resources, the contract for construction or rehabilitation have to include reference to procedures to follow as per chapter 11 and annex E.

After screening of the subproject, the application is submitted for appraisal. A format for use for the appraisal of the subproject application is included in Annex F.

The appraisal might require a field appraisal mission to the location of the subproject in order to obtain additional or more detailed information. A form for underting the field appraisal is included in Annex G.

Depending on the field appraisal mission, the appraisal might reconsider the need for development of an EMP for the subproject (see chapter 10). As part of the appraisal, the subproject's corresponding EMP has to be made publicly available as per section 9.3 below. Only when the disclosure procedure has been followed can the subproject be approved.

9.3 Disclosure of subproject information The World Bank's Policy on Disclosure of Information requires that EMPs are made available for public review as well as forwarded to the World Bank for disclosure through the World Bank's Infoshop.

Only when the subproject information has been made publicly available can it be finally approved. The detailed procedures for public disclosure will be according to the procedures for grievances as described in the LGSD Operations Manual.

10 Environmental Management Plan (EMP)

Dege Consult 38


The EA process involves the identification and development of measures aimed at eliminating, offsetting and/or reducing environmental and social impacts to levels that are acceptable during implementation and operation of the subprojects. As an integral part of EA, EMP provides an essential link between the impacts predicted and mitigation measures specified within the EA and implementation and operationalization of activities. The World Bank guidelines state that detailed EMPs are essential elements for Category ‘A’ projects, but for many Category ‘B’ projects, a simple EMP will suffice. While there are no standard formats for EMPs, it is recognized that the format needs to fit the circumstances in which the EMP is being developed and the requirements, which it is designed to meet.

EMPs should demonstrate that proposed monitoring activities will encompass all major impacts and how they will be integrated into project supervision. The EMP should also describe proposed mitigation measures and to facilitate public consultation. It is important that the EMP identifies linkages to other plans relating to the project, such as plans dealing with resettlement or indigenous peoples issues. LGB/MOFEP, as the PMU, is responsible for preparing a standard EMP in a format suitable for inclusion as technical specifications in the contract documents - a template is included in Annex L.

EMPs should be prepared after taking into account comments and clearance conditions from both the relevant agency (MoE) and WB. Given below are the important elements that constitute an EMP:

i) Impacts: Predicted adverse environmental and social impacts (and any uncertainties about their effects) for which mitigation is necessary should be identified and summarized.

ii) Description of Mitigation Measures: Each measure should be briefly described in relation to the impact(s) and conditions under which it is required. These should be accompanied by, or referenced to, designs, development activities (including equipment descriptions) and operating procedures and implementation responsibilities. Proposed mitigation measures to facilitate public consultation should be clearly described and justified. Feasible and cost-effective measures to minimize adverse impacts to acceptable levels should be specified with reference to each impact identified. Further, the EMP should provide details on the conditions under which the mitigation measure should be implemented. The EMP should also distinguish between the type of solution proposed (structural and non-structural) and the phase in which it should become operable (design, construction and/or operation). Efforts should also be made to mainstream environmental aspects wherever possible.

iii) Description of monitoring program: The EMP identifies monitoring objectives and specifies the type of monitoring required; it also describes performance indicators which provide linkages between impacts and mitigation measures identified in the EA report, parameters to be measured (for example: national standards, engineering structures, extent of area replanted, etc), methods to be used, sampling location and frequency of measurements, detection limits (as appropriate) and definition of thresholds to signal the need for corrective actions. Monitoring and supervision arrangements should be agreed by the Bank and the borrower to: ensure timely detection of conditions requiring remedial measures in keeping with good practice; furnish information and the progress and results of mitigation and institutional strengthening measures; and, assess compliance with national and Bank environmental safeguard policies

Dege Consult 39


iv) Institutional arrangements: Institutions/parties responsible for implementing mitigation measures and for monitoring their performance should be clearly identified. Where necessary, mechanisms for institutional coordination should be identified, as often, monitoring tends to involve more than one institution. This is especially important for projects requiring cross-sectoral integration. In particular, the EMP specifies who is responsible for undertaking the mitigating and monitoring measures, e.g., for enforcement of remedial actions, monitoring of implementation, training, financing, and reporting. Institutional arrangements should also be crafted to maintain support for agreed enforcement measures for environmental protection. Where necessary, the EMP should propose strengthening the relevant agencies through such actions as: establishment of appropriate organizational arrangements; appointment of key staff and consultants; and, arrangements for counterpart funding and on-lending.

v) Implementing schedules: The timing, frequency and duration of mitigation measures and monitoring should be included in an implementation schedule, showing phasing and coordination with procedures in the overall project implementation /operations manual. Linkages should be specified where implementation of mitigation measures is tied to institutional strengthening and to the project legal agreements, e.g. as conditions for loan effectiveness or disbursement.

vi) Reporting procedures: Feedback mechanisms to inform the relevant parties on the progress and effectiveness of the mitigation measures and monitoring itself should be specified. Guidelines on the type of information wanted and the presentation of feedback information should also be highlighted.

vii) Cost estimates and sources of funds: Implementation of mitigation measures mentioned in the EMP will involve an initial investment cost as well as recurrent costs. The EMP should include cost estimates into the sub-project design, bidding and contract documents to ensure that the contractors will comply with the mitigation measures. The costs for implementing the EMP will be included in the sub-project design, as well as in the bidding and contract documents. It is important to capture all costs – including administrative, design and consultancy, and operational and maintenance costs – resulting from meeting required standards or modifying project design.

The development of an EMP with mitigation measures and monitoring is done by the use the format included in Annex L.

Annex L also contains a description of information that will assist in identifying the subproject, e.g. information on the state, county, payam and boma/community where the subproject is located. Also included is the subproject code, as prescribed in the LGSD Operations Manual. To ensure unique identification and to cater for changes in administrative borders or names, the EMP further requires entering of GPS coordinates of the location.

For each potential impact of the subproject, corresponding mitigating measures and who is responsible for implementation is indicated. For each potential environmental impact there can be more than one mitigating measure. Each mitigating measure might require a more detailed description, including bill of quantities, materials to use, timing of the intervention, etc. Such detailed descriptions will be part of the contract for the construction or rehabilitation of the subproject.

Dege Consult 40


Responsibility for implementation of mitigating measures will typically rest with the contractor or community during construction or rehabilitation, and for impacts occurring during use and maintenance, the responsibility will typically - given the anticipated types of subproject - rest with the users.

The monitoring section of the EMP prescribes indicators for monitoring the environmental impact and the effects of mitigating measures. The responsibility for this will typically rest with the county safeguard focal points in collaboration with payams, bomas and communities. The schedule for collection of data on indicators is also indicated.

For each mitigating measure the cost and source of funds is indicated. The cost of mitigating measures required during construction will typically be included in the subproject grant, i.e. included in the construction contract with the contractor or community as applicable. The cost of mitigating measures during use and maintenance will typically be the responsibility of the users.

11 Chance find of physical cultural resources

Although subprojects that will impact on physical cultural resources not eligible for funding under the LGSD (for a list of subprojects not eligible for funding, please refer to Annex D), there is the possibility of chance find of physical cultural resources, most notably during excavation as part of construction or rehabilitation of infrastructure.

Such physical cultural resources may take the form of work of art, building structures, graves or other sites of importance, including sites of archaeological, historical or religious significance.

All chance finds of such physical cultural resources will lead to temporary suspension of all activity that will adversely impact the cultural resource. Contracts will include detailed procedures for ensuring the protection of the cultural resources, including cessation of activities until the significance of the find has been determined and until appropriate mitigating measures has been implemented. Annex E contains standard provisions to be annexed to contracts that potentially will lead to chance finds of physical cultural resources.

Dege Consult 41


12 ESMF Monitoring, reviews and evaluation

12.1 MonitoringThe ESMF implementation indicators to be monitored during project implementation include:

Number of field appraisals undertaken, Number of EMPs developed, Number of written warnings of violations of EMPs issued to project contractors in

case of non-compliances, Number of chance find procedures for physical cultural resources invoked.

The ESMF training component is monitored through indicators of number of safeguard specialist/officer, state focal points, county focal points, community members etc. trained and the topics covered.

Follow up on previous recommendations is monitored through the number of recommendations from the annual review that have been implemented

The indicators are deliberately very simple. Despite their simplicity, the integration of these indicators into the LGSD project M&E system provides a guarantee that the ESMF will be implemented in full during the LGSD implementation period.

A template for monitoring is included in Annex J.

12.2 ReviewsAnnual reviews of the ESMF implementation will be undertaken by external consultants. The reviews will amongst other things be assessing the LGSD's performance in complying with the procedures described in this document, the need for future training, and the environmental and social impact of the LGSD.

The annual reviews will take place after preparation of the annual reports as described in the section above.

Guidelines for annual reviews are included in Annex K.

12.3 End-of-project evaluationBased on the comprehensive annual reviews, an end-of-project evaluation will take place, going into more details with some of the issues raised in the annual reviews and the impact of the capacity development activities provided to the GRSS officials. The evaluation will be performed as per the OECD/DAC criteria of relevance, effectiveness, efficiency, impact, and sustainability10.

10 For more information on the OECD/DAC criteria, please refer to http://www.oecd.org/dac/evaluationofdevelopmentprogrammes/daccriteriaforevaluatingdevelopmentassistance.htm

Dege Consult 42


13 ESMF implementation Budget

The estimated total cost for implementation of the ESMF is indicated in table 13.1 below. A detailed breakdown of costs related to capacity development of safeguard specialists and focal points can be found in chapter 8.

Monitoring is not included in the ESMF budget as it will be covered directly or indirectly by the LGSD, i.e. through allocation for county administrative and logistical expenses or through inclusion of cost for mitigating measures in contracts with contractors or communities.

Table 13.1: ESMF budget Activity Description Total cost [USD]Capacity development As per chapter 8 86,000Annual reviews of ESMF Based on four annual reviews (the last

annual review is replaced by the end-of-project evaluation)

120,000

End-of-project ESMF evaluation An evaluation of the impact of the ESMF and the subprojects

30,000

Total 236,000

14 Public consultation, disclosure and grievances

14.1 Public consultationThe process of developing the draft ESMF included consultation with stakeholders in South Sudan, including GRSS, CBO, NGO and development partner staff. Furthermore, the draft ESMF was distributed to relevant stakeholders and a workshop was held with participation of national NGOs.

The workshop was organized by PACT, the international NGO responsible for implementation of the Fast Track Initiative. During the workshop, the environmental and social views and concerns of participants in relation to the LGSD were raised and discussed. Participants' concerns and experiences were shared and used for improving the ESMF.

The project processes embed an ongoing consultation process as part of subproject planning, implementation and oversight. These participatory consultative processes will be also include environmental and social impacts of subprojects implementation, operations and maintenance.

14.2 DisclosureOperational Policy 4.01 requires that the GRSS and the World Bank disclose the ESMF report as a separate and stand-alone document. The disclosure should be both in RoSS where it can be accessed by the general public, including affected groups and NGOs, and at the InfoShop of the World Bank.

The MoFEP/LGB will make copies of the ESMF available in selected public places (possibly at state government offices) for information and comments. It is proposed that the locations of copies are announced through radio announcement as newspaper circulation

Dege Consult 43


remains limited. The announcement will include a brief description of the LGSD, references to where and when the ESMF can be viewed, duration of the display period, and contact information for comments.

14.3 Feedback and Grievance mechanismA detailed feedback and grievance mechanism will be included in the Operations Manual for the overall functioning of the LGSD. It will be ensured that the grievance mechanisms will include the necessary procedures for disclosure and resolution of environmental and social related grievances of subprojects.

The grievance mechanism will detail procedures on how grievances related to subprojects are dealt with, including how, when and where subproject information is disclosed, who will receive and respond to grievances, when grievances are referred to higher levels, and how grievances are ideally resolved. It is anticipated that the grievance mechanism will contain procedures for addressing grievances at different levels, including at boma, payam, county, state and national level with multiple lines of reporting and special attention to grievance channels for vulnerable groups. Given the low level of literacy in RoSS, it is anticipated that grievances can be put forward both in writing and orally.

Dege Consult 44


Annex A - Literature

"Climate Change and Conflict - Lessons for Conflict Resolution from the Southern Sahel of Sudan", African Centre for the Constructive Resolution of Disputes (ACCORD), South Africa, 2011

"A climate Trend Analysis of Sudan", June 2011, FEWSNET.

"Draft South Sudan National Environment Policy", Government of the Republic of South Sudan, 2011

"The Land Act", Government of South Sudan, 2009

"Environmental Impacts, Risks and Opportunities Assessment", Ministry of Environment and UNDP, July 16, 2011.

"South Sudan - Food security and land governance factsheet", Thea Hilhorst and Nicolas Porchet, Royal Tropical Institute, Amsterdam, The Netherlands, 2012 (www.landgovernance.org)

"South Sudan's future: now for the hard part", The Economist, February 3, 2011

"Sudan Hand Book", Rift Valley Institute, London, United Kingdom, 2011

"Transitional Constitution of the Republic of South Sudan", 2011

"South Sudan Development Plan 2011-2013", Government of the Republic of South Sudan, Juba, August 2011.

"The Joint Baseline Survey Report on the Agriculture and Animal Resources in Southern Sudan", GRSS/FAO, October 2010

Dege Consult 45


Annex B - List of people consulted

The table below provides details of the people consulted. The date indicated is the date of the first meetings, subsequent meetings are not recorded.

Table B.1: List of people consultedName Position Organization DateGorm Pedersen Consultant Danida 24/10-12Karin Erikssen Danida Danish Ministry of Foreign

Affairs25/10-12

Varalakshmi Vermuru Senior Social Development Specialist

World Bank 27/10-12

Bedilu Amare Reta Environmental Specialist World Bank 27/10-12Peter McCanny Country Director IBIS 27/10-12Paul L. Demetry Acting Under

Secretary/Environmental OfficerMinistry of Environment 29/10-12

Camilla Winther Kragelund

Emergency Program Manager Danish Refugee Council 29/10-12

Nina Petersen Civil Society Advisor Norwegian Peoples Aid 29/10-12Signe Atim Allimadi Senior Gender Advisor Joint Donor Team 30/10-12Christianne Kivy Advisor Civil Society Joint Donor Team 30/10-12Peter Lilford PFM and CB Adviser Joint Donor Team 30/10-12Louis Helling External Consultant World Bank 30/10-12Johannes Wollf Institutional Development Expert UNDP 30/10-12Martin Maceik Director Planning and Training Local Government Board 30/10-12Sworo Yopesi Assistant Emergency Coordinator FAO 31/10-12Melissa Brill Deputy Country Director PACT 31/10-12Dina Parmer Conflict and Policy Advisor PACT 31/10-12

Dege Consult 46


Annex C - Checklist for screening of subprojects

Subproject identificationSubproject title Subproject codeDescription of activityState County PayamBoma/community Location GPS coordinatesFacilitating partner Date

Subproject Will the subproject potentially have any of the following impacts(please mark next to the relevant potential impact)

Yes No If yes, please describe mitigating measures

Construction or rehabilitation of physical structures

Loss of vegetation cover causing erosion of soil and siltation of rivers and wetlands Dumping of construction debris in wetlands or other sensitive areas Use of limited or sensitively located local construction materials such as aggregate and

wood Dust pollution due to movement of equipment, digging Noise pollution due to use of equipment Pollution of ground water due to oil and fuel spills and exposure of ground water table Pollution of surface water due to oil spills Occupational health and safety due to hazards from handling of equipment Contamination of groundwater due to inappropriate location of accompanying latrines Chance find of physical cultural resources

Use and maintenance of schools

Health hazards due to inadequate cleaning and maintenance of school latrines Safety hazards due to collapsing latrine pits Privacy concerns and sexual violence due to lack of gender separated school latrines Health hazard due to stagnant water at school water points acting as breeding ground for

malaria carrying mosquitoes and other vector-borne diseasesUse and maintenance of health facilities

Health hazards caused by inadequate storage and disposal of medical and other wastes Health hazards due to inadequate cleaning and maintenance of latrines Safety hazards due to collapsing latrine pits Health hazard due to stagnant water at water points acting as breeding ground for malaria

carrying mosquitoes and other vector-borne diseases

Dege Consult 47




Use and maintenance of markets

Pollution of soil and water resources due to inappropriate collection and disposal of market refuse and waste

Noise pollution from movement of trucks etc. carrying market goods. Health hazards due to poor storage of market goods providing breeding grounds for

disease carrying rodents and vectors. Health hazards due to inadequate cleaning and maintenance of latrines Safety hazards due to collapsing latrine pits Privacy concerns and sexual violence due to lack of gender separated latrines Health hazard due to stagnant water at water points acting as breeding ground for malaria

carrying mosquitoes and other vector-borne diseasesConstruction or rehabilitation of roads and bridges

Stemming of water flow during construction of bridges causing water shortage, change of water course, etc. downstream

Use and maintenance of roads and bridges

Dust and noise pollution due to movement of vehicles etc Erosion during rain due to drainage Safety concerns due to speeding vehicles Pot holes with stagnant water providing breeding ground for disease-carrying vectors Bridges causing changes in water flow causing flooding, erosion or siltation

Construction or rehabilitation of water facilities, e.g. drilling and installation of hand pumps

Contaminated water due to a proximity of latrines and waste disposal sites

Use and maintenance of water facilities

Lowering of water table Health hazard due to stagnant water at water points acting as breeding ground for malaria

carrying mosquitoes and other vector-borne diseases Health hazard due to bacteriological contamination of water Health hazard due to poisonous substances in ground water, e.g. arsenic, fluoride

Construction or rehabilitation of sanitation facilities

Contamination of groundwater due to inappropriate location of latrines

Use and maintenance of sanitation facilities

Health hazards due to inadequate cleaning and maintenance of latrines Safety hazards due to collapsing latrine pits

Dege Consult 48





Construction of flood protection infrastructure

Maintenance of latrines Stemming of water flow during construction., change of water course, etc. downstream

Construction or rehabilitation of livestock dips

Contamination of groundwater due to inappropriate location of livestock dips

Use and maintenance of livestock dips

Health hazards due to unsafe storage and use of chemicals Health hazards due to unsafe disposal of expired chemicals and empty containers Pollution of soil and groundwater due to spillage Erosion of nearby areas due to (temporary) high density of livestock

Construction or rehabilitation of small-scale irrigation schemes

Stemming of water flow during construction., change of water course, etc. downstream

Use and maintenance of small-scale irrigation schemes

Over-use of water deprives downstream communities access to water

Dege Consult 49


Annex D - List of subproject that are not eligible for funding

Subproject that are not eligible for fundingSubprojects that require acquisition of landSubprojects that will block the access to or use of land, water points etc. used by othersSubprojects that will construct or rehabilitate education or health facilities if relevant staff is not already present.Subprojects that encroach onto an important natural habitat ( e.g., wildlife reserves; ecologically-sensitive ecosystems; parks or sanctuaries; protected areas; natural habitat areas, forests and forest reserves, wetlands, national parks or game reserve; any other environmentally sensitive areas)Subprojects that will impact on physical cultural resources (archaeological sites; religious monuments or structures; natural sites with cultural values; cemeteries; graveyards; graves; and other sites of significance)Subproject that will negatively affect ecologically sensitive ecosystemsSubprojects in protected areasSubprojects that does not equally benefit all members of the community, including vulnerable and minority groupsAny subproject for which benefits or use will mainly benefit a fewAgricultural projects requiring purchase of pesticidesSub projects involving the use of hazardous substances

Dege Consult 50


Annex E - Procedures for chance find of physical cultural resources

The below will be annexed to the contract in case there is the possibility of chance find of physical cultural resources, i.e. in most instances of construction or rehabilitation of infrastructures such as health, education, water and sanitation facilities etc.

Annex to contracts in case of potential chance find of physical cultural resources

If the Contractor discovers archaeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavation or construction, the Contractor shall:

1: Excavation in sites of known archaeological interest should be avoided and as stated in annex D, such subprojects are not eligible for funding. Where historical remains, antiquity or any other object of cultural, historical or archaeological importance (including graveyards) are unexpectedly discovered during construction in an area not previously known for its archaeological interest, the following procedures should be applied:

a) Stop the construction activities in the area of the chance find.

b) Delineate the discovered area.

c) Secure the area to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be present until the responsible local authorities and the Ministry of Culture, Youth and Sports take over.

d) Notify the supervisory Engineer who in turn will notify the county safeguard focal point to contact the responsible local authorities and the Ministry of Culture, Youth and Sports immediately (less than 24 hours).

e) The Ministry of Culture, Youth and Sports will be in charge of protecting and preserving the area until deciding on the proper procedures to be carried out. This might require an evaluation of the findings to be performed by the archaeologists of the relevant Ministry Culture, Youth and Sports (within 1 week). The evaluation of the findings will take in consideration various criteria relevant to cultural heritage, including the aesthetic, historic, scientific or research, social and economic values as decided by the Ministry of Culture, Youth and Sports.

f) Decisions on how to handle the finding be taken by the responsible authorities and the Ministry of Culture, Youth and Sports (within 2 weeks). This could include changes in the location of the subproject layout (such as when the finding is an irremovable remain of cultural or archaeological importance), conservation, preservation, restoration and salvage.

Dege Consult 51


g) Construction or rehabilitation work will resume only after authorization is provided by the responsible local authorities and the Ministry of Culture, Youth and Sports concerning the safeguard of the heritage.

h) Authorization to resume work shall be communicated to the contractor in writing by the Ministry of Culture, Youth and Sports.

2: In case of delays incurred in direct relation to any physical cultural resources findings not stipulated in the contract (and affecting the overall schedule of works), the contractor may apply for an extension of time. However the contractor will not be entitled to any kind of compensation or claim other than what is directly related to the execution of the physical cultural resources findings works and protections.

Dege Consult 52


Annex F - Form for appraisal of subproject

Completeness of subproject application:

Subproject identificationSubproject title Subproject codeState County PayamBoma/community Location GPS coordinatesFacilitating partner Date

Check if subproject is on list of subprojects that are not eligible for fundingYes No

Is the subproject on the list of subproject that can not be approvedIf the answer is yes, please reject the application without further appraisal

Completeness of subproject applicationDoes the project contain as appropriate the following information Yes No N/ADescription of the proposed subproject and its locationReasons for proposing the projectBudget for construction and operationInformation about how the site was chosen, and what alternatives were consideredMap or drawing showing the location and boundary of the project, including land required temporarily during constructionPlan for physical works (layout, buildings, construction materials, etc)Any new access arrangements or changes to existing road layouts, water sources, etc.Description of the present ownership of the landDescription of who lives on/uses the land at presentProof for voluntary donation of land for the subprojectProof that the land is free of encumbrancesWork programme for construction, operation and decommissioning of physical work as well as any site restoration needed afterwardsDescription of construction methodsResources used in construction and operation (e.g. materials, water, energy)Information about mitigating measures included in the implementation of the subproject to avoid or minimize environmental and social impactsDetails of any permits required for the projectIf the answer to any of the above is no, please return the application with a request for the relevant additional information to be provided

Dege Consult 53


Environmental and Social ChecklistWill the subproject Yes NoConstruct or rehabilitate and structures or buildingsSupport irrigation schemesSupport water supply schemesSupport sanitation schemesConstruct or rehabilitate roads, bridges, culverts, etcConstruct or rehabilitate flood protection structuresIf the answer to any of the above questions is "Yes", please use table 7.1 in the ESMF document for guidance on how to avoid or minimize typical impacts

Environmental Management Plan ChecklistWill the subproject Yes NoRisk causing pollution of water resourcesRequire significant natural resources, i.e. wood, or waterCreate a risk of soil erosion or pollutionProduce dangerous waste, e.g. medical wasteAffect the flow or quantity of water resources (wetlands, rivers, ground water, etc)If the answer to any of the above questions is "Yes", please submit an Environmental Management Plan (EMP) with the subproject application

Certification:

We certify that we have thoroughly examined all the potential adverse effects of this subproject. To the best of our knowledge, the subproject plan as described in the application and associated planning reports (EMP), if any, will be adequate to avoid or minimize all adverse environmental and social impacts.

Community representative (signature): ______________________

Facilitating partner (signature): _______________________

Date: ____________________

Dege Consult 54


Desk appraisal by review authority

The subproject can be considered for approval. The application is complete, all significant environmental and social issues are resolved, and no further subproject planning is required.

A field appraisal is required.

Note: A field appraisal must be carried out if the subproject: Need land May affect a protected area or a critical natural habitat May encroach onto an important natural habitat, or have an impact on ecologically

sensitive ecosystems (e.g. rivers, streams, wetlands) Involves, or results in:

diversion or use of surface waters; construction or rehabilitation of latrines, septic or sewage systems; production of waste (e.g. medical waste, medical waste); new or rebuilt irrigation or drainage systems; or small dams, weirs, reservoirs or water points.

The following issues need to be clarified at the subproject site: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

A field appraisal report has been completed and added to the subproject file.

Name of desk appraisal officer (print): _____________________________

Date: ________________ Signature: ______________________________

Dege Consult 55


Annex G - Form for field appraisal

Subproject identificationSubproject title Subproject codeState County PayamBoma/community Location GPS coordinatesDate of field visitReason for field appraisal (from appraisal form)Field appraisal team members (county safeguard focal point, community representative, facilitating partner representative, others)

Date

Subproject descriptionProvide details that are not adequately presented in the subproject application. If needed to clarify subproject details, attach sketches of the subproject in relation to the community and to existing facilities

Date

Environmental Management Plan ChecklistWill the subproject Yes NoRisk causing pollution of water resourcesRequire significant natural resources, i.e. wood, or waterCreate a risk of soil erosion or pollutionProduce dangerous waste, e.g. medical wasteAffect the flow or quantity of water resources (wetlands, rivers, ground water, etc)If the answer to any of the above questions is "Yes", please indicate if the Environmental Management Plan (EMP) submitted with the subproject application (tick on of the below)

Tick

The EMP is adequate, no further action requiredThe EMP included with the subproject application must be improved before the application can be considered furtherAn EMP must be prepared and approved before the application can be considered further

Dege Consult 56


Mitigating measures ChecklistWill the subproject Yes NoRisk causing pollution of water resourcesRequire significant natural resources, i.e. wood, or waterCreate a risk of soil erosion or pollutionProduce dangerous waste, e.g. medical wasteAffect the flow or quantity of water resources (wetlands, rivers, ground water, etc)If the answer to any of the above questions is "Yes", please tick one of the below TickThe application describes suitable mitigating measures for managing the potential adverse environmental effects of these activities. No further action is requiredThe application does not describe suitable measures for managing the potential adverse environmental effects of these activities. An Environmental Management Plan must be prepared and approved before the application is considered further

Other environmental or social impactsDescribe any other environmental or social impacts that have not been adequately addressed above

If there are any other answer to any other impacts, please tick one of the below TickBefore the subproject application is considered further, the application needs to be amended to include suitable measures for addressing these.An Environmental Management Plan needs to be prepared and approved before the subproject application is considered further

Field Appraisal Decision

The subproject can be considered for approval. Based on a site appraisal and consultations with interested and affected parties, the field appraisal determined that the communities and its proposed subproject adequately address environmental and social impacts as required by the LGSDP' ESMF.

Further subproject preparation is required before the subproject application can be considered further.The field appraisal mission has identified environmental or social impacts that have not been adequately addressed. The following work needs to be undertaken before further consideration of the application _______________________________________________________________________________________________________________________________________________________________________________________________________________

All required documentation such as an amended application or EMP will be added to the subproject file before the subproject is considered further.

Name of field appraisal officer (print): _____________________________

Date: ________________ Signature: ______________________________

Dege Consult 57


Annex H Format for Documenting Voluntary Land Donation by Individual for Subprojects

The following agreement has been made on............................ day of...................……….

between ..............................................., resident of ............................................(the

Owner) and ……………………………………………….(the Recipient).

1. That the Owner holds the transferable right of the land/structure/other asset located

at ........................…………………………………………………………………………….

2. That the Owner testifies that the land/structure is free of squatters or encroachers and not

subject to other claims.

3. That the Owner hereby grants to the Recipient this asset for the construction and development

of ............................................for the benefit of the villagers and the public at large.

4. That the Owner will not claim any compensation against the grant of this asset.

5. That the Recipient agrees to accept this grant of asset for the purposes mentioned.

6. That the Recipient shall construct and develop the ……………………………and take all

possible precautions to avoid damage to adjacent land/structure/other assets.

7. That both parties agree that the…………………………………so constructed/developed shall

be public premises.

8. That the provisions of this agreement will come into force from the date of signing of this

deed.

__________________________________ _______________________________

Signature of the Owner Signature of the Recipient

Witnesses:

1. _____________________________________________________________

2. _____________________________________________________________

(Signature, name and address)

Dege Consult 58


Annex I - Template safeguards procedures for contracts

1. General

1.a The Contractor and his employees shall adhere to the mitigation measures set out in the environmental management plan (EMP) and take all other measures required by the Engineer to prevent harm, and to minimize the impact of his operations on the social and natural environment.

1.b The Contractor shall not be permitted to unnecessarily strip clear the right of way. The Contractor shall only clear the minimum width for construction and diversion roads should not be constructed alongside the existing road.

1.c Remedial actions, which cannot be effectively carried out during construction, should be carried out on completion of each Section of the road (earthworks, pavement and drainage) and before issuance of the Taking over certificate: (a) These sections should be landscaped and any necessary remedial works should be

undertaken without delay, including grassing and reforestation; (b) Water courses should be cleared of debris and drains and culverts checked for clear

flow paths; and(c) Borrow pits should be reclaimed, dressed as fish ponds, or drained and made safe,

as agreed with the land owner.

1.d The Contractor shall limit construction works to between 6 am and 7 pm if it is to be carried out in or near residential areas.

1.e The Contractor shall avoid the use of heavy or noisy equipment in specified areas at night, or in sensitive areas such as near a schools, health centres and hospital.

1.f To prevent dust pollution during dry periods, the Contractor shall carry out regular watering of earth and gravel haul roads and shall cover material haulage trucks with tarpaulins to prevent spillage.

2. Transport

2.a The Contractor shall use selected routes to the project site, as agreed with the Engineer, and appropriately sized vehicles suitable to the class of road, and shall restrict loads to prevent damage to roads and bridges used for transportation purposes. The Contractor shall be held responsible for any damage caused to the roads and bridges due to the transportation of excessive loads, and shall be required to repair such damage to the approval of the Engineer.

2.b The Contractor shall not use any vehicles, either on or off road with grossly excessive, exhaust or noise emissions. In any built up areas, noise mufflers shall be installed and maintained in good condition on all motorized equipment under the control of the Contractor.

Dege Consult 59


2.c Adequate traffic control measures shall be maintained by the Contractor throughout the duration of the Contract and such measures shall be subject to prior approval of the Engineer.

3. Workforce

3.a The Contractor should whenever possible locally recruit the majority of the workforce and shall provide appropriate training as necessary.

3.b The Contractor shall install and maintain a temporary septic tank system for any residential labour camp and without causing pollution of nearby watercourses.

3.c The Contractor shall establish a method and system for storing and disposing of all solid wastes generated by the labour camp and/or base camp.

3.e The Contractor shall not allow the use of fuel wood for cooking or heating in any labor camp or base camp and provide alternate facilities using other fuels.

3.f The Contractor shall ensure that site offices, depots, asphalt plants and workshops are located in appropriate areas as approved by the Engineer and not within 500 meters of existing residential settlements and not within 1,000 meters for asphalt plants.

3.g The Contractor shall ensure that site offices, depots and particularly storage areas for diesel fuel and bitumen and asphalt plants are not located within 500 meters of watercourses, and are operated so that no pollutants enter watercourses, either overland or through groundwater seepage, especially during periods of rain. This will require lubricants to be recycled and a ditch to be constructed around the area with an approved settling pond/oil trap at the outlet.

3.h The contractor shall not use fuel wood as a means of heating during the processing or preparation of any materials forming part of the Works.

4. Quarries and Borrow Pits

4.a Operation of a new borrow area, on land, in a river, or in an existing area, shall be subject to prior approval of the Engineer, and the operation shall cease if so instructed by the Engineer. Borrow pits shall be prohibited where they might interfere with the natural or designed drainage patterns. River locations shall be prohibited if they might undermine or damage the river banks, or carry too much fine material downstream.

4.b The Contractor shall ensure that all borrow pits used are left in a trim and tidy condition with stable side slopes, and are drained ensuring that no stagnant water bodies are created which could breed mosquitoes.

4.c Rock or gravel taken from a river shall be far enough removed to limit the depth of material removed to one-tenth of the width of the river at any one location, and not to disrupt the river flow, or damage or undermine the river banks.

Dege Consult 60


4.d The location of crushing plants shall be subject to the approval of the Engineer, and not be close to environmentally sensitive areas or to existing residential settlements, and shall be operated with approved fitted dust control devices.

5. Earthworks

5.a Earthworks shall be properly controlled, especially during the rainy season.

5.b The Contractor shall maintain stable cut and fill slopes at all times and cause the least possible disturbance to areas outside the prescribed limits of the work.

5.c The Contractor shall complete cut and fill operations to final cross-sections at any one location as soon as possible and preferably in one continuous operation to avoid partially completed earthworks, especially during the rainy season.

5.d In order to protect any cut or fill slopes from erosion, in accordance with the drawings, cut off drains and toe-drains shall be provided at the top and bottom of slopes and be planted with grass or other plant cover. Cut off drains should be provided above high cuts to minimize water runoff and slope erosion.

5.e Any excavated cut or unsuitable material shall be disposed of in designated tipping areas as agreed to by the Engineer.

5.f Tips should not be located where they can cause future slides, interfere with agricultural land or any other properties, or cause soil from the dump to be washed into any watercourse. Drains may need to be dug within and around the tips, as directed by the Engineer.

6. Disposal of Construction and Vehicle Waste

6.a Debris generated due to the dismantling of the existing structures shall be suitably reused, to the extent feasible, in the proposed construction (e.g. as fill materials for embankments). The disposal of remaining debris shall be carried out only at sites identified and approved by the project engineer. The contractor should ensure that these sites (a) are not located within designated forest areas; (b) do not impact natural drainage courses; and (c) do not impact endangered/rare flora. Under no circumstances shall the contractor dispose of any material in environmentally sensitive areas.

6.b In the event any debris or silt from the sites is deposited on adjacent land, the Contractor shall immediately remove such, debris or silt and restore the affected area to its original state to the satisfaction of the Supervisor/Engineer.

6.c Bentonite slurry or similar debris generated from pile driving or other construction activities shall be disposed of to avoid overflow into the surface water bodies or form mud puddles in the area.

6.d All arrangements for transportation during construction including provision, maintenance, dismantling and clearing debris, where necessary, will be considered

Dege Consult 61


incidental to the work and should be planned and implemented by the contractor as approved and directed by the Engineer.

6.e Vehicle/machinery and equipment operations, maintenance and refuelling shall be carried out to avoid spillage of fuels and lubricants and ground contamination. An oil interceptor will be provided for wash down and refuelling areas. Fuel storage shall be located in proper bounded areas.

6.f All spills and collected petroleum products shall be disposed of in accordance with standard environmental procedures/guidelines. Fuel storage and refilling areas shall be located at least 300m from all cross drainage structures and important water bodies or as directed by the Engineer.

Annex J - ESMF reporting form

This annex contains three templates to be used in conjunction with monitoring and reporting on ESMF implementation.

Table J.1: ESMF reporting formSubproject title

Subproject code

Application received (date)

Field appraisal undertaken (date if undertaken)

Application approved (date if approved)

EMP developed (yes or no)

Written warnings of violation of EMP issued (yes/no)

Chance find procedures invoked (yes or no)

Table J.2: ESMF training formPersonnel No. of people trained Training receivedSafeguard specialist/officerState focal pointsCounty focal pointsPayam staffCommunity members etc.

Table J.3: Follow up on previous recommendations

RecommendationDate of recommendation Action taken

Recommendation implemented (yes/no)

Dege Consult 62


Annex K - Guidelines for annual reviews

Objectives:The objectives of annual reviews of ESMF implementation are two-fold:a) To assess LGSDP performance in complying with ESMF procedures, learn lessons, and

improve future performance; andb) To assess the occurrence of, and potential for, cumulative impacts due to the LGSDP

subprojects

The LGSDP management is expected to use the annual reviews to improve on procedures and capacity for integrating natural resources and environmental/social management into LGSDP operations. They will also be a principal source of information to Bank supervision missions.

Scope of Work:ESMF Performance Assessment The overall scope of the performance assessment work is to:a) Assess the adequacy of the subproject approval process and procedures based on interviews

with Project participants, Project records, and the environmental and social performance of a sample of approved subprojects;

b) Assess the adequacy of ESMF roles and responsibilities, procedures, forms, information resource materials, etc.;

c) Assess the needs for further training and capacity building;d) Identify key risks to the environmental and social sustainability of subprojects; ande) Recommend appropriate measures for improving ESMF performance.

The following tasks will be typical:a) Review central and district records of subproject preparation and approval (e.g. applications;

management in the country; screening checklists; EMPs, appraisal forms; approval documents), as well as related studies or reports on wider issues of natural resources and environmental management in the country

b) On the basis of this review, conduct field visits of a sample of approved subprojects to assess the completeness of planning and implementation work, the adequacy of environmental/social design, and compliance with proposed mitigation measures. The sample should be large enough to be representative and include a substantial proportion of subprojects that had (or should have had) a field appraisal according to established ESMF criteria. Subprojects in sensitive natural or social environments should especially be included.

c) Interview LGSDP and county officials responsible for subproject appraisal and approval to determine their experience with ESMF implementation, their views on the strengths and weaknesses of the ESMF process, and what should be done to improve performance.Improvements may concern, for example, the process itself, the available tools (e.g. guidelines, forms, information sheets), the extent and kind of training available, and the amount of financial resources available.

d) Develop recommendations for improving ESMF performance.

Cumulative Impacts AssessmentThis part of the annual review assesses the actual or potential cumulative impacts of subprojects with other subprojects or development initiatives on the environment, natural resources and community groups. Cumulative impacts result from a number of individual small-scale activities

Dege Consult 63


that, on their own, have minimal impacts, but over time and in combination generate a significant impact. For example: a) Deforestation due to the overharvesting of poles and timber for small-scale construction;b) Decline in groundwater levels or quality due to the construction of numerous wells and the

introduction of numerous small scale irrigation works;c) Overwhelmed or illegal waste and dumping sites due to the inappropriate disposal of

increasing amounts of waste materials;d) Illegal poaching of wildlife due to expansion of land under cultivation or increased proximity

and access to protected areas through construction of small access roads; ande) Attraction of large migrant populations to communities that have successfully introduced

improved social infrastructure (such as schools, health facilities or water sources) resulting in overcrowding, depletion of resources (e.g. space, supplies, water), etc.

The function of this assessment is primarily as an "early warning" system for potential cumulative impacts that might otherwise go undetected and unattended to. It will be largely based on the observations of people interviewed during the fieldwork, and trends that may be noticed by county or state officials. Where cumulative impacts are detected or suspected, recommendations will be made to address the issue, perhaps through more detailed study to clarify matters and what should or can be done about them.

Qualifications for Undertaking Annual Reviews:The annual reviews shall be undertaken by an individual, or small team, with experience relevant to the likely issues to be encountered (e.g. environmental and natural resources management, land acquisition and resettlement, indigenous peoples). They should also be familiar with the methods and practices of effective community consultation, and with typical methods and processes for preparing, appraising, approving and implementing small-scale community development projects.

Timing: Annual reviews should be undertaken after the annual ESMF report has been prepared and before WB supervision of the Project, at the closing of each year of the LGSDP. It is expected that each review would require 4 to 5 weeks of work (interviews, examination of subprojects), and that the review report would be completed within 2 weeks of completing the fieldwork.

Outputs:The principal output is an annual review report that documents the review methodology, summarizes the results, and provides practical recommendations. Distinct sections should address;a) ESMF performance and b) Cumulative impacts. Annexes should provide the detailed results of the fieldwork, arid summarize the number of approved subprojects by state and their characteristics according to the annual report format.

Copies of the annual review report should be delivered to the LGSDP management, to each state and county office responsible for appraisal, approval and implementation of subprojects, and to the World Bank. LGSDP management (central or state) may also want to host national or state workshops to review and discuss the review findings and recommendations.

Dege Consult 64


Annex L: Template for Environmental Management Plan (EMP)ENVIRONMENTAL MANAGEMENT PLAN

Subproject identificationSubproject title Subproject codeState County PayamBoma/community Location GPS coordinates

Dege Consult 65

a) Environmental Management Plan-Mitigation

Project Phase

Potential Environmental Impacts

Mitigation Measures (incl. legislation & regulations)

Institutional Responsibilities (incl. enforcement and coordination) Cost Estimates

Comments(e.g. secondary impacts)

Construction Phase

Operation and maintenance phase

ii) Environmental Management Plan-Monitoring

Project phaseMitigation Measures Location

Measurements (incl. methods and equipment)

Frequency of measurement

Responsibilities (incl. review and Reporting

Cost (equipment & individuals)

Construction PhaseOperation and maintenance phaseTotal cost for all phases

consultants for development - world bank · web view2013/01/21 · although land in general is...

Documents