E4129v2 THE GOVERNMENT OF KENYA MINISTRY OF WATER AND IRRIGATION WATER SECURITY AND CLIMATE RESILIENCE PROJECT (WSCRP) FINAL ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) (P117635) January 10th 2013 Prepared by: Tito Kodiaga Senior Environmental Specialist Water Security and Climate Resilience Project (WSCRP) Project Preparation Team (PPT) Nairobi, Kenya. Cell: +254-722-579272 Email: tito@emconsultants.org URL: http://www.emconsultants.org Page | 1 Final Report WSCRP Environmental and Social Management Framework - ESMF TABLE OF CONTENTS TABLE OF CONTENTS .........................................................................................................2 GLOSSARY OF TERMS ..........................................................................................................6 ACRONYMS & ABBREVIATIONS ........................................................................................8 EXECUTIVE SUMMARY.......................................................................................................11 1 INTRODUCTION..........................................................................................................31 1.1 Purpose of the ESMF ........................................................................................................... 31 1.2 Rationale for the ESMF........................................................................................................ 32 1.3 Approach for the preparation of ESMF ................................................................................ 32 1.4 Project Description ............................................................................................................... 32 1.4.1 Country and sector context/ Project Concept .............................................................. 32 1.5 Sectoral and Institutional Context ........................................................................................ 33 1.5.1 Relationship to Country Partnership Strategy (CPS) .................................................. 34 1.5.2 Proposed Development Objectives (PDOs) ................................................................. 35 1.5.3 Objectives of the Project .............................................................................................. 36 1.6 Water Security and Climate Resilience Project.................................................................... 36 1.6.1 WSCRP Components: .................................................................................................. 37 1.7 Project Institutional and Implementation Arrangements ...................................................... 42 1.7.1 Implementation Arrangements ..................................................................................... 44 1.8 Alternative Considerations ................................................................................................... 46 1.8.1 No Project Scenario ..................................................................................................... 46 2 METHODOLOGY AND CONSULTATION ..............................................................47 2.1 Detailed & In-depth Literature Review ................................................................................ 47 2.2 Interactive Discussions ......................................................................................................... 47 2.3 Preparation of ESMF ............................................................................................................ 47 3 BASELINE DATA ..........................................................................................................48 3.1 Location and Size ................................................................................................................. 48 3.2 Physical Environment........................................................................................................... 49 3.2.1 Climate ......................................................................................................................... 49 3.3 Topography and Drainage .................................................................................................... 49 3.3.1 Hydrology .................................................................................................................... 51 3.3.2 Soils and Geology ........................................................................................................ 51 3.4 Land Use .............................................................................................................................. 53 3.5 Biological Environment-Ecosystems ................................................................................... 53 3.5.1 Grasslands ................................................................................................................... 53 3.5.2 Forests ......................................................................................................................... 53 3.5.3 Arid and semi-arid lands (ASALS) ............................................................................... 53 3.5.4 Mountain vegetation .................................................................................................... 54 3.5.5 Freshwaters and wetlands ........................................................................................... 55 3.5.6 Marine and coastal areas ............................................................................................ 55 3.6 Socio-Economic Background ............................................................................................... 60 3.6.1 Population .................................................................................................................... 60 3.6.2 Economic Growth & Setting ........................................................................................ 61 4 DESCRIPTION OF THE ADMINISTRATIVE, POLICY AND REGULATORY FRAMEWORK ........................................................................................................................64 4.1 The Legal, Regulatory and Policy Framework ..................................................................... 64 4.1.1 Constitutional provisions ............................................................................................. 64 4.1.2 Vision 2030 .................................................................................................................. 65 4.1.3 Environment Management and Coordination Act (No. 8 of 1999), EMCA ................. 65 4.1.4 Occupational Health and Safety Act, 2007 .................................................................. 67 4.1.5 The Water Act 2002...................................................................................................... 69 Page | 2 Final Report WSCRP Environmental and Social Management Framework - ESMF 4.1.6 The Wildlife Conservation and Management Act, Cap 376 ......................................... 71 4.1.7 Public Health Act Cap 242 .......................................................................................... 71 4.1.8 Physical Planning Act .................................................................................................. 72 4.1.9 The Forest Act No 7, 2005 ........................................................................................... 72 4.1.10 The Land Act 2012) ...................................................................................................... 73 4.1.11 The Trust Land Act (CAP 288) .................................................................................... 73 4.1.12 Antiquities and Monuments Act, Cap 215 of 1983 ....................................................... 73 4.1.13 The Lakes and Rivers Act Chapter 409 Laws of Kenya ............................................... 73 4.1.14 The Employment Act, 2007 .......................................................................................... 73 4.2 Relevant Sector Policies and Reforms ................................................................................. 74 4.2.1 National Policy on Environment and Development Sessional Paper No. 6 of 1999 ... 74 4.2.2 The National Environmental Sanitation and Hygiene Policy-July 2007 ..................... 74 4.2.3 Forest Policy 2005 ....................................................................................................... 74 4.2.4 Fisheries Policy ........................................................................................................... 75 4.2.5 Draft Wildlife Policy 2007-Draft ................................................................................. 75 4.2.6 Wetland Policy 2008 Draft .......................................................................................... 75 4.3 Water Sector Reforms .......................................................................................................... 76 4.4 Relevant Institutions-Environmental .................................................................................... 77 4.4.1 Environmental Assessment Administrative/Institutional framework ........................... 77 4.5 Autonomous and Semi-Autonomous Government Agencies (SAGAs) Related to the WSCRP ............................................................................................................................................ 79 4.5.1 Water Sub-Sector ......................................................................................................... 79 4.6 International Environmental and Social Management Requirements .................................. 81 5 DESCRIPTION OF WORLD BANK ENVIRONMENTAL & SOCIAL SAFEGUARDS POLICIES AND TRIGGERS.......................................................................82 5.1 World Bank’s Safeguards Likely to be Triggered by WSCRP ............................................ 85 5.1.1 Environmental Assessment (OP4.01) ........................................................................... 86 5.1.2 Involuntary Resettlement (OP 4.12) ............................................................................. 87 5.2 Alignment of WB and GOK Polices relevant to this ESMF ................................................ 88 5.3 Requirements for Public Disclosure ..................................................................................... 89 6 DETERMINATION OF POTENTIAL ENVIRONMENT AND SOCIAL IMPACTS 90 6.1 Positive Impacts ................................................................................................................... 90 6.1.1 Employment and Improved Service Delivery ............................................................... 90 6.1.2 Increase Water Supply ................................................................................................. 90 6.1.3 Increased Food Security .............................................................................................. 90 6.1.4 Improved economic growth .......................................................................................... 90 6.1.5 Flood Control and Water Resources Conservation ..................................................... 91 6.1.6 Environmental Protection ............................................................................................ 91 6.1.7 Create Birdlife Habitat ................................................................................................ 91 6.1.8 Market Creation ........................................................................................................... 91 6.2 Potential Adverse Impacts .................................................................................................... 91 6.3 Adverse Environmental Impacts .......................................................................................... 91 6.3.1 Loss of vegetation ........................................................................................................ 91 6.3.2 Change in Hydrology ................................................................................................... 92 6.3.3 Loss of Fauna............................................................................................................... 92 6.3.4 Soil Erosion/Acidification ............................................................................................ 92 6.3.5 Decreased Water Quality ............................................................................................. 92 6.3.6 Downstream Impacts of Dams ..................................................................................... 93 6.3.7 Borrow Pits and Quarry Sites ...................................................................................... 94 6.3.8 Impacts on Ecosystems................................................................................................. 94 6.3.9 Greenhouse Gas Emission ........................................................................................... 94 6.3.10 Decreased Air Quality ................................................................................................. 94 6.3.11 Changes in downstream morphology of the riverbed and banks ................................. 94 Page | 3 Final Report WSCRP Environmental and Social Management Framework - ESMF 6.3.12 Dam safety related impacts and Flooding ................................................................... 95 6.4 Social Impacts ...................................................................................................................... 95 6.4.1 Diseases Spread-Public Health.................................................................................... 95 6.4.2 Incessant Traffic including accidents........................................................................... 95 6.4.3 Loss of Land ................................................................................................................. 95 6.4.4 Impact on social fabric and community relations ........................................................ 96 6.4.5 Resource Use Conflicts ................................................................................................ 96 6.4.6 Gender Issues and Impacts .......................................................................................... 96 6.4.7 Impacts on Vulnerable and Marginalised Groups ....................................................... 97 6.4.8 Noise and Vibration Impacts........................................................................................ 97 6.4.9 Health and Safety of Construction Workers................................................................. 97 6.4.10 Solid and Effluent Waste Hazards Generation and Pollution...................................... 98 6.4.11 Increased crime and in-migration................................................................................ 98 6.4.12 Visual Intrusion: .......................................................................................................... 98 6.4.13 Food Security ............................................................................................................... 98 6.4.14 Employment Issues ....................................................................................................... 98 6.4.15 Risk of drowning .......................................................................................................... 98 6.5 POTENTIAL CUMULATIVE IMPACTS .......................................................................... 98 6.6 Environmental & Social Management Process .................................................................. 100 6.6.1 Mitigation considerations and options....................................................................... 101 6.6.2 Recommended mitigation measures ........................................................................... 101 6.7 Monitoring Plans and Indicators ........................................................................................ 105 6.7.1 Monitoring of Environmental and Social Indicators ................................................. 105 6.8 Issues Related to Resettlement, Pest Management, Physical Cultural Resources, Vulnerable and Marginalised Groups Plan and Dam Safety ............................................................................. 117 6.8.1 Resettlement Action Plan ........................................................................................... 117 6.8.2 Integrated Pest Management Plan ............................................................................. 117 6.8.3 Physical Cultural Resources Management ................................................................ 117 6.8.4 Protected Areas, Natural Habitats and Forests ......................................................... 117 6.8.5 Dam Safety ................................................................................................................. 118 6.8.6 Vulnerability and Marginalised People Plan ............................................................ 119 6.9 Monitoring Roles and Responsibilities .............................................................................. 119 6.9.1 WSCRP Executing Partner Institutions ..................................................................... 119 6.9.2 National Environment Management Authority (NEMA) ............................................ 119 6.9.3 PMU -Environmental and Social Specialist............................................................... 119 6.9.4 Others (Water Users Associations and Civil Society Organisations) ........................ 120 7 PROJECT REVIEW, COORDINATION & IMPLEMENTATION ARRANGEMENTS 120 7.1 Sub Project Investment Review ......................................................................................... 120 7.1.1 Screening and investment project preparation .......................................................... 121 7.1.2 Who prepares a screening checklist? ......................................................................... 121 7.1.3 Statutory content of Project Reports:......................................................................... 126 7.1.4 Scoping Report ........................................................................................................... 128 7.1.5 ESIA Study ................................................................................................................. 129 7.1.6 Social Impact Assessment Process ............................................................................. 129 7.1.7 Public Review of the ESIA Report.............................................................................. 130 7.1.8 ESIA Review Process ................................................................................................. 130 7.1.9 Environmental Permitting Decision (EPD) ............................................................... 130 7.1.10 Annual Environmental Audit...................................................................................... 130 7.2 Overall Project Compliance and Reporting ........................................................................ 131 8 CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE –wscrp .132 8.1 Institutional Capacity for ESMF Implementation .............................................................. 132 8.1.1 Ministry of Water and Irrigation................................................................................ 132 Page | 4 Final Report WSCRP Environmental and Social Management Framework - ESMF 8.1.2 Other Relevant Government line ministries and agencies ......................................... 132 8.1.3 Water Users Association ............................................................................................ 133 8.2 Identification of Capacity Needs ........................................................................................ 133 8.2.1 Technical Capacity Enhancement .............................................................................. 133 8.2.2 Training will focus on: ............................................................................................... 133 8.3 ESMF Implementation Budget ........................................................................................... 135 9 PUBLIC CONSULTATION AND DISCLOSURE ....................................................137 9.1.1 ESMF Disclosure ....................................................................................................... 137 9.1.2 Public Consultation.................................................................................................... 137 9.1.3 Grievance Mechanism................................................................................................ 137 9.1.4 Establishment of Grievance Redress Committee ....................................................... 138 9.1.5 Public Complaints Committee ................................................................................... 139 9.1.6 Land and Environment Courts ................................................................................... 139 10 REFERENCE.................................................................................................................140 Annex A. Stakeholders Consulted .................................................................................................. 141 Annex B. Stakeholders Issues and Concerns Summary ................................................................. 142 Annex C. Format of Project Report As Required by NEMA ......................................................... 147 Annex D. Format of ESIA Study Report ........................................................................................ 148 Annex E. SAMPLE TERMS OF REFERENCE (TOR) FOR AN ENVIRONMENTAL & SOCIAL IMPACT ASSESSMENT FOR WATER RELATED PROJECTS ............................................... 150 Annex F: Format of an Annual Environmental Report ....................................................156 Page | 5 Final Report WSCRP Environmental and Social Management Framework - ESMF GLOSSARY OF TERMS Cumulative impacts/effects: The total effects on the same aspect of the environment resulting from a number of activities or projects. Developer/Proponent/Sponsor: the entity – person/ company/agency – proposing to develop/implement/install a new project/sub- project or expand an existing project under the WSCRP Direct impacts: An effect on the environment brought about directly by the WSCRP Disclosure: Information availability to all stakeholders at all stages of the development of projects. Environment: physical, biological and social components and processes that define our surroundings. Environmental and Social Impact Assessment (ESIA): A comprehensive analysis of the project and its effects (positive and negative) on the environment and a description of the mitigative actions that will be carried out in order to avoid or minimize these effects. Environmental Monitoring: The process of examining a project on a regular basis to ensure that it is in compliance with an Environmental Management Plan (EMP), or the Government of Kenya (GoK) Environmental Impact Assessment (EIA) certification of approval conditions and / or environmental prescriptions. Impact: A positive or negative effect that a project has on an aspect of the environment. Indirect impact: A positive or negative effect that a project indirectly has on an aspect of the environment. Involuntary resettlement: The forceful loss of land resources that requires individuals, families and / or groups to move and resettle elsewhere. Lead Agency: The agency with primary responsibility for the protection of the environment. For instance, the lead agency for environment matters in Kenya is the National Environment Management Authority (NEMA). Mitigation measures: The actions identified in an EIA to negate or minimize the negative environmental impact that a project may have on the environment. Project and sub-project: a set of planned activities designed to achieve specific objectives within a given area and time frame. Page | 6 Final Report WSCRP Environmental and Social Management Framework - ESMF Project Brief: The initial submitted document to NEMA to initiate the process that will lead to the issuance of the EIA certificate of approval. Scoping: The initial stage in an environmental assessment that determines the likely major environmental parameters that will be affected and the aspects of the project that will bring upon these effects Screening: An initial step when a project is being considered for environmental assessment. The screening is the determination of the level of assessment that will be conducted. In the case of GoK, screening will place project into one of three environmental categories (I, II or III). Significant effect: An important impact on an aspect of the environment Potential environmental and social impacts are defined as follows:- Positive Impact: A change which improves the quality of the environment (for example by increasing species diversity; or improving the reproductive capacity of an ecosystem; or removing nuisances; or improving amenities) Neutral Impact: A change which does not affect the quality of the environment Negative Impact: A change which reduces the quality of the environment (for example, lessening species diversity or diminishing the reproductive capacity of an ecosystem, or damaging health or property or by causing nuisance). The potential adverse impacts of the project fall under two broad categories of bio-physical (natural) and socio-economic environments Stakeholder: Any person or group that has an interest in the project, and the environmental effects that the project may bring about Page | 7 Final Report WSCRP Environmental and Social Management Framework - ESMF ACRONYMS & ABBREVIATIONS AMSL Above Mean Sea Level APL Adaptable Program Loan ASAL Arid or Semi-Arid Lands AWSB Athi Water Services Board CBA Cost Benefit Analysis CDA Coast Development Authority CDD Community Driven Development CoK Constitution of Kenya CPS Country Partnership Strategy CSO Civil Society Organizations CAADP Comprehensive Africa Agriculture Development Program CWSB Coast Water Services Board DCS Data Collection System DEM Digital Elevation Model DOHS Directorate of Occupational Health and Safety DSS Decision Support System EAs Environmental Assessments EHS Environmental, Health and Safety EIA Environmental Impact Assessment EIRR Economic Internal Rate of Return EMCA Environmental Management and Coordination Act EMP Environmental Management Plan ERP Emergency Response Plan ESIA Environmental and Social Impact Assessment ESMF Environment and Social Management Framework ESMP Environmental and Social Management Plan FM Financial Management FS Feasibility Study GDP Gross Domestic Product GIS Geographic Information System GIZ German Agency for International GOK Government of Kenya Ha Hectares HIV/AIDS Human Immuno Deficiency Syndrome IBRD International Bank for Reconstruction and Development ICT Information and Communication Technologies IE Impact Evaluation IF Investment Framework IMOC Inter-Ministerial Oversight Committee IPMP Integrated Pest Management Plan ISC Implementation Support Consultant ISP Implementation Support Plan KFS Kenya Forest Service Page | 8 Final Report WSCRP Environmental and Social Management Framework - ESMF KfW German Reconstruction Credit Institute (Kreditanstalt für Wiederaufbau) KIHBS Kenya Integrated Household Budget Survey KMD Kenya Metropolitan Department Ksh Kenyan Shilling KWS Kenya Wildlife Service KWSIP Kenya Water Sector Investment Program LIRSSU Legal and Institutional Reforms Support Sub-Unit M&E Monitoring and Evaluation MCM Million Cubic Meters MDGs Millennium Development Goals MEMR Ministry of Environment and Mineral Resources MOF Ministry of Finance MoFW Ministry of Forestry and Wildlife MORDA Ministry of Regional Development Authorities MWI Ministry of Water and Irrigation MPND Ministry of Planning and National Development MSDS Materials Safety Data Sheets MW Megawatt NEMA National Environment Management Authority NET National Environmental Tribunal NGO Non-Governmental Organization NIB National Irrigation Board NMK National Museums of Kenya NRM Natural Resources Management Project O&M Operations and Maintenance OP/BP Operational Policy/Bank Policy OSHA Occupational Safety and Health Act PAD Project Appraisal Document PCC Public Complaints Committee PCR Physical and Cultural Resources Plan, PDO Project Development Objective PFS Pre-feasibility Study PIC Public Information Center PMP Pesticide Management Plan PMU Project Management Unit PPA Project Preparation Advance PPE Personal Protective Equipment PS Permanent Secretary RAP Resettlement Action Plan RBM River Basin Management RPF Resettlement Policy Framework SEA Strategic Environmental Assessment SERC Standards and Enforcement Review Committee SSIP Strategic Sector Investment Plan TA Technical Assistance Page | 9 Final Report WSCRP Environmental and Social Management Framework - ESMF TAC Technical Advisory Committee TOR Terms of Reference TTL Task Team Leader UNEP United Nations Environment Programme UNFCCC United Nations Framework Convention on Climate Change US$ United States Dollars VMGF Vulnerable and Marginalized Groups Framework VMGP Vulnerable and Marginalized Groups Plan VOC Volatile Organic Compounds WASREB Water Services Regulatory Board WaSSIP Water and Sanitation Service Improvement Project WB World Bank WIS Water Information System WRMA Water Resources Management Authority WRUA Water Resources Users Association WSB Water Services Board WSCRP Water Security and Climate Resilience Project WSP Water Services Provider WSTF Water Services Trust Fund Page | 10 Final Report WSCRP Environmental and Social Management Framework - ESMF EXECUTIVE SUMMARY Government of Kenya (GoK) has requested the World Bank’s support to prioritize, prepare, and finance water resources development opportunities in the country. The proposed Kenya Water Security and Climate Resilience Project (WSCRP) – which was agreed between the World Bank and GoK in the Country Partnership Strategy (CPS) 2010-2013 responds to this request. Kenya has limited freshwater endowments and is projected to face rapid increases in water demand, driven by growth and urbanization. The country faces the additional challenge of high inter-annual and intra-annual rainfall variability that results in frequent and severe droughts and floods and could be exacerbated under a changing climate. Kenya has yet to adequately manage its ‘difficult’ hydrology, as evidenced in decades - long underinvestment in water storage that has not kept pace with growing needs or reigned in water’s most destructive forces. GoK is planning a large scale water investment program to address these challenges, as well as new reforms to align the sector to the 2010 Constitution of Kenya. Brief Project Description Transforming Kenya’s water sector to achieve water security and climate resilience for economic growth and development requires a dedicated, long-term commitment, but also a practical approach that addresses the needs in a realistic manner and at several stages where critical limitations have been identified. Further, the enormous challenges related to reversing the massive water sector investment gap and transitioning through a potentially complex reform process require a comprehensive, multi-pronged approach that addresses key infrastructure, institutional and information/analytical limitations in order to support Kenya’s growth and development agenda. The design of the project reflects these needs by financing critical investments and supporting the progressive enhancement of the water investment program, while at the same time building an enabling legal and institutional foundation for the water sector. The objective of the proposed project will be to support the institutionalization of processes and water-related investments to strengthen climate-resilient water resources development and management in Kenya. The Project is expected to have three components: (i) Investments in water resources development; (ii) water sector reforms planning and management; and (iii) Support to Project Implementation. Eligible investment projects must fall in at least in at least one of the below categories: o Infrastructure for bulk water supply – single or multipurpose; surface water or groundwater development; o Water services/productive uses – irrigation, water supply, or hydropower; o Infrastructure for flood management or drought mitigation including upstream activities to ensure the sustainability of investments (e.g., catchment management for selected sites, community outreach, etc.) Page | 11 Final Report WSCRP Environmental and Social Management Framework - ESMF An Investment Framework will be developed and will be based upon current state of the art engineering, economic, financial, social, environmental and institutional standards, most of which the World Bank applies in its operations. Investments would be considered with in a catchment based approach and may be accompanied by site-specific measures to increase resilience to natural hazards and allow for adequate disaster preparedness. The Project will be a “framework operation’’ that will establish eligibility criteria and preparation guidelines that must be met in order for sub-projects/investments to be funded under the project. The framework is intended to set the ‘rules of the game’ by establishing a rigorous evidence-based investment selection and preparation process, including specifying the technical, economic, financial, environmental, social, institutional, etc. requirements for sub-project funding. The Project is expected to be on the order of about US$ 700 million and will be implemented in two to three phases over a period of approximately eight to ten years. The first phase of the Project is expected to be in the order of US$350 million, over a period of approximately five years. Investment in Water Resources Development This component will support climate resilience and water security for economic growth and development by financing water resources development investments/sub-projects that are prepared in line with an Investment Framework. The Investment Framework establishes the ‘rules of the game’ by making transparent the decision-making process on sub-project selection and ensuring that selected sub-projects are well-prepared, amongst the most effective for realizing the objectives, and implemented in a sustainable manner. The requirements of the Investment Framework must be met in order for a proposed sub- project to receive project financing. The advantage of the framework approach is that it provides GoK and the World Bank the opportunity to invest early in priority schemes provided that they are well-prepared, while establishing guidelines and principles for selecting and preparing subsequent investments. This component will involve civil works in the development of the infrastructure and thus trigger the environmental assessment policy (OP.4.01). The potential adverse impacts will range from small scale and site specific to larger infrastructure investments associated with Environmental Category A, B or C projects of the World Bank. Objective of ESMF An Environmental and Social Management Framework (ESMF) remains the key instrument to ensure initial project safeguards at this stage principally because the exact locations, scope, designs and nature of sub project investments remains unknown. This ESMF is aimed at ensuring that implementing institutions in this project use it in order to ensure that the Bank’s environmental safeguard policies as outlined in Operational Policy OP 4.01 (Environmental Assessment) are adequately complied with. Page | 12 Final Report WSCRP Environmental and Social Management Framework - ESMF This ESMF is expected to ensure that environmental and social management is integrated into the development and operation of investments to be financed under the WSCRP to ensure effective mitigation of potentially adverse impacts while enhancing accruing benefits. The ESMF has been prepared in line with the relevant World Bank (WB) safeguard policies on social and environmental management and further taken into account the appropriate Government of Kenyan (GOK) policies, legal and institutional framework related to environmental and social assessment. The ESMF seeks to establish a process of environmental and social screening which will permit the institutions in charge of the implementation of the projects to identify, assess and mitigate the environmental and social impacts of sub project investments. The ESMF also determines the institutional measures to be taken during the program implementation, including capacity building activities. The purpose of the ESMF is: (i) To provide as much information as possible about environmental and social impacts (including possible land acquisition and resettlement) at the project’s current state of preparation; (ii) To inform project planning and design process by comparing potential impacts of alternative locations, configurations, and construction techniques that are under consideration; and (iii) To describe procedures for subsequent assessment of impacts and development of appropriate impact management instruments when the details of the sub project investments become available. The process of preparing this ESMF entailed detailed desk top literature review coupled with broad strategic consultation and engagement of appropriate stakeholders. Policy, Legal and Institutional Issues The following legal instruments among others were reviewed in view of the fact that they provide guidance and regulations when implementing water related programs or projects. These are principally the GoK legislations that apply to this project and a comparative analysis has been made between some certain relevant regulations of the GoK and the bank safeguards.  Environmental Management and Coordination Act (1999)  Water Act  Energy Act  Land Acquisition Act  Occupational Health and Safety Act  Public Health Act  Wildlife Act  Forest Act GOK has through the Ministry of Water and Irrigation (MWI) prepared this ESMF as the instrument which all the WSCRP investments environmental and social impacts will be Page | 13 Final Report WSCRP Environmental and Social Management Framework - ESMF identified, assessed, evaluated and appropriate mitigation, management and monitoring measures, designed and incorporated within the proposed investment itself. There are 3 other safeguards instruments that will compliment this ESMF and they are: Resettlement Policy Framework (RPF) already prepared and provides standards and procedures for compensation for any land acquisition, assets, or restriction of access to resources that this project and associated investment may require, in accordance with World Bank OP 4.12 – Involuntary Resettlement. The other safeguards instruments are the Vulnerable and Marginalised Groups Framework (VMGF) in accordance with World Bank OP 4.10 and the Integrated Pest Management Framework (IPMF). Environmental and Social Requirements In order to reduce, minimise and mitigate adverse impacts and undue harm of its development projects to the environment, all bank financed projects are guided by environmental and social policies and procedures commonly referred to as safeguards instruments. A number of banks’ policies1 have been triggered as a result of this project and they include: 1. OP 4.01 (Environmental Assessment), 2. OP 4.12 (Involuntary Resettlement) 3. OP 4. 10 (Indigenous People) 4. OP.4.04 (Natural Habitats), 5. OP.4.09 (Pesticide Management) 6. OP.4.11 (Physical Cultural Resources), 7. OP.4.36 (Forests), 8. OP.4.37 (Dam Safety) and, 9. OP.7.50 (Projects on International Waterways) All safeguards policies of the World Bank require that, before a project is appraised, an Environmental and Social Impact Assessment (EIA) containing an Environmental Management Plan (ESMP), or just an EMP, and if the project requires it, a Resettlement Action Plan (RAP), and Vulnerable and Marginalised Groups Plan (VMGP), Physical and Cultural Resources Plan, Integrated Pesticide Management Plan (IPMP) be made available for public review at a place accessible to local people (e.g. at a district council office, the project site, etc.) in a form, manner, and language they can understand. The public display of the documents should be advertised in a common local or regional newspaper. All necessary safeguard documents that will be locally disclosed will also be forwarded to the Bank for disclosure at its Public Information Center (PIC) of the country, if there is one, and at the Bank’s Infoshop. 1 The World Bank Safeguard Operational Policies (OPs) are OP4.01 – Environmental Assessment; OP4.04 – Natural Habitats; OP4.09 – Pest Management; OP4.10 Indigenous Peoples; OP4.11 – Physical Cultural Resources; OP4.12 – Involuntary Resettlement; OP4.36 – Forests; OP4.37 Safety of Dams; OP7.50 – Projects on International Waterways; and OP7.60 – Projects in Disputed Areas. See www.worldbank.org/safeguards for more information. Page | 14 Final Report WSCRP Environmental and Social Management Framework - ESMF Environmental and Social Impacts Beneficial Impacts  Investments towards climatic data management and forecasting will help in developing fairly precise climatic forecasting which will equally be of use to the farmers in timing crop regimes and production;  Flood control and infrastructure to ensure climate change resilience remains a key benefit due to the adverse impacts caused by climate related risks and disasters;  Investments geared towards developing capacities of the stakeholder institutions that manage the natural resources will go a long way to ensuring good environmental governance of the natural resources, hence ensuring their sustainability;  Construction and rehabilitation of water facilities will have significant positive impacts on the health of the communities and populations in the targeted project areas. This will go a long way towards attaining the Millennium Development Goals (MDGs);  The water supply projects will make safe water fully available to the populations as well as their assets emanating from projects in livestock watering points and associated animal tracks (reducing or eliminating prevailing agriculturalist/pastoralist conflicts) and small scale agricultural activities and essentially improve their quality of life;  Investments in river banks stabilization will protect the rivers from siltation and sedimentation from run-off;  The plans to have in place irrigation technologies will ensure efficient use of water resources which is consistent with environmental sustainability principles;  The activities of the program will help to identify and to implement the necessary measures for the protection of biodiversity areas thus conserving the wealth of the species at the local and national level.  Also, these investments will contribute to combating desertification; enhancing reforestation, soil restoration and the implementation of national conservation activities.  The water catchment basins will be better used for the socio-economic benefits of the communities whilst at the same time establishing sound management practices to conserve water resources. The WSCRP proposed sub project investments may have significant negative impacts on the environment from a project specific perspective and cumulatively. These impacts include;- Page | 15 Final Report WSCRP Environmental and Social Management Framework - ESMF Page | 16 Final Report WSCRP Environmental and Social Management Framework - ESMF Potential Adverse Impacts This ESMF has been designed to anticipate and address potential impacts at the planning stage of existing and new investments and related activities. Table 1 and 2 below summarises the potential negative impacts that the investments may have on the environment and proposed mitigation measures that should be considered during preparation of sub project ESIAs. Environmental Impacts Loss of vegetation There will be vegetation loss during the construction phase (for project investments) either to pave way for access roads, actual project construction among others. The vegetation will be cleared so that the area where the construction work is to take place is clear for the construction work to be performed. The construction works will involve direct land take of productive pasture land and agricultural lands, bush clearing, removal of top soil, excavation and mass haulage. These activities will expose the land to elements of erosion such as wind and water and thus will trigger the process of land degradation. Change in Hydrology Abstraction of water for irrigation, bulk water storage, irrigation, hydropower, multipurpose will have impact of the hydrological flow of the riverine system. The impact will affect the general hydrological flows including current existence of water bodies. Loss of Fauna Potential investments may generally fragment ecosystems, isolating species population and cutting off migrations and other movement. For example dams will block the upstream and downstream passage of migrating aquatic animals. This will isolate them from vital spawning and feeding areas. Many fish and invertebrates will decline due to depletion of riverbed gravels. Destruction of wild fauna habitat due to construction (on site and along road rehabilitation profile/borrow pit sites). Soil Erosion/Acidification Soil erosion could occur during the construction phase when loose soil is swept by waters and during the operational phase especially when irrigation investments are involved. This will be as a result of the intensive activities that will be going on in the construction areas especially land clearing. The heavy equipment and machines that shall be used in the construction process will interfere with the soil structure making it loose hence liable to erosion. Irrigation activities will also cause water logging effects. Decreased Water Quality Increase in suspended particles due to construction works; risk of human contamination from construction camps; and competition for water will affect the water quality especially where investment projects are close to natural water bodies. Suspended particles including soil from the neighbouring catchment area will contribute to this. Water quality could deteriorate significantly due to reduced water recharge and balance Page | 17 Final Report WSCRP Environmental and Social Management Framework - ESMF leading to stagnation contributed by upstream use of fertilizers and pesticides as well especially when investments involved irrigation agriculture. Agrochemical pollution could become a major problem with intensification of monoculture. Downstream Impacts of Dams Changes to the low flow regime may have significant negative impacts on downstream users, whether they abstract water (irrigation schemes, drinking supplies) or use the river for transportation or hydropower. Minimum demands from both existing and potential future users need to be clearly identified and assessed in relation to current and future low flows. The quality of low flows is also important. Return flows are likely to have significant quantities of pollutants. Low flows need to be high enough to ensure sufficient dilution of pollutants discharged from irrigation schemes and other sources such as industry and urban areas. A reduction in the natural river flow together with a discharge of lower quality drainage water can have severe negative impacts on downstream users, including irrigation schemes. Habitats both within and alongside rivers are particularly rich, often supporting a high diversity of species. Large changes to low flows (±20%) will alter micro-habitats of which wetlands are a special case. It is particularly important to identify any endangered species and determine the impact of any changes on their survival. Such species are often endangered because of their restrictive ecological requirements. As a result, in the cumulative impact analysis which would be done for each investment the impact of a given project on those people should be considered. The most important mitigation measures are the release of good quality Reserve Flows capable of maintaining important environmental services, and satisfying downstream water requirements. In addition, the measures taken in the catchment areas in order to improve the longevity as well as the operation of the multipurpose dams and irrigation schemes could affect the livelihoods means of the people living upstream. Borrow Pits and Quarry Sites Borrow pits and quarry are sites where stone, sand, gravel, till, clay, or other granular soils are extracted for construction of the various investments within WSCRP. The term ‘pit’ is used when granular material is extracted. The term ‘quarry’ is used wh ere consolidated rock is removed. Environmental impacts of pit and quarry development can include the loss, reduction or disturbance to wildlife and habitat, erosion, dust, soil/groundwater contamination, damage to historic resources, waste disposal, noise, and aesthetics. Impacts on Ecosystems Potential environmental impacts will result from the creation of the diversion sites and structures themselves, and from operational management of diversion sites and the impacts on downstream riverine ecosystems, including maintenance of in stream and riparian habitats. Downstream impacts on riverine ecosystems are considered above under downstream environmental flows and these are considered to be the primary environmental impacts associated with the development of these water supply abstraction Page | 18 Final Report WSCRP Environmental and Social Management Framework - ESMF sites. Off-take of water for irrigation will result in reduced stream flows especially during the dry season. Greenhouse Gas Emission Greenhouse gas (methane) will be emitted from the irrigation schemes with rice paddies through methanogenesis process from the dam reservoirs and paddies. The cumulative effects of greenhouse gas effect on the climate results in global warming. Decreased Air Quality Airborne dust will be caused by excavation, vehicle movement hence engine combustion and materials handling, particularly downwind from the construction sites during the construction phase of the identified investments. Uncovered stock piles and asphalt mixing plant operations are another source of dust. Air pollution will be further caused by emissions from vehicles and construction machinery. There will be decreased air quality due to dust, suspended particles, hydrocarbon vapours, oxides of nitrogen and sulphur (NOx and SOx) and Volatile Organic Compounds (VOC) among other emissions. Changes in downstream morphology of the riverbed and banks The impact of the proposed water projects like irrigation schemes, bulk water supply dams on downstream habitats will be through changes in the sediments load of the rivers. All rivers carry some sediment as they erode their watershed. When the river is held behind a dam in the reservoir for a period of time, most of the sediment is trapped in the reservoir and settle to the bottom. Clear water below the dam will recapture its sediments load by eroding the downstream bed and banks. Eventually all the erodible material on the riverbed below the dam will be eroded away, leaving a rocky streambed, and a poorer habitat for aquatic fauna. However, this is a phenomenon that will be experienced up until the river reaches new sediment load equilibrium. Proposed investments may affect and change downstream water quality and will manifest in change in river temperature, nutrient load, and turbidity; dissolve gases, concentration of heavy metals and minerals. For example for dam and irrigation projects, when river water is held in a reservoir for a period of time, the quality of the water is affected. When a reservoir is first firmed, submerged vegetation and soil decomposes. As it does so it will deplete oxygen in the reservoir water. Deoxygenated water can be lethal to both plant and animal lives. Dam safety related impacts and Flooding Poor dam design and maintenance may lead to dam breakage and therefore flooding that may lead to deaths and destruction of property. In case of dam break, it can have far reaching impacts on the downstream communities. Emergency plans and procedures will have to be developed to handle such an incidence. Although its occurrence may have far reaching consequences, the impact is mitigable and the probability of its occurrence will be minimized through dam safety plans, inspection procedures and disaster management procedures and thus the magnitude of this impact is expected to be medium negative. Page | 19 Final Report WSCRP Environmental and Social Management Framework - ESMF Social Impacts Diseases Spread-Public Health Improve access to water and irrigation will have positive benefits on the lives of the communities such improved in yield and better access to drinking water. However, it also could have some negative impacts. Dams and diversion weirs could impact the health situation of those living close to them due to increase in the number of mosquitoes as one example. There is a potential risk that the construction process for most of the investment projects could increase HIV/AIDS prevalence in the project areas especially through interactions of the locals with the labour forces. Increase in risk of sexually transmitted diseases, such as HIV/AIDS etc. due to influx of migrant workers; solid waste and effluent discharge from construction camps; risk of increase in vectors of schistosomiasis, river blindness, Lymphatic filariasis (elephantiasis) and malaria due to stagnant water associated with construction works/borrow pits etc. (targeting bulk water supply schemes, flood management, dams or irrigation schemes). Incessant Traffic including accidents Traffic congestion from construction and operation phases of the investments and which could potentially cause disruption, health and safety impacts, as well as economic impacts. The use of heavy moving construction vehicles and machineries in project sites is generally known to cause traffic reducing movement and flow of vehicles. It is also further envisaged that with the improvement of the transport sector (i.e. construction, expansion or of new roads, highways and bridges) the traffic volumes and speeds will increase, and composition will change. This is likely to cause increased frequency and severity of accidents. Loss of Land There will be loss of farm land, grazing land, business and structures among others by the local communities owning the land. The construction of irrigation schemes, dams, bulk water supply systems, among others. The existing land use of the project area will be affected by the construction of access roads, construction camps, opening up of material sites and quarry sites among others. These will scar the land, cause vegetation loss leading to soil erosion. The construction activities is almost all the sectors will involve a relatively high degree of land take bearing in mind that most of the projects are linear in nature thus requiring adequate land and space. There are populations who may lose their land, assets and means of livelihood due to infrastructures and programs needed for the investment under WSCRP especially when investments such as irrigation, multipurpose dams, surface and underground water development, and catchment management, among others are considered. Impact on social fabric and community relations Some of the infrastructure as well as loss of land can cause communities to be separated and some of the social and economic relations and reliance disturbed. For example Page | 20 Final Report WSCRP Environmental and Social Management Framework - ESMF irrigation canals or dams are likely to segment the communities and in certain instances deny them access to land and to one another. Resource Use Conflicts Increasing irrigation schemes and dam construction for example under WSCRP investments and as a result the increase in the amount of land under irrigation could cause conflict between those with different water needs such as agriculturists and pastoralist, fishery, household use, to name some. Women having different needs with respect to water for household use as well as household plots, which are mainly tended by women, could be negatively impacted if measures are not considered for household needs when expanding irrigation schemes and specific needs of women with respect to water resources. The vulnerable and marginalised groups could lose access to some of their scared sites and ancestral lands. To address the issues related to the latter group, the Vulnerable and Marginalized Groups Framework is prepared under the WSCRP. Flood control investments could limit the access of those who use the flood plain for cultivation. The investments that are forming users’ associations should make sure they are inclusive of all users and groups, including women, pastoralists, agriculturists, businesses in the area, fishermen, among others. The project can cause some changes in social processes such as demographic change and resource-use conflicts. Gender Issues and Impacts As noted above, women have different needs and use of water including for domestic household use, small households plots for agriculture, for animals among other things. Construction of irrigation schemes as well as dams, bulk water storage facilities can limit women access to water for such needs. As a result, different needs of women with respect to land and water use should be taken into consideration when designing the investments under WSCRP to avoid their potential discrimination from access to land and water as a result of the WSCRP. Impacts on Vulnerable and Marginalised Groups Changing land patterns and workloads resulting from the introduction or formalizing of irrigation are likely to affect men and women, ethnic groups and social classes unequally. Groups that use "common" land to make their living or fulfil their household duties, e.g. for charcoal making, hunting, grazing, collecting fuel wood, growing vegetables etc. may be disadvantaged if that same land is taken over for irrigated agriculture or for building irrigation infrastructure. Historically, it has been men from the more settled and powerful groups that have had greatest access to the benefits and increased income from irrigated agriculture. Women, migrant groups and poorer social classes have often lost access to resources and gained increased workloads. Irrigation agriculture related projects may ignore the role of women in agriculture and existing producer groups as well as water users associations. Similarly inadequate capacity, access to services (extension and others) and decision making especially for Page | 21 Final Report WSCRP Environmental and Social Management Framework - ESMF women may tilt the scale and cause further disparity among women who may be affected negatively by the investments. The formation of Irrigation Water Users Associations or producers associations must be compelled to include gender inclusivity and this has been embraced by the Water Act for example and will be considered during the investment stages of the sub projects in regard to institutional and organisation development framework. Vulnerable groups include special marginalised groups, orphans, and child headed households, the sick, elderly and female headed households among others and who may be adversely affected by the proposed investments especially in the event that their status as vulnerable or marginalised groups is not considered in the preparation of the specific investments. Noise and Vibration Impacts Construction activities could result in significant noise impacts so as to impact on general well-being, health and functioning. Large scale infrastructure developments involve the use of heavy equipment (graders, drilling equipment, trucks, blasting equipment, tractors, and excavators) for among others rock blasting, excavation, asphalt mixing plant operations and vehicular movement that emit incessant noise usually harmful to the environment. Introduction of new sources of noise is an issue in areas where ambient noise levels have been low. Health and Safety of Construction Workers Occupation health and safety of the workers during the construction phase (and in certain cases operation phase) is likely to be a concern due to the accidents that normally occur in construction sites that could cause loss of life, limbs among others. Solid and Effluent Waste Hazards Generation and Pollution Solid waste issue is a potential adverse impact that will be as a result of abandonment of litter/construction materials on site, use of plastic container/bags by road users and the construction crew and use of polythene sheet for curing by the contractor. Construction camps may be a further source of both solid and liquid wastes. Increased crime and in-migration The increase in the number of people in a specific project area or site especially during construction has the potential to lead to a number of negative socio-economic impacts, including increased insecurity and community conflicts, increased incidences of diseases; increased risk of accidents and occupational hazards; and immigration of construction workers and labour force management challenges. Visual Intrusion Unsightly earthworks and borrow pits during construction may be a source of visual related impacts especially through scarring of landscapes. During operations, visual intrusion of equipment on site may be seen as a negative impact at the local level. Page | 22 Final Report WSCRP Environmental and Social Management Framework - ESMF Food Security There is a possibility the increase in investments for example irrigation system may decrease the food security of the people living in the area due to more attention to cash crops. This could specially affect the women and children who have less access to cash crops and more advance farming. Employment Issues The construction activities of sub project investments may require recruitment of “foreign� skilled and unskilled labour that could trigger conflict, resentment and tension by the local communities over perceived inequities in distribution of job opportunities by the local communities. Risk of drowning There is a risk of drowning by both children and adults in the reservoirs. Furthermore, domestic animals may also drown in the reservoir while trying to drink from it. Although this risk leads to loss of lives, it can be avoided and mitigated thus the magnitude of the impact is considered to be medium negative and can be mitigated by planting trees and other vegetation to reduce accessibility, carry out surveillance and off the dam area and sensitization of the community of emergency plans of action in case of disasters. Table 1 and 2: Summary of Adverse Impacts and Mitigation Measures Impacts Description of mitigation measures Physical Environment Waste disposal Solid nontoxic waste  Adequate waste receptacles and facilities should be provided at project sites/camp sites   Training and awareness on Safe Waste Disposal in construction camps for all workers   Final disposal should be at dumpsites approved by the NEMA Waste oil /fuel  Spent or waste oil from vehicles and equipment should be collected and temporarily stored in drums or containers at site  Waste oil should be disposed of by oil marketing companies or agents approved or recognized and have the capacity to undertake oil disposal Air pollution  Proposed investments should require that construction contractors operate only well maintained engines, vehicles, trucks and equipment. A routine maintenance program for all equipment, vehicles, trucks and power generating engines should be in place.   The project should ensure the use of good quality fuel and lubricants only   If dust generation at the project/construction site becomes a problem, limited wetting of sites and or unloading and reloading points should be done to reduce dust raising   Construction traffic speed control measures should be enforced on unpaved roads (speed limits through communities should be ≤50km/hr on unpaved roads and near or at project site should be ≤30 km/hr).   Engines of vehicles/trucks and earth-moving equipment should be switched off when not in use. Page | 23 Final Report WSCRP Environmental and Social Management Framework - ESMF Noise and vibration  Proposed investments should require contractors to use equipment and vehicles that are in good working order, well maintained, and that have some noise suppression equipment (e.g. mufflers, noise baffles) intact and in working order.  This will be achieved by making it a component of contractual agreements with the construction contractors.  Contractors will be required to implement best driving practices when approaching and leaving the site (speed limit of ≤30 km/hr) to minimize noise generation created through activities such as unnecessary acceleration and breaking squeal.   Engines of vehicles/trucks and earth-moving equipment should be switched off when not in use. Impacts on Landscape and Visual  Landscaping of facilities after construction and restoration of disturbed areas e.g. Receptors borrow pits   Impact on traffic and Public safety Only road worthy vehicles and trucks should be used to avoid frequent breakdowns on the roads   Only experienced drivers should be employed Contractors must provide training for drivers; Establish speed limits; Enforce safe driving and take disciplinary action against repeat offenders Water use  Obtain water abstraction permits from the Water Resources Management Authority (WRMA) Water pollution  No garbage/refuse, oily wastes, fuels/waste oils should be discharged into drains or onto site grounds   Fuel storage tanks/sites should be properly secured to contain any spillage   Maintenance and cleaning of vehicles, trucks and equipment should take place offsite especially where project sites are close to water bodies.   Toilet facilities should be provided for construction workers to avoid indiscriminate defecation in nearby bush or local water bodies   For project investments where pesticides are used e.g. irrigation, an Integrated Pest Management Plan (IPMP) should be prepared Soil and Land degradation  Minimize land clearing areas as much as possible to avoid unnecessary exposure of bare ground to the elements of the weather   Re-vegetate cleared areas as early as possible using native plant species   As much as possible, avoid construction work in the rainy season Impact on fauna and habitat  Avoid unnecessary exposure and access to sensitive habitat areas   For identified or suspected sensitive habitats (swamps/ wetlands), regular inspection or monitoring should be carried out in the area prior to start and during work.   If sensitive habitats are encountered, Project activities should cease and the Project should consult KWS to determine the appropriate course of action.   If the project site is discovered as a sensitive habitat area, the Project should engage the KWS to develop a suitable plan.  Prohibition on hunting and consumption of bush meat by workforces Impacts on inland water bodies/  Proposed investments should require that contractors implement a hazardous Fauna/habitat materials management plan that includes specification for proper storage and handling of fuels, oil, wastes, and other potentially hazardous materials as well as a plan for containment and clean-up of accidental spills into the aquatic Page | 24 Final Report WSCRP Environmental and Social Management Framework - ESMF environment.   During pre-installation and installation of project facilities, spotting of sensitive aquatic mammals should form part of the project activities. Should these species be observed in the vicinity of the work area, the project should execute measures to avoid destruction or disturbance. Ensure provision for water flow reserves and appropriate reservoir filling schedules   Project staff must report sightings of any injured or dead aquatic life (fishes)/ mammals immediately, regardless of whether the injury or death is caused by a Project activity. The report should include the date and location of the animal/strike, and the species identification or a description of the animal. The report should be made to the NEMA or KWS.   The Project workforce and local communities should be educated to ensure that the importance of environmental protection and nature conservation are effectively communicated and that wider appreciation of environmental issues and construction best practice are fostered. Social Environment Physical displacement  All affected persons to be given relocation assistance (cash or kind) by the Project to enable them move their properties to new locations, i.e. in accordance with the Resettlement Policy Framework (RPF)   Resettlement Plans will be required. If a site is acquired, the State may relocate persons and their families as well as community facilities to be affected. The affected families should not be made to incur any cost during the relocation period. A resettlement plan should be prepared for this area with the RPF as a guide. Loss of Employment and  Those whose livelihood is affected should be assisted to ensure they will not be livelihoods worse off as a result of the project. This can include livelihood assistance, provision of new jobs immediately without any loss of income. The social assessments and socio-economic surveys, which will be undertaken for the preparation of individual investments/subprojects as well as the resettlement action plans, should assess these issues and provide measures in accordance with the Resettlement Policy Framework (RPF).   Contractors should use local labor as much as possible and where available. As much as possible, all unskilled labor should be contracted or obtained from the local community. Loss of land and other assets  Due process should be followed to establish the true owner of any land, be it family or communal land. Once established, the project should acquire the site by paying appropriate compensation in accordance with the resettlement policy framework (RPF), which would be the replacement cost of the assets lost. Loss of structures/properties  For a project site to be used, irrespective of the land ownership, appropriate compensation should be paid for any structures/ properties which are permanent structures at the site as well as investment made for any development on the land.   Depreciation should not be factored during valuation of these properties. The compensation process should satisfy the RPF developed for the project.   Appropriate compensation should be paid for any damaged or destroyed propriety that belongs to affected persons. No depreciation during valuation of these properties. Impact on access among Measures will be considered in the projects’ design to ensure that communities communities living in the project are not divided and if they are as a result of a project appropriate measures are areas taken to mitigate this impact.  Impacts on recreation and public Appropriate notices and warning signs will be erected around working areas and areas public areas to warn prospective trespassers of any danger or risk  Impacts on Human Health/ Traffic Trucks carrying construction materials such as sand, quarry dust, laterite etc. will Page | 25 Final Report WSCRP Environmental and Social Management Framework - ESMF Safety and sanitation have the buckets covered with tarpaulin or appropriate polythene material from or to project site   Only road worthy vehicles/trucks should be used  Only experienced drivers/operators should be employed   Except for areas secured by fencing, all active construction areas will be marked with high-visibility tape to reduce the risk accidents involving pedestrians and vehicles.   All open trenches and excavated areas will be backfilled as soon as possible after construction has been completed. Access to open trenches and excavated areas will be secured to prevent pedestrians or vehicles from falling in.   Adequate sanitary facilities will be available for workers and open range defecation will not be countenanced.   Construction workers will be provided with and educated to wear suitable Personal Protective Equipment (PPE) including hard hats, overalls, high-visibility vests, safety boots, earplugs, gloves etc. Enforce use of PPEs at all times for all staff and labourers and ensure supervision of the same to minimise accidents   Construction workers should be educated to adhere to basic rules with regard to protection of public health, including most importantly hygiene and disease (HIV/AIDS) prevention. Impacts on cultural heritage /  The pre-construction surveys should identify cultural heritage resources and archaeological interest / existing existing ecologically sensitive areas that the project should avoid and by-pass ecologically sensitive areas these resources.   The Project should implement a chance find procedure and reporting system to be used by contractors in the event that a cultural heritage feature or ecologically sensitive item/issue is encountered. Impacts on Human Health and  The Project will require all contractors to implement an Environmental, Health Public Safety and Safety (EHS) plan which will outline procedures for avoiding health and safety incidents and for emergency medical treatment. This will be achieved by making it a component of contractual agreement.   Contractors will be required to wear suitable Personal Protective Equipment (PPE) including hard hats, high-visibility vests, safety boots and gloves and life vests as appropriate in accordance with the EHS plan. Enforce use of PPEs at all times for all staff and labourers and ensure supervision of the same to minimise accidents   All construction and other workers will be sufficiently trained in the safe methods pertaining to their area of work to avoid injuries. Labor related issues  The project to prepare redundancy plans and packages to be discussed with affected workers which will include re- training and re- tooling of affected workers and aim to avoid labor strife.  Waste pollution from construction Prepare Waste Disposal Plan for every construction site camps  Install waste disposal receptacles and signs in strategic places within the construction camps  Provide training and awareness on need to avoid littering  Ensure the construction camps have toilets and connected to the sewer system Impact on gender access to water The project will take into consideration the different needs for water and types of for household use and household access which will be affected for each of these groups and provide relevant plots as well as impact on mitigation measures which will be decided with those affected. Some mitigation Page | 26 Final Report WSCRP Environmental and Social Management Framework - ESMF pastoralists and fisheries. measures could include water points for household use and livestock; livelihood assistance to those whose whole or partial livelihood will be affected as a result of some of the possible investments such as irrigation schemes and dams. Specific impact and relevant measures will be covered by project specific social assessment. Impacts on vulnerable and  The project will ensure that all the vulnerable and marginalised groups are marginalized groups (orphans, identified and profiled and through the Vulnerable and Marginalised Groups child and women headed Framework (VMGF) specific plans are designed for each investment to consider households, the sick, elderly etc.) the wellbeing of the vulnerable and marginalised groups identified. HIV/AIDS Spread and other  Design HIV/AIDS awareness, sensitisation and prevention program for each related Public Health Diseases – project that extends to the communities as a whole; Water borne diseases etc. Design programs for reducing the spread of water borne diseases like Malaria, Bilharzia etc. in collaboration with the Ministry of Health Downstream Impacts of Dams and Maintain environmental flow reserves for the river, Do into retain water in other water infrastructure e.g. reservoir during drought, ensure that water retention in dam is controlled to irrigation investments, bulk water ensure that adequate reserve is left to flow downstream for users supply, Dam Safety Impacts  Ensure dam is designed by specialists; Institute a dam safety panel and develop a dam safety plan for all dams Construction Camp Impacts  Labour and Employment Related Ensure that the local communities are given priority in relation to employment Impacts and provided with training (skilled) to provide future labour in the project e.g. operation and maintenance Safeguard Screening Procedures The WSCRP has been rated Category A under the World Bank Operational Policy on Environmental Assessment (OP4.01) however, the sub project investments within the overall WSCRP may necessarily not be rated Category A and may in fact vary between Category B and even C for example, component 2 which is basically investment in Water Sector Reforms and Planning and Management Instruments. This ESMF has been designed to include tools that will be used to screen each proposed sub project investment prior to implementation and contains recommendation on the mitigation measures that need to be adhered to in order to reduce the adverse impacts. Through the screening process a determination on the safeguards policies triggered by a particular proposed investment will be made and the mitigation measures to put in place outlined. Further the screening and review process will also ensure that sub project investments are adequately categorized as A, B or C and in effect those that are categorized as A be subjected to a full scale ESIA, those categorized as B subjected to stand alone ESMP or an environmental analysis more limited than a full ESIA and those categorized as C subjected to no environmental evaluation/study. If identified as a requirement of the sub project through the screening process, a Resettlement Action Plan (RAP), Integrated Pest Management Plan (IPMP), a Vulnerable and Marginalised Groups Plan (VMGP) and/or a Physical Cultural Resources Management Plan, Dam Safety measures or a combination of these, is prepared alongside or as an integrated part of the ESMP or ESIA. Page | 27 Final Report WSCRP Environmental and Social Management Framework - ESMF Procedure for screening and development of ESIAs Using this ESMF which is in essence a guide, the development of sub project investment specific Environmental and Social Impact Assessment (ESIAs) will be required for each proposed sub project investment once the nature, scope and location among others of the investments are known in order to ensure compliance with the World Bank safeguards policies. All sub project investments will be screened using the screening forms (See section 7.1) and a determination will be made using the forms whether an ESIA report is required or otherwise by the Bank. The screening for all sub project investments will be undertaken by the WSCRP/PMU based environmental safeguards specialist. In order to ensure compliance with the Government of Kenya (GoK) environmental regulatory requirements during the feasibility study stage of each investment, project reports will be prepared for each sub project investment by the executing agency with the support of the WSCRP/PMU and submitted to NEMA for determination as to whether an ESIA is required or not. If National Environment Management Authority (NEMA) makes a determination that an ESIA is required based on the project report submitted, then NEMA will assist in the development of Terms of References (ToRs) for follow-up ESIA and Resettlement Action Plan (RAP) which will have to be prepared and submitted to NEMA and World Bank for approval before construction works commence. All the ESIA’s or ESMP’s will be reviewed and approved by WSCRP/PMU and submitted to NEMA and the World Bank for further review and approval. Reporting and Performance Review Requirements The MoWI through the WSCRP/Project Management Unit (PMU) that will be set up will prepare project specific quarterly environmental and social progress reports for submission to the Bank. The executing agencies and other related ministries e.g. Ministry of Regional Development Authorities (MORDA), Water Services Board (WSBs) National Irrigation Board (NIB), among others will prepare project (through consultants) specific ESIA and Resettlement Action Plans (RAPs), Vulnerable and Marginalized Groups Plans (VMGPs) Integrated Pesticide Management Plans (IPMPs), Physical Cultural Resources Management Plan for identified investments during the feasibility study phase of the project following detailed screening. Environmental and social safeguards technical assistance to the WSCRP executing agencies will be provided by the WSCRP/PMU’s Social and Environmental specialists who will be recruited for this purpose. These reports will be submitted to the World Bank’s implementation support and review missions. Capacity Building and Training Capacity development and strengthening remains a crucial component in this ESMF and will be integrated all through the project implementation phase. Capacity building will be in the form of training seminars/ workshops and short courses for project implementing partner staff from the implementing agencies to be able to successfully implement environmental and social aspects of the WSCRP. The proposed training modules will cover among others: Page | 28 Final Report WSCRP Environmental and Social Management Framework - ESMF a) World Bank safeguards policies and NEMA Environmental regulations, specifically covering including the ESMF/ RPF/IPPF; b) Subproject Screening Checklist; c) Environmental Monitoring d) Development of Terms of Reference for ESIAs; e) Environmental and Social Clauses in Contractors’ contract and bidding documents. The estimated cost of capacity building and other support to implement the ESMF is given as US $, 1,000,000 and the breakdown is summarized as follows which excludes the cost of preparing project specific ESIAs: 1. Training workshops/ seminars 2. Public awareness creation/ communication plans 3. Logistic support to the NEMA 4. Preparation of ESIA for the sub project investments 5. Monitoring and evaluation exercises Public Consultations This being an investment framework, the level of stakeholder consultation has been focussed to only the already known WSCRP executing partners and specifically those that could be identified at this early stage. However, this ESMF provides for the process and techniques to be followed once the full program is designed and partners are known which will include stakeholder mapping and consultation. Annex A and B shows the institutions and stakeholders consulted thus far and the issues and responses from the consultation process. Project Implementation Ministry of Water and Irrigation (MWI) is the principal implementing institution for this project and a senior official in the Ministry will be the overall Project Coordinator. MWI will also be responsible for day-to-day implementation (project management, financial management, procurement, disbursement, monitoring, including environmental and social aspects of the project etc.) for all components. Due to the planned restructuring of key ministries, the Project will be managed by a Project Management Unit (PMU) initially housed in the Ministry of Water and Irrigation and then, if necessary, transferred to the successor Ministry responsible for water resources management and development. Specific arrangements for administering project activities by the PMU at other levels will be established during project design. The PMU will be a transitional entity. One of its important roles would be to develop within MWI and successor implementing agencies – which would typically implement most of the WSCRP investments – the required capacities for procurement, financial management, monitoring and evaluation, safeguards implementation, and sub-project and activity execution. In the interim, the PMU will undertake these roles on behalf of those agencies through the services of consulting firms (Component 1), or by procuring an appropriate implementation support consultancy that is embedded within each respective implementing agency (Component 2). At mid-term, the project will assess the extent to Page | 29 Final Report WSCRP Environmental and Social Management Framework - ESMF which these activities are adequately implemented and make needed adjustments. The executing agencies of this project will report periodically to the WSCRP/PMU/MWI on all issues and aspects related to this project including environmental and social safeguards. Cost implication of this ESMF An estimated USD 3.3 Million is considered the amount that will be necessary for implementing the activities in this ESMF excluding the costs related to sub project specific feasibility studies or actual ESIAs which will be handled on a case by case basis once the actual sites and locations are known. The ESMF report is organized as follows:  Acronyms and abbreviations  Executive summary  Chapter 1-Introduction Chapter and description of the proposed project  Chapter 2-Study Methodology  Chapter 3-Baseline information  Chapter 4-Description of National and International Regulatory Framework  Chapter 5-World Bank Environmental and Social Safeguards Policies  Chapter 6- Determination of Potential Environmental Impacts  Chapter 7- Project Coordination and Implementation Arrangements  Chapter 8 - Capacity building and training requirements  Chapter 9- Public Consultations and Disclosure  Chapter 10 - Reference  Technical annexes Page | 30 Final Report WSCRP Environmental and Social Management Framework - ESMF 1 INTRODUCTION Kenya has limited freshwater endowments and is projected to face rapid increases in water demand, driven by growth and urbanization. The country faces the additional challenge of high inter-annual and intra-annual rainfall variability that results in frequent and severe droughts and floods and could be exacerbated under a changing climate. Kenya has yet to adequately manage its ‘difficult’ hydrology, as evidenced in decades - long underinvestment in water storage that has not kept pace with growing needs or reigned in water’s most destructive forces. Government of Kenya (GoK) is planning a large scale water investment program to address these challenges, as well as new reforms to align the sector to the 2010 Constitution of Kenya. GoK has requested the World Bank’s support to prioritize, prepare, and finance these water resources development opportunities. The proposed Water Security and Climate Resilience Project – which was agreed between the World Bank and GoK in the Country Partnership Strategy (2010-2013) responds to this request. The objective of the proposed Project will be to support the institutionalization of processes and water-related investments to strengthen climate-resilient water resources development and management in Kenya. The Project is expected to have three components: (i) water resources development; (ii) water resources planning and management; and (iii) support to water sector institutional reforms associated with the new Constitution. The proposed Project is currently expected to be in the order of about US$ 700 million and will be implemented in two to three phases over a period of approximately eight years. The budget envelope reflects the vast water investment needs in Kenya, which the project aims to support, and the precise amount will be agreed during project preparation. The longer-term and phased approach demonstrates the Bank’s commitment to the sector, while providing the necessary flexibility for activity/investment identification and implementation, given the evolving institutional and reform process over the coming years in Kenya. The water resources development component (i) activities will involve civil works that is construction and/ or rehabilitation of infrastructure and thus trigger the environmental assessment policy (OP.4.01). The impacts here will range from small scale and site specific projects that could be rated as category C to larger infrastructure investment projects associated with Category A or B projects of the World Bank as well as trigger the Environmental Assessment Regulations of the Kenya Environmental Management and Coordination Act (EMCA 1999). The appropriate instrument at this point in time for the WSCRP is an ESMF because the sub projects are still evolving with the exception of Nzoia Irrigation sub project that has already been identified as a pipeline project. 1.1 Purpose of the ESMF This ESMF seeks to establish a process of environmental and social screening which will permit the institutions in charge of the implementation of the sub projects to identify, Page | 31 Final Report WSCRP Environmental and Social Management Framework - ESMF assess and mitigate the environmental and social impacts of sub project investments. The ESMF also determines the institutional measures to be taken during the program implementation, including those relating to capacity building. 1.2 Rationale for the ESMF Specific project investments have not been clearly identified at this stage, hence an ESMF provides a general impact identification framework to assist project implementers to screen the projects and institute measures to address adverse environmental and social impacts. This ESMF thus applies to all sub projects to be financed under phase 1 and 2 of the Adaptable Program Lending (APL). In particular, in the case of phase 1, with the exception of the Lower Nzoia Irrigation Scheme which is being appraised with Investment Framework (IF) and ESMF, there exists a pipeline of potential sub projects, all which will have to satisfy safeguards requirements during project implementation, as the corresponding technical (hence environmental and social safeguards aspects), of these sub projects have not yet been finalised or appraised. Specific information on country- wide project locations, land requirements, bio- physical features etc. when known at a later stage will trigger the preparation of Environmental and Social Impact Assessment (ESIA) reports. 1.3 Approach for the preparation of ESMF The ESMF has been prepared in accordance with applicable World Bank safeguard policies (OP. 4.01) which involved the following activities, among others:  Literature/ Data Gathering and Review;  Public consultations and discussions with relevant sector institutions;  Determination of potential impacts; Identification of impact mitigation measures; Preparation of an Environmental and Social Management Plan; and Preparation of sub- project guidelines. 1.4 Project Description 1.4.1 Country and sector context/ Project Concept Kenya has limited freshwater endowments and is projected to face rapid increases in water demand, driven by growth and urbanization. The country faces the additional challenge of high inter-annual and intra-annual rainfall variability that results in frequent and severe droughts and floods and could be exacerbated under a changing climate. Kenya has yet to adequately manage its ‘difficult’ hydrology, as evidenced in decades - long underinvestment in water storage that has not kept pace with growing needs or reigned in water’s most destructive forces. GoK is planning a large scale water investment program to address these challenges, as well as new reforms to align the sector to the 2010 Constitution of Kenya. GoK has requested the World Bank’s support to prioritize, prepare, and finance these water resources development opportunities. The proposed Kenya Water Security and Climate Resilience Project – which was agreed between the World Bank and GoK in the Country Partnership Strategy (2010-2013) responds to this request. Page | 32 Final Report WSCRP Environmental and Social Management Framework - ESMF The proposed Project is currently expected to be in the order of about US$ 700 million and will be implemented in two to three phases over a period of approximately eight years. The budget envelope reflects the vast water investment needs in Kenya, which the project aims to support, and the precise amount will be agreed during project preparation. The longer-term and phased approach demonstrates the Bank’s commitment to the sector, while providing the necessary flexibility for activity/investment identification and implementation, given the evolving institutional and reform process over the coming years in Kenya. The Project will be a ‘’framework operation’’ that will establish eligibility criteria and preparation guidelines that must be met in order for sub-projects/investments to be funded under the project. The framework is intended to set the ‘rules of the game’ by establishing a rigorous evidence-based investment selection and preparation process, including specifying the technical, economic, financial, environmental, social, institutional, etc. requirements for sub-project investments funding. 1.5 Sectoral and Institutional Context Kenya’s low freshwater endowment of 526 m3 per capita per year puts it in the bottom eight percent of countries globally. The country is characterized by significant geographical disparities in water availability and use. Over 80 percent of Kenya’s area is arid or semi-arid where a reliable supply of water is the limiting factor for economic development. Rapid increases in water demand are driven by population growth, economic growth, and urbanization. The increasing water stress also results in growing competition and conflicts over available water, as outlined in the Government of Kenya’s (GOK) economic development and poverty reduction plan, Vision 2030. Lack of water security causes economic losses and constrains growth potential. Water is a prerequisite for economic production and human development. Securing a reliable supply of water for key economic areas will be critical to achieving Kenya’s development plans under Vision 2030. In 2004, the World Bank estimated that losses from climate variability average about 2.4 percent of GDP per year with a further 0.5 percent loss from water resources degradation, seriously impacting the country’s competitiveness. Water security is therefore critical for Kenya’s two economic engines, Nairobi and Mombasa, and for the Arid and Semi-Arid Lands (ASALs) and western provinces; all of which experience significant water stress. A number of opportunities exist in ASALs and western provinces to increase the productive use of water through multipurpose water resource development. The productivity and resilience of the agricultural sector could be increased through a reliable supply of water; significant opportunities exist to increase both large-scale and small-scale irrigation. Kenya’s limited water storage capacity leaves the country vulnerable to climate and hydrologic variability. Current water storage in Kenya is estimated at 103 m3 per capita, of which 100 m3 per capita is single-purpose storage for hydropower production only. This means that only 3 m3 per capita of storage is available for water supply and other uses such as irrigated agriculture and livestock. No major dams have been constructed since Ndakaini dam in the mid-1990s, which supplies water to Nairobi. Page | 33 Final Report WSCRP Environmental and Social Management Framework - ESMF Kenya also experiences significant hydrologic variability throughout and between years. Without sufficient water storage to lessen the effects of variability, frequent and severe floods and droughts have devastating economic and livelihood consequences. As noted in the World Bank Country Partnership Strategy (2010-2013), underinvestment in water storage leaves Kenya’s economy highly dependent on favorable rainfall – which it cannot control – for agricultural production, electricity, and water supply. Increased water storage will increase the reliability of water supply and enable Kenya to harness its water resources in support of its economic growth agenda. Inadequate water resources infrastructure development leads to low water supply reliability and limited access to water. Inadequate storage capacity to even out natural hydrologic variability, characteristic of Kenya, results in low water supply reliability. In other areas where sufficient water is available, it can often not be accessed due to low levels of water treatment and water distribution system infrastructure development. Water resources development through storage creation can help to increase water supply reliability, while improved water services infrastructure can help increase access. Sustainable groundwater development is also important, especially in the Ewaso Ng’iro Basin where surface water resources are very limited. Catchment degradation compounds these challenges by increasing the intensity of flooding and reducing water storage capacity through reservoir sedimentation. Kenya’s “water towers,� which generate most of the country’s runoff, are degraded due to poor land use practices, deforestation, encroachment on recharge areas, and pollution. Catchment degradation increases Kenya’s vulnerability to hydrologic variability. Investments in storage must be accompanied by improvements in water service delivery and catchment protection. 1.5.1 Relationship to Country Partnership Strategy (CPS) The proposed WSCRP is closely related to the goals outlined in the 2010-2013 CPS for Kenya (March 2010-2012). The World Bank Country Partnership Strategy (2010-2013), underinvestment in water storage leaves Kenya’s economy highly dependent on favorable rainfall – which it cannot control – for agricultural production, electricity, and water supply. One of the key structural issues identified in the CPS is that “increased water storage will increase the reliability of water supply and enable Kenya to harness its water resources in support of its economic growth agenda�. The CPS specifically cites the identification of a pipeline of PPPs as important steps in this effort. The CPS also mentions potential PPPs in the transport, electricity, water supply and irrigation sectors as key steps toward the goal of “unleashing Kenya’s growth potential,� one of the three main objectives of the CPS. The proposed project is directly aligned with Kenya’s commitment to the adaptation to climate change agenda, including by supporting the mainstreaming of Kenya’s National Adaptation Plan (under preparation) by water sector institutions. By financing water investments that not only build resilience to climate variability and change, but also enhance agricultural productivity and food security, the project supports Kenya’s development aspirations as enshrined in Vision 2030 and the continent’s Comprehensive Africa Agriculture Development Program (CAADP). Page | 34 Final Report WSCRP Environmental and Social Management Framework - ESMF The project is also aligned with the World Bank’s Africa Regional Strategy, and particularly Pillar Two – Vulnerability and Resilience. Reducing vulnerability and building resilience in the water sector is the central purpose of the proposed project. To this end, the project will support establishing the minimal water infrastructural platform (including water storage) required to buffer against the most severe hydrologic shocks including floods and droughts and to lift Kenya out of a history of food insecurity, low productivity and constrained growth. Beyond infrastructure investments, the project will support the enabling institutional and information base to ensure that water investments are sustainably planned, developed and maintained for long term prosperity. The project will build on other on-going activities in Kenya’s water program. Its design has been informed by and it will complement the World Bank Water and Sanitation Service Improvement Project’s (WaSSIP’s) detailed water master plan studies for Nairobi and the Coast. In particular, the project is coordinating with WaSSIP on the possibility of financing Mwache dam, which is a part of the coast water master plan, and there is potential for other investments identified through the master planning process to be picked up by the WSCRP. The World Bank Natural Resources Management (NRM) Project and Western Kenya Community Driven Development and Flood Mitigation Project are providing support for watershed management, irrigation, and flood control, and on-going experience has strengthened the water resources and climate risk management investments under the project. 1.5.2 Proposed Development Objectives (PDOs) With its focus on achieving water security and resilience to climate variability and change, the WSCRP will support the higher level objectives of inclusive green growth as a pathway to sustainable development. In particular, the WSCRP will foster growth that is efficient in its use of natural resources, clean in that it minimizes environmental impacts, and resilient in that it reduces social vulnerabilities and accounts for natural hazards and the role of environmental management and natural capital in preventing physical disasters. Water-related investments that strengthen climate resilient growth; and (ii) the project results–increased water storage for productive use (i.e. water supply, irrigation, hydropower), enhanced performance of water investments, and increased resilience to floods and droughts within project impact area(s) The project is designed as an Adaptable Program Loan (APL), with three phases over a period of 18 years through 2030. The long-term and phased approach demonstrates the Bank's commitment to Kenya’s water sector, including contributing to the Vision 2030, while providing necessary flexibility and opportunities for reframing the subsequent phases, as needed and if conditions on the ground change substantially (particularly in light of the evolving institutional and legal reform process). The expected total amount of the APL is in the range of US$ 1.0 – 1.2 billion, with a first phase (APL-1) of US$ 350 million, implemented over seven years. A seven-year period for APL-1 will allow achievement Nzoia’s objectives, in particular as related to the second and third activities that would require the scheme to be Page | 35 Final Report WSCRP Environmental and Social Management Framework - ESMF operational for at least two agricultural seasons. It will also provide sufficient time to complete other sub-projects, including Mwache dam. 1.5.3 Objectives of the Project The project development objectives of the first phase (APL-1) are to: (i) increase productive uses of water; (ii) improve the quality of investment planning and preparation for water security and climate resilience; and (iii) reform key water sector institutions in accordance with the Water Sector Transition Plan. The project development objectives of the second and third phases (APL-2 and APL-3) will be to further increase water storage and/or productive uses of water, including on the basis of enhanced water investment planning and preparation achieved in the first phase. The Project will be a ‘’framework operation’’ that will establish eligibility criteria and preparation guidelines that must be met in order for sub-projects/investments to be funded under the project. The Framework is intended to set the ‘rules of the game’ by establishing a rigorous evidence-based investment selection and preparation process, including specifying the technical, economic, financial, environmental, social, institutional, etc. requirements for sub-project funding. To demonstrate the robustness of the investment framework, three sub-projects under component 1 will be appraised prior to project approval, with the expectation that at least one sub-project will be financed. 1.6 Water Security and Climate Resilience Project The achievement of Kenya’s development objectives on food security, poverty reduction, and economic growth depends on the ability of the country to efficiently use and manage its available water resources. Water is a productive input into priority economic sectors under Kenya’s Vision 2030 such as agriculture, industry, energy and tourism, and lack of water security causes economic losses and constrains growth potential. In 2004, the World Bank estimated that losses from climate variability average about 2.4 percent of Gross Domestic Product (GDP) per year with a further 0.5 percent loss from water resources degradation, seriously impacting the country’s economic growth and competitiveness. With annual freshwater availability of approximately 526 m³ per capita, Kenya is already classified as water scarce country. Over 80 percent of Kenya’s area is arid or semi-arid where a reliable supply of water is a limiting factor for economic development. Rapid increases in water demand are driven by population growth, economic growth, and urbanization. Underinvestment in water infrastructure in Kenya for the last two decades has resulted in a total water supply storage capacity of 3.1 m3 per capita, one of the lowest levels in the world, which leaves the country vulnerable to climate and hydrologic variability. The Ministry of Water and Irrigation (MWI) is currently increasing water storage to 16 m3 per capita by 2012 through the construction of new water supply reservoirs, though much more is needed in order to achieve water security. Catchment degradation compounds these challenges by increasing the intensity of flooding and reducing water storage capacity through reservoir sedimentation. Page | 36 Final Report WSCRP Environmental and Social Management Framework - ESMF In response to these challenges, the Kenya Water Security and Climate Resilience Project (“the Project�), financed through a credit by the International Development Association (IDA), is planned to be implemented by MWI from 2013-2020. The project is scheduled for approval in FY13, and is expected to include the following activities: (i) water resources development investments, including storage for all purposes; (ii) climate resilience and climate risk management investments; and (iii) water resources management investments, including institutional support. The exact amount and scope of the project will be agreed during preparation. An Investment Framework will be developed that will establish the eligibility and preparation criteria and procedures that are required to be met in order for sub-projects/investments to be funded under the Project. The Project is expected to be submitted to the Bank Board for consideration around mid- 2013. In this regard, the World Bank and MWI have committed to advance project preparation in order to meet this schedule. A Project Preparation Advance (PPA) in the amount of US$ 2.96 million has been approved to assist in preparing the Project. 1.6.1 WSCRP Components: Component 1: Investments in Water Resources Development This component supports climate resilience and water security for economic growth by financing the preparation of water resources development investments/sub-projects that meets the requirements of an Investment Framework (IF). The IF establishes the ‘rules of the game’ by making transparent the decision-making process on sub-project selection and ensuring that selected sub-projects are well-prepared, effectively contribute to realizing the objectives of building water security and climate resilience, and are implemented in a sustainable manner. The advantage of the framework approach is that it provides GoK, the World Bank and Development Partners the opportunity to invest early in ‘low hanging’ infrastructure and related activities provided that they are well- prepared, while establishing principles for selecting and preparing subsequent investments. In this regard, the IF serves as a short-term tool that provides quality control as the full-fledged investment planning process is established. However, the IF will have a longer term life, in that it will eventually guide future decisions on investments in the sector. The IF consists of two parts: (i) sub-project selection/eligibility criteria and (ii) technical, economic, financial, social, environmental, and institutional guidelines for preparing investments at the feasibility level. Both parts of the IF must be met in order for a proposed sub-project to receive project financing. Sub-projects that could be considered for financing under the project include infrastructure and related activities for one or more of the following purposes:  Bulk water supply, including storage for surface water use and flow regulation, and groundwater development;  Water for productive and consumptive use;  Flood management or drought mitigation; and  Watershed management. Page | 37 Final Report WSCRP Environmental and Social Management Framework - ESMF It should be highlighted here that during project preparation, this initial IF has been developed and tested on investment proposals at various stages of development, in particular, the Lower Nzoia Irrigation Project. This initial IF has been reviewed in order to ensure that it is robust and reflects the country’s capacity to prepare investments in accordance with it. During project implementation, the initial IF will be gradually refined (e.g., guidelines specific to each of the sub-project types will be developed) and capacity will be built to ensure the effective application of the IF. The Investment Framework is an essential component of the Water Security and Climate Resilience Program and as such, formal adoption of the IF by GoK will be one of the milestones for moving from phase 1 (APL-1) to phase 2 (APL-2) of the program. Component 1 includes two sub-components: (i) Water Sector Investments and (ii) Water Investment Pipeline Facility. Each sub-component is described below. Component 2: Water Sector Reforms and Planning and Management Instruments Component 2 will support the current sector institutions, as well as the preparation, implementation and full functioning of the new legal and institutional framework resulting from alignments with the new Constitution of Kenya. It will also support the development of integrated and participatory water investment planning that leads to the development of a preliminary pipeline of investment proposals. The overall objective of this component will be to strengthen the enabling institutional and legal framework to sustainably advance Kenya’s vast water sector investment program in order to achieve water security and climate resilience. To this end, Component 2 includes two sub- components: (i) support for water sector reforms and (ii) strengthening water management and investment planning. Each sub-component is described below. Sub-Component 2.1: Support for Water Sector Reforms This sub-component will support the current sector institutions, as well as the preparation, implementation and full functioning of the new legal and institutional framework. The objective of this support is to enhance the capacity of water sector institutions to fulfil their mandates, policies and strategies specifically related to the sustainability of the water sector investment program. Thus, the emphasis of this sub- component is on institutional and legal issues that contribute most directly to meeting project objectives and furthering the investment program. Targeted support will also be provided on an as need basis to the broader water sector reforms that could indirectly impact on project objectives. As and when the need arises, such additional areas will be proposed to the project’s governance structure (e.g., IMOC) for possible support under the project. Support will be provided during the three stages of the reforms: (i) pre reforms, including the finalization of legal and institutional instruments and provisions for their implementation, including the water sector transitional plan; (ii) the transition period; and (iii) post reforms, in order to sustain operations and to support fully functional institutions. Given the focus of support under this sub-component, activities will target those institutions (and their successors) that are considered most critical to meeting project objectives. The activities under this sub-component are outlined below. Page | 38 Final Report WSCRP Environmental and Social Management Framework - ESMF Contingency support to key water sector institutions; - This activity will provide expert, rapid response to resolve or mitigate critical legal and institutional challenges that may emerge and could cause significant risk to meeting project objectives. Contingency support could be provided in areas related to migrating and adapting institutional mandates; transferring staff and assets; adapting organizations, structures, policies and strategies; and establishing procedures to enhance performance of key entities. Contingency response will be provided throughout all stages of legal and institutional reforms, described above. Complementarily, this activity will also provide for rapid response to support the broader water sector when the reform process poses significant risks or threats to meeting project objectives. Building the capacity of water sector institutions;-This activity will build and enhance the capacity of key entities to fulfil their core mandates and functions, as well as support non-core (yet critical) functions. This support will target those water sector institutions that are critical for meeting project objectives. The specific activities could include: assessing and mapping capacity needs for existing and new water sector institutions and developing staffing plans; supporting the capacity building of key entities so that they are able to develop and implement strategies, plans and core functions; supporting non-core but critical functions, including procurement and financial management; safeguards due diligence; strengthening critical procedures; and developing human capacity, including assistance for research needs, training to enhance staff capacity, development of guidance manuals, etc. This activity would also support PMU capacity building activities to support transfer of its responsibility to agencies involved in the project. Supporting institutional and legal reforms;- This activity will build the enabling legal and institutional foundation for the water sector by providing support for the implementation of legal and institutional reforms, as well as the identification of legal and/or institutional issues and necessary modifications. The specific activities will be undertaken throughout the three stages of reforms, discussed above, and will target those institutional and legal reforms that are critical for meeting project objectives. Specific activities could include: developing time-bound and costed plans to implement the new legal obligations of existing and new water sector institutions; developing and/or enhancing legislatively mandated strategies and implementation plans with stakeholder participation; supporting the development of strategies and plans required to mainstream key policies (including the Climate Policy, National Adaptation Plan, and Disaster Management Policy); developing a financing policy and strategy for the water sector; and facilitating public participation and consultations with water sector stakeholders. Supporting the legal and institutional transition process; - This activity will support the constitutionally mandated water sector transition. The specific activities will focus on those entities and areas that most directly contribute to meeting project objectives and could include the following: supporting the rationalization and implementation of the water sector transition plan (including the migration and adaption of mandates, policies, strategies, programs and activities from existing to new entities resulting from the reform); supporting the Transition Authority to strengthen the water sector component of Page | 39 Final Report WSCRP Environmental and Social Management Framework - ESMF the national transitional plan; supporting key water sector institutions to implement the transition plans; and supporting aspects of the irrigation reform implementation strategy. Sub-Component 2.2: Strengthening Water Management and Investment Planning The specific objective of sub-component 2.2 is to develop, test and install a new system for integrated, multi-sector water investment planning, and support use of this system to develop a preliminary pipeline of investments (activity1). The water investment planning process will aim to generate well-defined, coordinated, and sustainable investment options that increase water available for productive, economic and social uses, strengthen livelihoods, and reduce climate risks. Both enhancing stakeholder participation and modernizing and improving the water knowledge base and monitoring system are central to the investment planning process and will be supported by activities 2 and 3 under this sub-component. Catchment or basin vulnerability assessments and the preparation of basin disaster risk management plans could also be supported. The activities under this sub-component are outlined below. Developing and Applying a Water Investment Planning System. This activity will support the development, testing and implementation of a multi-sector and multi- stakeholder planning system that can be utilized at the sub-catchment or catchment (basin) level, and support using this planning system to develop a preliminary investment pipeline whose preparation activities can be financed under Sub-component 1.2. Drawing from experiences elsewhere (e.g., Brazil, Uganda, etc.), the planning system will be initially piloted in two to three catchments or basins and scaled up based on lessons learned. The investment planning system may include state of the art instruments and systems such as: a decision support system, water system simulation model, Geographical Information System (GIS) based water information system linked to the Decision Support System (DSS) and model that includes hydrological and socio- economic data and a sub-catchment based hydrologic model. In catchments where flood and/or drought risks are a substantial problem, models would be developed to determine the frequency and magnitude of flood and drought risks and to map vulnerabilities so as to facilitate the development of sub-catchment (basin) flood and drought risk management plans. This activity would also support upgrading and filling of data gaps in the catchment (basin) knowledge base, strategic assessments of social and environmental issues in the catchment (basin), and mapping of natural habitats and biodiversity hotspots within the catchment (basin) so that environmental services can be modelled. To this end, this activity would finance acquisition of data sets, including satellite imagery; surveys and mapping exercises; acquisition of models and analytical tools; consultants for special studies and surveys; and the actual preparation of catchment and sub-catchment water allocation, water management and investment plans. The activity will also support preparation of a strategic environmental and social assessment (SESA) that will look at the linkages between the proposed investment plan and the likely or potential impacts on the ground. The SESA will identify appropriate criteria to be included in the planning system and ensure that the environmental and social dimensions at the strategic/sectoral Page | 40 Final Report WSCRP Environmental and Social Management Framework - ESMF level are embedded in the overall approach, including, in particular, the cumulative impacts aspects. This activity will also support application of this planning system towards development of a preliminary investment pipeline based on and consistent with the catchment and sub- catchment water allocation, water management and investment plan. This will include support to the relevant sponsor agencies to carry out the work required for building the pipeline. Investment proposals that could feed into the preliminary investment pipeline will be selected by the Project Management Unit (PMU), in close collaboration with relevant sponsor agencies, using the Investment Framework. Pre-feasibility level investment proposals (developed under Component 1) will be incorporated in the catchment planning process to develop catchment water allocation, water management and investment plans. The sub-project investments recommended in the investment plan will be screened by the PMU for addition to the preliminary investment pipeline for FS under Component 1. Developing a System for Stakeholder Participation;- This activity will support the development of a system for stakeholder participation at the national, regional and catchment levels in order to: (i) raise awareness and promote greater understanding and appreciation of the catchment water resource system, its potential and its limits; (ii) facilitate greater “buy-in� or commitment on the part of catchment stakeholders to the plans for water management, water allocation, and investment in the catchment; (iii) reduce stakeholder vulnerability by improving access to information, including on drought and flood risks; and (iv) create continuing mechanisms and processes that are accepted by water users and other key stakeholders and institutionalized within the catchment for conflict resolution, water regulation and enforcement, and other water management measures. This activity will finance specialized consultancies to develop a system, processes and procedures for stakeholder identification and mapping, stakeholder organization and mobilization, stakeholder training, and communications. These consultancies will also provide training and capacity building to support the implementation of this system of enhanced stakeholder participation in the selected two to three pilot catchments or basins. Strengthening Water Information System; - This activity will finance the improvement and modernization of the Water Resources Information System (WIS). The enhanced WIS would support improved planning, regulation and enforcement; water resource assessments using hydrologic models; water system models and the DSS; and disaster risk (flood and drought) management plans. The WIS would include the hydro- meteorological monitoring network, measurement, data transmission, data storage, and data analysis and data dissemination. The system will monitor water flows and discharges, water quality and sediment loads, and groundwater availability/levels and quality using real-time, low cost modern communications. The features and details of the WIS design and implementation will be need-based and utilize current and projected information and communications technology (ICT) infrastructure in Kenya, including provision for future upgrading and expansion. Lessons from previous initiatives will be Page | 41 Final Report WSCRP Environmental and Social Management Framework - ESMF taken into account in systems design. As a first step, this activity will finance a consultancy to upgrade the design and modernize the WIS. Component 3: Support to Project Implementation In the uncertain and dynamic environment arising from the alignment of the water sector to the new Constitution of Kenya, it is essential that implementation of project is based on an overall design and approach that ensures continuity, avoids unnecessary delays and cost increases, and mitigates against the potentially harmful effects of gaps and issues that will inevitably emerge during the transition period and as the new institutional, legal and policy framework of the sector is put in place. For these reasons, a Project Management Unit (PMU) will be established. The PMU’s design, including its roles and functions, are summarized below. This component will support the establishment of the PMU to provide for effective project implementation throughout the reform period (that is, prior to the launch of the reforms, during the transition period, and beyond, to the extent needed). Specifically, this component will finance the required office space, goods (e.g., vehicles), equipment (e.g., computers), staff, consultant services, travel, training and operating costs that will allow the PMU to carry out its responsibilities for project implementation. These responsibilities include project management and coordination, procurement and financial management, project monitoring and evaluation (including impact evaluation), social and environmental safeguards management and oversight, strategic project communications and outreach, investment sub-project selection and execution (for component 1), and other activity execution (for component 2). 1.7 Project Institutional and Implementation Arrangements Under Component 3 of the project, a Project Management Unit (PMU) will be established within the Ministry of Water and Irrigation (MWI) or its successor resulting from the reforms. The PMU will report to the Permanent Secretary (PS) of MoWI and will be granted a high degree of autonomy to ensure efficient and timely implementation of the project. The PS may delegate his authority to a senior officer (director level), to whom the PMU will directly report. The PMU will be granted operational autonomy to apply rules, criteria, and procedures agreed with the World Bank. The PS, as the accounting officer of MWI, will delegate financial management, procurement, tender evaluation, selection and contracting responsibilities to the PMU. Notwithstanding these provisions, the PMU’s actions will be accountable to the MoWI and subject to review by Kenya Auditor General. The PMU is a transitional entity. One of its important roles will be to support development within the current and successor agencies – which would typically implement most of the project’s investment sub-projects and activities – the required capacities for procurement, financial management, monitoring and evaluation, safeguards implementation, and sub-project and activity execution. In the interim, the PMU will undertake these roles on behalf of those agencies through the services of consulting firms (e.g., Engineer, refer below), or by procuring an appropriate Implementation Support Consultancy that would be embedded within each agency. Page | 42 Final Report WSCRP Environmental and Social Management Framework - ESMF The core roles of the PMU are fiduciary (procurement and financial management), management and coordination, reporting, monitoring and evaluation, the application of the Investment Framework (including safeguards frameworks), and monitoring of and technical support to the institutional and legal reform process. It will review the results and recommendations of each pre-feasibility and feasibility study, apply the Investment Framework and make recommendations on investment ready sub-projects. The PMU will ensure the application of social and environmental frameworks (ESMF, VMGF and RPF) by assessing the capacity of sponsor agencies to prepare safeguards instruments and to implement safeguards requirements (as the case may be). In the event that sponsor agencies are found to have insufficient capacity in these areas, it will work with the agency to prepare a support plan and TORs, as well as procure the additional required services. The PMU will monitor the activities of all agencies involved in the project and their consultants, evaluate performance, propose measures to enhance performance and ensure timely implementation, and provide regular reporting to the World Bank. For works under Component 1, the PMU will procure and contract the services of an Engineering Firm (The “Engineer�) based on a TOR prepared in collaboration with the relevant executing agency. The Engineer will be responsible for reviewing or preparing detailed designs and bidding documents (in case they would not be ready), completing the tender documents and selecting the contractor(s) in collaboration with the PMU. The role of the Engineer is to provide expert advice and represent the PMU when administrating the construction contract, to make certain decisions that become binding on the parties to the construction contract(s), and to provide direction to the contractor, including for example, issuing certificates, ordering variations and payment schedules, etc. A specific sub-unit of the PMU, the Legal and Institutional Reforms Support Sub-Unit (LIRSSU), will be established to support the legal and institutional reforms associated with aligning the water sector to the new Constitution of Kenya (sub-component 2.1). The LIRSSU will be responsible for providing strategic and technical input and oversight to support the institutional and legal reform process, including by directly executing specific activities on behalf of relevant agencies and/or by managing and supervising consultancies that provide specialized support. To this end, the LIRSSU will undertake the requisite work to stay fully abreast of the status of the evolving institutional and legal reforms, as well as any issues and challenges that may arise. It will work pro-actively to identify needs and recommend areas of targeted support to mitigate issues associated with the reform process. It will also accept proposals for support on a demand basis to provide “just in time� analytical support for the process. The PMU Director will have a core staff of professionals with the necessary expertise and experience to undertake the PMU’s core functions. These could include civil service staff on secondment (in accordance with current civil service rules) or those from the private sector. The PMU will be empowered to undertake autonomous and competitive staff selection, based on criteria agreed with the World Bank. Page | 43 Final Report WSCRP Environmental and Social Management Framework - ESMF An Inter-Ministerial Oversight Committee (IMOC) will be established, primarily as a consultative group and to provide high level, strategic guidance on project activities. It will be comprised of the permanent secretaries (PSs) of ministries with a relevant role in the water sector (including Ministry of Regional Development Authorities, Ministry of Agriculture, and Ministry of Environment and Mineral Resources or their successors), as well as the Ministry of Finance. The IMOC will be chaired by the PS, MoWI (or its successor), who will make all final decisions related to the project. Membership can be extended beyond this core group to other agencies on an as need basis. Figure 1: Proposed WSCRP-PCU Design 1.7.1 Implementation Arrangements Screening and sub-project selection. There are three points in the process of developing the investment ready pipeline (refer Figure 2). The PMU will collaborate with sponsor agencies to develop the preliminary pipeline of projects proposed for feasibility study (Component 2.2), and it will review the results of feasibility studies (Component 1). In the latter case, the PMU will apply the Investment Framework (IF) to identify and select viable investment ready sub-projects; in the former case, to select sub-projects for pre-feasibility work and the preliminary investment pipeline, a short form of the IF will be developed under the project and applied by the Figure 1 - Screening and selection of sub-projects and consultation with the IMOC and with PS approval PMU. As shown in Figure 2, the screening results and recommendations of the PMU will be reviewed by the IMOC. With the IMOC’s advice and suggestions, the PMU will make appropriate revisions and present its recommendations to the PS. The PS will approve the PMU’s proposals –sub-projects for which pre-feasibility studies and feasibility studies will be undertaken and sub-projects to add to the pipeline of investment ready sub-projects – and authorize the PMU to proceed with the next steps. Page | 44 Final Report WSCRP Environmental and Social Management Framework - ESMF Sub-project preparation; - The next step in the process of pipeline development is to undertake the appropriate preparation studies for each of the agreed sub-projects. In the case of the preliminary investment pipeline (Component 2.2), the PMU will assist the sponsor agency or its successor to prepare the TOR using a generic or standard pre- feasibility study TOR approved by the Bank and will procure the services of a consulting firm to undertake the study. The PMU may bundle several pre-feasibility TORs into a single procurement, particularly when the sub-projects are clustered in a single or adjacent sub-basins. Cost estimating factors and assumptions will be developed in consultation with MoWI and the World Bank. A similar approach will be used for sub- projects selected from the preliminary pipeline for feasibility study (Component 1.2), except that they will not be bundled unless they could or should be (for example, a storage dam and the irrigated area served by the associated reservoir). Work;- Typically, a PMU would not be directly involved in the execution of works, but none of the agencies that are likely to sponsor a sub-project for implementation (refer Figure 3) have sufficient capacity to undertake the responsibilities and functions of executing agency for Component 1 investment ready projects. The approach in these cases will be as shown in the Figure 3 above. The PMU will procure and contract the services of the Engineer based on a TOR prepared in collaboration with the sponsor agency. The Engineer will be responsible for reviewing or preparing detailed designs and bidding documents (if they were not prepared by the feasibility study consultant), completing the tender documents and selecting the contractor(s) in collaboration with the PMU. The role of the Engineer is to provide expert advice and represent the PMU when administrating the construction contract, to make certain decisions that become binding on the parties to the construction contract(s), and to provide direction to the contractor, including for Figure 2 - Linkage between the PMU and sponsor agencies Page | 45 Final Report WSCRP Environmental and Social Management Framework - ESMF example, issuing certificates, ordering variations and payment schedules, etc. The Engineer will act independently, fairly and impartially as a professional engineer. The PMU will take steps to build the capacity of the sponsor agency, such that it would eventually acquire sufficient capacity to undertake these technical tasks, and, in particular, technical supervision and contract management. The PMU may procure the services of an Implementation Support Consultant to be embedded into the sponsor’s organization in order to strengthen capacity. In some cases this may be sufficient to allow the sponsor agency to assume these important roles. Safeguards instruments preparation and implementation; - It is the responsibility of the sponsor agency to prepare social and environmental assessments during the feasibility study and to submit to the World Bank the environmental and social impact assessment (ESIA), the resettlement action plan (RAP), and the vulnerable and marginal groups plan (VMGP) to be implemented with the sub-project and during its operation by the owner and operator. These documents are reviewed by the World Bank and NEMA and must receive a no-objection from the World Bank and approval of NEMA before the sub- project can be implemented. The implementation safeguards instruments requires competent staff, and if consultants are used to supplement appropriate sponsor staff they must be on NEMA’s approved list of qualified consultants. None of the likely sponsor agencies (e.g., National Irrigation Board, Ministry of Regional Development Authorities) have been assessed to have sufficient capacity to take full responsibility for safeguards preparation and implementation. Hence, the PMU will agree with the sponsor agency on a support plan, consultant TOR and procure the necessary services. 1.8 Alternative Considerations 1.8.1 No Project Scenario The no-project scenario means that the status-quo is maintained and the funding gap of approximately several billions Kenya Shillings per year for the water sector especially in regard to security and climate resilience may remain. Under investment in water infrastructure in Kenya for the last two decades will persist and result in decreased water supply storage capacity per capita in a country which already has one of the lowest levels in the world, which leaves the country vulnerable to climate and hydrologic variability. Page | 46 Final Report WSCRP Environmental and Social Management Framework - ESMF 2 METHODOLOGY AND CONSULTATION 2.1 Detailed & In-depth Literature Review Review on the existing baseline information and literature material was undertaken and helped in gaining a further and deeper understanding of the proposed project. A desk review of the Kenyan legal framework and policies was also conducted in order to the relevant legislations and policy documents that should be considered during project implementation. Among the documents that were reviewed in order to familiarise and further understand the project included: World Bank Related Documents  Aide Memoire for the WSCRP  World Bank WSCRP Draft Project Appraisal Document (PAD)  World Bank Safeguards Policies Kenyan Legislative Documents  Constitution of Kenya  Environmental Management and Coordination Act (1999)  Water Act  Energy Act  Land Act  Public Health Act  Wildlife Act  Forest Act 2.2 Interactive Discussions Stakeholder consultation formed part of the methodology in preparing this ESMF where the project interested and affected stakeholders who could be identified at this early stage were consulted. The issues raised and concerns expressed including possible mechanisms of addressing these issues and concerns are appended as Annex B of this document. The stakeholder consultation was significant to the preparation of this ESMF and formed the basis for the determination of potential project impacts and design of viable mitigation measures. 2.3 Preparation of ESMF Preparation of the ESMF included the following stages:  Collation of baseline data on the environmental conditions of the country in general;  Identification of positive and negative environmental and social impacts of sub projects investments;  Identification of environmental and social mitigation measures;  Preparation of screening procedures to be for sub project proposals;  Formulation of environmental and social monitoring plans. Page | 47 Final Report WSCRP Environmental and Social Management Framework - ESMF 3 BASELINE DATA This section describes the overall baseline condition of Kenya in terms of bio-physical environment, as well as the socio-economic. 3.1 Location and Size Kenya (Figure 4) is located in the eastern part of the African continent approximately between latitudes 4o 21’ N and 4o 28’ S and between longitudes 34o and 42o E. Kenya is bordered by Uganda to the west, Ethiopia and South Sudan to the north, Tanzania to the south and Somalia and the Indian Ocean to the east. Kenya covers an area of approx. 587,000 km2, of which 11,000 km2 consists of water bodies. Kenya’s landscape is grouped into geographical zones including; the Savannah Lands covering most of the arid and semi- arid areas, the Coastal Margin, the Rift Valley, the Highlands and the Lake Victoria Basin. Figure 4: Map of Kenya Kenya sits on the Equator in East Africa. It is bordered by the Indian Ocean to the east, Somalia and Ethiopia to the north, South Sudan to the Northwest, Tanzania to the South, and in the West, by Uganda. Kenya is Africa’s tenth most populated country and ranks 22nd in terms of its size (Source: Survey of Kenya 2003) Page | 48 Final Report WSCRP Environmental and Social Management Framework - ESMF Kenya lies along the equator in East Africa. Most of the country consists of high plateau areas and mountain ranges that rise up to 3,000 m and more. The plateau area is dissected by the Eastern Rift Valley, which is 40-50 km wide and up to 1,000 m lower than the flanking plateaux. The narrow coastal strip along the Indian Ocean is backed by a zone of thorn bush-land. Some areas in central Kenya, at the flanks of the Rift Valley, and in western Kenya, close to Lake Victoria, are very densely populated. The land stretches from the sea level (Indian Ocean) in the east through a diversity of landforms. From the coast, the altitude changes gradually through the coastal belt and plains (below 152 metres above sea level), the dry intermediate low belt to what is known as the Kenya Highlands (over 900 metres above sea level). The country is split by the Great Rift Valley into the Western part, which slopes into Lake Victoria from the Mau ranges and Mount Elgon (4,300m) and the Eastern part dominated by Mt. Kenya and the Aberdare Ranges which rise to 5,200m and 4,000m respectively. 3.2 Physical Environment 3.2.1 Climate Kenya enjoys a tropical climate. It is hot and humid at the coast, temperate inland and very dry in the north and northeast parts of the country. The average annual temperature for the coastal town of Mombasa (altitude 17 metres) is 30.30 Celsius maximum and 22.40 Celsius minimum, the capital city, Nairobi (altitude 1,661 metres) 25.20 Celsius maximum and 13.60 Celsius minimum, Eldoret (altitude 3,085) 23.60 Celsius maximum and 9.50 Celsius minimum, Lodwar (altitude) 506 metres) and the drier north plain lands 34.80 Celsius maximum and 23.70 Celsius minimum. The long rains occur from April to June and short rains from October to December. The rainfall is sometimes heavy and when it does come it often falls in the afternoons and evenings. The hottest period is from February to March and coldest in July to August. 3.3 Topography and Drainage The Republic of Kenya has an area of approximately 582,646 sq. km. Only 20% of the land area can be classified as medium to high potential agricultural land and the rest of the land is mainly arid or semiarid. This water surface comprise of a number of small lakes with fluctuating limits as well as part of Lake Victoria and most of Lake Turkana. Only 3,831 km2 of Lake Victoria is in Kenya while most of Lake Turkana lies in Kenya. Kenya’s coastal line extends approximately 402 km along the Indian Ocean. Topographically, the country may be divided into 4 distinct geographical and ecological regions or zones with different patterns of land use, namely; the coastal plain, the arid low plateau, the highlands, and the Lake Victoria basin. The rainfall patterns are extremely varied but generally follow those regions, with the Lake Victoria basin receiving the heaviest and most consistent rainfall. Page | 49 Final Report WSCRP Environmental and Social Management Framework - ESMF Figure 5; Relief Map of Kenya Kenya’s relief can be roughly divided into six major regions: the lowlands of the coastal belt and plains; the Buruma- Wajir lowland belt; the Foreland Plateau; the Highlands (East and West); the Nyanza Low Plateau (part of the Lake Victoria Basin); and the Northern Plainlands (Survey of Kenya 2003). The drainage is determined primarily by the Rift Valley, which roughly bisects the highland zone from North to South. Within the Rift Valley, drainage is into a chain of lakes, which have no surface outlet. West of the Rift Valley rivers drain into Lake Victoria and to the East, rivers follow a southeasterly course into the Indian Ocean. In some areas, topography and rainfall - runoff regime have created many semi-closed, poorly drained or overflow areas that retain a substantial amounts of runoff which originate on the upslope areas. On groundwater, the country is divided into three broad areas. These are volcanic rocks, pre-cambrian metamorphic basement rocks and pre- cambrian intrusive rocks and sedimentary rocks. The volcanic rocks cover 26% of the country, more commonly in the western half of Kenya. Groundwater sources occur in old land surfaces, which are weathered zones between successive lava flows that signify periods of quiescence. Fractures, faults, Page | 50 Final Report WSCRP Environmental and Social Management Framework - ESMF fissures and joints are also useful. Water is mainly of bicarbonate type with low total dissolved solids. Local pockets of high fluoride are believed to be of volcanic and fumarolic origin. The pre-cambrian rocks cover an area which is approximately 17% of the country and are widely distributed in the central, western and north western parts of Kenya. Water in these areas occurs in deep horizons of faults, and fractures. Aquifers are generally unconfined and yields and water levels vary within rocks. The sedimentary rocks cover 55% of the country, predominantly in the eastern parts. These areas have loose and permeable sediments. The aquifers are shallow and unconfined and most of them are generally saline. The salinity results from accumulation of solute evaporite minerals within the sediments. 3.3.1 Hydrology Kenya’s four largest inland water bodies (Lake Victoria, Lake Turkana, Lake Naivasha, and Lake Baringo) account for about 1.9 per cent of the land area. The majority of Kenya’s lakes, including both saline and freshwater, and closed and open basin systems, are located within the Great East African Rift Valley. Kenya’s major permanent rivers originate in the highlands. The Nzoia, Yala, Sondu Miriu, and Migori Rivers drain into Lake Victoria. The Ewaso Ngiro River is found in the northeastern part of the country and the Tana and Athi rivers flow in the southeastern part. The rivers draining into Lake Victoria (covering over 8 per cent of Kenya’s land area) provide about 65 per cent of Kenya’s internal renewable surface water supply. The Athi River drainage area (11 per cent of Kenya’s land area) provides 7 per cent, the lowest share among Kenya’s major drainage areas (Survey of Kenya 2008 and MOWI.). 3.3.2 Soils and Geology The geology of Kenya is characterized by Archean granite/greenstone terrain in western Kenya along Lake Victoria, the Neoproterozoic ‘Pan-African’ Mozambique Belt, which underlies the central part of the country and Mesozoic to Recent sediments underlying the eastern coastal areas. The Eastern Rift Valley crosses Kenya from north to south and the volcanics associated with rift formation largely obliterate the generally north-south striking Neoproterozoic Mozambique Belt (Schlueter 1997). Rift Valley volcanogenic sediments and lacustrine and alluvial sediments cover large parts of the Eastern Rift. About 59 per cent of Kenya’s soils have moderate to high fertility, meaning they are theoretically suitable for growing crops. Fertility levels, however, depend on the amount of rainfall. Given the distribution and variability of rainfall in Kenya, only about 17 per cent of the land area has medium to high potential for crops, while the remaining 83 per cent is classified as arid and semi-arid and so of low crop growing potential (Survey of Kenya 2003). Drylands, however, provide essential habitat for about half the country’s livestock and 70 per cent of Kenya’s wildlife (UNCCD 2002). Page | 51 Final Report WSCRP Environmental and Social Management Framework - ESMF Figure 6: Drainage systems; Source: WRI et al. 2007. Page | 52 Final Report WSCRP Environmental and Social Management Framework - ESMF 3.4 Land Use Approximately seventy five per cent (75%) of the country’s population lives within the medium to high potential (20% of land area) and the rest in the vast Arid and Semi-Arid Lands (ASALs). One consequence of this is that size and distribution of land varies quite widely as does population density which ranges from as low as 2 persons per sq. km. in the ASALs to a high of over 2000 in high potential areas. 3.5 Biological Environment-Ecosystems Kenya's land is covered by different types of vegetation according to the climate, topography, and other bio-physical factors. The major categories are grassland, forests, semi-deserts, and mountains. Human impacts on the land continue to alter the distribution, amount, and health of these ecosystems (Survey of Kenya 2003). 3.5.1 Grasslands Grasslands dominate Kenya’s land cover and include what is known as ‘savanna’ vegetation. Permanent meadows and pastures occupy about 21.3 million ha, in Kenya, which represent 2.4 per cent of Africa’s total meadows and pastures (FAO 2008). 3.5.2 Forests Forests cover 2.9 per cent of Kenya's land area (KFMP 1995). The main forest types are moist highland forest, dry forest, tropical rain forest, coastal forest, and riverine and mangrove forests (Survey of Kenya 2003). Although they are not extensive land cover, Kenya’s forests provide significant goods and services, including numerous non-timber forest products that provide local people with food, fibres, medicines, and shelter. The closed canopy forests are habitat for a disproportionately large percentage of the country’s wildlife and other biodiversity. It is estimated that they harbor 40 per cent of large mammals, 30 per cent of birds and 35 per cent of the nation’s butterflies. About half of Kenya’s threatened mammals and birds are found in its forests (Survey of Kenya 2003). 3.5.3 Arid and semi-arid lands (ASALS) Over 80 per cent of Kenya is arid or semi-arid lands (ASAL). These lands are home to over 10 million people. The ASAL has over 70 per cent of the livestock population and 90 per cent of the wild game, which attract tourism to the area. The ASAL also contains much of Kenya’s commercial mineral wealth (WRI et al. 2007 and MSDNKAL 2008). Page | 53 Final Report WSCRP Environmental and Social Management Framework - ESMF Figure 7: Major ecosystems in Kenya 3.5.4 Mountain vegetation Kenya’s five major mountainous regions (Mount Kenya, Mount Elgon, Aberdare Range, Mau Escarpment, and Cherangani Hills) are surrounded by foothills and high-elevation plateaus. Mountainous regions harbor unique types of vegetation due to the micro- Page | 54 Final Report WSCRP Environmental and Social Management Framework - ESMF climates that occur on their slopes. Different altitudes, aspects, and moisture availability create a large variety of ecosystems over relatively small areas. 3.5.5 Freshwaters and wetlands Kenya’s wetlands occur in both fresh and salt waters. They include coral reefs, marine inshore waters, mangroves, deltas, creeks, lake shores, rivers, marshes, ponds, impoundments, and mountain bogs. They are a source of water, provide numerous ecosystem services, and have a high diversity of characteristic biota or living organisms (Ramsar Convention 2001). Kenya’s wetlands cover about 14 000 km2 (2-3 per cent of the country’s surface area) and are found along the major rivers. In addition, many seasonal and temporary wetlands occur all over the country, including rock pools and springs in the southern part of Nairobi, west of Ngong Hills, and at Limuru. Wetlands have also been created by damming water for hydroelectricity and water supplies, and some wetlands have been built to treat wastewater (Macharia 2004). Wetlands are a source of social-cultural and economic potential providing people with food, medicinal products, firewood, and materials for building and handicrafts. Rapid population growth, agricultural operations, and encroachment of development pose a serious threat to wetlands. Expanding industries and urban centers discharge their waste water into them and the polluted waters are unhealthy for human and livestock use, destroy aquatic life, and restrict recreation opportunities (Ramsar Convention 2001). 3.5.6 Marine and coastal areas Kenya’s marine and coastal environments include the Indian Ocean’s territorial waters and the immediate areas that border the ocean. The Kenyan coast stretches 550 kilometers from the Somalian border in the north in a south-westerly direction to the border with Tanzania. The fringing coral reef (comprised of about 140 species of hard and soft corals) runs between 0.5.km and 2km off-shore with occasional gaps at the mouths of rivers and isolated areas facing creeks. Beaches, cliffs, or mangrove forests dominate the shoreline in most areas. The coral-reef system, mangrove swamps, and hinterland provide unique natural landscapes and a wide range of biodiversity resources of special conservation concern. Page | 55 Final Report WSCRP Environmental and Social Management Framework - ESMF Figure 8: Kenya’s Largest Wetlands They include the shallow lakes Nakuru, Naivasha, Magadi, Kanyaboli, Jipe, Chala, Elmentaita, Baringo, Ol'Bolossat, Amboseli and Kamnarok; the edges of Lake Victoria and Lorian, Saiwa, Yala, Shompole swamps; Lotigipi swamp (Lotagipi) and Kano plains; Kisii valley bottoms and Tana Delta; and coastal wetlands (Source: WWF 2005). 3.5.7 Wildlife Kenya's game parks and spectacular wildlife attract nearly two million tourists each year (UN-Water 2006) and generate important domestic revenues. Wildlife conservation is Page | 56 Final Report WSCRP Environmental and Social Management Framework - ESMF thus a high priority. Formed in 1946, Nairobi National Park, just outside the city, was the country’s first protected area. By 2008, about 75 237.9 km2 (WCPA 2007) of the nation’s land area had been set aside as national parks and game reserves. Wildlife is also protected by bans on game hunting, killing animals even when they attack, and the trade in ivory and skins. Nevertheless, poaching is a significant threat to many species including leopards, cheetahs, lions, elephants, and rhinoceroses. Efforts are being made to restore populations of the endangered African elephant and black rhino, and an aggressive campaign is being been waged against poachers. Moreover, increased pressure on marine resources has led the Kenyan government to establish a system of protected areas managed by the Kenya Wildlife Service (KWS) to conserve and manage the most important ecosystems along the coast. In total, Kenya has five Marine Protected Areas (MPA's). Examples of endangered species include the Sokoke scops owl (Otus ireneae); Taita blue-banded papilio (Papilio desmondi teita); the highly endangered Tana River mangabey (Cercocebus galeritus) and the Tana River red colobus (Piliocolobus rufomitratus); the green sea turtle (Chelonia mydas) and the critically endangered hawksbill turtle (Eretmochelys imbricata). In addition to threats to species biodiversity, a number of types of ecosystems are disappearing or are in dangerous decline due to human activities. These include the slopes of Mount Kenya and coastal forests as well as the Horn of Africa Acacia Savannas, a major centre of endemism for dry land plants. Page | 57 Final Report WSCRP Environmental and Social Management Framework - ESMF Figure 9: Protected Areas in Kenya Page | 58 Final Report WSCRP Environmental and Social Management Framework - ESMF Figure 10: Physical Regions of Kenya Page | 59 Final Report WSCRP Environmental and Social Management Framework - ESMF 3.6 Socio-Economic Background 3.6.1 Population Kenya’s population was 10.9 million in 1969, and by 1999 it had almost tripled to 28.7 million (Central Bureau of Statistics, 1994, 2001a). Results of previous censuses indicate that the annual population growth rate was 2.9 percent per year during the 1989-1999 period, down from 3.4 percent reported for the 1979-1989 inter-censal period. Currently, growth is estimated to be about 2.8 percent. The decline in population growth is a realization of the efforts called for by the National Population Policy for Sustainable Development (National Council for Population and Development, 2000) and is a result of the decline in fertility rates over recent decades. Kenya’s population increases by an estimated one million a year. The government revised population based on the 2009 census is 39.8 million, an increase of over 35 percent in the past decade. The population report shows the distribution of the population across the country, with Rift Valley Province being the most populous with 10.1 million people. Nairobi, the capital, has 3.1 million people, according to the report released by the Ministry of Planning and National Development. Demographic trends show that more people are moving to urban areas and the Bank estimates that half of Kenya’s population will live in cities by 2050. Better macro-economic conditions in the past decade helped improve the welfare of Kenyans, but the poor remain vulnerability to drought and other crises induced by climate change. Rural and urban poverty remain a challenge. Recent analysis of the data from the 2005 to 2006 Kenya Integrated Household Budget Survey (KIHBS) indicates that national absolute poverty declined from 52.3 percent in 1997 to 46.1 percent in 2005 to 2006. While this decline in poverty compares well with other Sub Saharan African countries, it can still be considered high in comparison to neighbouring countries such as Tanzania (about 36 percent) and Uganda (about 31 percent). In rural areas, overall poverty declined from 52.9 percent to 49.1 percent, while in urban areas, poverty declined from 49.2 percent in 1997 to 38.8 percent over the same period. The 2008-2009 Demographic Health Survey (DHS) show that fertility levels have declined from 8.1 births per woman in the late 1970s to the current level of 4.6 births per woman. The decline in fertility levels is expected to be manifested in the age distribution of the country’s population. Mortality rates also have risen since the 1980s, presumably due to increased deaths from the HIV/AIDS epidemic, deterioration of health services, and widespread poverty (National Council for Population and Development, 2000). The crude birth rate increased from 50 births per 1,000 population in 1969 to 54 per 1,000 in 1979 but thereafter declined to 48 and 41 per 1,000 in 1989 and 1999, respectively. The crude death rate increased from 11 per 1,000 population in 1979-1989 to 12 per 1,000 for the 1989-1999 period. The infant mortality rate, which had steadily decreased from 119 deaths per 1,000 live births in 1969 to 88 deaths per 1,000 live births in 1979, and then to 66 deaths per 1,000 live births in 1989, increased briefly in 1999 to 77 per 1,000 but then resumed its decline in 2009. Page | 60 Final Report WSCRP Environmental and Social Management Framework - ESMF The Kenyan poverty profile also reveals strong regional disparities in the distribution of poverty. According to the 2005 to 2006 survey, the lowest incidence of rural poverty was in Central province (30.3 percent), followed by Nyanza (47.9 percent), Rift Valley (49.7 percent), Eastern (51.1 percent), Western (53.2 percent), Coast (69.7 percent), and North Easter province (74.0 percent). Inequality in Kenya remains high. The distribution of income, measured by the Gini coefficient (a measure of inequality of income distribution—the higher the percentage the higher the level of inequality) was estimated at 39 percent in rural areas and 49 percent for urban areas (pre-crisis). Income disparities in the rural areas have gone down since 1997, while the disparities in the urban areas have increased slightly. The Commission on Revenue Allocation is using the development and poverty data to develop a model for more equitable distribution of public resources. There has been additional progress with respect to other dimensions of social development over the past years. For example, net primary education enrolment was only 80 percent in 2003, but has since increased to about 90 percent in 2008 (with an equal enrolment ratio between boys and girls). In 2004, only about 60 percent of primary students completed their education compared with about 80 percent in 2008. The transition from primary to secondary and later to tertiary and university education has also improved in recent years due to increased public and private investment in the education sector. 3.6.2 Economic Growth & Setting Kenya’s economy recorded high growth rates of real Gross Domestic Product (GDP) averaging 6.6% per annum during the immediate post-independence years (1964-1973) and towards the end of that decade. Deceleration of this growth which started in late 1970s, continued until 2002 when the economy registered a record negative growth rate of 0.2%. During the years 1997-2002 economic growth declined steadily with GDP recording an average annual growth rate of only 0.9%, against a population growth rate of 2.9% per annum. The economy has been on a recovery path since 2003 when real GDP grew by only 0.5% to 6.1 % in 2007, giving rise to an annual growth rate of about 4.3% against a population growth rate of about 2.8% per annum. Among the key factors contributing to the economic decline were poor infrastructure, particularly bad roads, inadequate energy supply, inadequate water supply, a weak institutional framework, weak performance of the major sectors of the economy namely; agricultural and manufacturing sectors, and poor macro-economic management. More recently, about 46.6 % of Kenya’s population of 35.5 million people in 2005/061 was estimated to be living below the country’s poverty line in both rural and urban areas. In an environment of global turbulence and domestic shocks, Kenya recorded moderate growth of 4.4 percent in 2011. For the second consecutive year, the economy experienced positive growth across all quarters and sectors, even though agriculture performed poorly. The agriculture sector growth declined from 6.4 percent in 2010, to 1.6 percent in 2011. This is attributed to dry weather conditions in 2011. However, in terms of total value, Kenya’s export crops benefited from favorable global prices, which compensated for reduced output and explained the increased export earnings. Growth in Page | 61 Final Report WSCRP Environmental and Social Management Framework - ESMF the services sector remained robust, at 5.1 percent, though this was at a slower pace than in previous years. Industry experienced tepid growth in 2011 at 2.8 percent, a significant decline from 5.3 percent in 2010. Kenya’s growth for the last four years has been relatively modest. Since the 2008 crisis, Kenya has been growing at an average of 3.5 percent per year, well below the average for Sub-Saharan Africa (5.5 percent, excluding South Africa) and significantly slower than the East African Community (EAC) countries, some of which are among the fastest growing developing countries in the world. For example, Rwanda grew at 7.9 percent, Uganda 7.2 percent, and Tanzania 6.7 percent during the 2008-2011 period. Agricultural growth remained modest, due to the dry weather conditions. The 2011 drought was concentrated in Kenya’s arid and semi-arid regions, which affected pastoralist’s livelihoods, especially livestock, but impacted agricultural production only mildly. The food sub-sector cereal production increased by 5 percent and horticulture production declined, but prices increased thus earnings remained stable in 2011. The services sector sustained robust performance in 2011. Tourism continued to experience a boost, recording higher tourist arrivals than 2007, which had been a record year. Kenya has been attracting significant numbers of tourists from new markets, with substantial growth from the Middle East (42 percent) as well as Asia (25 percent), compared to 2010. This could be as a result of new flight routes which Kenya Airways has inaugurated to the Far East. The tourism market from Europe recorded relatively lower growth of 11 percent, when compared to previous years and to other markets. Industrial sector growth remains driven by construction while manufacturing is lagging. The construction sub-sector recorded an impressive 8.1 percent growth in the first half compared to a 2.2 percent growth in the same period in 2010. Manufacturing grew at a modest 3.2 percent, compared to 5.5 percent in the same period last year. The drought impacted hydro power generation and the resulting high cost of energy has adversely affected the industrial sector. The share of hydro power in Kenya’s energy supply declined from 57 percent in July 2010, to 43 percent in July 2011. This in turn increased dependence on back-up thermal power generation, which uses expensive imported fuel as its feedstock. Industries that depend on imported raw materials, saw their production costs increase significantly due to high import costs (oil and steel), along with the depreciation of the shilling. The costs of imported machinery and equipment also increased substantially. The combined effect of these factors has negatively impacted the competitiveness of industry, resulting in a sluggish performance in 2011. The services sector is holding up, fuelled by continued growth in ICT and a strong performance in tourism. Services grew by 4.3 percent in the first half of 2011, mainly driven by financial intermediation (8.2 percent); hotels and restaurants (6.4 percent), and transport and communication (5.2 percent). Tourist arrivals increased by 13.6 percent in the first half of 2011, compared to 2010 levels. Despite Europe’s economic slowdown, Page | 62 Final Report WSCRP Environmental and Social Management Framework - ESMF 46 percent of arrivals were still from Europe, 25 percent from the rest of Africa, 12 percent from the Americas, and 10 percent from Asia. However, the emerging security concerns stemming from Kenya’s incursion in Somalia will dampen tourist arrivals for the remainder of the year, though the high season is over. The Information Communication and Technology (ICT) revolution is reaching new milestones and is stimulating growth in other services. The mobile phone revolution has continued, with subscriptions peaking at 25.3 Million at the end of June 2011, which is more than the number of adults in Kenya. Since June 2010, subscriptions increased by more than 25 percent. In the same period, internet users increased by 60 percent, climbing to 12.5 Million. This indicates that the data revolution is now also in full swing. A key factor in the growth of internet usage is the new affordable tools, including smart phones and social networking applications with both internet and mobile interface that are proving increasingly popular, especially among the urban youth. The sector has also generated additional innovations, including M-banking, linking mobile money with personal bank accounts, M-credit, and M-insurance, which are expanding the reach of financial services to previously unbanked segments of the population Page | 63 Final Report WSCRP Environmental and Social Management Framework - ESMF 4 DESCRIPTION OF THE ADMINISTRATIVE, POLICY AND REGULATORY FRAMEWORK This chapter outlines and highlights the relevant institutional and legal as well as policy framework in Kenya which has a direct bearing on the WSCRP. The chapter further highlights the World Bank Safeguard Operational Policies applicable to the project including a comparative analysis and gaps existing between the Bank’s policies and host country regulations and suggestions on bridging the gaps. Finally, a section on international laws and conventions that bear relevance to the implementation of this project have also been highlighted in this chapter. 4.1 The Legal, Regulatory and Policy Framework 4.1.1 Constitutional provisions Kenya now has a new Supreme law in form of the New Constitution which was promulgated on the 27th of August 2010 and which takes supremacy over all aspects of life and activity in the New Republic. With regard to environment, Section 42 of the Constitution states as follows:- Every person has the right to a clean and healthy environment which includes the right - a) To have the environment protected for the benefit of present and future generations through legislative and other measures, particularly those contemplated in Article 69; and b) To have obligations relating to the environment fulfilled under Article 70 In Sections 69 and 70, the Constitution has inter alia identified National Obligations in respect of the environment and Enforcement of Environmental Rights respectively as follows:- Section 69 (1): The State shall— a) Ensure sustainable exploitation, utilization, management and conservation of the environment and natural resources, and ensure the equitable sharing of the accruing benefits; b) Work to achieve and maintain a tree cover of at least ten per cent of the land area of Kenya; c) Protect and enhance intellectual property in, and indigenous knowledge of, biodiversity and the genetic resources of the communities; d) Encourage public participation in the management, protection and conservation of the environment; e) Protect genetic resources and biological diversity; f) Establish systems of environmental impact assessment, environmental audit and monitoring of the environment; g) Eliminate processes and activities that are likely to endanger the environment; and h) Utilize the environment and natural resources for the benefit of the people of Kenya. Page | 64 Final Report WSCRP Environmental and Social Management Framework - ESMF Section 69 (2) States that;-Every person has a duty to cooperate with State organs and other persons to protect and conserve the environment and ensure ecologically sustainable development and use of natural resources. Section 70 provides for enforcement of environmental rights thus: (1) If a person alleges that a right to a clean and healthy environment recognized and protected under Article 42 has been, is being or is likely to be, denied, violated, infringed or threatened, the person may apply to a court for redress in addition to any other legal remedies that are available in respect to the same matter. (2) On application under clause (1), the court may make any order, or give any directions, it considers appropriate–– a) To prevent, stop or discontinue any act or omission that is harmful to the environment; b) To compel any public officer to take measures to prevent or discontinue any act or omission that is harmful to the environment; or c) To provide compensation for any victim of a violation of the right to a clean and healthy environment. (3) For the purposes of this Article, an applicant does not have to demonstrate that any person has incurred loss or suffered injury. Essentially, the new Constitution has embraced and provided further anchorage to the spirit and letter of EMCA 1999 whose requirements for environmental protection and management have largely informed Sections 69 through to 71 of this document. In Section 72 however, the new constitution allows for enactment of laws towards enforcement of any new provisions of the Supreme Law. 4.1.2 Vision 2030 The economic, social and political pillars of Kenya Vision 2030 are anchored on macroeconomic stability; continuity in governance reforms; enhanced equity and wealth creation opportunities for the poor; infrastructure; energy; science, technology and innovation (STI); land reform; human resources development; security as well as public sector reforms. The 2030 Vision aspires for a country firmly interconnected through a network of roads, railways, ports, airports, water and sanitation facilities, and telecommunications. 4.1.3 Environment Management and Coordination Act (No. 8 of 1999), EMCA This is an Act of Parliament providing for the establishment of an appropriate legal and institutional framework for the management of the environment and for matters connected therewith and incidental thereto. This Act is divided into 13 Parts, covering main areas of environmental concern as follows: Preliminary (I); General principles (II); Administration (III); Environmental planning (IV); Protection and Conservation of the Environment (V), Environmental impact assessments (EIA), audits and monitoring (VI); Environmental audit and monitoring (VII); Environmental quality standards (VIII); Environmental Restoration orders, Environmental Easements (IX); Inspection, analysis and records (IX); Inspection Analysis and Records (X); International Treaties, Conventions and Agreements (XI) National Environment Tribunal (XII); Environmental Page | 65 Final Report WSCRP Environmental and Social Management Framework - ESMF Offences (XIII). The Act provides for the setting up of the various ESIA Regulations and Guidelines which are discussed below: Environmental (Impact Assessment and Audit) Regulations 2003 The Environmental (Impact Assessment and Audit) Regulations 2003 state in Regulation 3 that “the Regulations should apply to all policies, plans, programmes, projects and activities specified in Part III and V of the Regulations’’ basically lists the guidelines of undertaking, submission and approval of the ESIA Reports a key requirement outlined in this ESMF. Environmental Management and Co-ordination (Waste Management) Regulations 2006 These are described in Legal Notice No. 121 of the Kenya Gazette Supplement No. 69 of September 2006. These Regulations apply to all categories of waste as provided in the Regulations. These include:  Industrial wastes;  Hazardous and toxic wastes;  Pesticides and toxic substances;  Biomedical wastes;  Radio-active substances. The proposed Project will have to abide by these regulations in dealing with waste management especially the provisions of wastes which may be generated during their construction and operation phases of the sub project investments. Pesticides may also be used under the irrigation related components of certain sub projects and as such the regulations on the disposal of pesticide wastes must be adhered to. Environmental Management and Coordination, (Water Quality) Regulations 2006 These are described in Legal Notice No. 120 of the Kenya Gazette Supplement No. 68 of September 2006. These Regulations apply to drinking water, water used for agricultural purposes, water used for recreational purposes, water used for fisheries and wildlife and water used for any other purposes. This includes the following:  Protection of sources of water for domestic use;  Water for industrial use and effluent discharge;  Water for agricultural use. These Regulations outline: a) Quality standards for sources of domestic water; b) Quality monitoring for sources of domestic water; c) Standards for effluent discharge into the environment; d) Monitoring guide for discharge into the environment; e) Standards for effluent discharge into public sewers; f) Monitoring for discharge of treated effluent into the environment. In fulfilling the requirements of the regulations the project proponent will have to undertake monitoring of both domestic water and wastewater and ensure compliance with the acceptable discharge standards. Page | 66 Final Report WSCRP Environmental and Social Management Framework - ESMF Environmental Management and Coordination, Conservation of Biological Diversity (BD) Regulations 2006 These regulations are described in Legal Notice No. 160 of the Kenya Gazette Supplement No. 84 of December 2006. These Regulations apply to conservation of biodiversity which includes Conservation of threatened species, Inventory and monitoring of BD and protection of environmentally significant areas, access to genetic resources, benefit sharing and offences and penalties. Environmental Management and Coordination (Fossil Fuel Emission Control) Regulations 2006 These regulations are described Legal Notice No. 131 of the Kenya Gazette Supplement no. 74, October 2006 and will apply to all internal combustion engine emission standards, emission inspections, the power of emission inspectors, fuel catalysts, licensing to treat fuel, cost of clearing pollution and partnerships to control fossil fuel emissions used by the Contractor. The fossil fuels considered are petrol, diesel, fuel oils and kerosene. Environmental Management and Coordination (Wetlands, Riverbanks, Lake Shores and Sea Shore Management) Regulations 2009 These regulations provide for the protection and management of wetlands, riverbanks, lakeshores and sea shore management and detail guidelines on the same. Environmental Management and Coordination (Noise and Excessive Vibration Pollution) (Control) Regulations, 2009 These regulations prohibit making or causing any loud, unreasonable, unnecessary or unusual noise which annoys, disturbs, injures or endangers the comfort, repose, health or safety of others and the environment. It also prohibits the Contractor from excessive vibrations which annoy, disturb, injure or endanger the comfort, repose, health or safety of others and the environment or excessive vibrations which exceed 0.5 centimetres per second beyond any source property boundary or 30 metres from any moving source. Under the regulation the Contractor will be required to undertake daily monitoring of the noise levels within the Project area during construction period to maintain compliance. 4.1.4 Occupational Health and Safety Act, 2007 This is an Act of Parliament to provide for the safety, health and welfare of workers and all persons lawfully present at workplaces, to provide for the establishment of the National Council for Occupational Safety and Health and for connected purposes. The Act has the following functions among others:  Secures safety and health for people legally in all workplaces by minimization of exposure of workers to hazards (gases, fumes & vapours, energies, dangerous machinery/equipment, temperatures, and biological agents) at their workplaces.  Prevents employment of children in workplaces where their safety and health is at risk.  Encourages entrepreneurs to set achievable safety targets for their enterprises.  Promotes reporting of work-place accidents, dangerous occurrences and ill health with a view to finding out their causes and preventing of similar occurrences in future.  Promotes creation of a safety culture at workplaces through education and training in occupational safety and health. Page | 67 Final Report WSCRP Environmental and Social Management Framework - ESMF Failure to comply with the OSHA, 2007 attracts penalties of up to KES 300,000 or 3 months jail term or both or penalties of KES 1,000,000 or 12 months jail term or both for cases where death occurs and is in consequence of the employer. The Occupational Safety and Health Act (OSHA) 2007 repealed the Factories and Other Places of Work Act. Anything done under the provisions of the Factories and Other Places of Work Act including subsidiary legislation issued before the commencement of the OSHA 2007 shall be deemed to have been done under the provisions of this Act. The Factories and Other Places of Work Act had over the years passed several subsidiary rules and regulations for effective implementation of the Act. All shall, as long as it is not inconsistent with OSHA 2007 remain in force until repealed or revoked by subsidiary legislation under the provisions of OSHA 2007 and shall for all purposes be deemed to have been made under this Act. These regulations include:  The Factories (Cellulose Solutions) Rules 1957;  The Factories (Wood Working Machinery) Rules 1959;  The Factories (Dock) Rules 1962;  The Factories (Eye Protection) Rules 1978;  The Factories (Electric Power) (Special) Rules 1978;  The Factories (Building Operations and Works of Engineering Construction) Rules 1984;  The Factories and Other Places of Work (Health & Safety Committees) Rules 2004;  The Factories and Other Places of Work (Medical Examination) Rules 2005;  The Factories and Other Places of Work (Noise Prevention and Control) Rules 2005;  The Factories and Other Places of Work (Fire Risk Reduction) Rules 2007;  The Factories and Other Places of Work (Hazardous Substances) Rules 2007. The scope of OSHA 2007 has been expanded to cover all workplaces including offices, schools, academic institutions and plantations. It establishes codes of practices to be approved and issued by the Director, Directorate of Occupational Health and Safety (DOHS) for practical guidance of the various provisions of the Act. Other parameters within the Act relevant to the project include: 1. Duties of employers, owners or occupiers of workplace; 2. Establishment of safety and health committees; 3. Annual safety and health audit of workplaces; 4. Safety and Health obligations for persons who may come to premises for work and are not employees of that particular workplace; 5. Reporting of any accident, dangerous occurrence or occupational poisoning caused in the workplace to the area Occupational Health and Safety Office. These incidents should be entered in the General Register. In case of fatal accident information to the area Safety and Health Office should be within 24 hrs. and a written notice to the same within 7 days; 6. The duties of manufactures, designers, importers and suppliers to ensure that all articles and substances for use at workplace are safe and will not cause injury to health and the environment; 7. Duties of self-employed persons; 8. Duties of employed persons; Page | 68 Final Report WSCRP Environmental and Social Management Framework - ESMF 9. Prohibition of interference or misuse of any appliance, convenience or any other facility provided to secure Safety, Health and Welfare at work by any person (occupier, self- employed person or employed); 10. The administration of the Act is the responsibility of a Director and other appointed and gazetted officials (Occupational Health and Safety Officers); 11. The registration of all workplaces by the Director Directorate of Occupational Health and Safety (DOHS) forming the basis of his work statistics; 12. Machinery safety to include:  Safe use of machinery, plant and equipment;  Prime makers and transmission machines;  The maintenance, construction of fencing safeguards;  The statutory requirements of various machines, plants and equipment (hoists and lifts, chains and ropes, cranes, steam receivers and containers, air receivers, cylinders for compressed liquefied and dissolved gases and refrigeration plants). 13. Chemical safety including: (i) Handling, transportation and disposal of chemicals and other hazardous substances; (ii) Importance of Materials Safety Data Sheets (MSDS); (iii) Labelling and marking of chemical substances; (iv) Classification of hazardous chemicals and substances; (v) Establishment and adoption of exposure limits on hazardous substances in a workplace; (vi) Control of air pollution, noise and vibrations; (vii) Redeployment on medical advice. 4.1.5 The Water Act 2002 Water in Kenya is owned by the Government, subject to any right of the user, legally acquired. The control and right to use water is exercised by the Minister administering the Act, and such use can only be acquired under the provisions of the Act. The Minister is also vested with the duty to promote investigations, conserve and properly use water throughout Kenya. Water permits may be acquired for a range of purposes, including the provision and employment of water for the development of power and other uses. The following are the regulations developed under Water Act 2002 relevant to the Project. These regulations will relate to abstraction and use of water from rivers. The Water Resources Management Rules (2007) These Rules are described in Legal Notice Number 171 of the Kenya Gazette Supplementary Number 52 of 2007. They apply to all water resources and water bodies in Kenya, including all lakes, water courses, streams and rivers, whether perennial or seasonal, aquifers, and shall include coastal channels leading to territorial waters. The Water Resources Management Rules empower Water Resources Management Authority (WRMA) to impose management controls on land use falling under riparian land. It also enables any person with a complaint related to any matter covered by these rules to the appropriate office in WRMA as per the Tenth Schedule which provides a format for report on complaints. WRMA is to reply to the complainant with “copies to all other relevant parties within twenty one days of receiving the complaint, starting with Page | 69 Final Report WSCRP Environmental and Social Management Framework - ESMF what action is being taken, the position of the Authority on the matter and any recommendation to the complainant.� The rules also elaborate on the following:  Mechanisms for appeal;  Public notification;  Public consultation;  Orders on compliance;  Protection of the integrity of the water resources monitoring network;  Water Resource User Associations;  Water Resource Database;  Approval of activities listed in the fifth schedule of Water Act 2002;  Authorization and permitting;  Wetlands;  Allocation of water for irrigation;  Prior right to water for storage;  Dams;  Groundwater development and its regulation;  Control of water pollution and effluent discharge;  Water works;  Water use charges on permitted water use;  Conservation of riparian land and catchment areas;  Catchment management strategies;  Protected areas and ground water conservation areas;  Establishment and protection of reserve water;  Miscellaneous provisions which include provisions on: (i) Qualifications to practice as a water resource professional; (ii) Qualifications for a registered contractor; (iii) Recognized water quality laboratories; (iv) Emergency orders; (v) Penalties for offences; (vi) Revocation of rules under Cap 372. Part IX: Conservation of Riparian and Catchment Areas of the Rules, Section 116(5) states “Unless otherwise determined by a water resources inspector, the riparian land adjacent to the ocean is defined as a minimum of two metres vertical height or thirty metres horizontal distance from the high watermark, whichever is less�. Section 118 (1) of the Rules state “No person shall undertake the activities li sted in the Sixth Schedule on riparian land unless authorised by the Authority in consultation with other relevant stakeholders�. Part A of the Sixth Schedule: Protection and Conservation of Riparian and Catchment Areas of the Rules provide activities proscribed on riparian land as: 1) Tillage or cultivation; 2) Clearing of indigenous trees or vegetation; 3) Building of permanent structures; 4) Disposal of any form of waste within the riparian land; 5) Excavation of soil or development of quarries; Page | 70 Final Report WSCRP Environmental and Social Management Framework - ESMF 6) Planting of exotic species that may have adverse effect to the water resource; 7) Or any other activity that in the opinion of the Authority and other relevant stakeholders may degrade the watercourse. 4.1.6 The Wildlife Conservation and Management Act, Cap 376 The Wildlife (Conservation and Management) Act, Cap 376 of 1976, as amended in 1989, covers matters relating to wildlife in Kenya including protected areas, activities within protected areas, control of hunting, import and export of wildlife, enforcement and administrative functions of wildlife authorities. The 1989 amendment specifically established the Kenya Wildlife Service (KWS) as the parastatal charged with implementation of the provisions of the Act. The Act specifically provides for the protection and regulation of protected animals, game animals and game birds as defined in three schedules. The first schedule includes game animals mostly mammals, although the list also includes crocodile and ostrich. The second schedule lists game birds, and the third schedule lists protected animals, which comprise primarily mammals, although it also includes two species of marine turtles, while in 1981 it was amended to include several species of reptiles, amphibians and butterflies. Apart from the protection provided to plants within National Parks and National Reserves, plants receive no further protection under this Act outside the protected areas. Specific provisions of the Act allow for the establishment of National Parks (Section 6), National Reserves (Section 18), and local sanctuaries (Section 19). The National Parks are managed by KWS. Strict regulations prohibit various activities within National Parks, unless they are subject to the written consent of the Minister or, in other cases, the Director of KWS. No such prohibitions are specified for National Reserves or for local sanctuaries. Areas that were formerly game reserves but are declared as National Reserves continue to be administered by the local authorities, unless otherwise directed by the Minister by notice in the Kenya Gazette 4.1.7 Public Health Act Cap 242 The Public Health Act provides for the protection of human health through prevention and guarding against introduction of infectious diseases into Kenya from outside, to promote public health and the prevention, limitation or suppression of infectious, communicable or preventable diseases within Kenya, to advice and direct local authorities in regard to matters affecting the public health to promote or carry out researches and investigations in connection with the prevention or treatment of human diseases. This Act provides the impetus for a healthy environment and gives regulations to waste management, pollution and human health. The Public Health Act regulates activities detrimental to human health. The owner(s) of the premises responsible for environmental nuisances such as noise and emissions, at levels that can affect human health, are liable to prosecution under this act. An environmental nuisance is defined in the act as one that causes danger, discomfort or annoyance to the local inhabitants or which is hazardous to human health. This Act Page | 71 Final Report WSCRP Environmental and Social Management Framework - ESMF controls the activities of the project with regard to human health and ensures that the health of the surrounding community is not jeopardized by the activities of the project such as water development. 4.1.8 Physical Planning Act This Act provides for the preparation and implementation of physical development plans for connected purposes. It establishes the responsibility for the physical planning at various levels of Government in order to remove uncertainty regarding the responsibility for regional planning. A key provision of the Act is the requirement for Environmental Impact Assessment (ESIA). This legislation is relevant to the implementation and siting of sewerage plants in pilot urban centres as identified in the project document. It provides for a hierarchy of plans in which guidelines are laid down for the future physical development of areas referred to in a specific plan. The intention is that the three-tier order plans, the national development plan, regional development plan, and the local physical development plan should concentrate on broad policy issues. The Act calls for public participation in the preparation of plans and requires that in preparation of plans proper consideration be given to the potential for socio-economic development needs of the population, the existing planning and future transport needs, the physical factors which may influence orderly development in general and urbanization in particular, and the possible influence of future development upon natural environment. 4.1.9 The Forest Act No 7, 2005 The Forest Act, Cap 385 of 1962 (revised 1982, 1992 and 2005) addresses the reservation, protection, management, enforcement and utilisation of forests and forest resources on Government land. The Forest Act is applicable to gazetted forest areas (Forest Reserves) and specifically covers:  Gazettement, alteration of boundaries and de-gazettement of Forest Reserves (Section 4);  Declaration of Nature Reserves within Forest Reserves and regulation of activities within Nature Reserves (Section 5);  Issuance of licenses for activities within Forest Reserves (Section 7);  Prohibition of activities in Forest Reserves (removal of forest produce, grazing, cultivation, hunting, etc.) and on un-alienated Government land (removal of trees, collection of honey, lighting of fires) except under license from the Director of Forest Services (Section 8);  Enforcement of the provisions of the Act, penalties and powers afforded to enforcing officers (Sections 9-14);  Power of the Minister to make rules with respect to sale and disposal of forest products, use and occupation of land, licensing and entry into forests (Section 15). This prerogative has been taken with the Forests (General) Rules, which sets forth rules for sale of forest produce and specifies royalty rates for these products. Section 4 of the Forest Act relates to excision and addition to the Government forest estate. Section 4 (2) states that declaration or alteration of forest boundaries, or cessation of a forest area may not take place unless twenty-eight days’ notice of the intention to Page | 72 Final Report WSCRP Environmental and Social Management Framework - ESMF make the declaration is published by the Minister in the Kenya Gazette. Implementation of changes in forest areas can be affected by Legal Notices (published in the Kenya Gazette Supplement) once the formalities of 28 days’ notice are complete. 4.1.10 The Land Act 2012) It is very explicit in the Land Act, 2012, Section 107, that whenever the national or county government is satisfied that it may be necessary to acquire some particular land under section 110 of Land Act 2012, the possession of the land must be necessary for public purpose or public interest, such as, in the interests of public defence, public safety, public order, public morality, public health, urban and planning, or the development or utilization of any property in such manner as to promote the public benefit; and the necessity therefore is such as to afford reasonable justification for the causing of any hardship that may result to any person having right over the property, and so certifies in writing, possession of such land may be taken. 4.1.11 The Trust Land Act (CAP 288) The constitution vests all land which is not registered under any act of parliament under the ownership of local authorities as trust land. Section 117 of the Constitution of Kenya provides that the Trust Lands Act may empower a county council to set apart an area of trust land vested in that county council for use and occupation by a public body or authority for public purposes, or by any person for a purpose likely to benefit the persons. The Act state that while giving due considerations to the rights and obligations of landowners, there shall be compensation whenever a materials site, diversion or realignment results into relocation of settlement or any change of user whatsoever of privately owned land parcels; 4.1.12 Antiquities and Monuments Act, Cap 215 of 1983 This Act aims to preserve Kenya’s national heritage. Section-2 defines an antiquity as any moveable object other than a book or document made or imported into Kenya before 1895. Human, faunal or floral remains in Kenya dating to before the benchmark date of 1895 are also deemed to be antiquities. Both the National Museums of Kenya and the Kenya Cultural Centre have been established in part to discharge this Act. 4.1.13 The Lakes and Rivers Act Chapter 409 Laws of Kenya This Act provides for protection of river, lakes and associated flora and fauna. The provisions of this Act may be applied in the management of the project. 4.1.14 The Employment Act, 2007 This Act declares and defines the fundamental rights of employees; minimum terms and conditions of employment; to provide basic conditions of employment of employees; and to regulate the employment of children, among other rights. Key sections of the Act elaborate on the employment relationship; protection of wages; rights and duties in employment; termination and dismissal and protection of children, among others. This Act will guide the management of workers, especially during the construction period. Page | 73 Final Report WSCRP Environmental and Social Management Framework - ESMF While the EMCA supersedes all other environmental legislation, numerous other laws and regulations in addition to those described above influence the various aspects and activities of the Project, which include the following among others: i) Trade Licence Act, Cap 497; ii) Penal Code Cap 63 (rev. 1985); iii) Standards Act, Chapter 496 (1974); iv) Building Code (1968); v) Work Injury and Benefits Act (2007); vi) Food, Drugs and Chemical Substances Act, Cap 254 (rev 1992); vii) Use of Poisonous Substances Act, Cap 247(rev. 1983); viii)Transport Licensing Board Act (Cap. 404). 4.2 Relevant Sector Policies and Reforms 4.2.1 National Policy on Environment and Development Sessional Paper No. 6 of 1999 Currently, a far-reaching initiative towards an elaborate national environmental policy is contained in the Sessional Paper No. 6 of 1999 on Environment and Development. It advocates for the integration of environmental concerns into the national planning and management processes and provides guidelines for environmental sustainable development. The challenge of the document and guidelines is to critically link the implementation framework with statutory bodies namely, the National Environmental Management Authority (NEMA), Kenya Wildlife Service (KWS), Kenya Forestry Service (KFS); the Public Complaints Committee (PCC) and the National Environmental Tribunal (NET). 4.2.2 The National Environmental Sanitation and Hygiene Policy-July 2007 The National Environmental Sanitation and Hygiene Policy is devoted to environmental sanitation and hygiene in Kenya as a major contribution to the dignity, health, welfare, social well-being and prosperity of all Kenyan residents. The policy recognizes that healthy and hygienic behaviour and practices begin with the individual. The implementation of the policy will greatly increase the demand for sanitation, hygiene, food safety, improved housing, use of safe drinking water, waste management, and vector control at the household level, and encourage communities to take responsibility for improving the sanitary conditions of their immediate environment. 4.2.3 Forest Policy 2005 The goal of this Policy is to: enhance the contribution of the forest sector in the provision of economic, social and environmental goods and services. The specific objectives of this policy are to:  Contribute to poverty reduction, employment creation and improvement of livelihoods through sustainable use, conservation and management of forests and trees.  Contribute to sustainable land use through soil, water and biodiversity conservation, and tree planting through the sustainable management of forests and trees.  Promote the participation of the private sector, communities and other stakeholders in forest management to conserve water catchment areas, create employment, reduce poverty and ensure the sustainability of the forest sector.  Promote farm forestry to produce timber, wood fuel and other forest products. Page | 74 Final Report WSCRP Environmental and Social Management Framework - ESMF  Promote dry land forestry to produce wood fuel and to supply wood and non-wood forest products.  Promote forest extension to enable farmers and other forest stakeholders to benefit from forest management approaches and technologies.  Promote forest research, training and education to ensure a vibrant forest sector. 4.2.4 Fisheries Policy The overall objective of this policy is to: “Create an enabling environment for a vibrant fishing industry based on sustainable resource exploitation providing optimal and sustainable benefits, alleviating poverty, and creating wealth, taking into consideration gender equity.� The specific objectives of this policy are to: 1. Promote responsible and sustainable utilization of fishery resources taking into account environmental concerns; 2. Promote development of responsible and sustainable aquaculture, recreational and ornamental fisheries; 3. Ensure that Kenya has a fair access to, and benefit from, the country’s shared fishery resources; 4. Promote responsible fish handling and preservation measures and technologies to minimize post-harvest losses; 5. Encourage value addition, marketing and fair trade in Kenya’s fishery products worldwide; 6. Encourage efficient and sustainable investment in the Kenya fishery sector; 7. Promote active involvement of fisher communities in fisheries management; 8. Integrate gender issues in fisheries development; 9. Promote fish consumption in the country 4.2.5 Draft Wildlife Policy 2007-Draft The goal of this Policy is to provide a framework for conserving, in perpetuity, Kenya’s rich diversity of species, habitats and ecosystems for the wellbeing of its people and the global community. The objectives and priorities are to:  Conserve Kenya’s wildlife resources as a national heritage.  Provide legal and institutional framework for wildlife conservation and management throughout the country.  Conserve and maintain viable and representative wildlife populations in Kenya.  Develop protocols methodologies and tools for effective assessment and monitoring of wildlife conservation and management throughout the country.  Promote partnerships, incentives and benefit sharing to enhance wildlife conservation and management.  Promote positive attitudes towards wildlife and wildlife conservation and management. 4.2.6 Wetland Policy 2008 Draft The development of this Policy is in cognizance of the importance of wetlands nationally and Kenya’s obligation under the Ramsar Convention. The policy takes into consideration the broader national environmental frameworks, particularly the Environment Management and Coordination Act (EMCA) 1999, the country’s premier framework environmental law, the Water Act 2002, the Water Policy and the Forest Policy 2007. The policy spells out clearly eight objectives to achieve its aim. These are; Page | 75 Final Report WSCRP Environmental and Social Management Framework - ESMF 1. Establish an effective and efficient institutional and legal framework for integrated management and wise use of wetlands which will provide an enabling environment for the participation of all stakeholders. 2. Enhance and maintain functions and values derived from wetlands protect biological diversity and improve essential processes and life-support systems of wetlands. 3. Promote communication, education and public awareness among stakeholders to enhance their participation in wetland conservation. 4. Carry out demand driven research and monitoring on wetlands to improve scientific information and knowledge base. 5. Enhance capacity building within relevant institutions and for personnel involved in conservation and management of wetlands. 6. Establish a national wetlands information management system and database including tools and packages to targeted groups. 7. Promote innovative planning and integrated management approaches towards wetlands conservation and management in Kenya 8. Promote partnership and cooperation at regional and international levels for the management of transboundary wetlands and migratory species 4.3 Water Sector Reforms Kenya’s water sector reforms are intended to formalise service provision to all ci tizens and fulfil their human right to water and sanitation. Discrimination of the urban poor should end, and they should enjoy the same benefits of service provision as people in the middle and high income brackets. A financing mechanism has been established to extend services to poor, under-served areas. This is the Water Services Trust Fund (WSTF), which promotes the scaling up of low-cost technology for the provision of clean water and basic sanitation. Another new body, the Water Resources Management Authority (WRMA), is now implementing a catchment management approach. With the active participation of the water users, this will increase water availability, while reducing water conflicts and the pollution of water resources. In 2006, a sector-wide approach was started, involving joint financing with other donors, all of whom participate in conferences and the annual joint sector reviews. There are also regular meetings with donors and civil society representatives at which the ministry and water sector institutions report on their performance. Results achieved so far The MWI has set up a new policy framework consisting of the Water Sector Strategic Plan, as well as national strategies for water supply, sanitation and integrated water resources management. Conflicts over water have declined in sub-catchment areas thanks to the work of water resource users associations, as well as wetland protection activities and the issuing of water permits to control over-extraction. Water polluters are now identified and dealt with. Participatory catchment planning has been introduced and is now the standard in Kenya. Page | 76 Final Report WSCRP Environmental and Social Management Framework - ESMF The Water Services Trust Fund (WSTF) has begun to scale up the provision of water and sanitation services. It now aims to help the water services providers reach around 400,000 additional people every year. The Water Services Regulatory Board (WASREB) has put in place an information system and now publishes an annual performance report – the Impact Report – on water and sanitation. For the first time in Kenya, this provides a national overview of the current situation, thus exerting pressure on water service providers constantly to improve their performance. All the major performance indicators for providers have shown steady improvement since the reform. The Water Resources Management Authority (WRMA) now publishes an annual report on the status of the country’s water resources. This should help increase public awareness and safeguard the environment for future generations. 4.4 Relevant Institutions-Environmental 4.4.1 Environmental Assessment Administrative/Institutional framework There are over 20 institutions and departments, which deal with environmental issues in Kenya. Some of the key institutions include the Ministry of Environment and Mineral Resources (MEMR), Kenya Forest Services (KFS), Kenya Wildlife Service (KWS), National Museums of Kenya (NMK), National Environment Management Authority (NEMA), Ministry of Forestry and Wildlife (MoFW), Ministry of Water and Irrigation (MWI), Water Resources Management Authority (WRMA) and the public universities, among other organisations. There are also local and international NGOs involved in environmental issues in Kenya. In 2001, the Government established specific administrative structures to implement the EMCA. The main administrative structures are described in the following sections. The National Environment Council The National Environmental Council (the Council) is responsible for policy formulation and directions for the purposes of the Act. The Council also sets national goals and objectives, and determines policies and priorities for the protection of the environment. The National Environment Management Authority The responsibility of the National Environmental Management Authority (NEMA) is to exercise general supervision and co-ordination over all matters relating to the environment and to be the principal instrument of Government in the implementation of all policies relating to the environment. In addition to NEMA, the Act provides for the establishment and enforcement of environmental quality standards to be set by a technical committee of NEMA known as the Standards and Enforcement Review Committee (SERC) which will govern the discharge limits to the environment by the proposed project. Page | 77 Final Report WSCRP Environmental and Social Management Framework - ESMF Provincial and District Environmental Committees The Provincial and District Environmental Committees also contribute to decentralised environmental management and enable the participation of local communities. These environmental committees consist of the following: i) Representatives from all the ministries; ii)Representatives from local authorities within the province/district; Two farmers / pastoral representatives; iii) iv)Two representatives from NGOs involved in environmental management in the province/district; v) A representative of each regional development authority in the province/district. Public Complaints Committee on Environment The Public Complaints Committee is established under Section 31 of EMCA. The PCC is concerned with the investigation of complaints relating to environmental damage and degradation generally. The PCC has powers to investigate complaints against any person or even against NEMA or on its own motion investigate any suspected case of environmental degradation. The PCC is required by law to submit reports of its findings and recommendations to NEC. The law however is weak in that it does not provide PCC with the mandate to see its recommendations carried through. Further, NEC is not specifically required to do anything with regard to the reports submitted by the PCC and will often note and adopt the same without any further follow up action. So far the PCC has experienced challenges such as failure to honour summons, hostility between parties, hostility directed at PCC investigators, lack of understanding of EMCA and abdication of duty by Lead Agencies. Standards and Enforcement Review Committee The Standards and Enforcement Review Committee (SERC) is a committee of NEMA and is established under Section 70 of EMCA. This is a technical Committee responsible for formulation of environmental standards, methods of analysis, inspection, monitoring and technical advice on necessary mitigation measures. The Permanent Secretary under the Minister is the Chairman of the Standard and Enforcement Review Committee. The members of the SERC are set out in the third schedule to EMCA. They consist of representatives of various relevant government ministries and parastatals that are Lead Agencies as well as those responsible for matters such as economic planning and national development, finance, labour, public works, law and law enforcement, etc. Other members are drawn from public universities, and other government institutions. National Environmental Tribunal (NET) The NET is established under Section 125 of EMCA for the purpose of hearing appeals from administrative decisions by organs responsible for enforcement of environmental standards. An appeal may be lodged by a project proponent upon denial of an EIA licence or by a local community upon the grant of an EIA licence to a project proponent. NEMA may also refer any matter that involves a point of law or is of unusual importance or complexity to NET for direction. The proceedings of NET are not as stringent as those in a court of law and NET shall not be bound by the rules of evidence as set out in the Evidence Act. Upon the making of an award, NET’s mandate ends there as it does not Page | 78 Final Report WSCRP Environmental and Social Management Framework - ESMF have the power to enforce its awards. EMCA provides that any person aggrieved by a decision or award of NET may within 30 days appeal to the High Court. Land and Environment Court The new constitutional dispensation has provided for the creation of land and environment courts for specific handling of land and environmental related disputes and grievances. 4.5 Autonomous and Semi-Autonomous Government Agencies (SAGAs) Related to the WSCRP 4.5.1 Water Sub-Sector Water Resources Management Authority (WRMA) The Water Resources Management Authority (WRMA) was formed as one of the water sector bodies under the water sector reforms; the body was established under the Water Act 2002. The overall mandate of WRMA is to protect and conserve water resources. Water resources for purposes of the Water Act include lakes, ponds, swamps, streams, marshes, watercourses or anybody of flowing or standing water both below and above the ground. The functions of the WRMA include planning, management, protection and conservation of water resources. The WRMA is also authorized to receive and determine applications for water permits and monitor their compliance. There are currently six established regional offices in Kenya these are Athi catchment area in Machakos, Tana catchment area in Embu, Rift Valley catchment area in Nakuru, Lake Victoria South catchment area in Kisumu, Lake Victoria North catchment area in Kakamega and Ewaso Nyiro North catchment area in Nanyuki. The WRMA responsibilities extend to the management of water catchments. The Water Act establishes the Catchment Area Advisory Committees whose principal functions are to advise the WRMA on water resources conservation, use and apportionment at the catchment levels. Water Services Regulatory Board (WASREB) The Water Services Regulatory Board is established under the Water Act and was operationalised in March 2003. The functions of the WASREB include the issuance of licences to Water Service Boards and to approve service provision agreements concluded between Water Service Boards and Water Service Providers. The Water Service Providers are the agencies that directly provide water and sanitation services to consumers. The WASREB is responsible for ensuring that water services and supply are efficient and meet expectations of consumers through regulation and monitoring of Water Service Boards and Water Service Providers. To standardize service provision, the Board has the responsibility of developing among others, tariff guidelines. The Board is therefore supposed to oversee the implementation of policies and strategies relating to provision of water and sanitation services, these policies include the National Water Services Strategy (2007 -2015), Pro-Poor Implementation Plan for Water Supply and Sanitation. The specific functions of the WASREB include: Page | 79 Final Report WSCRP Environmental and Social Management Framework - ESMF  Providing information about water and sanitation services.  Regulating the provision of water and sanitation services; this is done through such methods as setting standards for the provision of water services, monitor compliance of facilities for water supply with the set standards.  Licensing Water Service Boards such as the Athi Water Services Board and other regional water service boards and approving their appointed Water Service Providers through service provision agreements.  Setting the rules, establishing standards guidelines and monitoring the performance of Water Service Boards and Water Service Providers and enforcing regulations.  Establishing technical, water quality and effluent disposal standards. Water Services Trust Fund (WSTF) The Government of Kenya, through the Ministry of Water and Irrigation established the Water Services Trust Fund (WSTF) under the Water Act 2002 to channel funding for its long-term objectives of developing water and sanitation services in areas of Kenya without adequate water. The main objective of the WSTF is to assist in financing capital costs of providing services to communities without adequate water and sanitation services. The WSTF focuses on reaching those areas that are underserved or not served at all such as informal settlements, the priority being given to poor and disadvantaged groups. The projects are funded through direct allocation by the Government and donations and grants that may be received from bilateral and multilateral development partners, organisations and individuals. Water Appeals Board The Water Appeals Board is established under the Water Act to adjudicate disputes within the water sector. The Appeals Board is made up of three persons, one appointed by the President on advice of the Chief Justice and two others appointed by the Minister for Water and Irrigation. The Water Appeals Board can hear and determine appeals arising from the decision of the Minster of Water and Irrigation, the WASREB and the Water Resources Management Authority (WRMA) with respect to the issuance of permits or licensees under the Water Act. Water Services Boards (WSB) Water Services Boards (WSBs) are constituted under the Water Act 2002. The WSBs are responsible for the provision of water and sewerage services within their areas of coverage and are licensed by the WASREB. The WSBs are also responsible for contracting Water Services Providers (WSPs) for the provision of water services. WSB and WSP enter into service provision agreements that include but not limited to the supply area, development, rehabilitation and maintenance of water and sewerage facilities of the WSBs. The WSBs are responsible for the review of the water services tariffs proposals from WSP before submission to WASREB for consideration. There are currently eight (8) established WSBs namely: Athi Water Services Board, Tana Water Services Board, Coast Water Services Board, Lake Victoria South Water Services Board, Lake Victoria North Water Services Board, Northern Water Services Board, Rift Valley Water Services Board and Tanathi Water Services Board. Page | 80 Final Report WSCRP Environmental and Social Management Framework - ESMF 4.6 International Environmental and Social Management Requirements Kenya is a signatory to several international treaties and conventions that are relevant to the sectors that the proposed sub projects under the WSCRP. The conventions include among others;- 1. United Nations Framework Convention on Climate Change 2. United Nations Convention on Biological Diversity 3. United Nations Convention on Combating Desertification 4. Convention on the Conservation of Migratory Species (CMS) 5. Africa Convention on Conservation of Nature and Natural Resources 6. International Convention for the Prevention of Pollution from Ships 7. Convention on International Trade in Endangered Species of Wild Fauna and Flora Page | 81 Final Report WSCRP Environmental and Social Management Framework - ESMF 5 DESCRIPTION OF WORLD BANK ENVIRONMENTAL & SOCIAL SAFEGUARDS POLICIES AND TRIGGERS Table 3 below shows the Banks safeguards policies in general and table 3 highlights the specific safeguards that are triggered as a result of the proposed WSCRP investments. Table 3: Summary of World Bank’s Safeguards Policies objectives including when they are triggered Policy Objective Trigger for the Policy OP/BP 4.01 The objective of this policy is to ensure that Bank- Depending on the project, and nature Environmental financed projects are environmentally sound and of impacts a range of instruments Assessment sustainable, and that decision-making is improved can be used: EIA, environmental through appropriate analysis of actions and of their audit, hazard or risk assessment and likely environmental impacts. This policy is triggered if environmental management plan a project is likely to have potential (adverse) (EMP).When a project is likely to environmental risks and impacts on its area of have sectoral or regional impacts, influence. OP 4.01 covers impacts on the natural sectoral or regional EA is required. environment (air, water and land); human health and The Borrower is responsible for safety; physical cultural resources; and transboundary carrying out the ESIA. and global environment concerns. OP/BP 4.04 Natural This policy recognizes that the conservation of natural This policy is triggered by any Habitats habitats is essential to safeguard their unique project (including any sub-project biodiversity and to maintain environmental services and under a sector investment or products for human society and for long-term financial intermediary) with the sustainable development. The Bank therefore supports potential to cause significant the protection, management, and restoration of natural conversion (loss) or degradation of habitats in its project financing, as well as policy natural habitats, whether directly dialogue and economic and sector work. The Bank (through construction) or indirectly supports, and expects borrowers to apply, a (through human activities induced by precautionary approach to natural resource management the project). to ensure opportunities for environmentally sustainable development. Natural habitats are land and water areas where most of the original native plant and animal species are still present. Natural habitats comprise many types of terrestrial, freshwater, coastal, and marine ecosystems. They include areas lightly modified by human activities, but retaining their ecological functions and most native species. This bank policy prohibits financing for developments that would significantly convert or degrade critical natural habitats, and preference is on siting projects on already converted land. OP/BP 4.36 Forests The objective of this policy is to assist borrowers to This policy is triggered whenever harness the potential of forests to reduce poverty in a any Bank-financed investment sustainable manner, integrate forests effectively into project (i) has the potential to have sustainable economic development and protect the vital impacts on the health and quality of local and global environmental services and values of forests or the rights and welfare of forests. Where forest restoration and plantation people and their level of dependence development are necessary to meet these objectives, the upon or interaction with forests; or Bank assists borrowers with forest restoration activities (ii) aims to bring about changes in that maintain or enhance biodiversity and ecosystem the management, protection or functionality. The Bank assists borrowers with the utilization of natural forests or establishment of environmentally appropriate, socially plantations. beneficial and economically viable forest plantations to help meet growing demands for forest goods and services. Page | 82 Final Report WSCRP Environmental and Social Management Framework - ESMF Policy Objective Trigger for the Policy OP 4.09 Pest The objective of this policy is to (i) promote the use of The policy is triggered if : (i) Management biological or environmental control and reduce reliance procurement of pesticides or on synthetic chemical pesticides; and (ii) strengthen the pesticide application equipment is capacity of the country’s regulatory framework and envisaged (either directly through institutions to promote and support safe, effective and the project, or indirectly through on- environmentally sound pest management. More lending, co-financing, or government specifically, the policy aims to (a) Ascertain that pest counterpart funding); (ii) the project management activities in Bank-financed operations are may affect pest management in a based on integrated approaches and seek to reduce way that harm could be done, even reliance on synthetic chemical pesticides (Integrated though the project is not envisaged Pest Management (IPM) in agricultural projects and to procure pesticides. This includes Integrated Vector Management (IVM) in public health projects that may (i) lead to projects. (b) Ensure that health and environmental substantially increased pesticide use hazards associated with pest management, especially and subsequent increase in health the use of pesticides are minimized and can be properly and environmental risk; (ii) maintain managed by the user. (c) As necessary, support policy or expand present pest management reform and institutional capacity development to (i) practices that are unsustainable, not enhance implementation of IPM-based pest based on an IPM approach, and/or management and (ii) regulate and monitor the pose significant health or distribution and use of pesticides. environmental risks. Pesticides in WHO Classes IA and IB may not be procured for Bank supported projects. OP/BP 4.11 The objective of this policy is to assist countries to This policy applies to all projects Physical Cultural avoid or mitigate adverse impacts of development requiring a Category A or B Resources projects on physical cultural resources. For purposes of Environmental Assessment under OP this policy, “physical cultural resources� are defined as 4.01, project located in, or in the movable or immovable objects, sites, structures, groups vicinity of, recognized cultural of structures, natural features and landscapes that have heritage sites, and projects designed archaeological, paleontological, historical, architectural, to support the management or religious, aesthetic, or other cultural significance. conservation of physical cultural Physical cultural resources may be located in urban or resources. rural settings, and may be above ground, underground, or underwater. The cultural interest may be at the local, provincial or national level, or within the international community. OP/BP 4.10 The objective of this policy is to (i) ensure that the The policy is triggered when the Indigenous Peoples development process fosters full respect for the dignity, project affects the indigenous human rights, and cultural uniqueness of indigenous peoples (with characteristics peoples; (ii) ensure that adverse effects during the described in OP 4.10 para 4) in the development process are avoided, or if not feasible, project area. ensure that these are minimized, mitigated or compensated; and (iii) ensure that indigenous peoples receive culturally appropriate and gender and inter- generationally inclusive social and economic benefits. The policy requires free, prior and informed consultation with indigenous peoples. OP/BP 4.12 The objective of this policy is to (i) avoid or minimize This policy covers not only physical Involuntary involuntary resettlement where feasible, exploring all relocation, but any loss of land or Resettlement viable alternative project designs; (ii) assist displaced other assets resulting in: (i) persons in improving their former living standards, relocation or loss of shelter; (ii) loss income earning capacity, and production levels, or at of assets or access to assets; (iii) loss least in restoring them; (iii) encourage community of income sources or means of participation in planning and implementing livelihood, whether or not the resettlement; and (iv) provide assistance to affected affected people must move to people regardless of the legality of land tenure. another location. This policy also applies to the involuntary restriction of access to Page | 83 Final Report WSCRP Environmental and Social Management Framework - ESMF Policy Objective Trigger for the Policy legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. OP/BP 4.37 Safety The objectives of this policy are as follows: For new This policy is triggered when the of Dams dams, to ensure that experienced and competent Bank finances: (i) a project involving professionals design and supervise construction; the construction of a large dam (15 m or borrower adopts and implements dam safety measures higher) or a high hazard dam; and for the dam and associated works. For existing dams, to (ii) a project which is dependent on ensure that any dam that can influence the performance an existing dam. For small dams, of the project is identified, a dam safety assessment is generic dam safety measures carried out, and necessary additional dam safety designed by qualified engineers are measures and remedial work are implemented. usually adequate. Dams with ≥15m in height review by an independent dam safety panel is required. OP 7.50 Projects in The objective of this policy is to ensure that Bank- This policy is triggered if (a) any International financed projects affecting international waterways river, canal, lake or similar body of Waters would not affect: (i) relations between the Bank and its water that forms a boundary borrowers and between states (whether members of the between, or any river or body of Bank or not); and (ii) the efficient utilization and surface water that flows through two protection of international waterways. or more states, whether Bank members or not; (b) any tributary or The policy applies to the following types of projects: other body of surface water that is a (a) Hydroelectric, irrigation, flood control, navigation, component of any waterway drainage, water and sewerage, industrial and similar described under (a); and (c) any bay, projects that involve the use or potential pollution of gulf strait, or channel bounded by international waterways; and (b) Detailed design and two or more states, or if within one engineering studies of projects under (a) above, include state recognized as a necessary those carried out by the Bank as executing agency or in channel of communication between any other capacity. the open sea and other states, and any river flowing into such waters. OP 7.60 Projects in The objective of this policy is to ensure that projects in This policy is triggered if the Disputed Areas disputed areas are dealt with at the earliest possible proposed project will be in a stage: (a) so as not to affect relations between the Bank “disputed area�. Questions to be and its member countries; (b) so as not to affect answered include: Is the borrower relations between the borrower and neighboring involved in any disputes over an area countries; and (c) so as not to prejudice the position of with any of its neighbors. Is the either the Bank or the countries concerned. project situated in a disputed area? Could any component financed or likely to be financed as part of the project be situated in a disputed area? The WB Group The General EHS Guidelines contain information These guidelines will be followed Environment, on cross-cutting environmental, health, and safety during the preparation of mitigation Health and Safety issues potentially applicable to all industry measures. When host country Guidelines. sectors. The guidelines include;- regulations differ from the levels and measures presented in the EHS Environment Guidelines, projects are expected to  Air Emissions and Ambient Air Quality achieve whichever is more stringent.  Energy Conservation If less stringent levels or measures  Wastewater and Ambient Water Quality are appropriate in view of specific  Water Conservation project circumstances, a full and  Hazardous Materials Management detailed justification for any  Waste Management proposed alternatives is needed as  Noise part of the site-specific  Contaminated Land environmental assessment. This Occupational Health and Safety Guidelines justification should demonstrate that Page | 84 Final Report WSCRP Environmental and Social Management Framework - ESMF Policy Objective Trigger for the Policy Community Health and Safety the choice for any alternate Construction and Decommissioning performance levels is protective of human health and the environment. 5.1 World Bank’s Safeguards Likely to be Triggered by WSCRP The WSCRP is a countrywide project and expected to have project investments in the entire country for as long as the selected sites are feasible in terms of water development. However, the likely or potential locations of the proposed investments are unknown at this point in time. Component 1 of the WSCRP (Investment in Water Resources Development) is expected to trigger OPs 4.01 (Environmental Assessment) and 4.12 (Involuntary Resettlements) 4.04 (Natural Habitats), 4.11 (Physical Cultural Resources), 4.09 (Pesticide Management) 4.36 (Forests), 4.37 (Dam Safety), and/or 7.50 (Projects on International Waterways). The safeguards instruments prepared for any sub project investment will address the requirements of any applicable policies. Table 4: Safeguard polices likely to be triggered under WSCRP Safeguard Policies Triggered by the Yes Reasons For Triggers No Project(For the Moment) Environmental Assessment (OP/BP 4.01) X Investments are likely to have potential significant adverse environmental impacts Natural Habitats (OP/BP 4.04) X Investments may be located in or close to areas with natural unique flora and fauna Pest Management (OP 4.09) X Investments in irrigation for agriculture purposes may employ the use of pesticides or may indirectly result in increased pesticide usage Physical Cultural Resources (OP/BP 4.11) X Investments will involve construction of mega projects in the water sector and excavation activities can lead to impacts on physical and cultural resources Involuntary Resettlement (OP/BP 4.12) X Investments may involve land take for construction purposes Indigenous Peoples (OP/BP 4.10) X Investments may be located in areas with vulnerable and marginalised groups/people Forests (OP/BP 4.36) X Investments located in or close to areas with natural forests or affect forest catchments Safety of Dams (OP/BP 4.37) X Investments like construction of dams for bulk water supply, irrigating or hydropower raises dam safety concerns Projects in Disputed Areas (OP/BP 7.60)* X Projects on International Waterways (OP/BP X Abstraction, diversion of water * By supporting the proposed project, the Bank does not intend to prejudice the final determination of the parties' claims on the disputed areas Page | 85 Final Report WSCRP Environmental and Social Management Framework - ESMF 7.50) from targeted water bodies may trigger transboundary issues especially for water bodies that are transboundary in nature. The Bank/MWI technical evaluation needs to determine that the project will have no adverse impacts on international waterways. In accordance with OP7.50, the process of notifying the riparian states if any proposed sub project will involve international waterways are completed either directly by MWI. 5.1.1 Environmental Assessment (OP4.01) This policy requires Environmental Assessment (EA) of projects proposed for Bank financing to help ensure that they are environmentally sound and sustainable, and thus to improve decision making. The EA is a process whose breadth, depth, and type of analysis will depend on the nature, scale, and potential environmental impact of the proposed investments under the WSCRP. The EA process takes into account the natural environment (air, water, and land); human health and safety; social aspects (involuntary resettlement, indigenous peoples, and cultural property) and transboundary and global environmental aspects. The adverse environmental and social impacts under WSCRP will come from the proposed investments and associated activities. However, since the exact location of these investments will not be identified before bank appraisal of the project, the Banks’ EA policy calls for the GoK to prepare an Environmental and Social Management Framework (ESMF) in accordance with its’ procedures. OP4.01 is triggered because the WSCRP will finance civil works projects including the rehabilitation and refurbishment of existing infrastructure, as well as the construction of new water related infrastructure. This ESMF establishes a mechanism to determine and assess future potential environmental and social impacts during implementation of WSCRP activities, and sets out mitigation, monitoring and institutional measures to be taken during operations of these activities, to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels. In regard to disclosure of the ESMF report, World Bank requires that the report be disclosed as a separate document as a condition for Bank appraisal. This report will be disclosed to the general public to meet this requirement as well as the Infoshop of the World Bank and the date of disclosure will precede the date for appraisal of the program. The World Bank system assigns a project to one of three project categories, as defined below: The extent and type of environmental and social assessment required by the World Bank is a function of the project's environmental impact and hence, its environmental screening category. The World Bank undertakes environmental and social screening of each Page | 86 Final Report WSCRP Environmental and Social Management Framework - ESMF proposed subproject to determine the appropriate extent and type of environmental and social assessment. The World Bank classifies projects into one of three categories (A, B and C), depending on the type, location, sensitivity, and scale of the project and the nature and magnitude of its potential environmental impacts. Table 5. World Bank EA Screening Categories An EIA is always required for projects that are in this category. Impacts are expected to be ‘adverse, Category sensitive, irreversible and diverse with attributes such as pollutant discharges large enough to cause “A� degradation of air, water, or soil; large-scale physical disturbance of the site or surroundings; extraction, consumption or conversion of substantial amounts of forests and other natural resources; measurable modification of hydrological cycles; use of hazardous materials in more than incidental quantities; and involuntary displacement of people and other significant social disturbances. When the subproject’s adverse environmental impacts on human populations or environmentally Category B important areas (including wetlands, forests, grasslands, and other natural habitats) are less adverse than those of Category A subprojects. Impacts are site – specific; few, if any, of the impacts are irreversible; and in most cases, mitigation measures can be designed more readily than for Category A subprojects. The scope of environmental assessment for a Category B subproject may vary from sub- project to sub-project, but it is narrower than that of a Category A sub-project. It examines the subproject’s potential negative and positive environmental impacts and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance. Category If the subproject is likely to have minimal or no adverse environmental impacts. Beyond screening, no further environmental assessment action is required for a Category C sub-project. C The WSCRP is rated as Category A. “Category A� project is likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works. The EA for a Category A project examines the project's potential negative and positive environmental impacts, compares them with those of feasible alternatives (including the "without project" scenario), and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance. For a Category A project, the borrower is responsible for preparing a report, normally an Environmental and Social Impact Assessment (or a suitably comprehensive regional or sectoral EA). However, sub project investments within the overall WSCRP may be categorised and rated as B or C and not necessarily A for example some small new infrastructure developments and infrastructure rehabilitations which may be rated as B hence requiring stand-alone ESMPs. Investments under component 2 of the WSCRP like hydrologic or meteorological monitoring systems would likely be in Category C, requiring no further environmental study. All projects in this WSCRP will be subjected to mandatory screening to determine whether they require further environmental analysis or otherwise. 5.1.2 Involuntary Resettlement (OP 4.12) The objective of this policy to avoid where feasible, or minimize, exploring all viable alternative project designs, to avoid resettlement. This policy is triggered in situations involving involuntary taking of land and involuntary restrictions of access to legally designated parks and protected areas. The policy aims to avoid involuntary resettlement to the extent feasible, or to minimize and mitigate its adverse social and economic impacts. Page | 87 Final Report WSCRP Environmental and Social Management Framework - ESMF This policy covers direct economic and social impacts that both result from Bank-assisted investment projects, and are caused by (a) the involuntary taking of land 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 persons must move to another location; or (b) the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. The policy prescribes compensation and other resettlement measures to achieve its objectives and requires that borrowers prepare adequate resettlement planning instruments prior to project appraisal of proposed projects. The main objective of this policy is to (i) avoid or minimize involuntary resettlement where feasible, exploring all viable alternative project designs; and (ii) assist displaced persons in improving their former living standards, income earning capacity, and production levels, or at least in restoring them; and (iv) provide assistance to affected people regardless of the legality of land tenure.. The policy requires the displaced persons and their communities, and any host communities receiving them, are provided timely and relevant information, consulted on resettlement options, and offered opportunities to participate in planning, implementing, and monitoring resettlement; and appropriate and accessible grievance mechanisms are established for these groups. In new resettlement sites or host communities, infrastructure and public services are provided as necessary to improve, restore, or maintain accessibility and levels of service for the displaced persons and host communities. A Resettlement Policy Framework (RPF) has been prepared that establishes standards and procedures for the preparation of Resettlement Action Plans (RAPs), as required. The RAPs would be prepared by WSCRP and its implementing partners. In this case, the World Bank reserves the right to also approve the individual RAPs as a condition for that particular project investment to be financed. For individual investments/subproject the RAP will be prepared when a project activity, in the cases mentioned above, for example, causes the involuntary taking of land and other assets resulting in: 1) Relocation or loss of shelter, 2) Loss of assets or access to assets, 3) Loss of income sources or means of livelihood, whether or not the affected persons must move to another location, 4) Loss of land, A Resettlement Policy Framework has been prepared for the WSCRP principally because the envisaged investments may involve land acquisition and or restriction of access to existing infrastructure. The RPF will guide preparation of Resettlement Action Plans (RAPs), where required. 5.2 Alignment of WB and GOK Polices relevant to this ESMF Both the World Bank safeguards policies and GoK laws are generally aligned in principle and objective: Page | 88 Final Report WSCRP Environmental and Social Management Framework - ESMF  Both require screening of sub project investments in order to determine if further environmental analysis (ESIAs) is needed.  Both require ESIA before project design and implementation (which also includes an assessment of social impacts).  Both require public disclosure of ESIA reports.  EMCA recognizes other sectoral laws while WB has safeguards for specific interests.  The Bank requires that stakeholder consultations be undertaken during planning, implementation and operation phases of the project which is equivalent to the EMCA requirements.  Additionally, statutory annual environmental audits are required by EMCA.  The national provisions for the management of resettlement related issues are not as fully developed and therefore not at par with the World Bank safeguard policy requirements. Thus, it is expected that the WB OP 4.12 will be mostly applied under the WSCRP Programme and a separate document to guide the process, i.e. a Resettlement Policy Framework (RPF) document will be prepared as a standalone report to support the social management and acceptability of the projects. In Kenya, it is a mandatory requirement under EMCA 1999 for all proposed development projects to be preceded by an ESIA study. However, prior to developing an ESIA, a project proponent is required to prepare a project report to aid NEMA in making a determination whether a full scale ESIA is necessary or not. Thus, under the laws of Kenya, environmental assessment is fully mainstreamed in all development process and starts with a screening process which is consistent with World Bank safeguard policies on EA that calls for mandatory screening as well to determine the rating category. Project reports will be prepared for all the sub project investments under the WSCRP to determine if they require a full scale ESIA. Further, in order to fully insure against triggers to WB safeguard policies, individual investments will be screened against each policy as part of the EA process. 5.3 Requirements for Public Disclosure Prior to appraisal of the WSCRP, this draft ESMF will be disclosed in country through posting on the Ministry of Water and Irrigation (MoWI) website www.water.go.ke as well as in the Bank’s infoshop. If there are any changes, a final version will be disclosed in the same manner and places described later. Page | 89 Final Report WSCRP Environmental and Social Management Framework - ESMF 6 DETERMINATION OF POTENTIAL ENVIRONMENT AND SOCIAL IMPACTS This chapter analyses the potential positive (beneficial) and negative (adverse) environmental consequences of the sub project investments envisioned under the WSCRP. 6.1 Positive Impacts The water resources development investments supported under the Project could include infrastructure for bulk water supply (including dam and groundwater development) and flood management, upstream activities to ensure the sustainability of investments (e.g., catchment management for selected sites, community outreach, etc.), and enhanced downstream productive water uses to ensure investment performance (e.g., irrigation development, water supply, etc.). Investments would be considered within a catchment based approach and may be accompanied by site-specific measures to increase resilience to natural hazards and allow for adequate disaster preparedness. 6.1.1 Employment and Improved Service Delivery Increased employment opportunities, improved service delivery to enterprises and the population across the water sector in general remains one of the positive benefits that will arise from the WSCRP sub projects. Under the Kenya Economic Stimulus Programme, emphasis has been placed on applying human labour in projects in order to provide significant employment opportunities. This project is no different and will therefore provide substantive employment opportunities to local populations. It is anticipated that the project will provide direct employment during the construction phase and another operational stage. Indirect employment through aspects such as transportation, infrastructure maintenance, markets, research and marketing will be far much greater and over a longer period of time. 6.1.2 Increase Water Supply Bulk water supply systems under this program will ensure that the general public in the targeted areas have access to clean water supply a pre-requisite for health and sanitation and a basic right as per the constitution of Kenya including part of the MDGs. 6.1.3 Increased Food Security Kenya is a food insecure country. In order to reverse this situation, more land need to be put into production and more so through irrigation. The project will play an important role on Kenya’s food security situation especially where food insecurity is common occurrence. 6.1.4 Improved economic growth Poor water infrastructure has been identified as one of the primary causes of poor economic and employment growth in Kenya. If the WSCRP succeeds, the program will translate to overall measurable economic growth for the country. Page | 90 Final Report WSCRP Environmental and Social Management Framework - ESMF 6.1.5 Flood Control and Water Resources Conservation Flood control sub project activities will have a direct impact on reducing effects of flood disasters like water and sanitation, displacement etc. Flood control effects of the project will free more land for farming as well as prevent destruction of food crops for those farmers who cultivate floodplains during the dry season. This indirect impact will help achieve food security especially for rain depended crops. This is an immediate impact that will be realized during wet season when floods occur. The WSCRP will invest in infrastructures that will be used by local communities water harnessing and storage. 6.1.6 Environmental Protection The irrigation related sub projects investments will promotes intensification of agriculture as opposed to extension. This will protect marginal areas as more food will be produced in a smaller area. Sustainable agricultural intensification is not only important to increased employment and income, but also is critical to protecting the environment. The project will reduce the pressure on farmers to push onto more fragile lands or to rely on labour intensive gathering activities off-farm. The project will thus intensify farm production through the use of improved inputs that raise productivity. 6.1.7 Create Birdlife Habitat The irrigation sub projects, dams and other open bulk water storage infrastructure will attract birdlife in the project area due to availability of food for the birds. This would improve on the general diversity of life in the area but may also threaten the birds should the farmers treat them as pests thus necessary measures should be taken to prevent and endangering of the birdlife through this. 6.1.8 Market Creation The project will create a market for building and construction materials, farm inputs including seeds, fertilizers, pesticides and herbicides. This is a direct beneficial impact that would be felt during implementation and after the project is operational and crops are harvested from the fields. 6.2 Potential Adverse Impacts The potential adverse environmental and social impacts of the WSCRP are numerous and this ESMF highlights these impacts which are broad and cross cutting across most of the envisaged investments projects. However, the specific adverse impacts for each investment will be distinguished during the preparation of the specific ESIA or ESMP based on the sub project investment environmental category once the screening process is complete. 6.3 Adverse Environmental Impacts 6.3.1 Loss of vegetation There will be vegetation loss during the construction phase (for project investments) either to pave way for access roads, actual project construction among others. The vegetation will be cleared so that the area where the construction work is to take place is clear for the construction work to be performed. The construction works will involve direct land take of productive pasture land and agricultural lands, bush clearing, removal Page | 91 Final Report WSCRP Environmental and Social Management Framework - ESMF of top soil, excavation and mass haulage. These activities will expose the land to elements of erosion such as wind and water and thus will trigger the process of land degradation. 6.3.2 Change in Hydrology Abstraction of water for irrigation, bulk water storage, irrigation, hydropower, multipurpose will have impact of the hydrological flow of the riverine system. The impact will affect the general hydrological flows including current existence of water bodies. 6.3.3 Loss of Fauna Potential investments may generally fragment ecosystems, isolating species population and cutting off migrations and other movement. For example dams will block the upstream and downstream passage of migrating aquatic animals. This will isolate them from vital spawning and feeding areas. Many fish and invertebrates inhabit the river bottom, but these habitats will decline due to depletion of riverbed gravels. Destruction of wild fauna habitat due to construction (on site and along road rehabilitation profile/borrow pit sites). 6.3.4 Soil Erosion/Acidification Soil erosion could occur during the construction phase when loose soil is swept by waters and during the operational phase especially when irrigation investments are involved. This will be as a result of the intensive activities that will be going on in the construction areas especially land clearing. The heavy equipment and machines that shall be used in the construction process will interfere with the soil structure making it loose hence liable to erosion. Irrigation activities will also cause water logging effects. 6.3.5 Decreased Water Quality Increase in suspended particles due to construction works; risk of human contamination from construction camps; and competition for water will affect the water quality especially where investment projects are close to natural water bodies. Suspended particles including soil from the neighbouring catchment area will contribute to this. Water quality could deteriorate significantly due to reduced water recharge and balance leading to stagnation contributed by upstream use of fertilizers and pesticides as well especially when investments involved irrigation agriculture. Agrochemical pollution could become a major problem with intensification of monoculture. A high nutrient level is essential for productive agriculture. However, the use of both natural and chemical fertilizers may result in an excess of nutrients which can cause problems in water bodies and to health. Nitrates are highly soluble and therefore may quickly reach water bodies. Phosphates tend to be fixed to soil particles and therefore reach water courses when soil is eroded. Infiltration of irrigation water in excess of available root zone storage will penetrate beyond the reach of roots and eventually recharge groundwater. Nitrates, salts, and other chemicals used in crop cultivation that dissolves in the soil water will move with the water. Crops with high water and Nitrates requirements (rice and vegetables) will Page | 92 Final Report WSCRP Environmental and Social Management Framework - ESMF increase the potential risk of nitrate pollution to groundwater. Because they do not evaporate, nitrates/nitrites are likely to remain in water until consumed by plants or other organisms. This impact will be felt more in areas with light-textured soils and intensive production of shallow-rooted crops that will contribute to considerable nitrate losses by leaching. This will be an external cost of the project on the population. Blasting is used to loosen or break up rocks for removal. It is used during excavation of bedrock. Potential environmental impacts include dust (air quality), contaminant spills, sedimentation, safety (workers, storage), fly rock and debris, noise and explosive detonation effects on people and structures. 6.3.6 Downstream Impacts of Dams Changes to the low flow regime may have significant negative impacts on downstream users, whether they abstract water (irrigation schemes, drinking supplies) or use the river for transportation or hydropower. Minimum demands from both existing and potential future users need to be clearly identified and assessed in relation to current and future low flows. The quality of low flows is also important. Return flows are likely to have significant quantities of pollutants. Low flows need to be high enough to ensure sufficient dilution of pollutants discharged from irrigation schemes and other sources such as industry and urban areas. A reduction in the natural river flow together with a discharge of lower quality drainage water can have severe negative impacts on downstream users, including irrigation schemes. Habitats both within and alongside rivers are particularly rich, often supporting a high diversity of species. Large changes to low flows (±20%) will alter micro-habitats of which wetlands are a special case. It is particularly important to identify any endangered species and determine the impact of any changes on their survival. Such species are often endangered because of their restrictive ecological requirements. The ecology of estuaries is sensitive to the salinity of the water which may be determined by the low flows. Saline intrusion into the estuary will also affect drinking water supplies and fish catches. It may also create breeding places for anopheline vectors of malaria that breed in brackish water. As a result, in the cumulative impact analysis which would be done for each investment the impact of a given project on those people should be considered. The most important mitigation measures are the release of good quality Reserve Flows capable of maintaining important environmental services, and satisfying downstream water requirements. In addition, the measures taken in the catchment areas in order to improve the longevity as well as the operation of the multipurpose dams and irrigation schemes could affect the livelihoods means of the people living upstream. A Strategic Environmental Social Assessments (SESA) will be conducted for sub project activities that are within a wider river basin in order to determine the cumulative impacts as is the case with the Lower Nzoia Irrigation Development Project. Page | 93 Final Report WSCRP Environmental and Social Management Framework - ESMF 6.3.7 Borrow Pits and Quarry Sites Borrow pits and quarry are sites where stone, sand, gravel, till, clay, or other granular soils are extracted for construction of the various investments within WSCRP. The term ‘pit’ is used when granular material is extracted. The term ‘quarry’ is used where consolidated rock is removed. Environmental impacts of pit and quarry development can include the loss, reduction or disturbance to wildlife and habitat, erosion, dust, soil/groundwater contamination, damage to historic resources, waste disposal, noise, and aesthetics. 6.3.8 Impacts on Ecosystems Potential environmental impacts will result from the creation of the diversion sites and structures themselves, and from operational management of diversion sites and the impacts on downstream riverine ecosystems, including maintenance of in stream and riparian habitats. Downstream impacts on riverine ecosystems are considered above under downstream environmental flows and these are considered to be the primary environmental impacts associated with the development of these water supply abstraction sites. Off-take of water for irrigation will result in reduced stream flows especially during the dry season. 6.3.9 Greenhouse Gas Emission Greenhouse gas (methane) will be emitted from the irrigation schemes with rice paddies through methanogenesis process from the dams. The cumulative effects of greenhouse gas effect on the climate results in global warming. 6.3.10 Decreased Air Quality Airborne dust will be caused by excavation, vehicle movement hence engine combustion and materials handling, particularly downwind from the construction sites during the construction phase of the identified investments. Uncovered stock piles and asphalt mixing plant operations are another source of dust. Air pollution will be further caused by emissions from vehicles and construction machinery. There will be decreased air quality due to dust, suspended particles, hydrocarbon vapours, oxides of nitrogen and sulphur (NOx and SOx) and Volatile Organic Compounds (VOC) among other emissions. 6.3.11 Changes in downstream morphology of the riverbed and banks The impact of the proposed water projects like irrigation schemes, bulk water supply dams on downstream habitats will be through changes in the sediments load of the rivers. All rivers carry some sediment as they erode their watershed. When the river is held behind a dam in the reservoir for a period of time, most of the sediment is trapped in the reservoir and settle to the bottom. Clear water below the dam will recapture its sediments load by eroding the downstream bed and banks. Eventually all the erodible material on the riverbed below the dam will be eroded away, leaving a rocky streambed, and a poorer habitat for aquatic fauna. However, this is a phenomenon that will be experienced up until the river reaches new sediment load equilibrium. Proposed investments may affect and change downstream water quality and will manifest in change in river temperature, nutrient load, and turbidity; dissolve gases, concentration of heavy metals and minerals. For example for dam and irrigation projects, when river Page | 94 Final Report WSCRP Environmental and Social Management Framework - ESMF water is held in a reservoir for a period of time, the quality of the water is affected. When a reservoir is first firmed, submerged vegetation and soil decomposes. As it does so it will deplete oxygen in the reservoir water. Deoxygenated water can be lethal to both plant and animal lives. 6.3.12 Dam safety related impacts and Flooding Poor dam design and maintenance may lead to dam breakage and therefore flooding that may lead to deaths and destruction of property. In case of dam break, it can have far reaching impacts on the downstream communities. Emergency plans and procedures will have to be developed to handle such an incidence. Although its occurrence may have far reaching consequences, the impact is mitigable and the probability of its occurrence will be minimized through dam safety plans, inspection procedures and disaster management procedures and thus the magnitude of this impact is expected to be medium negative. 6.4 Social Impacts 6.4.1 Diseases Spread-Public Health Improve access to water and irrigation will have positive benefits on the lives of the communities such improved in yield and better access to drinking water. However, it also could have some negative impacts. Dams and diversion weirs could impact the health situation of those living close to them due to increase in the number of mosquitoes as one example. There is a potential risk that the construction process for most of the investment projects could increase HIV/AIDS prevalence in the project areas especially through interactions of the locals with the labour forces. Increase in risk of sexually transmitted diseases, such as HIV/AIDS etc. due to influx of migrant workers; solid waste and effluent discharge from construction camps; risk of increase in vectors of schistosomiasis, river blindness, Lymphatic filariasis (elephantiasis) and malaria due to stagnant water associated with construction works/borrow pits etc. (targeting bulk water supply schemes, flood management, dams or irrigation schemes). 6.4.2 Incessant Traffic including accidents Traffic congestion from construction and operation phases of the investments and which could potentially cause disruption, health and safety impacts, as well as economic impacts. The use of heavy moving construction vehicles and machineries in project sites is generally known to cause traffic reducing movement and flow of vehicles. It is also further envisaged that with the improvement of the transport sector (i.e. construction, expansion or of new roads, highways and bridges) the traffic volumes and speeds will increase, and composition will change. This is likely to cause increased frequency and severity of accidents. 6.4.3 Loss of Land There will be loss of farm land, grazing land, business and structures among others by the local communities owning the land. The construction of irrigation schemes, dams, bulk water supply systems, among others. The existing land use of the project area will be affected by the construction of access roads, construction camps, opening up of material Page | 95 Final Report WSCRP Environmental and Social Management Framework - ESMF sites and quarry sites among others. These will scar the land, cause vegetation loss leading to soil erosion. The construction activities is almost all the sectors will involve a relatively high degree of land take bearing in mind that most of the projects are linear in nature thus requiring adequate land and space. There are populations who may lose their land, assets and means of livelihood due to infrastructures and programs needed for the investment under WSCRP especially when investments such as irrigation, multipurpose dams, surface and underground water development, and catchment management, among others are considered. 6.4.4 Impact on social fabric and community relations Some of the infrastructure as well as loss of land can cause communities to be separated and some of the social and economic relations and reliance disturbed. For example irrigation canals or dams are likely to segment the communities and in certain instances deny them access to land and to one another. 6.4.5 Resource Use Conflicts Increasing irrigation schemes and dam construction for example under WSCRP investments and as a result the increase in the amount of land under irrigation could cause conflict between those with different water needs such as agriculturists and pastoralist, fishery, household use, to name some. Women having different needs with respect to water for household use as well as household plots, which are mainly tended by women, could be negatively impacted if measures are not considered for household needs when expanding irrigation schemes and specific needs of women with respect to water resources. The vulnerable and marginalised groups could lose access to some of their scared sites and ancestral lands. To address the issues related to the latter group, the Vulnerable and Marginalized Groups Framework has been prepared under the WSCRP. Flood control investments could limit the access of those who use the flood plain for cultivation. The investments that are forming users’ associations should make sure they are inclusive of all users and groups, including women, pastoralists, agriculturists, businesses in the area, fishermen, among others. The project can cause some changes in social processes such as demographic change and resource-use conflicts. 6.4.6 Gender Issues and Impacts As noted above, women have different needs and use of water including for domestic household use, small households plots for agriculture, for animals among other things. Construction of irrigation schemes as well as dams, bulk water storage facilities can limit women access to water for such needs. As a result, different needs of women with respect to land and water use should be taken into consideration when designing the investments under WSCRP to avoid their potential discrimination from access to land and water as a result of the WSCRP. Page | 96 Final Report WSCRP Environmental and Social Management Framework - ESMF 6.4.7 Impacts on Vulnerable and Marginalised Groups Changing land patterns and workloads resulting from the introduction or formalizing of irrigation are likely to affect men and women, ethnic groups and social classes unequally. Groups that use "common" land to make their living or fulfil their household duties, e.g. for charcoal making, hunting, grazing, collecting fuel wood, growing vegetables etc. may be disadvantaged if that same land is taken over for irrigated agriculture or for building irrigation infrastructure. Historically, it has been men from the more settled and powerful groups that have had greatest access to the benefits and increased income from irrigated agriculture. Women, migrant groups and poorer social classes have often lost access to resources and gained increased workloads. Conversely, the increased income and improved nutrition from irrigated agriculture benefit women and children in particular. Inclusion of disadvantaged groups into the planning process maybe time-consuming, but should be considered an important aspect of ESIA. Irrigation agriculture related projects may ignore the role of women in agriculture and existing producer groups as well as water users associations. Similarly inadequate capacity, access to services (extension and others) and decision making especially for women may tilt the scale and cause further disparity among women who may be affected negatively by the investments. The formation of Irrigation Water Users Associations or producers associations must be compelled to include gender inclusivity and this has been embraced by the Water Act for example and will be considered during the investment stages of the sub projects in regard to institutional and organisation development framework. Vulnerable groups include special marginalised groups, orphans, and child headed households, the sick, elderly and female headed households among others and who may be adversely affected by the proposed investments especially in the event that their status as vulnerable or marginalised groups is not considered in the preparation of the specific investments. In order to ensure that vulnerable groups are given special attention, a Vulnerable and Marginalised Groups Framework (VMGF) has been prepared for the WSCRP which will include the preparation of specific Vulnerable and Marginalised Groups’ Plans (VMGPs). 6.4.8 Noise and Vibration Impacts Construction activities could result in significant noise impacts so as to impact on general well-being, health and functioning. Large scale infrastructure developments involve the use of heavy equipment (graders, drilling equipment, trucks, blasting equipment, tractors, and excavators) for among others rock blasting, excavation, asphalt mixing plant operations and vehicular movement that emit incessant noise usually harmful to the environment. Introduction of new sources of noise is an issue in areas where ambient noise levels have been low. 6.4.9 Health and Safety of Construction Workers Occupation health and safety of the workers during the construction phase (and in certain cases operation phase) is likely to be a concern due to the accidents that normally occur in construction sites that could cause loss of life, limbs among others. Page | 97 Final Report WSCRP Environmental and Social Management Framework - ESMF 6.4.10 Solid and Effluent Waste Hazards Generation and Pollution Solid waste issue is a potential adverse impact that will be as a result of abandonment of litter/construction materials on site, use of plastic container/bags by road users and the construction crew and use of polythene sheet for curing by the contractor. Construction camps may be a further source of both solid and liquid wastes. 6.4.11 Increased crime and in-migration The increase in the number of people in a specific project area or site especially during construction has the potential to lead to a number of negative socio-economic impacts, including increased insecurity and community conflicts, increased incidences of diseases; increased risk of accidents and occupational hazards; and immigration of construction workers and labour force management challenges. 6.4.12 Visual Intrusion: Unsightly earthworks and borrow pits during construction may be a source of visual related impacts especially through scarring of landscapes. During operations, visual intrusion of equipment on site may be seen as a negative impact at the local level. 6.4.13 Food Security There is a possibility the increase in investments for example irrigation system may decrease the food security of the people living in the area due to more attention to cash crops. This could specially affect the women and children who have less access to cash crops and more advance farming. 6.4.14 Employment Issues The construction activities of sub project investments may require recruitment of “foreign� skilled and unskilled labour that could trigger conflict, resentment and tension by the local communities over perceived inequities in distribution of job opportunities by the local communities. 6.4.15 Risk of drowning There is a risk of drowning by both children and adults in the reservoirs. Furthermore, domestic animals may also drown in the reservoir while trying to drink from it. Although this risk leads to loss of lives, it can be avoided and mitigated thus the magnitude of the impact is considered to be medium negative and can be mitigated by planting trees and other vegetation to reduce accessibility, carry out surveillance and off the dam area and sensitization of the community of emergency plans of action in case of disasters. 6.5 POTENTIAL CUMULATIVE IMPACTS Cumulative Impact Assessment (CIA) has been defined, and is applied in this Section, as the analysis of all the effects on an area from one or more activities as they accumulate over time and space (IPENZ, 2000). Cumulative effects can be different in nature (e.g. additive, synergistic or interactive), larger in magnitude, greater in significance, more long-lasting, and/or greater in spatial extent than is the case with individual effects (IPENZ, 2000). Additionally, the individual impacts from a single development may not be singularly significant on their own, but when combined with other impacts, those effects could become significant (Cooper, 2004). Page | 98 Final Report WSCRP Environmental and Social Management Framework - ESMF WSCRP investment projects may individually have insignificant adverse environmental impacts. However, several water investments in combination, or in combination with other government or private sector activities within the water sector, could have a larger, more significant cumulative impact. This is particularly likely to be the case for:  Groundwater depletion owing to the demand for water; Combined reductions in flow volumes within a particular river resulting from irrigation, municipal and industrial water withdrawals  Surface water depletion, owing to the impact of several diversion schemes on small streams and watercourses.  Cumulative impact on aquatic and terrestrial flora and fauna across the basins due to multiple water investment projects are likely to be experienced.  Cumulative impact on hydrological flows, at various points within specific project investment, at various points within a day, season, year, over the years and cumulatively across the basin and impacts thereof. This will include impacts on various hydrological elements including springs, tributaries, groundwater aquifers, etc. As suggested by Cooper (2004) CIA must into consideration other relevant plans or projects which may affect the same valued attributes as outlined above. These include major infrastructure projects planned within any given water basin where sub project investments under WSCRP are planned. Typical sub project activities identified as having the potential for long term cumulative impact include among others:  Dam construction including canals  Water Abstraction for irrigation, hydropower, domestic use  Water deviation for irrigation, hydropower, domestic use  Vegetation clearing and inundation;  Increased use of fertilisers and pesticides in irrigations schemes These were identified as leading to potential long-term cumulative impacts of:  Loss of habitat and connectivity;  Changes to downstream flows; and  Eutrophication and pollution  Reduced water for downstream users hence conflict  Regional economic benefits. Loss of habitat and connectivity The cumulative impact of dams and clearing or inundation is on species and communities of flora and fauna. Measures that address the cumulative impact relate to the rehabilitation and offset strategies. These aim to provide and protect appropriate areas of vegetation over the long term such that habitat is available for the impacted flora and fauna. This multiplier ensures that the offset is adequate to address the impact. With Page | 99 Final Report WSCRP Environmental and Social Management Framework - ESMF mitigation and offsets, the development of these sub projects is not expected to have a cumulative impact upon the terrestrial flora or fauna. Changes in Downstream Flows Impacts Changes to the low flow regime may have significant negative impacts on downstream users, whether they abstract water (irrigation schemes, drinking supplies) or use the river for transportation or hydropower. Minimum demands from both existing and potential future users need to be clearly identified and assessed in relation to current and future low flows. The quality of low flows is also important. Return flows are likely to have significant quantities of pollutants. Low flows need to be high enough to ensure sufficient dilution of pollutants discharged from irrigation schemes and other sources such as industry and urban areas. A reduction in the natural river flow together with a discharge of lower quality drainage water can have severe negative impacts on downstream users, including irrigation schemes. Habitats both within and alongside rivers are particularly rich, often supporting a high diversity of species. Large changes to low flows (±20%) will alter micro-habitats of which wetlands are a special case. It is particularly important to identify any endangered species and determine the impact of any changes on their survival. Such species are often endangered because of their restrictive ecological requirements. The ecology of estuaries is sensitive to the salinity of the water which may be determined by the low flows. Saline intrusion into the estuary will also affect drinking water supplies and fish catches. It may also create breeding places for anopheline vectors of malaria that breed in brackish water. Potential cumulative environmental impacts related to inter-basin transfers include water quality changes (positive or negative) and impacts on the habitats of fish and other aquatic species. In addition, resettlement due to the acquisition of land for investments may combine with induced migration of people (for labour, services etc.) to place greater pressure on natural resources in particular areas. The avoidance and mitigation of cumulative impacts requires: avoidance and mitigation of the impacts of individual projects; careful planning, based on sound technical knowledge, of the location, size, and material requirements of infrastructural projects, within the district and regional planning cycles. Growth-inducing potential: Each new proposed investment/action can induce further actions to occur. The effects of these "spin-off" actions (e.g., increased vehicle access into a previously unroaded hinterland area) may add to the cumulative effects already occurring in the vicinity of the proposed action, creating a "feedback" effect. Such actions may be considered as "reasonably-foreseeable actions" 6.6 Environmental & Social Management Process This ESMF contains potential mitigation measures and monitoring indicators (see tables 6 and 7) through which the adverse impacts for specific sub project investments may be Page | 100 Final Report WSCRP Environmental and Social Management Framework - ESMF managed. However, each sub project investment will have to prepare an ESMP. The ESMP for each sub project should at a very minimum contains among others;-  Description of the possible adverse effects that the ESMP is intended to address;  Identification of project design alternatives that would meet similar objectives, and a description of why these projects are not viable, especially if they have a lesser environmental or social impact;  Description of planned mitigation measures, and how and when they will be implemented  Program for monitoring the environmental and social impacts of the project, both positive and negative;  Description of who will be responsible for implementing the ESMP; and  Cost estimate and source of funds. 6.6.1 Mitigation considerations and options All moderate to major adverse impacts are considered for mitigation. Specific measures have been suggested in this regard where practicable. With regard to negligible and minor impacts where the project activity is not expected to cause any significant impact in such cases, best practice measures and mitigation have also been recommended where appropriate to improve the environmental and social performance of the Project. The mitigation options considered may include project modification, provision of alternatives, project timing, pollution control, compensations and relocation assistance. In cases where the effectiveness of the mitigation is uncertain, monitoring programs are introduced. 6.6.2 Recommended mitigation measures The mitigation measures or guidelines have been designed in order to avoid, minimize and reduce negative environmental and social impacts at the project level. The mitigation measures are presented in the following tables in a descriptive format. Table 6: Proposed mitigation measures Impacts Description of mitigation measures Physical Environment Waste disposal Solid nontoxic waste  Adequate waste receptacles and facilities should be provided at project sites/camp sites   Training and awareness on Safe Waste Disposal in construction camps for all workers   Final disposal should be at dumpsites approved by the NEMA Waste oil /fuel  Spent or waste oil from vehicles and equipment should be collected and temporarily stored in drums or containers at site  Waste oil should be disposed of by oil marketing companies or agents approved or recognized and have the capacity to undertake oil disposal Air pollution  Proposed investments should require that construction contractors operate only well maintained engines, vehicles, trucks and equipment. A routine maintenance program for all equipment, vehicles, trucks and power generating engines should be in place.   The project should ensure the use of good quality fuel and lubricants only Page | 101 Final Report WSCRP Environmental and Social Management Framework - ESMF   If dust generation at the project/construction site becomes a problem, limited wetting of sites and or unloading and reloading points should be done to reduce dust raising   Construction traffic speed control measures should be enforced on unpaved roads (speed limits through communities should be ≤50km/hr on unpaved roads and near or at project site should be ≤30 km/hr).   Engines of vehicles/trucks and earth-moving equipment should be switched off when not in use. Noise and vibration  Proposed investments should require contractors to use equipment and vehicles that are in good working order, well maintained, and that have some noise suppression equipment (e.g. mufflers, noise baffles) intact and in working order.  This will be achieved by making it a component of contractual agreements with the construction contractors.  Contractors will be required to implement best driving practices when approaching and leaving the site (speed limit of ≤30 km/hr) to minimize noise generation created through activities such as unnecessary acceleration and breaking squeal.   Engines of vehicles/trucks and earth-moving equipment should be switched off when not in use. Impacts on Landscape and Visual  Land scaping of facilities after construction and restoration of disturbed areas e.g. Receptors borrow pits   Impact on traffic and Public safety Only road worthy vehicles and trucks should be used to avoid frequent breakdowns on the roads   Only experienced drivers should be employed Contractors must provide training for drivers; Establish speed limits; Enforce safe driving and take disciplinary action against repeat offenders Water use  Obtain water abstraction permits from the Water Resources Management Authority (WRMA) Water pollution  No garbage/refuse, oily wastes, fuels/waste oils should be discharged into drains or onto site grounds   Fuel storage tanks/sites should be properly secured to contain any spillage   Maintenance and cleaning of vehicles, trucks and equipment should take place offsite especially where project sites are close to water bodies.   Toilet facilities should be provided for construction workers to avoid indiscriminate defecation in nearby bush or local water bodies   For project investments where pesticides are used e.g. irrigation, an Integrated Pest Management Plan (IPMP) should be prepared Soil and Land degradation  Minimize land clearing areas as much as possible to avoid unnecessary exposure of bare ground to the elements of the weather   Re-vegetate cleared areas as early as possible using native plant species   As much as possible, avoid construction work in the rainy season Impact on fauna and habitat  Avoid unnecessary exposure and access to sensitive habitat areas   For identified or suspected sensitive habitats (swamps/ wetlands), regular inspection or monitoring should be carried out in the area prior to start and during work.  Page | 102 Final Report WSCRP Environmental and Social Management Framework - ESMF  If sensitive habitats are encountered, Project activities should cease and the Project should consult KWS to determine the appropriate course of action.   If the project site is discovered as a sensitive habitat area, the Project should engage the KWS to develop a suitable plan.  Prohibition on hunting and consumption of bush meat by workforces Impacts on inland water bodies/  Proposed investments should require that contractors implement a hazardous Fauna/habitat materials management plan that includes specification for proper storage and handling of fuels, oil, wastes, and other potentially hazardous materials as well as a plan for containment and clean-up of accidental spills into the aquatic environment.   During pre-installation and installation of project facilities, spotting of sensitive aquatic mammals should form part of the project activities. Should these species be observed in the vicinity of the work area, the project should execute measures to avoid destruction or disturbance. Ensure provision for water flow reserves and appropriate reservoir filling schedules   Project staff must report sightings of any injured or dead aquatic life (fishes)/ mammals immediately, regardless of whether the injury or death is caused by a Project activity. The report should include the date and location of the animal/strike, and the species identification or a description of the animal. The report should be made to the NEMA or KWS.   The Project workforce and local communities should be educated to ensure that the importance of environmental protection and nature conservation are effectively communicated and that wider appreciation of environmental issues and construction best practice are fostered. Social Environment Physical displacement  All affected persons to be given relocation assistance (cash or kind) by the Project to enable them move their properties to new locations, i.e. in accordance with the Resettlement Policy Framework (RPF)   Resettlement Plans will be required. If a site is acquired, the State may relocate persons and their families as well as community facilities to be affected. The affected families should not be made to incur any cost during the relocation period. A resettlement plan should be prepared for this area with the RPF as a guide. Loss of Employment and  Those whose livelihood is affected should be assisted to ensure they will not be livelihoods worse off as a result of the project. This can include livelihood assistance, provision of new jobs immediately without any loss of income. The social assessments and socio-economic surveys, which will be undertaken for the preparation of individual investments/subprojects as well as the resettlement action plans, should assess these issues and provide measures in accordance with the Resettlement Policy Framework (RPF).   Contractors should use local labor as much as possible and where available. As much as possible, all unskilled labor should be contracted or obtained from the local community. Loss of land and other assets  Due process should be followed to establish the true owner of any land, be it family or communal land. Once established, the project should acquire the site by paying appropriate compensation in accordance with the resettlement policy framework (RPF), which would be the replacement cost of the assets lost. Loss of structures/properties  For a project site to be used, irrespective of the land ownership, appropriate compensation should be paid for any structures/ properties which are permanent structures at the site as well as investment made for any development on the land.   Depreciation should not be factored during valuation of these properties. The Page | 103 Final Report WSCRP Environmental and Social Management Framework - ESMF compensation process should satisfy the RPF developed for the project.   Appropriate compensation should be paid for any damaged or destroyed propriety that belongs to affected persons. No depreciation during valuation of these properties. Impact on access among  Measures will be considered in the projects’ design to ensure that communities communities living in the project are not divided and if they are as a result of a project appropriate measures are areas taken to mitigate this impact. Impacts on recreation and public  Appropriate notices and warning signs will be erected around working areas and areas public areas to warn prospective trespassers of any danger or risk Impacts on Human Health/ Traffic  Trucks carrying construction materials such as sand, quarry dust, laterite etc. will Safety and sanitation have the buckets covered with tarpaulin or appropriate polythene material from or to project site   Only road worthy vehicles/trucks should be used  Only experienced drivers/operators should be employed   Except for areas secured by fencing, all active construction areas will be marked with high-visibility tape to reduce the risk accidents involving pedestrians and vehicles.   All open trenches and excavated areas will be backfilled as soon as possible after construction has been completed. Access to open trenches and excavated areas will be secured to prevent pedestrians or vehicles from falling in.   Adequate sanitary facilities will be available for workers and open range defecation will not be countenanced.   Construction workers will be provided with and educated to wear suitable Personal Protective Equipment (PPE) including hard hats, overalls, high-visibility vests, safety boots, earplugs, gloves etc. Enforce use of PPEs at all times for all staff and labourers and ensure supervision of the same to minimise accidents   Construction workers should be educated to adhere to basic rules with regard to protection of public health, including most importantly hygiene and disease (HIV/AIDS) prevention. Impacts on cultural heritage /  The pre-construction surveys should identify cultural heritage resources and archaeological interest / existing existing ecologically sensitive areas that the project should avoid and by-pass ecologically sensitive areas these resources.   The Project should implement a chance find procedure and reporting system to be used by contractors in the event that a cultural heritage feature or ecologically sensitive item/issue is encountered. Impacts on Human Health and  The Project will require all contractors to implement an Environmental, Health Public Safety and Safety (EHS) plan which will outline procedures for avoiding health and safety incidents and for emergency medical treatment. This will be achieved by making it a component of contractual agreement.   Contractors will be required to wear suitable Personal Protective Equipment (PPE) including hard hats, high-visibility vests, safety boots and gloves and life vests as appropriate in accordance with the EHS plan. Enforce use of PPEs at all times for all staff and labourers and ensure supervision of the same to minimise accidents   All construction and other workers will be sufficiently trained in the safe methods Page | 104 Final Report WSCRP Environmental and Social Management Framework - ESMF pertaining to their area of work to avoid injuries. Labor related issues  The project to prepare redundancy plans and packages to be discussed with affected workers which will include re- training and re- tooling of affected workers and aim to avoid labor strife.  Waste Pollution from construction Prepare Waste Disposal Plan for every construction site camps  Install waste disposal receptacles and signs in strategic places within the construction camps  Provide training and awareness on need to avoid littering  Ensure the construction camps have toilets and connected to the sewer system Impact on gender access to water The project will take into consideration the different needs for water and types of for household use and household access which will be affected for each of these groups and provide relevant plots as well as impact on mitigation measures which will be decided with those affected. Some mitigation pastoralists and fisheries. measures could include water points for household use and livestock; livelihood assistance to those whose whole or partial livelihood will be affected as a result of some of the possible investments such as irrigation schemes and dams. Specific impact and relevant measures will be covered by project specific social assessment. Impacts on vulnerable and  The project will ensure that all the vulnerable and marginalised groups are marginalized groups (orphans, identified and profiled and through the Vulnerable and Marginalised Groups child and women headed Framework (VMGF) specific plans are designed for each investment to consider households, the sick, elderly etc.) the wellbeing of the vulnerable and marginalised groups identified. HIV/AIDS Spread and other  Design HIV/AIDS awareness, sensitisation and prevention program for each related Public Health Diseases – project that extends to the communities as a whole; Water borne diseases etc. Design programs for reducing the spread of water borne diseases like Malaria, Bilharzia etc. in collaboration with the Ministry of Health Downstream Impacts of Dams and Maintain environmental flow reserves for the river, Do into retain water in other water infrastructure e.g. reservoir during drought, ensure that water retention in dam is controlled to irrigation investments, bulk water ensure that adequate reserve is left to flow downstream for users supply, Dam Safety Impacts  Ensure dam is designed by specialists; Institute a dam safety panel and develop a dam safety plan for all dams Construction Camp Impacts  Where appropriate, additional measures should be developed to address any additional environmental and social issues (e.g. cumulative and induced impacts) that may arise during construction. Labour and Employment Related Ensure that the local communities are given priority in relation to employment Impacts and provided with training (skilled) to provide future labour in the project e.g. operation and maintenance 6.7 Monitoring Plans and Indicators 6.7.1 Monitoring of Environmental and Social Indicators The goal of monitoring is to measure the success rate of the project, determine whether interventions have resulted in dealing with negative impacts, whether further interventions are needed or monitoring is to be extended in some areas. Monitoring indicators will be very much dependent on specific project contexts. Monitoring Levels-Overall Project Level The MWI will be responsible for monitoring and reporting on compliance with the ESMF. The MWI will ensure that sub projects investments are screened, their safeguard instruments prepared, cleared and disclosed prior to sub project approval. Further, MWI will ensure that executing agencies implement or cause their contractors to implement the specific sub project ESMP, and submit reports on ESMP implementation as required. Page | 105 Final Report WSCRP Environmental and Social Management Framework - ESMF Within the MWI, monitoring and surveillance of all the sub project investments will be undertaken by the WSCRP/PMU that will be established for the project. The MWI will report results of this monitoring to the Bank. In appreciation of the fact that it would be impossible to visit or monitor all sub project investments to be financed under the project, “spot checks� may be undertaken by the WSCRP/PMU but no investment will be ignored in this high level monitoring. Bank’s Monitoring Support The Bank will provide the second line of monitoring compliance and commitments made in the ESMP through supervision albeit in a less frequent manner and detail as compared to the first line of monitoring that will be undertaken by the PMU. The bank will further undertake monitoring during its scheduled project supervision missions. Specifically, for each year that the agreement is in effect, sub project executing agencies within the WSCRP will be required to submit to the PMU all the monitoring reports and the PMU will consolidate and summarise these reports and submit to the Bank as part of its reporting to the Bank and the Bank supervision missions will review these reports and provide feedback. Sub Project Level Monitoring The second level of monitoring will be at the sub project level where the safeguard instruments for the investments will and must include a monitoring plan for which the executing agency will be responsible for ensuring that monitoring is carried out. Each sub project investment will set up an implementation unit solely responsible for executing the investment and which will include responsibility for monitoring and reporting all the elements in the ESMP on day to day or periodically as specified in the monitoring plan. The sub project level monitoring reports will be submitted to the environmental safeguards specialist at the WSCRP/PMU for review and analysis. The higher level monitoring at the PMU level will check to see that executing agencies are doing this. All sub project investments will be subject to mandatory annual environmental audit /supervision to ensure that they comply with national requirements by EMCA. Table 7: Monitoring indicator Monitoring Level Monitoring Issue Verifiable Indicators Responsibility ESMF Level Adequate dissemination of Record of consultations MWI, Consultants ESMF and RPF to and meetings; stakeholders MWI, Consultants Capacity building and Workshop reports. training programs Project Investment Preparation of Independent consultants Line Ministries, Level environmental and social hired to prepare ESIA and/ Consultants impact assessment report RAP documents Environmental permitting Environmental Permits for Investor, Line Ministries, sub projects NEMA Environmental Management Plans, Page | 106 Final Report WSCRP Environmental and Social Management Framework - ESMF Monitoring Reports, Monitoring and evaluation Investor, Line Ministries, Annual Environmental NEMA Reports Page | 107 Final Report WSCRP Environmental and Social Management Framework - ESMF Table 8: Project monitoring indicators and responsibilities Impact issue Proposed Action/ Implementation Monitoring Monitoring Verification Project Responsibility Measures tool/criteria indicators Indicators stage (Inputs) (Outcomes) Solid waste disposal Provide adequate waste Waste management Number of waste Percentage of Weekly checks Construction Contactor reception facilities at plan/Construction site bins at site bins workers who by project construction camp sites management plan follow the solid engineer Operation Project engineer Availability of waste disposal Dispose of waste at waste disposal plan including approved waste plan use of collection sites receptacles Number of Final disposal workers familiar records and aware of the waste disposal plan at the construction sites Waste oil/fuel Provide Waste management Waste oil Number of Monthly checks Construction Contactor disposal drums/containers for plan/Construction site drums/containers workers familiar by project temporary storage on site management plan on site and aware of the engineer Operation Project engineer of waste oil from waste disposal equipment and vehicles. Availability of plan waste disposal Dispose of waste oil plan (waste oil) Percentage of through an approved workers who agent follow the waste disposal plan including use of receptacles Page | 108 Final Report WSCRP Environmental and Social Management Framework - ESMF Air pollution Purchase sound Part of contract Number of sound Percentage of Independent Construction Contactor/Project equipment/machinery for agreement machinery and workers check by project engineer project equipment following the engineers Routine maintenance purchased good practices Operate well maintained plan for machinery for equipment Verification of vehicles, trucks and Availability of and machinery maintenance other equipment Purchase of fuel at equipment and maintenance record by recognized stations machinery project Use good quality fuel maintenance plan engineers and lubricants Schedule of works is to Self-check by limit Frequency of contractor Suppress dust generation watering of at project sites Water surfaces several surfaces to reduce times a day to reduce dust related Switch off engines when dust at the site. impacts not in use Noise pollution Schedule of works is to Part of contract Recorded Number of Self-check by Construction Contactor/Project be limited to daylight agreement for the grievances workers contractor engineer hours contractors correctly and Number of PPE frequently using Compliance with the procured for noise PPEs noise emission mitigation levels/standard of Number of NEMA workers aware of the emissions Provision of PPE for standards of workers for noise NEMA and pollution complying with the same Train workers on the use of PPEs for noise mitigation and reprimand those not complying Impacts on Landscaping of facilities Construction site Implementation of Quality of Self-check by Construction Contactor/Project landscape after construction, and maintenance and the plan restored contractor engineer restoration of disturbed restoration plan. landscapes areas Number of disturbed sites successfully restored Page | 109 Final Report WSCRP Environmental and Social Management Framework - ESMF Traffic impacts Use only road worthy Purchase sound Traffic incidence Number of Project Construction Contactor/Project vehicles and trucks vehicles and trucks records drivers aware engineers to engineer /machinery for project and familiar verify Use experienced drivers Grievances with the traffic Driver qualification Recorded safety plan Contractors must provide recorded driver training Percentage of Traffic Safety Plan drivers who Establish speed limits, have not committed a Enforce safe driving and traffic offence take disciplinary action for the last 6 against repeat offenders. months Number of compliance (traffic) inspection and checks conducted by traffic department found to be satisfactory Page | 110 Final Report WSCRP Environmental and Social Management Framework - ESMF Water pollution No garbage/refuse, oily Waste management Visibility of oil on Increased water Daily self- Construction Contractors /Project wastes, fuels/waste oils plan water bodies quality checks by engineers should be discharged Spill prevention and upstream and contractors into drains or water control plan downstream Operation Project engineers bodies Procurement and shown by Periodic reports installation of periodic on performance Fuel storage tanks/sites water monitoring measurements by contractor to should be properly Water Quality Plan to and measuring project secured measure the quality of gauges Water samples engineers water including collected Maintenance and physical, chemical and On site erosion showing Spot cleaning of vehicles, biological. observed compliance to checks/audits by trucks and equipment water pollution project should take place offsite. Implement an Proposed actions standards engineers Integrated Pest implemented Provide toilet facilities Management Plan for construction workers when using fertilizers Quality of water and pesticides following periodic Construction activities, measurements including camps to include measures to No of pollution control runoff incidences recorded Number of complaints on pollution of water Page | 111 Final Report WSCRP Environmental and Social Management Framework - ESMF Impact on fauna Avoid unnecessary If a sensitive habitat is Wildlife incidents Number or Regular self- Construction Contractors /Project and flora exposure or access to discovered in the work recorded and percentage of checks by engineers/KWS/NEMA sensitive habitat. area or vicinity, Project reported to terrestrial flora contractor activities should cease. KWS/KFS/NEMA and fauna Operation Avoid protected areas, unaffected by Spot checks and critical habitats or areas The contractor should the sub projects audit by with significant notify project engineers contractor to the Maintenance biodiversity (wetlands) who will consult KWS Number of client to determine the workers aware Regular inspection or appropriate course of and sensitized monitoring should be action. on the need to carried out in sensitive conserve the areas e.g. swamps/ Hazardous material flora and fauna wetlands the area prior to management start of work. plan/accident management plan. Impact on Ensure proper storage terrestrial flora and handling of Awareness raising and fauna potentially hazardous among contractor materials (including oil). personnel Waterlogging/ Thoroughly assess Incidences of Reduced Regular site Construction Contractors /Project Erosion/Salinization project soils and their gathering water waterlogging visits Engineers/NEMA management needs under from improper incidence irrigated agriculture drainage Operation Apply water efficiently Soil erosion and Maintenance (consider drip or dampening of dawn/evening sprinkler surrounding area system) due to seepage Install and maintain adequate surface and subsurface draining Use lined canals or pipes to prevent seepage Page | 112 Final Report WSCRP Environmental and Social Management Framework - ESMF Avoid waterlogging Maintain log of (above) hours/water used for irrigation Mulch exposed soil surfaces to reduce evaporation Flush irrigated land regularly Cultivate crops having high tolerance to salinity Design and layout of furrows appropriately Avoid unsuitable gradients Avoid over-irrigation Install sediment traps in fields and canals to capture sediment for return to fields Minimum tillage, contour cropping, terracing and other methods of conserving soil moisture Page | 113 Final Report WSCRP Environmental and Social Management Framework - ESMF Table 9: Project monitoring indicators and responsibilities-Social Impacts Impact issue Proposed Action/ Measures Implementation Monitoring Monitoring Verification Project stage Responsibility tool/criteria indicators indicators (Input) (Output) Impacts on Maintain Environmental Flows Environmental Presence of an Impacts on water Regular spot Construction Contractor downstream for river basins Flows Plan Environmental uses and checks by WRMA Executing Agency water users Flows Plan livelihoods Ensure that abstraction of water calculated and downstream Operation NEMA complies with the WRMA approved by Periodic checks of permits WRMA the flows by environmental WRMA Installation of team Water Monitoring Stations Procurement of water measuring and monitoring equipment Availability of Water Abstraction Permit from WRMA Impacts on Place notices and warning signs at ESMP Grievance records Recreational Warning Construction Contractors/Project recreation and working areas Facilities and signs/notices in engineers public areas areas place restored/protected Page | 114 Final Report WSCRP Environmental and Social Management Framework - ESMF Impacts on Cover buckets of trucks carrying ESMP Health and safety Reduced accidents Health and safety Construction Contractors Human Health/ construction materials such as incident register and hazards in plan under Safety and sand, quarry dust, etc. construction sites implementation Grievance records sanitation Vehicle Use road worthy vehicles/trucks Daily self-checks maintenance and experienced drivers/operators and verification programme/plan Reduced by contractor Active construction areas to be in place incidence of marked with high-visibility tape diseases spread Spot checks by e.g. HIV/AIDS, project engineers Backfill and or secure open Construction site and other STDs trenches and excavated areas. Periodic reports management by contractor to Provide adequate sanitary plan project engineers facilities Increased ESMP understanding of Provide PPEs for construction ESMP workers on workers. measures to ESMP Educate construction workers on reduce site rules/regulation and hygiene STDs/HIV/AIDS and disease (HIV/AIDS) ESMP etc. prevention. Impacts on Identify cultural heritage Pre-construction Cultural/ Number of Chance finds Preconstruction Contractors/NMK cultural resources and existing surveys / Chance archaeological workers familiar procedure under and heritage/ ecologically sensitive areas. finds procedure resources/ existing with the chance implementation construction archaeological infrastructure find procedures and repairs/ Daily self-checks interest encounter recovery and verification /existing Plan for incidence register by contractor aquatic accidental infrastructure Cultural Finds Periodic reports and services by contractor to project engineers Impacts on Use suitable Personal Protective ESMP Health and safety Reduction in or ESMP under Pre- Contractors Human Health Equipment (PPE). incident register increase in implementation construction and Safety accidents due to and Grievance records Spot checks and use of or lack of construction, observations by Provide Training on use of PPE use of PPEs and repairs/ project engineers recovery Periodic reports on performance by contractor to project engineers Page | 115 Final Report WSCRP Environmental and Social Management Framework - ESMF Labour related Ensure that the local communities Human Number of local Number of local Employment Pre- Contractors/EA impacts are given priority in relation to Resource residents residents Records construction (Employment) employment and provided with Management employed in sub employed in sub and training (skilled) to provide future Plan projects projects construction, labour in the project e.g. and repairs/ operation and maintenance recovery Page | 116 Final Report WSCRP Environmental and Social Management Framework - ESMF 6.8 Issues Related to Resettlement, Pest Management, Physical Cultural Resources, Vulnerable and Marginalised Groups Plan and Dam Safety The WSCRP triggers other safeguard policies alongside this ESMF and thus the other related safeguard instruments have been prepared for this project. During the screening process of sub projects if identified as a requirement, a Resettlement Action Plan, Integrated Pest Management Plan, Vulnerable and Marginalised Groups Plan and/or a Physical Cultural Resources Management Plan, Dam safety measures or a combination of these, will be prepared alongside the Environmental and Social Management Plan (ESMP) as an integrated part of the overall investment management plan for the specific project. 6.8.1 Resettlement Action Plan Resettlement Action Plans (RAPs) will be needed for investment that may result in the loss of access to resources. The RPF outlines the relevant steps required in order to ensure that appropriate measures are put in place to safeguard the rights of affected persons and communities. 6.8.2 Integrated Pest Management Plan Integrated Pest Management Plans (IPMPs) will be required for each investment screened and confirmed that it will lead to increased pesticide use especially the irrigation related investments and this is in line with the OP 4.09 for pest management. The proposed project investments that are likely to use pesticides will have to list all the pesticide products authorised for procurement and they should be products registered by the Pesticide Control and Product Board of Kenya. 6.8.3 Physical Cultural Resources Management A plan for the management of physical cultural resources shall form part of the ESIA for each investment since the WSCRP triggers the OP 4.11, it is important that the EIA also include identify the process for addressing impacts on cultural property. Measures will need to be integrated into the ESMP to address the following areas: • Avoidance or mitigation of identified adverse impacts; • Provisions for chance finds; Preparation, as appropriate, of a physical cultural resources management plan consistent with the overall policy framework and national legislation, taking into account institutional capabilities;• Measures for strengthening institutional capacity; and • Monitoring systems to track progress of these activities. 6.8.4 Protected Areas, Natural Habitats and Forests OP 4.04 is triggered due to the fact that investments may be situated in or around sensitive ecological areas of Kenya like the wetlands, forest etc. Compliance will be handled through the ESMF and site specific ESIAs. Page | 117 WSCRP Environmental and Social Management Framework - ESMF 6.8.5 Dam Safety Dams for bulk water supply, irrigation and or hydropower are some of the investments likely to be included in the WSCRP and in effect triggering the OP 4.37. When the World Bank finances a project that includes the construction of a new dam, it requires that the dam be designed and its construction supervised by experienced and competent professionals. It also requires that the Borrower adopt and implement certain dam safety measures for the design, bid tendering, construction, operation, and maintenance of the dam and associated works. The World Bank distinguishes between small and large dams: a) Small dams are normally less than 15 meters in height. This category includes, for example, farm ponds, local silt retention dams, and low embankment tanks. b) Large dams are 15 meters or more in height. Dams that are between 10 and 15 meters in height are treated as large dams if they present special design complexities--for example, an unusually large flood-handling requirement, location in a zone of high seismicity, foundations that are complex and difficult to prepare, or retention of toxic materials. Dams under 10 meters in height are treated as large dams if they are expected to become large dams during the operation of the facility. For small dams, generic dam safety measures designed by qualified engineers are usually adequate however for large dams competent experienced engineers, preferably with international experience and familiarity with World Bank, FERC and CDA requirements, should carry out dam designs. The designs must be reviewed by a dam safety panel which must be instituted for this purpose. Construction supervision should be comprehensive and carried out by competent site staff familiar with construction of dam projects. Key issues to consider include:  Users should restrict themselves to the construction of earth dams no higher than 5 m from streambed to finished crest level.  Dams on catchment areas exceeding 25 km2 or with reservoir areas storing more than 50,000 m3 may require the advice of a hydrologist to assist in the design of spillways and other outlets and for the estimation of freeboard.  No spillway should be less than 10 m wide and 1 m deep for catchments up to 5 km2 and should be at least 15 m wide and 1.5 m deep for catchments exceeding this area.  Any dam that involves out of the ordinary topography (i.e. steep slopes upstream, risks of landslips), hydrology (i.e. flash floods, droughts, snowmelt) or soils (i.e. poor quality soils, sodic soils, permeable layers in the soil, bare earth surfaces in the catchment) should only be designed and constructed under the supervision of a qualified engineer. Page | 118 WSCRP Environmental and Social Management Framework - ESMF 6.8.6 Vulnerability and Marginalised People Plan This plan will be an integral part of the ESMP especially on socio-economic aspects and is necessary because the WSCRP triggers the OP 4.10. A VMGF has been developed as a separate safeguard instrument for this project and contains a VMGP that will have to be prepared for each proposed project investment in an event that marginalised and vulnerable persons are located in the investment project site. 6.9 Monitoring Roles and Responsibilities 6.9.1 WSCRP Executing Partner Institutions The specific ministries or government agencies implementing the specific investment (once identified) under the WSCRP will be solely responsible for the environmental monitoring of the activities that they are responsible for implementing. They will be required to prepare periodic (monthly, quarterly and annual) monitoring reports for submission to the WSCRP/MWI/PMU which will then submit to the Bank and NEMA. 6.9.2 National Environment Management Authority (NEMA) The EMCA places the responsibility of environmental protection on NEMA as the coordinating agency. NEMA is charged with the overall role of providing oversight in regard to monitoring for all project activities that have potential impacts on the environment in Kenya. NEMA will undertake periodic monitoring of the investment projects by making regular site inspection visits to determine compliance with the investment projects ESIAs approved and will further rely on the submitted annual audit reports submitted for each investment project annually as required by EMCA as a way of monitoring. NEMA will provide approvals and ESIA licence to all the investments based on the ESIA reports submitted, without NEMA’s approval implementation of the investment project will not move forward. All monitoring reports as well as annual environmental audit repost will be submitted to NEMA as specified by the environmental assessment and audit regulations. 6.9.3 WSCRP/PMU -Environmental and Social Specialist The WSCRP/PPT has recruited environmental and social safeguard specialists who will provide oversight, screening of sub projects, preparation of ToRs for ESIAs, facilitation, coordination, review of ESIAs, monitoring and evaluation of all the sub projects within the PPT phase until 2013. In view of the fact that a PMU is envisaged to take responsibility of the implementation of the WSCRP, it is recommended that the PMU recruit or retain the environmental and social safeguards specialists all through the implementation period. In principle the 2 specialist will work with the executing agencies to ensure that monitoring of investments are undertaken and findings are reported to them periodically so that needed technical assistance to ensure compliance is provided. The environmental and social specialists based at the WSCRP/PMU will submit quarterly monitoring reports of all active investments under implementation to the WSCRP /PMU Coordinator who will then submit these reports to the World Bank. Page | 119 WSCRP Environmental and Social Management Framework - ESMF 6.9.4 Others (Water Users Associations and Civil Society Organisations) Water Users Associations and relevant CSOs in the area where a sub project investment is identified will be part of the monitoring and evaluation and will be provided with adequate training for on-going day to day monitoring. 7 PROJECT REVIEW, COORDINATION & IMPLEMENTATION ARRANGEMENTS 7.1 Sub Project Investment Review The Environmental Management and Coordination Act (EMCA) require that all projects be subjected to a review and screening process in order to determine whether a full scale ESIA is necessary or otherwise. This is done through preparation of a project report which will be prepared by the WSCRP/PMU jointly with the executing agency of the specific sub project investment. Each investment will need to be reviewed independently for potential environmental and social impacts. In cases where a full scale ESIA is required, it will be paramount that the feasibility studies occur concurrent with the ESIA study in order to ensure that the findings of the ESIA are incorporated in the feasibility study at the design stage. This will ensure that environmental sound design including proposed mitigation measures as well as alternatives are incorporated in the feasibility reports at the design stage hence avoiding design change at an advanced stage. The WSCRP has been rated as category A this requires a full scale ESIA which must be conducted parallel to the feasibility studies to ensure that the findings of the ESIA are incorporated in the feasibility study at the design stage. The Environmental Management and Coordination Act (EMCA) require that all projects be subjected to a review and screening process in order to determine whether a full scale ESIA is necessary or otherwise. Project investments will each need to be reviewed independently for potential environmental and social impacts. A completed appraisal package comprises all of the results of the ESIA procedures in order to permit a full environmental review. If the World Bank determines that the appraisal package is not complete because the environmental procedures have not been completed, or because after further review it is discovered that the information provided earlier for the screening procedures was incorrect or misleading and that further information is required, the appraisal package will be deemed incomplete and the Task Manager will promptly notify the applicant of the deficiencies. No WSCRP support will be provided until (i) the applicant has presented the WB with a certified copy of the positive conclusion of the relevant national authority or - as the case may be - the World Bank determines that no further environmental review is required, and (ii) the World Bank has reviewed and cleared the environmental documentation and issued its formal no objection. Consultation and Disclosure Requirements: In addition to the environmental documentation requirements described above, World Bank Operational Policy 4.01 Page | 120 WSCRP Environmental and Social Management Framework - ESMF (paragraphs 15 and 16), and the WB Policy on disclosure stipulates that the following consultation and disclosure requirements be utilized for all Category A sub projects: Consultation should occur at least twice, once near the beginning of the EA process and once when a draft final report has been disclosed. During the EA process, the applicant shall consult groups affected by the subproject and local NGOs about the subproject’s environmental aspects and take their views into account. The applicant shall initiate such consultations as early as possible. Consultations with stakeholders should take place only ones after a draft EA report is prepared. In addition, the applicant shall consult with such groups throughout project implementation as necessary to address EA-related issues that affect them. For meaningful consultations, the applicant shall apply the following disclosure requirements:  The applicant shall provide relevant material in English and/or the local language (as appropriate) in a timely manner prior to consultation;  The applicant shall make the draft ESIA report including a detailed summary of the ESIA's conclusions available at a public place accessible to groups affected by the subproject and local NGOs. 7.1.1 Screening and investment project preparation Screening of investments will commence right at the project inception phase as soon as the specific sub project details are known including nature and scope, proposed location and area among other parameters. Screening is expected to happen concurrently with the project specific feasibility studies so that any potential impacts identified through screening are immediately incorporated into the feasibility study hence ensuring that environmental sound design of the sub projects occurs right at the project design phase. The screening process could result in any of the following determination;- 1. Full ESIA 2. A stand-alone ESMP or 3. No further environmental study 7.1.2 Who prepares a screening checklist? NEMA is the institution designated to make a decision on whether a full scale ESIA is necessary for proposed investments or otherwise. To make this determination, a project report must be submitted to NEMA in order to make a determination and this is part of the screening. The project/screening report will be prepared by WSCRP/PMU on behalf of the executing agencies of the WSCRP in the individual institutions and then submitted to the NEMA for further determination. The Bank also requires that sub project investments are screened in order to make a determination as to whether a full scale ESIA, a standalone ESMP or no further environmental studies are needed for investments. In order to blend the requirements of the bank and that of NEMA, the screening will be done and submitted to the bank and Page | 121 WSCRP Environmental and Social Management Framework - ESMF NEMA respectively. In the event that both NEMA and the bank recommend for a full scale ESIA then the same will be prepared. However, bearing in mind that the Bank will never recommend a less stringent environmental study than NEMA, even if NEMA could do so according to its own policies, but (b) recognizing that the Bank may require a more stringent study than NEMA does and if so, that more stringent requirement will apply to the sub project concerned. This implies that even if the screening is done to meet the bank requirements and a decision is made that an ESMP alone is sufficient by the Bank, the Bank will still expect that the executing agency for the sub project prepare a full ESIA if NEMA directs so. On the other hand, if NEMA determines that no ESIA is required following screening and submission of project report, and the Bank feels that project requires an ESIA, then the sub project executing agency will need to prepare the same to satisfy and get approval for the sub project from the Bank. Format 1.0: SCREENING CHECKLIST (Filled and prepared by environmental and social experts in WSCRP executing agencies or by consultants if agencies lack experts) IFPPP Project: Select relevant project Project Investment name [type here] Location [type here] Estimated cost (USD) [type here] TYPE OF PROJECT OR ACTIVITY Sub Project Type  Construction of Bulk Water Supply Systems  Construction of Multi-Purpose Dams  Construction of water supply pipelines  Construction of Hydropower Dams  Construction of Irrigation Systems/Schemes  Construction of Flood Control and Mitigation Canals/Dykes  Construction of wells and boreholes Please give more details: [type here] For all projects, an Environmental and Social Management Plan (ESMP) will be required. In addition, the following studies may be required: Will this project affect vulnerable and marginalised groups? If yes, a Vulnerable and   Marginalised Groups’ Plan will be required Will the project require land for its development, and therefore displace individuals, families   or businesses from land that is currently occupied, or restrict people’s access to crops, pasture, fisheries or forests, even, whether on a permanent or temporary basis. If yes, a Resettlement Action Plan will be required Will the investment project involve the construction of dams?   Will the Project: Yes No Adversely affect natural habitats nearby, including forests, rivers or wetlands?   Require large volumes of construction materials (e.g. gravel, stone, water, timber, firewood)?   Use water during or after construction, which will reduce the local availability of   groundwater and surface water? Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or   Page | 122 WSCRP Environmental and Social Management Framework - ESMF groundwater (e.g. wells, reservoirs)? Be located within or nearby environmentally sensitive areas (e.g. intact natural forests,   mangroves, wetlands) or threatened species? Lead to soil degradation, soil erosion in the area?   Create waste that could adversely affect local soils, vegetation, rivers and streams or   groundwater Create pools of water that provide breeding grounds for disease vectors (for example malaria   or bilharzia)? Involve significant excavations, demolition, and movement of earth, flooding, or other   environmental changes? Affect historically-important or culturally-important site nearby?   Require land for its development, and therefore displace individuals, families or businesses   from land that is currently occupied, or restrict people’s access to crops, pasture, fisheries, forests or cultural resources, whether on a permanent or temporary basis? Result in human health or safety risks during construction or later?   Involve inward migration of people from outside the area for employment or other purposes?   Will the Project: Yes No Result in conflict or disputes among communities?   Affect indigenous people, or be located in an area occupied by indigenous people?   Be located in or near an area where there is an important historical, archaeological or cultural   heritage site? Result in a significant change/loss in livelihood of individuals?   Adversely affect the livelihoods and /or the rights of women?   If you have answered Yes to any of the above, please describe the measures that the project will take to avoid or mitigate environmental and social impacts [type here] What measures will the project take to ensure that it is technically and financially sustainable? [type here] If the answer to any of questions “Yes�, please use the indicated Annexes or sections(s) of the ESMF for guidance on how to avoid or minimize typical impacts and risks. When considering the location of an investment, rate the sensitivity of the proposed site in the following table 10 according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable. They do indicate a real risk of causing undesirable adverse environmental and social effects, and that more substantial environmental and/or social planning may be required to adequately avoid, mitigate or manage potential effects. Table 10: Site Sensitivity Rating Site Sensitivity Rating Issues Low (L) Medium (M) High (H) (L,M,H) Natural habitats No natural habitats No critical natural Critical natural habitats present of any kind habitats; other natural present habitats occur Water quality and Water flows exceed any Medium intensity of Intensive water use; water resource existing demand; low water use; multiple multiple water users; availability and use intensity of water use; water users; water potential for conflicts is potential water use quality issues are high; water quality issues conflicts expected to be important are important low; no potential water quality issues Natural hazards Flat terrain; no Medium slopes; some Mountainous terrain; vulnerability, potential erosion potential; steep slopes; unstable floods, soil stability/ stability/erosion medium risks from soils; high erosion erosion problems; no known volcanic/seismic/ flood/ potential; volcanic, volcanic/seismic/ flood hurricanes seismic or flood risks risks Page | 123 WSCRP Environmental and Social Management Framework - ESMF Site Sensitivity Rating Issues Low (L) Medium (M) High (H) (L,M,H) Cultural property No known or suspected Suspected cultural Known heritage sites in cultural heritage sites heritage sites; known project area heritage sites in broader area of influence Involuntary Low population Medium population High population density; resettlement density; dispersed density; mixed major towns and villages; population; legal tenure ownership and land low-income families is well-defined; well- tenure; well-defined and/or illegal ownership defined rights rights of land; communal properties; unclear rights Indigenous peoples No indigenous Dispersed and mixed Indigenous territories, population indigenous populations; reserves and/or lands; highly acculturated vulnerable indigenous indigenous populations populations CONCLUSION Which course of action do you recommend?  FULL ESIA  ESMP  RAP/RPF is the reference document with reference to resettlement issues  VMGP  OTHER ENVIRONMENTAL/SOCIAL PLANS  There are no environmental or social risks [Type here] If a RAP is required, will the project Displace or restrict access for less than 200 individuals, or if over 200, are losses for all individuals less than 10% of their assets? If Yes, Prepare an abbreviated RAP  If No, Prepare a full RAP  Full details of resettlement requirements are provided in the accompanying Resettlement policy Framework. Completed by: [type here] Name: [type here] Position: [type here] Date: [type here] Format 2.0: SCREENING CHECKLIST REVIEW FORM (Prepared by Environment and Social Specialists from WSCRP/PCU/MWI) Yes No Based on the location and the type of investment, please explain whether the   Proponent’s responses are satisfactory. Their description of the compliance of the investment with relevant planning Documents   If ‘No’, please explain: [type here] Their responses to the questions on environmental and social impacts   If ‘No’, please explain: [type here] Their proposed mitigation measures   If ‘No’, please explain: [type here] Their proposed measures to ensure sustainability   Page | 124 WSCRP Environmental and Social Management Framework - ESMF If ‘No’, please explain: [type here] REVIEWER’S CONCLUSION Which course of action do you recommend?  FULL ESIA  ESMP;  RAP-RPF is the reference document with reference to resettlement issues  There are no environmental or social risks [Type here] If a RAP is required, will the investment displace or restrict access for less than 200 Individuals, or if over 200, are losses for all individuals less than 10% of their assets? If Yes, Prepare an abbreviated RAP  If No, Prepare a full RAP  Full details of resettlement requirements are provided in the accompanying Resettlement Policy Framework. If this differs from the Proponent’s recommended course of action, please explain: [Type here]  Preparation of a project Report, based on field appraisal by NEMA District Officer, is required to investigate further, specifically to investigate: [Type here]  Reject Review form completed by: [type here] Name: [type here] Position / Community: [type here] Completion of this screening form will facilitate the identification of potential environmental and social impacts, determination of their significance, assignment of the appropriate environmental category, proposal of appropriate environmental mitigation measures, or recommend the execution of an Environmental and Social Impact Assessment (ESIA), if necessary. Development of project reports follows systematic process as follows;  Review of TORs with the implementing partners for adequacy  Familiarization with project design  Familiarization with projects area of influence  Identification of the relevant statutes and WB safeguard policies  Determination/ Identification of all stakeholders to project  On-the-ground investigations of the bio-physical baseline  Consultations with stakeholders  Impact prediction and interpretation  Identification of mitigation measures  Development of an environmental management plan complete with budget and identification of responsibilities  Finalization of project report Page | 125 WSCRP Environmental and Social Management Framework - ESMF 7.1.3 Statutory content of Project Reports: Regulation 7(1) of Legal Notice 101 stipulates content of Project Reports to include the following;-  The nature of the project;  The location of the project including the physical area that may be affected by the project’s activities;  The activities that shall be undertaken during the project construction, operation, and decommissioning phases;  The design of the project;  The materials to be used, products, by-products, including waste to be generated by the project and the methods of disposal;  The potential environmental impacts of the project and the mitigation measures to be taken during and after implementation;  An action plan for the prevention and management of possible accidents during the project cycle;  A plan to ensure the health and safety of the workers and neighbouring communities;  The economic and socio-cultural impacts to the local community and the nation in general;  The project budget;  Any other information that the Authority may require. Once a project report is submitted to NEMA, a decision is made by NEMA and in the event that NEMA, based on the project report submitted makes a decision that an ESIA report must be prepared, the WSCRP executing agency for that specific sub project will be required to identify independent NEMA registered expert(s) to prepare an ESIA report in accordance with the EMCA. Project Reports are normally prepared as a means of informing NEMA of the proposed development such that after review of the report, NEMA advises on the need or otherwise for a full ESIA. The ESIA regulations allow for approval of proposed projects at the Project Report Stage and have been effectively used by NEMA to grant Environmental Licenses to small projects without requiring a full ESIA. Table 11: The NEMA Process for Approving Investment Project Reports Steps Action Actor Time requirement One Submission of PR to NEMA. NEMA WSCRP/PCU and To be undertaken by WSCRP/ PCU and receives PR, issues a receipt and Implementing Implementing partners environmental acknowledgement. partners and social specialists with input from the Safeguards Advisor Two NEMA mails PR to Lead Agencies NEMA 7 days assuming all requirements are fulfilled Three Lead agencies review PR and issue Lead 21 days (minimum) after receipt of PR comments Agencies from NEMA. Four Review of PR by NEMA NEMA 30 days after receipt of PR. Five Communication of findings from NEMA 45 days after receipt of PR. NEMA review Page | 126 WSCRP Environmental and Social Management Framework - ESMF Typical outcomes of review of Project Reports from NEMA are likely to be as shown in Table 12 below. These are as follows: Project investment is approved. Where NEMA and lead agencies ascertain that a project report has disclosed adequate mitigation for identified impacts, the project is approved by NEMA upon which, conditions attached to grant of an Environmental License are issued. Once these are fulfilled, an Environmental License is also issued subject to conditions which will be specific to the sub project in question. Among these is the requirement that the scheme design should not be altered without approval by NEMA. As well, an audit report is required of each project after the first year of completion. Project Report discloses potential for major irreversible adverse impacts. In this case, NEMA may not approve the project. Table 12: Possible Outcomes of NEMA Review of Project Reports Outcome Recommendation Important precautions Project found to have no significant An Environmental Project report must disclose adequate Social and Environmental Impacts or License will be issued by mitigation measures and show proof of Project report discloses sufficient NEMA comprehensive consultations within the area mitigation measures of influence. Significant adverse social and environmental impacts found or Project A full cycle EIA will be Report fails to disclose adequate required by NEMA As above mitigation measures. A proponent is dissatisfied with the An Appeal is provided outcome of the NEMA review. for In the eventuality that a Project cannot be approved by NEMA on the basis of a Project Report, the proponent will be advised to undertake full cycle ESIA leading to development of a fully-fledged Environmental and Social Impact Assessment Study Report. Figure 11 below outlines the ESIA process and review to be followed in an event that a determination for a full scale ESIA is arrived at by NEMA. Page | 127 WSCRP Environmental and Social Management Framework - ESMF Figure 11: EIA process 7.1.4 Scoping Report Firstly, on advice from NEMA, the proponent will prepare a Scoping Report specifying the project’s area of influence, the thematic scope and depth of assessments required, the composition of the required ESIA team, and the probable budget required to prepare the ESIA Study. Page | 128 WSCRP Environmental and Social Management Framework - ESMF 7.1.5 ESIA Study Upon review and approval of the Scoping Report, NEMA will advise that an ESIA Study be undertaken. The ESIA Study will entail a systematic investigation of all impact areas as identified in the scoping report, taking care to document the current baseline environment, resource exploitation patterns and ecological pressure points. The implementing agency will prepare the Terms of Reference for the ESIA which will be reviewed by the WSCRP/PCU Environmental and Social Specialist in collaboration with the and follow procurement rules for the recruitment of consultants for the ESIA. In certain instances where there are no specialists within the implementing agency to prepare the ToR, then the PCU environmental and social specialist will prepare this ToR. Also, the impact mitigation measures provided in this ESMF may provide some basis for the design of the ToR. To facilitate the formulation of the ToR, a template has been prepared and provided in the Annex G of this report. In the case of existing operations, the outline for Environmental and Social Management Plans (ESMPs) is also given. The ESIA will identify and evaluate potential environmental impacts for the proposed investments, evaluate alternatives, and design mitigation measures. The preparation of the ESIA will be done in consultation with stakeholders, including people who may be affected. It is mandatory for the ESIA study to undertake public consultation with all stakeholders in the project’s area of influence. Public consultations are critical in preparing a proposal for the activities of the WSCRP likely to have impacts on the environment and population. The public consultations should identify key issues and determine how the concerns of all parties will be addressed in the ESIA. When an ESIA is necessary, the administrative process enacted by the NEMA will be followed and executed. The ESIA Team should note and understand all stakeholder interests so as to cater for them in the ESMP. All accruing information will be written into a Draft ESIA Report prepared in the same format as the project Report and submitted to NEMA for review. Upon review of this report, it will be subjected to public review. 7.1.6 Social Impact Assessment Process The breadth, depth, and type of analysis required for the social assessment will be proportional to the nature and scale of the proposed project investment’s potential and effects on the affected persons. The social assessment will be conducted by socio-economic experts and will ensure that through primary and secondary literature search critical information including (i) ethnic composition and demographic characteristics; (ii) land use; (iii) water use; (iv) non- agricultural activities such as livestock/itinerant pastoralism, fishing and other income generating activities; (v) socio-cultural issues regarding decision making within communities; (vi) gender division of labor and rights/responsibilities; (vii) use of land, land and resource tenure, access to and control over resources, resource rights including those related to water; (viii) access to different services and inclusion in the producer organizations based on gender; and (ix) baseline health situation with a focus on water borne and sexually transmitted diseases (STDs) among others are collected and documented Page | 129 WSCRP Environmental and Social Management Framework - ESMF 7.1.7 Public Review of the ESIA Report EMCA provides for public consultation and review of all EIA reports prepared and dictates that all ESIA documents be disclosed at certain points for the public to provide comment. Copies of ESIA are placed at vantage points including the NEMA Library and NEMA website, NEMA Regional Offices and the sector Ministry responsible for a particular undertaking. NEMA serves a 21-day public notice in the national and local newspapers about the ESIA publication and its availability for public comments. When the public review period elapses, the comments and issues raised by the public are consolidated and addressed and the report re-submitted as final. 7.1.8 ESIA Review Process The Implementing Agency will submit the draft ESIA to NEMA. The report will be reviewed by a cross-sectoral National Environmental and Social Impact Assessment Technical Review Committee (ESIA/TAC) made up of representatives of various Ministries, Departments and Agencies. Notable ones are the Ministry of Environment and Mineral Resources, Science and Technology, Ministry of Energy, Ministry of Forestry and Wildlife, Ministry of Water and Irrigation, Works and Housing, Town and County Planning etc. The review committee is expected to:  Assist the Agency in screening/reviewing all Environmental Assessment Applications and Reports (Environmental Impact Statements, Annual Environmental Reports, Environmental Management Plans and other related reports)  Make recommendations to the Director General of the NEMA for final decision-making  Provide technical advice on conduct of assessments and related studies on undertakings and the reports submitted on them;  Make recommendations on the adequacy of the assessment and any observed gap;  Advice on the seriousness of such gaps and the risks or otherwise to decisions required to be made recommend whether the undertakings as proposed must be accepted and under what conditions, or not to be accepted and the reasons, as well provide guidance on how any outstanding issue/areas may be satisfactorily addressed. The review committees are mandated to co-opt relevant officials as and when necessary. In certain instances the support of international ESIA institutions such as the Netherlands ESIA Commission are solicited in review of some major or controversial projects where there is limited national expertise. 7.1.9 Environmental Permitting Decision (EPD) In cases where the draft ESIA is found acceptable, the implementing agencies of the specific WSCRP executing agency and PMU will be notified to finalized the reports and submit 10 hard copies and an electronic copy. Following submission to NEMA, the implementing agency shall be issued an Environmental License. 7.1.10 Annual Environmental Audit An independently commissioned environmental and social audit will be carried out on an annual basis. The audit team will report to NEMA, MWI/WSCRP/PMU and the World Bank, who will lead the implementation of any corrective measures that are required. An audit is necessary to ensure (i) that the ESMF process is being implemented appropriately, and (ii) that mitigation measures are being identified and implemented. Page | 130 WSCRP Environmental and Social Management Framework - ESMF The audit will be able to identify any amendments in the ESMF approach that are required to improve its effectiveness. The annual audit also provides a strong incentive for the MWI to ensure that the ESMF will be implemented, and the individual ESMPs will be developed and implemented. 7.2 Overall Project Compliance and Reporting The ESMF will be implemented by the WSCRP executing agencies. The implementing agency will collaborate with the safeguards specialist within the PMU and the World Bank to ensure effective execution. Table 13 provides a summary of the stages and institutional responsibilities for the screening, preparation, assessment, approval and implementation of the WSCRP project activities. Table 13: Screening Responsibilities. No. Stage Institutional responsibility Implementation responsibility 1. Screening of Environmental and Implementing agency, MWI Environmental Officer (EO) Social Infrastructure Project to assist /Safeguard specialists in the in project formulation using checklist executing agency and PMU Statutory Environmental Registration Implementing agency/MWI Environmental Officer executing of WSCR investments agency and PMU 2. Determination of appropriate NEMA / Implementing agency - environmental assessment level/ category 2.1 Selection validation World Bank - 3. Implementation of environmental Implementing agency Environmental Officer executing assessment agency and PMU If ESIA is necessary 3.1 Preparation of Terms of Reference Implementing agency Environmental Officer executing agency and PMU 3.2 Validation of ESIA/ESMP TOR NEMA/ World Bank PCU Safeguard Specialist 3.3 Selection of Consultant Implementing agency/MOF/ EO/ Procurement Officer/ PMU Procurement Office Safeguard Specialist 3.4 Realization of the EIA, Public Implementing Safeguards Consultant/ Consultation Integration of agency/Procurement Environmental Officer/ environmental and social Office/Consultancy Procurement Officer/ PMU management plan issues in the firm/Contractor Safeguard Specialist tendering and project implementation 4. Review and Approval NEMA/ World Bank/ MOW/ Implementing Agency 4.1 ESIA Approval (Category A, high- NEMA/ World Bank risk B) 4.2 Simple ESIA/ESMP Approval Implementing agency Environmental Officer/Project (Category B and C) manager 5. Public Consultation and disclosure Implementing agency / NEMA EO/Contractor// PMU Safeguard Specialist 6. Surveillance and monitoring Implementing agency/NEMA/ Environmental Officer// PMU World Bank/ MOWI Safeguard Specialist 7. Development of monitoring Implementing agency Environmental Officer /PMU indicators Safeguard Specialist Page | 131 WSCRP Environmental and Social Management Framework - ESMF 8 CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE –WSCRP 8.1 Institutional Capacity for ESMF Implementation The principal institution that will provide overall coordination including administration of the WSCRP is the MWI in order to ensure environmentally sound design and management of proposed project investments. However, other institutions will be directly or indirectly involved and they include among others:-  NEMA  Ministry of Finance for disbursement of funds  Ministry of Regional Development Authorities (MORDA)  MWI executing agencies e.g. NIB, WSBs, WRMA, WASREB,  World Bank  NEMA  Water Users Association 8.1.1 Ministry of Water and Irrigation Ministry of Water and Irrigation (MWI) is the principal implementing institution for this project and a senior official in the Ministry will be the overall Project Coordinator. MWI will also be responsible for day-to-day implementation (project management, financial management, procurement, disbursement, monitoring, including environmental and social aspects of the project etc.) for all components. Due to the planned restructuring of key ministries, the Project will be managed by a WSCRP/PMU initially housed in the Ministry of Water and Irrigation and then, if necessary, transferred to the successor Ministry responsible for water resources management and development. Specific arrangements for administering project activities by the PMU at other levels will be established during project design. An Environmental and Social Specialist will be recruited (possibly the 2 specialists providing safeguards support during the PPA stage may be retained). The functions of the specialists will include working with consultants and reviewing reports as well as ensuring that safeguard decisions are adequately mainstreamed. They will also participate in monitoring and evaluation exercises. The executing agencies of this project will report periodically to the WSCRP/PMU/MWI on all issues and aspects related to this project including environmental and social safeguards. 8.1.2 Other Relevant Government line ministries and agencies The technical capacity and capability of the institutions that will be implementing the ESMF for the WSCRP will require bolstering in order to ensure effective implementation of the Environmental and Social Management Framework (ESMF). At present, several key executing agencies within MWI expected to implement certain sub projects within the WSCRP do not have to a great extent in-house capacity and specialist in environment and social safeguards. Page | 132 WSCRP Environmental and Social Management Framework - ESMF A capacity needs assessment of the implementing partner institutions on social and environmental evaluation, screening, mitigation and monitoring will be necessary as part of the capacity strengthening program. This ESMF proposes capacity building by way of awareness creation and sensitization, actual training through workshops and seminars as well as short courses as described below for different stakeholder and implementing partners within the WSCRP. 8.1.3 Water Users Association The Water Act provides for formation of Water Users Association for each water catchment and solely remains responsible for ensuring the protection of water resources and catchment including playing a significant role in the management of the specific water resource. WUAs will play a critical role in monitoring and evaluation and management of water projects and thus will require training and capacity building on environmental safeguards to strengthen their role. 8.2 Identification of Capacity Needs The first step in pursuing capacity building will be to identify the capacity needs of the various stakeholders. Capacity building should be viewed as more than training. It is human resource development and includes the process of equipping individuals with the understanding, skills and access to information, knowledge and training that enables them to perform effectively. It also involves organizational development, the elaboration of relevant management structures, processes and procedures, not only within organizations but also the management of relationships between the different organizations and sectors (public, private and community). The capacity building requirements will mostly be in the form of training workshops and seminars. 8.2.1 Technical Capacity Enhancement Awareness creation, training and sensitization will be required for personnel of the following institutions.  National Environment Management Authority  Environmental and Social officers from implementing partner ministries and agencies  Local Engineering Contractors who will be contracted or sub contracted to undertake the construction works  Local Governments Authorities  County Environment Officers  Water Users Association 8.2.2 Training will focus on:  Stakeholder engagement, consultation and partnerships;  ESIA law, relevant environmental policies;  Water Quality Monitoring  Development of mitigation measures and Environmental Management Plans  Thorough review of Country ESIA procedures, Environmental Management Policies & Guidelines and WB safeguards as well as their implementation and enforcement.  The group will also be trained on use and application of ESMF tools (Screening checklists, ESIA), their review, implementation and enforcement. Page | 133 WSCRP Environmental and Social Management Framework - ESMF  Participants will be trained on environmental reporting, monitoring and follow-up of ESMF  Community Consultation/Participatory Planning  Significant emphasis will be placed on understanding ESIA procedures, Environmental Management policies & guidelines, WB safeguards, implementation and enforcement  Reporting, monitoring and follow-up of ESMF Table 14: Trainings and Target groups Training Aspect Target group EIA law, relevant Environment policies and World Bank Government agency representatives including district- Safeguard Policy and guidelines level officials, NGOs, CBOs. Relevant social laws and policies Government agency representatives including district- level officials, Local Government, Private Sector, NGOs, CBOs and community members. Table 15: Training directly linked to implementation ESMF PCU and Local Auth. Private NGO Community Central Govt. Sector & CBO Agencies Role of ESMF in WSCRP A S S S S Identification of Indicators and data TS TS TS TS collection Identification of environmental and T T T T social Impacts Determination of negative and T T T T A positive impact of project investments Development of mitigation measures T T T T and Environmental Management Plan including Institutional Responsibility Framework and Budget. EIA procedures, Environmental T S S S S Management policies & guidelines, WB safeguards, implementation and enforcement Use and application of ESMF tools T T T T T (Screening checklists, ESIA, EA) Review of ESMF tools, T T S T S implementation and enforcement Reporting, monitoring and follow- S T T T S up of ESMF Training of Consultants on Public T T T T S Consultation Process * A=Awareness-T=Training-S=Sensitization Contractors and supervision consultants as part of best practice, and in order to comply with international standards for Occupational, Health and Safety (OHS), will be provided with awareness raising and environmental and OHS training on site. These should focus not only on the construction phase but also operational phase of the Project. A proposed format for 1 day training is provided in the following Table 16 below. Page | 134 WSCRP Environmental and Social Management Framework - ESMF Table 16: Awareness raising and training for civil work contractors and supervision consultants Topic Input Awareness raising  Environmental awareness and the importance of effective mitigation  Practice mitigation measures and environmentally sound construction techniques 0.5 day  Compliance with local legislation on OHS, EIA and ESMP requirements Technical training  Implementation of the ESMP (contract clauses) 0.5 day  Monitoring of ESMPs (and RAPs)  Preparation of budgets Total 1 day The training and capacity building exercises will take into consideration during their development, the integration and fulfilment of the requirements of World Bank social and environmental policies and guidelines, as well as those on Environmental Protection (including relevant policies, regulations and guidelines). Where institutional capacity in terms of availability of human resource is inadequate, the project will engrain support for this through hiring of qualified staff to provide necessary expertise. Training directly linked to the implementation of the ESMF should be undertaken first and subsequently followed with regular interval training on aspects influencing success of ESMF. The training program/agenda below provides a sample training outline and course content. The training programmes have been clustered into appropriate groups to facilitate for various target groups. Target groups for training, awareness and sensitization will be as follows. 8.3 ESMF Implementation Budget The estimated total cost for ESMF implementation is indicated in the table 17 below and included the resettlement implementation costs. Table 17: Overall costs for implementation of ESMF in WSCRP Activity Description Unit cost, No Total Cost, US$ US$ Preparation and Recruitment of Consultants and experts to 1,000,000. 1,000,000. implementation of ESIAs, prepare and review the ESIAs and ESMPs 00 00 ESMPs and related safeguard management plans for investments funded from the investment pool Monitoring of ESIAs, Recruitment of Consultants and experts to 1,000,000. 1,000,000.00 ESMPs and related monitor the ESIAs and ESMPs 00 safeguard management plans for investments funded from the investment pool Awareness creation and Training workshop/seminars on Programme 500,000.00 500,000.00 Capacity building for MWI, project staff Page | 135 WSCRP Environmental and Social Management Framework - ESMF Study tours Selected environmental champions 150,000 Biannual 150,000.00 participating in WSCRP drawn from NEMA, MWI, Implementing Agencies to visit related or similar project sites Capacity Training workshops 500,000.00 Biannual 500,000.00 building/improvement for Line Ministries Awareness creation for Radio, TV discussions, Newspaper adverts on 50,000 50,000.00 general public issues relating to ESMF Page | 136 WSCRP Environmental and Social Management Framework - ESMF 9 PUBLIC CONSULTATION AND DISCLOSURE 9.1.1 ESMF Disclosure The World Bank disclosure policies require that ESIA reports for sub projects are made available to project affected groups, local NGOs, and the public at large. Public disclosure of ESIA documents is also a requirement of the Kenya environmental procedures. MWI in collaboration with the line agencies and NEMA will make available copies of the ESMF and ESIAs on the respective websites and offices of the ministries. Public notice in the media should be used to serve as information source to the public. However, the ESIAs will have to be advertised in the local newspaper, website of NEMA, that of the executing agency and MWI. The notification should provide: 9.1.2 Public Consultation The implementation of each specific sub project investment under the WSCRP will require that public consultation and stakeholder engagement is carried out as a means of gathering information on public concerns, issues, perception, fears and suggestions on proposed investment. Public consultation will be conducted in line with the requirements of Environmental Management and Coordination Act (EMCA) which calls for utilisation of all forms of consultation and stakeholder engagement and the Bank’s requirements for public consultation. The consultations will be conducted through among others;-  Key Informant Interviews  Direct Interviews with Project Affected Persons  Workshops and Meetings  Public Hearings (Barazas)  Advertisements’ in the print and electronic media  Focus Group Discussions  Internet and telephone interviews 9.1.3 Grievance Mechanism Grievance mechanisms provide a formal avenue for affected groups or stakeholders to engage with the project implementers or owners on issues of concern or unaddressed impacts. Grievances are any complaints or suggestions about the way a project is being implemented. They may take the form of specific complaints for damages/injury, concerns about routine project activities, or perceived incidents or impacts. Identifying and responding to grievances supports the development of positive relationships between projects and affected groups/communities, and other stakeholders. The World Bank standards outline requirements for grievance mechanisms for some projects. Grievance mechanisms should receive and facilitate resolution of the affected institutional or communities’ concerns and grievances. The World Bank states the concerns should be addressed promptly using an understandable and transparent process that is culturally appropriate and readily acceptable to all segments of affected communities, at no cost and without retribution. Mechanisms should be appropriate to the scale of impacts and risks presented by a project. Page | 137 WSCRP Environmental and Social Management Framework - ESMF Grievances can be an indication of growing stakeholder concerns (real and perceived) and can escalate if not identified and resolved. The management of grievances is therefore a vital component of stakeholder management and an important aspect of risk management for a project. Projects may have a range of potential adverse impacts to people and the environment in general, identifying grievances and ensuring timely resolution is therefore very necessary. 9.1.4 Establishment of Grievance Redress Committee Each sub project investment will have a Grievance Redress Committee (GRC) established for the purpose of handling grievances related to environmental and social concerns. The GRCs will be ad hoc institutions established primarily for the sub project investment and will have no legal mandate. The GRC will be established under the guidance of NEMA County/District Officer and comprise of: 1. Project Affected Persons representative 2. Environmental and Social Specialists from the WSCRP Executing Agency 3. NEMA County/District representative 4. Representatives from relevant line ministries 5. Contractor/Engineers 6. Women and Youth Representatives 7. Representation of active NGOs or CBOs in project area Table 11: Grievance Redress Process Process Description Time frame Other information Identification of Face to face; phone; letter, e-mail; 1 Day Email address; hotline grievance recorded during public/community number interaction; others Grievance assessed and Significance assessed and grievance 4-7 Days Significance criteria: logged recorded or logged (i.e. in a log book) Level 1 –one off event; Level 2 – complaint is widespread or repeated; Level 3- any complaint (one off or repeated) that indicates breach of law or policy or this ESMF provisions Grievance is Acknowledgement of grievance 7-14 Days acknowledged through appropriate medium Development of response Grievance assigned to appropriate 4-7 Days party for resolution 7-14 Days Response development with input from management/ relevant stakeholders Response signed off Redress action approved at appropriate 4-7 Days Project staff to sign off levels Implementation and Redress action implemented and 10-14 Days communication of update of progress on resolution response communicated to complainant Page | 138 WSCRP Environmental and Social Management Framework - ESMF Complaints Response Redress action recorded in grievance 4-7 Days log book Confirm with complainant that grievance can be closed or determine what follow up is necessary Close grievance Record final sign off of grievance 4-7 Days Final sign off on by WSCRP/PMU If grievance cannot be closed, return to Coordinator step 2 or refer to sector minister or recommend third-party arbitration or resort to court of law. 9.1.5 Public Complaints Committee The Public Complaints Committee on Environment is an organ established by the EMCA whose role is to address complaints by the public on projects and investments that the public oppose due to environmental and social impacts. In an event that the public is dissatisfied with the proposed projects the PCC will serve as the first stop for getting re- dress and if this fails then the National Environmental Tribunal (NET) another organ set up by NET to resolve environmental and social disputes on investments will form the next avenue for redress. 9.1.6 Land and Environment Courts The Constitution of Kenya (CoK) has further provided for specific courts to deal with land and environment (Land and Environment Courts) that are charged with playing a vital role in reconciling environmental related disputes and these courts will serve as the ultimate stop in the event of disputes or complaints that cannot be resolved through other alternative means. Page | 139 WSCRP Environmental and Social Management Framework - ESMF 10 REFERENCE 1. Government of Kenya Environmental Management and Coordination Act 1999 2. Government of Kenya Land Control Act 3. Government of Kenya Local Government Act 4. Government of Kenya Physical Planning Act 5. Government of Kenya Public Health Act 6. Government of Kenya Forest Act 7. Government of Kenya Vision 2030 8. Government of Kenya Water Act 2002 9. Government of Kenya Occupational Health and Safety Act 10. Government of Kenya The Land Acquisition Act 11. Government of Kenya The Trust Land Act 12. Government of Kenya Antiquities and Monuments Act, Cap 13. Government of Kenya The Lakes and Rivers Act Chapter 409 Laws of 14. Government of Kenya The Employment Act 15. Government of Kenya National Policy on Environment and Development Sessional Paper No. 6 of 1999 16. Government of Kenya National Environmental Sanitation and Hygiene Policy-July 2007 17. Government of Kenya Fisheries Policy 18. Government of Kenya Forest Policy 2005 19. Government of Kenya Draft Wildlife Policy 2007-Draft 20. Government of Kenya Wildlife Conservation and Management Act 21. Project Documentation for WSCRP 22. Survey of Kenya 2003 23. World Bank Aide Memoire for WSCRP 24. World Bank Draft Project Appraisal Document (PAD), WSCRP Page | 140 WSCRP Environmental and Social Management Framework - ESMF Annex A. Stakeholders Consulted The following key institutions likely to implement the WSCRP have been consulted so far and as the program partners become clearer and defined additional consultation will be undertaken. They include;- 1. Ministry of Regional Development Authorities 2. Ministry of Water and Irrigation 3. National Irrigation Board 4. National Environment Trust Fund 5. Coast Water Development Authority 6. Lake Victoria North Water Services Board 7. Lake Victoria South Water Services Board 8. Athi Water Services Board 9. National Environment Management Authority 10. Irrigation Water Users Association (Lower Nzoia Irrigation Scheme) 11. Project Affected Persons in the Lower Nzoia Irrigation Scheme Page | 141 WSCRP Environmental and Social Management Framework - ESMF Annex B. Stakeholders Issues and Concerns Summary This section summaries the issues and comments contributed by stakeholders in response to an invitation to comment on the environmental impacts of the proposed Lower Nzoia Irrigation Scheme which is likely to be one of the key investments under WSCRP. A consultation exercise was carried out with stakeholders during the Public Consultation. The comments and suggestions by stakeholders were made in focused group meetings. The report also includes the responses provided by members of the ESIA team and members of the Project Client team. The comments have been categorized as follows: COMMENTS RAISED COMMENTATOR/S RESPONSE BIODIVERSITY Will the project have an impact on livestock and grazing areas? Ouma Evans(Mau Mau) There will areas provided for your livestock so don’t worry We are poor because of wild pigs, how will the project address this Aburu Buluma (Mau Mau) This will be addressed in conjunction with KWS menace? How will they deal with wild pigs? Boniface Asembo WATER Surface water supply and quality When there are floods will water in the canals affect people? Omondi Otieno (Kabura Uhui) The canals will have gates to control the flow of water. Use windmill to pump water Patrick Juma (Mau Mau) Groundwater supply and quality PROJECT When will the project start? Osinya Ayamba Anyiso (Mau Mau) Youth will benefit from employment. How will the youth benefit from the project? Page | 142 WSCRP Environmental and Social Management Framework - ESMF COMMENTS RAISED COMMENTATOR/S RESPONSE How will the world bank finance the project? Erick Nkundi(Mau Mau) It is a grant but there is need for the farmers to own the project through participation. How is the compensation of those whose land will be cut the canals Aburu Buluma(Mau Mau) Those affected by major canals will have their cases and infrastructure be effected? addressed. Is the project an extension of dominion farms? Ouma Evans (Mau Mau) What are the methods of identifying project beneficiaries? Juma Caroline (Mau Mau) All of you will benefit from the project in one way or another, directly or indirectly. Women grow crops but they are washed away by floods? Margaret Atieno (Mau Mau) How will those affected by canal construction be compensated? Boniface Asembo(Magombe) Will the world bank buy tractors for farmers? Michael (Magombe) No, need to work hard to uplift your standards and buy your own. Recommend the project to implemented William Osuri. Will you construct a new canal apart from the old existing ones? David Ouma This is a different project and new canals will have to be constructed. Page | 143 WSCRP Environmental and Social Management Framework - ESMF COMMENTS RAISED COMMENTATOR/S RESPONSE If canal passes through your farm will there be compensation? Dennis Ochieng (Nyadorera A) The team should try meeting all the stake holders along the river? When will the project commence? Eric Ouma (nyadorera A) The project has already started. If the canal passes in your farm and affects your project how will We will deal with it by discussing with the affected persons you deal with it? and by using valuers, we will be able to compensate appropriately. You will have the right to appeal if you are not satisfied. If the project stalls because of political interference or misuse of Rafael Owino (Kabura Uhui) The will be workshops were you will be able to air your funds will the project be abandoned? concerns. Any misuse of funds will be dealt with firmly. What happens if you don’t agree with the compensation of the Lilian Omondi (Kabura Uhui|) There will be enough discussion with those affected and project? between the farmers who are supposed to own the project to avoid such a situation. What is the size of the canal and its length from the river? Rafael Akumu(Kabura Uhui) The size of the canal will depend on the amount of water to convey and this is still in the engineering stage. What size of land of our sub location will be used in the project? Peter Omondi (Kabura Uhui) We will know once survey is done, also the project is likely to end where topography changes and does not allow flow of water by gravity. Is this project and experiment or has it been done elsewhere? Dickson Nungu (Kabura Uhui) This is a serious project and mostly depends on your commitment. Is the project for Usonga people or for those only along the Nzoia Meshach Ayeko This project is collectively for the people of the lower Nzoia. river? Those relocating will they be compensated? John Odino (Nyadorera B) Yes there will be compensation according to the value of property to be affected. Page | 144 WSCRP Environmental and Social Management Framework - ESMF COMMENTS RAISED COMMENTATOR/S RESPONSE Those not benefiting from the project directly, are their other ways? Christopher Otieno(Nyadorera b) You will be able to start business, work in farms, and transport produce. Is the money from the World Bank a grant or a loan? Margaret Opondo (Nyadorera b) The money is a grant but people will have to show their commitment for the project to move on smoothly. LAND Where is the land that you say you are going to implement the Anastasia Laja project? Your farms is what forms this project and they will managed by you. How do you deal with those having ½, ¼ acres of land? George Kanoti (Nyadorera B) This people will be able to work in their farms and also provide workforce in other farms. WATER RESOURCE AND FLOODS Water will flow from Nzoia by gravity and the area is low land, William Osuri (Mau Mau) will it not flood? Stagnation of water will cause malaria? Sugar factories dispose chemicals into the river and it will affect Patrick Juma (Mau Mau) the crops to be irrigated? Water logging in those areas that flood? Gladys Aluanga Survey has been done to address the issues of flooding. Will canal pass through the areas that flood? During flooding of Nzoia River, canals will be conveying water Thomas Odipo Canals will have gates to control flow of water. what happens at that time? When there are floods will water in the canals affect people? Omodi Otieno The canals will have gates to control the flow of water. Page | 145 WSCRP Environmental and Social Management Framework - ESMF COMMENTS RAISED COMMENTATOR/S RESPONSE EMPLOYMENT Development is good but the elderly are taking youth Christopher Wanja (Magombe) The project is to benefit all. opportunities? How can we dig canal by hand? Alfred Muyumba (Mugombe) It will provide employment. Those to work in the project where will they come from? George Oketch People from the project area will be given priority before those from other areas. Which criteria will be used to select people for employment Patrick Odiambo You will be informed by the various committees that will be formed by you farmers. OTHER ISSUES Will you help you help the people till the end when they start Sylvester Nduasi (Sumba) The project has been funded by the world bank and this selling their produce? should be able to complete the project. Will this project be finished? Page | 146 WSCRP Environmental and Social Management Framework - ESMF Annex C. Format of Project Report As Required by NEMA Environmental Impact Assessment and Audit Regulations (EIA/EA) - Legal Notice No.121 of 2003. PART II - THE PROJECT REPORT 7. (1) A proponent shall prepare a project report stating - a) The nature of the project; b) The location of the project including the physical area that may be affected by the project's activities; c) The activities that shall be undertaken during the project construction, operation and decommissioning phases; d) The design of the project; e) The materials to be used, products and by-products, including waste to be generated by the project and the methods of their disposal; f) The potential environmental impacts of the project and the mitigation measures to be taken during and after implementation of the project; g) An action plan for the prevention and management of possible accidents during the project cycle; h) A plan to ensure the health and safety of the workers and neighbouring communities; i) The economic and socio-cultural impacts to the local community and the nation in general; j) The project budget; and k) Any other information the authority may require. (2) In preparing a project report under this regulation, the proponent shall pay particular attention to the issues specified in the Second Schedule to these Regulations. (3) A project report shall be prepared by an environmental impact assessment expert registered as such under these Regulations. 8. A proponent shall submit at least ten copies of the project report to the Authority or the Authority's appointed agent in the prescribed form accompanied by the prescribed fees. Page | 147 WSCRP Environmental and Social Management Framework - ESMF Annex D. Format of ESIA Study Report Environmental Impact Assessment and Audit Regulations (EIA/EA) - Legal Notice No.121 of 2003. PART IV - THE ENVIRONMENTAL IMPACT ASSESSMENT STUDY REPORT 18. (1) A proponent shall submit to the Authority, an environmental contents of impact assessment study report incorporating but not limited to the environmental following information - a) The proposed location of the project; b) A concise description of the national environmental legislative and regulatory framework, c) A concise description of baseline information, d) And any other relevant information related to the project; the objectives of the project; e) The technology, procedures and processes to be used, in the implementation of the project; f) The materials to be used in the construction and implementation of the project; g) The products, by-products and waste generated project; h) A description of the potentially affected environment; i) The environmental effects of the project including the social and cultural effects and the direct, indirect, cumulative, irreversible, short term and long-term effects anticipated; j) Alternative technologies and processes available and reasons for preferring the chosen technology and processes; k) Analysis of alternatives including project site, design and technologies and reasons for preferring the proposed site, design and technologies. l) An environmental management plan proposing the measures for eliminating, minimizing or mitigating adverse impacts on the environment; including the cost, time frame and responsibility to implement the measures; m) Provision of an action plan for the prevention and management of foreseeable accidents and hazardous activities in the cause of carrying out activities or major industrial and other development projects; n) The measures to prevent health hazards and to ensure security in the working environment for the employees and for the management of emergencies; o) An identification of gaps in knowledge and uncertainties which were encountered in compiling the information; p) An economic and social analysis of the project; q) An indication of whether the environment of any other state is likely to be affected and the available alternatives and mitigating measures; and r) Such other matters as the authority may require. Added components of the ESIA report to ensure World Bank (O P 4.01 Annex B) format is adhered to include;- 1. Section on institutional capacity 2. Section on capacity building 3. Section on consultation (2) The environmental impact assessment study report shall be accompanied by a non- technical summary outlining the key findings, conclusions and recommendations of the study Page | 148 WSCRP Environmental and Social Management Framework - ESMF and shall be signed by the proponent and environmental impact assessment experts involved in its preparation. 19. A proponent shall submit ten copies and an electronic copy of an environmental impact assessment study report to the Authority in Form 1B set out in the First Schedule to these Regulations accompanied by the prescribed fees. Page | 149 WSCRP Environmental and Social Management Framework - ESMF Annex E. SAMPLE TERMS OF REFERENCE (TOR) FOR AN ENVIRONMENTAL & SOCIAL IMPACT ASSESSMENT FOR WATER RELATED PROJECTS 1. Objectives of the ToR This section should state the scope of the ESIA in relation to the screening category, and identify the geothermal project the ESIA will apply to. It should prescribe the process and its timing of project preparation, design, and implementation stages in order to adequately address Bank safeguards issues. Further, it should identify constrains (adequacy of existing baseline data and need for additional data) and provide and exact development schedule. 2. Background Information The ToR should provide pertinent background for preparing the ESIA. This would include a brief description of:  Statement of the project objectives,  Implementing agency/sponsor and their requirements for conducting an ESIA,  Project components, especially those that will finance subprojects;  Anticipated types of subprojects/components, and what types will not be financed by the project;  Ares of influence to be assessed (description plus good map)  Summary of environmental/social setting  Applicable Bank safeguards policies, and consequent Project preparation requirements, as specified in the approved ISDS. The ToR should also include a brief history of the project, including alternatives considered, its current status and timetable, and the identities of any associated projects. Also include a description of other project preparation activities underway (e.g., legal analysis, institutional analysis, economic analysis, social assessment, baseline study) since the consultant preparing the ESIA will need to coordinate with other teams to ensure an effective and efficient information exchange. 3. EA Requirements/Regulations This paragraph should identify any regulations and guidelines which will govern the conduct of the assessment or specify the content of its report. They may include any or all of the following:  National laws and/or regulations on environmental assessments;  Regional, provincial or communal environmental assessment regulations;  Environmental assessment regulations of any other financing organizations involved in the project.  Relevant international environmental agreements/conventions to which the country is party  World Bank Operational Policies 4.01 "Environmental Assessment," 4.04 “Natural Habitats�, 4.11 “Cultural Property�, 4.12 “Involuntary Resettlement�, 4.10 “Indigenous People� and other pertinent operational policies and Guidelines. 4. Study Area and Likely Major Impacts Specify the area involved and the boundaries of the study area for the assessment (e.g., water catchment). Where appropriate specify the right-of-way (ROW)-width and alignment for pipelines. Similarly, specify locations for transmission substations, pumps. Page | 150 WSCRP Environmental and Social Management Framework - ESMF Identify adjacent or remote areas which should be considered with respect to impacts of particular aspects of the project. 5. Scope of Work In some cases, the tasks to be carried out by a consultant will be known with sufficient certainty to be specified completely in the terms of reference. In other cases, information deficiencies need to be alleviated or specialized field studies or modelling activities performed to assess impacts, and the consultant will be asked to define particular tasks in more detail for contracting agency review and approval. Task 1. Description of the Proposed Project. Provide a brief description of the relevant parts of the project, using maps (at appropriate scale) and including the following information: location of all project related development sites and ROW’s, including offsite investments; general layout; flow diagrams/drawings of facilities/operation design basis, size, capacity, flow-through of unit operations, including pollution control technology; pre-construction activities; construction activities; schedule; staffing and support; facilities and services; commissioning, operation and maintenance activities; required offsite investments; and life expectancy for major components. [Note: there may be particular types of information appropriate in the description of the project category you are concerned with. Please specify them here.] Include the need for any resettlement plan or indigenous people development plan. Provide maps at appropriate scales to illustrate the general setting of project-related development sites and ROW’s, as well as surrounding areas likely to be impacted. These maps should include topographic contours, as available, as well as locations of major surface waters, roads, railways, town centers, parks and reserves, and political boundaries. Also provide, as available, maps to illustrate land use, including industrial, residential, commercial and institutional development, agriculture, etc. Task 2. Description of the Environment (baseline condition). Assemble, evaluate and present baseline data on the relevant physical, biological, and socio-economic characteristics of the development area and area of influence. Include information on any changes anticipated before the project commences. [Annotate or modify the lists below to show the critical information for this project category, or that which is irrelevant to it. You should particularly avoid compiling irrelevant data.] a.) Physical environment: geology (e.g., stratigraphy and seismic history of development areas, integrity of geological layers protecting portable groundwater supplies); topography (e.g., drainage patterns around construction areas); soils (e.g., agricultural value); climate and meteorology; ambient air quality; existing sources of air emissions; surface and ground- water hydrology (e.g., soil erosion and sedimentation potential, flood hazard potential); water resources (e.g., adequacy of water supply) coastal and oceanic parameters; existing water pollution discharges, and receiving water quality (e.g., ability to assimilate effluent discharges and maintain water quality standards for desired uses). b.) Biological environment: flora (e.g., types and diversity); fauna (e.g., resident and migratory); rare or endangered species within or in areas adjacent to project related development sites or ROW’s; sensitive habitats, including parks or preserves, significant natural sites, etc.; species of commercial importance; and species with potential to become nuisances, vectors or dangerous. Page | 151 WSCRP Environmental and Social Management Framework - ESMF c.) Socio-cultural environment (include both present and projected where appropriate): population; land use (e.g., year-round and seasonal); planned development activities; community structure; employment; distribution of income, goods and services; recreation; public health; cultural properties (e.g., archeological and historically significant sites); indigenous peoples and traditional tribal land; and customs, aspirations and attitudes. Task 3. Legislative and Regulatory Considerations. Describe the pertinent regulations and standards governing environmental quality, health and safety, protection of sensitive areas, protection of endangered species, siting, land use control, etc., at international, national, regional and local levels (The TOR should specify those that are known and require the consultant to investigate for others.) If transboundary impacts are likely, relevant international conventions should be described. Task 4. Determination of the Potential Impacts of the Proposed Project. Predict and assess all significant impacts that the project is likely to generate, in quantitative terms as far as possible. Assess the impacts from changes brought about by the project on baseline environmental conditions as described under Task 2. In this analysis, distinguish between significant positive and negative impacts, direct, indirect, and cumulative impacts, and immediate and long-term impacts. Identify impacts that may occur due to accidental events. Identify impacts which are unavoidable or irreversible. Wherever possible, describe impacts quantitatively, in terms of environmental costs and benefits. Assign economic values when feasible. Impact analyses for sub projects should be divided between construction impacts and operational impacts. Characterize the extent and quality of available data, explaining significant information deficiencies and any uncertainties associated with predictions of impact. If possible, give the TOR for studies to obtain the missing information. [Identify the types of special studies likely to be needed for this project category.] For information not be obtainable until after execution, provide TOR for studies to monitor operations over a given time period and to modify designs and/or operational parameters based upon updated impact analysis. Task 5. Analysis of Alternatives to the Proposed Project. Describe alternatives that were examined in the course of developing the proposed project and identify other alternatives which would achieve the same objectives. The concept of alternatives extends to siting, design, technology selection, construction techniques and phasing, and operating and maintenance procedures. Compare alternatives in terms of potential environmental impacts; capital and operating costs; suit- ability under local conditions; and institutional, training, and monitoring requirements. When describing the impacts, indicate which are irreversible or unavoidable and which can be mitigated. To the extent possible, quantify the costs and benefits of each alternative, incorporating the estimated costs of any associated mitigating measures. Include the alternative of not constructing the project to demonstrate environmental conditions without it. Alternatives should include the following: the “no action� alternative (as mentioned above); alternative means of meeting the energy requirements; the alternative of upgrading existing facilities; alternative routes and sites; alternative design; and alternative methods of construction, including costs and reliability. Page | 152 WSCRP Environmental and Social Management Framework - ESMF Task 6. Development of an Environmental Management Plan (EMP). Recommend feasible and cost-effective measures to prevent or reduce significant negative impacts to acceptable levels. Include measures to address emergency response requirements for accidental events. Estimate the impacts and costs of those measures, and of the institutional and training requirements to implement them. Consider compensation to affected parties for impacts which cannot be mitigated. Prepare a management plan including proposed work programs, budget estimates, schedules, staffing and training requirements, and other necessary support services to implement the mitigating measures. Provide environmental protection clauses for application by contractors and consultants. The ToR should state that the concerned and affected parties should agree mitigating measures before they are submitted as recommendations in the EMP Task 7. Identification of Institutional Needs to Implement Environmental Assessment Recommendations. Review the authority and capability of institutions at local, provincial/regional, and national levels and recommend steps to strengthen or expand them so that the management and monitoring plans in the environmental assessment can be implemented. The recommendations may extend to new laws and regulations, new agencies or agency functions, intersectoral arrangements, management procedures and training, staffing, operation and maintenance training, budgeting, and financial support. Task 8. Development of a Monitoring Plan. Prepare a detailed plan to monitor the implementation of mitigating measures and the impacts of the project during construction and operation. Include in the plan an estimate of capital and operating costs and a description of other inputs (such as training and institutional strengthening) needed to implement the plan. Depending upon local conditions and predicted impacts upon communities/individuals, there may be a need for a Resettlement Action Plan. Task 9. Assist in Inter-Agency Coordination and Public/NGO Participation. Assist in coordinating the environmental assessment with other government agencies, in obtaining the views of local NGO's and affected groups, and in keeping records of meetings and other activities, communications, and comments and their disposition. (The Terms of Reference [TOR] should specify the types of activities; e.g., interagency scoping session environmental briefings for project staff and interagency committees, support to environmental advisory panels, public forum.). Review the authority and capability of institutions at local, provincial/regional, and national levels and recommend steps to strengthen or expand them so that the management or monitoring plans in the environmental assessment are likely to be implemented. The recommendations may extend to new laws and regulations, new agencies or agency functions, intersectoral arrangements, management procedures and training, staffing, operation and maintenance training, budgeting, and financial support. Relevant material will be provided to affected groups in a timely manner prior to consultation and in a form and language that is understandable and accessible to the groups being consulted. The consultant should maintain a record of the public consultation and the record should indicate: means other than consultations (e.g., surveys) used to seek the views of affected stakeholders; the date and location of the consultation meetings, a list of the attendees and their affiliation and contract address: and summary minutes. Page | 153 WSCRP Environmental and Social Management Framework - ESMF 6. Report. The environmental assessment report should be concise and limited to significant environmental issues. The main text should focus on findings, conclusions and recommended actions, supported by summaries of the data collected and citations for any references used in interpreting those data. Detailed or uninterpreted data are not appropriate in the main text and should be presented in appendices or a separate volume. Unpublished documents used in the assessment may not be readily available and should also be assembled in an appendix. Organize the environmental assessment report according to the outline below. (This is the format suggested in OP4.01; the ToR may specify a different one to satisfy national agency requirements as long as the topics required in the Bank’s OP are covered)  Executive Summary  Policy, Legal and Administrative Framework  Description of the Proposed Project  Baseline Data (Description of the Environment)  Significant Environmental Impacts  Analysis of Alternatives  Environmental Management Plan  Environmental Management and Training  Environmental Monitoring Plan  Inter-Agency Coordination and Public/NGO Participation  Appendices: List of Environmental Assessment Preparers References Record of Interagency/Forum/Consultation Meetings (This is the format suggested in OD 4.01; the TOR may specify a different one to satisfy national agency requirements as long as the topics required in the Bank's directive are covered.) 7. Consulting Team Environmental assessment requires interdisciplinary analysis. The general skills required of an environmental assessment team are: environmental management planning, ecology, hydrology/hydrogeology, and water quality analysis. (Identify in this paragraph which specializations ought to be included on the team for the particular project category.) Note: The team will be required to work closely with specialists undertaking the social analysis and to define arrangements for the final report, especially if the EA and social analysis are to be combined in one report. 8. Services, Facilities and Materials to be provided by the Client The ToR should specify what services, facilities and materials will be provided to the Consultant by the World Bank and the Borrower, for example:  The Project ISDS and draft PAD;  Relevant background documentation and studies;  Example ESMFs that demonstrate best practice, especially from the region or country;  Making all necessary arrangements for facilitating the work of the Consultant and to provide access to government authorities, other Project stakeholders, and Project sites. 10. Schedule and Deliverables Page | 154 WSCRP Environmental and Social Management Framework - ESMF Specify dates for the consultancy deliverables (e.g. detailed work plan within 2 weeks, interim report within 7 weeks, and final draft report within 10 weeks of contract signature), and the overall duration of the consultancy (e.g. 15 weeks from contract signature). 11. Technical Proposal Contents The ToR should require a technical proposal that at least:  Demonstrates that the Consultant understands the overall scope and nature of the ESIA preparation work, and what will be required to respond satisfactorily to each component of the ToR;  Demonstrates that the Consultant and his proposed team have relevant and appropriate experience to carry out all components of the ToR. Detailed curriculum vitae for each team member must be included;  Describes the overall methodology for carrying out each component of the ToR, including desk and field studies, and data collection and analysis methods; and  Provides an initial plan of work, outputs, and staff assignments with levels of effort by task. 12. Budget and Payments The ToR should indicate if there is a budget ceiling for the consultancy. The ToR should specify the payment schedule (e.g. 10% on contract signature, 10% on delivery of detailed work plan, 40% on delivery of interim report, 30% on delivery of final draft ESIA, and 10% on delivery of final ESIA). 8. Other Information Include here lists of data sources, project background reports and studies, relevant publications, and other items to which the consultant's attention should be directed. Page | 155 WSCRP Environmental and Social Management Framework - ESMF Annex F: Format of an Annual Environmental Report Environmental Authority: Reporting dates: District/County: Sub projects approved: Project Activities Project phase (1) Environmental ESIA / ESMP Environmental Effectiveness of Issues (2) Investment Title Category completed? Permit granted? ESMP (name, location, (new construction, See note below (A, B or C) Yes, No or N/A Yes, No or N/A Good, poor, or See note below title or reference) rehabilitation, needs improvement maintenance) 1 2 3 etc Sub projects rejected: Subproject title Activities Reasons for rejection Remarks (3) 1 2 etc Page | 156 WSCRP Environmental and Social Management Framework - ESMF