REPÚBLICA DE MOÇAMBIQUE MINISTÉRIO DAS OBRAS PÚBLICAS, HABITAÇÃO E RECURSOS HÍDRICOS DIRECÇÃO NACIONAL DE ABASTECIMENTO DE ÁGUA E SANEAMENTO Environmental and Social Management Framework (ESMF) for the Mozambique Urban Sanitation Project (P161777) April, 2021 TABLE OF CONTENT List of Tables...................................................................................................................... iv List of Figures..................................................................................................................... iv LIST OF BOXES................................................................................................................ iv SUMÁRIO EXECUTIVO ................................................................................................... x EXECUTIVE SUMMARY............................................................................................... xxi 1. INTRODUCTION ....................................................................................................... 31 2. PROJECT DESCRIPTION......................................................................................... 34 2.1 Concept Description ..................................................................................................... 34 2.2 Project Components...................................................................................................... 35 2.3 Anticipated types of Sub-projects .................................................................................. 37 2.4 Sub-project activities ineligible for funding (negative list).............................................. 38 3. PROJECT CONTEXT AND TARGETED AREAS.................................................... 39 3.1 General Description of Context in Mozambique............................................................. 39 3.2 Project Locations .......................................................................................................... 42 3.2.1 Maputo............................................................................................................... 43 3.2.2 Tete.................................................................................................................... 47 3.2.3 Quelimane ......................................................................................................... 49 3.3 Natural Habitats, Historical and Cultural Sites, Sensitive and Vulnerable Areas.............. 52 4. PROJECT IMPLEMENTATION ARRANGEMENTS.............................................. 53 4.1 Roles and responsibilities of key stakeholders................................................................ 56 5. MOZAMBIQUE ENVIRONMENTAL AND SOCIAL MANAGEMENT LEGAL FRAMEWORK ........................................................................................................... 57 5.1 The Constitution ........................................................................................................... 57 5.2 Environmental Legislation ............................................................................................ 57 5.3 The Environmental Impact Assessment ......................................................................... 58 5.4 The Local Authorities Law............................................................................................ 59 5.5 The Land Law .............................................................................................................. 59 5.6 Legislation on Water and Water Rights.......................................................................... 59 5.7 Waste Management Legislation..................................................................................... 60 5.8 Labor Law.................................................................................................................... 60 5.9 Contracting for Public Civil Works ............................................................................... 61 5.10Resettlement Process .................................................................................................... 61 5.11Public Consultation Process .......................................................................................... 61 6. Applicable World Bank’s Safeguard Policies .............................................................. 63 6.1 Environmental Assessment OP 4.01 .............................................................................. 63 6.2 Natural Habitats (OP/BP 4.04) ...................................................................................... 65 6.3 Physical Cultural Resources (OP/BP 4.11)..................................................................... 66 6.4 Involuntary Resettlement (OP 4.12)............................................................................... 66 6.5 Projects on International Waterways OP/BP7.50 ............................................................ 67 ii 6.6 Code of Conduct and Gender Based-Violence................................................................ 69 6.7 Temporary Project Induced Labor Influx ....................................................................... 70 6.8 World Bank Policy on Disclosure of Information ........................................................... 71 6.9 Safeguard Requirements for a CERC Component (Emergency Response Component) .... 72 7. GAPS IN MOZAMBICAN LEGISLATION AND IN THE WORLD BANK SAFEGUARD POLICIES ........................................................................................... 76 8. PUBLIC CONSULTATIONS...................................................................................... 80 9. POTENTIAL SITES FOR WWTP AND FSTP IN THE PROJECT TARGETRD CITIES......................................................................................................................... 82 10. IMPACT ASSESSMENT AND MITIGATION MEASURES .................................... 83 10.1Potential Positive Environmental and Socioeconomic Impacts........................................ 83 10.2Potential Adverse Environmental and Socioeconomic Impacts ....................................... 84 11. ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN (ESMP)..................... 93 12. ENVIRONMENTAL AND SOCIAL SCREENING PROCESS ............................... 104 13. ENVIRONMENTAL AND SOCIAL PLAN MONITORING AND REPORTING REQUIREMENTS..................................................................................................... 109 13.1Guidance for Safeguard Requirements for FSM Operation by Public-Private Partnerships (PPP).......................................................................................................................... 111 13.2Wastewater Treatment Technologies and Effluent Standards........................................ 113 14. CAPACITY BUILDING AND TRAINING FOR ENVIRONMENTAL MANAGEMENT ....................................................................................................... 114 14.1Capacity to Implement and Manage the Mozambique Sanitation and Drainage Project and Staffing Recommendations ......................................................................................... 114 14.2Training Needs and Capacity Development Required................................................... 115 15. STAKEHOLDER ENGAGEMENT PROCEDURES ............................................... 117 16. GRIEVANCE REDRESS MECHANISM ................................................................. 118 16.1. Type of Potential Questions/Information Requests/Complaints (Grievances)............... 119 16.2. Available and Accessible Procedures to Resolve Conflicts Associated with Resettlement (Grievance Redress Mechanism) ................................................................................. 120 17. CHANCE FIND PROCEDURES .............................................................................. 122 18. Proposed budget for ESMF Implementation............................................................. 123 REFERENCES................................................................................................................ 124 ANNEX 1: TERMS OF REFERENCE........................................................................... 127 ANNEX 2: SAFEGUARD POLICIES TRIGGERED .................................................... 129 ANNEX 3: MTA PRE-ASSESSMENT FORM (“FICHA DE PRE-AVALIAÇÃO”)..... 131 ANNEX 4: PROPOSED ENVIRONMENTAL AND SOCIAL SCREENING FORM ... 133 ANNEX 6: GUIDELINES FOR ANNUAL REPORTING.............................................. 137 ANNEX 7: GUIDELINES FOR ANNUAL REVIEW..................................................... 139 ANNEX 9: TERMS OF REFERENCE (TORS) FOR ENVIRONMENTAL AND SOCIAL SAFEGUARDS SPECIALISTS ................................................................. 140 ANNEX 9: Generic Terms of Reference for ESIA .......................................................... 142 Annex 10. CONTRACT AGREEMENT TEMPLATE................................................... 146 ANNEX 11: BASIC REQUIREMENTS TO ENHANCE ENVIRONMENTAL, SOCIAL, HEALTH AND SAFETY (ESHS) PERFOMANCE.................................................. 148 ANNEX 12: Public Advert for Media Release – Fase 1................................................... 150 Annex 13: MINUTES FROM THE PUBLIC CONSULTATION MEETINGS ............. 151 iii LIST OF TABLES Table 1: Project Technical Details ..................................................................................... ix Table 2: Questões Chaves das Consultas Públicas............................................................. xv Table 3: Cronograma para a Consulta Pública do QPGAS Actualizado. ............................ xv Table 4: Custo Estimado para Implementação do QGAS .................................................. xix Table 5: Summary of Issues Gathered from the Public Consultation Meetings .................. xxv Table 6: Chronogram of ESMF Public Consultations ..................................................... xxvi Table 7: Proposed Budget for the Implementation of the ESMF ...................................... xxix Table 8: Ineligible sub-projects........................................................................................ 38 Table 9: Distribution of Maputo Municipality Population .................................................. 44 Table 10: Distribution of Population in Tete Municipality.................................................. 48 Table 11: Distribution of Population in Quelimane Municipality........................................ 49 Table 12: Roles and Responsibilities of main project’s stakeholders................................... 56 Table 13: World Bank Safeguard Policies Triggered by the Project ................................... 63 Table 14: Risks of Adverse Impact on Communities from Project Temporary Induced Labor Influx ........................................................................................................................ 70 Table 15: Activities that can and Cannot be Implemented on the Basis of the Provisions of the CERC ESMF with no Additional Environmental or Social Assessment ........................ 74 Table 16 Gaps Between National and WB Regulations....................................................... 78 Table 17: Issues from Public Consultations Meetings ........................................................ 80 Table 18:Table 18: Chronogram for Updated ESMF Public Consultations......................... 81 Table 19: Preliminary Environmental Assessments Output's .............................................. 82 Table 20: Summary of Potential Adverse Environmental and Socioeconomic Impacts......... 84 Table 21: Environmental and Social Management Plan ..................................................... 93 Table 22: Responsibility for Implementing Screening Process.......................................... 107 Table 23: Environmental and Social Indicators ............................................................... 110 Table 24: Proposed Budget for Implementation of Environmental and Social Safeguards . 123 Table 25: Safeguards Policies Triggered By the Project .................................................. 129 Table 26: Basic Topics for ESHS Perfomance ................................................................. 148 Table 27: Relevant Participants at Public Consultations Meetings ................................... 151 Table 28: Summury of Potential Environemntal and Socieconomic Impacts...................... 154 Table 29: Results of ESMF discussion in Tete.................................................................. 156 Table 30: Results of ESMF Discussion in Quelimane....................................................... 158 Table 31: Results of ESMF Discussion in Maputo............................................................ 159 Table 32: Results of RPF Discussion in Tete.................................................................... 163 Table 33: Results of RPF Discussions in Quelimane ........................................................ 164 Table 34: Results of RPF Discussions in Maputo ............................................................. 165 LIST OF FIGURES Figure 1: Maputo Municipality Map .................................................................................. 44 Figure 2: Tete Municipality Map ....................................................................................... 48 Figure 3: Quelimane Municipality Map ............................................................................. 52 Figure 4: Key Institutions Proposed to Manage the Mozambique Urban Sanitation Project . 55 LIST OF BOXES Box 1: Principles of Managing the Risks of Adverse Impact on Communities from Project Temporary Induced Labor Influx ............................................................................... 70 iv Box 2: Issues Emerging from Consultation Meetings ......................................................... 80 LIST OF DIAGRAMS Diagram 1: GRM procedures .......................................................................................... 121 v LIST OF ACRONYMS AND ABBREVIATIONS AIAS Water Supply and Sanitation Infrastructure Administration AURA - IP Water Regutation Authority – Public Institute ARA Regional Water Administration CFP Chance Finding Procedure CPF Country Partnership Framework (World Bank Group) DMF Delegated Management Framework DIEE National Directorate of School Equipment and Infrastructures DNDT National Directorate of Territorial Development DNSP National Directorate of Public Health DNPC National Directorate of Planning and Cooperation DNDA Direcção Nacional de Desenvolvimento Autárquico - National Directorate for Municipal Development DNDR National Directorate of Rural Development DNFFB National Directorate of Forests and Fauna DNGRH National Directorate for the Management of Water Resources DNAAS National Directorate of Water Supply and Sanitation DPASA Provincial Directorate of Agriculture and Food Security DPC Provincial Directorate of Culture DPOPHRH Provincial Directorate of Public Works, Housing and Water Resources DPS Provincial Directorate of Health SPA Provincial Services of Environment DRM Disaster Risk Management DRR Disaster Risk Reduction DUAT Direito de Uso e Aproveitamento de Terra - Land Use Rights/Title EA Environmental Assessment EFP Environmental Focal Point EIA Environmental Impact Assessment EMP Environmental Management Plan EO Environmental Officer ESC Environmental and Social Clauses ESIA Environmental and Social Impact Assessment vi ESHS Environmental, Social, Health and Safety ESMF Environmental and Social Management Framework ESSP Education Sector Strategic Plan EWS Early Warning Systems EU European Union FIPAG Fundo do Investimento e Património do Abastecimento de Água - Investment Fund and Water Supply Asset Holder GFDRR Global Facility for Disaster Risk Reduction GoM Government of Mozambique GRM Grievance Redress Mechanism HIV/AIDS Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome IMR Immediate Response Mechanism INAM National Institute of Meteorology INE National Institute for Statistics - Instituto Nacional de Estatística INGC National Disaster Management Institute INIR National Irrigation Institute IOF Inquérito ao Orçamento Familiar (IOF) - Household Budget Survey IPM Integrated Pest Management MAEFP Ministério da Administração Estatal e Função Publica - Ministry of Public Administration and Public Function MASA Ministry of Agriculture and Food Security MEF Ministry of Economy and Finance MINEDH Ministry of Education and Human Development MTA Ministry of Land and Environment MOPHRH Ministry of Public Works, Housing and Water Resources NGO Non-governmental organization OP Operational Policy PAP’s Project Affected Persons PIS Integrated Sanitation Plan - Plano Integrado de Saneamento PIU Project Implementation Unit PNDRH National Water Resources Development Project RAP Resettlement Action Plan vii RPF Resettlement Policy Framework SBD Standard Bidding Documents SDGs Sustainable Development Goals SDIP District Services for Planning and Infrastructures SDSMAS District Health, Women and Social Affairs Services SPD Standard Procurement Documents ToR Terms of Reference UN United Nations UN-Habitat United Nations Human Settlement Programme WASH Water, Sanitation and Hygiene WB World Bank WHO World Health Organization viii PROJECT DESCRIPTIONS Table 1: Project Technical Details PROJECT TECHNICAL DETAILS Amount Under Committed “Mozambique Urban Project Title Project financing Negotiations amount Sanitation Project” (USD) (USD) Component 1: Priority World Bank P161777 Sewerage Investments in 56.50 Million 0,00 Project ID: Maputo, Quelimane and Tete Mozambique Component 2: Onsite Country: (Municipalities of Sanitation Investment for 32.50 Million 0,00 Quelimane and Tete) Quelimane and Tete Component 3: Focal Area: Urban Sanitation Municipal Sanitation 16 Million 0,00 Services Improvement National Directorate of Water Supply and Sanitation Component 4: Technical Implementing (DNAAS), Water and assistance and Project 10 Million 0,00 Agency: Sanitation Infrastructure Management Support Management Agency (AIAS) Directorate for Water Contingency and Emergency Supply and Sanitation 35 Million 0,00 Response (DNAAS) Component 3: Focal Area: Urban Sanitation Municipal Sanitation 16 Million 0,00 Services Improvement Municipalities of Quelimane, Tete and Maputo and the Administration for Water Other relevant Supply and Sanitation Total Amount 150 Million 0,00 partners: Infrastructure (AIAS), National Directorate for Water Supply and Sanitation (DNAAS) Project Period: 18 Months Upon Project Approval and Funding Financing Source: IDA Grant ix SUMÁRIO EXECUTIVO Introdução O Governo de Moçambique (GdM), através do Ministério da Economia e Finanças, solicitou apoio ao Banco Mundial para investimentos na área de saneamento urbano e drenagem no âmbito do Plano Integrado de Saneamento nos municípios de Maputo, Tete, Quelimane, Mocuba, Nampula e Nacala. O projecto será implementado pela Direcção Nacional do Abastecimento de Água e Saneamento (DNAAS) no Ministério das Obras Públicas, Habitação e Recursos Hídricos (MOPHRH). O projecto visa responder a alguns dos desafios relacionados com o saneamento enfrentados pela população urbana em Moçambique. De acordo com o Inquérito sobre o Orçamento Familiar publicada pelo Instituto Nacional de Estatística (INE 2016), cerca de quarenta e dois por cento (42%) da população urbana de Moçambique (3,4 milhões de pessoas) não tem acesso a infra-estruturas básicas de saneamento e, cerca de dois terços do crescimento populacional de Moçambique está previsto nas áreas urbanas, o acesso a melhores infra-estruturas de saneamento e serviços de saneamento nessas áreas continuará sendo um desafio crítico. A falta de acesso ao saneamento melhorado é geralmente significativa nos aglomerados populacionais informais e nas áreas periurbanas das 25 cidades moçambicanas com alta frequência de surtos de cólera e diarreia generalizada e outras doenças transmitidas pela água, resultando em alta mortalidade infantil. O presente Quadro de Gestão Ambiental e Social (QGAS) é elaborado em conformidade com as Políticas de Salvaguarda estabelecidas pela agência de financiamento, o Banco Mundial (BM), bem como pelos regulamentos legais de Gestão Ambiental e Social Moçambicanos aplicáveis, que estabelecem que o financiamento de planos e de programas de desenvolvimento sejam sujeitos à avaliação prévia e à mitigação dos potenciais efeitos ambientais e sociais de projectos públicos ou privados. O QGAS é um documento dinâmico, pelo que deverá ser revisto e actualizado sempre que necessário durante o ciclo de implementação do projecto. Os objectivos deste QGAS são: • Fornecer procedimentos e metodologias para a avaliação dos impactos ambientais e sociais, revisão, aprovação e implementação das actividades de subprojectos financiadas pelo Projecto de Saneamento e Drenagem de Moçambique; • Especificar as funções, responsabilidades e detalhes necessários para a elaboração de relatórios, incluindo a gestão e monitoria dos impactos ambientais e sociais relacionados com investimentos do projecto; • Determinar a formação, capacitação e a assistência técnica necessária para implementar com sucesso as recomendações do QGAS a subsequente os ESIA / ESMP conforme o caso; • Estabelecer o financiamento do projecto necessário para implementar os requisitos do QGAS e fornecer informação prática sobre os recursos de implementação do QGAS; • Identificar e classificar os impactos para posteriormente propor as medidas de mitigação. Objectivo do Projecto O projecto visa responder a alguns dos desafios relacionados com o saneamento do meio enfrentados pela população urbana em Moçambique. O mesmo ajudará Moçambique a cumprir x com o Objectivo de Desenvolvimento Sustentável (ODS) 6, centrado na água potável e saneamento, e especificamente, ajudará o país a alcançar o objectivo de erradicação de fecalismo a céu aberto e garantir o acesso universal ao saneamento até 2030. Este objectivo ambicioso requer um esforço amplo e sustentado para estabelecer e expandir serviços e infra-estrutura de saneamento urbano sustentáveis. O projecto proposto será o ponto de entrada para a implementação de quadros institucional, de gestão e financeiros para a implementação da estratégia nacional e para o início do fortalecimento das capacidades organizacionais necessárias a níveis central e municipal (objectivos do PIS). Componentes do Projecto O Projecto possui quatro Componentes: Componente 1: Investimentos prioritários em Sistemas de Esgotos em Maputo, Quelimane e Tete (USD 56.50 Milhões) que visam financiar um conjunto de sistemas de esgotos com vista a melhorar acesso aos serviços de saneamento geridos com segurança nas cidades de Maputo, Quelimane e Tete. Componente 2: Saneamento localizado para as cidades de Quelimane e Tete (US $ 32,50 milhões) esta componente envolve intervenções em saneamento localizado prioritário com vista a melhorar o acesso a saneamento seguro a nível familiar, e a construção de infra- estruturas de saneamento público para os residentes das cidades de Quelimane e Tete. Componente 3: Melhoramento de Serviços Municipais de Saneamento Fortalecimento dos serviços de saneamento no Grande Maputo (US $ 16 milhões) Esta componente irá financiar um programa de actividades para fortalecer a capacidade dos conselhos municipais de Nampula, Quelimane, Tete, Beira e Maputo com vista a provisão de serviços de saneamento geridos com segurança . Componente 4: Assistência Técnica e Apoio a Gestão do Projecto (US $ 10 milhões) Esta componente irá financiar a assistência técnica para apoiar o fortalecimento institucional nacional bem como a coordenação e gestão do projecto. O apoio a gestão do projecto inclui a assistência técnica custos operacionais adicionais para assegurar a conformidade fiduciária incluindo a gestão financeira, licitações e das salvaguardas ambientais e sociais, monitoria e avaliação. Esta componente irá igualmente apoiar na aquisição de equipamentos necessários (exemplo: computadores, softwares e outros bens), capacitação e treinamento, contratação de técnicos necessários para a Unidade de Implementação do Projecto, para levar a cabo as suas responsabilidades e assegurar resultados adequados na monitoria e avaliação. Componente 5: Contingência e resposta a emergência (US $35 milhões) Esta componente irá financiar acções de resposta a emergência imposta pela eclosão da pandemia do COVID 19, especificamente na reabilitação e melhoramento dos sanitários escolares e provisão de meios de gestão de higiene escolar a) Reabilitação e Melhoramento de Sanitários Escolares: i) trabalhos de melhoramento da componente hidraúlica e civil dos sanitários; (ii) arranjos específicos para garantir conforto e privacidade para a gestão da higiene menstrual para as raparigas e pessoas portadoras de deficiência; (iii) ligação de água às escolas bem como aos respectivos reservatórios; (iv) existência de espaçamentos e separadores entre as sanitas e urinóis. b) Serviço de Manutenção de Sanitários: i) provisão de serviços de limpeza, desinfecção e higienização regulares dos sanitários escolares durante a prevalência da COVID 19; ii) projecção de um modelo de manutenção de sanitários escolares em parceria com o xi sector de Educação, sector de Saúde e o sector privado por formas a garantir que os sanitários sejam seguros durante o período lectivo. c) Gestão de Higiene Menstrual: Provisão de pacotes de higiene menstrual, incluindo o fornecimento de pensos reusados e treinamento no uso dos mesmos; d) Melhoria no processo de lavagem das mãos: Provisão de meios para a lavagem das mãos e produtos para gestão da higiene tais como sabão líquido, álcool gel, baldes, dispensadores automatizados de álcool Gel, papel higiénico e contentor de lixo, entre outros; e) Provisão de Equipamento de Protecção Individual: Rastreamento de contactos nas provincias seleccionadas; f) Provisão de Informação, educação e comunicação: comunicação de pânico e gestão de materiais de comunicação e serviços; g) Gestão de Casos: equipamento médico, provisão de medicamentos; h) Realização de Diagnósticos Laboratoriais: testes, reagentes e consumíveis, e i) Administração e Custos Operacionais: transporte interno, distribuição, viagens e treinamento. Mecanismos para a Implementação do Projecto O projecto será implementado pelo Ministério das Obras Públicas, Habitação e Recursos Hídricos (MOPHRH) a nível central através das suas instituições subordinadas, bem como pelos municípios a nível local. As agências a nível central - DNAAS, AIAS, FIPAG e AURA IP - têm alguma experiência e capacidade na gestão de programas ou projectos financiadas pelo Banco. Uma Unidade de Implementação de Projecto (UIP) será criada na Direcção Nacional de Abastecimento de Água e Saneamento (DNAAS). A capacitação para implementação e monitoria efectiva das salvaguardas ambientais e sociais será direccionada à DNAAS como uma das agências de implementação, especialmente porque a DNAAS não possui experiências prévias na implementação de projectos com exigências de salvaguardas. Portanto, o apoio na capacitação específica deve ser prestado ao DNAAS para que seja capaz de implementar e monitorar as políticas de salvaguardas durante o ciclo de implementação do projecto. Áreas Abrangidas pelo Projecto O projecto proposto irá apoiar no desenvolvimento de Infraestruturas de saneamento (por exemplo, a reabilitação de esgotos, plantas de tratamento de resíduos fecais, drenagem de águas pluviais) e serviços em cidades seleccionadas no prazo de cinco anos, onde as comunidades vulneráveis estão sujeitas a doenças recorrentes relacionadas com a água e onde os surtos de cólera se tornaram rotina. Embora sejam conhecidas as cidades alvo (Maputo, Tete, Sofala, Zambézia e Nampula) do primeiro projecto, a localização exacta de cada intervenção ainda não é conhecida nesta fase, excepto a reabilitação da Estação de Tratamento de Águas Residuais do Infulene em Maputo, a ser financiada através da Componente 3 localizada ao longo das margens do rio Infulene, que faz fronteira com os municípios de Maputo e Matola. O rio Infulene corre do norte-sul e flui para o estuário do Espírito Santo, que é um braço-marinho na margem ocidental da Baía de Maputo. xii Quadro Legal de Gestão Ambiental e Social Moçambicano Um resumo das políticas, leis e regulamentos ambientais e sociais Moçambicanos, particularmente aqueles que são relevantes para o Projecto, foi incluído no presente QGAS. A legislação relevante em Moçambique inclui: • Constituição da República (2004); • Política Nacional de Ambiente em Moçambique incluindo a Lei Ambiental; • Regulamento da AIA; • Lei das Autarquias Locais; • Lei de Gestão de Calamidades; • Lei de Terras; • Legislação sobre a Água e Direito à Água; • Legislação sobre a Gestão de Resíduos Sólidos; • Estratégia Nacional de Gestão de Recursos Hídricos; • Lei do Trabalho; • Regulamento sobre a Contratação de Empreitadas para Obras Públicas; • Lei de Reassentamento; • Regulamento de Consultas Públicas. As Avaliações de Impacto Ambiental (AIA) em Moçambique são reguladas pelo Decreto 54/2015 de 31 de Dezembro e define quatro categorias, nomeadamente: Categoria A + que exige que uma AIA completa seja realizada e supervisionada por Especialistas Independentes com experiência comprovada; Categoria A requer uma AIA completa; Categoria B que requer a realização de um Estudo de Impacto Ambiental simplificado uma vez que os impactos de projectos nesta categoria são significativos ou requerem medidas de mitigação menos complexas; e Categoria C, que não requer uma AIA, mas que respeitem os regulamentos sobre impacto ambiental. Estas de forma geral estão em harmonia com as categorias do Banco Mundial. O Ministério da Terra e Ambiente (MTA) tem mandato para questões ligadas à terra, gestão ambiental e desenvolvimento rural a todos os níveis (nacional, provincial e distrital), e, portanto, os Serviços Provinciais do Ambiente (SPA) e representações distritais terão um papel fundamental na avaliação, aprovação e monitoria das sub-componentes do projecto para garantir a conformidade com a legislação Moçambicana e as políticas de salvaguardas conforme delineadas no QGAS. Políticas de Salvaguarda do Banco Mundial As Políticas de Salvaguarda Ambiental e Social do Banco Mundial/ Políticas Operacionais bem como as Directrizes Ambientais, de Saúde e Segurança (EHS) do Banco Mundial, são fundamentais para o apoio da instituição na redução da pobreza de forma sustentável e envolvendo as partes afectadas e interessadas do projecto. O objectivo dessas políticas de salvaguarda é de prevenir e mitigar as perdas e danos na vida humana, bem como no meio ambiente durante a implementação de actividades de desenvolvimento. Essas políticas fornecem ao Banco e seus parceiros directrizes para identificar, preparar e implementar programas e projectos, e são implementadas para gestão de riscos ambientais e sociais e de impactos adversos. Nesta secção, as Políticas Operacionais do Banco Mundial que poderão ser relevantes para o projecto são revistas. Esta revisão tem como objectivo assegurar que o conceito de projecto proposto seja ambiental e socialmente correcto e que tenha acesso à relevância e viabilidade da implementação dessas políticas ao projecto proposto. xiii O Projecto de Saneamento e Drenagem Urbana de Moçambique tem o potencial de accionar a maioria das políticas de salvaguarda do Banco Mundial devido à natureza e objectivo do projecto, particularmente no que diz respeito a investimentos em infra-estrutura e serviços de saneamento urbano, que são susceptíveis de causar certos efeitos sociais ambientais negativos. A avaliação inicial do projecto indica que as actividades do poderão accionar as seguintes Políticas Operacionais do Banco Mundial: (i) Avaliação Ambiental (OP 4.01), Recursos Culturais Físicos (OP 4.11), Reassentamento Involuntário (OP 4.12), Projecto de Vias Navegáveis Internacionais (OP 7.50). Os Habitats Naturais (OP 4.04) serão determinados. Lacunas no Quadro Jurídico Moçambicano e nas Políticas de Salvaguarda do Banco Mundial Uma das principais lacunas na legislação Moçambicana e nas Políticas de Salvaguarda do Banco Mundial está relacionada com a falta de procedimentos e normas claras para lidar com a saúde e a segurança tanto da população local de uma área específica do projecto quanto para os trabalhadores do projecto. A legislação Moçambicana toca a segurança no local de trabalho, no entanto, é insuficiente em termos de disposições específicas para projectos/ou trabalhadores do projecto. A legislação moçambicana aborda a segurança no local de trabalho, no entanto, está longe de dar resposta as disposições específicas para projectos como o ERRP. Com vista a preencher a lacuna nos procedimentos de saúde e segurança, o uso das Directrizes do Ambiente, Saúde e Segurança (EHS) do Banco Mundial e a Política de Salvaguarda do Banco Mundial OP 4.01 são recomendados para orientar o proponente do projecto em todas fases de implementação do mesmo e para servir de guia para as medidas de mitigação a serem tomadas. Para além disso, o Banco elaborou recentemente um conjunto de Directrizes Ambiental, Social, de Saúde e Segurança (SSMA), incluindo as directrizes sobre a violência baseada no género e influxo de mão-de-obra temporária para o projecto; Reforço nos Documentos de Procurement Padrão (SPD’s) e documentos de concurso padrão (SBD’s) que serão aplicáveis para todos os novos contratos de obras para os quais os SBD- SPD são usados. Consultas Públicas Fase 1 - Elaboração do QPGAS As Consultas públicas foram realizadas de 30 de Julho a 6 de Agosto de 2018, em 4 das cidades seleccionadas pelo Projecto de Saneamento Urbano, nomeadamente Tete, Quelimane, Nampula e Maputo com o objectivo de colher opiniões públicas sobre as actividades propostas. O processo de consulta foi realizado usando dois métodos principais: (i) consultas individuais com as principais partes interessadas (funcionários dos sectores de abastecimento de água e saneamento, organizações nacionais, ONGs, Banco Mundial e equipes técnica das províncias e cidades alvo do projecto) e (ii) reuniões públicas realizadas nas províncias acima mencionadas, envolvendo também as partes interessadas e afectadas pelo projecto. A informação sobre o objectivo das reuniões de consulta pública e as datas foi divulgada no Jornal Noticias, o jornal mais circulado do país, no dia 13 de Julho de 2018, e esteve também disponível nos escritórios da DNAAS em Maputo, bem como das Direcções Provinciais das Obras Públicas, Habitação e Recursos Hídricos das províncias beneficiárias do projecto. Uma versão preliminar do QGAS foi compartilhada e disponibilizada ao público para revisão e comentários. As principais questões ambientais e sociais decorrentes das reuniões de consulta pública estão resumidas na tabela abaixo. xiv Table 2: Questões Chaves das Consultas Públicas • A promoção de latrinas conforme indicado no QGAS pode levar à contaminação das águas subterrâneas. O uso de colectores externos pode ser útil para evitar a contaminação das águas subterrâneas, adicionalmente deverá ser considerada a hipótese da utilização de sanitários ecológicos como forma de evitar a contaminação dos aquíferos de fontes de água subterrânea; • É provável que o projecto agrave o problema da erosão do solo, considerando especialmente que os empreiteiros não cuidam das crateras abertas após a extracção do solo para fins de construção. A situação é agravada pela fraca capacidade institucional do MTA / SPA de monitorar efectivamente as actividades dos das contratadas durante e após a implementação do projecto; • Conflitos sociais decorrentes da noção prevalecente nas comunidades, de que os estrangeiros e outros nacionais oriundos de comunidades fora da área de implementação do projecto, têm maiores oportunidades de emprego que se destinam aos habitantes locais, especialmente nas áreas distantes de Maputo; • O projecto provavelmente levará à poluição das águas costeiras e fluviais se o tratamento de águas residuais não for eficaz; • O projecto pode levar a danos nas estradas existentes nas cidades. Em muitos casos, os camiões de construção deixam cair quantidades de cimento na estrada existente, o que leva a danos nas estradas existentes e acidentes, à medida que a superfície das estradas se torna irregular. • Os tratados internacionais sobre a gestão da bacia do Zambeze devem ser revistos para garantir que o projecto esteja em conformidade com a legislação internacional sobre águas internacionais, bem como com a Política do Banco Mundial sobre as vias navegáveis internacionais, devendo na medida do possível a revisão ser efectuada ainda no período de implementação do PSU. As questões levantadas pelos participantes das reuniões públicas, serviram para apoiar o Consultor na identificação de outros impactos ambientais e sociais do projecto. Por exemplo, a danificação de vias de acesso por depósito de betão proveniente dos camiões de construção, é um impacto real identificado pelos participantes das reuniões, e deverá ser mitigado durante a fase de construção e manutenção das infra-estruturas de saneamento e drenagem. Fase 2 - Actualização do QPGAS devido a activação da Componente 5 do Projecto Devido a eclosão da pandemia da COVID-19, foi activada a Componente 5 do Projecto, para a reabilitação e melhoramento de sanitários escolares nas Províncias de Manica, Sofala, Tete e Zambézia, como consequência, houve necessidade da actualização do QPGAS do PSU, por forma a reflectir as actividades de emergência especificas que irão ser executadas, bem como os respectivos riscos ambientais e sociais e as respectivas medidas para evitar os impactos associados aos riscos, e/ou mitigação e potenciação. Assim foi definido o seguinte cronograma de consulta pública para a auscultação dos afectados e partes interessadas: Table 3: Cronograma para a Consulta Pública do QPGAS Actualizado. N/o Actividade UIP Data 1 Actualização do QGAS UIP 08/12/2020 2 NO do Banco Mundial do QGAS Banco Mundial 15/12/2020 3 Partilha do QGAS com parceiros de cooperação UIP 15/12/2020 4 Apresentação do QGAS ao GMS UIP 15/12/2021 5 Recolha e sistematização dos comentários e sugestões Stakholders & UIP 21/12/2021 6 Anúncio no Jornal Noticias UIP 23/12/2020 xv N/o Actividade UIP Data 7 Reunião de Auscultação Pública UIP 11/01/2021 Envio de cartas aos membros do GMS, UTM’s ONG’s e 8 UIP 16/02/2021 Instituições Públicas 9 Envio ao Banco Mundial do QGAS actualizado UIP 15/03/2021 Devido as limitações impostas pela pandemia do COVID 19, e em cumprimento do decreto presidencial nº2/2021 de 4 de Fevereiro, que impede a realização de reuniões públicas como forma de reduzir e ou limitar a propagação do COVID 19, o processo de divulgação pública do QGAS foi cancelado tendo sido enviadas cartas (anexo 16) convites aos membros do grupo multissectorial de saneamento, Unidades Técnicas Municipais de Maputo, Tete, Beira, Quelimane e Nampula, Instituições Públicas e ONG’s, cujas contribuições dos convidados foram inseridos directamente no documento e estão em anexos 17 e 18 do presente QGAS, adicionalmente, o documento em revisão foi disponibilizado para acesso das partes afectadas e ou partes interessadas através do link de acesso directo http://www.aias.gov.mz/index.php?option=com_content&view=article&id=71&Itemid=279 Lista das instituições convidadas a proceder com a revisão do QGAS são: a) Ministério da Educação e Desenvolvimento Humano (DIEE); b) Ministério do Género, Criança e Acção Social; c) Ministério da Terra e Ambiente; d) Ministerio da Saude; e) Conselho Municipal de Maputo; f) Conselho Municipal da Beira; g) Conselho Municipal de Nampula; h) Conselho Municpal de Tete; i) Conselho Municipal de Quelimane; j) WaterAid; k) AURA – IP; l) FIPAG; m) SDC; n) Ministério da Administração Estatal e Função Pública; Potenciais Impactos Ambientais e Sociais e Acções de Mitigação Espera-se que potenciais impactos ambientais e sociais negativos associados ao projecto proposto de Saneamento e Drenagem de Moçambique sejam de natureza localizada e de curto prazo e que possam ser significativamente minimizados através de uma planificação adequada e através da implementação dos Planos de Gestão Ambiental pelas contratantes responsáveis para a realização das obras de construção previstos no projecto de saneamento e infra-estruturas de drenagem. O projecto é classificado como Categoria A, uma vez que as actividades propostas, principalmente nas Componentes 1 e 3 (Investimentos em infra-estrutura e serviços de saneamento urbano e fortalecimento dos serviços de saneamento no Grande Maputo), poderão gerar impactos ambientais e sociais significativos e adversos, embora possam ser geridos com a implementação de medidas adequadas. Enquanto as actividades do projecto contribuírem para alcançar melhorias nas condições de vida da população nas áreas alvo e se espera resultados positivos, tais como a melhoria das condições de saneamento deploráveis e anti- higiénicas nos bairros urbanos que contribuem para altas taxas de mortalidade infantil, surtos de cólera e diarreias crónicas que levam a uma alta mortalidade infantil, essas actividades tem xvi também o potencial de gerar impactos ambientais e sociais adversos que exigem medidas de mitigação. As actividades do projecto propostas incluem: i) a reabilitação e expansão de redes de esgoto, incluindo conexões de rede; construção e expansão de infra-estruturas de drenagem de pequena a média escala; e construção e expansão de plantas de tratamento de águas residuais; ii) a melhoria e construção de latrinas domésticas; iii) o desenvolvimento de serviços de colecta de resíduos fecais a favor dos mais pobres; iv) construção de infra-estruturas de tratamento de resíduos fecais e estações de transferência; v) reabilitação da existente Estação de Tratamento de Resíduos de Maputo. Estas actividades tem o potencial de causar incómodo público, odores, ruído, vibrações, contaminação dos solos e pode gerar o surto de cólera e / ou outras doenças transmitidas pela água, a perda dos meios de subsistência na comunidade, principalmente entre os de grupos vulneráveis. Embora alguns impactos ambientais e sociais adversos sejam previstos como resultado do projecto, uma série de impactos positivos são esperados e superam os negativos. O projecto terá benefícios significativos, particularmente no que diz respeito a melhoria da saúde e do bem-estar especialmente em termos de redução nas taxas de doenças transmitidas pela água e uma redução dos possíveis surtos de doenças infecciosas epidémicas, tais como a cólera e diarreias. A realização de campanhas complementares de sensibilização para a saúde e higiene incluindo componentes sobre malária, HIV-AIDS e doenças diarreicas dirigidas a população, em particular a mulheres e criança aumentará consideravelmente os benefícios do projecto. As obras de construção (por exemplo, escavações para rede de esgotos ) apresentarão oportunidades de emprego para a população (incluindo mulheres) e poderá gerar benefícios nas rendas das famílias locais. O projecto irá contribuir para a redução da pobreza, bem como para a melhoria dos indicadores socioeconómicos e de saúde da crescente população urbana no país, bem como em geral de Moçambique. Processo de Triagem Ambiental e Social O processo de triagem destina-se a determinar que actividades do projecto irão provavelmente resultar em efeitos ambientais e sociais negativos significativos, e tem como objectivo determinar medidas adequadas de mitigação de impacto para essas actividades e garantir a sustentabilidade ambiental de subprojectos realizados nas áreas do projecto. O processo de triagem para este projecto consiste em quatro etapas: i) revisão da lista de verificação de impactos ambientais e sociais para projectos; ii) triagem dos impactos das subcomponentes e das áreas ou locais de implementação; iii) atribuição de categorias ambientais; e iv) preparação, revisão e aprovação de um Plano de Acção Ambiental. O processo de triagem será realizado utilizando um formulário de triagem anexado a este QGAS. A equipe de Especialistas de Salvaguardas que será estabelecida na unidade de implementação (PIU) será responsável pela realização do processo de triagem ambiental e social. Requisitos para Monitoria e Prestação de Contas sobre o Plano Ambiental e Social A monitoria e prestação de contas sobre o ponto de situação do projecto são áreas críticas para a boa execução do presente QGAS, bem como do projecto no seu todo. Os relatórios terão como base um conjunto de indicadores que devem ser reportados regularmente, com responsabilidades específicas, e os indicadores aqui estabelecidos serão integrados no sistema geral de monitoria e avaliação (M&A) do projecto. O objectivo específico do processo de monitoria é de garantir que o PGAS seja cumprido e verificado a todos os níveis e estágios do xvii ciclo de implementação do projecto. A monitoria deve ser um processo contínuo e deve incluir o nível de conformidade, o estágio de implementação, bem como a realização dos objectivos do projecto. Os Especialistas de Salvaguardas da equipe da Unidade de Implementação do Projecto e das instituições implementadoras serão responsáveis pela coordenação e monitoria da implementação do QGAS e do PGAS. As equipes serão ainda responsáveis pela implementação de programas de sensibilização com o objectivo de informar as partes interessadas e afectadas sobre o quadro, como este funciona e o que se espera deste. Recomenda-se que a unidade de implementação do projecto coordene e estabeleça a ligação com outras instituições governamentais relevantes no que se refere a monitoria ambiental e social do projecto de Saneamento e Drenagem de Moçambique no seu todo. Os relatórios mensais e trimestrais devem ser preparados e distribuídos para todas as entidades relevantes. A Monitoria deve garantir que as recomendações de salvaguarda e as medidas de mitigação de impactos ambientais e sociais sejam efectivamente cumpridas, monitoradas e reportadas a todos os níveis, e que a devida atenção seja prestada às questões ambientais e sociais o mais cedo possível de modo a não comprometer os resultados do projecto. Requisitos de Formação e Desenvolvimento de Capacidades A Formação e Desenvolvimento de Capacidades são a chave para a boa execução do QGAS e do Projecto de Saneamento e Drenagem de Moçambique. A implementação efectiva deste QGAS irá exigir capacidades técnicas dos recursos humanos das instituições de implementação, bem como facilidade logística. Conhecimento suficiente sobre os mecanismos de implementação do QGAS deverão ser transmitidos as várias partes interessadas para a implementação do projecto de Saneamento e Drenagem de Moçambique. A DNAAS deverá beneficiar de capacitação em matérias de salvaguardas ambientais e sociais com vista a garantir uma implementação e monitoria efectivas do projecto. Recomenda-se o recrutamento de 2 especialistas em salvaguardas (um ambiental e o outro social) para fazer parte do UIP instalada na DNAAS, que irá garantir que as intervenções do projecto em todas as componentes cumpram com as directrizes das políticas de salvaguardas do Banco Mundial e com a legislação nacional. Estes especialistas também irão prestar apoio técnico e facilitar formações para as outras agências de implementação do projecto, em particular as equipes de salvaguarda do Municípios das cidades seleccionadas. Uma vez que os Municípios não possuem capacidade adequada para a implementação de salvaguardas ambientais e sociais, recomenda se a capacitação do pessoal interno afecto ao projecto (especialistas ambientais e sociais, Eng.º de obra entre outros), o recrutamento de pessoal dedicado devera ser considerado como ultima alternativa caso se demonstre fraquezas ao nível dos municípios onde as actividades do projecto serão implementadas. No total, recomenda-se que 5 funcionários dedicados sejam recrutados e sejam colocados da seguinte forma: 2 especialistas em Maputo (a nível central para apoiar o UIP na implementação do Projecto de Saneamento e Drenagem de Moçambique); e um especialista para cada uma das cidades abrangidas: 1 em Tete e 1 em Quelimane. Recomenda-se ainda, que cada instituição de implementação do projecto aloque um Engenheiro de Obras e / ou um supervisor para cada uma das subcomponentes e trabalhos específicos durante a preparação e implementação das obras. O Engenheiro de Obras será o primeiro ponto de contacto entre as equipes de salvaguarda das instituições implementadoras e a comunidade local, os contratados e as autoridades locais. xviii Recomenda-se que as necessidades de Formação e Desenvolvimento de Capacidades sejam identificadas para cada uma das áreas visadas e que estas sejam integradas no Programa de Formação ou um Plano de Capacitação desenvolvido para cada uma das instituições implementadoras do Projecto de Saneamento Urbano. O programa de formação visa a melhoria da capacidade das autoridades locais na gestão de impactos ambientais e sociais durante as fases de planificação, implementação e operacionalização do Projecto nas cidades seleccionadas. O pessoal formado a nível dos municípios deve incluir todos os sectores-chave, incluindo infra-estruturas e construção, água e saneamento, saúde e meio ambiente. E, por último, as visitas de intercâmbio e visitas conjuntas de monitoria entre os técnicos das áreas do projecto devem ser encorajadas, particularmente onde existem exemplos de boas práticas e histórias de sucesso, e onde há restrições financeiras para realização de formações recomendadas. Orçamento Proposto para implementação do QGAS O orçamento proposto para a implementação deste QGAS é composto por cinco (5) grandes rubricas orçamentais: (i) pessoal, (ii) avaliação das necessidades de formação e desenvolvimento de capacidades; iii) Formação e Desenvolvimento de Capacidades; (iv) campanha de conscientização e (v) monitoria e documentação da implementação do projecto. A tabela abaixo fornece mais detalhes sobre o orçamento proposto. Table 4: Custo Estimado para Implementação do QGAS Custo Estimado Item Actividades Previstas antes do Início do Projecto (USD) • Processo de recrutamento de 2 Especialistas em Salvaguardas Ambientais e Sociais para PIU Recrutamento 65,000.00 • Pagamento de salários e benefícios para os 2 Especialistas em Salvaguardas Ambientais e Sociais Avaliação das • Contratação de consultor externo para realizar a avaliação das necessidades de necessidades de Formação e Desenvolvimento de Capacidades Formação e das principais agências de implementação e monitoria de 150,000.00 Desenvolvimento projectos. de Capacidades • Desenvolvimento de planos de formação • Implementação de iniciativas de capacitação e desenvolvimento Formação e a nível nacional, provincial e através de várias agências Desenvolvimento envolvidas na implementação de projectos. O conteúdo do da 250,000 de Capacidades formação e desenvolvimento de capacidade deve incluir alguns dos conteúdos descritos no capítulo 13 do presente QGAS. • Isso inclui a realização de uma campanha de conscientização Campanhas de sobre saneamento nas quatro cidades. Espera-se que outros 600,000.00 Consciencialização actores não estatais participem nas iniciativas Monitoria e documentação da • Esta promoverá visitas e viagens de estudo, auditoria anual de projectos pelo MTA, revisões, relatórios, incluindo visitas de 300,000.00 implementação do intercâmbio. projecto ORÇAMENTO GERAL 1,365,000.00 xix Conclusões e Recomendações Espera-se que os impactos ambientais e sociais negativos associados ao projecto proposto sejam de médio a curto prazo, localizados, limitados e reversíveis possam ser mitigados por meio do cumprimento dos Regulamentos de AIA e de um Plano de Gestão Ambiental e Social (PGAS) após a realização de um EIA exigido para todos os projectos da Categoria A. Medidas específicas devem ser implementadas também pelos Empreiteiros e Fiscais, e tais medidas devem fazer parte dos PGAS’s dos Empreiteiros. Os impactos socioeconómicos, como aqueles associados ao reassentamento involuntário ou compensações, podem ser facilmente resolvidos por meio de uma PAR cujas disposições e orientações relevantes e encontram disponíveis no RPF preparado em paralelo ao presente QGAS. Simultaneamente, decorre a elaboração da Avaliação de Impacto Ambiental e Social para a reabilitação ETAR de Maputo que é parte integrante do presente projecto. Relativamente as actividades de reabilitação e construção de sanitários escolares para garantir um retorno seguro as aulas face ao surgimento da pandemia do COVID19, espera se que esta tenha impactos ambientais e sociais de magnitude baixa a nula, sendo que os mesmos poderão ser tomados em consideração através de boas pratica ambientais e sociais a serem observadas pelos empreiteiros responsáveis pelas obras a serem desenvolvidas. Adicionalmente espera-se que durante o período da implementação das obras sejam observados todos os requisitos mínimos contidos no guia pratico sobre os requisitos mínimos para fazer face a COVID 19 elaborado pelo Banco Mundial (anexo 19). xx EXECUTIVE SUMMARY Introduction The Government of Mozambique (GoM), through the Ministry of Economy and Finance (MEF), has requested the World Bank to consider offering assistance with investments for urban sanitation and drainage under the Sanitation Integrated Plan in the municipalities of Maputo, Quelimane and Tete. The project will be implemented by the National Directorate for Water Supply and Sanitation (DNAAS) in the Ministry of Public Works, Housing, and Water Resources (MOPHRH). The project aims to respond to some of the challenges related to sanitation faced by the urban population in Mozambique. According to the Household Budget Survey (Inquérito ao Orçamento Familiar - IOF) published by the National Institute for Statistics (INE 2016), about forty-two percent (42%) of the urban population of Mozambique (3.4 million people) lack access to basic improved sanitation facilities, and with about two thirds of Mozambique’s population growth estimated to come from urban areas in 2050, access to improved sanitation facilities and services in such areas will continue to be a critical challenge. The lack of access to improved sanitation is generally significant in the informal settlements and peri-urban areas of the 23 Mozambican cities and results in increased frequencies of cholera outbreaks and widespread diarrhea, as well as other water-borne diseases resulting in deaths and high child mortality rates. This Environment and Social Management Framework (ESMF) is prepared in compliance with the Safeguard Policies established by the funding agency, the World Bank (WB), as well as by the applicable Mozambique Environmental and Social Management regulations which stipulate that funding of development plans and programs shall be subject to prior assessment and the mitigation of potential environmental and social effects of future projects. The ESMF is a dynamic instrument that should be reviewed and updated in the time during the project implementation cycle. The objectives of this ESMF are to: • Provide procedures and methodologies for the environmental and social impact assessment, review, approval and implementation of the subprojects activities funded under the Mozambique Sanitation and Drainage Project; • Specify appropriate roles and responsibilities, and outline the necessary reporting procedures, including managing and monitoring environmental and social impacts related to the project investments; • Determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF and subsequent ESIA/ESMP as applicable; • Establish the project funding required to implement the ESMF requirements; and provide practical information on resources for implementing the ESMF. Objective of the Project The project aims to respond to some of the challenges related to sanitation faced by the urban population in Mozambique. It will help Mozambique meet the Sustainable Development Goal (SDG) 6, which focuses on clean water and sanitation, and specifically will help achieve the sanitation target of ending open defecation and ensuring universal access to sanitation by 2030. This ambitious goal requires a broad and sustained effort to establish and expand sustainable xxi urban sanitation services and infrastructure. The proposed project will be the entry point for putting in place the institutional, management and financial frameworks for the national strategy ’s implementation and to begin strengthening the necessary organizational capacities at the central and municipal levels (PIS objectives). Project Components The Project has four Components: Component 1: Priority Sewerage Investments in Maputo and, Quelimane and Tete ($56.50 million). This component will finance a set of sewerage investments aiming at improving access to safely managed sanitation services to residents of Maputo, Quelimane and Tete cities and reduce environmental pollution. Component 2: Onsite Sanitation Investments for Quelimane and Tete ($32.50 million). This component involves priority onsite sanitation interventions to improve access to safely managed sanitation at household level and the construction of public sanitation facilities for the residents of Quelimane and Tete cities. Component 3: Municipal Sanitation Services Strengthening ($ 16.00 million). This component will finance a program of activities to strengthen the capacity of the municipal councils of Nampula, Quelimane, Tete, Beira and Maputo to provide safely managed sanitation services. Component 4: Technical Assistance and Management Support ($10 million). This component will finance assistance to support national institutional strengthening and overall project management and coordination. Project management support comprises technical assistance and incremental operating costs to ensure fiduciary compliance including financial management, procurement and environmental and social safeguards, monitoring and evaluation. This component will support necessary equipment (e.g computers, software and other goods), capacity building (training), and incremental staff to equip the project implementing Unit to carry out their responsibilities and ensure adequate results monitoring and evaluation. Component 5: Contingency and Emergency Response ($ 35 million). This component will finance the following COVID-19 emergency activities: (a) Rehabilitation and upgrade of school toilets: (i) Civil and hydraulic works for toilet upgrade, (ii) features to provide privacy and comfort for the MHM, and access to people with disability, (iii) water supply connection and reservoir, and (iv) larger dividers between urinals and spaced sinks; (b) toilet maintenance services: This will ensure that the toilets are periodically cleaned, disinfected, and sanitized during COVID-19, while the project team designs a school toilet maintenance model in partnership with the education team and local private sector. The package also includes FSM services. These features will allow the toilets to be safe throughout the learning period; (c) Provision of Menstrual Hygiene Management - MHM package for girls including the supply of re-usable pads and training; (d) improving handwashing: Supply of handwashing facilities and products for hygiene management, including liquid soap, alcohol-based hand sanitizers, fresh paper towel, and garbage containers; (e) Prevention: i) Personal protective Equipment, and ii) Contact tracing – Scale up in Maputo City and other selected provinces; (f) Information, Education and Communication: i) Panic Communication and Management, and ii) Communication materials and Services; (g) Case Management: Medical equipment, supplies, and Medicines; h) Laboratory Diagnosis: Tests, Reagents and Consumables; (i) Administration and operating costs: Internal Transport, Distribution, Travel and Training. xxii Project Implementation Arrangements The project will be implemented by the Ministry of Public Works, Housing and Water Resources (MOPHRH) at central level through several of its subordinated institutions and by Municipalities at the local level. The agencies at central level – DNAAS, AIAS, FIPAG and AURA IP - have some experience and capacity in managing Bank-funded operations. A project implementation unit (PIU) will be established at the National Directorate for Water Supply and Sanitation (DNAAS). Capacity building to effectively implement and monitor environmental and social safeguards is specifically relevant to DNAAS as one of the implementing agencies, especially because DNAAS has no previous experience of implementing projects with safeguards requirements. Therefore, specific capacity support should be rendered to DNAAS so that it’s able to implement and monitor safeguards policies and applicable national regulations throughout the project implementing cycle. The PIU, through its Environmental and Social Safeguard Specialists will be responsible for overall project oversight and compliance with the WB social and environmental safeguard requirements as well as the Mozambican laws and regulations. Targeted Project Areas The proposed project will support the development of sanitation infrastructure (e.g. sewerage rehabilitation, fecal sludge treatment plants, storm water drainage) and services in selected cities over five years where vulnerable communities are subject to recurrent water-borne diseases and where cholera outbreaks have become routine. Although targeted cities for the first project are known (Maputo, Zambézia and Tete), the exact locations of where the interventions will take place are not yet known at this stage, except the rehabilitation of the Infulene Wastewater Treatment Plant in Maputo, to be financed under Component 3, located along the banks of the Infulene River, which borders the Municipalities of Maputo and Matola. The Infulene River runs north-south and flows into the Espírito Santo estuary, which is a sea- arm on the western shore of Maputo Bay. Mozambique Environmental and Social Management Legal Framework A summary of environmental and social related policies, laws and regulations in Mozambique, particularly those of relevance to the Project has been included in the current ESMF. Relevant legislation in Mozambique include: • The Constitution (2004); • The National Environment Policy in Mozambique including Environmental Law; • EIA Regulations; • The Local Authorities Law; • Disaster Management Law; • The Land Law; • Legislation on Water and Water Rights; • Waste Management Legislation; • The National Strategy for the Management of Water Resources; • Labor Law; • Regulations on Contracting for Public Civil Works; • Resettlement Legislation; xxiii • Public Consultation Regulations. Mozambique ’s EIA is regulated by the Decree 54/2015 of 31 December and defines four categories of projects, namely: Category A+ which require a full EIA to be undertaken and supervised by Independent Specialists Reviewers with verifiable experience; Category A which require a full EIA; Category B which require a simplified Environmental Study as the impacts of such projects are deemed to be less significant or require less complex mitigation measures; and Category C which do not require an EIA but must abide by the regulations on environmental impacts. These general project categories are in in agreement with the World Bank categories. The Ministry of Land, Environment and Rural Development (MITADER) has the mandate to deal with issues related to land, environmental management and rural development at all levels (national, provincial and district). The Provincial Directorates (DPTADER) as well as district representations will have a key role in the appraisal, approval and monitoring of sub- components of the project to ensure compliance with the Mozambican legislation and safeguards as outlined in the ESMF. World Bank Safeguard Policies The World Bank Environmental and Social Safeguard/ Operational Policies as well as the World Bank Group’s (WBG’s) Environmental, Health and Safety (EHS) Guidelines are critical for the institution ’s support of sustainable poverty reduction projects, which must incorporate the concerns and input of all interested and affected parties. The objective of these safeguards policies is to prevent and mitigate loss and damage of human life as well as on the environment during the implementation of development activities. These policies provide the Bank and its partners with guidelines for identifying, preparing and implementing programs and projects, and are applied to manage environmental and social risks and adverse impacts. In this section World Bank Operational Policies that can be triggered by the project are reviewed. The purpose of this review is to ensure that the proposed project concept is environmentally and socially sound, and to assess the relevance and feasibility of implementation of these policies to the proposed project. Because of its nature of investments in urban sanitation infrastructures and services, the project is likely to result in negative environmental and social impacts. The appraisal document of the project highlights that the project activities would trigger the following WB’s Operational Policies as described below: (i) Environmental Assessment (OP 4:01), Physical Cultural Resources (OP 4.11), Involuntary Resettlement (OP 4.12), Project on International Waterways (OP 7.50), and the Natural Habitats (OP 4.04). Annex 2 provides details on World Bank Safeguard policies triggered. Gaps in the Mozambican Legal Framework and in the World Bank Safeguard Policies The major gap in both Mozambican legislation and in the World Bank Safeguard Policies is the clear lack of procedures and norms for the handling health and community health and safety of a particular project area and/ or project workers. The Mozambican legislation does touch on safety in the workplace and falls short in terms of making specific provisions for projects (i.e. such as the WB-funded Emergency Resilience Recovery Project). In order to bridge the gap on procedures for health, safety and security, the World Bank Group Environmental, Health and Safety (EHS) Guidelines as well as the World Bank Safeguards Policy OP 4.01 are xxiv recommended to guide the project proponent throughout all phases of implementation of the project, and also to provide guidance on mitigation measures that should be taken into account. In addition to this, the Bank has put in place a set of Environmental, Social, Health and Safety (ESHS) measures, including the guidelines on gender-based violence and temporary project induced labor influx; Enhancements for Standard Procurement Documents (SPDs) and Standard Bidding Documents (SBDs), which shall be applicable for all new works contracts for which the relevant SBD/SPD are used. Public Consultations Public consultations were conducted between 30 th of July to the 6 th of August 2018, in four cities which are targeted by the Mozambique National Sanitation project, namely Tete, Quelimane, Nampula and Maputo, with the objective of gathering public perceptions of the proposed project activities. The consultation processes comprised two methods: (i) consultations on a one-to-one basis with key stakeholders (officials from water supply and sanitation sectors, national organizations, NGOs, the World Bank and technical staff from targeted provinces), and (ii) public meetings held in the aforementioned cities. Information on the purpose and dates of the public consultation meetings was publicized on 13 th of July, 2018 in the Jornal Notícias, the most widely read newspaper in the country, in the DNAAS office in Maputo, as well as at provincial directorates of Public Works, Housing and Water Resources of the beneficiary provinces. A draft version of the ESMF was shared and made available to the public for review and comments. Key environmental and social issues arising from the public consultation meetings are summarized in the following box. of latrines as stated in the ESMF may lead to contamination Table 5: Summary of Issues Gathered from the Public Consultation Meetings • The promotion of latrines as stated in the ESMF may lead to contamination of ground water. The use of external collectors may be useful to prevent contamination of ground water, additionally ecological sanitation should be considered to avoid ground water contamination; • The project is likely to exacerbate soil erosion especially given that contractors do not take care of pits opened after soil extraction for construction purpose. This is exacerbated by weak institutional capacity of MTA/SPA to effectively monitor the activities of the contractors during and after project implementation; • Social conflicts arising from the prevailing notion among communities, especially in areas away from Maputo, that foreigners and people from other cities are taking job opportunities that were meant for locals; • The project is likely to lead to pollution of coastal and river water if treatment of wastewaters is not effective; • The project may lead to damage of existing roads in the cities. In many instances construction trucks drop quantities of asphalt on existing roads, which leads to damage of existing roads and accidents as the surfaces of roads become uneven; • International treaties on the Zambezi River Basin management should be revisited and updated before de project implementation, to ensure that the project complies with international legislation on international waters as well as the World Bank Policy on International Waterways. Issues raised by participants during the public meeting, were used to support the consultant in identifying other project’s environmental and social impacts. For example, damage to existing roads by deposition of concrete from construction trucks is a real impact identified by participants, and such impact will be mitigated during construction and maintenance phase of the sanitation and drainage infrastructures. xxv Due to the eruption of COVID-19 pandemic, the USP Component 5 was activated, for the rehabilitation and improvements os school toilets in Manica, Sofala, Tete and Zambezia provinces, as consequence, there is a need to update the USP ESMF, so that it will reflect specific emergency activities which will be undertaken, as well as its recpective environmental and social risks, and measures for avoidance of the associated impacts to the risks, and / or mitigation and potentiation measures, therefore the following timeline were defined for public consultation for stakeholders hearing was defined: Table 6: Chronogram of ESMF Public Consultations N/o Activities Responsibility Date 1 Update of ESMF PIU 08/12/2020 2 World Bank NO to the ESMF World Bank 15/12/2020 3 Sharing the Updated ESMF with Stakeholders PIU 15/12/2020 4 Presentation of the ESMF to Multi Sector Sanitation Group PIU 15/12/2020 5 Collection, Systematization of stakeholder’s comments suggestions Stakeholders & PIU 21/12/2020 6 Press invitation to public consultation meeting PIU 23/12/2020 7 Public meeting PIU 11/01/2021 Invitation letters sent to stakeholders to revise and comment the 8 PIU 16/02/2021 updated ESMF 9 Submission of updated ESMF to World Bank NO PIU 15/03/2021 Due to the limitations imposed by the pandemic of COVID19, and in compliance with presidential decree number 2/2021 of February 4, which prohibits the public meetings in order to reduce the spread of Covid-19, the ESMF's process of public disclosure was canceled, however, invitation letters to comments the ESMF (annex 16) were sent to members of the Sanitation Multisectoral Group, Municipalities of Maputo, Tete, Beira, Quelimane and Nampula, all comments are addressed to the updated ESMF (Annexes 17 and 18). Additionally, the revised ESMF was released on AIAS Website to be accessed and commented by all PAP’s and interested parties using the following: http://www.aias.gov.mz/index.php?option=com_content&view=article&id=71&Itemid=279 The list of the invited stakeholder invited to revise the ESMF is: a) Ministry of Education and Human Development; b) Ministry of Gender and Social Action; c) FIPAG; d) AURA – IP; e) Maputo Municipality; f) Beira Municipality; g) Tete Municipality; h) Quelimane Municipality; i) SDC j) WaterAid k) Ministry of Land and Environment; l) Ministry of State Administration and Public Service; m) Ministry of Health. Potential environmental and social impacts and mitigation measures It is expected that potential negative environmental and social impacts associated with the proposed Mozambique Sanitation and Drainage Project affects an area broader than the sites or facilities subject to physical works, and these impacts can be minimized through prevention, xxvi minimization of impacts or compensation for adverse impacts and improvement for adverse impacts. The project is classified as Category A since the proposed activities, mainly under components 1 and 3 (Investments in urban sanitation infrastructure and services and strengthening sanitation services in Greater Maputo) and are expected to generate significant adverse impacts that are sensitive, diverse and unprecedented. While project activities will largely contribute to positive outcomes such as reduction in the prevalence of unhygienic environmental conditions in urban neighborhoods that result in high rates of child stunting, trigger cholera epidemics and chronic diarrhea outbreaks, and lead to high rates of child mortality, such activities may also generate adverse environmental and social impacts that require suitable mitigation measures. The proposed activities of the project include: i) Rehabilitation and expansion of sewerage networks including network connections; small to medium-scale drainage infrastructure; wastewater treatment plants, ii) Upgrading and construction of household latrines, iii) Development of pro-poor fecal sludge collection services, iv) Construction of fecal sludge treatment facilities and transfer stations, v) and Rehabilitation of the existing Greater Maputo Waste Treatment Facility. Because the rehabilitation of the Greater Maputo Waste Treatment Facility is the only known project location, separate preparatory studies (ESIA and RAP) are underway alongside this ESMF, to determine the baseline conditions and define exact targets. Environmental (river contamination) and social (land use in surrounding areas, presence of solid waste, deposition of water from factories and significant amounts of oils and other contamination in the lagoons by sewage trucks) liabilities will have to be addressed. Restoring and properly operating the plant will also result in the economic displacement of potentially several hundred people who cultivate large areas within the proposed footprint of the plant and in its immediate vicinity – using water from the plant discharge points and the lagoons to irrigate the land and sludge from the plant to fertilize the soil. These small growers work in poor conditions and produce vegetables including many salad greens that may not be fit for consumption. At least some of these growers are organized in a handful of associations. Also affected will be businesses and other entities who use sewage trucks discharging into the lagoons and the operators who offer these services, and possibly the nearby beer and tire producers. Although some adverse environmental and social impacts are foreseen as a result of the project, a number of positive impacts are also expected and outweigh the negative ones. The project will have significant benefits, particularly with regards to the improvement of health and wellbeing, especially in terms of the reduction of water-borne illnesses and reductions in the potential outbreaks of epidemic infectious diseases such as cholera and diarrhea. The introduction of complementary health and hygiene awareness campaigns targeted at women and children and including components on malaria, HIV-AIDS, and other diarrheal diseases will improve the benefits of the project. Construction works (e.g. excavations for pipelines) will present employment opportunities to local people (including women) and generate direct income benefits to local households. The project will contribute to poverty reduction as well as to the improvement of socio-economic and health indicators of the urban population in the country, as well as the whole of Mozambique in general. Environmental and Social Screening Process The screening process is aimed at determining which of the project activities are likely to result in significant negative environmental and social impacts, with a view to determining appropriate impact mitigation measures for such activities, and to ensure environmental sustainability of sub-projects undertaken in the Project areas. xxvii The screening process for this project consists of four steps: i) review of environmental and social impact checklist for projects; ii) screening of impacts from the sub-components and sites; iii) assignment of environmental categories; and iv) preparation, review and approval of an Environmental Action Plan. The screening process will be carried out using a screening form to be attached to this ESMF. The safeguards specialist team to be established in the implementation unit (PIU) will be responsible for carrying out the environmental and social screening process. Environmental and Social Plan Monitoring and Reporting Requirements Monitoring and reporting on progress are critical areas for the successful implementation of the current EMSF as well as of the overall Mozambique Sanitation and Drainage Project. Reporting is based on a set of indicators which should be reported upon on a regular basis with specific responsibilities indicators set out in this document, which will be mainstreamed into the overall monitoring and evaluation (M&E) system for the project. The specific objective of the monitoring process is to ensure that the Environmental and Social Management Plan (ESMP) is complied with and verified at all levels and stages of the project implementation cycle. Monitoring shall be a continuous process and should include the status of compliance as well as achievement of the objectives of the project. The Safeguards Specialists from the project implementing unit team and of the implementing institutions shall be responsible for coordinating and monitoring the implementation of the ESMF and ESMP. The teams will be responsible for implementing sensitization programs with the view of informing interested and affected persons of the framework, how it works and what is expected from it. It is recommended that the project implementing unit coordinates and liaises with other relevant government institutions with regards to environmental and social monitoring of the overall Mozambique Sanitation and Drainage Project. Monthly and quarterly reports shall be prepared and distributed to all relevant entities. The monitoring is meant to ensure that the safeguards requirements and mitigation measures are indeed being complied with, monitored and reported on at all levels, and that attention is provided to environmental and social issues as early as possible without compromising the results of the project. Training and Capacity Development Requirement Training and capacity building are key for the successful implementation of the ESMF and the overall successful implementation of the Mozambique Sanitation and Drainage Project. Effective implementation of this ESMF will require technical capacity in the human resources of implementing institutions as well as logistical facilitation. Sufficient understanding of the mechanisms, including resources for implementing the ESMF will need to be provided to the various stakeholders implementing the Mozambique Sanitation and Drainage Project. Annex 5 indicates key institutions involved in water and sanitation sector in Mozambique. DNAAS will need to build its capacity to deal with environmental and social (E&S) safeguards requirements to ensure that there is adequate capacity to implement and monitor the performance of this ESMF and subsequent ESIA/ESMP/RAP, a number of staffing recommendations have been made. It is recommended that 2 safeguard specialists be recruited (one environmental and one social) to form part of the PIU and help ensure that project xxviii interventions in all components comply with the World Bank's safeguards policies and national legislation. These specialists will also be required to provide technical support and training to the other project Implementation Agencies, especially the municipalities in the selected cities. As the municipalities have no adequate capacity for E&S safeguards implementation, dedicated E&S safeguards personnel will be required in all municipalities where project activities will be implemented. In total, it is recommended that 4 dedicated staff be recruited and be placed as follows: 2 specialists in Maputo (central level to support the PIU Mozambique Sanitation and Drainage Project); 1 in Tete; and 1 in Quelimane. It is also proposed that the specific project implementing institution assign a site engineer and/ or a supervisor for each of the sub-components and specific works to the sites during preparation and implementation of the works. The site engineer will be the first point of contact between the implementing institution s’ safeguards teams and the local community, the contractors and the local authorities. It is recommended that training and capacity development needs be identified for each of the targeted areas, and that these are integrated into the training program and/ or a Capacity Development Plan developed for each of the implementing institutions of the Mozambique Sanitation and Drainage Project. The training program should improve the capacity of the local authorities in the management of environmental and social impacts during the planning, implementation and operation phases of the project in the selected cities. The staff trained at municipal and local levels should comprise all the key sectors including infrastructures and building, water and sanitation, health, and environment. And lastly, exchange visits and joint monitoring visits amongst officers from the project areas should be encouraged, particularly where there is evidence of good practices and success stories and where there are financial constraints for undertaking some of the recommended trainings. Proposed budget for implementation of the ESMF The proposed budget for implementation of this ESMF comprises five (05) major budget lines: (i) staffing, (ii) assessment of training and capacity development needs; (iii) training and capacity development; (iv) awareness campaign and (v) monitoring and documentation of project implementation. The table below provides further details on the proposed budget. Table 7: Proposed Budget for the Implementation of the ESMF Item Anticipated Project Activities Estimated Cost (USD) • Recruitment process of 2 Environmental and Social Safeguards Specialists for PIU Staffing • Payment of wages and benefits for the 2 Environmental and 65,000.00 Social Safeguards Specialists. Assessment of • Hiring external consultant to undertake assessment of training and training and capacity development needs of major agencies capacity 150,000.00 implementing and monitoring projects. development needs • Development of training plans. • Implementation of capacity and development initiatives at Training and national, provincial level and across various agencies capacity involved in the implementation of projects. Training and 250,000 development capacity development contents should include some of the contents as described in chapter 13 of the present ESMF. • This includes undertaking awareness-raising campaign on Awareness campaign sanitation in the four cities. Other non-state actors are 600,000.00 expected to take part in the initiatives. xxix Monitoring and documentation • This will include exchange visits and study tours, annual projects audits by MTA, reviews, reporting, including 300,000.00 of project implementation exchange visits. TOTAL BUDGET 1,365,000.00 Conclusions and Recommendations It is expected that the negative environmental and social impacts associated with the proposed project will be medium to short-term, localized, limited and reversible can be mitigated through compliance with EIA Regulations and an Environmental and Social Management Plan (ESMP) following the undertaking of EIAs required for all Category A projects. Specific measures should be implemented by Contractors and Supervisors, which should form part of the Contractors’ ESMP. Socioeconomic impacts such as those associated with involuntary resettlement and compensation can be easily dealt with through a full RAP – relevant guidance will be available on the RPF prepared in parallel to the current ESMF. An ESIA for the Maputo WWTP is currently under preparation and is an integral part of the present ESMF. The ESIA is designed to determine the environmental and social baseline conditions, establish guidelines for environmental and social management, inform consultation process and establish the conditions to ensure effectiveness of potential resettlement and compensation of affected people. It is expected that the proposed activities of rehabilitation and construction of school toilets due to the emergence of the COVID pandemic19, will have no significant environmental and social impacts, and these can be considered through of good environmental and social practices to be observed by the contractors responsible for the works. In addition, it is expected that during the period of implementation of the works, all the minimum requirements contained in the on minimum requirements of COVID 19 guidance prepared by the World Bank will be considered (Annex 19). xxx 1. INTRODUCTION The Government of Mozambique (GoM), through the Ministry of Economy and Finance, has requested the World Bank to consider investments for urban sanitation and drainage under the Sanitation Integrated Plan in the municipalities of Quelimane, Tete and Maputo. The project will be implemented by the National Directorate for Water Supply and Sanitation (DNAAS) in the Ministry of Public Works, Housing, and Water Resources (MOPHRH). The project aims to respond to some of the challenges related to sanitation faced by the urban population in Mozambique. Mozambique has a total population of approximately 25 million people (2015) and ranked 180 out of 187 countries in 2015 on the Human Development Index. Approximately 11.2 million people live in poverty, although this contrasts with the country’s rapid economic growth over the past two decades, which has been increasingly driven by large capital-intensive public and private investment projects which have limited linkages to the rest of the economy and have not yet translated into poverty reduction. Accessibility to basic services remains low, with only one in every three (33%) households with access to safe water, one in ten (10%) to sanitation, and one in four (25%) to electricity. Average life expectancy at birth is 50.3 years and malaria remain the most common cause of death, responsible for 35 percent of child mortality and 29 percent for the general population. Persistent poverty is concentrated in two provinces, Nampula and Zambézia, which are the provinces with the highest population rates in the country, and are where poverty rates have increased, while the rest of the country has experienced reduction in poverty rates of over 10 percent since 2003. According to the Household Budget Survey published by the National Institute for Statistic (INE 2016), about forty-two percent (42%) of the urban population of Mozambique (3.4 million people) lack access to basic improved sanitation facilities, and, with about two thirds of Mozambique’s population growth estimated to be in urban areas in 2050, access to improved sanitation facilities and services in such areas will continue to be a critical challenge. The lack of access to improved sanitation is generally significant in the informal settlements and peri- urban areas of the 23 Mozambican cities with high frequency of cholera outbreaks and widespread diarrhea disease and other water-borne diseases resulting in high child mortality. The use of sanitation services in cities and towns grew at a rate of 2.2% per year starting from 34% in 2004 to approximately 58% in 2015. Clearly, at this rate, the sector could not meet the Five-Year Government Plans (PQG) and the Millennium Development Goals (MDGs) established for urban sanitation (80% coverage); and will definitively miss the universal access to urban sanitation services by 2030 and the Sustainable Development Goals (SDGs). In order to address these challenges, the GoM has requested the World Bank to support investments in urban sanitation and drainage. The current Environment and Social Management Framework (ESMF) is prepared in compliance with the Safeguard Policies established by the funding agency, the World Bank (WB), as well as by the Mozambique Environmental and Social Management regulations which stipulate that funding of development plans and programs shall be subject to prior assessment and the mitigation of potential environmental and social effects of future projects. 31 The ESMF is an instrument that enables the screening process to facilitate early identification of potential negative environmental and social effects associated with the future construction of public infrastructure, specifically with regards to the safe location of projects, identification of issues associated with deforestation, soil erosion, pollution of soil and water resources, waste management, and other factors related to the installation, operation and maintenance of projects. Additionally, the ESMF describes the process of assigning environmental categories for proposed projects and outlines the institutional arrangements, roles and responsibilities, including budget and timeframe for the implementation of mitigation and monitoring measures to be considered during projects implementation phases. The ESMF is a dynamic instrument that should be reviewed and updated in the time during the project implementation cycle. Projects are required to have an ESMF which provides guidance for the preparation of an Environmental and Social Management Plan and should make provisions for how potential negative environmental and social impacts will be effectively mitigated. The ESMF has a number of principles which include the following: • A systematic procedure for a participative process of environmental and social screening of the specific project areas and activities; • A stepwise process to identity and prevent potential environmental and social impacts of the planned project activities; • An environmental and social management plan to deal with environmental and social aspects resulting from the implementation of the project; • A monitoring and evaluation system for the implementation of mitigation measures and actions; • Draft recommendations for training needs requirements for planning and monitoring of the project; • A budget to ensure that the project has the necessary resources to achieve the desired objectives, particularly those related to the preparation and implementation of sub- projects/ sub-components. The World Bank also establishes the need for the preparation of a Resettlement Policy Framework (RPF) to anticipate and mitigate projects’ negative social effects particularly those activities likely to cause involuntary displacement of communities or disruption of their livelihoods as per the Operational Policy on Involuntary Resettlement (OP/BP 4.12). The policy covers direct economic and social impacts that are caused by the involuntary land acquisition resulting in impact on, relocation, or loss of shelter; impact on, or loss of assets; loss of income sources or means of livelihood; and/ or loss of access to locations that provide higher incomes or lower expenditures to businesses or persons. Prior to undertaking of any resettlement activities, an analysis will be conducted, and a Resettlement Action Plan prepared to determine positive and negative impacts of the proposed intervention for the communities and families to be impacted. For the purposes of the Mozambique Sanitation and Drainage Project, an RPF is prepared as a separate document. The objectives of this ESMF are to : • Provide procedures and methodologies for the environmental and social impact assessment, review, approval and implementation of the subprojects activities funded under the Mozambique Sanitation and Drainage Project; 32 • Specify appropriate roles and responsibilities, and outline the necessary reporting procedures, including managing and monitoring environmental and social impacts related to project investments; • Determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF and subsequent ESIA/ESMP as applicable; • Establish the project funding required to implement the ESMF requirements; and Provide practical information on resources for implementing the ESMF. The methodology used to prepare this ESMF was based on the following: • Literature review - of existing policies and legislation in Mozambique, of World Bank Safeguard Policies, other ESMF in the areas of water and sanitation in Mozambique as well as of other countries; • Policy analysis - analysis of relevant national policies and legislation that are likely to have an impact on the implementation of the project; • Interviews with key informants - from relevant Ministries, Provincial Directorates, Municipalities, and World Bank staff; • Public Consultation process - public consultation meetings will take place prior to the commencement of the project in the target areas, however, prior to the approval of the final version of this ESMF, a copy will be made available to the public for comments through the MOPHRH in Maputo, the target Municipalities as well as on the web through the World Bank’s Info shop. This ESMF is structured as follows: i) introduction and the objectives of the Environmental and Social Management Framework (ESMF); ii) Project Description; iii) description of the context and targeted areas; iv) Project Implementation Arrangements; v) overview of Mozambique ’s Environmental Policy and regulatory frameworks; vi) an overview of Applicable World Bank’s Safeguard Policies; vii) Gaps in Mozambique’s Legislation and the World Bank’s Safeguard Policies; viii) Presentation of Summary of Public Consultation Outcomes; ix) Project Impact Assessment; x) Environmental and Social Management Plans; xi) Environmental and Social Screening Process; xii) Environmental and Social Plan, Monitoring and Reporting Requirements; xiii) Capacity Building and Training for Environmental and Social Management; xiv) Proposed Budget for ESMF implementation. The annexes present various instrument relevant for implementation of the current ESMF. 33 2. PROJECT DESCRIPTION The proposed project will be the first in a ‘Series of Projects’ (SoP) to contribute directly to the Country Partnership Framework ’s (CPF) overall objective of supporting more inclusive growth. The Framework recognizes the risks to human development when access to essential basic services is neither equitable nor sustainable and part of the Focus Area 2 of the Framework, “Investing in Human Capital”, explicitly prioritizes reducing the incidence of water and sanitation-related diseases by providing improved access to water and sanitation services to an additional 1.1 million people living in peri-urban areas and small towns. The proposed project will also support the World Bank Group Country Partnership Framework (CPF) Focus Area 3, Objective 11 of the framework through improved sanitation and drainage that will contribute to increased resiliency of low-lying urban neighborhoods, many of which include informal settlements populated by vulnerable populations. By strengthening municipal financing and management of sanitation services, the project will enhance the capacity of municipal councils for sustainability and resilience. The Project will reduce the prevalence of unhygienic environmental conditions in urban neighborhoods that contribute to high rates of child stunting, trigger perennial cholera epidemics and chronic diarrhea outbreaks, and high child mortality in the targeted cities. Thus, by addressing the drivers of public health risks, the project will directly contribute to improving the health status of the urban poor. Furthermore, through the focus on pro-poor investments and policy reform, the Project will also ensure more equitable provision of sanitation services for more inclusive urban development. 2.1 Concept Description The proposed project one will help Mozambique meet the Sustainable Development Goal (SDG) 6, which focuses on clean water and sanitation, and specifically will help achieve the sanitation target of ending open defecation and ensuring universal access to sanitation by 2030. This ambitious goal requires a broad and sustained effort to establish and expand sustainable urban sanitation services and infrastructure. The proposed project will be the entry point for putting in place the institutional, management and financial frameworks for the national strategy ’s implementation and to begin strengthening the necessary organizational capacities at the central and municipal levels (PIS objectives). In addition, given the lack of attention to this sector in the 40 years since national independence, the investment backlog is large, thus demand will continue to grow due to rapid urbanization. The proposed project helps set up a system to operationalize the national strategy for improving urban sanitation across the country; not merely provide financing for investments in a number of cities. Thus, by adopting a programmatic approach, the foundation will be established for longer-term implementation of the national strategy upon which Government, the Bank and other development partners and financiers could provide continued support. Considering the integrated nature of sanitation, the right mix and sequencing of investments (e.g., fecal sludge management, sewerage rehabilitation and expansion, drainage expansion) will be identified on a city-by-city basis so that each city has a roadmap for achieving the related SDGs and urban resilience. In this regard, Quelimane and Tete cities will be given priority. 34 As a result of the complex institutional, technical and social challenges inherent in urban sanitation, the first project will fulfil a critical role in clarifying and improving existing policy and institutional frameworks so that financing can increase, and services can be effectively provided at a greater scale in subsequent phases. The first project will identify and initiate support for sector reforms that will continue in subsequent projects of the SoP. As noted above, the increased capacity of municipalities to provide and coordinate service provision at the local level will be a key part of the sustainability of the infrastructure financed by the first project. During the first project a limited number of cities will be targeted in agreement with Government (e.g., Quelimane, Tete and Maputo 1 ) for implementing investment packages. By the end of project one, additional cities will be selected, and investment packages prepared. Project two (2022-2027) would expand the service provision models developed in project one to other municipalities. Project two could be designed as a Program for Results Operation (PforR). Project two would also coincide with the end of the current National Urban Water and Sanitation Strategy (in 2025) and would support the definition of the next national strategy. Project three (2027-2032) would consolidate the gains achieved under the previous projects, expand coverage to the remaining 27-30 cities with the aim of achieving universal access and consolidate reforms for sustainability. Project three could similarly be designed as a Program for Results Operation (PforR). 2.2 Project Components The project five components, each with different levels of environmental and social impacts. Components 1 and 3 will trigger some impacts, whilst components 2 and 4 have no or very insignificant impacts, while component 5 impacts would be unknown, and would depend on the level of intervention in an event of a natural disaster. Component 1: Priority Sewerage Investments in Maputo, Quelimane and Tete (USD 56.50 million). This component will finance sewerage investments in Maputo, Quelimane and Tete including: • Priority sewerage works for Maputo , including the (i) rehabilitation and expansion of the Infulene Wastewater Treatment Plant (WWTP), (ii) rehabilitation and upgrade of 8.5km of sewers, (iii) rehabilitation and upgrade of two pumping stations, and (iv) upgrading of 12,800 existing sewer connections. • Priority sewerage works for Quelimane , including the (i) rehabilitation and expansion of 29km of sewers, (ii) construction of a Wastewater Treatment Plant (WWTP), (iii) upgrading of approximately 2,000 existing connections, (iv) construction of three pilot condominial sewer systems to serve about 600 new connections, and (v) rehabilitation of about 10 km of small to medium scale drains to channel excess storm water and water- logged areas. • Priority sewerage works for Tete, including the (i) rehabilitation and expansion of 20km of sewers, (ii) construction of a Wastewater Treatment Plant (WWTP), (iii) upgrading of approximately 3,300 existing connections, (iv) construction of three pilot condominial 1 Population of Quelimane (245,000); of Tete (213,000) 35 sewer systems to serve about 600 new connections, and (v) rehabilitation of about 8 km of small to medium scale drains to channel excess storm water and water-logged areas. Component 2: On-site Sanitation Investments for Quelimane and Tete (USD 32.50 million). This component will finance priority on-site sanitation at the household level, and the construction of public sanitation facilities, in Quelimane and Tete including: • On-site Sanitation investments in Quelimane , including the (i) sanitation marketing and hygiene promotion to influence sanitation behaviours; (ii) support to the construction and upgrade of 11,000 household on-site sanitation systems, (iii) construction of 65 public sanitation systems in schools and markets, including dedicated facilities for menstrual hygiene management; (iv) construction of two Fecal Sludge Treatment Plants (FSTPs), and (v) support to private sector on FSM business development. • On-site Sanitation investments in Tete, including the (ii) Sanitation marketing and hygiene promotion to influence sanitation behaviours; (ii) support to the construction and upgrade of 9,200 household on-site sanitation systems, (iii) construction of 13 public sanitation systems in schools and markets, including dedicated facilities for menstrual hygiene management; (iv) construction of two Fecal Sludge Treatment Plants (FSTPs), and (v) support to private sector on FSM business development. Component 3: Municipal Sanitation Services Improvements (USD 16.00 million). This Component will provide performance-based grants to finance service improvement activities. The grants will be linked to achievement of a minimum set of indicators (institutional, operational and financial) on a performance scorecard agreed between each participating municipality and DNAAS. The grant will consist of two parts: (i) a fixed part linked to achievement of certain institutional prerequisites (such as establishment of a ring-fenced municipal sanitation department, approval of the sanitation service improvement plan and introduction of a sanitation fee) during the first two years of the project, and (ii) a variable part linked to actual sanitation revenues collected by the municipality throughout the project period. Municipalities will utilize the grants to finance equipment and logistical support, and other assets and tools needed for effective sanitation service provision. The grant will also contribute to, on a declining basis, financing gaps between the cost of delivering sanitation services and the sanitation revenues collected. Component 4: Technical Assistance and Project Management Support (USD 10.00 million). This component will finance technical assistance to support national institutional strengthening and project management. Key activities for institutional strengthening include: (i) the review and harmonization of the legal and institutional framework, including the review of the Water Law and Water Policy to clarify roles and responsibilities between the central agencies and the municipal entities for sanitation investment planning, implementation, and service delivery; (ii) Regulatory tools for urban sanitation service delivery ; (iii) key preparatory studies for the next generation of sanitation investments; and iv) development of financing arrangements at the municipal level that address issues of household affordability and long term sustainability of service providers. The project will also finance staff training for the key institutions involved on sanitation planning at the national level. Project management support comprises technical assistance and incremental operating costs to ensure fiduciary compliance including financial management, procurement and environment and social safeguards, monitoring and evaluation. This component will support necessary equipment (e.g. computers, software and other goods), capacity building (training), and incremental staff to allow the project implementing unit to carry out their responsibilities. 36 Component 5: Contingency and Emergency Response (USD 35 million). This component will finance the following COVID-19 emergency activities: (a) Rehabilitation and upgrade of school toilets: (i) Civil and hydraulic works for toilet upgrade, (ii) features to provide privacy and comfort for the MHM, and access to people with disability, (iii) water supply connection and reservoir, and (iv) larger dividers between urinals and spaced sinks; (b) toilet maintenance services: This will ensure that the toilets are periodically cleaned, disinfected, and sanitized during COVID-19, while the project team designs a school toilet maintenance model in partnership with the education team and local private sector. The package also includes FSM services. These features will allow the toilets to be safe throughout the learning period; (c) Provision of Menstrual Hygiene Management - MHM package for girls including the supply of re-usable pads and training; (d) improving handwashing: Supply of handwashing facilities and products for hygiene management, including liquid soap, alcohol-based hand sanitizers, fresh paper towel, and garbage containers; (e) Prevention: i) Personal protective Equipment, and ii) Contact tracing – Scale up in Maputo City and other selected provinces; (f) Information, Education and Communication: i) Panic Communication and Management, and ii) Communication materials and Services; (g) Case Management: Medical equipment, supplies, and Medicines; h) Laboratory Diagnosis: Tests, Reagents and Consumables; (i) Administration and operating costs: Internal Transport, Distribution, Travel and Training. DNAAS and AIAS host the Project Implementation Unit (PIUs) throughout the implementation of the project. The DNAAS PIU hired an Environmental and Social Coordinator, while AIAS PIU hired an Environmental Specialist and the two (2) Social Specialists that support safeguards implementation. Maputo Municipality hired one environmental Officer and one Social Officer, while other targeted municipalities also hired a dedicated Environmental and Social Specialist to be responsible for overall Environmental and Social Safeguards at Municipal level, in coordination with the Safeguard Specialists at the PIUs. Dedicated or focal points will be appointed at AURA - IP and FIPAG, to support the PIU on tariffs and other sustainability issues associated to the project. The MISAU PIU hired an Environmental Specialist that will be responsible for overall Environmental and Social Safeguards implementation for overall project under MISAU responsibility. 2.3 Anticipated Types of Sub-projects The anticipated that sub-projects will involve rehabilitation, expansion, reconstruction and construction works of infrastructure related to sanitation. These works are not expected to be large-scale, however, given their very nature, they are classified as Category A, and may have significant environmental and social impacts should the necessary mitigations measures not be implemented or adhered to. The anticipated sub-projects include the following: • Rehabilitation and expansion of sewerage networks including network connections; • Rehabilitation and expansion of small to medium-scale drainage infrastructure; • Rehabilitation and expansion of wastewater treatment plants; • Upgrading and construction of household latrines under cost sharing arrangements (to be defined in project preparation) with users; • Development of pro-poor fecal sludge collection services; • Construction of fecal sludge treatment facilities and transfer stations where necessary; • Rehabilitation of the Infulene Wastewater Treatment Plant; 37 • Improvements to the handling of wastewater and fecal sludge to ensure reliable and environmentally safe transport to the Greater Maputo Waste Treatment Facility. 2.4 Sub-project Activities Ineligible for Funding (negative list) Sub-projects with any of the attributes listed in the table below will be ineligible for support under the proposed project. Table 8: Ineligible sub-projects Natural Resource Management Sub-projects involving significant conversion or degradation of critical natural habitats. Sub-projects involving the use of unsustainably harvested timber or fuel-wood. Cultural and Heritage Sites Damages to cultural property, including but not limited to, any activities that affect the following sites: archaeological and historical sites; religious monuments, structures and cemeteries, as well as significant damage to non-replicable cultural properties. 38 3. PROJECT CONTEXT AND TARGETED AREAS 3.1 General Description of Context in Mozambique Mozambique comprises a national territory of 799,380 km2 of which 2% consist of inland water bodies, 13% national parks, and 21% of forest cover. The country is located in the south- eastern region of the sub-Saharan Africa Continent, bordering Tanzania in the North, Malawi, Zambia and Zimbabwe in the West, South Africa and Swaziland in the South and the Indian Ocean in the eastern part which encompasses a 2,500 km coastline and an exclusive economic zone of 200 nautical miles. The country is divided into 11 provinces and 128 districts, administrative posts and localities. In total 33 municipalities comprise the major urban centers; including 10 provincial capitals and the country ’s capital. Mozambique has thirty-nine major rivers which drain into the Indian Ocean, and an impressive natural environment, which constitutes a significant public asset and is the basis upon which its recent macro-economic development and poverty reduction has been achieved. All key sectors of the Mozambican economy (i.e. agriculture, mining, tourism, forestry, fisheries and wildlife) are based on natural resources. Mozambique’s rich ecosystems, biodiversity and natural resources hold a significant exportable value and commercial potential. Despite these impressive environmental assets and agro-ecological climate of Mozambique, the country is extremely vulnerable to natural disasters, namely: floods, drought, and cyclones due to its geographic location, its climate conditions, extremely high levels of poverty and exposure of people to these disasters, as well as the limited availability of resources in the country to build resilience. Mozambique is considered the second country most geographically exposed to natural disasters in Africa. The recurrence of natural disasters in the country annually have adverse impacts not only on human lives, but also on human livelihoods, infrastructure and hamper the development and investments efforts. This is particularly evident with the floods that occurred in 2014 and 2015, that had negative impacts in the central and northern regions of the country, particularly in some of the proposed project areas (Tete, Zambézia, and Maputo). More recently with the El Nino phenomena which started at the end of the last quarter of 2015, natural disasters have been affecting parts of the country, impacting particularly the southern and central regions of Mozambique with droughts and floods. According to the Vulnerability Assessment carried out by the Food Security and Nutrition Technical Secretariat (SETSAN), in March 2016, El Nino has affected close to 1.5 million people, and humanitarian needs in terms of food assistance, severe and acute malnutrition treatment as well as in terms water, hygiene and sanitation have been prioritized for the affected groups. In terms of population size, the latest data provided by the National Institute of Statistics (INE), Mozambique has a population size of 27 128 530 people, and the average life expectancy is 53 2. Significant advances have been achieved in Mozambique over the last decade in terms of improvements in the social sectors (i.e. health and education) as well as in the general economy (with an annual GDP of 7-8% until 2015), however the country continues to be amongst the poorest in the world and almost close to half of the population lives in poverty. The 2015 Human Development Index ranked Mozambique 180 out of 188 countries. Access to adequate health and education services and other facilities remain challenging, particularly with the fast 2 INE 39 population growth rates. Access to potable water, and infrastructures such as roads, bridges and electrical power is also increasing at a very slow pace and reaching less than 40% of the Mozambican population. Apart from limited access to potable water, poor sanitation is still an issue of concern throughout the country, negatively affecting health and wellbeing of the population, particularly the most vulnerable including women and children. Safe sanitation in the country is done by septic tanks or drainage systems in urban settings. However only 4% of the national urban population has access to sewerage. Proper sanitation encompasses the safe handling of human excreta, maintenance of personal hygiene, health, safe disposal of solid and liquid waste, and the observance of a safe water chain. Although there is growing tendency in use of latrines in peri-urban areas, open defecation is still very common as most public places in slums and peri-urban areas do not have adequate sanitation facilities. Sanitation provision for schools and other public places is critical to prevent contamination. Inadequate or lack of (water, sanitation and hygiene) WASH services is one of the main causes of dropouts in school by many girls who miss school. In addition to this, a number of studies point out that inadequate access to sanitation increases health risks, especially in children under the age of five, who are the victims of 80% of sanitation-related illnesses and diarrheal disease (Bartlett, 2003; Bartlett, 2008; Bartram & Cairncross, 2010 in Hawkins & Muximpua) and stunting. According to Hawkins & Muximpua 2015, inadequate sanitation results in regular cholera outbreaks (on average 7,500 cases per year), widespread diarrheal disease (on average 25,000 reported cases per year) and high child mortality (108 per 1,000 live births) in Mozambique 3 . Poor sanitation costs an estimated 124 million dollars per year to the country’s economy, mostly due to time lost accessing health care, premature death, productivity losses and health care costs4 . At present the water and sanitation sector is led by the National Directorate of Water Supply and Sanitation (Direcção Nacional de Abastecimento de Água e Saneamento – DNAAS) for both urban and rural water supply and sanitation; and is responsible for investment planning and implementation in the rural areas through the Provincial and District Governments5. Under a Delegated Management Framework (DMF), the Water and Sanitation Infrastructure Board (Administração de Infraestruras de Água e Saneamento, AIAS ) – is the national agency responsible for managing water supply assets in small towns, and public sanitation assets (sewerage and drainage infrastructure) in all urban settlements in Mozambique. The Investment Fund and Water Supply Asset Holder (Fundo de Investimento de Infraestrutura e Patrimônio de Abastecimento de Água – Investment Fund and Water Supply Asset Holder (FIPAG) is responsible for 21 urban water supply systems in large urban cities including Maputo city; and the Water Regulatory Authority – Public Institute (Autoridade Reguladora da Água – Instituto Público – AURA - IP) is responsible for guaranteeing the balance of interests between the stakeholders involved, from the asset manager to service providers and consumers6. AURA - IP is therefore charged to oversee and regulate all entities (public and private) that provide 3 Hawkins, P., and Muximpua, O. 2015.Developing business models for fecal sludge management in Maputo. World Bank 4 Ibid. 40 urban water and sanitation services. These agencies have some experience and capacity in managing Bank funded operations. The Delegated Management Framework (DMF) allows for the transfer of operational responsibilities for water supply to private companies. Among the key sector challenges is the fragmented institutional framework and lack of clarity on roles and responsibilities for sanitation, especially at the central government level. In particular, the roles for DNAAS and AIAS are not clear as both can plan and manage investments for sanitation. Under the DMF, critical infrastructure is supposed to be developed by FIPAG and AIAS through financing from Government, development partners, and other financial institutions. Autonomous (preferably private) entities are then to be contracted by FIPAG or AIAS to operate and maintain the systems for providing urban water services or sanitation services. However, in the urban water subsector, FIPAG actually operates many systems itself; while in the urban sanitation subsector, municipalities are the main operators with a few exceptions. In fact, according to the National Urban Water and Sanitation Strategy (2012-2025)7, municipal councils are charged with instituting a comprehensive approach to managing all elements of the sanitation service chain, in both urban and non-urban areas. Sanitation service provision is a clear municipal competency as defined in the 1997 local government framework laws and associated regulations. Municipalities are therefore responsible for both sanitary sewerage and storm water drainage as well solid waste management. Municipalities are also responsible for regulation and enforcement of domestic and private sector land use, as well as environmental management of both solid and liquid waste and associated sanitation facilities. Furthermore, municipal councils play an important role collaborating with local public health authorities in sanitary education and hygiene promotion. To date, the main focus of municipal sanitation efforts has been on solid waste management and the maintenance of small mixed rainwater/sewerage networks located in downtown areas of major cities. Municipalities lack the human and financial resources to implement their sanitation mandate. Backbone sanitation infrastructure is largely non-existent. There have not been any major investments in sanitation in Mozambique and excluding Maputo and Beira, untreated raw sewage (often mixed with rainwater runoff) is discharged into the sea or nearby rivers. Even in Maputo, waste treatment facilities have been neglected for over 20 years, resulting in dilapidated sewers and sewage treatment due to lack of maintenance and resulting negative environmental impacts on surrounding neighborhoods8. Off-network facilities or on-site sanitation are key to improving urban access to sanitation services. To further complicate the situation, networked sanitation systems have extremely limited coverage, generally reaching less than 10 percent of the municipal population and less than 20 percent of municipal territory. In the near term, the small sewerage networks cannot feasibly be expanded to meet the demand for household sanitation in populous peri-urban neighborhoods. Thus, any urban sanitation initiative that aims to significantly expand coverage will require a significant focus on “localized solutions,” i.e. domestic latrines and small septic tanks, along with associated services. To date, the limited on-site sanitation and fecal sludge management (FSM) is handled by the domestic private sector, with minimal regulation. But Government policy recognizes this reality and there is a greater emphasis on FSM and the role 7 GoM Ministério das Obras Publicas e Habitação 2011 8 As detailed in the Greater Maputo Sanitation and Drainage Master Plan completed in 2015 with IDA funding through the Cities and Climate Change Project. 41 of private sector actors as providers of FSM services (from construction to collection and disposal) in the PIS and other sectorial plans and program documents. Drainage investments are an integral part of sanitation services and provide both public health and economic benefits. As noted above, flooding is a common threat to many urban and peri- urban neighborhoods, especially in Mozambique’s coastal cities which are most vulnerable to climate related impacts. In low-lying areas, seasonal rains often result in widespread contamination of standing floodwater with fecal waste. The resulting spread of pathogens, especially among small children, results in seasonal increases in water-borne diseases which undermine the health benefits resulting from increased latrine coverage. Thus, strategic investments in improved drainage for high-risk, low-income neighborhoods are often needed to accompany investments in sanitation infrastructure in order to achieve the needed improvements in public health. In some cases, the willingness of households or communities to invest in improved latrines or small septic systems may also be undermined by the risk of flooding which could destroy or degrade their sanitation assets. Financing arrangements for urban sanitation are underdeveloped. Despite Government recognition of sector needs, the financing framework is yet to be established. Very little is known about affordability, reliability, or efficiency of services in urban areas since sanitation systems are still in their infancy. At present, there are no capital financing mechanisms for urban sanitation investments. Unlike the role of FIPAG in mobilizing and managing urban water supply investments, AIAS has limited experience in resource mobilization and managing multi-city investment programs for urban sanitation. Regulations permit the establishment of sanitation fees at the municipal level to recover operation and maintenance costs but how to charge for services is unclear and inconsistently undertaken (either on a water bill or electricity bill). Arguably, the easiest way to charge for sanitation services is to include the charge on the water bill but this can only be done subject to the prior approval by AURA - IP and this approach is not well-aligned with local government legislation. To date only two municipalities, Beira and Quelimane 9 have signed the required regulatory framework agreements with AURA - IP; and although recent sanitation projects have included institutional support to establish entities for operation and maintenance of sanitation assets (such as in Beira), a sustainable financial and service delivery model has not been developed. In the end, local government legislation and regulations will need to be established for all municipalities to allow sanitation fees to be charged and collected. A proper asset manager responsible for capital investment planning and finance mobilization will also be needed. 3.2 Project Locations The proposed project will support the development of sanitation infrastructure (e.g. sewerage rehabilitation, fecal sludge treatment plants, storm water drainage) and services in selected cities over five years where vulnerable communities are subject to recurrent water-borne diseases and where cholera outbreaks have become routine. Additionally, due to the eruption of COVID-19 pandemic, the USP Component 5 was activated, for the rehabilitation and improvements of school toilets in Manica, Sofala, Tete and Zambézia provinces in order to reduce the spread of COVID 19 disease and ensure a safe return to classes within the scope of 9 Similar agreements are currently under discussion by AURA - IP with Maputo and Nampula Municipal Councils. 42 the new normal in schools. Although the targeted cities for the first project are known (Quelimane, Tete and Maputo - the exact location of where the interventions will take place is not yet known at this stage, except the rehabilitation of the Infulene Wastewater Treatment Plant in Maputo, to be financed under Component 3 located along the banks of the Infulene River, which borders the Municipalities of Maputo and Matola). The Infulene River runs north- south and flows into the Espírito Santo estuary, which is a sea-arm on the western shore of Maputo Bay . 3.2.1 Maputo Maputo is the capital city of Mozambique, the largest province which is located along the coast on the south east of the country. The province is situated on the Indian Ocean making it particularly vulnerable to climate impacts such as cyclones, flooding and sea level rise. 43 Figure 1: Maputo Municipality Map According to INE, Maputo City has a population of 1,094,628 inhabitants, distributed across 63 neighborhoods. The latest population census of 2017, indicates a total number of 1,101,170 inhabitants. Table 9: Distribution of Maputo Municipality Population Municipal District Neighborhood Total population Men Women Alto Maé 'A' 9,395 4,538 4,857 Alto Maé 'B' 12,374 6,167 6,207 Central 'A' 10,350 4,943 5,407 KaMpfumu Central 'B' 11,440 5,543 5,897 Central 'C' 8,143 4,047 4,096 Coop 5,804 2,943 2,861 44 Municipal District Neighborhood Total population Men Women Malhangalene 'A' 6,666 3,219 3,447 Malhangalene 'B' 17,386 8,495 8,891 Polana Cimento 'A' 8,396 4,104 4,292 Polana Cimento 'B' 8,381 4,024 4,357 Sommershield 9,761 4,940 4,821 Aeroporto 'A' 16,397 8,017 8,380 Aeroporto 'B' 17,773 8,875 8,898 Chamanculo 'A' 12,620 6,208 6,412 Chamanculo 'B' 10,016 4,868 5,148 Chamanculo 'C' 25,923 12,483 13,440 KaMaxakeni Chamanculo 'D' 13,660 6,728 6,932 Malanga 17,014 8,485 8,529 Minkadjuine 8,692 4,340 4,352 Unidade 7 8,884 4,415 4,469 Xipamanine 20,145 9,978 10,167 Munhuana 3,148 1,509 1,639 Mafalala 20,722 10,230 10,492 Maxaquene 'A' 22,759 11,267 11,492 Maxaquene 'B' 30,239 14,850 15,389 Maxaquene 'C' 19,522 9,607 9,915 Nhlamanculu Maxaquene 'D' 22,049 10,655 11,394 Polana Caniço 'A' 45,928 22,718 23,210 Polana Caniço 'B' 46,547 22,843 23,704 Urbanização 15,862 7,770 8,092 Albasine 15,985 7,666 8,319 Costa do Sol 16,668 8,284 8,384 Ferroviário 50,453 24,436 26,017 FPLM 11,427 5,524 5,903 Hulene 'A' 27,662 13,299 14,363 KaMavota Hulene 'B' 45,684 21,854 23,830 Mahotas 47,349 22,761 24,588 Mavalane 'A' 20,592 10,027 10,565 Mavalane 'B' 13,153 6,375 6,778 3 de Fevereiro 16,615 7,965 8,650 Laulane 27,682 13,463 14,219 Bagamoio 20,204 9,834 10,370 G. Dimitrov 40,993 19,716 21,277 Inhagoia 'A' 16,407 7,950 8,457 Inhagoia 'B' 16,047 7,699 8,348 KaMubukwana Jardim 11,756 5,681 6,075 Luís Cabral 33,750 16,771 16,979 Magoanine 'A' 28,163 13,352 14,811 Malhazine 8,753 4,239 4,514 45 Municipal District Neighborhood Total population Men Women Nsalene 4,033 1,945 2,088 25 de Junho 'A' 12,842 6,261 6,581 25 de Junho 'B' 23,630 11,370 12,260 Zimpeto 25,666 12,194 13,472 Magoanine 'B' 17,195 8,250 8,945 Magoanine 'C' 31,336 15,053 16,283 Chali 4,772 2,326 2,446 Chamissava 3,475 1,653 1,822 KaTembe Guachene 3,812 1,926 1,886 Incassane 4,038 1,890 2,148 Inguide 3,274 1,530 1,744 Inguane 2,236 1,078 1,158 Ka-Nyaka Nhaquene 1,275 588 687 Ridzene 1,705 801 904 Total 1,094,628 Source: INE (2008) The area of Maputo constitutes the transition from a sandstone plateau to the coastal zone, inclined to the sea, comprised of dunes and wetlands. It is characterized by the occurrence of environmental and engineering geological problems, including landslides and slope instability, gullying, coastal erosion, informal settlements, and inadequate solid waste management. Most of the area is densely occupied, with few remnants of the original vegetation. The city of Maputo is located in a tropical rainy area. There are two seasons: the warm and humid season and the fresh and dry season. An annual rainfall of 860 mm falls predominantly in the warm season, between December and March, with rain expected on 93 days of the year. Mean annual temperatures range from 18.6 oC to 27.4 oC10 . The geomorphology comprises the coastal plain (with dunes and alluvium) and the higher area, with interior and consolidated dunes, both conducive to the development of erosion phenomena. Due to human occupation, the natural habitats of the municipality are scarce, with pockets of some natural vegetation occurring however still on the coastal zone, north of the municipality, associated with dunes, wetlands and estuaries (in particular mangroves)11 . Poverty and inequality, which are concentrated in the overpopulated neighborhoods further exacerbate climate change vulnerabilities in the city. It is estimated that over 70% of the inhabitants of Maputo live in slums12 . Maputo faces many challenges, such as poor transport and drainage infrastructure, poor garbage collection, high numbers of informal settlements amongst others, which have profound implications on people’s livelihoods, particularly in informal settlements. The majority of the capital’s inhabitants are at risk of natural hazards such as localized floods and landslides. 10 Kemp, L., Fairhurst, L., Rowswell, P. & Quayle, T. 2011. Sub-Saharan African Cities: A Five-City Network to Pioneer Climate Adaptation through Participatory Research & Local Action; 11 Dray, M., & Nhancale, B. (2010); 12 UN-Habitat 2010. Mozambique Cities Profile: Maputo, Nacala and Manica 46 There are three sanitation systems in Maputo: i) the sewerage network, which is limited to the Cement City and parts of Bairro do Jardim; ii) septic tanks, used in both urbanized and semi- urbanized areas; and iii) latrines (open or improved), used in the informal settlements and peri- urban areas. The sewerage network drains to the Infulene Wastewater Treatment Plant, which then discharges into the Infulene River. This plant was designed for 90,000 users. It is reported that 4/5 of households in Maputo are not connected to a central sewerage system, and only 10% of Maputo sewerage is treated, while the bulk (90%) end up in the sea as raw sewerage. It is also reported that contamination of aquifers (between 15 and 30 meters) by inadequate sanitation systems is severe throughout the municipal area, causing the spread of disease 13. High levels of fecal coliforms are present near the storm water drainage discharge points in the Maputo Bay. The rainwater drainage system covers only 30% of the total area of the city. Most of the network is old and obsolete. The remaining 70% of the municipality has no formal drainage systems, with the exception of a few cases where specific measures were taken to resolve critical problems in some neighborhoods14. The proposed rehabilitation and expansion of the Infulene Wastewater Treatment Plant will contribute significantly to the improvement of living conditions of Maputo city’s residents through improved treated storm water that will be discharged to Maputo bay. This service will also induce significant improvements on the storm water drainage management and sanitation improvements in the most vulnerable peri-urban areas of the Maputo city. 3.2.2 Tete The city of Tete is crossed by the Zambezi River longitudinally in an extension of 30km, dividing it in two parts. The city has a surface of 208 km2 and is administratively constituted by 9 districts. 13 Dray, M. & Nhancale, B. 2010 14 Ibid. 47 Figure 2: Tete Municipality Map The total population of the city is 155,870 inhabitants, according to the 2007 Census. The population distribution by neighborhood is described below. The preliminary results of the general census of population and housing, carried out in 2017, indicate a total of 305,722 inhabitants. Table 10: Distribution of Population in Tete Municipality Neighborhood Total Population Men Women Degue 11,842 5,672 6,170 Filipe S. Magaia 12,854 6,406 6,448 Francisco Manyanga 21,064 10,647 10,417 Josina Machel 10,150 5,234 4,916 Mateus S. Muthemba 24,685 12,255 12,430 Matundo 18,810 9,415 9,395 M'padue 5,809 2,819 2,990 Chingodzi 32,401 16,269 16,132 Samora Machel 18,255 9,092 9,163 Total 155,870 In terms of climate, the average temperature is 27.1 ⁰C, the absolute maximum is 43.7 ⁰C and the absolute minimum is 12.1 ⁰C. The average monthly precipitation is 67 mm. Tete is one of the hottest parts of Mozambique as it lies on a plateau 500m above sea level. In the last few years, Tete province, with particular emphasis on Tete City and Moatize Town, has become the center of attention as it possesses one of the largest and richest coal deposits in 48 the world. Besides coal, the region has significant deposits of natural gas, rare metals, and heavy mineral sands. A number of mining projects have been developed in the last few years and the province has been denominated the ‘chicken with golden eggs. The expectation from Mozambicans in general is that the mining industry will stimulate economic growth in the country, stimulate growth in other sectors such as agriculture and industry, and subsequently translate into equitable distribution across all social-strata of the country. This has not been the case, and at present the mining industry in Tete is experiencing major challenges and investments are decreasing substantially. The sanitation system in the city of Tete is made up of a public sewer system; toilets with connection to the septic tank; discharge latrines with connection to the septic tank; simple pit latrines; and discharge latrines with connection to a bucket. Access to the public sewage system is limited by the unavailability of collectors near homes. In the city of Tete, the spatial distribution of the network of collectors is very limited, covering only a limited extent of the city, in the neighborhoods Filipe Samuel Magaia, Josina Machel and Francisco Manyanga (DINAAS, 2017: 22). The water supply system is composed of two large subsystems, Tete-Antiga and Matundo / Chingodzi and three small systems, namely Canongola, Mpadué (deactivated due to the high content of salinity in the water) and Degué. In the Nhartanda Valley (underground drainage of the Zambezi river) water is drawn from the 12 holes, equipped with SP type submersible pumps. The sum of the nominal flow of the 12 operating holes is 895 m3/h, which is added together in a 400mm DN asbestos cement (AC), with a length of 980 meters for the water treatment plant. The ETA has a nominal capacity of 15,000 m3/day. After the treatment, the water goes to four supported deposits (of 500 m3 each) that supply the low zone of the city and a tower of 150 m3 that supplies the high zone of the city. The main ducts of the distribution network are 350 mm for the upper zone and 350 mm for the low zone. The proposed project will bring significant benefits in the improvement of standard of living of the people living in this city through minimization of impacts associated with poor storm water drainage in both cement and peri-urban areas of the city. 3.2.3 Quelimane Quelimane is the capital city of the Zambézia Province, located in the north of the country. It is located at 17.88 latitude and 36.89 longitude and it is situated at elevation 9 meters above sea level. Quelimane has an approximate area of 117 km² and is administratively divided into 4 administrative posts numerically denominated and divided into Neighborhoods. Preliminary results of the latest Population Census conducted in 2017 indicate a total of 349,842 inhabitants. The population distribution based on the 2007 Census is provided in the following table. Table 11: Distribution of Population in Quelimane Municipality Administrative Post Neighborhood Total Population Men Women Aeroporto 9,382 5,018 4,364 Chirangano 4,162 2,099 2,063 Administrative Post 1 Filipe Samuel Magaia 1,881 1,044 837 Kansa 2,535 1,352 1,183 49 Administrative Post Neighborhood Total Population Men Women Liberdade 4,546 2,546 2,000 Mapiazua 2,691 1,436 1,255 Piloto 855 439 416 Popular 2,533 1,326 1,207 Saguar 9,293 4,938 4,355 Sinacura 2,959 1,573 1,386 Torone Velho 4,582 2,383 2,199 1° de Maio 1,946 1,071 875 24 de Julho 1,272 661 611 Coalane 2 12,712 6,366 6,346 Gogone 2,184 1,101 1,083 Icidua 9,084 4,590 4,494 Ivagalane 358 175 183 Administrative Post 2 Janeiro 7,012 3,558 3,454 Murropue 1,275 628 647 Torrono Novo 6,207 3,190 3,017 7 de Abril 5,772 2,902 2,870 Sangariveira 1,692 847 845 Acordos de Lusaka 'A' 4,367 2,193 2,174 Acordos de Lusaka 'B' 5,634 2,755 2,879 Bazar 1,892 886 1,006 Coalane 1 2,417 1,194 1,223 Cololo 3,381 1,720 1,661 Migano 1,432 649 783 Administrative Post 3 Namuinho 2,334 1,098 1,236 Sampene 4,626 2,324 2,302 Samugue 3,582 1,919 1,663 1° de Maio 'A' 3,169 1,645 1,524 1° de Maio 'B' 3,764 1,787 1,977 25 de Setembro 1,797 915 882 3 de Fevereiro 1,938 972 966 Brandão 5,903 3,101 2,802 Floresta 6,983 3,492 3,491 Inhangome 1,009 480 529 Manhaua 'A' 10,622 5,664 4,958 Administrative Post 4 Manhaua 'B' 5,512 2,921 2,591 Mincajune 6,945 3,410 3,535 Santagua 'A' 7,700 3,974 3,726 Santagua 'B' 9,156 4,721 4,435 17 de Setembro 4,247 2,109 2,138 50 Administrative Post Neighborhood Total Population Men Women Total 193,343 Like in the whole Zambézia Province, annual precipitation in Quelimane city varies from 1,200mm to just over 1,400 mm and the city is hit an average of 6 to 7 cyclones during each cyclonic period, which is generally between November and April. The port is one of the main drivers of its main economic activities and the center of an important fishing industry. It is the fourth largest port in the country and has significant local and regional socio-economic potential. The sanitation system is made of a public sewage system, toilets connected to septic tanks, discharge latrines connected to septic tanks; simple pit latrines; and discharge latrines with connection to the pit. Access to public sewage system is limited by the unavailability of collectors near homes. The distribution of collector system is limited, covering partially the Administrative Post 1, especially the neighborhoods of 1º de Maio, 24 de Julho, Filipe Samuel Magaia, Liberdade, Sinacura Popular and Pilot (DINAAS, 2017: 20). The City is supplied from two underground water holes, namely Licuari and Nicoadala, and in the Licuari field there are 5 holes. The holes have a production that varies between 80 m3/h and 100m3/h. The Nicoadala hole field consists of 5 holes, with a production capacity ranging from 30 to 70 m3/h, with the combined production of the 2 pitches being about 11,300 m3/day. The water transmission main consists of 2 conduits, the oldest asbestos cement, with a diameter of 350 mm and 51 km in length and a new cast iron duct with 500 mm in diameter. The total installed pumping capacity is 600 m3/h, with 2 pumps in the Licuari borehole with a capacity of 250 m3/h and a 44-meter head and 3 pumps in the Nicoadala borehole with a capacity of 350 m3/h gauge height of 51 meters. The treatment system consists of a station built in the Licuari hole field in 2007, consisting of a generator, a sedimentation basin and 5 slow filters. The total reserve is 3,500 m3 in supported concrete reservoirs located in the Quelimane Distributor Center (2x750 m3 and 1x2,000 m3) plus 350 m3 of the raised tank located in the same Distributor Center. In addition, there is a 500 m3 reserve in the Licuari and Nicoadala hole fields, namely 1 high concrete tank with a capacity of 250 m3 in each of the centers. The distribution network has an extension of just over 250 km (PPA, s/d). One of the main challenges faced by the Municipality is related to the lack of infrastructures to capture and treat urban waste, which is mostly drained into the river, contaminating ecosystems and aquifers. Another challenge is related to the weak collection and treatment of solid waste which results in the destruction of ecosystems, the outbreak of epidemic diseases such as diarrhea, cholera and malaria, especially in the rainy season. Access to potable water is an issue of concern for the Municipality and the current capacity of FIPAG is limited. For the Quelimane city, the Drainage and Sanitation Project aims to improve and build the city ’s drainage and sanitation system through the rehabilitation and expansion of storm water drains, construction of sanitation facilities, construction of latrines and fecal sludge management facilities. In the peri-urban areas, most of the drainage is through flat shallow natural swales, in addition to some open channels. The existing drainage system is in need of rehabilitation and expansion. A sanitation system is nonexistent and so there is no wastewater or fecal sludge treatment facilities in the city. 51 Figure 3: Quelimane Municipality Map 3.3 Natural Habitats, Historical and Cultural Sites, Sensitive and Vulnerable Areas This section summarizes the characterization of natural habitats, historical-cultural sites, and vulnerable areas in the cities of Maputo, Quelimane and Tete. This information is particularly useful for environmental and social assessment in this ESMF and potential sub-projects. In general, urban and peri-urban areas where the project will be implemented, natural environment has been deeply transformed. There are few areas that can be considered. However, certain areas such as the vicinity of the Zambezi river in Tete, the Infulene river in Maputo, the Bons Sinais river (or Cuácua river) in Quelimane, the coastal zone in Maputo and Quelimane, the Nhartanda valley in Tete, which should be considered as sensitive areas. The Nhartanda valley is part of the Zambezi river basin in Tete city, providing fresh water sources and fertile grounds for urban agriculture. Nhartanda valley, a former Zambeze river branch, now an open space in an otherwise crowded city. The quantity and quality of the groundwater of the Nhartanda valley is under pressure through increased urbanization rates. 52 This is manifested through pollution of the groundwater and occupation of vulnerable areas. However, the valley continues to be an important area for recharging the aquifer where the water holes that supply the city of Tete are located. The Nhartanda valley is prone to floods. There are important historical and cultural sites in the city of Maputo, such as the Estátua de Eduardo Mondlane; Monumento da I Guerra Mundial; Estação Central dos Caminhos de Ferro; edifício da Imprensa Nacional; Prédio Pott; Fortaleza de Nossa Senhora da Conceicão; Casa de Ferro; Palácio da Ponta Vermelha; Casa dos Azulejos; Edifício Vila Algarve; Centro Cultural Franco-Moçambicano; Museu da Moeda; Museu de História Natural; Zona Baixa da Cidade de Maputo; Sé Catedral; Edifício do Conselho Municipal; Mercado Central. The natural conditions of the city of Maputo also are favor to the development of erosion, both on the consolidated dunes and along the coastal strip. The upper layer of the soil in most of the Municipality of Maputo is made of fine low-density sands, easily abraded by erosion, particularly in the presence of water. This can be easily seen by the different erosion ravines in different parts of the city, particularly in steep ravines with light ground cover. 4.PROJECT IMPLEMENTATION ARRANGEMENTS The project will be implemented by the Ministry of Public Works, Housing and Water Resources through DNAAS, which will be the lead implementing agency responsible for all aspects of the project management, including planning, procurement, financial management, results monitoring and safeguards. DNAAS has established a Project Implementation Unit (PIU) for this project, with administrative reporting to the National Director and technical reporting to the Department of Sanitation. Therefore, a separated Project Implementation Unit have been established at MISAU which will be responsible for the coordination and implementation of all activities at this institution. The PIU comprise one coordinator, planning, procurement, financial management, results monitoring and safeguards specialist and 2 financial assistants and procurement, An assessment conducted by the World Bank suggests that the PIU at DNAAS meets the basic requirements for implementing the project. However, both the project coordinator and the procurement specialist have insufficient time allocated to the Mozambique Urban Sanitation Project and the PIU lacks capacity in some key areas such as Environmental and Social Safeguards Specialists and Monitoring and Evaluation. Other existing key staff in the PIU include a Financial Management Specialist and a Junior Engineer. In order to respond to the deficit in staff for the project, DNAAS has committed to strengthening the PIU with the recruitment of additional staff, in order to mitigate the capacity risks to the project. These will be full-time Project Coordinator, a Procurement Specialist, a Sanitation Engineer, two Safeguards Specialists (Environmental and Social), an M&E Specialist and one Project Assistant. Other specialists could be considered as needed. DNAAS will also work closely with the technical teams at AIAS and the receive advice from the National Sanitation Task Force (Equipa Tecnica Nacional de Saneamento – ETNS ). It is expected that two sets of agreements will guide Project implementation: The World Bank will sign a financing agreement with the Ministry of Finance and Economy (MEF) as the recipient of the IDA credit/grant. The MOPHRH through DNAAS will sign a performance agreement with the municipalities of Maputo, Quelimane and Tete, with terms acceptable to 53 the Bank. All project operational modalities will be detailed in a Project Implementation Manual (PIM) to be prepared and adopted no later than one month after project effectiveness. At the Municipal level, technical teams will be established within the sanitation units with a minimum of five staff to support project implementation. The technical teams for Maputo, Quelimane and Tete will include at least a city Project Coordinator, a Sanitation Engineer, a Social Development Specialist, and an Environmental Specialist which will also support project M&E at municipal level. For Beira and Nampula, a city Project Coordinator will be appointed and will work in close collaboration with the sanitation units of those cities. These technical teams will work closely with DNAAS and be responsible for day-to-day monitoring and evaluation. They will also participate in the technical development, review and evaluation of relevant activities. As indicated on the Diagram below, the National Directorate of Water Supply and Sanitation (DNAAS) is the main agency for urban water supply and sanitation at both rural and urban levels. DNAAS is responsible for investment planning in the rural areas through provincial directorates and district governments. While is not reflected in the structure, MTA plays a crucial role in regulating Environmental and Social Impact Assessment (ESIA) procedures through the National Directorate for Environment (DNAB) at central level. As per the Environmental Law, all projects likely to have adverse environmental and social impacts are required to be registered with MTA for determination of their specific Category (A+, A, B or C) and issuing an Environmental License, once relevant studies have been completed and approved. MTA is also responsible for enforcement of Environmental Quality Standards and of Emissions and Effluents legislation and for territorial planning. The review of ESIA reports at MTA/SPA coordinates the review of ESIA reports, whereby various relevant institutions are engaged to provide their inputs regarding the proposed projects. MTA has established Environmental Provincial Services (SPA) country wide. SPA is responsible for approving and monitoring the EIA process with regards to Category B and C projects, inspect a specific project’s compliance with environmental regulations and promote coordination among all sectors in the province. Some of the major limitations at SPA’s in the provinces are mostly in the form of limited human, material, financial resources. These tend to hold back the achievement of the full complement of SPA’s tasks such as undertaking monitoring and inspections. It is for this reason that each region will have its own Environmental and Social Safeguard Specialist who will assist with sub-project categorization, and general advice on all relevant social and environmental aspects that are relevant to the sanitation project. For the proposed Mozambique Sanitation Project, the selected projects will be submitted to the World Bank for a No Objection. Once a No Objection has been granted, the projects will be submitted to MTA for Categorization by SPA at provincial level. Projects of Category A will be decided at the National level, while those of Category B and C will be handled at provincial levels. It should be noted that Category B projects require the undertaking of a Simplified Environmental Assessment whereby the proponent first drafts the Terms of Reference (ToR’s), and once approved, the Simplified Environmental Assessment proceeds. At least one public meeting is required during the preparation of the Terms of Reference. 54 At the Municipal level the environmental component is located at the Municipal Services of Planning and Infrastructures, through a section of Environmental Management. This institution is responsible for several environmental activities including monitoring and inspections, about which they are required to coordinate with SPA as needed. The municipalities will benefit from the support and assistance provided by the Environmental and Social Safeguard Specialists to be allocated by the Sanitation project. Targeted municipalities will define priorities and ensure that projects are executed and managed in an effective manner to deliver the intended results to the beneficiaries. The table below provides an overview of the main actors and their roles: Council of Ministers National Water Council Water Regulation Ministry of Public Works, Ministry of Education and Provincial Housing and Water Ministry of Health Council Human Development Governments Resources DNPC / DSP DIEE Provincial Directorates of National Directorate Water Supply and ▪ Public Works, Housing of Water Supply Sanitation and Water Resources and Sanitation Infrastructure ▪ Health Administration ▪ Education and Human Development Regional DAA DCOAT Water FIPAG Administration DPT s DS District Governments DAF DP UGEA DAF Figure 4: Key Institutions Proposed to Manage the Mozambique Urban Sanitation Project 55 4.1 Roles and responsibilities of key stakeholders DNAAS as the project proponent shall report on a quarterly basis to the World Bank on the status of the project as a whole. The PIU shall compile reports of all sub-components being implemented in the different cities, and report on a quarterly basis to the project proponent DNAAS on progress and status of implementation of the safeguards as well as of the project. They will work closely with the Municipalities, Districts Governments, and MTA and its affiliated provincial directorates’ staff and relevant partners while ensuring that the Mozambique Urban and Sanitation Project safeguards recommendations are fully met throughout the project cycle. Table 12: Roles and Responsibilities of main project’s stakeholders Responsible Stakeholder Areas of intervention Lead institutions Collaborative institutions MOPHRH (DNAAS, MTA, Service Providers including Project Management AIAS, FIPAG, Environmental and Social Safeguards Municipalities) Specialists Identification of Sanitation MOPHRH (DNAAS, Service Providers including infrastructures Projects AIAS, FIPAG, Environmental and Social Safeguards Municipalities) Specialists Environmental Screening of the Sanitation Services providers including Project, Preparation of the Screening DNAAS (PIU), Environmental and Social Safeguard Report to be submitted to MTA for project Municipalities Specialists Categorization Sanitation projects categorization (A, B or Other relevant institutions as defined by MTA C), Environmental licensing MTA Preparation of ESIA, Simplified ESIA Services Providers and the Environmental DNAAS (PIU) and Social Safeguard Specialists Review and approval of ESIA Reports, Environmental and Social Safeguards and issuing of Environmental licenses Specialists, The World Bank (for No MTA Objections), Relevant entities as defined by MTA Infrastructures Planning, construction SPA AIAS, Services Providers and DNAAS, Municipalities, and Management Environmental and Social Safeguards SDPI Specialists Monitoring of ESMP implementation Environmental and Social Safeguards MTA, SPA Specialists, the World Bank Identification of Infrastructures to be MINEDH rehabilitated Rehabilitation and Improvement of School MINEDH, MISAU, Toilets in Sofala, Manica, Tete and DNAAS Zambézia Provision of the overall coordination and DNAAS & DIEE monitoring and evaluation support. Management of the emergency funds and other ongoing World Bank Funded DPCI/DSPSS operations 56 The implementation of the ESMF will need to include all levels of the Mozambique Sanitation project (Central to Municipal), considering the coordination and implementation arrangements for the project. 5.MOZAMBIQUE ENVIRONMENTAL AND SOCIAL MANAGEMENT LEGAL FRAMEWORK Mozambique ’s Constitution recognizes that ecological balance, conservation and preservation of the environment are key for the quality of life of its citizens. A number of pieces of legislation and policies provide legal context and background for the environmental and social management system in Mozambique. Because of the Rio Conference on Sustainable Development in 1992, Mozambique, like other countries, has undergone major legal and institutional reforms in the environmental sector. The country has adhered to several international conventions and protocols for the protection of the environment, and as a result continues to improve the legislation on many sustainable development issues in the country to ensure that Mozambicans enjoys quality living conditions. The Ministry of Land and Environment (MTA) is the Government institution responsible for ensuring the preservation and responsible use of natural resources including land, the coordination of environmental activities and environmental licensing. Provincial Environmental Services (Serviços Provinciais do Ambiente)SPA) and in some cases District Services for Planning and Infrastructures (Serviços Distritais de Planeamento e Infraestrutura) are the local representatives of MTA. This section provides a summary of environmental and social related policies, laws and regulations in Mozambique, particularly those of relevance to the Project. 5.1 The Constitution The 2004 Constitution of the Republic of Mozambique is the law of the land, and where there are laws in conflict with it, the provisions of the Constitution prevail. Chapter 5 Article 90 provides that all citizens have the right to live in a safe environment as well as the obligation to preserve it. The key objective of the clause related to the environment in the Constitution is to provide a legal framework for a proper use and management of the environment and its components, for the achievement of sustainable development in the country. This achievement involves proper management of the environment for the creation of conditions that guarantee health and well-being, socio-economic and cultural development of communities and the conservation of natural resources. 5.2 Environmental Legislation The 1995 National Environment Policy in Mozambique, Resolution nº 5/95, establishes the basis of all environmental legislation in the country. According to Article 2.1, the main objective of this policy is to ensure sustainable development in order to maintain an acceptable balance between socioeconomic development and environmental protection. To achieve the above objective, the policy must ensure, among other requirements, the management of natural resources in the country and the environment in general - in order to preserve their functional capacity and production for present and future generations. 57 The 1997 Environmental Law (Law n o 20/97) sets the environmental foundations for the policy and institutional framework for environmental management in Mozambique. The Law establishes the scope, institutions and appropriate management tools to deal with environmental management issues. The Ministry of Land, Environment and Rural Development (MTA) is the main government entity with the responsibility for coordination and management of government actions related to the environment at all government levels (national, provincial, district). 5.3 The Environmental Impact Assessment The Environmental Impact Assessment (EIA) is recognized to be a vital procedure for effective development planning and is therefore a centerpiece for environmental protection in the country. Mozambique’s EIA is regulated by the Decree 54/2015 of 31 December, which revokes Decree 42/2008 of 29 September and 4/2004 of 4 November. The main changes involve the establishment of four EIA categories, namely: • Category A+ - For projects with likely significant impacts. Decision making is reserved for the central level, in these instances a full EIA is required to be undertaken and supervised by Independent Specialists Reviewers with verifiable experience; • Category A - For projects with likely significant impacts. Decision making is reserved for the central level, in these instances a full EIA is required; • Category B - For projects with impacts considered less significant or which require less complex mitigation measures. Decisions are made at provincial and local levels, for instance, when a Simplified Environmental Study (EAS) is required; The preparation of Simplified Environmental Report is preceded by preparation of Terms of Reference that are subject to public consultation; • Category C - Is for small projects that may not require an EIA, but must follow the regulations for environmental impact. For these projects, decisions are also made at provincial level. Projects under this category are subject to Environmental Best Practices, which should be elaborated by the project proponent and submitted to MTA or the entity responsible for the approval process. Article 5 of Decree 54/2015 makes provisions for exemption from undertaking the EIA or simplified EIA for some activities, particularly those related to immediate actions in response to disasters or natural calamities, emergency situations resultant from development activities, and activities related to national defense and security. In the case of disasters and emergency situations, Article (2) stipulates that MTA should make instructions for such exemptions and make provisions for audits post the implementation of such projects. Environmental Audits and Environmental Inspection are regulated by Decrees No. 32/2003 (of August 20) and No. 11/2006 (of July 15) respectively. The Regulation of Environmental Audit Processes indicates that public or private activities are subject to public environmental audits conducted by MTA as well as private entities. Regulation on Environmental Inspections (Decree No. 11/2006 of July 15) regulates the mechanisms for inspections of public and private activities, which directly or indirectly are likely to cause negative environmental impacts. This law aims to regulate the activity of supervision, control and surveillance of compliance with environmental protection measures as recommended for development projects. 58 The Mozambican Environmental Law also establishes that an EIA must be undertaken for all development projects that may have a significant impact on the environment and recognizes the need to guarantee the participation of local communities and to utilize their knowledge and human resources in the protection of the environment. Given the nature of the foreseen works to be contemplated under the Mozambique Sanitation and Drainage Project, it is expected that most potential impacts can be effectively mitigated with Environmental Management Plan (EMP), guided by the existing EIA Regulations in Mozambique as well as other Directives which aim to minimize the impact of development projects upon the natural environment and human health. 5.4 The Local Authorities Law The Local Authorities Law 1997 (Law 2/97 of 28 May) provides that public water supply and sanitation systems are municipality systems and provides that these systems should gradually be transferred to municipalities. Municipalities are therefore responsible for both sanitary sewerage and storm water drainage as well solid waste management. Municipalities are also responsible for regulation and enforcement of domestic and private sector land use, as well as environmental management of both solid and liquid waste and associated sanitation facilities. Furthermore, municipal councils play an important role in terms of sanitary education and hygiene promotion together with other relevant stakeholders. The National Adaptation Programme of Action (NAPA) sets out the immediate and urgent needs of the country that have been identified during a participative evaluation process, for the purposes of strengthening national capacity to cope with the adverse effects of climate change. The NAPA is a relevant document for the Mozambique Sanitation and Drainage project as its focus is to provide guidance on how to address and adapt to the effects of climate change in Mozambique. Of particular relevance, is that the document outlines four key actions that should be employed to reduce the adverse impacts of natural disasters through adaptation, highlighting the use of locally available resources and cost efficient, environmentally friendly, and sustainable approaches. Sanitation and drainage project design would need to take this strategy into consideration to ensure sustainability of projects. 5.5 The Land Law In Mozambique land issues are governed by the Land law 19/97 of October 1 st, 1997 and its Decree 66/98 of December 8 th, 1998. The country is said to have one of the most progressive land laws in Africa mainly because it safeguards the rights of its population over land and natural resources whilst promoting investments and sustainable use of resources. The Law clearly provides that “land is the property of the state and cannot be sold or otherwise alienated, mortgaged or seized ” (Art. 3 of the Land Law). Land is attributed in the form of a 50-year renewable lease known as a Land Title or DUAT (Direito de Uso e Aproveitamento de Terra) in Portuguese. The prerequisites for the acquisition of the DUAT differ for national and foreign subjects. According to the Land Law, the acquisition process requires the adjudication of local administrative authorities, and a consultation with the corresponding communities to ensure that the area in question is free and unoccupied (Art. 13, 19/97). 5.6 Legislation on Water and Water Rights 59 The Mozambican Constitution of 2004 provides that all water resources are owned by the state. In terms of the actual management of water and water rights, the 1991 Water Law 16/91 of August 3 rd , 1991 is the key legal and regulatory framework. Similar to land, the Water Law stipulates that water is a public domain, that it is inalienable and imprescriptible, and that rights to its use shall be conferred by the State (Art. 1 (3). In general terms, the law makes provisions for the management of water and the acquisition of water rights. The objective of the Law is to provide a general legal framework governing the activities of protection and conservation, inventorying, use and appropriation, control and monitoring of water resources. Directives are provided for water management policy, which include the roles and responsibilities of the State in the promotion, creation of guidelines and regulation of the use of water in different sectors including agriculture. In terms of provisions on pollution management, the legal and regulatory framework concerning the prevention of pollution and the safe use of chemicals is broadly provided for under the Environmental Law 20/97 however, sector specific regulatory frameworks are also available in this regard. Article 52 of the Water Law for instance, stipulates that water in the public domain should be protected against contamination, and that the accumulation of toxic or dangerous compounds that may contaminate water should be prevented. Article 54 of the of the same Law stipulates that any activity with the potential of contaminating or degrading public waters, particularly the discharge of effluents, is subject to a special permit to be issued by ARA, and the payment of a fee. 5.7 Waste Management Legislation The Regulation of Solid Waste Management was approved by Decree No. 13/2006 with the purpose of establishing rules concerning the production, storage and management of solid wastes. The Regulation classifies waste as hazardous and non-hazardous and attributes to MTA the authority to manage hazardous wastes, including the licensing of establishments engaged in the management of hazardous or toxic waste. This regulation provides that the public and private entities that generate waste should have a Waste Management Plan prior to the commencement of their activities with a five-year validity period from the date of its approval. Additionally, the Regulation of Bio-medical waste management Decree No. 8/2003 of 18 February, establishes the rules for the management of bio-medical waste with a view to safeguarding the health and safety of health facility workers, auxiliary workers and the general public and minimizing the impact of such waste on the environment. 5.8 Labor Law The Mozambican Labor Law 23/2007 of August 1 st, makes provisions for individual and collective persons in relation to remunerated work or labor in the country. For the purposes of the current ESMF, Chapters I (General Provisions), III (Individual Work Relations) and IV (Hygiene, Safety and Health of Workers) of the Labor Law are highlighted, however all provisions stipulated under the law should be observed. The law makes special provisions for women workers, child labor, and health, safety and hygiene in the workplace. The legal framework in Mozambique for the latter goes beyond the Labor Law and includes the Constitution of 2004, the ILO Conventions related to the matter and other regulations such as the Judicial Regime on Work Related Accidents and Work- Related Illnesses. The Constitution makes provisions for the right to retribution and safety in 60 the workplace as well as the right to healthcare. Article 85 (2) stipulates that all workers shall have a right to protection, health and safety at work, and Article 89 stipulates that all citizens shall have the right to health and medical care and shall have the duty of promoting and protecting public health. Such provisions shall be abided to during the implementation of the Sanitation and Drainage Project, and the present ESMF identifies specific recommendations in the section related to mitigation measures and in the ESMP. 5.9 Contracting for Public Civil Works Mozambique has recently approved legislation related to the Contracting of Contractors for Public Civil Works, Goods Supply and Provision of Services, Decree 5/2016 of March 8 th. This legislation has provisions ranging from procedures for contracting of contractors for public civil works, goods and service provider to the management of such contracts, to claims and appeals. Of relevance is Article 160 on Safety and Discipline on Site. Article 160 stipulates that the contracting party should demand a Health and Safety Plan from the contractor; that the contractor is obliged to guarantee safety in the construction site and places of work and should abide by the legislation on health, hygiene and safety in the workplace, as described under section 6.9 of this document; the contractor should maintain a reliable signpost signaling system in the construction site and especially where works are being carried out on public roads; and the contractor should ensure discipline and order in the site location and areas of work. The Mozambique Sanitation and Drainage Project shall comply with the provisions of the present Decree in terms of the management of the contractors that are to implement the construction activities as described under Component A and its sub-components on the project. 5.10 Resettlement Process Regulations on the Resettlement Process resulting from Economic Activities (Decree 31/2012 of 8 August) regulation establishes the basic rules and principles on the resettlement process for the purpose of providing the opportunity to improve the quality of life of affected households. Article 4 lists the principles guiding the resettlement process resulting from the public and private activities. These include principles on social cohesion; social equality; direct benefit; social equity; non-change of income level; public participation; environmental accountability; and social responsibility. This Decree makes provisions for the resettlement process, including planning, provides the rights of the affected populations and makes provisions for fines in the event of non-compliance. The Resettlement Policy Framework (RPF) elaborated in parallel to the current ESMF provides more details on the legal and guiding frameworks of the resettlement process in Mozambique and taking into account the World Bank Involuntary Resettlement Policy OP 4.12 and provides specific guidance and steps to be followed to either avoid resettlement or mitigate any potential adverse impacts where this is unavoidable. 5.11 Public Consultation Process The Ministerial Diploma no. 130/2006 and the Decree 54/2015 make provisions for the Public Consultation Process. The former defines the basic principles related to public participation, methodologies and procedures that should be used. It considers public participation an interactive process that begins in the design phase and continues throughout the lifetime of the project. Decree 54/2015 provides for the public consultation process in the context of the 61 Environmental Impact Assessment process. Both documents establish the need for conducting public consultations with affected and interested persons that may be affected by an activity or project directly or indirectly. The objective of the public participation process is to identify interested and affected parts, disclose information related to the project to them, manage dialogue with the project proponents, and take comments and suggestions from the public in general. The basic principles of public consultation include the following: • Availability and access of adequate information; • Wide participation of citizens; • Representation; • Functionality; • Negotiation; and • Accountability. For Category A+ and A activities at least two public consultations are compulsory, whilst for Category B, only one meeting is required during the preparation of Terms of Reference. Within the context of project EIA, a Ministerial Diploma n o 130/2006 was introduced to stress the need for and importance of public participation process, which seeks to integrate non-expert’s views into EIA decision-making process, by allowing individuals and civil society to voice their concerns with regards to environmental sustainability of proposed projects. Public participation has been critical in the preparation of this ESMF and will be critical throughout the cycle of the Mozambique project. Four meetings were held in Quelimane, Tete and Maputo. Minutes of these meetings are presented in Annex 13. 62 6. APPLICABLE WORLD BANK’S SAFEGUARD POLICIES The World Bank Environmental and Social Safeguard/ Operational Policies as well as the World Bank Group (WBG) Environmental, Health and Safety (EHS) Guidelines, are critical for the institution ’s support to poverty reduction in a sustainable manner, and involving affected and interested parties of the project. The objective of these safeguard policies is to prevent and mitigate loss and damage on human life as well as on the environment during the implementation of development activities. These policies provide the Bank and its partners with guidelines for identifying, preparing and implementing programs and projects, and are applied to manage environmental and social risks and adverse impacts. In this section World Bank Operational Policies that can be triggered by the project are reviewed. The purpose of this review is to ensure that the proposed project concept is environmentally and socially sound, and to assess the relevance and feasibility of implementation of these policies to the proposed project. The Mozambique Urban Sanitation and Drainage Project has the potential of triggering most of the policies because of the nature and objective of the project related to investments in urban sanitation infrastructure and services and strengthening sanitation services which are likely to cause certain negative environmental and social effects. The appraisal of the project highlights that the project activities would trigger the following WB’s Operational Policies as described below: (i) Environmental Assessment (OP 4:01), Physical Cultural Resources (OP 4.11), Involuntary Resettlement (OP 4.12) and Projects on International Waterways (OP/BP7.50) and the Natural Habitats (OP 4:04). The table 7 below provides an overview of triggered World Bank Policies. Table 13: World Bank Safeguard Policies Triggered by the Project Safeguard Policies Triggered Yes No Environmental Assessment (OP/BP 4.01) X Natural Habitats (OP/BP 4.04) X Pest Management (OP 4.09) Indigenous People (OP/BP 4.10) X Physical Cultural Resources (OP/BP 4.11) X Involuntary Resettlement (OP/BP 4.12) X Forests (OP/BP 4.36) X Safety of Dams (OP/BP 4.37) X Projects on International Waterways (OP/BP7.50) X Projects in Disputed Areas (OP/BP 7.60) 6.1 Environmental Assessment OP 4.01 The Environmental Assessment (EA) Safeguard is to ensure that projects are environmentally and socially sustainable and provide a basis for improved decision making. OP 4.01 evaluates a project's potential environmental risks and impacts in its area of influence; examines project alternatives; identifies ways of improving project selection, siting, planning, design, and implementation by preventing, minimizing, mitigating, or compensating for adverse environmental impacts and enhancing positive impacts; and includes the process of mitigating and managing adverse environmental impacts throughout project implementation. 63 The EA takes into account the natural environment (air, water, and land); human health and safety; social aspects (involuntary resettlement, indigenous peoples, and physical cultural resources); and trans-boundary and global environmental aspects. It also considers natural and social aspects in an integrated way and taking into account the variations in project and country conditions; the findings of country environmental studies; national environmental action plans; the country's overall policy framework, national legislation, and institutional capabilities related to the environment and social aspects. Thus, OP 4.01 is applicable whenever a proposed project or actions have the potential to cause negative environmental and social effects to its surroundings. The OP 4.01 classifies proposed projects into one of three categories, depending on the type, location, sensitivity, and scale of the project and the nature and magnitude of its potential environmental impacts: • Category A: where a project is likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. For a Category A project, the borrower is responsible for preparing a report, normally an Environmental Assessment (EA), (or a suitably comprehensive regional or sectorial EA). • Category B: where a project’s potential adverse environmental impacts on human populations or environmentally important areas such as wetlands, forests, grasslands, and other natural habitats are less adverse than those of Category A projects. These impacts are site-specific; few if any of them are irreversible; and in most cases mitigation measures can be readily designed. • Category C: where a project is likely to have minimal or no adverse environmental impacts. Beyond screening, no further EA action is required for a Category C project. • Category FI: A proposed project classified in Category FI engages investment funds from the World Bank through a financial intermediary, in sub-projects that may result in adverse environmental impacts. The project is classified as Category A since proposed activities mainly under component 1 and 3 (Investments in urban sanitation infrastructure and services and strengthening sanitation services in Greater Maputo) are expected to generate significant adverse impacts that are sensitive, diverse and unprecedented. While project activities will largely contribute to positive outcomes such as reducing the prevalence of unhygienic environmental conditions in urban neighborhoods that contribute to high rates of child stunting, trigger cholera epidemics and chronic diarrhea outbreaks, and lead to high child mortality, such activities will also generate adverse environmental and social impacts that require due safeguards consideration. Proposed activities of the project include: i) Rehabilitation and expansion of sewerage networks including network connections; small to medium scale drainage infrastructure; wastewater treatment plants, ii) Upgrading and construction of household latrines, iii) Development of pro-poor fecal sludge collection services, iv) Construction of fecal sludge treatment facilities and transfer stations, v) Rehabilitation of the existing Greater Maputo Waste Treatment Facility, which can possibly contribute to public nuisance, odor, noise and vibration, soil contamination and eruption of cholera, and/or other waterborne diseases, loss of assets and livelihoods within the community, especially among vulnerable groups. Consequently, OP 4.01 is triggered and this ESMF is prepared to provide guidance and 64 procedures for the preparation of subsequent ESIA/ESMPs once the specific details of the subprojects designs and location are known. This ESMF presents checklists that are designed to assist in identifying such potential impacts, and direct communities and extension teams to practical ways of avoiding or mitigating them. More detailed studies (environmental assessment) are required and should be prepared before the project application can be considered further in compliance with OP 4.01. The ESMP should consists of a set of mitigation, monitoring and evaluation measures that should be taken during implementation and operation, to eliminate or mitigate any adverse environmental and social impacts. It should also include actions required to be undertaken to implement the recommended measures. The current ESMF includes a template to prepare an ESMP for the Mozambique Urban Sanitation and Drainage Project to provide guidance to the implementers, coordinators and project proponents. It provides a set of responses to potential adverse impacts, determines requirements for timely and effective response, and provides the means for meeting the requirements set. The key components of this plan are i) mitigation; ii) monitoring, iii) training and capacity development, iv) projected costs for implementing the plan; and v) integration of the plan to the project. Environmental and Social Clauses (ESC) for contractors are no longer necessary as Bidders/Proposers are now required to demonstrate that they have an EHSH Code of Conduct, which are a set of rules, regulations and principles set out by the contractors, based on national legislation and/ or World Bank safeguards related to environment, health, safety, hygiene, which all contractors will abide by and application will be monitored regularly; suitably qualified ESHS specialists; and that they will abide by when implementing security and reporting requirements prior to the signing of contracts. 6.2 Natural Habitats (OP/BP 4.04) The Natural Habitats safeguard is related to the protection, maintenance, and rehabilitation of natural habitats and their functions in its economic and sector work, project financing, and policy dialogue. The objective of this safeguard is to ensure that a precautionary approach to natural resource management is applied to ensure opportunities for environmentally sustainable development. The Bank does not support projects that involve a significant conversion or degradation of critical natural habitats unless there are no feasible alternatives for the project and its siting. For these to be approved, a comprehensive analysis should demonstrate that overall benefits from the project substantially outweigh the environmental costs. If the environmental and social assessment indicates that a project would significantly convert or degrade natural habitats, the project should include mitigation measures acceptable to the Bank. Such mitigation measures should include minimizing habitat loss (e.g. strategic habitat retention and post-development restoration) and establishing and maintaining an ecologically similar protected area. Wherever feasible, Bank-financed projects should only be sited on lands already converted. Considering the location of project activities close to terrestrial ecosystems, such as the Infulene river (for the case of rehabilitation of the Infulene Wastewater Treatment Plant) and also the fact that potential targeted cities in Zambézia, Tete and Maputo Provinces are located in coastal areas and close to river banks (the case of Tete and Quelimane cities), the Mozambique Urban Sanitation and Drainage Project will have adverse impact on Natural 65 Habitats. While every effort will be made to site project activities so that they will not directly impact natural habitats, effluent discharges, emissions, sludge disposal, and drainage infrastructure among other project elements/activities could produce some adverse impacts on such habitats and trigger the OP 4.04. Precautionary measures need to be put in place to avoid damage to the environment. Proper planning is required regarding site selection and should always avoid areas requiring transformation of undisturbed natural habitat. Annex 5 in this ESMF provides communities and implementation teams with the appropriate environmental checklists and planning methods to identify any potential impacts of the project sub-components on natural habitats and to develop appropriate mitigation measures to minimize or avoid damage. 6.3 Physical Cultural Resources (OP/BP 4.11) This policy addresses preserving Physical Cultural Resources (PCR), and in avoiding their destruction and/or damage. Physical cultural resources are defined as movable or immovable objects, sites, structures, groups of structures, and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious (including graveyards and burial sites), aesthetic, or other locations with cultural significance. They may be located in urban or rural settings, and may be above or below ground, or under water. Their cultural interest may be at the local, provincial or national level, or within the international community. The project should address any possible impacts on physical cultural resources in projects proposed for Bank financing, as an integral part of the environmental assessment (EA) process. If the project is likely to have adverse impacts on physical cultural resources, the project proponent should identify appropriate measures for avoiding or mitigating these impacts as part of the EA process. At this stage, it cannot be ascertained whether some project target areas are located in or nearby natural features and landscapes, however the nature and scope of the proposed activities suggest triggering OP 4.11 to ensure that any cultural resources are identified and properly managed. Should this be confirmed during the specific identification and selection of sites, the Chance Finds Procedure (CFP) approach shall be used in the event of previously unknown physical or cultural resources that are exposed or found during the lifecycle of a project, and appropriate measures should be taken to ensure that natural features and landscapes are not destroyed, and/or that mitigation measures are put in place to reduce damage (see chapter 17). Furthermore, future activities related to component D may trigger this safeguard, particularly in relation to religious sites such as family graveyards and burial sites. Chance find refers to any cultural heritage sites or associated material encountered during construction works, excluding those found in the course of an intentional archaeological investigation. It includes, but is not limited to artefacts, archaeological deposits, ruins, monuments and human remains. Potential adverse impacts and specific mitigation measures have been provided in the ESMP and the ESMF mitigation matrix included in this document. The RPF being prepared in parallel to this document, presents the guidelines for management of physical cultural resources in the Environmental Assessment and provides a plan for mitigating adverse impacts. 6.4 Involuntary Resettlement (OP 4.12) The purpose of this policy is to avoid or minimize involuntary resettlement and, where this is not feasible, assist displaced persons in improving or at least restoring their livelihoods and 66 standards of living in real terms relative to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. OP 4.12 applies to all land acquisition and any changes in access to resources due to a sub- project. The policy applies whether or not affected persons must move to another location. The Bank's policy requires a full Resettlement Action Plan (RAP) if over 200 people must be relocated or if these people are not physically displaced but lose over 10% of their assets due to the project. If the impact is less than this an Abbreviated Resettlement Action Plan should be prepared instead. The key objectives of this operational policy are to: • Avoid or minimize involuntary resettlement scenarios, where possible and examine all viable alternative project designs; • Support affected persons in restoring/improving their former living standards, income generation and production capacities, or at least in restoring them; • Encourage community involvement in planning and implementing resettlement actions and provide assistance to affected people regardless of the legality of land tenure. The policy does not only cover physical displacement, but also any loss of land or other assets associated with the proposed actions resulting in: • relocation or loss of shelter; • loss of assets or access to assets; and loss of income sources or means of livelihood, whether or not the affected person is to reallocate to a new area. This operational policy is applicable to the involuntary restriction of access to legally demarcated conservation areas such as parks and other protected areas resulting in adverse impacts on the livelihoods of the displaced persons. For the purpose of the RPF prepared under the remit of the Mozambique Urban Sanitation and Drainage Project, whenever land acquisition is necessary for the foreseen public-works, the applicant (any of the institutions with a mandate to implement under this project) shall comply with guidance established by the RPF which has been prepared separately and in parallel to the current ESMF. The project will finance activities such as rehabilitation and expansion of sewerage networks including network connections, construction of wastewater treatment plants and fecal sludge treatment facilities and transfer stations, drainage infrastructure and other works that could necessitate land acquisition and could result in involuntary resettlement of people and/or loss of (or loss of access to) assets, means of livelihoods or resources. Details of most activities will not be known until project implementation. This ESMF provides criteria for determining the need for resettlement in the form of a Checklist. Additionally, a Resettlement Policy Framework (RPF) is being prepared in parallel to this ESMF to provide guidance on how to address involuntary displacement should it be required in the target areas of the project. 6.5 Projects on International Waterways OP/BP7.50 This policy is triggered because the wastewater treatment plants may discharge to the Zambezi River, which is considered to be an international waterway as defined by this policy. The aim 67 of this policy is to establish guidance for projects that will be implemented on international waterways, which include: • Any river, canal, lake, or similar body of water that forms a boundary between, or any river or body of surface water that flows through, two or more states, whether Bank members or not; • any tributary or other body of surface water that is a component of any waterway described in (a) above; and • any bay, gulf, strait, or channel bounded by two or more states or, if within one state, recognized as a necessary channel of communication between the open sea and other states-and any river flowing into such waters. This is policy is applicable to the following types of projects: • Hydroelectric, irrigation, flood control, navigation, drainage, water and sewerage, industrial, and similar projects that involve the use or potential pollution of international waterways; and • detailed design and engineering studies of projects under paragraph above, including those to be carried out by the World Bank as an executing agency or in any other capacity. It is mandatory that international elements of the project on an international waterway are addressed early in the project cycle. Under such circumstances, it is a requirement by the World Bank that the beneficiary state notifies the other riparian parties of the proposed project. In the event where the project proponent is unable to do so, the World Bank does it instead. The project can be discontinued if the project proponent objects that the World Bank does so. After notification and in the event that the other riparian party objects to the proposed project, the World Bank appoints independent experts (one or more) to inquire into the issue in accordance with the safeguard policy. If the objection persists, and if the World Bank decides to proceed despite the objection of the other riparian party, the World Bank informs the party and the beneficiary of its decision. There are exceptions that are allowed in relation to the Bank’s requirement that other riparian parties be notified, and these include: • Ongoing schemes, projects involving additions or alterations that require rehabilitation, construction, or other changes that will not adversely change the quality or quantity of water flows to the other riparian parties/states; and will not be adversely affected by the other riparian parties’ possible water use. This exception applies only to minor additions or alterations to the ongoing scheme; it does not cover works and activities that would exceed the original scheme, change its nature, or so alter or expand its scope and extent as to make it appear a new or different scheme; • Water resource surveys and feasibility studies on or involving international waterways. However, the state proposing such activities includes in the terms of reference for the activities an examination of any potential riparian issues; • Any project that relates to a tributary of an international waterway where the tributary runs exclusively in one state and the state is the lowest downstream riparian, unless there is concern that the project could cause appreciable harm to other states. 68 However, the proposed project activities will ensure that affluent to be released will be treated to meet international acceptable standards. Thus, the proposed activities will not adversely affect the quality or quantity of water flows to other riparian parties. Moreover, given that the project activities include rehabilitation, the project meets the criteria defined in the paragraph 7 (a) of OP 7.50, and is eligible for an exception to notification requirements. 6.6 Code of Conduct and Gender Based-Violence This ESMF recognizes the need for future projects to put in place measures to prevent and respond to incidents of sexual exploitation, and any other form of gender-based violence. In order to put in place such measures, the projects shall take a collaborative approach to prevention against project-related risks of sexual exploitation and abuse. An effective code of conduct shall comprise obligations on all project contractors, taking onto consideration specific cultural aspects of the project sites, and projects’ need with a view to address the following issues: • Compliance with relevant laws, rules and regulations; • Compliance with applicable health and safety requirements (including wearing prescribed personal protective equipment (PPE), accidents prevention and a duty to report conditions or practices that pose a safety hazard or threaten the environment); • Non-Discrimination (for example on the basis of family status, ethnicity, race, gender, religion, language, marital status, birth, age, disability, or political conviction); • Interactions with community members (for example to convey an attitude of respect and non-discrimination); • Sexual harassment (including use of inappropriate language or behaviour, in particular towards women or children, or any other, harassing, abusive, sexually provocative, demeaning or culturally inappropriate treatment of community members); • Violence or exploitation women (including exchange of money employment, goods, or services for sex, including sexual favours or other forms of humiliating, degrading or exploitative behaviour); • Protection of children (against abuse, or otherwise unacceptable behaviour with children, limiting interactions with children, and ensuring their safety in project areas) • Sanitation requirements (to ensure workers use specified sanitary facilities provided by their Employer/accommodation and not open areas); • Avoidance of conflicts of interest (such that benefits, contracts, or employment, or any sort of preferential treatment or favours, are not provided to any person with whom there is a financial, family, or personal connection); • Respecting reasonable work instructions (including the need for environmental and social protection); • Protection and proper use of property (prohibit theft, carelessness or waste of resources); • Duty to report violations of this Code of Conduct; • Non-retaliation against workers who report violations of the Code of Conduct, if that report is made in good faith. 69 The Code of Conduct shall be a brief but clear document, written in plain language, and translated to local languages as needed, and signed by each worker to indicate that they have: • received a copy of the code; • had the code explained to them; • acknowledged that adherence to this Code of Conduct is a condition of Employment; and • understood that violations of the Code can result in serious consequences, up to and including dismissal, or referral to legal authorities. 6.7 Temporary Project Induced Labor Influx The proposed project will require a labor force and other goods and services that may not be locally sourced due to lack of local technical skills and capacity. Besides the influx of labor others will also follow with the aim of selling goods and services or even pursuit of job opportunities. The influx of labor and others to the project sites will certainly lead to increased demand for local social services, as well as goods and services which ultimately push prices of goods upward, increased volume of traffic, higher risks of accidents, increased demand on ecosystems and natural resources, social conflicts within and between communities, increased risks of communicable diseases, as well as increased rates of illicit behavior and crime. While these risks may be identified in the ESIA, as others emerge as the project progress in the implementation cycle, there will be a need to develop site-specific measures before the contractors initiate work and update these measures as the project is implemented. The box below provides the principles as identified by the World Bank to assess and manage the risks of adverse impacts on communities resulting from temporary project induced labor influx. Box 1: Principles of Managing the Risks of Adverse Impact on Communities from Project Temporary Induced Labor Influx Table 14: Risks of Adverse Impact on Communities from Project Temporary Induced Labor Influx Reduce labor influx by tapping into the local workforce . The most effective mitigation measure against labor influx is to avoid or reduce it. Depending on the size and the skill level of the local workforce, a share of the workers required for the project may be recruited locally. This is generally easier for unskilled workers, while more specialized staff (typically required in smaller numbers) frequently will be hired from elsewhere. Depending on the requirements of the project and their skill level, it may be possible to train local workers within a reasonable timeframe to meet project requirements. This may be more likely if such trained staff are needed afterwards for the operation and maintenance of the new infrastructure. Assess and manage labor influx risk based on appropriate instruments. The assessment and management of labor influx should be based on risks identified in the ESIA (if available), other Bank-required assessments, and the Bank’s sector -specific experience in the country. Depending on the risk factors and their level, appropriate mitigation instruments need to be developed. This may range from broad requirements set out in the ESMP in a low -risk environment, to the need to develop more specialized instruments, such as a site -specific Labor Influx Management Plan an d/or a Workers’ Camp Management Plan (or other 70 instruments with similar purpose) in a high-risk environment. Risk factors to consider include, but are not limited to, the following: (i) weak institutional capacity of the implementing agency; (ii) predominant presence of contractors without strong worker management and health and safety policies; (iii) anticipated high volumes of labor influx; (iv) pre-existing social conflicts or tensions; (v) weak local law enforcement, and (vi) prevalence of gender-based violence and social norms towards it in the community; (vii) local prevalence of child and forced labor. Incorporate social and environmental mitigation measures into the civil works contract. Most adverse impacts from labor influx can only be mitigated by the contractor commissioned by the Borrower to carry out the works. It is therefore paramount that the responsibilities for managing these adverse impacts are clearly reflected as a contractual obligation, with appropriate mechanisms for addressing non-compliance. This allows the Borrower to enforce the implementation of such mitigation measures, which are required to ensure the Borrower’s own compliance with Bank policy requirements. While th e Bank reviews and clears project-level safeguard instruments (such as ESIA/ESMP) it is the Borrower’s responsibility to: (i) ensure the safeguard instruments are reflected in the contractor’s ESMP (CESMP), and (ii) ensure the project is implemented in acc ordance with the CESMP, safeguard instruments and other relevant contractual provisions. Prior to commencement of the construction work, the contractor should submit to the supervising engineer the ESMP demonstrating that he/she has sufficient capacity to implement and monitor the safeguards through allocation of funds and technical capacity. The borrower will actively participate in the process of assessing the risks, preparation of documents and appraisal and support in the implementation. The World Bank will provide overall technical advisory guidance. 6.8 World Bank Policy on Disclosure of Information The World Bank, through its Disclosure Policy BP 17.50, requires that all safeguard documents be disclosed in the respective countries as well as at the Bank ’s Info shop prior to appraisal or for Fast Tracking Initiative prior to Signing of the Grant Agreement. The Bank recognizes the right to information and has information disclosure policies which generally contain the following elements: principles of disclosure; exceptions to disclosure; routine disclosure; and request driven disclosure. Disclosure of documents (including a summary of the project, and a summary of Environmental Assessment) should be in the local language, at a public place accessible to project-affected groups, local non-governmental organizations and other interested persons. In-country disclosure of information is the responsibility of the borrower, in this case of the project proponent through the steering committee or the individual institutions that will be implementing a project, in this case the DNAAS. Disclosure in the World Bank Site is the responsibility of the World Bank. Documents that need to be disclosed include: • Integrated Safeguards Data Sheet; • All Safeguard mitigation plans; • Environmental Assessment/ Environmental and Social Management Plan; • Pest Management Plan; • Resettlement Action Plan, Policy Framework or Process Framework. 71 All documents should be made available to stakeholders well in advance of consultations and all public consultations should be completed and draft or final documents should be disclosed prior to the project appraisal. In addition, all final documents, including the results of the consultations should be disclosed for the record. ‘ For the present ESMF document, information disclosure was initiated with the advertisement of the public participation meetings held in the targeted cities for the implementation of the Mozambique Urban Sanitation and Drainage Project. The meetings provided an opportunity for stakeholders to provide comments and useful inputs to be taken into consideration when planning and implementing the proposed project. As the EMSF has now been drafted, the disclosure process has been a continued interaction with stakeholders using contacts gathered during public meetings. E-mail contacts were used to inform stakeholders that the ESMF document has been drafted and it is available on the web and stakeholders shall be invited to provide further comments as needed. A public advert was released to most widely distributed and read newspaper in the country (see annex 12), to inform stakeholders of the availability of the ESMF document for review and comments. The Project proponent, led by the National Directorate for Water Supply and Sanitation (DNAAS), ensured the availability of the full ESMF in Portuguese in Maputo, as well as in all their provincial offices as well as to the Municipalities of the cities targeted by the project. 6.9 Safeguard Requirements for a CERC Component (Emergency Response Component) The proposed Mozambique Urban Sanitation Project includes Component 0, presented in this ESMF report as Component 5 . This Component allows funds to be used to finance recovery activities in an event of emergency. The activities have to be of the similar nature and complexity as those that would be supported by the funds, if no emergency event has occurred. In consideration of specific activities to be funded under the CERC component, as outlined in the Emergency Action Plan, the Bank will advise the Borrower on the following safeguards elements of the CERC: • The need to confirm which activities can be implemented on the basis of the provisions of the CERC ESMF, with no additional environmental or social assessment, and which activities would require an assessment, and the level of assessment required prior to its commencement; • The need to undertake a rapid assessment of the environmental and social baseline of the planned CERC activities and locations based on readily available information; • The determination of the sequencing and implementation plan for mobilization of technical assistance and funding to prepare any additional safeguard instruments, namely, environmental and social management plan, resettlement action plan as required; • The preparation of the safeguards instruments and carrying out their Bank review, • Revisions, clearance, and approval; • Consultations and disclosure to stakeholders; 72 • Establishment of roles and responsibilities for safeguards implementation and monitoring; • Estimating the costs for safeguards preparation and implementation. The Borrower is formally responsible for the preparation of safeguard instruments for CERC, with technical advice from the Bank. The additional cost of preparation of such instruments are included in the budget for emergency Action Plan. The sequence of environmental and social instruments, disclosed and consulted on, and how such instruments inform the technical design process, follow the general principle that all key technical decisions should be supported by an appropriate level of environmental and social information and due diligence. Consultations need to be undertaken when results from relevant social and environmental analysis are available to allow integration into final designs and tender documents. 73 Table 15: Activities that can and Cannot be Implemented on the Basis of the Provisions of the CERC ESMF with no Additional Environmental or Social Assessment Additional Env. and / or Type of Assessment / Areas of Intervention Activities Responsibility social assessment Strategy Education (i) Civil and hydraulic works for toilet upgrade No (ii) Features to provide privacy and comfort for the Local Acceptance Survey MHM, and access to people with disability, and Rehabilitation and Yes MISAU & Service Providers Communication and upgrade of school toilets Education Programmes (iii) Water supply connection and reservoir No (iv) Larger dividers between urinals and spaced sinks No Toilet maintenance Periodical toilets cleaning, disinfection and sanitization during COVID-19, and FSM services Provision No services MHM package for girls including the supply of re-usable Local Acceptance Survey Menstrual Hygiene pads and training; and Yes MISAU & Service Providers Management Communication and Education Programmes Supply of handwashing facilities and products for hygiene management, including liquid soap, alcohol- Improving handwashing based hand sanitizers, fresh paper towel, and garbage No containers. Health Provision of Personal protective Equipment No Prevention Contact tracing – Scale up in Maputo City and other No selected provinces Panic Communication and Management Communication Information, Education Management Programme Yes MISAU & Service Providers and Communication Communication materials and Services Biomedical Equipment and Case management Medical Equipment, Supplies, and Medicines Yes Waste Mgt Plan MISAU & Service Providers 74 Additional Env. and / or Type of Assessment / Areas of Intervention Activities Responsibility social assessment Strategy Biomedical Equipment and Laboratory Diagnostics Tests, Reagents and Consumables Yes Waste Mgt Plan MISAU & Service Providers Administration and Internal Transport, Distribution, Travel and Training No operating costs 75 7. GAPS IN MOZAMBICAN LEGISLATION AND IN THE WORLD BANK SAFEGUARD POLICIES One of the weaknesses in the past in the Mozambican legislation was related to the lack of clear and detailed procedures and norms for handling health, safety and security for both the local population of a particular project area and/ or the project workers. However, such gaps have since been covered by legislation as well as by the World Bank Group (WBG) Environmental Health and Safety (EHS) General Guidelines which are recommended to be used for the Mozambique Urban Sanitation and Drainage Project and related projects. This section provides an overview of the General Approach to the Management of EHS issues at the Facility or Project Level. The WBG EHS Guidelines are technical reference documents with general and industry- specific examples of Good International Industry Practice (GIIP) (https://www.ifc.org/wps/wcm/connect/e22c050048855ae0875cd76a6515bb18/Final%2B- %2BWater%2Band%2BSanitation.pdf?MOD=AJPERES). They should be referred to and used to guide issues related to providing guidance to users on EHS issues in specific industry sectors, and they should be used together with the safeguard policies. However, the application of the EHS Guidelines to existing facilities may involve the establishment of site-specific targets, with an appropriate timetable for achieving them. The applicability of the EHS Guidelines should be tailored to the hazards and risks established for each project on the basis of the results of an environmental assessment in which site-specific factors are taken into account. Effective management of environmental, health, and safety (EHS) issues entails the inclusion of EHS considerations into corporate-and facility-level business processes through the following steps: • Identifying project hazards and associated risks as early as possible; • Involving EHS professionals, who have the experience, competence, and training necessary to assess and manage EHS impacts and risks, and carry out specialized environmental management functions; • Understand the likelihood and magnitude of the risks; • Prioritizing risk management strategies with the objective of achieving an overall reduction of risk to human health and the environment; • Favoring strategies that eliminate the cause of the hazard at its source; • Incorporating engineering and management controls to reduce or minimize the possibility and magnitude of undesired consequences; • Preparing workers and nearby communities to respond to accidents; • Improving EHS performance through a combination of ongoing monitoring of facility performance and effective accountability. The following should be considered when assessing the potential risks related to health, safety and security: • Infrastructure and Equipment Safety; • Hazardous Materials Safety; • Environmental and Natural Resource Issues (such as floods/ landslides etc.); • Community Exposure to Disease (such as water-borne illnesses etc.); 76 • Emergency Preparedness and Response. The project proponent should assess the potential risks and impacts from project activities and inform affected local populations of significant potential hazards in a timely manner. It is also the responsibility of the project proponent to support and work with the project affected populations and the local government structures to respond to any arising emergencies. The World Bank has elaborated and put in place Environmental, Social, Health and Safety (ESHS) Enhancements for Standard Procurement Documents (SPDs) and Standard Bidding Documents (SBDs), with a new procurement framework which came into force in 2016 and 2017. The ESHS enhancements shall be applicable for all new works contracts for which the relevant SBD/SPD. The following is required of all new Frameworks bidders/ proposers/ contractors: • Each Employer is required to set out clearly the minimum expectations of ESHS performance from the outset, to ensure that all Bidders/Proposers are aware of the ESHS requirements; • Submit as part of their Bid/Proposal an ESHS Code of Conduct that will apply to their employees and sub-contractors, and details of how it will be enforced. The suitability of the Code of Conduct can be assessed and discussed as part of the Bid/Proposal evaluation and negotiations; • The successful Bidder/Proposer is required to implement the agreed Code of Conduct upon contract award; • Submit, as part of their Bid/Proposal, ESHS Management Strategies and Implementation Plans required to manage the key ESHS risks of the project; • The suitability of these strategies and plans can be assessed as part of the Bid/Proposal evaluation, and discussed during pre-contract discussions, as appropriate. These strategies and plans will become part of the Contractor’s Environmental and Social Management Plan (C-ESMP); • Particular Conditions of Contract now include provisions relating to the (C-ESMP), e.g.: o a requirement that the Contractor shall not commence any Works unless the Engineer is satisfied that appropriate measures are in place to address ESHS risks and impacts; o at a minimum, the Contractor shall apply the plans and ESHS Code of Conduct, submitted as part of the Bid/Proposal, from contract award onwards. • Provide an ESHS Performance Security (the sum of the two “demand” bank guarantees, normally not to exceed 10% of the contract price). The ESHS performance security is in the form of a “demand” bank guarantee.” The application of this provision is at the Borrower’s discretion. It is recommended for contracts where there is significant ESHS risks as advised by Social/Environmental specialist/s; • Demonstrate that they have suitably qualified ESHS specialists among their Key Personnel. Key Personnel must be named in the Bid/Proposal, and in the contract. The quality of the proposed Key Personnel (including ESHS specialists) will be assessed during the evaluation of Bids/Proposals. The Contractor shall require the Employer’s consent to substitute or replace any Key Personnel; • The Engineer may require the removal of Personnel if they undertake behavior which breaches the ESHS Code of Conduct, e.g. spreading communicable diseases, sexual harassment, gender-based violence, illicit activity, or crime; • Contracts now contain specific ESHS reporting requirements. These relate to: 77 o ESHS incidents requiring immediate notification; o ESHS metrics in regular progress reports. For the purposes of implementation of this ESMF, potential health, safety and security impacts associated with the project have been identified, and mitigation measures have been recommended in the subsequent sections based on the national legislation, the World Bank Group ESH Guidelines, and the recently approved ESHS provided by the World Bank. The table 16, summarize the main differences and similarities between Mozambican legislation and the World Bank's Safeguards Policies, especially in relation to the environmental assessment process, involuntary resettlement, health and safety, and waste management. Table 16 Gaps Between National and WB Regulations WB safeguards Gaps/Differences/Simi Issue Mozambique Legislation Requirements larities The EIA is required by the Under OP/BP 4.01, a full There are slight Environment Law Nº 20/97 of EIA is required for all differences between the October 7, 2007, and Decree projects screened as requirements of No 54/2015 of December 31 Category A. For Category B Mozambican legislation defines the procedures for the projects, an environmental and World Bank policies development of an EIA. The assessment is required, in relation to EIA decree classifies the usually less rigorous than a categorization, which projects into 4 categories: full EIA and often taking the will require a detailed Categories A+ and A where a form of an Environmental analysis of the sub- full EIA is required subject to Management Plan (EMP). projects to be financed review by independent Beyond screening, no further by the project. reviewers; Category B where ESMF/ESIA or ESMP or a full EIA is not required, but RPF/RAP action is required a Simplified Environmental for a Category “C” project Assessment (EAS) and and a project is classified as Project Environmental Management Category FI if it involves categorization Plan (EMP) preceded by investment of Bank funds preparation of Terms of through a financial Reference that are subject to intermediary. public consultation; and Category C, which does not require any assessment, being necessary only the Good Environmental Management Practices which need to be approved by MTA before an Environmental License is issues. For all categories, with the exception of category C, a public consultation is mandatory. Environmental The issuing of an OP/PD 4.01 requires the In both processes the License must be environmental license shall approval and disclosure of disclosure takes place provided by precede any other required EIA by the relevant before approval and MTA prior to license. government authority prior therefore any raised project 78 WB safeguards Gaps/Differences/Simi Issue Mozambique Legislation Requirements larities appraisal/imple to project concern is dealt with mentation appraisal/implementation. before project approval. Mozambique has not yet Mozambican legislation on prepared specific occupational health and safety The guidelines for OHS standards for combines provisions of provided under the WB management of noise Guidelines and different legal instruments Occupational, Health, and emissions for different standards for such as the Labor Law (Law Safety Guidelines should be industries. Therefore, Occupational no. 23/2007 of 1 August); applied for all subprojects to World Bank standards Health and Regulation of Environmental be financed under the Moz (IFC OHS guidelines Safety (OHS). Quality and Effluent Emission Urban and Sanitation and IFC Environmental, (Decree nº 18/2004 of 2 of project. Health and Safety June). guidelines) shall be applied. The wastewater management standards in Mozambique are provide for in the Regulation on Environmental Quality Standards and Emission of Pollutants (Decree no. 18/2004, of June 2), and the Regulation of Public Systems for Water Distribution and Wastewater Drainage (Decree-Law no. 30/2003 of 1 July) which establishes standards for parameters The following guidelines are associated with uses and considered in WB financed Both national legislation emissions and discharge. The projects: IFC General and WB standards are main objective of this decree Environmental, Health, and relevant and should be Wastewater is the protection of the Safety (EHS) Guidelines; applied in the management environment from urban and IFC, Environmental, Health, implementation of the industrial wastewater and Safety Guidelines - project activities, both discharges, through the Water and Sanitation; and for sanitation and establishment of criteria for IFC, Pollution Prevention drainage. collection, treatment and and Abatement Handbook. discharge of wastewater. The decree No. 8/2003 of 18 February, establishes the rules for the management of bio- medical waste with a view to safeguarding the health and safety of health facility workers, auxiliary workers and the general public and minimizing the impact of such waste on the environment 79 8. PUBLIC CONSULTATIONS Public consultations meetings were carried out between 30 th of July and the 6 th of August 2018, in four beneficiary provinces targeted for the Mozambique National Sanitation and Drainage project, namely in the capital cities of Nampula, Quelimane, Tete and Maputo City, with the objective of gathering public perceptions of the proposed activities. The consultation processes comprised two methods (i) consultations on a one-to-one basis with key stakeholders (officials from water supply and sanitation sectors, national organizations, NGOs, and technical staff from targeted provinces), and (ii) public meetings held in the aforementioned cities. Information on the purposed project and dates of the public consultation meetings was publicized in the Jornal Noticias, the most widely read newspaper in the country. DNAAS at national level and through the Provincial Directorate of Public Works, Housing and Water Resources, its branches at provincial level notified key institutions to attend the consultation meetings and as well as to take part in one-to-one interviews. A draft version of the ESMF and an executive summary were shared and made available to relevant stakeholders for review and comments. The objective of the consultation process was to gather general perceptions and views of all relevant stakeholders (project affected persons as well as interested persons) on the proposed project. The consultation process was carried out in conformity with the Mozambican legislation as well as the provisions of the World Bank. The consultation meetings aimed to identify and confirm conditions in the different cities’ contexts and determine specific impacts that would require to be addressed under the scope of the present ESMF. A detailed summary of the key issues raised and contributions from the public consultation meetings are presented in the Annex 14 and they are equally reflected in chapter 9 of the current document. Below are some issues that emerged from the consultation meetings. Box 2 : Issues Emerging from Consultation Meetings Table 17: Issues from Public Consultations Meetings • The promotion of latrines as stated in the ESMF may lead to contamination of ground water. The use of external collectors may be useful to prevent contamination of ground water, nevertheless, it important to discuss the possibility of using ecological sanitation to reduce the risk of ground water contamination; • The project is likely to exacerbate soil erosion especially given that contractors do not take care of pits opened after soil extraction for construction purposes. This is exacerbated by weak institutional capacity of MTA/SPA to effectively monitor the activities of the contractors during and after project implementation; • Social conflict arising from the prevailing notion among communities especially in areas away from Maputo that foreigners and Mozambicans from others cities are taking job opportunities that were meant for locals; • The project is likely to lead to pollution of coastal and river water if treatment of wastewaters is not effective; • The project may lead to damage of existing roads in the cities. In many instances’ construction trucks drop quantities of asphalt on existing roads which leads to damage of existing roads and accidents as the surface of roads becomes uneven; • International treaties on Zambezi Basin management should be revisited to ensure that the project comply with international legislation on international waters as well as the World Bank Policy on International Waterways. 80 Issues raised by participants during the public meeting, were used to support the consultant in identifying other project’s environmental and social impacts. For example, damage to existing roads by deposition of concrete from construction trucks is a real impact identified by participants, and such impact will be mitigated during construction and maintenance phase of the sanitation and drainage infrastructures. Due to the eruption of COVID-19 pandemic, the USP Component 5 was activated, for the rehabilitation and improvements of school toilets in Manica, Sofala, Tete and Zambezia provinces, as consequence, there is a need to update the USP ESMF, so that it will reflect specific emergency activities which will be undertaken, as well as its respective environmental and social risks, and measures for avoidance of the associated impacts to the risks, and / or mitigation and potentiation measures, therefore the following timeline were defined for public consultation for stakeholders hearing was defined: Table 18:Table 18: Chronogram for Updated ESMF Public Consultations N/o Activities Responsibility Date 1 Update of ESMF PIU 08/12/2020 2 World Bank NO to the ESMF World Bank 15/12/2020 3 Sharing the Updated ESMF with Stakeholders PIU 15/12/2020 4 Presentation of the ESMF to Multi Sector Sanitation Group PIU 15/12/2020 5 Collection, Systematization of stakeholder’s comments suggestions Stakeholders & PIU 21/12/2020 6 Press invitation to public consultation meeting PIU 23/12/2020 7 Public meeting PIU 11/01/2021 Invitation letters sent to stakeholders to revise and comment the 8 PIU 16/02/2021 updated ESMF 9 Submission of updated ESMF to World Bank NO PIU 15/03/2021 Due to the limitations imposed by the pandemic of COVID19, and in compliance with presidential decree number 2/2021 of February 4, which prohibits the public meetings in order to reduce the spread of Covid-19, the ESMF's process of public disclosure was canceled, however 12 invitation letters (annex 16) were sent to members of the Sanitation Multisectoral Group, Municipalities of Maputo, Tete, Beira, Quelimane and Nampula, all comments are addressed to the updated ESMF (annex 17 and 18). Additionally, the revised ESMF was released on AIAS Website to be accessed and commented by all PAP’s and interested parties using the following: http://www.aias.gov.mz/index.php?option=com_content&view=article&id=71&Itemid=279 The list of the invited stakeholder invited to revise the ESMF is: a) Ministry of Education and Human Development; b) Ministry of Gender and Social Action; c) FIPA d) AURA – IP; e) Maputo Municipality; f) Beira Municipality; g) Tete Municipality; h) Quelimane Municipality; i) SDC j) WaterAid k) Ministry of Land and Environment; l) Ministry of State Administration and Public Service; 81 m) Ministry of Health. 9. POTENTIAL SITES FOR WWTP AND FSTP IN THE PROJECT TARGETRD CITIES In the context of Project preparation DNAAS has identified potential sites for the location of Wastewater Treatment Plant (WWTP) and Fecal Sludge Treatment Plant (FSTP) in the project beneficiary municipalities, and a preliminary environmental and social assessment has been undertaken (site visit from February 28 to March 12, 2018). In the Municipality of Tete five proposed sites were analyzed, three sites located in the Francisco Manyanga neighborhood; one in the Mpadue neighborhood; and one in the Xingodzi neighborhood. Except for one of the sites located in the Francisco Manyanga neighborhood, all the other four sites have no buildings inside. One of the proposed sites is located in the Nhartanda Valley a fairly important area where are located the water catchment holes which supply the city. The actual risk of contamination of the Nhartanda Valley aquifer is considered high due to the existence of illegal wastewater discharges. For the site located in the Nhartanda Valley previous technical studies have already indicated that the technological solution to be adopted for the WWTP as well as for the FSTP should include specific measures to avoid potential contamination of the water table. The table below summarize the outputs of the preliminary environmental assessment developed for the proposed sites locations for the WWTP and FSTP in Tete. During project implementation, specific and detailed assessment have to be done for each of the proposed sites. The assessment was based on the following criteria’s: (i) sensitivity of the environment receiving the effluent (discharging in a sensitive ecosystem requires higher treatment levels) and complex environmental mitigation measures; (ii) presence of densely occupied residences in the close vicinity; (iii) presence of high-water table. Table 19: Preliminary Environmental Assessments Output's Presence of Water supply Proximity to Proximity of Proposed Sites protected separation distance flooding zone wetlands forest Tete Municipality Far from the known water It is considered Site 1 – F. holes, but located few prone to flood as it NO NO Manyanga meters from the banks of is located near the the Zambezi River. Zambezi River. Far from the known water It is considered Site 2 – F. holes, but located few prone to flood as it NO NO Manyanga meters from the banks of is located near the the Zambezi River. Zambezi River. It is in the Nhartanda valley; It is about 500 meters It is highly therefore it can be Site 3 – F. downstream of the water susceptible to considered NO Manyanga holes that supply the city. flooding. wetland and recharge of the aquifer. It is highly Far from the known water Site 4: Mpadue susceptible to NO NO holes, but located few flooding. 82 meters from the banks of the Zambezi River. Far from the known water Site 5: Chingodzi NO NO NO holes. While the above sites could be taken to be the potential sites for the proposed sanitation project, it is essential that a final decision be made in consideration of full feasibility studies undertaken by qualified engineers with a view to integrate engineering, environmental and social aspects of the sites in order to select the most viable alternative. 10.IMPACT ASSESSMENT AND MITIGATION MEASURES Although the project is classified as Category A given the nature of financed activities, it is expected that potential negative environmental and social impacts associated with the proposed Mozambique Sanitation and Drainage Project will be of localized and of short-term nature, and can be significantly minimized through adequate planning and a thorough implementation of the Environmental Management Plans by the Contractors responsible for the construction works envisaged in sanitation and drainage infrastructure project. This section highlights the potential impacts per sub-component and activity envisaged and provides recommendations for mitigation actions and measures. Sub-components 1 and 3 of the project focus on the reconstruction of the sanitation infrastructures, including sewer networks, drainage infrastructure, water treatment plants, household latrines and fecal sludge treatment facilities in the targeted cities; and the Rehabilitation of the existing Infulene Wastewater Treatment Plant, respectively. 10.1 Potential Positive Environmental and Socioeconomic Impacts • The project will have significant benefits particularly with regards to the improvement of health and wellbeing, especially in terms of the reduction of water-borne illnesses and diarrhea; • Cleaner and healthier cities; • Reduction in the potential for outbreaks of epidemic infectious diseases such as cholera and water contamination due to safe supply of water and improved sanitation in the target areas; • The introduction of complementary health and hygiene awareness campaigns targeted at women and children and including components on malaria, HIV-AIDS, and other diarrheal diseases will considerably enhance the benefits of the project; • Construction works (e.g. excavation for pipelines) will present temporary employment opportunities to local people (including women) and generate direct income benefits to local households; • The project will contribute to poverty reduction as well as to the improvement of socio- economic and health indicators of the increasing urban population in the country, as child deaths as a result of malnutrition, malaria, or other water and sanitation related illnesses. • Improved living conditions and health of population residing in target areas; • Reduction in localized floods resultant from poor drainage systems, and cleaner city. 83 10.2 Potential Adverse Environmental and Socioeconomic Impacts The table below summarizes potential negative environmental and socioeconomic impacts, including description of mitigation measures for each impact identified. Table 20: Summary of Potential Adverse Environmental and Socioeconomic Impacts Environmental/Social Preparation/Construction Issue Potential impacts Mitigation measures impact /operation phase The mitigation measures should include the avoidance or minimization of clearance of vegetation during preparation Soil erosion can be expected to result for rehabilitation and reconstruction works from earth-moving activities during in the targeted areas, to reduce chances of drainage construction works. Soil soil erosion and the damage of natural erosion is susceptible where habitats. This can be done by carrying out Soil erosion Construction phase vegetative cover is reduced and is works in areas that have already been exacerbated by rainfall with storm cleared, where infrastructure was existent water transporting large quantity of prior to the disaster/ emergency, or by exposed soils; minimizing clearing vegetation wherenew areas have been identified because it has been deemed that the existent ones are not appropriate. Environmental Following the completion of construction Clearance of a natural vegetation and work, vegetation should be established Clearance of natural vegetation Preparation phase disturbance of contained fauna and around structures so that bare soil is not direct pollution. exposed to erosive forces. Mitigation measures to reduce project impact on soil compaction should include: • Careful choice of equipment and The use of heavy machinery and machinery and should consider equipment may also result in soil size of the location/ area where compaction, changing surface and Soil compaction Construction phase works will be carried out. ground water flows and adversely affecting future use for agriculture, • Implement appropriate soil among other land uses. erosion control measures such as minimizing run-off and scheduling to avoid heavy rainfall periods if possible. 84 Environmental/Social Preparation/Construction Issue Potential impacts Mitigation measures impact /operation phase Prohibit the use of drainage systems as Contamination of ground and surface dumping areas, direct contractors to use water as a result of chemicals (oils, equipment which are in good condition fuels and lubricants from machinery and that during use oil tankers to be limited and vehicles working on site, remains to highways/main roads only (to avoid any Contamination of ground and Construction and operation of paints, etc.) particularly on sites possible oil leakages). surface water phases located near waterways. Guidelines and procedures on cleaning oil/ The promotion of latrines as envisaged fuel/ chemical leaks should be made in the project, is equally likely to available. contaminate ground water The use of external collector system should be promoted Construction or rehabilitation of Increase dust, noise, vibration, water damaged infrastructure Construction and operation pollution, solid/hazardous/ including, but not limited to, phases Toxic wastes, waste oil/fuels, public toilet’s at schools and sanitation health and safety; systems. Setting-up of semi-permanent work Ensure availability of adequate sanitary Construction and operation sites may cause negative impacts due facilities for the construction workers Accumulation of solid waste phases to accumulation of solid waste, and close the working sites, to avoid disposal of human waste; contamination of water and soils from Disposal to medical wastes (at Increase health risks, need human waste in the area of work and camp site, small Construction and Operation management of medical waste, toxic surrounding areas. clinic/hospitals), materials, Phase materials, asbestos-contaminatedAvoid reconstruction works and work site waste other toxic/hazardous wastes debris disposals close to waterways to ensure the Increase dust, noise, vibration, water protection of water resources. pollution, solid/hazardous/ Construction/rehabilitation of Construction and Operation Toxic wastes, waste oil/fuels, public schools, clinics, hospitals; Phase health and safety; possible use of asbestos-contaminated as construction materials and land acquisition; Construction works may destroy the Destruction of habitat of Reduce actions that may pose threat to habitat of species including threatened endangered plants and other Construction phase endangered plants and other species. and endangered plants or other species Restoring impacted environments. species. Increased mosquitos’ breeding Construction and operation Hydrologic changes, resulting from Distribute mosquito nets to project sites phases the construction of drainage systems workers who remain on-site as well as to 85 Environmental/Social Preparation/Construction Issue Potential impacts Mitigation measures impact /operation phase can lead to significant increase in local communities in surrounding areas of mosquito breeding sites. the project sites. Outbreaks of malaria, urinary infections and water-borne illnesses should be monitored. Prevention of larval and adult propagation through sanitary improvements and elimination of breeding habitats close to human settlements. Potential to deplete water resources due to construction activities which Management of water and identification of require water inputs for mixing, alternative sources of water required for Depleting of water resources Construction phase cleaning, dust reduction and water for different purposes during construction drinking or other purposes for phase. construction workers. The project is likely to destroy Avoid or minimize clearing of vegetation vegetation with subsequent loss of during preparation for rehabilitation and some trees, shrubs and grasses from reconstruction works. Loss of vegetation Construction phase the areas of construction. This should Vegetation should be established around be minimized or avoided where structures so that bare soils are not exposed possible. to erosive forces Watering surfaces to reduce dust and The emissions of gases in the project reduce usage of chemicals; areas may increase as a result of the Reduction of speed limits and/ or access to exhaust pipes for vehicles and roads that lead to the project areas; Emission of gases Construction phase machinery used in the construction Ensure regular maintenance of vehicles works. Dust pollution is equally and equipment used on sites; and expected to increase in the project Minimizing dust from material handling areas during construction periods. sources, such as conveyors and bins, by using covers and/or control equipment. Concrete spillage from construction Trucks transporting concrete mixers shall trucks usually lead to damage in the be examined to ensure that no concrete Accidental spillages of concrete aspects of the municipal roads. This spillage occur on access roads. The causing damage to municipal Construction phase impact is likely to occur during the Environmental site Officer will be roads construction phase of sanitation and required to monitor concrete spillages on drainage infrastructures. roads. 86 Environmental/Social Preparation/Construction Issue Potential impacts Mitigation measures impact /operation phase Fecal sludge deposited temporarily or All temporary and permanent fecal sludge Soils and groundwater permanently may cause leakage deposition shall be undertaken in lined and Operation phase contamination leading to contamination of soils and bounded locations to prevent soils and groundwater groundwater contamination with leachate. Overflow of septic tanks likely to occur as a result of failure in the Entities responsible for managing the maintenance system. Delay on sanitation system need to have adequate Septic Tanks Overflow Operation phase collection will overflow of sewerage training of staff, and clear operation to the open environment, thus manual to anticipate the issue of overflow affecting the surroundings including of septic tanks. soils, surface and groundwater. Odor may be emitted from temporary Adequate management and maintenance and permanent fecal sludge Odor and dust emission Operation phase of fecal sludge is required to minimize deposition, causing nuisance to the nuisance. communities in the proximity. Traffic increase during the optimal Accidents as a result of traffic fecal sludge and waste water Operation phase Risk assessment should be undertaken to increase collection may increase, leading to increased accidents. Environmental pollution may result A management structure for the sanitation from sewer leaks which may affect the Environmental pollution system shall be clearly defined to ensure Operation phase surrounding areas as well as causing resulting from sewer leaks that infrastructure are properly maintained nuisance to the communities in the and minimize Environmental pollution. vicinities Mosquitoes and flies may multiply in Timely maintenance of drainage and all wet environment created by sewer Proliferation of disease vectors sanitation infrastructure is essential to Operation phase leaks and unmaintained septic tanks as (flies and mosquitões) minimize the proliferation of disease well as open drainage channels. vectors. Children and adults can be exposed to drowning in open storm water Safety issues along open Community sensitization shall be planned channels built in cities. This occurs drainage channels – drowning of Operation phase to highlight the risks of potential drowning mostly during the peak of the rain children and adults of children and adults in open channels. season in channels built without fall protection in communities 87 Environmental/Social Preparation/Construction Issue Potential impacts Mitigation measures impact /operation phase Open channels in urban areas are Sensitization of the communities living in usually used as solid waste dump by Proliferation of solid waste in the vicinities of the channels to raise their unaware members of communities. open storm water drainage Operation phase awareness with regards to risks associated This creates nuisance and impede the channels to damping urban waste into the open effective functioning of the open storm water drainage channels. storm water drainage channels Sensitization of the communities living in Raw sewerage pipes from households’ the vicinities of the storm water drainage Contamination of storm water latrines may be continuously Operation phase channels to raise their awareness on the drainage with raw sewerage discharging into the storm water health implications associated to drainage channel discharging raw sewerage into channels. Contractors can minimize this risk by As a result of labor influx to the recruiting local labor. Training of local project area, crime such as theft, labor to provide them with skills needed Increased risk of illicit behavior physical assaults, human trafficking for the project would has multiple benefits Construction phase and crime are likely to occur, particularly when which include minimizing influx of local Law enforcement is unprepared workers t project area as well as equipping for increased influx of people. local labor with new skills that would help them become employed. Additional population tends to follow the workers with an intent to gaining income through provision of either goods or services to workers. Some Socioeconomic could be family members of the workers who add to the labor influx as a result of the project. These people Location of camps away from major add pressure to local social goods and Influx of additional population population settlement points; adopt of Construction phase services (education and health (followers) code of conduct which limit access to services), as well as increasing construction camps to workers only. pressure on the harvesting of natural resources (timber and charcoal harvesting), price hikes and shortage of supplies. Some engage in sex work, resulting in increased social conflicts and increase incommunicable diseases. 88 Environmental/Social Preparation/Construction Issue Potential impacts Mitigation measures impact /operation phase Young male workers tend to be predominant in construction sites, and they may engage in inappropriate The Contractor shall adopt a code of social behaviors including harassment conduct which among others, discourage Increase in gender-based of women and girls, exploitative any form of sexual harassment, human Construction phase violence sexual relations, and illicit sexual trafficking and which promotes respect relations with minors from the local and acceptable behavior between project communities, and in some cases workers and local communities. human trafficking where women and girls may be forced into sex work. New projects may increase demand of The project Management and the goods and services and very often lead Contractor should discourage any form of families to encourage children to child labor in the project area. The Project Child labor Construction phase engage in selling of products in the Manager should adopt a code of conduct proximities of the work fronts, leading which discourages child labor in and to increased number of school ensure that all workers and members of dropouts. communities are aware. The Project management should anticipate any traffic-related issues by engaging local traffic management. Appropriate speed limits for projects’ tracks transporting Project vehicles and equipment used materials must be imposed, and road Traffic Increase Construction phase for construction will add traffic and signage must be enhanced to signal may lead to accidents ongoing construction activity Members of communities must be warned about the risks associated to traffic increase as a result of the construction works. Considering the specific rights, needs, and vulnerabilities of women, orphans and Social conflicts resulting from land marginalized people in relation to natural uptake as may be required for the resources during recovery, and promote construction works, impacting Social conflicts Construction phase equitable access to recovery. particularly the vulnerable including Ensure that vulnerable groups are targeted households headed by women and/ or and involved during recovery and children. reconstruction interventions, where possible approaches such as food for work 89 Environmental/Social Preparation/Construction Issue Potential impacts Mitigation measures impact /operation phase may be employed for activities that do not require special skills. Apply machinery that are less prone to Noise pollution given the noise. Noise pollution Construction phase reconstruction works, as a result of Establish working hour limits that do not operating machinery and equipment. interfere with the wellbeing of communities in the area. • Conduct information sharing and awareness campaigns on the causes and Increase in HIV/AIDS rates as a Increase in HIV rates Construction phase result of workers coming from other preventative measures of HIV/AIDS, tuberculosis and other epidemics for areas of the country; reconstruction workers, suppliers as well as local communities. • Ensure hygiene and security measures are respected in work sites to reduce risks of work-related accidents. • Ensure availability of adequate sanitary facilities for the construction workers • Possibility of work-related accidents close the working sites, to avoid Work-related accidents • Construction and operation where health, safety and hygiene contamination of water and soils from phases measures are not put in place, and human waste which may have adverse monitored closely. impacts on the health of workers and population of the surrounding areas. • Include other support measures such as safe water points, storage facilities, electricity etc. for project site workers. • Highly recommended to hire local workers In terms of local employment, thenon- wherever possible. This will increase the use of local resident workforce during level of acceptance for the project by the Construction and operation the rehabilitation and construction of Frustration of local communities local populations. phases the infrastructures could cause some • Priority be given to local construction frustrations at the local level (and could lead to social conflicts). firms with knowledge of the local social norms • Destruction of cultural and heritage • Destruction of cultural and heritage sites Destruction of cultural and • Construction phases sites as a result of the project activities. should be completely avoided. The project heritage sites • proponents should determine whether the 90 Environmental/Social Preparation/Construction Issue Potential impacts Mitigation measures impact /operation phase proposed project locations are in areas where cultural heritage is expected to be found either during construction or operation. The Chance Find Procedure is to be used for any cultural heritage site or material that is subsequently encountered during construction works. Where these are not related to conservation areas or heritage, the ESMF should provide guidance on the transfer of this sites and compensation for the affected populations. • • The RPF should provide guidance on the mechanism and tools that should be employed to address the potential scope of resettlement and land acquisition, where involuntary resettlement is necessary. This includes the establishment of clear communication channels between the project and the PAPs to convey and report • Acquisition of land may be required potential social conflicts. The Grievance • Preparation Involuntary resettlement of local and for rehabilitation or reconstruction Redress Mechanism (GRM) is communities construction phases works, which may lead to involuntary recommended to be used to deal with resettlement of local communities. potential grievances and dissatisfaction raised by the PAPs in relation to the project. In Mozambique, the mechanism raising grievances is usually as follows: i) issue raised firstly to the village chief or village head; ii) then to the Head of Post; iii) to Consultative Council; iv) to the District Administrator and finally; v) to court. 91 Environmental/Social Preparation/Construction Issue Potential impacts Mitigation measures impact /operation phase • Availability of fire extinguishing equipment and/or fire alarm systems and • Fire outbreaks in project areas as a appropriate storage areas for chemicals, Fire outbreaks • Construction and operation result of exposure of flammable hazardous and flammable materials to phases materials during reconstruction works. reduce risks. • Proper storage of dangerous chemical products at the Project sites. 92 11. ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN (ESMP) The purpose of the Environmental Management Plan (ESMP) in this section is to ensure effective and optimal environmental and social management of the projects. The ESMP provides the relevant subcomponents of the project; the potential negative environmental and social impacts; proposed mitigation measures; and defines responsibilities for the implementation and monitoring of the measures. Table 21: Environmental and Social Management Plan Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures SOCIAL IMPACTS • Design and size adequate drainage systems Accumulation of water according to recognized methods; When Designer Engineer Project Owner with undesirable flooding • Improve, detail topographic surveys. necessary Job Generation • Establish guidelines with contracted companies to Project Owner / use preferably local labor and raw materials; Contractor Ministry of Continuously Expectations Labor Increase in generation of • As it can be taken to potentiate this positive impact Project Owner / Project design/Field direct and indirect Jobs is the hiring of local labor of Direct and Indirect Contractor Ministry of Continuously study/Project Influence. Labor dissemination Project owner/ Economics Improvement • Increase of demand for services and business Contractor • Contract during environmental assessment a Ministry of Interference in historical, qualified consultancy for the execution of the Land, archaeological and preliminary archaeological survey and the rescue, if Project Owner/ Environment necessary, in the area of the project, with the Contractor cultural heritage and Rural objective of identifying and obtaining pertinent Development permissions (if applicable), 93 Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures • Advise the workers on the possible archaeological artefacts and on the procedures to be adopted if they Interference in historical, are discovered; Resident When archaeological and • Immediately paralyze the works in the case of the Contractor Engineer necessary cultural heritage discovery of archaeological artefacts and communicate the occurrence to the environmental site officer • Works that generate loud noises and disturb or may disturb the local populations must be carried out with Construction Phase dampening equipment, or less noisy equipment; In the case of fetid odors, as a corrective measure, odor control techniques can be performed by following Disturbance of the local procedures: 1) Wash columns; 2) adsorption Resident population columns; 3) Bio filters; 4) Thermal oxidation and 5) Contractor Engineer Continuously Application of chemicals in the collecting network; • Establish a channel of dialogue and continuous understanding with the local population, in order to ascertain and correct possible operational problems of water and sewage systems that reflect in disturbance; • Install the systems exactly in accordance with the Project approved by the Environmental Licensing Body, so that all mitigation measures to the approved Promotion of health, environmental impacts are put into practice, so that well-being and social the benefits to be generated do not become environmental and health damages; Municipal Municipal Operation Phase justice / Social Continuously Authorities Authorities development and • Carry out campaigns always seeking partnerships Economic encouraging good personal and collective hygiene; • Adopt good environmental and sanitary practices, and combat potential sources of disease transmission, especially infectious diseases; 94 Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures • Leaks and floods - Isolate, drain, clean and recover areas and equipment due to leaks in pipelines and connections; Operation and Maintenance of • Leaks and floods - Perform preventive and predictive Municipal Municipal Sanitation Systems maintenance in order to avoid leaks in old and worn Continuously pipelines and connections; Authorities Authorities (problems in the operation of SAAs) • Damage to public property - Restoration of interrupted connections and possible public equipment damaged by eventual problems in water supply systems equipment; ENVIRONMENTAL IMPACTS FLORA AND FAUNA • Guide employees in relation to wildlife protection to avoid hunting or catching animals and not killing any animal unnecessarily; • During the construction, the traffic of vehicles involved in the works during the night (22-7h) must be avoided in order to avoid trampling of wild animals; Construction Phase Loss of natural resources (Fauna, flora) • During the construction, noisy work should be Contractor Resident Engineer Continuously avoided during the night (22-7h) in order to avoid disturbance of wildlife; • Protect tree formations and denser vegetation, so as to preserve the habitats of native species; • Carry out the planting of native species, according to the guidelines of the environmental impact assessment and the respective environmental management plan approved by the environmental 95 Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures licensor, in order to compensate for the loss of flora during the works; • Avoid construction in areas where there is abundant animal life and environmentally protected areas such as Permanent Preservation Areas, Areas of Fragility / Environmental Sensitivity and Conservation; • Area should be initially cleaned with the removal of the first organic layer and leveled through earthworks (cutting and landfill); • Elaborate and carry out an environmental education program with worker-oriented campaigns emphasizing the importance of the environmental preservation of the adjacent area of the project. Instability of slopes • Develop the landscaping in an integrated way, Resident When promoting the delimitation of the movement of earth Contractor Engineer necessary and compaction to avoid instability of the slopes. • Design and scale according to known methods of Interruption or diversion water drainage system through drainage ditches throughout the extension of the property boundary, Contractor Resident When of the natural flow of seeking to order the natural water so that the soil can Engineer necessary water resources gradually absorb the flow. The concern of mitigating action is in not disrupting the natural flow of water. • Design and scale according to known methods of Clogging (silting) of the water drainage system; Resident When drainage system • Use geotextile blankets to protect the drainage ditch Contractor Engineer necessary with compatible vegetation cover with floodable areas. 96 Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures • In order to contain pluvial erosions, specific water diversion pathways must be designed and also to avoid floods; • Avoid actions on areas subject to the initiation of erosive processes; • Contain the development of erosive processes in order to avoid soil loss; • Avoid using heavy machinery and restricting activities to the limits set by the executive project; • Technical control of earthworks; Alteration of soil quality/Loss of • The earthy materials (sand, clay etc.) handled during Resident soil/erosion and the excavations should be used to fill the ditches and Contractor Engineer Continuously compaction topographical regularization of the land; • Avoid spillage of combustible materials and promote preventive maintenance of machinery, vehicles and equipment to prevent oil, fuel or grease spill etc.; • Avoid leaving humid sludge from water treatment station and effluents treatment station in soil. In the absence of adequate structure, type of drainage or centrifuge, etc., it is necessary to isolate the soil with impermeable material and then lay the sludge on top, waiting to dry it; • Do not dispose of sanitary effluent in the soil without due treatment and authorization 97 Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures • Ensure the stability of earthy and similar materials in storage situations so that they do not reach the bodies of water; • Provide chemical toilets or equivalent equipment to areas away from the campsite; • Provide waste storage places and promote the separation of generated solid waste; • Construction/assembly containment barriers if works are close to water (rivers, etc.); • Ensure the stability of the banks of water bodies in adjacent areas close to the works of the sanitation projects; Alteration of surface and • Prepare and execute Plan for the monitoring of groundwater quality surface and underground water bodies throughout the construction phase; • In the event that pollution is detected resulting from the works, they must be interrupted to initiate actions for containment and remediation of pollution; • Avoid spillage of combustible materials and promote preventive maintenance of machinery, vehicles and equipment to prevent oil, fuel or grease spill etc.; • Ensure a minimum distance of 30 meters between a water well and the sump and sink system (if applicable); • Install a sanitary sewage system suitable for the construction site and that it be previously approved by the project Owner; 98 Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures • Protect perennial or intermittent water springs and water courses; • Preserve natural waterways and install appropriate structures for diversion and controlled conduction of rainwater; • Do not dispose of sanitary effluent in the soil without due treatment and authorization. Any effluent discharge to the environment should be preceded by adequate treatment and should be in line with the Environmental Quality Standards and Emission of Pollutants (Decree no. 18/2004, of June 2), which establish standards for parameters associated with effluent discharge. • Work must comply with a maximum working time of up to 8 hours; • The equipment used during the works (vehicles and machines), should be regulated in order to avoid abusive gases according to the Decree 67-2010 of December 31 - Regulation on Air Quality Standards; Air pollution - Increased • Continuous maintenance and adjustment of machinery and equipment; Resident levels of noise, vibration, Contractor Continuously soot and dust. • Humidification of the ground in the hours of greater Engineer flow of vehicles and in the hotter hours of the day; • Keep the buckets of the vehicles covered during the transport of material and regulation of the discharges of the combustion system of the working vehicles; • Apply constructive practices and equipment that generate less noise or reduce noise in order to avoid or minimize inconvenience to the local population; 99 Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures • Avoid cleaning or deforesting the area with fire; • Do not burn any kind of solid waste. • The solid waste generated must be controlled following the principles of reduction of production, reuse and recycling; • Waste from the work must be classified according to the Work waste will be classified according to Mozambican Standard NM339 - Solid waste; • Avoid situations of shelter for dangerous animals (snakes, scorpions etc.) in the areas of disposal of debris; Resident Solid waste generation • Avoid leaving leftover building materials on the Contractor Engineer Continuously grounds or dispose of them in any way (without control); • Solid waste generated must be collected, separated, duly conditioned and stored, for subsequent shipment to the final destination according to the NM339; • A final waste disposal contract should be carried out with companies licensed by MTA or Municipal Authorities • Provide educational incentives, showing the Increased flow of large- importance of using safety, as well as alert the Scale Vehicles behavior of the driver of the vehicle to a defensive Resident (receiving / vision when driving the vehicle on public roads; Contractor Engineer/Safety Continuously distributing material) • Determine entry and exit multiple access ways with Staff ample parking lots so vehicles are removed from the public circulation. 100 Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures • Provide retention basins with a capacity greater than Resident Use of chemical and the product stored; Contractor Engineer/Safety Continuously Hazardous Products • Train all workers involved in the handling of Staff hazardous and chemical products. HEALTH AND SAFETY OF WORKERS • Provide individual protection equipment and Collective protection equipment’s to all employees and third parties who perform construction and maintenance activities in the systems, in order to reduce risks from the work environment; • Immediately correct / remedy operational problems that may cause harm to the health and well-being of employees and people in communities close to the systems; Hazard to health and Construction/ safety, accidents to • Develop specific and integrated risk analysis for Resident employees and third sanitation systems in which the potential risks of Contractor Continuously Operation Phase Engineer parties, labor influx accidents and other forms of damage to the physical impacts and mental health of employees and third parties; • Establish vaccination program and provide medical care for employees; • Train workers on accident prevention and fire- fighting techniques; • Establish guidelines and rules for first aid and transportation of injured persons; • Install information boards, warning stands and warning and safety signs during maintenance and 101 Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures special operations, especially in places that offer accidents to employees and third parties; • Install protective fences and / or bulkheads in locations that expose workers or others to the risk of accidents. • Raise awareness amongst the local communities to avoid dumping solid waste within open drainage channels • Raise awareness amongst local communities living in the vicinities of the open drainage channels to avoid discharging raw sewerage into the open channels • Ensure maintenance of drainage and sanitation infrastructures to minimize the proliferation of disease vectors including mosquitoes and flies. • Ensure that fecal sludge is deposited in bounded location to avoid contamination of soils and groundwater with leachate; • Raise awareness on communities to avoid engaging in child labor; • Contractor to ensure preparation and dissemination of code of conduct with regards to Contractors’ Staff behavior at communities – specifically to not engage on: o Sex exploitation and human trafficking, o Crime including theft; o Gender based violence including sexual exploitation of women and children. • Law enforcement at local level to review practices to accommodate the need to deal with labor influx at project areas; 102 Responsibility Environmental/ Social Timeframe/ Project Activity Mitigation Measures Implementation of Monitoring of Impact Periodicity measures measures • Contractor to high and train local labor to minimize labor influx and contribute to training of skilled labor; • Consider employment of women so that at least 5% of labor force is composed of women. • Ensure adequate toilets facilities are in place and are built separately for man and women; • Make provisions for a dedicated health facility for workers to minimize demand on local health services; • Ensure traffic management to minimize accidents to workers and members of the local communities. • Provision of dedicated, safe transport for workers, to minimize pressure on the existing local transport and avoid accidents; • Organize stakeholders’ engagement meetings on regular basis to inform the public on how the project complies with the ESMP, and gather inputs or concerns from the stakeholders. 103 12. ENVIRONMENTAL AND SOCIAL SCREENING PROCESS The screening process described in this section is aimed at determining which activities (reconstruction/rehabilitation/installation works) are likely to result in significant negative environmental and social effects with a view to determine appropriate impact mitigation measures for those activities, and ensure environmental sustainability of sub-projects undertaken in the Project areas, through effective monitoring of impacts during the construction/rehabilitation phase of works in the cities. The outcome of the screening process will determine the extent of environmental considerations required preceding the carrying out of activities of the Project related to construction and rehabilitation works. For the purpose of the reconstruction/rehabilitation/ installation works, the MTA Environmental Screening Form, derived from Decree 54/2015 of December 31 which regulates the environmental impact assessment process (Annex 3) has been considered. However, the form does not fully address some of the key environmental and social effects likely to result from the proposed activities. Thus, an Environmental and Social Screening Form (Annex 4), based on the Screening Form provided by Decree 54/2015, has been elaborated to support environmental and social decision-making of the proposed works. The form is also designed to be used by the persons involved in the implementation of the program, reviewers and relevant decision makers, in order to identify mitigation measures for the activities likely to have adverse environmental and social effects and identify the need for advanced environmental assessment. The screening process for this project consist of four steps i) review of environmental and social impacts checklist for projects; ii) screening of impacts from the sub-components and sites; iii) assignment of environmental categories; and iv) preparation, review and approval of an Environmental Action Plan. The screening process will be carried out using a screening form to be attached to this ESMF. The already established safeguards specialist team in the implementation units will be responsible for carrying out the environmental and social screening. The Steps can be summarized as follows: Step 1 - Screening of Sites The Safeguards Specialists of the project implementation units or sub-components should conduct a desktop study aimed at appraising the project’s plans and activities. The team will be trained by the Provincial Environmental Services (SPA) on the identification of basic environmental and social issues associated with development projects. Each safeguards team shall work in coordination with the other members of the implementation unit (including the DNAAS) to determine the likelihood of the project to cause negative environmental and social impacts. The team should conduct a site visit with a view to verify the site conditions and determine what the potential environmental and social impacts associated with the activities to be implemented. Step 2 - Review of environmental and social impacts checklist for projects 104 The Safeguards Specialist team will make use of the environmental and social checklist15 annexed to this ESMF (Annex 4), which will be filled out for each of the project sub- components and by their respective teams. This activity will take place in parallel to the preparation of plans and drawings of the proposed construction/rehabilitation works under each of the sub-components of Component 1 and 3 of the Mozambique Sanitation and Drainage Project. Where the checklist identifies the need for acquisition of land, a Resettlement Action Plan (RAP) should be prepared by qualified personnel in line with the OP 4.12 for Involuntary Resettlements and taking into account the Ministry Diploma 181/2010 of November 3, associated with the Decree 31/2012 on the Resettlement Process as a result of Economic Activities, and taking into account the Resettlement Policy Framework prepared in parallel to this ESMF. If the results of the environmental and social screening process indicate the need for environmental impact assessments (EIA’s) as a result of the complexity of the proposed reconstruction/rehabilitation activities, EIA’s will be carried out by an authorized consultancy firm, in line with the Decree 45/2004 (and its update as per the Decree 54/2015 of December 31) on Regulations for Environmental Impact Assessment Processes administered by MTA, and in consideration of the Bank’s OP 4.01 for Environmental Impact Assessments. This ESMF includes a simple Environmental and Social Management Plan to be detailed further and used by the project implementation unit. Step 3 – Assignment of Environment Categories The identification and attribution of a category for each sub-component should be preceded by filling out the proposed Environmental and Social Screening Form (Annex 3) and the information gathered in this form will be used to assign the appropriate environmental category A+, A, B or C as described below. The criteria for categorization of the proposed rehabilitation/reconstruction works under this ESMF are based on the World Bank ’s OP 4.01 for Environmental Assessment and the Mozambican EIA regulations as per the newly approved Decree 54/2015. The environmental categorization of activities will be carried by the Safeguards Specialist team, under the auspices of the project implementation unit and taking into consideration the criteria below: • Category A+: activities requiring an Environmental Impact Assessment and reports subject to independent review by experts with recognized experience; • Category A: activities requiring an Environmental Impact Assessment; • Category B: activities requiring an Environmental Impact Assessment (EIA) or/and an Environmental Management Plan (EMP) preceded by preparation of Terms of Reference that are subject to public consultation meeting; • Category C: activities that are exempt from detailed environmental impact assessment, but which shall be implemented in observance of environmental management best practices. 15 This checklist was taken from Decree 54/2015 of December 31, Annex VI and should be used as provided by the law. 105 Subprojects classified as Category A+ or A, will require a Full ESIA, while Category B requires a Simplified ESIA and/or an ESMP. All Categories of subprojects will require the application of the WB EHS Guidelines (general and specific). The Mozambique Sanitation and Drainage Project was classified as category A type. Most activities under components 1 and 3 given the nature of the foreseen works fall under Category A, combined with the extent of the construction and rehabilitation activities, as they have the potential of causing significant adverse impacts that are sensitive, diverse, and unprecedented. Category A or B projects will subject to a full Environmental and Social Impact Assessment. The project proponent will be required to fill the environmental and social screening forms of the proposed construction/rehabilitation/installation works, propose adequate environmental classification of the activities, and communicate the results of the screening to the WBG and MTA for final decision-making. Activities categorized as Category A require the following: • Appoint a government-registered environmental consultant; • Work with the environment consultant to develop an EPDA, (based on articles 10 and 11 of the Environmental Impact Assessment Process Regulation); • Work with the environment consultant to develop ToR’s (based on articles 10 and 11 of the Environmental Impact Assessment Process Regulation) for the consultants to undertake the full EIA; • Submit the required number of copies of the EPDA and ToR’s defined in the written response to the pre-assessment to the relevant department. Step 4 - Preparation, Review and Approval of Environmental Action Plan The environmental and social screening forms and the EIA reports should be submitted to MTA for review and decision-making. In summary, MTA will be responsible for the following: • Review of the results and recommendations submitted by the Safeguards Specialist in accordance with the environmental and social screening form (Annex 4); • Review of the proposed mitigation measures presented in the Environmental and Social Checklist (Annex 5); • Review the results of the conducted EIAs and ESMP to determine and ensure that all relevant environmental and social issues have been properly addressed, and relevant mitigation measures have been put in place for the proposed reconstruction and rehabilitation works. The EIA report should contain three sets of documents: • Non-technical summary; • Main report including annexes (including environmental management plan); • Public consultation report. In the case of approval of an EIA Report, an Environmental License in line with the requirements of the Decree 54/2015 on Regulations for Environmental Impact Assessment 106 Process shall be issued. The approval should also include information on how the findings of the EIA Report were used to make the final decision, and the municipalities and the project implementation unit will be informed (in writing) and the construction/rehabilitation works can begin. Public Consultation and Disclosure The EIA Regulations for Environmental Impact Assessment Process (Decree 54/2015) and the Ministerial Diploma 130/2006, as described in this document stipulate that public consultation is an integral part of the EIA process and should be considered throughout the project cycle, and should include all relevant bodies, the Project Affected Persons (PAP’s) and interested persons. The public consultation process should include: • One or more public (members of the community, government and non-government entities and other stakeholders) meetings with a view to present the proposed activities, and gather public views, concerns and expectations regarding the proposed project; • Register all the issues raised and ensure that communication channels between the public and the project team are established with a view to gather public perception regarding the proposed project. Public meetings must be preceded by a public announcement which clearly states where the meetings will be held, the date, and such notice must be publicized though the most circulated newspaper or the most used communication channel (e.g. radio, TV, newspaper) 15 days before the meeting date. In certain cases, members of the public may require basic information about the project prior to the meeting date, to allow for active participation during the public meetings. Public consultation should contribute to the elaboration of the scoping report by identifying the key issues which should be addressed in detail during the environmental assessment of the project’s activities. The results of consultations should be included into the EIA Report and it should be explicitly stated how these results have been used in the scoping report and in making the final decision of the EIA Report. For the Mozambique Sanitation and Drainage Project, it is proposed that public consultation should be carried out throughout all phases of the project cycle. A stakeholder engagement plan should be developed as part of the project implementation. The plan should provide for ensuring transparency and access to information relating to project activities. Specifically, the stakeholder engagement plan should provide for mechanisms of project information disclosure, consultation meetings, internal and external communication, grievance redress, monitoring and reporting. Subprojects classified as Category A+ or A will require at least 2 rounds of public participation meetings with one held during the drafting of the ToR’s and the other during the preparation of the ESMP. For subprojects classified as B, at least one public participation meeting will be required during the preparation of the Terms of Reference for the Simplified Environmental and Social Report. Table 22: Responsibility for Implementing Screening Process Screening phase Responsibility Review of checklist Safeguards Specialists/ the project implementation unit (DNAAS) Site screening Safeguards Specialists/ the project implementation unit (DNAAS) Categorization Safeguards Specialists/ the project implementation unit (DNAAS) 107 Screening phase Responsibility Review and Approval MTA/SPA Technical Assessment Committee Safeguards Specialists/ the project implementation unit (DNAAS;) The project implementation unit will draft the EIA ToR ’s, and prepare Selection of the consultant in case of criteria for hiring an authorized EIA Consultant, evaluate proposed the need for a separate EIA candidatures, and select the most qualified consultant and submit the selected Consultant to the specific sector. Carrying out the (EIA) Authorized EIA Consultant Approval of environmental MTA (SPA) assessment Public consultation and Disclosure Safeguards Specialist/ project implementation unit (DNAAS) Environmental monitoring and Safeguards Specialist/ project implementation unit (DNAAS) follow up 108 13.ENVIRONMENTAL AND SOCIAL PLAN MONITORING AND REPORTING REQUIREMENTS Monitoring and reporting on progress are critical areas for the successful implementation of the present EMSF, including the CERC component, as well as, of the overall Mozambique Urban Sanitation Project. Reporting is based on a set of indicators which should be reported on, a regular basis with specific responsibilities indicators set out here will be mainstreamed into the overall monitoring and evaluation (M&E) system for the project. The specific objective of the monitoring process is to ensure that the ESMP is complied with and verified at all levels and stages of the project implementation cycle. Monitoring shall be a continuous process and should include the status of compliance as well as achievement of the objectives of the project. The Safeguards Specialists from the project implementing unit (PIU) team and of the implementing institutions (municipalities, DIEE and DPCI / DNSPSS, district government) shall be responsible for coordinating and monitoring the implementation of the ESMF and ESMP. The indicative environmental and social performance indicators described in the table below will be considered for the monthly and quarterly supervisions to be carried out by the environmental specialist from the PIU, as well as the annual external audit that should be carried out by an independent entity. It is expected that continuous monitoring of the ESMP will guarantee: • That all activities of the project are implemented as required and as per the requirements established by the present ESMF; • Where issues are encountered during implementation of the project, these are dealt with immediately or as early as possible to prevent them from adversely impacting the results of the project; • That the environmental and social mitigation measures identified in the current document or any additional measures identified during the course of implementation are reflected in the implementation and monitoring plans as well as in the agreements signed with contractors. It is recommended that the PIU coordinates and liaises with other relevant government institutions with regards to environmental and social monitoring of the overall Mozambique Urban Sanitation Project. monthly and quarterly reports shall be prepared and distributed to all relevant entities and should include the following: • Calendar or work plan for implementation; • Involvement of project affected persons; • Allocation of funds; • Arising issues and solutions identified and put in place during implementation; • Level of compliance of timelines and social, environmental, health and safety contractual obligations of contractors. • Level of compliance of the site engineer in terms of supervision and monitoring of social, environmental, health and safety aspects of the project. It is recommended that an external consultant is hired to monitor, together with the inter- institutional coordination safeguards team, compliance with the mitigation measures presented in the present document on an annual basis through Annual Review Processes. Annex 7 includes guidelines for annual review. 109 The contractor will be expected to report monthly on the implementation the safeguards, while the supervisors will provide supervision, monitoring of safeguards. Monitoring site visits will also be performed by the safeguard specialists to ensure compliance. Day-to-day monitoring of activities will be the role of the municipalities with support from the local authorities (responsible for water, sanitation, health and environmental management). The PIU will report to the DNAAS on a quarterly basis, who will in turn report to the World Bank on a semester basis. The appointed Focal Points for the project at municipality level, shall liaise with the site engineer and / or contractor on a weekly basis and shall report on progress and compliance of the activities being implemented at local level on monthly basis. The municipality may also provide reports or updates on compliance to the project implementing unit on monthly basis, or preferably on a quarterly basis. A report shall also be submitted to MTA on a quarterly basis. The focal points and E&S safeguards specialists at municipality level shall undertake monthly monitoring visits, to ensure that the mitigation measures and recommendations of the ESMF are being implemented on site. The PIU will prepare annual monitoring reports (Annex 6) that include information on the implementation of the ESMF, including the CERC component. MTA is required to conduct annual inspections for all category A projects. Annual reviews (Annex 7) of the implementation of the ESMF will be carried out by an independent local consultant, NGO or other service provider that is not involved in the Mozambique Urban Sanitation Project, subject to approval by the World Bank. Independently-commissioned bi-annual environmental auditing should be carried out. Both the monitoring and the environmental auditing are meant to ensure that the safeguards recommendations and mitigation measures are indeed being complied with, monitored and reported on at all levels, and that attention is provided to resulting environmental and social issues as early as possible without compromising the results of the project. The degree of implementation of this ESMF, including the CERC component, will be monitored through environmental and social performance indicators as described on the table below. These indicators will be used as reference for external annual audit which will be conducted as complementary to periodic (monthly or quarterly) project monitoring visits. Table 23: Environmental and Social Indicators Preferential Matrix Reference Indicator Degree16 Absence of, or outdated work accidents insurance/ or all accident risks or all risks Non-compliance with signalization plan Health and Safety Plan Lack of PPE Non-compliance with legalization of workers Non-compliance with training plan 16 Critical in more than 10 in at least one subproject or accumulated 50 in all the subprojects. Moderate risk up to 5 in at least one subproject, or 30 accumulated in al sub-projects. Satisfactory up to 2 in at least one sub project or up to 10 accumulated in all subprojects. Very good – in all subprojects. 110 Preferential Matrix Reference Indicator Degree16 Non-compliance with regards to hiring of safety inspector Accidents that result from non-compliances of the health and safety plan Non-compliance that are unresolved for more than one month Lack of hydrocarbon retention tanks in all power generators Spills of chemical products that have not been attended adequately Non-authorized vegetation clearance Accidental or deliberate discharge of untreated sewerage or hydrocarbons into open water ways Environmental Poor handling of hazardous substances Management Plan Conflicts between workers and members of community Non-compliance with community engagement plan Poor performance of the social safeguard Specialist from the Contractor’s side Non-compliances that have not been addressed for more than one month. Non-compliance with complaints management plan Complaints management Lack of or delay in response for a complaint for more than 30 days Lack or poor filing of complaints Non-compliance partial or total in general workshop and that of gender to engage women Training or sensitization actions Non-compliance with the approved training plan Non-compliance with sensitization action from the Contactors Integration of less than 5% of female workers Percentage of gender More than 2 complaints or regarding violence against women that integration and are direct or indirectly related to the project vulnerable groups in projects ‘activities Complaints for lack of access motivated direct or indirectly by project implementation Internal monitoring of the degree of compliance of each project will be undertaken by DNAAS. 13.1 Guidance for Safeguard Requirements for FSM Operation by Public-Private Partnerships (PPP) 111 Under Component 2, the On-site Sanitation investments in Quelimane and Tete, it is expected that a public-private partnership initiative will be adopted, with a view to ensure sustainability and innovation in the FSM and other related services. For this reason, market studies and partnership model option will be established and business plans developed related to the FSM for which services and products can be paid for by the Market along the sanitation service chain, including the (i) sanitation marketing and hygiene promotion to influence sanitation behaviours; (ii) support to the construction and upgrade of 11,000 household on-site sanitation systems, (iii) construction of 65 public sanitation systems in schools and markets, including dedicated facilities for menstrual hygiene management; (iv) construction of two Fecal Sludge Treatment Plants (FSTPs), and (v) support to private sector on FSM business development. In order to ensure adequate environmental, health and safety, DNAAS will ensure that: The site-specific ESMPs identify a broad and common environmental and social risks and impacts associated with FSM operations in Quelimane and Tete as well as mitigation measures. The risks and impacts and respective mitigation measures may vary slightly by business models and will be further developed and implemented with and by the operators during the implementation support phase of the contract. Health and safety guidelines for private FSM operators shall be developed. This should include reference to national health and safety regulations and discussions and observation with the operators themselves, and cover matters such as personal hygiene procedures, use of personal protective equipment, health check-ups and medical services/insurance, and employee codes of conduct relative to health and safety measures, and interaction with household clients and the general public. The health and safety package should comply with Mozambican environment, health and safety standards and regulations, as well as with the World Bank Group (WBG) Environmental, Health and Safety Guidelines (EHS Guidelines), including the General EHS Guidelines and EHS Guidelines for Water and Sanitation and Waste Management Facilities. Development of operational safety procedures for the different types of emptying equipment and containment facilities. These should cover the control of risks from fecal contamination and from mechanical hazards arising from loading, off -loading and use of equipment. They should also cover safety in transport, particularly the avoidance of spillage. Mozambican regulations and WBG EHS General, Water and Sanitation, and Waste Management Guidelines should also be followed in this case. FSM Operator’s responsibilities. The Operator will ensure that all environmental and social provisions are integrated, and necessary budgets provisions have been made in the contracts. The operators will employ environmental and health and safety (EHS) professionals to oversee implementation of the implementation of environmental and social requirements. He/she must have the necessary equipment including a vehicle to ensure a timely monitoring of activities and related environmental and social requirements. DNAAS, in coordination with targeted Municipalities will, on regular basis, monitor performance of the FSM Operators on how environmental and social risks are being addressed to avoid harm to the environment and human health. 112 13.2 Wastewater Treatment Technologies and Effluent Standards Wastewater treatment technologies can be designed to provide a low-cost sanitation and Environmental protection while providing additional benefits from the recuse of water. These Technologies use natural and terrestrial systems namely: Mechanical wastewater Treatment systems- These use natural processes within a constructed environment and tend to be used when suitable lands are available for the implementation of natural systems Technologies. Aquatic Systems – These are operated by lagoons, facultative, aerated and hydrograph- controlled release (HCR) lagoons are variation of this technology. The lagoon-based system can be supplemented by additional pre or post treatment, using constructed wetlands, or sandflies. These are used also to treat a variety of wastewater and they function under a wide range of weather conditions. Terrestrial systems - Terrestrial Systems make use of the nutrients contained in water. Plant growth and soils absorption convert biologically available nutrients into less available forms of biomass, which is then harvested for a variety of uses, including methane gas production, alcohol production or cattle feed supplements. For the propose of the Mozambique Urban Sanitation Project, specific technology to be adopted for wastewater treatment will be determined once details of specific projects as well as the sites to be constructed become known. In any case, any effluent discharge to the environment shall be in line with the Environmental Quality Standards and Emission of Pollutants, Decree no. 18/2004, of June 2. Additionally, relevant municipal By-Law requirements must be met with regards to discharge of water to the recipient environment. International Standards such as the World Bank’s EHS General and Specific Guidelines as well as the World Health Organization Standards or the US Environmental Protection Authority (EPA) will also be considered particularly when the National Standards specified on Decree no. 18/2004 of June 2, are less stringent. 113 14.CAPACITY BUILDING AND TRAINING FOR ENVIRONMENTAL MANAGEMENT Effective implementation of this ESMF will require technical capacity in the human resources of implementing institutions as well as logistical facilitation. Sufficient understanding of the mechanisms for implementing the ESMF will be necessary amongst the various stakeholders implementing the Mozambique Sanitation and Drainage Project. Training and capacity building is therefore key for the successful implementation of the ESMF and the overall successful implementation of the Mozambique Sanitation and Drainage Project. This section makes recommendations for the types of training and capacity building that are required to support implementation of this ESMF. These recommendations result from lessons from other projects, a rapid assessment of the current capacity levels of the project proponents for each of the sub-components of the projects, as well as from discussions during consultations carried out as part of the preparation of this ESMF. 14.1 Capacity to Implement and Manage the Mozambique Sanitation and Drainage Project and Staffing Recommendations DNAAS will host the Project Implementation UNIT responsible for implementing the proposed Urban Sanitation and Drainage Project. Within the PIU, Safeguards Specialists will be hired to ensure that the Mozambique Sanitation and Drainage Project safeguards recommendations are fully met throughout the project cycle. It is imperative to target DNNAS for capacity building to ensure effective implementation and monitoring of environmental and social safeguards, especially since DNAAS has no previous experience of implementing projects with safeguards requirements. Specific capacity support will be rendered to DNAAS so that its able to implement and monitor safeguards policies throughout the project implementing cycle. Annex 1 provides the ToRs for capacity Building for DNAAS. A number of staffing recommendations have been made. It is recommended that 2 dedicated safeguards specialists be recruited (one environmental and one social) to form part of the PIU and help ensure that project interventions in all components are in compliance with the World Bank's safeguards policies and national legislation and regulations. These specialists will also be required to provide technical support and training to the other project Implementation Agencies, particularly the municipalities in the selected cities. As none of the municipalities currently have adequate capacity for project implementation and will require extensive capacity building including on environmental and social safeguards, dedicated E&S safeguards personnel will be required in all municipalities where project activities will be implemented. It is recommended that 4 dedicated E&S Safeguard Specialists be recruited and be placed in each of the targeted cities: Quelimane, Tete and Maputo. It is further recommended that the E&S Safeguard Specialists at Municipality level sit at the Municipal Directorates for Urban Planning and Environment and should work together as a team with 2 focal points assigned to the project by the Municipalities. Their work and interaction with the other directorates should be constant, in particular with the Directorates of Finance, of Health and of Social Action to ensure that safeguards are institutionalized in the Municipalities and to ensure that there is coordination and harmonization in the approaches used. 114 The safeguards specialists recruited for each of the cities should follow the recruitment process of the GoM, in order to allow for the recruited specialists to form part of the staff of the Municipalities upon termination of the project. This will ensure long term sustainability of human resources, as the knowledge and skills will remain after completion of the project. Site Engineers /supervisors It is also proposed that the specific project implementing institution assign a site engineer and/ or a supervisor for each of the sub-components and specific works to the sites during preparation and implementation of the works. The site engineer will be the first point of contact between the implementing institutions’ safeguard teams and the local community, the contractors and the district authorities. The Site Engineers will be responsible for: • Will be the dedicated person on site responsible for dealing with issues that require immediate attention; • Will be responsible for environmental and social compliance and monitoring of contractors and training will be provided to such person; • Will liaise with the local authorities on a regular basis to ensure compliance with environmental and social regulations; • Will provide monthly reports to safeguard teams. 14.2 Training Needs and Capacity Development Required It is recommended that the training and capacity development needs be identified for each of the implementing agencies, and that these are integrated into the training program and/ or a Capacity Development Plan developed for each of the implementing institutions of the Mozambique Sanitation and Drainage Project. General training requirements and capacity development should be placed on a dedicated section. The training program should improve the capacity of the local authorities in the management of environmental and social impacts during the planning, implementation and operation phases of the project in the selected cities. A training program should be designed taking into account the following: • Technical analysis of the screening and scoping processes of projects being proposed to take place in the districts and facilitate decision making regarding their environmental sustainability; • Technical analysis of the environmental impact assessment reports prepared by consultants; • Technical capacity for monitoring the implementation of the environmental management plans as well as environmental audits; • Awareness raising of the participants on the relevance and the need for environmental management in the planning, implementation and operation of development projects; and • GRM, compensation strategy, community health and safety and emergency risk response. In-depth training in linkages between environmental, social and natural resource management and sustainable rural livelihoods, EIA procedures, legislation, use of this ESMF, potential impacts, land acquisition and community involvement. 115 The following training modules are encouraged to be undertaken at all the implementing agencies in order to ensure that the ESMF recommendations are implemented and monitored effectively: • Basic practices: categorization of the activity; environmental impact assessment process; public participation; • Social Impacts: resettlement procedures; census methodologies; classification of the severity of impacts; responsibilities for the planning and implementation of resettlement; • Environmental Impacts: selection of the intervention area by reducing environmental and social impacts; mitigation of impacts measures to be included in Tender; impact management during construction; • Monitoring and redress of complaints: transparency and public administration at the planning stage, responsibility for recording and monitoring during the implementation phase, the procedure for registering complaints and their responses. Other trainings may include: • Environmental Impact Assessment Process in Mozambique; • World Bank’s Safeguard Policies; • Legal and institutional environment framework in Mozambique; • Potential environmental impacts of infrastructure projects, mitigation and monitoring measures and the EMP; • Use of ESMF screening and checklist forms; • Preparation of Terms of Reference (ToR’s) for the hiring of consultants to conduct environmental studies for projects classified as Category A; • Political Guidelines for Involuntary Resettlement; • Methodology for public participation; • Surveillance and Monitoring; • For Environmental agents of the Municipal Directorates proponents of MMDP II activities; • Environmental Impact Assessment Process in Mozambique; • Potential environmental impacts of infrastructure projects, mitigation measures and monitoring and EMP from MMDP ESMF; • Integration of mitigation measures in the Tender Documents. Proposed awareness raising programs which can be conducted in collaboration with directorates of health, water and sanitation, and environment, and which can also be conducted in collaboration with NGOs and local radio stations: • Links between health, sanitation and the environment; • Hand-washing campaigns; • Treating drinking water; • Environmental education; • Nutrition education; • Cleaning surrounding areas; • Hygiene and sanitation; • Use of latrines. 116 The staff trained at municipality levels should comprise all the key sectors including infrastructures and building, water and sanitation, health, and environment. And lastly, exchange visits and joint monitoring visits amongst officers from the project areas should be encouraged, particularly where there is evidence of good practices and success stories and where there are financial constraints for undertaking some of the recommended trainings. 15.STAKEHOLDER ENGAGEMENT PROCEDURES A Stakeholder Engagement Plan (SEP) should be developed to assist the PIU with managing and facilitating future engagement through the various stages of the Project’s life cycle. The SEP to be developed under the project should adopt an inclusive life-of-project perspective. This section provides the procedures to be integrated in the future SEP to guide the stakeholder engagement process during the Project implementation. The SEP should seek to define a technically and culturally appropriate approach to consultation and disclosure. The goal of the SEP for the project should be to improve and facilitate decision making and create an atmosphere of understanding that actively involves project affected people and other stakeholders in a timely manner, and that these groups are provided sufficient opportunity to voice their opinions and concerns that may influence Project decisions. The SEP should be seen as a useful tool for managing communications between the PIU and its stakeholders. The SEP of the project shall be designed to meet between others the following objectives: • Incorporate the stakeholder engagement requirements of the Mozambique legislation; • Provide guidance for stakeholder engagement such that it meets the standards of International Best Practice including those provided for in the WB Safeguards Policies; • Identify key stakeholders that are affected, and/or able to influence the Project and its activities; • Identify the most effective methods and structures through which to disseminate project information, and to ensure regular, accessible, transparent and appropriate consultation; • Guide the PIU to build mutually respectful, beneficial and lasting relationships with stakeholders; • Develops a stakeholder’s engagement process that provides stakeholders with an opportunity to influence project planning and design; • Define roles and responsibilities for the implementation of the SEP; • Define reporting and monitoring measures to ensure the effectiveness of the SEP and periodical reviews of the SEP based on findings. The SEP will be required to include specific considerations to be taken into account when planning for stakeholder engagement during the project implementation. Such considerations should include the following: • No willing stakeholder should be excluded from the process of engagement. Some stakeholders will need to be sensitized about the concept of engagement itself, as well 117 as on the complex issues requiring specialized and technical knowledge. These demands can increase the cost of consultation required to meet external expectations, and often this occurs at a time when a project lacks the internal capacity and resources to implement a broad engagement strategy; • Stakeholders can have unrealistically high expectations of benefits that may accrue to them from the project. As such the PIU as well as contractors or service providers must be clear on what they can and cannot do; • Cultural norms and values can prevent stakeholders from freely participating in meetings. Often there are conflicting demands within a community, and it can be challenging for the Project to identify stakeholders who are representative of common interests. This might be avoided by employing local community liaison officers who are sensitive to local power dynamics, which requires project proponents developing an awareness of the local context and implementing structures to support and foster effective stakeholder engagement. Subprojects to be financed by the project throughout all the beneficiary municipalities will undertake environmental and social impact assessment (ESIA) as well as environmental and social management plans (ESMP) which should be subject to consultation process to be guided by the SEP in line with the ESIA regulation procedures. Stakeholder engagement within the ESIA/ESMP/RAP and during project’s operation process is critical for supporting the project’s risk management process, specifically the early identify and avoidance/management of potential impacts (negative and positive) and cost-effective subproject design. The SEP shall define relevant stakeholder engagement phases throughout the projects’ cycle, in compliance with national public consultation regulation. In order to ensure continuous interaction between the project and stakeholders, the SEP shall include the need for stakeholders’ engagement during the operation phase of the project, whereby the project management can provide feedback to stakeholders on the critical aspects of the ESMPs’ implementation during projects’ operation phase. This will be the opportunity for the stakeholders to voice any concern that they may have regarding the implementation of the project. 16.GRIEVANCE REDRESS MECHANISM Conflicts or grievances arising from project development process are generally associated with poor communication, inadequate or lack of consultation, inadequate flow of accurate information, or restrictions that may be imposed on project affected people. Communities must be involved in awareness-raising and training concerning their rights and obligations; how to obtain legal advice and representation, and how to seek redress against what they regard as unfair practices. These are not only restricted to resettlement actions. They cover the entire project cycle from design to implementation and cover all entities involved, i.e. the Project Developers, Contractors, Local Authorities, etc. Training in conflict management for technical personnel from DNAAS and district/municipal entities as well as contractors by the PIU should be carried out. Local leaders, notably the members of the Resettlement Committees should be trained in conflict management by professional Service Providers to assist in minimizing the negative impact of conflicts. 118 Special attention should be paid to women, the poor and most vulnerable groups in affected households as well as in host communities to ensure they understand their rights and entitlements. This may be assisted using women social facilitators and ensuring women are included in the local Resettlement Committees and with other relevant vulnerable groups in Project Monitoring Commissions. 16.1. Type of Potential Questions/Information Requests/Complaints (Grievances) Potential questions/information requests/complaints/grievances Include but are not limited to: • Questions/information requests/complaints (grievances) regarding land acquisition and/or resettlement; • Noise of construction works; • Presence, and potential disruption, of the construction labor force and the effects on communities, local services and infrastructure; • Community health and safety in relation to impacts of increased traffic on nearby residents; • Visual intrusion; • Congestion of and access to locations; • Damage to the surrounding natural environment; • Disappointment related to expectations about employment from the Project. • Negative impacts on a person or a community (e.g. financial loss, physical harm, nuisance); • Dangers to health and safety or the environment; • Failure of sub-contractors and their workers or drivers to comply with standards or legal obligations; • Harassment of any kind; • Etc. Project affected people with grievances concerning any aspect of project development including proposed or actual resettlement and/or compensation arrangements should be able to present these to trusted entities who can act as linkages as necessary to others who may be needed to resolve the problems. This section will describe the Project Grievance Redress Mechanism in relation to the following aspects: • Registration and response to complaints; • Mechanisms of appeal; • Provisions for recourse to civil courts if the other options are unsuccessful. The aim is to respond to PAPs complaints in a timely and transparent manner. It is believed that the proposed institutional mechanism for this project will ensure that PAPs have channels to present and resolve their grievances related to any aspect of the project. All relevant stakeholders should work hand in hand to ensure that processes are effective in terms of timely communication and reaction. The PIU and DNAAS should always be informed about all issues, even in cases where they may not be directly involved in responding to those issues. 119 16.2. Available and Accessible Procedures to Resolve Conflicts Associated with Resettlement (Grievance Redress Mechanism) Grievance redress mechanisms should involve the local community leaders in providing a first level of listening and informal resolution. These leaders should be represented or involved in the project co-management committees and working groups covering the various aspects of project development and be involved in creating awareness that they may also be used for the transmission of grievances to these are for informal resolution. Certain conflicts may be resolved by local leaders. If issues are concerned with relationships with secondary or external stakeholders, and/or are outside the capacity of the community or local authorities to resolve, they should be presented to the PIU for processing (e.g. transmission to district/municipal authorities, contractors, etc.). If the issues are not resolvable at this level, they should be taken to the attention of a mediation entity. If the community member/group who lodged the complaint is not satisfied with the decision of the Project Authority, then as an ultimate recourse he/she/they may submit it to the court system. In the case of grievances, decisions on redress and communication of these to the complainant should be timely at all levels. This will promote greater trust in the communication system and improve attitudes about the Project within the community. Information should normally be returned to the community using the same channels as those used for initial transmission. The results should be communicated to all other levels and relevant structures at the same time for coordination and awareness purposes. In cases where conflicts or complaints are directed against governmental agencies, project management or private entities, whenever possible, Project affected people and communities will be encouraged to resolve conflicts harmoniously through informal mediation by external agencies, such as NGOs or government officers. When disputes cannot be resolved informally, more formal mechanisms will be required. Where one or more communities’ conflict with a private-sector entity, the issue will be taken to the PIU/DNAAS with titular responsibility for the investment. The general rule is that all grievances related with non-fulfilment of contracts, levels of compensation, seizure of assets or certain restrictions of access to resources without compensation should be brought to the attention of relevant officers and dealt with. Communication should be done in relevant languages mainly (for verbal communication mainly written material will be only in Portuguese). General grievance forms to be used should be prepared by Project Implementation Unit/Environmental and Social Safeguards Personnel/Teams and made known and available to all potential users, although people should also feel free to use their own grievance documents at wish. 120 At the grassroots level, mainly neighborhood and neighborhood there are no unified structures to manage common matters affecting those who live there. Depending on the specific cases, these should be chosen to organize and represent the households throughout project implementation and particularly during the presentation and redressing of grievances. They should by themselves and/or assisted by other people be able to carry out all the secretarial work involved in the process, such as preparing/writing the grievances where needed, collecting them, filing, sending, translating, etc. Where affected people/households/entities want to handle the whole process by themselves they should be allowed to do so. Representation may be the best approach, but it should not be imposed. The RPF presents a suggestion of the steps and procedures to be followed during the process. It includes four main steps moving from the PAPs to court, as summarized in Diagram xxx Diagram 1: GRM procedures Step 4 Court of Law (Municipal/District) Step 3 Submission/resoluti on/cla rificat ion of the grievance to Mediating Entity, which will broker and agreement among the parties Step 2 Submission/resoluti on/cla rificat ion of the grievance to PIU Step 1 Head of the 10 Houses (neighborhood) Submission/resoluti on/cla rificat ion of the grievance to the Head of the 10 Houses (neighborhood) Reaction/Resolution in the shortest time possible Step 0 Project Affected Poople/Households Who have a grievance − Gender-Based Violence In normal day-to-day situations, but particularly in times of social change such as those that can be triggered by the development of an urban sanitation project, violations of the rights of persons based on gender are common. These arise in the same forms as typified above, but not only. To ensure that ant cases of Gender Based Violence are adequately treated the PIU will identify service providers to provide quality survivor-centered services, including GBV case management, acting as a victim advocate, providing referral services to link to other services not provided by the organization itself. 121 To ensure that these type of complains are adequately referred to the service provider, training shall be given to the different reception channels (entry points) and manual shall be elaborated indicating the process on how and by whom these cases will be referred to an SP. It is suggested that cases of Gender-Based Violence (GBV) be transmitted directly from the affected person to PIU with the support of the Heads of Ten (1) Houses, including local NGOs and CBOs working on this issue. Each step should be limited to a maximum of 14 calendar days from the receipt of a complaint to the decision-making. It is strongly recommended that all necessary measures to ensure that solutions are adopted by consensus based on negotiation and agreement are taken. Detailed procedures for compliance with the grievances and the appeal filing process should be disseminated among PAPs, which should be trained to use them when so deemed necessary. The empowerment process described in previous chapters should focus on these procedures, among other things. The procedures should be disseminated during all stages of the ESIA and ESMP and RAP. Confidentiality and Anonymity The Project will aim to protect a person’s confidentiality when requested and will guarantee anonymity in reporting. Individuals will be asked permission to disclose their identity. Investigations will be undertaken in a manner that is respectful of the aggrieved party and based upon the principle of confidentiality. There may be situations when disclosure of identity is required. If this is the case, the PIU will identify this and ask if the aggrieved party wishes to continue with the investigation and resolution activities. Uptake Channels There should be multiple uptake channels for questions/information requests/complaints (grievances). These should be accessible and culturally appropriate for all potential project affected peoples, including vulnerable subsections of the population. Among the suggested uptake channels are physical mailboxes, a dedicated email address, a dedicated phone number, a dedicate text message number, and the possibility of submitting orally. 17.CHANCE FIND PROCEDURES A chance find is an archaeological material encountered unexpectedly during project construction or operation. A chance find procedure is a project-specific procedure, which will be followed if previously unknown cultural heritage is encountered during project activities. The chance finds procedure set out how chance finds associated with the project will be managed. The procedures include: • requirements to notify relevant authorities of found objects or sites by cultural heritage experts; • fence off the area of finds or sites to avoid further disturbance; • conduct an assessment of found objects or sites by cultural heritage experts; 122 • identify and implement actions consistent with the requirements of national law and World Bank Safeguards Policy; • and train project personnel and project workers on chance find procedures. The national Law No 10/88 of December 22 (Cultural Protection Law) applies to cultural heritage assets held by the State, public entities or persons, without impairment to the property rights to respective holders. The Law also applies to all cultural assets that may be discovered in Mozambican, in the soil, subsoil, inland waterbeds and continental shelf. The Article 13 of the Law states that "any person who finds places, constructions, objects, or documents that may be classified as cultural heritage goods, shall communicate it to the nearest administrative authority". 18.PROPOSED BUDGET FOR ESMF IMPLEMENTATION The proposed budget for implementation of this ESMF is based on information from the previous chapter, relating to “capacity building and training for environmental management”. The proposed budget comprises five (05) major budget lines: (i) staffing, (ii) assessment of training and capacity development needs; (iii) training and capacity development; (iv) awareness campaign and (v) monitoring and documentation of project implementation. Table 24: Proposed Budget for Implementation of Environmental and Social Safeguards Item Anticipated Project Activities Estimated Cost (USD) • Recruitment process of 2 Environmental and Social Safeguards Specialists for PIU Staffing • Payment of wages and benefits for the 2 Environmental 65,000.00 and Social Safeguards Specialists Assessment of • Hiring external consultants to undertake assessment of training and training and capacity development needs of major 150,000.00 capacity agencies implementing and monitoring of projects development needs • Development of training plans • Implementation of capacity and development initiatives at national, provincial level and across various agencies Training and capacity involved in the implementation of projects. Training 250,000 and capacity development contents should include some development of the contents as described in chapter 13 of the present ESMF Awareness • This includes undertaking awareness raising campaigns on sanitation in the four cities. Other non-state actors are 0,000.00 campaign expected to take part in the initiatives Monitoring and • This will include exchange visits and study tours, annual documentation of projects audit by MTA, reviews, reporting, including 300,000.00 project exchange visits. implementation TOTAL BUDGET 1,365,000.00 The total budget for the implementation of environmental and social safeguards is One Million, Three Hundred and Sixty-Five Thousand United States American Dollars (1,365,000.00 USD). 123 REFERENCES Author & Year Title Title Bank, W. (n.d.). World Bank Safeguard Policies. Retrieved May 25, 2015, from Environmental and Social Safeguard Policies Bicknell, J., Dodman, D., & Adapting Cities to Climate Change: Understanding and Satterthwaite, D. (2009). Addressing the Development Challenges. London: Earth scan. Cabral, L. and Francisco, D. Environmental Institutions, Public Expenditure and Role (2007) for Development Partners – Mozambique Case Study. Overseas Development Institute (ODI). CPI&JICA. (2015). Mozambique Provincial Profiles, Maputo Dray, M. & Manacle, B. Environmental and Social Management Framework: (2010). Maputo Municipal Development Programme FIPAG. (2003). National Water Development Project - Generic Framework Environmental Management Plan for Construction Works. Maputo. FIPAG. (2003). National Water Development Project: Generic Framework Environmental Management Plan for Construction Works. Maputo. FIPAG. (2013). Environmental and Social Studies for Greater Maputo Water Supply Scheme (WASIS): Executive Summary of the Environmental and Social Impact Assessment. Maputo FIPAG. (n.d.). Quadro Institucional. Retrieved 8 Junho, 2015, from FIPAG: http://www.fipag.co.mz/index.php?option=com_content &task=view&id=12&Itemid=26 GoM (2013 ). Perfil dos dados básicos das Cidades de Moçambique: Documento de Consulta para Mesa de Cooperação- dos Municípios com o Desenvolvimento Sustentável Brasil Moçambique”. II Encontro. Maputo. GoM. (2005). Perfis Distritais. Maputo: Ministério da Administração Estatal. GoM. (2008). Legislação sobre a Terra e Regulamento da Lei de Terras. Maputo: Imprensa Nacional de Moçambique. 124 Author & Year Title Title GoM. (2009). Politica e Legislação sobre o Ordenamento Território. Maputo: MICOA. GoM/Ministry of Land, Decree 54/2015 on Procedures for Environmental Impact Environment and Rural Assessment Process. Development (MIADER), (2015). Hawkins, P., & Muximpua, O. Developing business models for fecal sludge management (2015). in Maputo. World Bank IFAD. (2012). Pro-poor Value Chain Development Project in the Maputo and Limpopo Corridors (Prosul). Project Design Report-Africa II Division Programme Management Department, REPORT No. 2728-MZ. IFC. (2006). Performance Standard 4 Community Health, Safety and Security. Washington, D.C: World Bank Group. IFC. (2012). IFC Performance Standards on Environmental and Social Sustainability. Washington, D. C: World Bank Group. INE. (2007). Recenseamento Geral aa População e Habitação 2007 - Indicadores Sócio-Demográficos Província de Inhambane, Maputo. INE. (2010). Projecções Anuais da População Total, Urbana e Rural, dos Distritos da Província de Inhambane 2007 – 2040, Maputo. INE. (2016). Inquérito ao Orçamento Familiar (IOF) 2014-2015 INE. (n.d) Projected Population per District: Maputo 2007-2040 http://www.ine.gov.mz/estatisticas/estatisticas- demograficas-e-indicadores-sociais/projeccoes-da- populacao/populacao-projectada-por-distritos-maputo- cidade-2007_2040.xls/view Kemp, L., Fairhurst, L., Sub-Saharan African Cities: A five-City Network to Rowswell, P. & Quayle, T. Pioneer Climate Adaptation through Participatory (2011) Research & Local Action Marsden, S. (2008). Strategic Environmental Assessment in International and European Law – A Practitioners’ Guide. 125 Author & Year Title Title Serra, C. (2012). Da Problematica Ambiental a Mudancas: Rumo a um Mundo Melhor. Maputo: Escolar Editora. SETSAN. (2016). Relatório de Monitoria de Segurança Alimentar e Nutricional em Moçambique. Starr, C and Taggart, The Unity and Diversity of Life, seventh ed.p 279. R.(1995), The ENVIROPEDIA “Be the Change” edition 2006-2008. UN-Habitat UN-Habitat 2010. Mozambique Cities Profile: Maputo, Nacala and Manica UNICEF. (2016). Mozambique: Drought Humanitarian Situation Report WHO. (2007). Desalination for Safe Water Supply: Guidance for the Health and Environmental Aspects Applicable to Desalination WHO. (2011) Guidelines for drinking-water quality - 4th ed. World Bank (n.d) Safeguard Policies/ Operational Policies: http://siteresources.worldbank.org/OPSMANUAL/11252 6-1124459412562/23585578/OP10.00_July1_2014.pdf 126 ANNEX 1: TERMS OF REFERENCE Capacity Building of the DNAAS Project Team in Environment and Social Management Framework (ESMF) and Resettlement Policy Framework (RPF) 1. Background According with the Household Budget Survey published by the National Institute for Statistic (INE 2016), about forty-two percent (42%) of the urban population of Mozambique (3.4 million people) lacked access to basic improved sanitation facilities in 2015, and, with about two thirds of Mozambique’s population growth between now and 2050 estimated to be in urban areas, access to improved sanitation facilities and services in such areas will continue to be a critical challenge. The lack of access to improved sanitation is generally acute in the informal settlements and peri- urban areas of the 23 Mozambican cities where resulting in frequent cholera outbreaks, widespread diarrheal disease and high child mortality. The use of sanitation services in cities and towns grew at a rate of 2.2% per year starting from 34% in 2004 to approximately 58% in 2015. Clearly, at this growth pace, the sector could not meet the Five Years Governments Plan (PQG) and the millennium development goals, established for urban sanitation (80% coverage); and will definitively miss the universal access to urban sanitation services by 2030. Taking into consideration the aforementioned challenges, the Government of Mozambique, through the Ministry of Economy and Finance, has requested the World Bank to consider investment for urban sanitation and drainage under the Sanitation Integrated Plan in the municipalities of Quelimane, Tete and Maputo. The project will be implemented by the National Directorate for Water Supply and Sanitation (DNAAS) in the Ministry of Public Works, Housing, and Water Resources (MOPHRH). In the course of project preparatory missions, Government of Mozambique has requested World Bank support to contract technical assistance to strengthen DNAAS staff capacities to enable them prepare and review the necessary studies for project appraisal. The Environmental and Social Safe Guards and Resettlement Policy Framework is one of the areas that DNAAS is seeking urgent support. These Terms of Reference (ToR) set out the scope of services to be provided by an Individual Consultant to build DNAAS staff capacity in preparing and ensuring the implementation of Environmental and Social Safeguards in the urban sanitation and drainage project. 2. General objective and scope of work The objective of the assignment is to provide environment and social safeguards expertise to the DNAAS project team involved in the preparation and implementation of the urban sanitation and drainage project. Consulting services are required to support the team in environmental and social aspects of supervision, such as review environmental and social safeguards, feasibility studies, environmental reports, resettlement action plans, bidding documents and other procurement documents, as appropriate. In line with the above objectives, the consultant will assist with the following: 127 • Provide guidance on environmental safeguards for the Project; • Plan DNAAS team participation in supervision missions as appropriate identifying the critical environmental, social and resettlement issues to be checked in every mission; and • Support the formulation of the Environment and Social Management Framework (ESMF) and Resettlement Policy Framework (RPF). 3. Reporting and Outputs All tasks will require close consultation with the Task Team Leader. The consultant will report to the Task Team Leader (TTL) for the urban sanitation and drainage project, Shelley Macmillan (smcmillan@worldbank.org), and prepare written and other outputs in connection with the project preparation and supervision work as would be agreed with her. 4. Payment terms The consultant will be paid on a time-basis and would claim for travel costs based on a Statement of Expenses. The contract will be for a total of 22 working days in the period June 1- 30, 2017. 128 ANNEX 2: SAFEGUARD POLICIES TRIGGERED Table 25: Safeguards Policies Triggered By the Project Safeguard Policy Triggered (Y/N) Comment’s The project is classified as Category A since proposed activities mainly under component 1 and 3 (Investments in urban sanitation infrastructure and services and strengthening sanitation services in Greater Maputo) are expected to generate adverse environmental and social impacts, albeit Environmental Assessment manageable with the application of adequate Yes OP/BP 4.01 management measures. Proposed activities can possibly contribute to public nuisance, odor, noise and vibration, soil contamination and eruption of cholera, and/or other waterborne diseases, loss of assets and livelihoods within the community, especially among vulnerable groups. Considering the location of project activities close to terrestrial ecosystem, such as the Infulene river (for the case of rehabilitation of the Greater Maputo Waste Water Treatment Facility) and also the fact that potential targeted cities in Zambézia, Tete and Maputo provinces are located in coastal areas and close to rivers banks (the case of Tete city). While every effort will be made to site Natural Habitats OP/BP 4.04 Yes project activities so that they will not directly impact natural habitats, effluent discharges, emissions, sludge disposal, and drainage infrastructure among other project elements/activities could produce impacts on such habitats. As such, OP/PB 4.04 is triggered for preventive reasons, and therefore this ESMF presents procedures so that the subprojects can minimize potential impacts on natural habitats. Forests OP/BP 4.36 No The project does not involve or affect forests. The Project does not involve any activities Pest Management OP 4.09 No requiring pest management. Physical Cultural Resources The nature and scope of the proposed activities Yes OP/BP 4.11 suggest triggering OP 4.11. Indigenous Peoples OP/BP There are no Indigenous Peoples in the project No 4.10 areas. The project will finance activities such as rehabilitation and expansion of sewerage networks including network connections, construction of wastewater treatment plants and fecal sludge Involuntary Resettlement treatment facilities and transfer stations, drainage Yes OP/BP 4.12 infrastructure and other works that could necessitate land acquisition and could result in involuntary resettlement of people and/or loss of (or loss of access to) assets, means of livelihoods or resources. This Project does not have any activities related to Safety of Dams OP/BP 4.37 No dams. This policy is triggered as some of the wastewater Projects on International treatment plants may discharge to the Zambezi Yes Waterways OP/BP 7.50 River, which is considered to be international waterway as defined by this policy. However, the 129 Safeguard Policy Triggered (Y/N) Comment’s project activities will ensure that effluents to be released will be treated to meet international acceptable standards. Therefore, proposed project activities will not adversely impact the quality or quantity of water flows to other riparians. Furthermore, provided the activities are rehabilitation, the project meets the criteria defined in paragraph 7 (a) of OP 7.50 and is eligible for an exception to notification requirements. Projects in Disputed Areas No The project is not taking place in disputed areas. OP/BP 7.60 130 ANNEX 3: MTA PRE-ASSESSMENT FORM (“FICHA DE PRE-AVALIAÇÃO”) Environmental Information for Project Development 1 Name of project: 2 Type of activities: a) Tourism: ------------------------------------ b) Industrial: ------------------------------------ c) Agricultural: ------------------------------------ d) Other: ------------------------------------ Specify: ------------------------------------ 3 Identification of components: ------------------------------------ 4 Contact: ------------------------------------ 5 Location of activities: 5.1 Administrative Location (town, city, district, province, geographical position) 5.2 Insertion: (Urban – Rural) 6 Zoning: Residential: ------------------------------------ Industrial: ------------------------------------ Services: ------------------------------------ Parks/gardens: ------------------------------------ 7 Description of activities 7.1 Infrastructures and dimensions (attach map, etc.): ------------------------- 7.2 Associated activities: ------------------------------------------------------------------ 7.3 Short description of technology operation: ---------------------------------- 7.4 Principal and complementary activities: ------------------------------------------ 7.5 Type, origin and number of workers: -------------------------------------------- 7.6 Type, origin and quantity of primary material: -------------------------------- 7.7 Chemical product proposed of use ---------------------------------------------- 7.8 Type, origin and quantity of water and energy resource: ------------------- 7.9 Type, origin and quantity of combustibles and oils proposed to use: primary material: ----- 7.10 Other necessary resources: --------------------------------------------------- 8 Land ownership (legal situation, owners, modality of acquiring, etc.): --------------------- ---------- 9 Alternatives for location of activities: ------------------------------- (Implementation justification, etc.) 10 Short information on local and regional environmental references: 131 10.1 Physical Characteristics for implementation of activities: Plains Plateau Valley Mountains 10.2 Principal Ecosystems: River Lake Sea Land 10.3 Location/zone: Coastal Zone Continental Zone Island 10.4 Type of principal vegetation: Flora Savana Others (specify) 10.5 Land use: Residential Industrial Protected area Others (specify) 10.6 Principal existing infrastructures in the protect area: ----------------------------- 11 Complementary Information: Location map Other information related to the project activities 132 ANNEX 4: PROPOSED ENVIRONMENTAL AND SOCIAL SCREENING FORM SECTION A: Contact Details Person Responsible for Filling out the Form Name Position Senior Environmental Specialist Contact details Date Signature Person Responsible for Checking/Validation Name Position Contact details Date Signature SECTION B: Project Description Subproject name BID Nr. (if applicable) Name of the Contractor (if applicable) Estimated cost (if applicable) Location of the subproject Attached Site Map Y N Type and scale of the subproject Approximate size of the subproject in land area SECTION C: Environmental and Social Sensitivity of the Subproject Area 1 Biodiversity and Natural Resources Answer (Yes/No) 1.1 Are there any environmentally sensitive areas (intact natural forest, rivers or wetland) or threatened species (specify below) that could be adversely affected by the subproject? 1.2 Is the subproject area within/adjacent to any government designated protected area (national park or reserve)? 1.3 Would the proposed subproject result in the conversion or degradation of natural habitat or critical habitat? 1.4 Are there areas of possible geological or soil instability (susceptible to erosion, landslide and subsidence)? 1.5 Does the subproject pose a risk of degrading soils? 1.6 Does the subproject involve significant extraction, diversion or containment of surface or ground water? For example, construction of dams, reservoirs, river basin developments, groundwater extraction. 1.7 Will the subproject (during construction or operation) use large amounts of local natural resources such as water, timber, gravel from river beds, stones, especially any resources which are non-renewable, or which exists in small quantity? 2 Pollution Prevention and Resource Efficiency Answer (Yes/No) 2.1 Will the subproject involve the use, storage, transport or handling of substances or materials which could be harmful to human health or environment? 2.2 Would the proposed project result in the generation of waste that cannot be recovered, reused, or disposed of in an environmentally and socially sound manner? 2.3 Will the subproject potentially result in the generation of waste (both hazardous and non-hazardous)? 133 2.4 Will the subproject involve the handling and/or use of chemicals and hazardous materials subject to international action bans or phase-outs? For example, asbestos containing material (ACMs), PCBs and other chemicals listed in international conventions such as the Stockholm Convention on Persistent Organic Pollutants, or the Montreal Protocol. 2.5 Is there a potential for the release, in the environment, of hazardous materials resulting from their production, transportation, handling, storage and use for project activities? 2.6 Will the subproject produce waste water that require drainage? 2.7 Is the subproject located near water sources used for domestic consumption such as boreholes, water wells or springs? 2.8 Does the subproject include activities that require significant consumption of raw materials, energy, and/or water? 3 Loss of Assets and Demographic Issues Answer (Yes/No) 3.1 Wil the subproject result in displacement, household infrastructure, loss of assets, or access to assets? 3.2 Will the subproject result in the permanent or temporary loss of income sources or means of livelihood (such as crops, fruit trees, etc.), 3.3 Will the subproject result in disproportionate impacts on the poor, women and children or other vulnerable groups? 3.4 Is the subproject likely to result in a substantial temporary induced Labor Influx of people to the subproject area? 3.5 Is the subproject likely to increase demand and competition for local social and health services due to the potential influx of workers and followers? 3.6 Based upon on the available information, exist in the subproject area known prevalence of gender-based violence (GBV) and child and forced labor? 4 Historical, Archaeological or Cultural Sites Answer (Yes/No) 4.1 Will the proposed subproject result in interventions that would potentially adversely impact sites, structures, or objects with historical, archaeological, or cultural values? 4.2 Will the subproject involve extensive excavation? 5 Community and Workers Health and Safety Answer (Yes/No) 5.1 Will the subproject require the use of heavy machinery or equipment? 5.2 Is the subproject located in an area where there have already been demining, accidents or confrontation during the civil war? 5.3 Does the subproject include emergency plans to control accidental spills and prevent sewerage overflow? 5.4 Would elements of the subproject construction, operation, or decommissioning pose potential safety risks to local communities? 5.5 Does the subproject have the potential to lead to risks of accident for workers and communities? 5.6 Would the subproject result in potential increased health risks (e.g. from vector- borne diseases or communicable infections such as STD and HIV/AIDS)? 134 If all answers are “NO”, then there is no need for further action in addition to the Environmental and Social Management Plan (ESMP) which should incorporate health and safety guidelines. If there is at least one “YES”, to the questions on Section C, then describe the recommended actions for each of the YES answer. Question number Recommended actions SECTION D: Proposed Actions SECTION E: Environmental and Social Screening Outcome Select from the following the appropriate category for the subproject based on the answers provided on Section C Category A The proposed subproject is likely to have significant adverse environmental and social impacts that are sensitive, diverse, or unprecedented. A full Environmental and Social Impact Assessment (ESIA) will need to be completed during subproject design. Category B The proposed subproject is likely to have less adverse impacts on human populations or environmentally important areas than those of Category A subprojects. Likely impacts will be site-specific, few in number, and few if any them are irreversible. Mitigation measures can be designed more readily than for Category A subprojects. An Environmental and Social Management Plan (ESMP) will need to be completed during subproject design, including a Health and Safety Plan (HSP). Category C The proposed subproject is likely to have minimal or no adverse environmental and social impacts. Beyond screening, no further environmental assessment (EA) action is required, although those involving minor civil work activities may still have to develop an ESMP during subproject design which should incorporate health and safety guidelines. 135 ANNEX 5: INSTITUTIONS INVOLVED IN WATER MANAGEMENT AND SERVICES 136 ANNEX 6: GUIDELINES FOR ANNUAL REPORTING These Guidelines have been prepared to assist the project proponents and implementing agencies in reporting on the Mozambique Sanitation and Drainage Project. The objective of the Guidelines is to provide guidance on the minimum requirements with regards to the timing, format and content of reports related to the project. Timing All Annual Reports related to the implementation of the project should be submitted 30 days after the end of a 12-month period of the project. The period covering the report and the date the report is being submitted should be included in the front page of the document. Format The exact format of the report should be agreed between the PIU and the World Bank prior to the commencement of implementation, to ensure compliance with the World Bank requirements. Content It is recommended that the report is split into 3 sections: 1) Progress Report 2) Financial Report; and Procurement Report. Each of the sections should further provide information on implementation in each of the cities covered by the project and the relevant sub-projects being implemented in each. The section on Progress Report should be based on agreed work plan for the year on status of planned activities and should include clear outputs and results. For such, a Results Framework or Monitoring and Evaluation (M&E) Framework containing indicators and outputs shall be prepared and agreed by the PIU and the World Bank. The objective of the Framework will be to systematically track progress of project implementation, in order to demonstrate results on the ground, and assess whether changes to the project design are required in order to take into account evolving circumstances. The Financial Report section should provide information on status of implementation of overall budget of the project. The annual financial reports should have an introductory narrative and should be in harmony with the Progress Report. It must include a statement showing cash received and expenditure by main expenditure classifications of the period in being reported; beginning and ending cash balances of the project; and supporting schedules comparing actual and planned expenditure. The Procurement Report should include information on the procurement of goods, work, and related services, and the selection of consultants, and on compliance with agreed procurement methods (GoM and World Bank procedures will apply). In addition to procurement progress, this section should include information on all authorized contract variations; information on complaints by bidders; unsatisfactory performance by contractors; and any major contractual disputes that may have arisen during the reporting period. The Report should include the status of implementation; information on compliance with the ESMP; the overall performance assessment of each sub-project in each city; key challenges 137 faced and observations. Information on training required or additional resources (human, technical and financial) should also be highlighted where relevant and necessary. An overall assessment and summary of status of the project as a whole should be provided at the end of the report and should include recommendations for improvements where necessary. The PIU is the responsible agency for consolidating and preparing the Annual Report, which is submitted to the World Bank. 138 ANNEX 7: GUIDELINES FOR ANNUAL REVIEW The objective an Annual Review is to identify challenges and outline corrective actions to ensure that a project is on track to achieve maximum results by its completion. The Annual Review process should include an assessment of the Annual Report submitted to the World Bank; field visits conducted to at least 30% of the cities and sub-projects; and a Review Meeting or workshop with the overall objective of reviewing project implementation to-date and focus on re-prioritization if/ where deemed necessary. The Annual Review will also determine the key priority areas and result in the preparation of the annual Work Plan for the following year. The primary output/deliverable of an Annual Review process is the report. The following should be taken into account during the Annual Review process: • Review measurable indicators of performance – including outputs, outcomes and impacts – and assist in development of improved indicators. • Should be conducted at the end of the calendar year, in order to feed into to the planning process of the following year. • Should be led by the Project Implementing Unit, however should be conducted by independent individuals or companies. • Should make recommendations for financial sustainability as well as overall project delivery. • The Annual Review process should be and open, transparent and participative process involving government representatives, representatives of target cities, civil society as well as affected and interested parties. 139 ANNEX 9: TERMS OF REFERENCE (TORS) FOR ENVIRONMENTAL AND SOCIAL SAFEGUARDS SPECIALISTS The following ToR’s may be adapted to fit for purpose. The tender can be launched during different periods for each of the Municipalities and/ or for the PIU. 1. Background The Government of Mozambique (GoM), through the Ministry of Economy and Finance (MEF), has requested the World Bank to consider investment for urban sanitation and drainage under the Sanitation Integrated Plan in the municipalities of Quelimane, Tete and Maputo. The Mozambique Urban Sanitation and Drainage Project aims to respond to some of the challenges related to sanitation faced by the urban population in Mozambique. The project will be implemented by the National Directorate for Water Supply and Sanitation (DNAAS) in the Ministry of Public Works, Housing and Water Resources (MOPHRH) at central level through several of its subordinated institutions including AIAS, FIPAG and AURA - IP, and by the Municipalities for the targeted cities at the local level. A project implementation unit (PIU) will be established at DNAAS and will be responsible for overall project oversight in compliance with the social and environmental safeguard requirements of WB policies of Mozambican laws and regulations. The MOPHRH requires expertise in relevant environmental and social fields to work as part of the PIU as well as to support each of the target Municipalities to accomplish the objectives of the project. 2. Objective/ Purpose of Position The incumbent(s) will work for PIU, which has been established to support the implementation of Mozambique Urban Sanitation and Drainage Project. Under the supervision of the Project Technical Coordinator, s/he will report on the following responsibilities. • Provide overall environmental and/or social management oversight during the implementation of the project, supporting and advising the client in addressing a variety of environmental issues at all the stages of the implementation of the project and in environment related training/awareness raising and coordination activities. • Implement environmental and/or social related activities as outlined in the Environmental and Social Management Framework (ESMF) of the project. • Prepare necessary documents, such as environmental and/or social guidelines and tools in consultation with different stakeholders and support the PIU in commissioning and managing additional and/ or special studies/ assessment, if necessary. 3. Scope of Work The incumbent(s) will work closely with other members of Project Implementation Unit (PIU), the DNAAS as well as the staff from the Municipalities for achievement of the project's objectives. The scope covers the whole project’s environmental and social oversight responsibilities. 140 4. Duties and Responsibilities Under the direct supervision of Project Technical Coordinator, the incumbent(s) will be responsible for, but not limited to, the following duties. • Ensuring that each subproject and activities under the project is subjected to the Project ESMF process and procedures; • Prepare guidelines, tools and notes for use in the project based on relevant environmental policies, acts and regulations/ directives of the Government of Mozambique (GoM) and relevant safeguard policies of World Bank Group and the ESMF; • Carry out environmental screening of sub-projects and activities, and support in the preparation of specific Environmental Management Plans (EMPs) for sub-projects or activities requiring them; • Provide guidance and support on environmental and social matters related to the project or identified in the ESMF to the PIU and targeted Municipalities and monitor compliance on a regular basis; • Organize environmental awareness raising programs and trainings; • Review sub-projects and activity plans, design, cost, and bid documents to ensure environmental factors and mitigations are incorporated, and subproject/ activity documents and environmental documents are in conformity; • Carry out site supervisions during implementation of sub-projects and activities, and provide feedback to the PIU and well as Municipalities; • Support the client in recruiting and managing independent consultants for annual review, mid-term and end-term evaluation of ESMF Compliance. • Evaluate environmental risks associated with floods, landslides, erosion, bank cutting and shifting channel as a result of project activities; • Monitor potential collaboration with specific key stakeholders. 5. Timeframe and duration This is a full-time position. The service is initially for a period of 3 years. The contract is renewable, subject to satisfactory performance, for the duration of the project. After 3 years, the incumbent will be absorbed as staff of the implementing agency affiliated to during the implementation of the project. There will be an initial performance review by the Project Coordinator after six months. Thereafter, there will be an annual performance evaluation. 6. Required Qualifications and Experience • A M.Sc. in a relevant technical field such as environmental management, social sciences, civil engineering etc., from a reputed university; • A minimum of five years’ work experience in environmental and social management, environmental and social safeguards; • Ability to interact with staff in the relevant implementing agencies. Effectiveness in analyzing and resolving project implementation issues. Familiarity with the relevant Government procedures and regulations; • Experience on donor funded projects and prior implementation of donor safeguards is an advantage. Prior experience in World Bank funded projects will be a further advantage; • Fluency in both oral and written Portuguese and English. 141 ANNEX 9: GENERIC TERMS OF REFERENCE FOR ESIA This Terms of Reference for the ESIA are indicative only and should be revised and adopted for specific proposed subproject. 1. BACKGROUND 1.1 General Brief description of the project on which the subproject is anchored, indicating the main components, with emphasis on the one that finances the subproject for which the ESIA will be developed. 1.2 Description of the Proposed Subproject Detailed description of the proposed subproject, including its proposed location, construction technology, raw material to be used, employment, etc. 2. OBJECTIVE The main objective of the assignment is to develop an Environmental and Social Impact Assessment (ESIA) for the proposed subproject. The ESIA will achieve the following specific objectives: (i) Identify all potential adverse environmental and social impacts of subproject, for the design, construction and operation phase, including recommend measures for impact avoidance, reduce and mitigation; (ii) Prepare an Environmental and Social Impact Assessment (ESIA) report which include an Environmental and Social Management Plan (ESMP), Health and Safety Plan, Waste Management Plan; (iii) Conduct public consultations: at least two public consultations, the first at the scope and baseline analysis stage; the second public consultation when the ESIA preliminary report is concluded. Public consultation shall be in compliance with national ESIA regulation. 3. SCOPE OF THE CONSULTANCY SERVICES The consultant will be required to undertake the following tasks: Task 1. Introduction Objective of the ESIA ESIA Background ESIA Methodology Structure of the ESIA Task 2. Project Description Concisely describes the proposed subproject, including any offsite investments that may be required. It should also clearly define and designate the project area of influence (direct, indirect, and regional if applicable) that is covered by the ESIA. Includes a map showing the project site and the project's area of influence. 142 Task 3. Policy, Legal, and Administrative Framework Discusses the national policy, legal, and administrative framework within which the environmental assessment (EA) is carried out. Explains the environmental requirements of the World Bank Safeguards Policies. Identifies relevant international environmental agreements to which the country is a party. Describe applicable international guidelines applicable to the subproject context. The consultant shall also identify and describe the pertinent regulations governing environmental quality, health and safety, protection of sensitive areas, land use control at the national and local levels, land laws/regulations, laws on gender, child labor, ecological and socio-economic issues, labor influx and conditions, consultation and stakeholder engagement. Task 4. Environmental and Social Baseline In order to predict potential impacts, the consultant should fully describe the relevant physical, biological, and socioeconomic conditions of the subproject area. It should be indicated the accuracy, reliability, and sources of the data. The following are the minimum required elements: Physical environment: Climate, Geomorphology, Geology, Soil, Hydrogeology, Water Resources and Water Quality, Air quality, Sound Environment, Vibrations, Infrastructures (Electric Power Grid, Current Water Supply Network, Current Wastewater Network, Waste Management, Roads) Biological environment and natural ecosystems: Ecology, Fauna and Flora, Protected Areas, Sensitive Habitats and Landscape. Socioeconomic environment: Socio-cultural Component (Population and Settlement, Employment), Economic Activities, Fishing, Industry, Commerce and tourism and hotel industry, Educational Institutions, Public Health, Cultural and Historical Heritage. Land Use and land tenure Task 5. Impact Assessment Predicts and assesses impacts for the construction and operation phases. Both positive and negative impacts in quantitative terms to the extent possible, including cumulative impacts. The direct or indirect effect on natural habitats, fauna and flora, hydrographic processes, farmland, domestic buildings, cultural sites and/or natural resources used by local communities will be evaluated. The description and quantification of the potential environmental and social impacts shall be based on scientific and objective methods. Task 6. Mitigation Measures Based on the findings, the consultant should identify mitigation measures to avoid, reduce or eliminate the negative effects of the project and increase the positive impacts. Identifies any residual negative impacts that cannot be mitigated. Explores opportunities for environmental enhancement. Identifies and estimates the extent and quality of available data, key data gaps, and uncertainties associated with predictions, and specifies topics that do not require further attention. Define specific mitigation measures for potential risks related to influx of labor such as communicable diseases, sexual harassment, gender-based violence (GBV), violence against children (VAC), local inflation of prices, illicit behavior and crime, etc. 143 Task 7. Analysis of Alternatives An alternatives assessment should be made for the subproject intervention area, design, construction techniques/technology and operational procedures. For each of the alternatives assessed, quantifies the environmental impacts to the extent possible, and estimate economic values (cost) where feasible. States the basis for selecting the particular project design alternative and justifies recommended GHG emission levels and approaches to pollution prevention and abatement. Task 8. Environmental and Social Management Plan and Monitoring Program An Environmental and Social Management Plan (ESMP) including monitoring program, should be designed to control the impacts arising from the construction and operation phases. The ESMP should consider both generic construction measures and site-specific measures to address impacts on sensitive environmental receptors. It should also include all other sub-plans that are sub-sets of the ESMP such as, Health and Safety plan, Waste Management plan, and an Emergency and Contingency plan. The monitoring is critical for the successful implementation of the ESMP and ensure that construction activities are in compliance with the requirements stablished for all levels and stages of the subproject implementation. It also helps identify how well mitigation measures are working. The monitoring program shall define environmental and social performance indicators as well as identify what information should be collected, how, where and how often. Task 9. Public Consultation The consultant will be required to conduct at least two public consultation: at least two public consultations, the first at the scope and baseline analysis stage; the second public consultation when the ESIA preliminary report is concluded. Public consultation shall be in compliance with national ESIA regulation. Task 10. Preparation of the ESIA Report The ESIA report should include the following minimum content: • Non-technical summary; • Project description; • Definition of the project area of influence (direct and indirect), considering, in all cases, the human populations, other living beings and the hydrographic basin in which the project is located; • Policy, legal, and administrative framework; • Description of the environmental and social baseline of the project area of influence; • Environmental and social impacts that may result from the project implementation, considering the construction and operation phases; • Potential changes that may be induced by the project in relation to: o working conditions, including hiring and employment practices, health and safety of workers, treatment of temporary and migrant workers, and health prevention programs for workers including malaria, HIV/AIDS and other infectious and water borne diseases. o community health and safety issues, including: traffic, dust, noise, labour influx, gender issues including gender-based-violence (GBV) and violence against children (VAC), sexual harassment and discrimination; impacts and barriers to access affecting vulnerable groups. 144 • Impacts of work site, borrow pits and waste disposal sites and any project ancillary facilities and activities; • Impacts of potential restriction of access to certain areas due to the construction works, and how to manage these impacts; • Analysis of alternatives in terms of project design, construction techniques/technology, and operational procedures; • Mitigation measures to be applied to the project considering national and international health and safety standards (mainly the WBG General EHS Guidelines and the Industry Sector Guidelines for Water and Sanitation) (https://www.ifc.org/wps/wcm/connect/e22c050048855ae0875cd76a6515bb18/Fin al%2B-%2BWater%2Band%2BSanitation.pdf?MOD=AJPERES); • Mitigation measures to avoid, reduce or eliminate potential identified negative impacts; • Specific measures related to traffic management, community and workers health and safety - including HIV and other infectious and sexually transmitted diseases, and community awareness campaigns on the project, sanitation practices and workers relations with local community, should be included in the ESMP which is part of the ESIA report; • Public consultation report including a summary of the comments made during the public consultation process. Annex 9 provides the generic Terms of Reference that would guide the preparation of the Environmental and Social Impact assessment 5. QUALIFICATION REQUIREMENTS AND LEVEL OF EFFORT The Consultant shall be a reputable Consultancy Firm with experience on Environmental and Social Impact Assessment. In particular, the Consultancy Firm shall be fully conversant with World Bank environmental and social safeguards. The firm must be accredited by MTA in order to process the Environmental License. The Consultant shall propose appropriate full time and part-time staff and time inputs for the assignment, but it is anticipated that the following key personnel will be required. The minimum requirements for key staff of this provision of services shall be as follows: • Environmental and Social Specialist with adequate qualifications and sufficient experience to coordinate the elaboration of the Environmental and Social Impact Assessment; • Stakeholder Engagement Specialist, with knowledge of the local dialects, which will promote stakeholder engagement during public consultation; • Occupational Health and Safety specialist with proven specific experience in similar works; • [Indicate other required specialists]. 6. DELIVERABLES AND OUTPUTS The Consultant is expected to submit the following specific outputs: (i) Environmental and Social Impact Assessment (EIA) report; (ii) Environmental and Social Management Plan (ESMP), including a Work Conditions and Labour Influx Management guidelines for the subproject area, template of an ESHS 145 Code of Conduct, a Stakeholder Engagement Guidelines, and Chance Finds Procedures to be followed by the Contractor during the construction phase; (iii) Health and Safety Plan; (iv)Waste Management Plan; (v) Emergency and Contingency Plan. The ESIA and respective plans indicated above shall be prepared in accordance with the ESIA environmental legislation and the applicable WB safeguard policies and guidelines. The reports shall be in both Portuguese and English and be clear and concise and include readable maps, diagrams and pictures. The reports shall be in a format acceptable to local environmental agency (MTA). ANNEX 10. CONTRACT AGREEMENT TEMPLATE This template was taken from the World Bank Standard Procurement Document: Request for Bids Works (2017) available at http://www.worldbank.org/en/projects-operations/products- and-services/brief/procurement-new-framework CONTRACT AGREEMENT THIS AGREEMENT made the ________ day of ________________________, _____, between ______________________________________ of __________________________ (hereinafter “the Employer”), of the one part, and ______________________ of _____________________ (hereinafter “the Contractor”), of the other part: WHEREAS the Employer desires that the Works known as __________________________ should be executed by the Contractor, and has accepted a Bid by the Contractor for the execution and completion of these Works and the remedying of any defects therein, The Employer and the Contractor agree as follows: 1. In this Agreement words and expressions shall have the same meanings as are respectively assigned to them in the Contract documents referred to. 2. The following documents shall be deemed to form and be read and construed as part of this Agreement. This Agreement shall prevail over all other Contract documents. (a)the Letter of Acceptance (b)the Letter of Bid (c)the addenda Nos ________ (if any) (d)the Particular Conditions (e)the General Conditions; (f)the Specification (g)the Drawings; and (h)the completed Schedules and any other documents forming part of the contract, including, but not limited to: i. the ESHS Management Strategies and Implementation Plans; and ii. Code of Conduct (ESHS). 3. In consideration of the payments to be made by the Employer to the Contractor as specified in this Agreement, the Contractor hereby covenants with the Employer to execute the Works and to remedy defects therein in conformity in all respects with the provisions of the Contract. 146 4. The Employer hereby covenants to pay the Contractor in consideration of the execution and completion of the Works and the remedying of defects therein, the Contract Price or such other sum as may become payable under the provisions of the Contract at the times and in the manner prescribed by the Contract. IN WITNESS whereof the parties hereto have caused this Agreement to be executed in accordance with the laws of _____________________________ on the day, month and year specified above. Signed by ________________________________________________ (for the Employer) Signed by __________________________________________________ (for the Contractor) 147 ANNEX 11: BASIC REQUIREMENTS TO ENHANCE ENVIRONMENTAL, SOCIAL, HEALTH AND SAFETY (ESHS) PERFOMANCE This template is based on the World Bank Summary of Environmental, Social, Health and Safety (ESHS) Enhancements available at http://www.eic- federation.eu/media/uploads/newsletter/summary-key_eshs_enhancements-procurement-10- 03-2017.pdf Table 26: Basic Topics for ESHS Perfomance Subject Enhancement Declaration of Applicants/Bidders/Proposers required to declare any civil works contracts that have contract suspension been suspended or terminated by an employer and/or performance security called by or termination an employer, for ESHS reason/s. Strengthened The employer should set out clearly the minimum expectations of ESHS specifications/ performance to ensure that all Bidders/Proposers are aware of the ESHS employer’s requirements requirements Bidders/Proposers should submit, as part of their Bid/Proposal, an ESHS Code of Conduct that will apply to their employees and sub-contractors, and details of how it Workers’ ESHS will be enforced. Code of Conduct The successful Bidder/Proposer is required to implement the agreed Code of Conduct upon contract award Bidders/Proposers should submit ESHS Management Strategies and Implementation Contractor’s ESHS Plans required to manage the key ESHS risks of the project. Management Particular Conditions of Contract now include provisions relating to the (C-ESMP), Strategy and e.g.: the Contractor shall not commence any Works unless the Engineer is satisfied Implementation that appropriate measures are in place to address ESHS risks and impacts; the Plans Contractor shall apply the plans and ESHS Code of Conduct, submitted as part of the Bid/Proposal, from contract award onwards. The successful Bidder/Proposer should provide an ESHS Performance Security (the sum of the two “demand” bank guarantees, normally not to exceed 10% of the contract price), ESHS Performance The ESHS performance security is in the form of a “demand” bank guarantee.” Security The application of this provision is at the Borrower’s discretion. Recommended for contracts where there is significant ESHS risks as advised by Social/Environmental specialist/s. An additional provisional sum, specifically for ESHS outcomes, may be included in ESHS Provisional the Request for Bids/Proposals documents, and eventual contract. Normally, the Sum payment for the delivery of ESHS requirements shall be a subsidiary obligation of the Contractor covered under the prices quoted for other Bill of Quantity/price items. Bidders/Proposers are now required to demonstrate that they have suitably qualified ESHS specialists among their Key Personnel. Key Personnel must be named in the Bid/Proposal, and in the contract. The quality of the proposed Key Personnel (including ESHS specialists) will be assessed during the evaluation of Bids/Proposals Key ESHS Personnel The Contractor shall require the Employer’s consent to substitute or replace any Key Personnel. The Engineer may require the removal of Personnel if they undertake behavior which breaches the ESHS Code of Conduct, e.g. spreading communicable diseases, sexual harassment, gender-based violence, illicit activity, or crime Contracts contain specific ESHS reporting requirements relating to: ESHS Reporting ESHS incidents requiring immediate notification ESHS metrics in regular progress reports. ESHS considerations As part of variation procedures, the Contractor shall provide relevant ESHS during contract information to enable the Engineer to evaluate the ESHS risks and impacts. variation Ability to withhold Contracts now contain provisions allowing interim payments to be withheld where interim payment there is a failure to perform an ESHS obligation. 148 ESHS considerations included in civil The standard Request for Proposals for consulting services now include ESHS works Consulting considerations to apply to the supervision of civil works. Services 149 ANNEX 12: PUBLIC ADVERT FOR MEDIA RELEASE – FASE 1 150 ANNEX 13: MINUTES FROM THE PUBLIC CONSULTATION MEETINGS REPUBLIC OF MOZAMBIQUE MINISTRY OF PUBLIC WORKS, HOUSING AND WATER RESOURCES (MOPHRH) MOZAMBIQUE URBAN SANITATION AND DRAINAGE PROJECT (P161777) ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF), RESSETLEMNT POLICY FRAMEWORK (RPF) Minutes of the Public Consultation Meetings (PCMs) held in Tete, Quelimane and Maputo Cities As part of the ESMF and RPF design under the Mozambique Urban Sanitation and Drainage Project presently under negotiations between the Government of Mozambique (GoM) and the World Bank, PCMs were called through an announcement on the 13th of July 2018 issue of the “Notícia” Newspaper. Given that the project covers four cities (Quelimane, Tete and Maputo), an equal number of PCMs were held in the stated cities with the aim of: • Informing the public about the project and the need for development of the ESMF and RPF; • Discussing potential environmental and social impacts associated with the implementation of the project components, particularly with respect to sanitation and drainage infrastructures; and • Gathering contributions from participants in relation to other environmental and social impacts associated with the future implementation of the project, including on aspects associated with involuntary resettlement, and how best involuntary resettlement should be handled. The PCMs were held as planned. The table below provides relevant data for each PCMs held. Table 27: Relevant Participants at Public Consultations Meetings Executed Relevant institutions in Number of City Planned date Venue date attendance participants Municipality, DPOPHRH, Ara-Zambeze, FIPAG, Vale Moçambique, Tete 01/08/18 01/08/18 Hotel VIP 17 Universities, Agencia de Desenvolvimento do Zambeze 151 Executed Relevant institutions in Number of City Planned date Venue date attendance participants DNAAS, FIPAG, Quelimane 03/08/2018 03/08/18 Hotel Milénio DPEDH, Municipality, 11 UCM Kulima, Parlamento Juvenil, Consulting Maputo 06/08/2018 06/08/18 Hotel VIP 10 companies, DNAAS, NGOs 64 individuals from various public and private institutions attended and actively participated in the PCMs. Parallel to the PCMs, individual interviews with relevant institutions both at national and provincial levels. Targeted institutions with individual interviews included the Provincial Directorate of Health (DPS), Provincial Directorate of Land, Environment and Rural Development (DPTADER), AIAS, Provincial Directorate of Public Works, Housing and Water Resources (DPOPHRH) and Municipalities. Private entities such as NGOs operating in the area of sanitation were equally interviewed. Results of these interviews are reflected in the ESMF and RPF reports. The present minutes relates to the proceedings of the PCMs, whose agenda was structured in the following manner: • Registration of Participants; • Welcome remarks and brief project presentation by the provincial representative of the MOPHRH; • Meeting objectives and detailed project presentation; • Presentation of the ESMF preliminary draft and discussion with participants; • Coffee break; • Presentation of the RPF preliminary draft and discussion with participants; and • Closing remarks and the way forward. Upon participants’ registration, the meetings were followed by opening remarks by the representatives of the MOPHRH at provincial level. With the exception of the PCM in Maputo, other PCMs had the Heads of Heads of the Departments of Water and Sanitation performing the opening remarks (Mr. Cabo in Tete, and Mr. Segredo in Quelimane). The opening remarks in Maputo city were performed by the consultant. The opening remarks meant to welcome participants, approving the agenda and describing the aims of the PCMs. The presentation was split in parts- ESMF and RPF. The former focused on: • Clarification of the objectives of the meeting; • Description of the urban sanitation and drainage project; • Description of the objectives; • Presentation of the applicable domestic legal instruments, including World Bank Safeguard Policies; • Brief characterization of the situation of sanitation in Mozambique; • Presentation of the anticipated project impact; • Participants contributions in relation to the expected environmental and social economic impacts; and • Description of the next steps. The presentation of the RPF dealt with the following: 152 • The concept of RPF and its rationale; • Principle applied to resettlement; • Project activities likely to result in involuntary resettlement; • Mechanisms of dispute and conflict resolution; and • Participants discussion. Relating to the ESMF, the consultant indicated the objectives of the meeting were the following: (a) inform participants on the need to develop the ESMF; (b) generate discussions around the impacts outlined in the ESMF (c) gather participants’ contributions relating to other environmental and social impacts as well as on the project activities will that will potentially result in land acquisition. The consultant further explained that the ESMF being developed at a strategic level and there will be stage in the process, and specific project documents (EIA, EMP, RAP) that will be developed for specific projects. He clarified that the ESMF is designed as strategic and policy document that anticipate project potential environmental and social impacts and its mitigation measures. In presenting the project description, the consultant indicated that the project (which is still under negotiation between the GoM and the World Bank) aims to enhance sanitation services in Quelimane, Tete and Maputo Municipalities as well as increase the capacity to plan and implement investments in the area of sanitation in Mozambique. The total proposed budget is 135 Mil USD distributed across four (05) components, namely: (i) Priority Sewerage Investment in Maputo, Quelimane and Tete (56.50 Million USD); (ii) Onsite Investments for Quelimane and Tete (32.50 Million USD); (iii) Municipal Sanitation Services Improvement (16Million USD); (iv) Technical Assistance and Project Management Support (10 Million USD); Contigency and Emergency Response (0 Million USD). Specific type of interventions under each project component were equally named. Then the consultant presented relevant applicable domestic and international legal framework. On the former, he outlined a set of laws and regulations including on Environmental Impact Assessment (EIA); Land, Local Authorities; Public Participation Process; Labor; Water; Solid Waste Management and the Regulations for Public Works Contracts and Supply of Goods and Services. With respect to international legal framework, the consultant focused on the World Bank Safeguards Policies, and specifically the policies that may be triggered- e.g. EIA; Natural Habitats; Physical and Cultural Resources and the policy on Involuntary Resettlement. For each applicable domestic and international legal framework mentioned, the consultant made an attempt to provide the rationale for the choice/selection. A brief information of the situation of sanitation in Mozambique was presented. The consultant indicated that sanitation in Mozambique is faced with huge challenges in terms of sanitation with only 4% of urban population with access to sewerage and drainage system; sky-open defecation, especially in peri-urban areas and is still part of daily life, which may be associated with lack of adequate sanitation infrastructure. The combination of these challenges affect the quality of life of the population, especially vulnerable groups- e.g. women and children, which is reflected in regular outbreak of waterborne diseases- e.g. cholera and malaria. Ultimately these disease lead to high infant mortality rates. 153 After, the consultant summarized potential benefits arising from the implementation of the project- e.g. the improved health and well-being (cleaner and healthier cities); reduced waterborne diseases (malaria, dengue, cholera and diarrhea); decreased outbreak of potential epidemic infectious diseases- cholera and water contamination due to safe water supply and improved sanitation in target areas; increased awareness of public health and hygiene; employment for local populations (including women) and direct benefits of local household income; reduced levels of poverty, as well as improvement of the socioeconomic and health indicators of the urban population; reduced of localized floods resulting from poor drainage systems and cleaner cities; improved general living conditions of the populations as a result of the effective functioning of sanitation and drainage infrastructures. To conclude the presentation on the ESMF, the consultant summarized the potential negative environmental and socioeconomic impact that may occur in connection with the implementation of the project. For each impact, mitigation measures were advanced, as shown below. Table 28: Summury of Potential Environemntal and Socieconomic Impacts Expected Negative Impacts Expected Mitigation Measures ENVIRONMENTAL • It is recommended that studies on fauna and flora be conducted in the Destruction of habitats and areas identified for infrastructure development species • Restrict the cleaning of natural vegetation • Minimize pollution of soil and water • Distribute mosquito nets to workers involved in the project, especially in construction • Monitor the outbreaks of malaria, urinary infections and water Increase of mosquito incubators transmitted diseases • Prevention of the propagation of adult mosquito • Elimination of mosquito habitats Pressure on Water resources • Better management of water and identification of alternative sources • Avoid or minimize cleaning of vegetation Vegetation destruction • Establish vegetation around the structures • Surface watering to reduce dust and reduce the use of chemical products Gas emissions • Limit speed of vehicles • Regular maintenance of vehicles SOCIOECONOMIC • Take into account the land laws and rights Social conflicts resulting from • Protect vulnerable groups- women and children land acquisition • Ensure participation of vulnerable groups • Prioritize less loud equipment Noise pollution • Institute the use of ear pads among workers Increased HIV/AIDS • Undertake HIV/AIDS awareness campaigns contamination rates • Institute Occupational Health and Safety Measures Work-related accidents • Provide adequate sanitary infrastructures for workers • Establish safe water sources, warehouse for various materials • It is recommended that local labor force be hired, where is possible Frustration of local communities and adequate for not being considered for jobs generated by the project • Local construction companies should be given priority in tenders for infrastructure development • Avoid destruction of local cultural resources Destruction of local cultural resources • The project proponent should determine and highlight whether cultural resources will be affected 154 Expected Negative Impacts Expected Mitigation Measures • There should be specific guidelines on the conservation areas and transfer and compensation of affected people. Then the consultant invited participants for a discussion on the expected environmental and socioeconomic impacts and respective mitigation measures. Participants were asked to expand the existing list environmental and socioeconomic impacts in the ESMF report. The next tables provide summary of the discussions held on the ESMF in Quelimane, Tete and Maputo. The summary integrates the names of participants, the institution they represent, the issue raised and associated environmental and socioeconomic impact. 155 Table 29: Results of ESMF discussion in Tete Associated Environmental and Social Nr. Participant Institution Issue Raised Impacts Clarified the process of grievance redress. Indicated it starts from the social department of the contractor who has to register the complaint before the process is ignited, and it can proceed depending on whether there has been an agreement or no. He indicated there is a need to 1 Milton Nhachengo FIPAG-Maputo N/A establish an effective communication with the complainer and ensure people are well informed. It is therefore recommended that the project takes seriously the complaints by the affected people through a proper mechanism of grievance redress proposed by the consultant. Questioned whether the project includes a treatment station of residual waters and fecal sludge. Questioned whether the municipality already had land/space to accommodate for such infrastructures for final deposition of fecal sludge. 2 Alfatílio Huo UCM- Tete N/A Indicated that the resettlement experience in Tete is not good enough. Communities were expropriated land but were not compensated with other land. Moreover, mining activities in some areas has led to pollution of waters and undermining the livelihoods of families. Regarding the location and final destination of fecal sludge, he reported that in 2015 a consultant was hired who has already identified a site for the construction of the sewage treatment and fecal sludge treatment station. He said that in addition to rehabilitating the current sewage system in the city center and building the treatment station that benefits only about 9% of the city's population, the project will finance the Needs for reutilization of stabilization ponds 3 Rafael Luís Tembo Conselho Municipal construction of improved septic tanks and latrines that when flooded will for agriculture production be emptied and taken to a clipboard. The municipalities think of building stabilization ponds and later use as fertilizers. He said that at present both sewage and sewage sludge from the city's sewage system is discharged into the Zambezi without any treatment, which contributes to the pollution of river waters. It was clarified that in addition to the He mentioned that the city of Tete as mentioned during the presentation construction of latrines, in a model that Hermenegildo suffers from the problem of open fiscalism and low quality of sanitation highlights the contribution of the 4 DPOPHRH-DAAS Nhanquila infrastructures (latrines). Asked if the project contemplates the financing beneficiaries, the project includes the services of this component. of collection of feces and awareness of the citizens. DNAAS Mr. Raul in attempt to clarify issues above, noted that vulnerable people 5 Raul Mutevuie Jr. N/A /MOPHRH and disadvantaged families (low-income families will deserve special 156 Associated Environmental and Social Nr. Participant Institution Issue Raised Impacts attention, receiving support and technical assistance in the construction of improved latrines as part of PSDU interventions. He welcomed the project of sanitation for the city of Tete, since whenever there is rains there is an outbreak of diseases associated with the precarious conditions of the sanitation of the environment. Common 6 Manuel Mussequejua FIPAG-Tete N/A diseases include cholera, malaria and diarrheal diseases. He wondered if the project could interfere with the water distribution network in the city, what would be the treatment if it affected the piping. The consultant added by noting that any impact of the project on public infrastructures He said that this exercise (public consultation) is aimed at identifying should be addressed / negotiated at the level potential impacts with a view to their elimination or reduction. Apart of the institutions involved. In dealing with DNAAS 7 Raul Mutevuie Jr from the water supply system there are many other services that are in state assets, it does not seem fair to speak of /MOPHRH the same situation as FIPAG such as roads, telecommunications, compensations between institutions co- electricity, etc. sponsored by the same Ministry / Government. Coordination of institutions may allow resettlement / removal Clarified that the hiring of local labor is not automatic. The project can only accommodate a not very qualified person. Qualified persons / key 8 Milton Nhachengo FIPAG- Maputo N/A already come in the proposal of the contractor at the time of tender. He added that this is why we recommend hiring the local workforce 9 Eduardo Macuácua Consultant N/A whenever possible. He said that with regard to sanitation and drainage, the city of Tete has a rainwater dividing line from one point (cement zone) to the Zambezi river side and the other part (suburban area) flows to the Nhapanga lake. The suburban area has serious land planning problems, with no access Adérito Tomás roads and no ditches to drain the river waters. Therefore, in these 10 UP-Tete N/A Bernardo neighborhoods there is always accumulation of water generating problems of concealment of mosquitoes and malaria. This problem can only be solved by opening drainage ditches for fluvial waters. He asked whether the PSDU funding covers suburban areas or just the urban area of the city? DNAAS The project does not include drainage of rainwater. The project focuses 11 Raul Mutevuie Jr N/A /MOPHRH on sanitation. It includes different technologies, which includes building 157 Associated Environmental and Social Nr. Participant Institution Issue Raised Impacts of latrines and its emptying system, collection of fecal sludge, treatment and education of households on issues of health. Clarified that the project will primarily rehabilitate the wastewater system in the city area and will build new treatment centers of residual waters and fecal sludge. The suburban areas will benefit from other types of technology for emptying and transferring fecal sludge. These areas 12 Rafael Luís Tembo Municipality N/A will equally benefit from transferring sites and stabilization trenches. Mentioned that the president of the Municipality and the provincial director for Public Works, Housing, and Water Resources were not present at the event due to the presidential visit to Tete. Mr. Cabo on closing remarks, said the limited presence of participants might had resulted from the coincidence of the meeting with the presidential visit to the city of Tete. However, noted that the level of 13 Carlos Francisco Cabo DPOPHRH-DAAS N/A issues raised during the debate were profound and relevant in order to better the documents under development (ESMF and RPF). Thanked all participants for actively taking part in the debate/meeting. Table 30: Results of ESMF Discussion in Quelimane Associated Nr. Participant Institutions Key Issues raised Environmental and Social Impacts Mr. Zeca indicated that any project focusing on sanitation infrastructure development will Provincial Directorate only succeed if additional efforts are made. Among others, these efforts should include a 1 Zeca Fazema of Education and N/A strong environmental community education before, during and after the infrastructures are Human Development in place. Mr. Sumale indicated that before waters are drained into the sea, it is critical that it is Provincial Directorate treated. He asked the project team to check the Decree 45/2006 that provides/regulates the There is a potential that sea 2 Américo Sumale of See, Fisheries and issue of presentation of sea pollution. The project team should equally check the Decree water may be polluted Inland Waters 16/2015 on regulation of plastic waste He voiced concern over possible mismatch between the proposed impacts and the mitigation measures advanced. In his view some of the impacts are broad so are the Municipal Council of mitigation measures. It therefore relevant that these are made in detail. Mr. Brito added 3 Joao de Brito Lopes N/A Quelimane that other entities should be involved in the project, especially the neighboring district governments of Quelimane and Nicoadala given that the Municipality has no state reserve land 158 Associated Nr. Participant Institutions Key Issues raised Environmental and Social Impacts Similar to other suggestions above, Mr. Imede mentioned there was a need to involve Mozambique Catholic 4 Imede schools in the project. In his views schools should be targeted for environmental awareness N/A University campaign focusing on sanitation. Provincial Directorate With respect of hiring local labor, Mr. Segredo indicated that while hiring local labor force of Public Works, 5 Roberto Segredo is good for the project, he also stressed that the laws of the country should be respected as N/A Housing and Water it provides for hiring of adequate labor force Resources Table 31: Results of ESMF Discussion in Maputo Associated environmental and social Nr Participant Institution Key issues raised impact There is a need to take advantage of the residual waters that could be used for industrial purpose and agriculture. This is mainly because past investments did not effectively make use of residual waters and collection of solid waste. If this is not taken into account, the project would be deemed as a failure solid. Moreover, most construction projects have been marked by trucks dropping quantities Construction projects may lead to of inert (sand, asphalt and others) right in the city without any care. This ultimately negative impact on the existing roads if affects the quality of the roads and traffic in the city. transportation of construction materials The destruction of the mangrove to give way civil works risks the lives of the is not properly handled, especially 1 Sérgio Sigavane INGEROP population. This is exacerbated by the fact that the lack drainage system for outlet of asphalt as this have in many occasions waters. been dropped on the existing roads, This project should be seen as opportunity to finance activities designed to enforce the leading to impacting on the structures laws. of the roads. Mr. Sigavane was concerned in relation to limited participation during the meeting. In his view, this may have to do with the way invitations are made. Often, when details of the project under consultation are not properly provided, it may not give enough incentive for participation. So, it is critical to provide relevant project details- e.g. areas of operations. A key aspect relating to a drainage project is associated with collection of solid waste N/A services because these services affect directly the performance of drainage infrastructures. 2 Domingos Tsucana Kulima There is a need for Inter-sectoral coordination, otherwise its lack will impact negatively on the project performance. He mentioned the Great Maputo Water Supply Project under FIPAG which does not integrate the sanitation component, which was supposed to deal with residual waters generated by the project. 159 Associated environmental and social Nr Participant Institution Key issues raised impact Asked whether the drainage infrastructures would be an open sky system or not. N/A Indicated that an open sky system has several downsides- e.g. population tend to dispose solid waste, including using waters for bath, which has public health Youth 3 Saíde Agostinho implications. He cited the example of the Joaquim Chissano drainage system, the Parliament drainage system in Quelimane and other cities in Mozambique. As suggestion, the drainage system be of medium dimension that would beable to have a cover. Whenever there is a rehabilitation of roads (for example, July 24 in Maputo), it is N/A mostly an addition of a layer of asphalt / pavement, which makes the drainage channels irrelevant because they are technically unfit for the new layers. This results in the drainage ditches cease to function with all the consequent consequences. Another problem has to do with road built without runoff ditches (e.g. the Machava INGEROP 4 Sérgio Sigavane road from Coca-Cola) that does not have water drainage ditches which makes the road completely covered during the rainy season and the Surrounding populations suffer from the rainwater coming from the road. The size of the ditches (like that of Joaquim Chissano) is a total waste. This ditch only works at its maximum capacity once in a year in the rainy season. Given the problem of urban mobility could reduce the size to give rise to the increase of the carriageways. He thanked the participants for their contributions and explained that the project, in its N/A inaugural phase, will focus on the area of sanitation, one of the great problems in our cities. The project is much more concerned with the production, transport and treatment of waste water. In relation to the coordination aspect mentioned as being important by some Mutevuie Jr stakeholders explained that already in its genesis, it brings a coordination with other 5 MOPHRH institutions MTA, MISAU, MINEDDH, Municipalities, etc. each with its role. We are in a pilot phase of the project and we welcome the proposal for wastewater reuse and we would also add faucal sludge. The funding component to sensitize populations on sanitation issues (types of technologies and how to use them correctly) is included in the project and I believe that such awareness can include aspects of solid waste management. He requested that PSDU identify a company that has fecal waste treatment technology N/A in order to establish partnerships. There are also coordination aspects with other 6 Domingos Kulima institutions for the use of these sludge after treatment (market) that need to be planned as soon as possible. He said that the project is still in the assessment phase and all the contribution are N/A 7 Eduardo Macuácua Consultor valuable, and will be taken into account. The final aim of this project is to create health 160 Associated environmental and social Nr Participant Institution Key issues raised impact conditions for the communities in the cities covered and avoid recurrent problems of cholera, etc. 161 After coffee break the RPF report was presented. The consultant made it clear that the project is likely to result in involuntary resettlement of people, and because of this, there was a need to develop a resettlement and compensation policy. He defined the RPF as a document that establishes the principles for resettlement and compensation of affected people as well as a proper institutional arrangement to respond their needs. Furthermore, he indicated that the RPF clarifies the cut-off-date; establish the compensation eligibility criteria; the institutional arrangement to manage the resettlement process; mechanism of communication and dispute resolution; and identify the area for resettlement and the compensation values. Then he clarified that resettlement is not strictly related to physical relocation. It may equally include loss of land or physical infrastructures- e.g. business infrastructures and others; crops and trees; physical movement (loss of housing structures); and loss of income; and because of this, any compensation should restore the anterior or better income and wellbeing. After, he outlined the principles applied to resettlement- (i) where possible resettlement should be avoided, and alternative design should be explored; (ii) resettlement interventions should be conceived within the concept of sustainable development; (iii) affected people should be extensively consulted and they should actively participate in the planning and implementation of resettlement activities. Later is presented each project activity and the likelihood of triggering land and acquisition and its magnitude. Of all project activities (especially those relating infrastructure development), the majority are likely to result in land acquisition and the magnitude is generally high/medium. Having presented the principle of resettlement and the likelihood of triggering land acquisition, the consultant introduced the a five-step mechanism for dispute and conflict resolution in the context of resettlement. He clarified this was meant to solve the dispute at the project level, but affected people were free to proceed with the grievance at different levels in case of dissatisfaction until a case is lodged in the court. After the brief presentation on the RPF, the consultant invited participants for a discussion designed to wider the scope of the expected impacts and that should be considered in the development of the RPF. The next table summarizes the names of participants, the institution they represent, and the issue presented. 162 Table 32: Results of RPF Discussion in Tete Nr Participant Institutions Key Issues Raised Observation The consultant explained that the term involuntary means that the action is not taken based on the initiative Questioned if besides involuntary resettlement there is also a voluntary of the affected person. Therefore, involuntary 1 Freitas UNAC resettlement. resettlement is associated with factors beyond the control of the affected person- in this case, it is based on the project demand for land acquisition In sum, resettlement processes in Tete have failed to deliver on its 2 Alfatílio Huo UCM Tete promises. Therefore, the proposed project should avoid similar N/A errors/mistakes. He welcomed the presentation and the clarity in presenting the objectives and discussion of the potential impacts made by the Consultant. He regretted the poor participation of key people involved in sanitation sector at the level of the Municipality and Government of the city of Tete. He spoke of expropriation of the land versus compensation, noting that the Land Law is not very clear as to the calculation of compensation. It merely states that those affected by the loss of land must have fair It clarified that the RAP is a document that should compensation. Even regarding the calculation of crop compensation define, on the basis of the bank's legislation and based on government tables, it has shown loopholes to such an extent safeguards, the methodologies and the prices applied in that lately organizations are using their own tables that are better than the calculation of the compensation. This RAP should Agência de the Government table. This causes the PAPs already compensated in be developed and implemented with the involvement of 3 Marcela Tamele Desenvolvimento do the base of the Government table to approach the proponent to demand affected communities through local resettlement Zambeze the payment of an additional value, generating conflicts. It committees and through public consultation meetings. recommends the need to create an instrument to regulate the issue of In case of loss of land with no room for monetary the calculation of compensation, because as far as it knows at present compensation, land compensation by land is always there is no clear instrument on how much to pay for loss for example recommended. But you can decide to pay an additional of a business (tent). fee for the disturbance and for transportation. Regarding the freezing of the project area (cut-off-date) she mentioned that sometimes the definition of this date is problematic in that there is no certain time horizon for its validity. Projects sometimes take a lot of time to boot and this causes people to ignore this command by building infrastructures on the impact corridor. She requested that QPR clearly state what the maximum validity period is at which people are free to touch their lives forward, following the growth of the city. Regarding the Cut-off-Date, the delay has been perpetuated by the Milton 4 FIPAG-Maputo need to carry out studies including designing the PAR itself, going N/A Nhachengo through public consultations and review, until its approval by the 163 Nr Participant Institutions Key Issues Raised Observation Government / MITADER. That is why it is not always easy to predict the end of the area freeze. Only the starting date of prohibition is known, and the end of this prohibition is unknown. Another problem that causes it to take a long time is that these projects financed by the bank do not include funds for the payment of any compensation. The payment of compensation is the responsibility of the Government of Mozambique and when it is not available the projects delay and the freezing time of the area is also dilated. Mr. Raul Mutevuie, in response to the questions above, Mr. Raul, clarified that in the first phase, the project is for 5 years and could be extended if the agreement is He posed five questions: reached with the donor for another 5, totaling 10 years. What is the time horizon of the project? What determined the choice of the four cities? He added that the choice of the 4 cities was based on The hiring of local labor should be seen as a form of compensation and health indicators (occurrence of diarrheal diseases). recommends giving priority to people who lose income due to the these data were given by MISAU. 5 Régis Tandia Vale Moçambique project. Cut-off-date (area freeze) stated that it is the responsibility of the Another criterion for the drainage area of the river Government to monitor so that people do not build definitive waters is the type of drainage existing here could infrastructures on the corridor of project impact; between other cities like Gaza. But this as abandoned The Law is clear regarding compensation for loss of housing and crops because it represents a very great financial effort. The / trees. But a challenge remains in relation to land. resources are limited and could not accommodate more than the four city. But if it is extended to ten years will be brought more cities to benefit. As for resettlement, he lamented the existence of resettlement cases Manuel 6 FIPAG-Tete that had not been completed for over 10 years with negative impacts Mussequejua on local populations. Table 33: Results of RPF Discussions in Quelimane Nr. Participant Institutions Key Issues raised Observations Indicated that in the past there had been a similar project and after affected people had been N/A resettled they moved again to original areas. Therefore, suggested that the Municipality is Ascensão 1 CMCQ critical in implementing any resettlement project. In addition, he pointed the need to establish Chauchane a strong awareness campaign designed to effectively explain affected people the relevance of the drainage system 164 Nr. Participant Institutions Key Issues raised Observations Lessons from past and similar projects should be drawn, especially in relations to resettlement N/A Mozambique 2 Imede and compensation of affected people. In the past there had been instances of confusion and Catholic University people going back to original areas as well as misunderstandings of involved parties. Provincial The calendar for resettlement should clearly be defined and shared with stakeholders. It is also N/A Directorate of critical that affected institutions are not closed and all should be done to avoid closure of those Roberto 3 Public Works, institutions. The chain of institutions involved in the project should clearly be identified, and Segredo Housing and Water these should be used to sensitize communities and stakeholders on potential impacts, especially Resources in relation to resettlement. Table 34: Results of RPF Discussions in Maputo Nr. Participant Institutions Key Issues raised Observations 1 Domingos Tsucana Kulima RPF- He has no doubt the project will result in involuntary resettlement of people given the N/A considerable informal trade taking place along the streets of Maputo. Recent experience shows that when Maputo Municipality has civil works, informal traders are demanded to present a license of their activities before they can benefit from any form of compensation. This result in negative impact on the livelihoods of these traders 165 Annex 14- List of Participants A) Tete B) Quelimane 166 A) Maputo 167 ANNEX 15: Invitation Letter to comment the updated ESMF 168 169 170 171 ANNEX 16: Comments Receved from AURA IP 172 ANNEX 17: Comments Received From Maputo Municipality 173 174 ANNEX 18: Press invitation sent to Jornal Noticias – Fase 2 175 Reunião de Consulta Pública em Tete 176 Reunião de Consulta Pública em Maputo 177