8.NOV.2002 17:36 ZCCM-I.H. 260 2 245364 NO.754 P.2 RP124 Nov. 2002 ZCCM Investmeato Holdins Pie COPPERBELT ENVIRONMENT PROJECT ENVIRONMENT AND RESETTLEMENT FRAMEWORK November 2002 Prepared by ZCCM-IH Enrironmental Cowdinaton Unit (ZECU) DRAFT Republic of Zambia Copperbelt Evironment Project Under the Auspices of The Ministry of Finance and National Plaunlng Fll E COPY 8.N'OV.2002 17:36 ZCCMI-I.H. 260 2 245364 NO. 754 P.3 TABLE OF CONTENTS Projecct kg o n ............................................................................. 2. Project Insittiwonal Framework ............................................................6 3. Environmental Management Facility........................................................8 3.2 EMF Key Guiding Pnnciples and Operating Policies.......................................8 3.3 P o ec elciProiject...............Selec............i...........Criteria.................... 3.4 M S b- rje tCylE.............ub...........roje............t.....Cycle.................. 1 Sub-Projoet ldcndfication...................................................................1 Initial Review and Decision by EMP .............................................1........... Sub-project Preparmtion and Detailed Desigr ................................................ . 12 final Rcvicw and Approval Dccision by the EvFf .............................................. 12 Tender Procedures and Award of Contrac...................t....s............................ 12 Im le etp inledS pevsen...tat.................an........Su.......ervis...........on.......12....1 Sub-project Comnpletion, Handover and Maintenance.............................................13 4. Consolidated Envirornmcritl Manamemen Plan.............................................. . 13 OO tve fth jPect....i.......v........................................................... 3.1 Preparation of CEMP.............................. ................ .. ................. 13 K a w in ie..........e.........Mine....................Site........................14......1 5. Z mb Le ila in........b.....i..........Leg...............lat..........o................. 14...1 S.1I Zambian Environmental Protection and Pollution Contr~ol Act (EPPCA) ... .... . ...... .......14 5,2 Administration of the Environmental Impac Assessment (ETA) in Zambia ..........................S 6. World Bank Safeguard policies .. ........................................................ 18 Inecumig Capacity for addressing World Bank Safeguard Policies................ .................22 Proedural Requiremcnts for World Bank Safeguards in EMP Sub-Projects...........................23 Environmental Assessment (EA) 0P401.......................................................24 Involuntary Resettlement OP 4.12............................... .......................27 Saeyafe a sOty3 ...........of........Dams.............OP.........4.37................. 2....9 Protection of Physical Cultural Resources OP 4. 11 ............................................30 7. ZCCM-IH Environmental Policy .......................................................... 33 8.1 Objectives of the Resettlement Framework ..............................................34 8.2 Resettlement Planning Principle and Process.............................................35 8.3 Legal Framnework for Compensation ...................................................35 Zan iaE prpibia Exp.................op...........ation.............Laws......3.. .... .....3 World Bank Operational Policy on Involuntary Resettlement (OP 4.12)..............................37 8.4 e Re e e t settleme.............................tProced..................res......... 3... 8 Or airg on lPaniue ................o........l......Procedures..........................38. ...3 Im l me ttpleocemen................ation...............Proc..............s..........38......3 Grevarieevance Redres................................Mec............................. 38..3 AnaA en ntnorF n ine........e..................o..r......Fundin........................38...3 O p r ti n lPoranona.............................ro...........................s.......... 3.....3 Institutional Framework...... ........................................................39 Social Assessrnent at Project Launching.................................................... 39 The process for preparation and approval of rwelertneent plan(s) .................................40 8.5 Criteria and Eligibility for Compensatior ................................................. 40 Pro ctI pl m n atoje......t..............................n......a.............n.......41......4 8.6 Methods for Valuing Affected Assets ..................................................41 Organizational Procedures for Delivery of Entitlements ........ . .......... .............. ....41 M ehot ndB sihodauaio .and........B........i.......of.......V....l.....a........o.......... 42..4 Rep c me tC st............cem e..................t........Co...........t.........42.........4 Com pe ion ....................................t..........on................42..... ......4 Compensation Procedures and Civil Work Schedule ...........................................42 Sources u dig.......................o...........Fund......................g........43........4 Cons ttinanultatiioo....................nd......Partic..............pation................ 43..4 8.7 Approach to Monitoring and Evaluation ................................................45 M on orni ri cpls.................ng.........Principl..........................s.......4........4 Intenisi Monitoring and Evaluation........... .... ..........................................46 Exma MntoirnadEvluln ..Monitor............n......and..........v....lua.........on..I......464 8.NOVY.2002 17:36 ZCCMI-I.H. 260 2 245364 NO.754 P. 4 Annexes ........................................ , ............................. 47 Armex 1. Outline of a ResetWement Plan ................................................7............................ .. ........... 47 Annex 2. World Bank Operational Policy 4.12 ........... I Annex 3. Mcthods of Valuation Structures, Land, Trees and Other Assets........... 61 Annex 4. Contents of a typical EA ........................................6.............................................................................. 62 Annex 5. Contents of typical Environxncnial Mitipmnon Plan .........................................,.............................. 63 Annex 6. Zambian Environmental Legislation ............................. 64 8.NOV.2002 17:37 ZCCtM-I.H. 260 2 245364 NO.754 P.5 ACRONYMS CEMP Consolidated Environmental Management Plan CEP Copperbelt Environmental project EA Envnmental Assessment ECZ Environmental Council of Zambia EMF Environmntal Managemmt Facility EMP Environmental Management Plan GRZ Goverwment of the Republic of Zambia IBRD Intemational Bank for Reconstruction and Development MLGH Ministry of Local Govemment and Housing MTENR Ministry of Tourismi Environment and natral resources MoFNP Ministry of Finance and National Planning NGO Non-Govermmental Organization NSC National Steering Committee PAD Project Appraisal Document PMU. Project Management Unit TOR Terms of Refrence ZCCM-IH Zambia Consolidated Copper Mines - Investment Holding Limited ZECU ZCCM - IH Enviromnental Coordination Unit EMB Enviroanental Mitigation Body PAPs Project Affected Persons ZCCM Investments Holdings Plc 4 8.NOV.2002 17:37 ZCCM-I.H. 260 2 245364 NO.754 P.6 ENVIRONMENT AND RESETTLEMENT FRAMEWORK This document describes a famework for addressing environnental and resettlement issues related to the environmental mitigation activities implemented through the Copperbelt Environment Project (CEP). It outlines principles and procedures that the CEP will follow to ensure compliance with relevant laws of the Republic of Zambia and applicable environmental and social safeguard policies of the World Bank, The Environment and Resettloment Framework complements the Project Implementation Manual (PIM). PIM spells out in detail the project rationale, objectives, componelnts, institutional arrangements, financial and procurement management, monitoring and reporting. The World Bank will carefully supervise CEP to make sure that the safeguarding provisions required by the Zambian or World Bank policies are adequately implemented. As a result of this supervision, the procedures outlined in this document may be refined to improve compliance of sub-projects with safeguard requirements and enhance overall outcomes of the CEP. The document is organized as follows. First, it describes the CEP and fumntioning of the Environmental Management Facility established by CEP to fund multiple sub-projcmts. It also outlines the sub-project cycle from identification to completion. Second, it describes the applicable Zambian and World Bank rules for addressing environmental and social issues, and steps toward compliance with these rules. Third, it describes the legal and methodological framework that will govern resettlement that may be associated with the project. This document is a public document Copies of this document are available from the ZCCM- IH Environmental Coordination Unit (ZECU) and from the World Bank InfoShop. 1. Project Background The mining of copper and minor minerals such as lead and zinc has been the backbone of Zambia's economy for over 80 years. These mining activities though with some financial gain had without doubt many negative and sometimes harmful environmental consequences. Thus, over time there has been an accumulation of mine related enviromnental impacts. ZCCM-IH retained liability for a wide range of environmental concems which were not passed on to pnvate investments consortia and is charged with, among other tasks, managing the remediation of the defimet mine sites and lands, as well as implementing and/or financing the obligations agreed with investors as part of specific privatization deals, such as decommissioning of defunct sites within some new Mine License Areas. A Copperbelt Environment Project (CEP) is being implemented in the Copperbelt and Kabwe, to address environmental liabilities associated with the mining sector, following the privatization of the mining assets. The principal objectives of the plan are to: o Protect the public health and safety; o Reduce or prevent environmental degradation. and o Allow a productive re-use of the land either to its pre-mining use or an acceptable altemative, where applicable. ZCCM Investmcnts Holdings Plc S 8.NOV.2002 17:37 ZCCM-I.H. 260 2 245364 NO.754 P. 7 A cornerstone of the privatizing uasets of Zambia Consolidated Copper Mines Limited (ZCCM) was the provision of assurances by the Govermnent of the Republic of Zambia (GRZ) to prospective investots that responsibility for the historical legacy of mining-related environmental degradation will, where appropriate, remain with the GRZ. The Copperbelt Environment Project (CEP) proposes to help ZCCM - IH and GRZ to: i) Implement a set of environmental and social mitigation measures that have resulted from the ZCCM - IH privatization process and the closure of Kabwe Mine, in patticular the liabilities related to public health and safety. ii) Strengthcn the capacity of concerned GRZ agencies to monitor and enforce the implementation regulations applicable to the mining sector. The project will comprise the following two components. Environmental and resettlement issues are discussed primarily in context of Component 1. Component 1 - The Environmental Management Facility (EMF). The EW will help GRZ and ZCCM-IH address the environmental and social problems resulting from ZCCM's operations prior to privatization, as well as the permanent obligations of GRZ and ZCCM-IH under existing Zambian environmental laws and regulations following privatization. It does so by helping to define the enviromnental problems and by fnancing the costs of their mitigation. Since EME funding is limited, the highest priority will be given to measures that address widespread public health problems or damage.to ecological functions. One of the first activities funded under the EMF wiU be the preparation of a Consolidated Environmental Management Plan (CEMP), which will identify priority issues to be financed through the EMF and provide criteria for the selection of sub-projects funded through the EMF. The CEMP will be a living document, developed in consultation with investors, to be reviewed and updated after two years. More broadly, it will provide a blueprint for handling enviromnmental issues related to mining for the Copperbelt and for Kabwe over the next 25 years, within the broader context of environmental and Social sustainability. Component 2 - Strengthening of the Environmental Regulatory Framework This component will assist the GRZ to ensure that historical and flture environmental liabilities arising from mining activities are handled in compliance with national environmental and social safeguards. This will be achieved mainly by strengthening the capacity of ECZ and the delegated authorizing agencies such as MSD, to review BIAs, negotiate EMPs with investors and with ZCCM-fH, issue pollution permits, monitor complianco, and collect fees and fines. The project will also strengthen NGOs and relevant training institutions, such as the Copperbelt University, to increase national capacity to address enviromnental issues associated with the mining sector. 2. Project Institutional Framework The Ministy of Finance and National Planning will finance environmental mitigation sub-projects related to mining activities from the portion of proceeds of the IDA credit titled Environmental Management Facility. The Minister of Finance will establish an EMF Steering Comrnittee with a measure of autonomy to review the sub-projects to be funded by ZCCM Investments Holdings Plc 6 8.NOV.2002 17:38 ZCCM-I.H. 260 2 245364 NO.754 P.8 the EMF, screen them for priority raing, appraise them to ensure compliance with IDA safeguard policies, approve them for funding, and monitor their implementation. The EMF Steering Committee may delegate some of its responsibility to a technical subcommittee to ensure effective and timely execution of its functions. The Steering Committee will also esure that the program of activities funded by the EMF is consistent with EMF objectives and the policies approved by GRZ and ZCCM-IH and agreed with the donors, and provide policy guidance to those involved. It will be chaired by the Secretuy to the Treasury, and comprise as members the Permanent Secretaries of the Ministries of Environment, Local Government, Mines and Minerals Development, Energy and Water Development, Health, the General Manager of ZCCM-IH, the Director of ECZ and a representative each from the Mine Workers Union of Zambia, the Chamber of Commerce and Industry, the Chamber of Mines and a prominent member of the universities and of non- governmental organizations or civil society. The decisions of the EMF Steering Committee will take into account the views and interests of all stakeholders, including inhabitants of mine townsips and other members of civil society on the Copperbelt, private sector investors in the mining industry. The EMF Steering Committee will authorize funding for a sub-project proposals developed on the basis of an application prepared by their respective sponsors. The proposal will fully justify disbursements against particular works or consultant services contracts designed for the mitigation or remediation of the environmental liabilities being addressed. For the EF Steering Committee to operate on a day-to-day basis, it will be served by a permanent secretariat called tie EMF Secretariat. The Secretaiat will have a Manager with qualifications and experience acceptable to IDA, assisted by an accountant and support staff (Program Assistant and Driver), with their operating offices in the Ministry of Finance and National Planning (MoFNP). The Manager and other staff from the EMF Secretariat will be supported by a technical assistance budget from the EMF. Prior to project effectiveness, the MoFNP will enter into a five-year Subsidiary Agreement with ZCCM-IH acceptable to IDA, for the preparation and implementation and EMP sub-projects. lThe agreement will cover an on-lent part of the proceeds, to carry out sub-projects addressing its environental liabilities, as well a grant part of the proceeds, to carry out sub-projects addressing GRZ environmental liabilities. GRZ and ZCCM-IH will establish a mechanism to determine their respective environmental liabilities and to address potential disagreements on the division of liabilities. ZCCM Investnents Holdings Plc is a Government owned limited liability company that is charged amongst other tasks, with the management of: i) the defunct assets that it has retained following privatization, ii) environmental obligations agreed with investors as part of privatization deals, iii) enviromnental liabilities arising from mining operations prior to privatization. ZCCM-IH is accountable to the Ministry of Mines and Minerals Development (MMMD) for its operations. ZCCM-IH has designated the Environmental Services Group within ZCCM-IH, which will be named the ZCCM-IH Enviromental Coordination Unit (ZECU), to be responsible for the development of detailed sub-project proposals, their implementation and their procurement. The ZECU will consist of a Manager supported by adequately qualified and experienced staff in environmental management, finance and accounting, procurement, environmental law, communications and community development. These functions are to be provided to the satisfaction of the EMF Steering Committee and of IDA. The sub-projects will be implemented through contractors supervised by ZECU. The ZECU has already managed CEP preparation and supervized the implementation of urgent mitigation measures funded through the Labor Retrenchment Program (LRP) surplus. ZCCM Invcstmcnzs Holdings Plc 7 B.NOV.2002 17:38 ZCCM-I.H. 260 2 245364 NO.754 P.9 3. Environmental Management Facility 3.1 Objective of theEMF The main objective of the EMF is to help ZCCM-IH address the environmental problems that awe the result of its past operations and fulfill the permanent obligations that it has under existing Zambian environmental laws and regulations. It does so by helping ZCCM-IH to define the environmental problems and financing the costs of their mitigation, including the costs of overseeing the implementation of the priority mitigation measures. The environmental problem to be addressed are: * located in some properties that were sold to investors under the condition that ZCCM- IH would assume the responsibility for remedial action for the historical damage * outside the properties that were sold to investors, responsibility of which rests with ZCCM-IH * arising from mining operations that have had environmental consequences the responsibility for which has not been assumed by the investors or ZCCM-IH but now rests with GRZ. The ES will finance the cost of priority environmental and social mitigation measures resulting from ZCCM past operation or the cost of environmental measures agreed with investors who have bought ZCCM mining assets. The EMF will allocate resources to ensure that the highest priority mitigation measures are implemented. The procedures and guidelines for the management of the EMF will have to satisfy IDA requirement. I The role of ZCCM-IH in the EMF will be to ensure, through the various management structures, that the EMF resources are targeted at priority envirownental problems and are within the regulatory requirements of the ECZ. The ECZ role will be to ensure the compliance of the EMP sub-projects to Zambian enviromnental regulations and World Bank Safeguard policies 3.2 EMF Key Guiding Principles and Operating Policies The following key guiding principles and policies will govemn the EMF: * Health and Environmental Priorities The measures that will have the highest priority for financing by the EMF would be those dealing with problems that will lead to, or are associated with, widespread and serious health problems and/or environmental damage. A criterion for classifying the problems is discussed under project selection critera in the following section. * Communication, Disclosure and Community Participation The CEP will to carry out several rehabilitation works in order to remove pollution hazards from some of the mine sites in various districts on the Copperbelt and in Kabwe. In order to do so effectively, it must make appropriate information about the project available to different stakeholders or social groups in different locations at appropriate times. Site users, local residents, interest groups all may have ZCCM lnvestments Holdings Pie 8.NOV.2002 17:38 ZCCM-I.H. 260 2 245364 NU. 'D4 r. 1L contrbutions not only to preventing site misuse, but also to technical options considered in the project. The project and its contracted experts will therefore consult with the community in the project area, to record their concerns. and to develop innovative approaches and mechanisms to achieve long-term sustainable site remediation. Community participation may involve, more specifically: (i) Some minimal long-term maintnance (drain cleaning, preventing deforestation of re-vegetated areas, and so on) that would eventually become the responsibility of the organization or individual who takes over the site. If the site reverts to local government, capacity for even minimal maintenance is low. Therefore, the project will need to explore the possibility of encouraging interested patties to help with maintenance. (ii) Where applicable, the use of community labor in labor intensive subprojects for remedial measures as a priority. (iii) Providing solution6 to issues such as vandalism, accident prevention and deforestation of sites. (iv)Whmere a community has consented to the design and implementation of a project, a sign off on the project brief showing that they agree to obligations they may have for the site. Access to Land Site users will not be summarily denied access to sites they use as income sources unless they are vandalizing it or causing harm to the site's stability, or exposing themselves to unacceptable level of health risk. To protect the health of site users, a risk assessment will be conducted by a toxicologist to assess risks associated with in using a site. This may result in a recommendation to deny access to part or all of a site. 3.3 Project Seecti'on Criteda Though the ENF will be established the number of projects requiring fimancing is many and hence available resources vill not be enough. A project selection criteria has been established for selecting projecta that will give the highest benefit to the community. The method of selecting priority projects vill be based on risk. Risk will be based on the potendial impact of the issue and the likelihood of these impacts occurring, That is risk is a fimction of likelihood of an event to occur and the magnitude of the impact. The risk and priority can be summarized as shown in table 1 below. The higher the impact, and the higher the likelihood this impact will occur, the higher the risk. ZECU will use a qualitative risk assessment approach based on visual observations and experience to make subjective or intuitive decisions. The qualitative approach is suitable for identifying high-risk issues so mitigation measures can start before more quantitative data is collected. A more quantitative risk analysis can be undertaken after the proposed CEMP when an extensive database is accumulated allowing for more deductive decisions. ZCCM Inveatmcns Holdinp Plc 9 8.NOV.2002 17:29 ZCCM-I.H. 260 2 245364 NU.'{4 Mt.11 Table 1. Risk assessment matlix Modium Risk High Risk Very High Risk Low Risk Medium Risk High Risk Very Low Risk Low Risk Medium Risk Likelihood Table 2. Results of the risk assessment can be used to allocate the EW funds Priority Risk Action Additional Information Catesor= _ 1 Very Immediate Funding Accelerate process of site High investigation and measures to address issue 2 High Immediate Funding Accelerate process of site investigation and measures ________ ________ ___________________________ to address issue 3 Medium To be funded. Timing to take Complete EMP for this account of the other high priority issue actions 4 Low Funding to be assessed Complete EMP foT this depending on other priorities issue being addressed and available finds 5 Very low Funds unlikely Complete Es for this ________ ________ _________________________issue Value and Standards Risks have to be prioritized based on what is being impacted. Some value standards have been suggested for this evaluation but more values will be developed during the project implementation phase. Risks associated with the loss of human life take the highest priority and those which affect habitat though very important will take sixth position when allocating resources for mitigation as depicted by the table below. Table 3. Value and Standards Order Values Standard 1 Hwnan Life 0 loss of human life 2 Human Productivity 2 to 4 lost work days/year 3 Human Qualibyof Life 20% unwell days/year 4 Agriculture and Fishery 20% loss of income ZCCM Invcurmcnts Holdings Plc 10 8.NOV.2002 17:39 ZCCM-I.H. 260 2 245364 NO.754 P.12 s I Plant and Animal I 5% loSSo species 6 Habitat/Natural Resources 20% loss of habitat 3.4 JEMF Sub-Project Cycle ACcess to te resources of the EMF to cover the costs of mitigation measures for the sub- projects will be granted on the basis of an application that fully justfies the assistance required for a particular mitigation or remediation sub-project. This section descnrbes the main stages of the EMF sub-project cycle. The section also describes the approval process for accessing funds under the EMF. It should be noted that some sub-projects of an emergency nature have already been identified by ZCCM-IH. These include; Kabwe, TD 33C (Kitwe), TD 3 and 8 (Mufiulira), Chonga Dam (Luanshya) and No.2 Acid Plant (Kitwe). These sub-projects will have to be addressed during the first 6 months of the operation of the EMF. In the sub-project cycle, the EMFu will consider these priority sub- projects at the Final Approval stage since they have already been identified as priority sub- projects Sub-Project Identfieation The sub-project identification phase will include the following steps: * Dissemination to stakeholders of the opportunities available to ZCCM-IH, investors and other stakeholders to identify proposals for environmental remediation. * Dissemination of criteria for identifying sub-projects for funding under EMF. * Completion of sub-project documents on the priority sub-projects already identified for funding under EMl. Other sub-projects, which will be identified, by ZCCM-IH, investors and stakeholders will also be required to have complete sub-project documentation. The sub-project documents should include justification for remediation intervention. This stage will also involve sub-project environmental and social screening. The intemal screening of the sub-project proposals will be done by the ZECU staff using pre-deterained criteria and Zambian Regulations as well as World Bank safeguard policies. The process of initial screening will also include field verification missions and preliminary identification of potential impacts. The ZECU will then prepare sub-project briefs, application and other infonnation for submission to the Technical Sub-committee. Sub-projects can either be rejected or approved at this stage. More guidance on environmental and social screening is given in section six. Initial Review and Decision by EMF The EMF shall be the authority for the approval of sub-projects. However, operationally, this responsibility may be delegated to the EMF Technical Sub-committee, which shall receive the sub-project Applications and other infonuation from the ZECU. E1MF will involve in the initial review the technical expertise necessary to adequately consider the proposed sub- projects. After the initial review, the EMF will approve the sub-projects and will inform the ZECU about their decisions and activities. ZCCM Investments Holdings Plc 11 8.NOV.2002 17:39 ZCCM-I.H. 260 2 245364 NO.(:4 id Sub-project Preparaton and Detailed Design The Investor or ZECU may carry out the detailed planning and design or Consultants can carry this out There will be expert reviews for large and complex sub-projects that trigger safeguards or require complex engineering design. With the assistance of ECZ, the World Bank and GRZ enviromnental safeguards shall be included as part of the detailed feasibility studies and design. If it is deemed that a full Environmental lmpact Assessment is required, the World Bank and GRZ procedures should be followed. Ihese will be checked for compliance in the process of reviews and approvals. The key outputs of this stage may include: * A Feasibility Study report and recommendations * Sub-project Brief * An Environmental Assessment (EA) or Environmental Analysis report * Design and cost estimates of proposed civil works for remediation and other activities (for example, community sensitization and outreach, community participation) * Draft Bidding documents and contracts Local residents and authorities as well as other concerned citizens wil need to be involved in sub-project design from the beginning. The future roles of local citizens and authorities in the long tenm maintenance of reclaimed sites will need to be specified and explained at the sub-project design stage and included in the sub-project brief. The ZECU will take the detailed design of the sub-project to the EMF. Final Review and ApprovalDecision by the EMF The ZECU will present the proposed sub-projects to the EMF for consideration. The ZECU will attach to this request for approval, details of the procurement method and plan, cost estimates and expected outputs and benefits, including those that may accrue to the local community. The ENE will give final approval of the proposed sub-projects for remediation actions and also make a commitment of fands for the implementation of these sub-projects. Tender Procedures and Award of Contract If the proposed sub-project will be tendered, the ZECU will prepare and seek necessary approvals for the bidding documents. Necessary approvals will be obtained from the Tender Committee for ZCCM-IH or IDA s appropriate. Invitations for bids will be done through appropriate advertisements, locally and intermationally as appropriate. Upon receipt of bids an evaluation committee will carry out bid evaluations and produce recommendations for award of contracts. This will be submitted to the ZCCM-IH Tender Committee or IDA as appropriate for approval. Upon approval being granted, contract documents will be prepared by either the ZECU Procurement Specialist or the consultants so hired. Such contracts will have to be approved by ZCCM-IH Tender Committee and/or IDA as appropriate. Contracts will then be offered to the successful bidders. Implementation and Supervision Once a sub-project has been approved and all agreements with contractors have been finalized, the ZECU's role will he limited to the follow-up on implementation. ECZ will also be involved in monitoring and ensuring that the sub-projects comply with World Bank ZCCM Investments Holdings Plc 12 8.NOV.2002 17:40 ZCCM-I.H. 260 2 245364 NO.754 P.14 Safeguards and/or GRZ Regulations. The nature and size of the sub-project will determine the scope and depth of the follow up. ln some instances, ZECU staff will have to be supoed by short-term consultants/advisors. Funds should be set aside under the EMF for this purpose to be accessed by the ZECU when necessary. Feedback on progress of implementation and the lessons of experience should be systematically incorporated in the preparation of subsequent sub-projects. Progress report, updates, reviews will be produced from the supervisory and monitoring activities and will be submitted to the EMP for information. In addition to this, these reports will be disseminated to stakeholders for full public disclosure. Sub-project Completion, Handover and Maintenance After the works have been completed the ZECU will receive a completion report from the contractor. Early in the implementation of CEP, a study will be commissioned'to review and come up with recommendations of how the long-term sustainability issues and maintenance of the remediation works will be handled. In the interim the outputs by consultants in the detailed desigp should include the requirement for them to explore how this should be done in the individual sub-projects. 4. Consolidated Environmental Management Plan One of the first activities of the EMF will be to prepare a Consolidated Environmental Management Plan (CEMP). The CEMP will establish the overall management priorities taking into account the environmental and social sustainability. The preparation of the CEMP is described below. Objectives of the CEMP The urgent priority of the EMF will be to prepare a Consolidated Environmental Management Plan (CEMP) which will rationalize all the EMPs prepared by investors, ZCCM-IH for each privatized facility and other downtam issues and the responsibilities of GRZ. The CEMP will also determine the cumulative impact of mining activities outside the current mine license areas, including impacts on the Kafue River watershed, on critical ecological processes and on neighboring populations. It will establish the overall environmental management priorities within the broader context of environmental and social sustainability and indicate how these liabilities are to be addressed. The CEMP will contain detailed mitigation measures that ZECU and other stakeholders will implement. Preparation of CEMP The steps to be followed for the process of preparing the CEMP as an activity of the EME are summarized as follows: o Drafting Terms of Reference for undertaking the preparation of CEMP * Advertising globally for contractors to express interest to undertake the assignment * Short-listing by ZCCM-IH and invitation to tender in accordance with World Bank and ZCCM-IH guidelines * Selection and negotations with contactors in accordance with World Bank and ZCCM-IH guidelines * Preparation of CEMP ZCCM Investments Holdings Plc 13 8.NOV.2002 17:40 ZCCM-I.H. 260 2 245364 NO.754 P.15 * Submission of CE§MP to EMB Stering Committee * Finalization of CEMP Some sub-projects have already been implemented and funded from the LRP and PPF because such projects could not be held up until the EMF facility was established. These sub- projects include issues that required urgent intervention to prevent further worsening of environmental conditions and time bound contractual environmental obligations. The sub- projects financed under the emergency priority will still need to complete the necessary sub- project implemeutation, such as sub-project brief, and will include a safeguardO review. Thus, the infonnation to be included in the required documentation will include the following; * Any negative social impact * Expected environmental impact and risk of the mitigation measures * Safeguards checklist * Technical alternatives considered * List of stakeholders consulted on the alternatives * Site use plans specific to how residents will or will not use site * Maintenance requirement where structures are changed and who is responsible for these Kabwe Mine Site The CEMP will not cover Kabwe, but ZCCM-IH will update the original (1995) Plan to take on board the cunrent approaches and financing arrangements for ZCCM-IH and GRZ obligations. The Kabwe Mine Site will involve an extensive risk communications and will have a strong health component and will therefore, require close coordination and networling. The ZECU will manage Kabwe with the assistance of a satellite project implementation team comprising an Environmental Site Coordinator, Environmental Health Nurses and a Laboratory technician. A lead task force will be set up with the objective of setting up priorities and long temn goals and sustainability of cleaning up lead impacts in Kabwe. The task force will comprise ZCCM-IH, Provincial Health Board, ECZ, MSD, Private Health Practitioners, Kabwe Municipal Public Health, Neighborhood Health Committees and other relevant stakeholders. The ECZ will require to review and revise the closure plan. 5. Zambian Environmental Legislation Although the Copprbelt Environment Project is by design a remedy of existing environmental problems, its activities must comply with the requirements of the Zambian environmental regulations and the World Bank safeguard policies. 5.1 Zambian Environmental Protection and PoUlution Control Aci (EPPCA) The Environmental Protection and Pollution Control Act (EPPCA) of 1990 is the primary environmental law that is designed to regulat all environmental issues in Zambia. This act and its subsidiary legislation have to be adhered to in the scoping, design, and implementation of the sub-project. The main Subsidiary Legislation is: * The pesticides and toxic substances regulations SI 20of 1994 Act No 13of 1994 * Environmental Impact Assessment Regulations (1997) ZCCM Investments Holdings Plc 14 8.NOV.2002 17:41 ZCCM-I.H. 260 2 245364 NO.754 P.16 * Air Pollution Contol Regulations (1996) * The Water Pollution Control (Effluent and Waste Water ) Reguladons SI 72of 1993, 177 of 1993 Act No 13 of 1994 * The Waste Management (Licensing of Transporters and Waste Disposal Site) Regulations SI 71 of 1993 In enforcing environmental legislaion in the mining industry. the ECZ collaborates with the Mines Safety Department (MSD) of the Ministry of Mines and Minerals Development (MNBMD) as its authorzing agent or main lead institution. The relevant legislation for the industry includes: * The Mines and Minerals Act No. 31 Cap 213 of the Laws of Zambia. * The Mining (Mineral Resource Extaction) Regulations, Statutory Instrument No. 1 19 of 1994 * The Mines and Minerals (Environmental) Regulations, Statutory Iatrument No. 29 of 1997 * The Mines and Minerals (Environmental Protection Fund) Regulations, Statutory Instrument No. 102 of 1998. There are other pieces of legislation which are also to be consulted depending on the nature and type of sub-project. They are listed in Annex 6. 5.2 Administradon of the Enironmental Impact Assessment (EL) in Zambia Institutional Responsibides The administration of the EIA process in Zambia involves three primary stakeholder parties. These are the developer, the sectoral agencies or planning authorities and the Environmental Council of Zambia. Other parties may be involved directly or indirecdy either because they are interested or affected in one way or another. This group is referred to as the Interested and Affectod Parties (IAPs) and includes the general public. Each of these parties is responsible for specific administrative aspects of the EIA process. The Developer Administration of the EIA process starts with the developer or project proponent conceptualizing a development project. The primaiy objective of the developer is to bring about development either by provision of goods e.g. manufacture of cars or by providing a service e.g. construction of a road. Developer may include investors, govenmment ministries and departments, the private sector, the local community and other community based groups, the non-governmental fraternity, politicians, traditional leaders, the general public and consultant or indeed anyone proposing a development activity. The responsibilities of the developer include the preparation of project documents, completing the EIA, meeting management requirements resulting from EIA recommendations and meeting the expectations for the public or IAPs. In this regard the developer pTovides information regarding the nature and scope of the project, the expected impacts, management and mitigation measures, monitoring programs and the rehabilitation ZCCM Invesments Holdings Plc lS 8.NOV.2002 17:41 ZCCM-I.H. 260 2 245364 NO.754 P.17 programs. The developer also needs to inform the public on areas needing their involvement and ensure that they are agreeable to the type of project he is embarking on. Sectoral Agencies/Planning Authorities Sectoral or Authorizing Agencies refer to any government ministy or departnent, public corporation, local authority or public officer in which, or in whom any law/regulation or bye- law vests powers and finctions to authorize, control or manage any aspect of a proposed or existing project. These agencies work on behalf of the public to ensure that ecological, cultral, social and economic issues are addressed in line with existing government policy and legislation. Their main responsibility is to ensure that the proposed project meets all the sectoral requirements for which the agency is mandated. The Environmental Council of Zambia (ECZ) The Environmental Council of Zambia is a lead agency on all matters of environment in Zambia. It is empowered by the Environmental Protection and Pollution Control Act of 1990 (Cap 204) to do all such things as are necessary to protect the environment and control pollution so as to provide for the health and welfare of persons, animals, plants and the environment It is fiuther empowered to identify projects, plans and policies for which environmental impact assessment are necessary and ensure that the same is done in line with the provisions of the EIA regulations. Its responsibilities include managing the BIA process, sponsoring a decision and ensuring that management occurs in accordance with the decisions made. In this regard the ECZ establishes the terms of reference for project assessments, reviews reports including the Prospectus, EIA and follow-up monitoring reports. The Council also helps the project proponent to establish a public consultation process. The Public The public is a very important party in the BIA process. Growing public concern for environment spells out the need for involving the public in decision making. This allow the developer to inform the public or interested and affected parties about the project and afford them an opportunity to express their concems so as to include the same into management plans. Apart from it being a legislative requirement, public involvement helps reduce problems such as increased costs, project delays arising from public opposition to the project; bad publicity and litigation. The responsibilities of the Public in the EIA process include: Provision of information about the local environment, community goals and aspirations in relation to the proposed development. Other inputs include contributing to the social, cultural and economic evaluation of the project; assisting in the decision making as well as the management process. The ELA Process The EIA process follows three basic stages. These are: * The project screening stage where a proposed project is screened as to whether it qualifies for an ELA process or not. The main focus here is the Project Brief * EIA preparation and review. The main focus here is the EIA statement ZCCM Invesntcns Holdings Plc 16 8.NOV.2002 17:41 ZCCM-I.H. 260 2 245364 NO.754 P.18 Project implementation where the main focus is the management of mitigation measures together with post assessment environmental monitoring and auditing. Environmental ProSect Brief (EPB) Administration of the EIA process starts with the project proponent preparing a Project Brief which gives a description of the project in line with the provisions of the Environmental Impact Assessment Regulations, Statttory Instument no. 28 of 1997 and submits the same to the ECZ. Once the ECZ has received the Project Brief it sends copies to relevant authorizing agencies for their comments. This is done within seven days of receiving tho same. The authorizing agency has thirty days in which to give a feed back to the ECZ. The ECZ proceeds to make a decision basing this on its own assessment, that of the authorizing agency and that of other relevant institutions. The decision is made either to approve the project with or without conditions or to compel the project to a full EIA study. The Council makes this decision within 40 days of receiving the project brief. Pertnent aspects of the process at this stage include; * Screening of the project in line with the provisions of the EIA regulations to deteTmine if the EIA proces6 is applicable or not. If the EIA process is not applicable, the developer is informed accordingly. If the process is applicable to the particular project the Council proceeds to consider if the Project Brief contains all the required information. If some of the required information is missing, the Developer is informed accordingly. If information provided is adequate, the Council proceeds to distribute the Project Brief to other responsible authorities. * Once information from all the relevant sources/institutions has been rcceived the Council proceeds to compile a summary of all impacts(biophysical, ecological and social) associated with the project in a document called the project profile. * Basing on the information contained in the project brief, the information provided by other institutions, the EIA Regulations and any other information required, the ECZ proceeds to consider if there is a risk that certain activities of the project may cause notable impacts on the environment, If the project is found to have no notable impacts on the environment, the Council recommends project approval and prepares a decision letter accordingly. If the project is found to have notable impacts on the environment, the ECZ proceeds to consider the impact mitigation plan. If the plan is satisfactory, the project is approved and if not the project is either rejected or recommended for a full EIA study. Environmental Impact Statement i Once a project has been recommended for a ful ETA study the developer proceeds to conduct the study in line with the provisions of the ETA regulations. The developer starts with a scoping exercise and proceeds to prepare the Terms of Reference (TORs) for the study. This is done within forty days of receiving communication from the ECZ. The ECZ considers and rejects or accepts the TORs within five days of receiving the same. If the TORs are accepted the developer proceeds to identify a team of experts to carry out the EIA study and submits the same to the ECZ. The ECZ considers and either rejects or accepts the study team. Once the study team has been accepted, they proceed to conduct the BIA study in line with the ZCCM Investments Holdings Plc 17 8.NOV.2002 17:42 ZCCM-I.H. 260 2 245364 NO.754 P.19 TORs provided. During the process of conducting the EIA study, the team ensmues that the public is adequately consulted. Once the study has been completed the developer presents the same to the ECZ following the provisions of the EIA regulations. Once the ECZ has received the EIA statement, it circulates the same to relevant agencies for comments and at the same time proceeds to invite public views and comments on the report. Once this has been done and the comments have been received, the ECZ proceeds to consider the EIA statement paying partcular attention to the need for mitigation measures and then considers if the suggested measures are acceptable or not. After this has been done, the ECZ makes a decision either approving the project with or without conditions or rejecting it all together. Once a decision has been communicated to the concerned parties (roject proponent or Affected and Interested Parties are free to appeal against such a decision within ten days of communicating the decision by the ECZ. Pertinent issues in this process include: * Proper identification of impacts to be focused on in the conduct of the EIA study and consequently the preparation of adequate tenns of reference * Proper identification of the team to undertake the ETA study. Special attention should be paid to the inclusion of a local expert. * Adequate consultation with the public to ensure that their views have been taken into account in the preparation of the study * Preparation of Mitigation Measures and an Environmental Management Plan together with a follow-up of post assessment enviroranental monitoring and auditing. 6. World Bank Safeguard Policies The World Bank safeguard policies are operational policies whose primary objective is to ensure that the Bank funded operations do not cause adverse social and environmental impacts and that they "do no haxm". As all other World Bank funded operation, the CEP must comply with the requirements of the safeguard policies (safeguards). l From among the ten safeguard policies, the following are expected to be triggered by a number of the activities funded under ihe CEP: * Environmental Assessment (OP 4.01) * Involuntary Resettlement (OP 4.12) * Safety of Dams (OP 4.37) * Physical Cultural Resources (OP 11.03) * Natural Habitats (OP 4.04) A brief overview of applicability and objectives of these safeguard policies follows. For full policies, see httrp//www.ifc.orEctenviro/EnvSoc/SafemTard/safeauard.htxn. Environmental Assessment (OP 4.01) Applicability: The policy is triggered if a project is likely to have potential (adverse) environmental risks and impacts in its area of influence. ZCCM Invcstmcns Holdings Pic 8. NOV. 2002 17: 42 ZCCMI-I.H. 260 2 245364 NO. 754 P.20 Objective: The objecfive of the policy is to ensure that Bank-financed projects are environmentally and socially sound and sustainable, and that decision-maling is improved through appropriate analysis of actions and of their likely environmental and social impacts. The policy covers impacts on the natural environment (air, water and land); human health and safety, physical cultural resources; and transboundary and global environment concerns. EA corniders natural and social aspects in an integrated way. Particular social aspects (involuntary resettlement, indigenous peoples) as well as issues of natural habitats, pest management, forestry, and safety of dams are covered by separate policies with their own requirements and procedures. However, the environmental assessment process provides insights to ascertain the applicability of other safeguard policies to specific projects. This is especially the case for the policies on natural habitats, pest management, and physical cultural resources that are typically considered within the EA process. The policy descnbes an enviromnental assessment (BA) process for the proposed project. The breadth, depth, and type of analysis of the EA process depend on the nature, scale, and potential environmental impact of the proposed project. EA evaluates a project's potential environmental risks and impacts in its area of influence; examines project altematives; identifies ways of improving project selection, siting, planming, design, and implementation by preventing, minimizing, mitigating, or compensating for adverse environmental impacts and cnhancing positive impacts; and includes the process of mitigating and managing adverse environmental impacts throughout project implementation. The policy favors preventive measures over mitigatory or compensatory measures, whenever feasible. In CEP, all sub-projects will be screened in the earliest stages of their preparation to ensure compliance with the policy and ascertain whether other safeguard policies are triggered. The sub-projects will be screened not only for their direct impacts but also for indirect and cumulative impacts. Based on the screening, sub-projects will be assigned a category 1, II, or m. Category I will be assigned to sub-projects with anticipated significant adverse environmental impacts that are sensitive, diverse or unprecedented. For these sub-projects, full EA (BIA, according to Zambian law) will be required. CategoTy II will assigned to sub-project with anticipated specific adverse environmental impacts that are less adverse than in category I For these sub-projects, an Environmental Analysis limited to the specific environmental impacts of the sub-project will be required. Category IL1 will be assigned to sub-projects with anticipated minimal or no adverse environmental impacts. For these projects, no further environmental review beyond environmental and social screening will be required. Categories I, n1, m should not be confused with EA categories A, B, or C defined by the OP4.01. Categories A, B or C pertain to any World Bank funded project (the entire CEP, in this case) while categories I, II and m pertain specifically to the CEP sub-projects. Through following the requirements for categories r, 11 and m, outlined in the Matrix of Procedural Requirements for World Bank Safeguards in EMF Funded Sub-Projects document (see next section), compliance with OP 4.01 will be ensured. Involuntary Resettlement (OF 4.12) Applicability: The policy is triggered not only physical relocation caused by the project, but by any loss of land or other assets resulting in (i) relocation or loss of shelter, (ii) loss of assets or access to assets; or (iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location. ZCCM Investmnents Holdings Plc 19 The policy applies to all components of a project that result in involuntuy resettlement, regardless of the source of fnancing, It also applies to other activities resulting in involuntary resettlement, that in the judgment of the Bank, are (a) directly and significantly related to the Bank-assisted project, (b) necessary to achieve its objectives as set forth in the project documents; and (c) canied out, or planned to be carried out, contemporaneously with the project. Objective! The objectives of the resettlement policy are to (i) avoid or minimize involuntary resettlement where feasible, exploring all viable altemative project designs; (ii) assist displaced persons in improving their former living standards, income earning capacity, and production levels, or at least in restoring them; (iii) encourage community participation in planning and implementing resettlement; and (iv) provide assistance to affected people regardless of the legality of land tenure. The policy safeguards against impoverishment risks of involuntary resettlement that may be associated with a development projects. It addresses risks that the production systems may be dismantled; people may face impoverishment when their productive assets or income sources are lost; people may be relocated to environments where their productive skills may be less applicable and the competition for resources greater, community institutions and social networks may be weakened; kin groups may be dispersed; and cultural identity, traditional authority, and the potential for mutual help may be diminished or lost In CEP sub-projects, the policy will govem resettlernent from legally or illegally used land that will undergo rehabilitation or be otherwise affected. Detailed application of the policy is discussed in the section on Resettlement Framework. Safety of Dams (OP 4.37) Applicability: Ihe policy is triggered by (i) a project involving construction of a large dan (1S m or higher) or a high hazard dam (e.g. dams that retain toxic materials or have special design complexities); or (ii) a project which depends upon an existing dam. In the CEP, the policy is applicable to rehabilitation of the tailing dams. Objectives: For existing dams, the objective of the policy is to ensure that any dam that can influence the perfonnance of the project is identified. a damn safety assessment is carried out, and necessary dam safety measures and remedial work are implemented. For projects involving construction of new dams, the policy objective is to ensure that experienced and competent profossionals design and supervise construction and the Borrower adopts and inplements dam safety measures for the dam and associated works. In CEP, the policy will require a comprehensive safety and geo-technical evaluation of all tailing dams and implementation of necessary safety measures. Physical Cultural Resources (OP 11.03) Applicability: This policy applies to physical cultural resources in all projects requiring a Category A or B Environmental Assessment under the OP4.01 on Enviromnental Assessment (see above). Physical cultural resources are movable or immovable objects, sites, structures, groups of ZCCM Invcstmcnts Holdingg Plc 20 B.NOV.2002 17:43 ZCCM-I.H. 260 2 245364 NO.754 P.22 stuctures, natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Phymcal cultwal resources may be located in urban or rural settings, and may be above ground, underground, or underwater. Objective: The objective of the policy is to avoid or mitigate adverse impacts of Bank financed development projects on physical cultural resources. Normally, the Bank would not finance projects that will significantly damage non-replicable cultural property, and will assist only those projects that are sited or designed so as to prevent such damage. In CEP, compliance with this policy will ensure that rehabilitation activities will not cause harm to physical cuhual resources that may be located in the project area of influence. The policy will be implemented through the EA process. Natural Habitats (OP 4.04) Applicability: The policy is triggered by any project with the potential to cause significant conversion (lO6s) or degradation of natural habitats, whether directly (through construction) or indirectly (through human activities induced by the project). Natural habitats are land and water areas where ecosystems' biological communities are formed largely by native plant and animal species, and human activity bas not essentially modified the area's primary ecological functions. Objective: The objective of the policy is to supports the protection, management, and restoration of natural habitats. The Bank adheres to a precautionary approach to natural resource management to ensure opportunities for environmentally sustainable development. The conservation of natural habitats is essential to safeguard their unique biodiversity and to maintain envirornental services and products for human society and for long-term sustainable development. In CEP, the policy, implemented through the EA review process, will ensure that all direct and indirect impacts of sub-projects on natural habitats are adequately considered and mitigated. Given the number of anticipated sub-projects, it will be important to ensure attention to cumulative impacts of sub-projects as well, Should the risk of conversion be significant, CEP will need to introduce mitigation measures, e.g. providing a natural area to offset the loss from conversion or degradation. The significance of conversion or degradation is detennined on a case-by-case basig for each project, through the environmental assessment process. As an approximation, conversion or degradation is likely to be significant if it involves, cumulatively, either (i) in absolute temis, more than about 10,000 hectares of natural habitats or (ii) in relative terms, more than one percent of the remaining area of any ecosystem type within the country. To assess the significance of conversion or degradation at a sub-project level, the approximate threshold should be determined by dividing 10,000 hectares by the anticipated number of sub-projects (e.g. 500 ha if 20 sub-projects are anticipated). It is the informed expert judgment, however, rather than these approximations, that should drive the decision on significance of a sub- project on natural habitats. ZCCM Investmcnts Holdings Plc 21 8.NOV.2002 17:43 ZCCMI-I.H. 260 2 245364 NO.754 P.23 Increasing Capacity for addressing World Bank Safeguard Policies To build adequate capacity for addressing World Bank safeguard policies, CEP will implement several training, knowledge management and capacity building measures at the early stages of project implementation. Safeguard Polcy Training and Guided Practical Work ZECU will intemnationally recruit a highly qualified World Bank Safeguard Policies Advisor to develop expertise of ZECU staff to cary out social and environmental screening, identify issues relevant to safeguarding natural habitats, physical cultural resources, persons affected by resettlement, and recognize sub-project activities that may trigger any other World Bank safeguard. To develop adequate expertise, the Advisor will combine theoretical safeguard training with guiding the ZECU staff in their work on handling safeguard requirements for the EMF sub-projects. The Advisor will work residentially or in very close contact with ZECU until sufficient capacity for handling routine safeguard issues is developed within the unit. ZECU will retain additional experts at the recommendation of the advisor to complement his expertise as necessary. The World Bank may request ZECU to carry out an independent audit of the ZECU capacity in respect to environmental and social safeguards. The audit would be carried out before the end of the Advisor's assignment to verify that adequate safeguard capacity has been developed sufficiently to handle safeguard issues without extemal assistance. Technical staff of the EMF responsible for reviewing sub-project Applicationsmand other documents related to safeguards will also participate in the training. As a part the joint traiing, ZECU and environmental assessment (EA) practitioners from ECZ should identify, with the guidance of the Advisor, ways for streamlining the sub-project documentation to avoid duplicity and ensure that the safeguard documents (e.g. Environmental Assessment, resettlement plans, etc.) meet the Zambian and World Bank requirements. Safeguard Trigger Questions Checklist The Advisor will prepare a Safeguard Trigger Questions Checklist to aid screening of EMF sub-project for activities that are likely to trigger the safeguard policies. The checklist will guide ZECU staff during field reconnaissance and assist them to identify the safeguard issues in sub-project Application and other documents. It will also help to assure consistncy and comprehensiveness of screening across various sub-projects. Based on the checklist, the Advisor and ZECU may also develop detailed guidelines for reviewing environmental and social impacts of the most common types of sub-projects (e.g. tailing dams rehabilitation). Cumulative and Indirect Impact Guidelines The Advisor will develop guidelines for identifying and addressing cumulative environmental impacts from the sub-projects on the main areas of concem (e.g. surface waters, soil, air, landscape, etc.). The Advisor will also develop guidelines for addressing indirect (induced) impacts of sub-projects. Adequate attention to cumulative and indirect impacts will be particularly important given the (large) number and (sometime misleadingly small) scale of EMF sub-projects. Safeguard Knowledge Management ZECU, in cooperation with the Advisor will design and establish a mechanism for retaining the practical knowledge gained from managing safeguard aspects of EMF sub-projects. This ZCCM Investments Holdings Plc 22 8.NOV.2002 17:44 ZCCM-I.H. 260 2 245364 NO.754 P.24 may include establis1mlent of a simple website or database (e.g. CR-RON) with key documents Oiterature, legal documents, policies, guidelines, good pactice, TOR, checklists, progress reports, contas for key resource persons and consultants) that will aid ZECU staff and others, e.g. regulatory agencies, local govemments, NGO's or general public, that may be involved in sub-project preparation. To safeguard knowledge management activities will include periodic independent audits of the safeguard performance (after a sufficient number of sub-projects has been handled). The findings of the audit will serve to derive lessons for improving the safeguard capacity and as a quality assurance mechanism. Capturing the safeguard know-how will assist ZECU in managing sub-projects, facilitate disclosure of relevant information to the public, encourage consistency ftroughout the sub- project portfolio, encourage safeguard dialogue with other donors and reduce disruptions potentially caused by turnover of ZECCU staff. Procedural Requirements for World Bank Safeguards in EMP Sub--Projects The following matrix outlines procedural steps required of the key actors involved in implementing CEP. It spells out what agency will be responsible for what safeguarding steps at different stages of the EMF sub-project cycle. The matrix gives requirements for each safeguard policy known to be triggered at the time of CEP preparation. It includes disclosure and public consultation requirements that are essential to effective application of safeguard policies. ZCCM Invcstmcnts Holdings Plc 23 ;IJ Matrix of Procedural Requrements for World Bank Safeguards n EMF Fmded Sub-Proects N Environmental Asacssment (EA) OP4.01 610 g9I ~- I r-R&I & W_ i % ft - - e- *9'.* - 1. Sub-Project ZECU: Applcation Idenk ialon and L. Bnsures adequate expertise is invohved in environmental and social sceening and all subsquent steps in assessing A Jicaion and mihgating environmenal and socmiJ impacis; Existing and easily available N 2. Ensures (he environmentai and social screening considers anvadable information, including input from consultations douments on enviromen tal with affected groups and field reconnaissance; and socaa conditions of the 3. Screens by exanining the type, location and scale of the proposed project as wvnll as the nature and magnitude of its sub-project area and potenind impcds, and anticipated impacs I 4. Assigns the nu-prqject a category 1,11 or 1I1 based on its liklry envum lenta impacts and indicates what conresponding envnmental rcview instrument (e.g. cnvironmenal assessmned (EA) or crvwronmental analyses is required);' 5. Rcsponds to Safegrd Trigger Questions (checklist to be developed by Safeguard Speciatist); N 6. Outlines liel:y mitigation measures to address anticipated envirwnmenial and social impacts; N 7. Recurds the above (steps 2.- 6.) in the Application and suppots with available documentation and brdiscussion ( of anticipated social and envirosmental impacts; H. Advises the Bank of any sensitive issues er concerns; Z InWa Revew and EMIF: Application Dec Won I Reviews the Application for adequate environmental and social screening. seeking mdependent expertise as necessaty 2. Ensures the Bank has been advised of any sensitivc isstes or concerns 3. Approves sub-projec fwr fiurher processing Record of Decision J. SubPrjte Preprrran Categorv I sub-vnole Full EA report including a an and DednfedDsign . eAviroenta migation For category I sub-projects (requiring EA). plan3 ZECU: I. Cansuhs te stakeholders on the findings of the screening and secks their views as an input in (he BA prep4mhlion 2. Identifies the scope of EA, procedes, schedule and utline of he rept, and diTOR 3. Submils the above to EMP for comnent. 4. Retains independent qualified EA experts not affiliated wilh the projcct to carry out the EA2 o Category I is given to sub-projects wOit anticipatod significant adverse enviroamental inipacs that are sensitive, divese or umprecedented. For these sub-projcts, ful EA is required. Category 11 is given to sub-project svith antcipated specific adverse environmental impacts that mu less adverse than in category 1. For these sub-projects, an _rvironmenla analysis limited to the specific emnromnental impacts of the sub-project is requireci Category Hi Ls given to sub-projes with anticipated minimal or no adverse envronmeal impacts For these projects, no further enviroentarl review beyond enviromnental and social screening is required. -u N ZiCCM Investens Koldings Plc 24 03 2 N 03 5. Carries out the EA and prepares a diaft EA report including an envirmetal mitigation plan N 6. Consults te public on de above 7. Submits the draft EA rtpot with an executive summarny and key points frem the consultations to EMF and the Bank fbr conmmet S. Firalizes the HA repot based an feedback received and submits it (o World Bank for clearance and for disclosure via the InfoShop, and posts it locally;3 For category I sub-projects (requiring full BA), EMP: 9. Reviews the procedural and substanie elements of the EA with ZECU and comments as necessay an TOR 10. Ensures the adequacy of financing arngements for prepoation of the EA and implementaion of the environmental mitigation plan; 11. Reviews ad com.ments on thc draft BA, N 12. Ensures that EA findings and envirownental mitigation plan recmcndations are reflectod m sub-project design; 13. Ensrs the adequacy of public consultation and disclomure of infomation; RN 14. Reviews the fmal BA and gives no-objection; N (At For calegory I sub-projects (rquing full EA), w The Bank 15. Assists ZECU as necessary in prepaation of TOR fclassifies the sub-project based on the new infarmatio if necessary and advises eMF of r-classifcation 4. Find Rcvkea llhF: Legal Agrement beeiden 1. Rcviews and approves the sub-projet for ftuding Record of Decision 7 2. Hnsures that the record of decision I legal agreement between EMF and ZOCM reflecs the reconmnendations of the 0 EA and associated environmental mitigation plan (for Catcgoy I) or recommdations of the environmenl analysis (for Catboy 11) S Tender P)rweda seand ZECU: Technical Specifications, Award f Carawcfa I. Enres thaa TOR and contacts arc consisteni with the rcnommendations of BA ur envirernental analysis Cotact N ZCCM Investnents Holdings PIl 26 00 0 Impkmanwi.m Al ZECU: Proge Repo Nb Saperviric 1. Ensures that the sub-project is supervised by staff with adequate environmental and social expettise 2. Reviews sub-project implemenLation against reommendations of the enviromerAal nitigation plan or tn recommendations of ihe environmenal analysis and recorde findings in periodic the progress reports 3. Submits thc repoit regtulsry to EMF and Bank for category I sub-projects and to EMP for category 11 and Il sub- N EMPF: 4. Reviews progress reports from ZCCM 5. Advises Ihe Bank of any sensitive issues or concerns thal may bencfit from Bank's assistance 7. Sub-Prq 1 Ca lekfi n", ZECU: Completion Report N andover, Maintmw,e, L. Prep&s sub-project comnletion wrport with a brief analysis of the actual envirmnental impacts and outlines in the report measums o address environmental inpacs (teir preveion, mitigation and monitoring) thal would continue N to manifest themselves after sub-projcct omnpiction; r _ Submits the report to BMF and Bank for category I sub-prq ects and to ENMF for category 11 sub-projects; -tn 0)' Involuntary Rtseltlemenl OP 4.12 L Subroject ZECU: Application; IdeAfhliA and I. Assesses the nature and magnitude of lhe lkely displacenent, Existing documents on social AppIicahim 2. Outlines potential design alernatives to avoid or minimize displacement; conditions in sub-project mar 3. Indicates whethwT Resetldement ActionPrian (RAP)will bepteparod; and anticipated resetlement issues; 2 Inifia Revew and EMF: Record of Decision Deesiojz 1. Reviews Ihe Application fur adequate discussion of resettlemnt, seeking independent expertise as nccessary 2. Advises the Bank of any sensitive issues or oteemns that may benefit from Bank's assistance; z _ -3. Approves sub-projec for futher processing; - 3. Ssb-Projea Preparadon ZECU: RAP 6 ZECU wifl make the drafl and the final RAP available at a place accessible to, and in a furm, manner awl language undrstandable to the displaced or affected people and local NGO& N ZCCM Investments HioldLngs Plc 27 WidDdak Design I. Ensures adequate input of sub-project affected persons (PAPs) in the rescttlement process; N 2. Considers viable aternatmi sub-project designs to avoid, where feasible, or nminimize displaoement; 1 3. Prepares a diafl RAP consistnt with the Bank's resenlement policy, Zanbian law, amd CEP Envirenment and Resettlement Framework ensuning involvement of adecquale expetise and consistency across sub-projects; (A 4. Posts RAP in publicO, collect and considers public comments; 5. Makes arrangmnt for internal, or, if necessary, independent external monitoring and evaluation of Ihe unplemaitation of the RAP; 6. Submits the RAP to EMP and the Bank (for the first five RAPs); Necessary permits or lienses N 7. Makes the RAP available publicly7 from reTlvant regulator ag:ncies 4. Find ;eeiW EMP: Legal Agreement or Dlrsien 1. Reviews the RAP and moenitoing analgemeits to vewfy complianmc with the oank's rescttlencent policy an Recoerd of Deision Zanbian law as a canditicn of sub-project approval; 2. Ensures availability of adequate Govermend funds for reselltlement; 3. Ensures ZCCM obligations to rimpleent the RAP and mrnitoing measurs are reflected in the record of decision/legal agreement; N 0-I The Bank; t . Par the fisst ftvc RAPs reviews the RAP and monitefing amnnegmens and gives no objoclion; 5. TendrrI Pracedrw, _____________________s__________ 6. nmpfmenaliUn & ZECU: Progress reports to EMF Siupervision . Implereits Ihe approved RAP, 2. Implements the prposed monitoring and evaluation of resettlenwn, 3. Includes reports on RAP inmpcimetaton in the regular progress reports to EMF; 4. Advises the EMF of any sensitive resettlement issues thal may anse; 7. Srb-PdrJccY Cornpe Z .CU Complelion report; Han&wer, MaWrmace, 5. Moiitors and evaluates resettlement according to the proposed monituring and evaluation measures; 6. Advises the ENI of any sensitivc resettlement issues that may arise; The DA111L _I. Monitors resettlemcnt during periodic supervision missions; Z rk) 7See above 7C nsresHlnsi 7,(XM Investmnt Holdmngs Plc 28 aD Safety ofDams OP 4,37 - c _/~~~~~~~~~& r |e ig Mm M Dff M; XA ME c= SIlFt!E tf[f-ASE- l. Sftrb-Pnrp ZECU: Applicatin m Mendflai)' and 1. Prepare TOR for an indcpnden cxpent (JE) to advise on safety meamires n tailing dns sub-prects A,picalen 2. Reviews wih the involvemenl af JE, the dam safety of all talig dams in project area and outlines measrce for adequately improving dam safety; N 3. Describes dwm safety issues in the Applicahon The Bank: L . Reviews the TOR of the E frfno oubjection; Z na" Review ad EMF: Application Dwlaw 1. Involvcs relevanl