E4324 Government of the Republic of Malawi MINISTRY OF FINANCE Malawi Social Action Fund MASAF IV – Strengthening Safety Nets in Malawi ENVIRONMENTAL and social MANAGEMENT framework (ESMF) __________________________ September 2013 Local Development Fund Private Bag 352 Lilongwe 3 MALAWI Table of Contents Page ACRONYMS .................................................................................................................................................V EXECUTIVE SUMMARY ............................................................................................................................ 2 CHAPTER ONE............................................................................................................................................. 6 DESCRIPTION OF THE MASAF IV PROJECT .......................................................................................... 6 1.1 INTRODUCTION ........................................................................................................................ 6 1.2 PROJECT COMPONENTS ......................................................................................................... 6 1.3 EXPERIENCES IN ADDRESSING ENVIRONMENT AND SOCIAL CONCERNS ................ 7 1.4 EFFECTIVENESS IN ADDRESSING ENVIRONMENTAL AND SOCIAL CONCERNS ....... 8 1.5 PROJECT CYCLE FOR ADDRESSING COMMUNITY NEEDS .............................................. 8 1.6 ORGANIZATION OF THE FRAMEWORK ..............................................................................10 CHAPTER TWO .......................................................................................................................................... 11 ENVIRONMENTAL SOCIAL AND WORK UNDER MASAF IV ........................................................... 11 2.1 LEVEL OF ENVIRONMENTAL AND SOCIAL WORK ..........................................................12 2.2 COORDINATION OF ENVIRONMENTAL AND SOCIAL SCREENING FORM ..................12 2.3 PREPARATION AND USE OF THIS FRAMEWORK ..............................................................12 2.4 STAEKHOLDERS CONSULTATION AND PARTICIPATION IN THE PREPARATION OF THE ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)….......13 CHAPTER THREE ...................................................................................................................................... 15 THE LEGAL FRAMEWORK ..................................................................................................................... 15 3.1 MALAWI LEGISLATION RELEVANT TO MASAF IV FUNDED SUB-PROJECTS IMPLEMENTATION .................................................................................................................15 CHAPTER FOUR ........................................................................................................................................ 22 REVIEW OF WORLD BANK SAFEGUARD POLICIES ......................................................................... 22 4.1 ENVIRONMENTAL ASSESSMENT (OP/BP 4.01) ..................................................................22 4.2 INVOLUNTARY RESETTLEMENT (OP/BP 4.12) ..................................................................23 4.3 FORESTS (OP/BP 4:36) ..............................................................................................................24 4.4 PEST MANAGEMENT (OP 4.09) ..............................................................................................25 4.5 INTEGRATED PEST MANAGEMENT ....................................................................................25 4.6 INSTITUTIONAL RESPONSIBILITIES FOR INTEGRATED PEST MANAGEMENT .........26 4.7 MINISTRY OF AGRICULTURE AND FOOD SECURITY (MOAFS) .....................................26 4.8 DISTRICT AGRICULTURAL DEVELOPMENT OFFICERS (DADOS) .................................26 CHAPTER FIVE .......................................................................................................................................... 27 THE ENVIRONMENTAL AND SOCIAL SCREENING PROCESS ........................................................ 27 FOR MASAF-SUB-PROJECTS .................................................................................................................. 27 5.1 ENVIRONMENTAL AND SOCIAL SCREENING FRAMEWORK IN MALAWI ..................27 5.2 ENVIRONMENTAL AND SOCIAL SCREENING IN THE FRAMEWORK ...........................27 5.3 APPLICATION OF THE SCREENING PROCESSES ...............................................................27 5.4 THE SCREENING PROCESS ....................................................................................................28 CHAPTER SIX ............................................................................................................................................ 31 PUBLIC CONSULTATION AND DISCLOSURE ..................................................................................... 31 6.1 RATIONALE FOR CONSULTATION AND DISCLOSURE ....................................................31 6.2 INSTRUMENTS FOR USE DURING CONSULTATIONS.......................................................31 CHAPTER SEVEN 7.1 PURPOSE OF THE ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN .................33 7.1.1 ENVIRONMENTAL AND SOCIAL IMPACTS .......................................................................33 7.1.2 MITIGATION MEASURES .......................................................................................................34 7.1.3 MONITORING PLAN ................................................................................................................. 1 7.2 IDENTIFICATION AND SUMMARY OF POTENTIAL ADVERSE ENVIRONMENTAL AND SOCIAL IMPACTS OF SUB-PROJECTS.......................................................................... 1 7.3 PROPOSED MITIGATION MEASURES (WITH TECHNICAL DETAILS TO THE EXTENT POSSIBLE): ..........................................................................ERROR! BOOKMARK NOT DEFINED. 7.4 POTENTIAL IMPACTS, IF ANY, OF THE PROPOSED MITIGATION MEASURES ............ 1 7.5 LINKAGE WITH OTHER MITIGATION MEASURES REQUIRED FOR THE PROJECT ..... 1 ii MASAF IV Environmental & Social Management Framework. CHAPTER EIGHT ......................................................................................................................................... 1 INSTITUTIONAL SETUP FOR ENVIRONMENTAL AND SOCIAL MONITORING AND CAPACITY BUILDING REQUIREMENTS ..................................................................................................................... 1 8.1 RESPONSIBILITIES FOR ENVIRONMENTAL AND SOCIAL MONITORING..................... 1 8.2 DEFINITION OF ROLES AND RESPONSIBILITIES ............................................................... 1 8.3 MONITORING, EVALUATION AND REPORTING ................................................................ 2 8.4 PARTICIPATORY COMMUNITY ACCOUNTABILITY IN ENVIRONMENTAL AND SOCIAL........................................................................................................................................ 2 8.5 CAPACITY DEVELOPMENT AND TRAINING AND RESOURCE REQUIREMENT .......... 2 CHAPTER NINE ........................................................................................................................................... 5 9.1 INTRODUCTION ........................................................................................................................ 5 9.2 CHANCE FIND PROCEDURES FOR MASAF IV ..................................................................... 5 CHAPTER 10 ................................................................................................................................................. 7 CONCLUSION .............................................................................................................................................. 7 REFERENCES ............................................................................................................................................... 8 ANNEXES ANNEX 1: ENVIRONMENTAL AND SOCIAL SCREENING FORM (ESSF) ......................................... 9 ANNEX 2: SUMMARY OF THE WORLD BANK’S SAFEGUARD POLICIES ..................................... 15 ANNEX 3: ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN – SUMMARY ...................... 20 ANNEX 4: ENVIRONMENTAL AND SOCIAL CHECKLIST LIST (GENERIC) ................................... 21 ANNEX 5: GENERIC ESIA TERMS OF REFERENCE ............................................................................ 27 ANNEX 6: ENVIRONMENTAL AND SOCIAL GUIDELINES FOR CONTRACTORS ........................ 29 ANNEX 7: GUIDELINES FOR PREPARATION OF COMMUNITY PARTICIPATORY FOREST MANAGEMENT PLANS .......................................................................................................... 31 ANNEX 8: SUMMARY OF COMMENTS FROM STAKEHOLDERS AT DISCLOSURE AND DURING PUBLIC CONSULTATIONS .................................................................................................... 36 iii MASAF IV Environmental & Social Management Framework. ACRONYMS AEDC Agricultural Extension Development Coordinator ADC Area Development Committee ADP – SP Agriculture Development Programme – Support Project CDD Community Demand Driven DADO District Agricultural Development Officer DESC District Environmental Sub-Committee EAD Environmental Affairs Department ESIA Environmental and Social Impacts Assessment EMA Environmental Management Act – 1996 EMM Environmental Mitigation Measures ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESSF Environmental and Social Screening Form HHs Households IEC Information Education and Communication FCMA Fisheries Conservation and Management Act – 1997 IPF Indicative Planning Figure IPM Integrated Pest Management IVM Integrated Vector Management LA Local Authority MASAF Malawi Social Action Fund MGDS Malawi Growth & Development Strategy MIS Management Information System MK Malawi Kwacha MoAFS Ministry of Agriculture and Food Security MoE Ministry of Environment MoF Ministry of Finance MOU Memorandum of Understanding MPRS Malawi Poverty Reduction Strategy NCE National Council of the Environment NEAP The National Environmental Action Plan iv MASAF IV Environmental & Social Management Framework. NEP National Environmental Policy – 2004 PRA Participatory Rapid Appraisal RAP Resettlement Action Plan RPF Resettlement Policy Framework SMS Subject Matter Specialist TCE Technical Committee on the Environment VAP Village Action Plan VDC Village Development Committee WIA Wildlife Impact Assessment v MASAF IV Environmental & Social Management Framework. EXECUTIVE SUMMARY Introduction The Government of Malawi with funding from the World Bank is embarking on the implementation of the MASAF IV – Strengthening the Safety Net Systems in Malawi Project. The Development Objective of MASAF IV is to Strengthen Malawi’s social safety net delivery systems and coordination across programs to reduce vulnerability. The proposed project would be a second-generation safety net, which would improve key safety net programs; and support the building blocks for a coordinated and systematic approach to safety nets in Malawi. The Project will have three program components: (1) Productive Safety Nets which will include Productive Community Driven Public Works, Livelihoods and Skills Development and Social Cash Transfers (2) Systems and Capacity Building; and (3) Project Management. The 4th Malawi Social Action Fund: Strengthening Safety Nets Systems, is proposed to be classified as Environmental Category B because its potential adverse environmental impacts on human populations, and/or environmentally important areas such as wetlands, forests, grasslands, and other natural habitats that are less adverse. MASAF IV will be implemented countrywide and include activities (to be determined during project implementation) that are demanded by the community but do not have significant adverse environmental and social impacts. Some examples of subprojects may include: soil and water conservation activities; surface water run-off, forestry and agro-forestry; rehabilitation and maintenance of rural feeder roads and market access roads; drainage improvements; construction and rehabilitation of reservoirs and connections, small scale irrigation schemes; bridges, storage facilities for grains, nursery for seedling cultivation, small fish ponds, health posts and school blocks. Productive Safety Nets are intended to make a major contribution towards environmental transformation, and consequently improved agricultural productivity and more sustainable livelihoods. It is recognized that if not properly designed and implemented following good practice, activities involving civil works could potentially have negative social and environmental impacts. Social impacts are expected to be positive with project activities gradually leading to an improved quality of life for the most vulnerable Malawians. However, potential impacts include the In this case, the Government of Malawi has prepared the Environmental and Social Management Framework (ESMF), which sets out the principles, rules, guidelines and procedures for assessing the environmental and social impacts and contains generic measures to reduce, mitigate and/or offset adverse impacts and enhance positive impacts of the subproject activities. The MASAF IV project has triggered five World Bank Operational Policies, namely; Environmental Assessment (OP 4.01), Pest Management (OP 4.09), Forest Management (OP 4.36), Physical Cultural Resources (OP 4.11) and Involuntary Resettlement (OP 4.12). This ESMF covers four Operational Policies, namely Environmental Assessment, Pest Management, Forest Management, and Physical Cultural Resources. Involuntary Resettlement is covered under the Resettlement Policy Framework (RPF). The Environmental and Social Management Framework (ESMF) seeks to institute a consistent and effective environmental and social screening process for application in all 2 MASAF IV Environmental & Social Management Framework. MASAF IV funded activities at the community, district and national levels. Specifically, the following are the objectives of the ESMF:  To ensure that all sub-projects are screened for potential negative and positive environmental and social impacts and appropriate mitigation and monitoring measures, including cost estimates, are identified and implemented by qualified personnel at the community, district and national levels; and  To support and empower communities to carry out the environmental and social screening process as outlined in this Framework, including the implementation and monitoring of mitigation measures of all sub-projects as necessary. Legal Framework MASAF IV will be guided by a number of legislations, policies and instruments supporting environmental management and the environmental impact assessment process in Malawi. The National Environmental Policy and the Environment Management Act are the key instruments that cover environmental management in all the sectors of development. The Environmental Impact Assessment Guidelines prescribe the process, procedures and practices for conducting an EIA and preparing the EIA reports. In addition to these instruments, there are sector specific policies and legislation that prescribe the conduct for managing the environment. Environmental and social screening and due diligence procedures prescribed in the ESMF will supplement EIA requirements of the country. All project activities require clearance from local regulatory authorities, which shall be ensured before subproject implementation or mobilization of contractors. Implementation Arrangements ESMF implementation forms part of the subproject selection process, since ESMF screening contributes to the approval or non-approval of subprojects. District Commissioners and Chief Executives, supported by Environmental District Officers, will take overall responsibility for ensuring that all MASAF IV subprojects are screened for potential adverse environmental and social impacts. Based on screening results, an Environmental and Social Management Plan (ESMP) will be developed for each subproject. The implementation of these plans will be monitored by EDO, technical oversight from the Ministry of Environment and Climate Change and LDF. The use of pesticides will be based on expert advice from the District Crops Officer and follow the Pest Management Plan developed by the World Bank funded Agriculture Sector Wide Approach Project (ASWAP). MASAF IV will also promote adoption of environmentally friendly technologies for use in the implementation of projects that include use of soil stabilized bricks (SSBs) and cement blocks as opposed to standard baked bricks, use of improved kilns, promotion of valley tanks as opposed to boreholes, etc. Capacity Building for Communities The Systems and Capacity Building Component will support capacity building in environmental and social management issues in Village Development Committees. All Project Management Committees and Village Development Committees (VDCs) benefiting from MASAF IV resources will undergo environmental and social management capacity building activities as part of pre- launch training of any project. Project specific Environmental and Social Screening Forms (ESSF) will be discussed in community meetings at project launch and monitored by the VDC during implementation. The launch will also be 3 MASAF IV Environmental & Social Management Framework. used as a platform for information dissemination so that communities should be aware of and be able to implement the environmental and social screening process outlined in this Framework and to carry out environmental protection measures as required. Projects that contribute to the rehabilitation of the environment such as, afforestation, using suitable tree species will be prioritized. Integration into the Project Cycle Processes The strategy builds on the experiences of previous CDD operations in MASAF IV, which underlines the fact that environmental and social screening processes should be an integral part of service delivery sub-project cycle. It is also based on the community understanding of the environment and what constitutes degradation. Issues related to water resources, de- forestation and loss of fertile soils have been rated as important as far as the environment is concerned. Other issues of concern by communities have included scarcity of fish resources, shortage of grass for thatching, loss of wildlife resources, poor rainfall and the unpredictability of weather and climate. At the same time, however, environmental degradation has been attributed to poverty and rapid population growth. Lack of understanding by some communities (and Project Management Committees) on ESMF resulted in limited and delayed implementation of safeguard activities in previous phases of MASAF. The project cycle for each program will require that each activity supported by resources from MASAF is screened for potential adverse environmental and social effects and that this process is integrated as an activity within the sub-project cycle processes Screening Process for Environmental and Social Risks The environmental and social screening process outlines the institutional responsibilities for the implementation of each step. In addition to the Environmental and Social Screening Form, an Environmental and Social Checklist for each sector (health, roads, water, education, agriculture, etc.) is available to facilitate the identification of simple mitigation measures. Main features of the checklists include a detailed description of the activities to be undertaken, potential negative effects (environmental and social concerns), mitigation measures to be undertaken and the organization/person responsible for each activity. Effectiveness in addressing environmental and social concerns requires a number of functions. These include:  Ensuring that proper appraisal of environmental and social effects of new interventions takes place and proper measures are put in place to mitigate these effects;  Setting out the basis for compliance and enforcement of terms and conditions of approval of Annual Investment Plans. This should be an integral part of LA operations for preparation of District Development Plans;  Designing compliance strategies by the Department of Environmental Affairs; and  Monitoring compliance and management of environment and social issues. The Directors of Forestry and Environmental Affairs may conduct independent follow-up to verify compliance. 4 MASAF IV Environmental & Social Management Framework. Potential Impacts of Proposed Mitigation Measures Even though the magnitude of environment degradation at a single project may not be equal to the mitigation measure, efforts on mitigation will have the following positive impacts: 1. Knowledge gained through training on environmental degradation and importance of mitigation will be used in other projects by the community at large. 2. Soil erosion will be reduced due to the soil conservation measures that will be instituted at every project regardless of its nature. Drainages around structures and roads will continuously remind the communities of its use in contributing to control of erosion. 3. Filling of burrow pits will also have an indirect benefit of contributing to reduction of incidence of malaria, or/and accidents if bricks were mould within the school area. 4. Actual planting of trees as a replacement of timber used in construction will act as a means of reminding communities of the need to replace cut trees and once the trees grow, will serve as an asset for the community. Continuous existence of such assets will continuously remind the community of the need to have more mitigation. 5. Tree planting will directly contribute to the reduction of carbon dioxide in the air hence reducing Green House Gases in the atmosphere. The ESMF has also described the Chance Find Procedure to be followed whenever projects are implemented or in the course of implementation, the implementers come across materials of physical cultural relevance or significance. This relates to OP/BP 4.11, Physical Cultural Resources and the Chance Find Procedure describes what needs to be done in such instances. Likewise, the ESMF has made provision to address issues related to the compliance with OP 4.09 on Pest Management. An Integrated Pest Management Plan (IPMP) is been embedded to adequately mitigate any negative social and environmental impacts born in MASAF IV activities. 5 MASAF IV Environmental & Social Management Framework. CHAPTER ONE DESCRIPTION OF THE MASAF IV PROJECT 1.1 Introduction The Government of Malawi with funding from the World Bank is embarking on the implementation of the MASAF IV – Strengthening the Safety Net Systems in Malawi Project. The Development Objective of MASAF IV is to Strengthen Malawi’s social safety net delivery systems and coordination across programs to reduce vulnerability. The proposed project would be a second-generation safety net, that would improve key safety net programs; and support the building blocks for a coordinated and systematic approach to safety nets in Malawi. 1.2 Project Components The Project will have three programme components: (1) Productive Safety Nets which will cover the Productive Community Driven Public Works, and Livelihoods and Skills Development, (2) Systems and Capacity Building and (3) Project Management Component I - Productive Safety Nets: This component would focus on three safety net programs: (i) Cash transfers through labor on Productive Community Driven Public Works which build productive community assets; (ii) Livelihoods and Skills Development interventions for poor households; and (iii) Social Cash Transfers for those who are most vulnerable and labor constrained including the elderly, disabled and sick. i. Productive Community Driven Public Works would finance cash transfers for multiple Productive Community Driven Public Works, which would increase livelihood opportunities and assets through investments in communities and for households. Productive Community Driven Public Works would create assets in the same communities for multiple years designed to increase impact on household level incomes and food security and reduce households’ exposure to risks associated with climate change and other disasters. While the exact type and location of subprojects will be chosen by communities, possible subprojects include soil and water conservation activities; surface water run-off, forestry and agro-forestry, rehabilitation and maintenance of rural feeder roads and market access roads, drainage improvement, construction and rehabilitation of reservoirs and connections, small scale irrigation schemes, bridges, storage facilities for grains, nursery for seedling cultivation, small fish ponds, health posts and school blocks. ii. Livelihoods and Skills Development would finance grants and technical support for increasing household level incomes and assets, savings and investments in livelihood opportunities through Community Savings and Investment Promotion (COMSIP) groups. The grants would promote investments, which would increase incomes and assets of households and reduce risks of food insecurity and promote better nutrition and health. Such grants would fund, for example, grain storage facilities, grain mills, livestock and crop diversification etc. and catering of food for school meals through kitchen gardens. The sub-component would also finance training in nutrition, health and enterprises. 6 MASAF IV Environmental & Social Management Framework. iii. Social Cash Transfers. The sub component would finance cash transfers to another two districts and cover 21,000 ultra-poor labor constrained households in the two districts of Dedza and Nkhata Bay. While Cash transfers would be financed in these two districts, the capacity building support would be for the strengthening of the entire system to benefit all proposed 319,000 HHs for Social Cash Transfers beneficiaries in all districts. The Social Cash Transfer Program is expected to be in all districts by 2015. Social Cash Transfers provide an opportunity to reach the most vulnerable Malawians through a Program, which uses proxy means targeting through the use of poverty scorecard survey and community verification techniques. Its delivery of transfers includes E-transfers. Component II - Systems and Capacity Building: This component would finance investments in strengthening systems and capacity building to finance technical assistance, training and equipment for improving the overall unified registry, MIS, data base, monitoring and evaluation and targeting system for the Social Cash Transfers and the safety nets program. Component III - Project Management: This component would support overall coordination, integration, planning, monitoring and evaluation, financial management, procurement, safeguards, capacity building and knowledge management. 1.3 Experiences and Lesson Learned in Addressing Environment and Social Concerns Implementation of the Environmental and Social Management Framework (ESMF) will be based on experiences from previous community demand driven interventions funded by MASAF and other partners. This starts with definitions of the environment: communities have defined the environment differently, they also attach different values to natural resources but water is generally regarded as the most important. Trees have been generally understood to be the most highly depleted natural resource followed by the loss of fertile soils and the degradation of water resources. Other issues of concern by communities have included scarcity of fish resources, shortage of grass for thatching, loss of wildlife resources, poor rainfall and the unpredictability of weather and climate. At the same time, however, environmental degradation has been attributed to poverty and rapid population. Lack of understanding by some communities (and Project Management Committees) on ESMF resulted into limited and delayed implementation of plans from previous phases of MASAF. To address these concerns all LAs will ensure that the following takes place: (i) Involvement of all sector institutions at AEC and DEC levels. (ii) Ensure the implementation of the environmental and social screening process under all sub-projects (iii) Ensure adequate resources to facilitate environmental and social mitigation measures and obtain commitment at all levels in ensuring that they are carried out. (iv) Ensure participation of all relevant institutions at all subproject cycle activities for all menus of projects (v) Ensure availability of monitoring tools for use by designated officers where the EDO is not in place. These will be complimented by participatory community monitoring system that will be instituted as part of the project. (vi) Ensure AEC (and VDC chair) receive environmental and social management training through the DESC. 7 MASAF IV Environmental & Social Management Framework. (vii) Record information on the effectiveness of environmental and social mitigation measures (ESMM) at DEC, ADC and VDC level. This will be reinforced with IEC and relevant environmental and social training (viii) Mainstream environment and social issues in all extension worker responsibilities including facilitation of Village Action Plan preparation. Extension workers include staff like Agricultural Field Assistants, Forestry Assistants, Health Surveillance Assistants, Water Assistants and Community Development Assistants. (ix) Ensure VDC subcommittee training for project implementation (pre-launch) includes a full module on environment, social and natural resources management. (x) Environmental and social mitigation measures (ESMM) budgets should be in line with the magnitude of degradation. Sub-project environmental and social mitigation measures are paid through the sub-projects; mitigation measures to deal with degradation in general will be agreed as actions from VDC orientation. 1.4 Effectiveness in Addressing Environmental and Social Concerns Effectiveness in addressing environmental and social concerns requires a number of functions. These include:  Ensuring that proper appraisal of environmental and social impacts of new interventions takes place and proper measures are put in place to mitigate these effects. This is a Local Assembly (DEC/DESC) function;  Setting out the basis for compliance and enforcement of terms and conditions of approval of Annual Investment Plans. This should be an integral part of LA operations for preparation of District Development Plans;  Designing compliance strategies by the Department of Environmental Affairs; and  Monitoring compliance and management of environment and social issues. The Director of Environmental Affairs may conduct independent follow-up to verify compliance. Communities are expected to take an active role in the management of their environment and social concerns while LA sector heads will provide guidance to communities and the Management Team in Ministry of Finance will ensure compliance with policies from the Department of Environmental Affairs. This will be facilitated through capacity building of VDCs presented in Chapter 7. 1.5 Project Cycle for Addressing Community Needs The following generic project cycle will be followed during environmental and social screening processes at each stage of the sub-project as part of Village Action Planning at Area Development Committee (ADC) level for integration into LA processes. The process enables communities and the Local Authorities to develop their own management approach to environmental and social problems. Communities will assess the environmental effects of their projects and propose mitigation measures and enforce strategies. LA staff evaluates the work done by communities and evaluate strategies and make recommendations to central Government. The process utilizes existing structures within communities, Local Authorities (DEC) and the District development Planning Systems, with a presentation of environment and social issues at each stage. 8 MASAF IV Environmental & Social Management Framework. Figure 1: SUB-PROJECT CYCLE Programme Objectives (MoF) PRE-CYCLE STAGE Project Identification – Done by Communities Assisted by POST-CYCLE STAGE EXTERNAL – LAs MASAF  IPF to LAs  Periodic Evaluation and Reports  MOU Signing  Beneficiary Assessments  MASAF IEC  Assessment by NACCEA (annually)  Project Disclosure for Environmental & Social  Follow up on environmental & Safeguards social management  Project Disclosure for Resettlement Policy Framework  Special Studies  Development Education by LA  Community participatory monitoring  Needs Assessment (open ended PRAs)  Resettlement and social benefit monitoring  Prioritization of needs into VAP (VDC)  Submission to ADC  Submission to LA    District prioritization into DDPs  Extended PRAs (Env. & Soc. COMPLETION & INAUGURATION Screening) BY LA Audits  Formation of PMC 28 days  Completion Assessment  Proposal preparation  Environmental Management Review MONITORING & SUPERVISION 14 days  Completion Certification  Physical progress monitoring  Maintenance Agreements  Monitoring Environmental & Social DESK APPRAISAL – DEC Management Plan  Sectoral screening (refer to check list) 7 days 7 days  PMC reports to ADC, LA  Adherence to community service package  Participatory community monitoring  Annual work programme for CMP and LAMPs EXECUTION - PIA  Annual assessment by LDF TST (Annual Investment Plan for the LA) 3 day  Opening bank account  Monitoring RAP  Selection criteria  Works activity scheduling and 208 days  Environmental and Social Management Plan implementation  Resettlement Action Plan  Procurement plans (goods and 7 days services)  Orientation to Contractors FIELD APPRAISAL– DEC  Community contribution 208 days  Expenditure justification  Technical and social appraisal  Environmental & Social Management  Environmental & Social Assessment / category Refer to Plan  Verify Community Contribution check list  Resettlement Action Plan  Compilation of a Price data Bank  Accountability  Preliminary costing- DEC 2 days  Costing of Environmental & Social Management 14 days  Costing for Resettlement Tools LAUNCH CEREMONY – LA  Final Costing done by DEC  Laying foundation for transparency & accountability  Physical hand-over of cheque 14 days  Signing of financing agreement  Environmental & Social Mitigation Measures 1 day  Resettlement Policy Framework and subsequent DISTRICT APPROVAL Resettlement Action Plan  Approval of projects based on DEC Refer/defer recommendation; 9 days  Environmental & Social Mitigation Measures / EIA  Inclusion into the DDP PRE-LAUNCH TRAINING  Relate to PIF 5 days  Project Management  Resettlement Action Plan 2 days  Accounting & Bookkeeping  MASAF procedures etc.  Orientation of other stakeholders  Environmental & Social Mitigation Plan LDF TST NTAC Review  Resettlement Policy Framework and 21 days subsequent Resettlement Action Plan  LDF TST verifies and vets projects 10 days  NTAC recommends to the Steering Committee for funding approval  Project documentation (AIP) 20 days 9 MASAF IV Environmental & Social Management Framework. 1.6 Organization of the Framework The Framework is organized as follows:  Chapter 1 provides an overview of the of MASAF IV project  Chapter 2 summarizes of the Social and Environmental Work under MASAF IV  Chapter 3 provides the an overview of National Legal framework within which MASAF funded projects will operate;  Chapter 4 presents review of World Bank Safeguard Policies  Chapter 5 presents the environmental and social screening process;  Chapter 6 presents public disclosure and consultation requirements;  Chapter 7 indicates how environmental and social monitoring will be conducted;  Chapter 8 provides the institutional setup for environmental and social monitoring and capacity development issues;  Chapter 9 describes the Chance Find Procedure; and  Chapter 10 presents Conclusions. 10 MASAF IV Environmental & Social Management Framework. CHAPTER TWO ENVIRONMENTAL SOCIAL AND WORK UNDER MASAF IV The 4th Malawi Social Action Fund (MASAF IV) Strengthening Safety Nets Systems includes a number of activities with environmental and social impacts. While the exact type and location of subprojects will be chosen by communities, possible subprojects include soil and water conservation activities; surface water run-off, forestry and agro-forestry, rehabilitation and maintenance of rural feeder roads and market access roads, drainage improvement, construction and rehabilitation of reservoirs and connections, small scale irrigation schemes, bridges, storage facilities for grains, nursery for seedling cultivation, small fish ponds, health posts and school blocks. The project is classified as Category B because of potential adverse environmental impacts on human populations or environmentally important areas such as wetlands, forests, grasslands, and other natural habitats which are less adverse. Given that most Productive Community Demand Driven Public works sub-projects will not have significant adverse environmental and social impacts requiring a separate EIA report, the screening process will determine if sub-projects require only the application of simple mitigation measures (using the attached environmental and social checklist) or (ii) sub-projects require a separate ESIA/ESMP report due to the significance of their potential adverse environmental and social impacts. All sub- projects which require land acquisition, impacts on assets, causes a loss of livelihood, and /or restrict access to natural resources will require the preparation of a RAP. These impacts are site-specific; mostly reversible; with manageable mitigation measures. The scope of EA will vary from sub project to sub project, but they are all expected to have minimal to moderate impacts. However, the EA will examines the project's potential negative and positive environmental impacts and recommend any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance. For the proposed MASAF IV project, the social and environmental impacts cannot be precisely determined until the sub project details have been identified. The sub project details will be identified in the course of sub project identification. In this case, the Government of Malawi has prepared the Environmental and Social Management Framework (ESMF), which sets out the principles, rules, guidelines and procedures for assessing the environmental and social impacts and contains measures to reduce, mitigate/ and or offset adverse impacts and enhance positive impacts of the sub project activities. The MASAF IV project is expected to trigger four Operational Policies, namely; Environmental Assessment (OP4.01), Pest management (OP4.09), Involuntary Resettlement (OP4.12), physical cultural resources (OP 4.11) and Forest Management (OP 4.36). This ESMF covers three Operational Policies, namely Environmental Assessment, Pest management, Forest management and Physical cultural resources. Involuntary Resettlement (OP4.12) is covered under a different Framework, the Resettlement Policy Framework (RPF) The objective of the Environmental and Social Screening Process is to ensure that MASAF IV funded sub-projects will be designed and implemented in an environmentally and socially sustainable manner, taking into account Malawi’s relevant sector legislation as well as the Bank’s Safeguard Policies. 11 MASAF IV Environmental & Social Management Framework. Members of the District Environmental sub Committee (DESC) at each Local Authority will be responsible for completing the attached Environmental and Social Screening Form (ESSF – Annex 1), and based on the screening results, the appropriate level of environmental and social work will be determined and carried out by qualified personnel. The screening process has been developed because the locations and types of MASAF IV funded sub- projects are not known at this time, and therefore potential adverse localized environmental and social impacts cannot be precisely identified. Furthermore, Malawi’s environmental legislation does not provide for the environmental and social screening of small-scale projects, whereas the Bank’s OP 4.01 Environmental Assessment requires that all projects are screened for potential adverse environmental and social impacts to determine the appropriate mitigation measures. 2.1 Level of Environmental and Social Work It is expected that most MASAF funded sub-projects will have limited negative environmental and social impacts. However, potential localized adverse environmental and social impacts that would require proper mitigation and possibly the preparation of comprehensive site specific ESIAs/ESMPs might occur. The ESMF will guide sub-project implementers in identifying, assessing and mitigating potential negative environmental and social impacts; and to ensure proper mitigation and possibly the preparation of a comprehensive ESIA/ESMP, an ESMP (where impacts are minimal and localized), and/or Resettlement Action Plan (RAP) where appropriate. The RAP would be prepared based on the guidance provided in the Resettlement Policy Framework (RPF). The RPF has been prepared as a separate document, consistent with the core requirements of both the national legislation and the Bank’s OP 4.12 Involuntary Resettlement. The appropriate level of environmental and social work could range from the application of simple mitigation measures (using the environmental and social checklist); to the preparation of an ESMP; to comprehensive site specific ESIAs/ESMPs Reports; to no environmental and social instruments being required. The environmental and social screening process is consistent with Malawi’s environmental policies and laws as discussed in this Framework, as well as with the Bank’s OP/BP 4.01 Environmental Assessment, OP4.09 Pest management, OP/BP 4.11 physical cultural resources and OP/BP 4.36, Forest management. 2.2 Coordination of Environmental and Social Screening at Local Authorities (LAs) It will be of critical importance during the implementation of MASAF funded sub-projects, that Local Authorities (LAs) coordinate their investment activities closely with the relevant sectors to ensure that their investments are consistent with those being implemented in these sectors. This will be achieved by ensuring the involvement of the respective district sector heads at formulation of the Annual Investment Plans and the considerations of observations from the National Technical Advisory Committee. 2.3 Preparation and Use of this Framework This ESMF has been prepared by the Management Team in Local Development Fund under guidance from both the Ministry of Environment the Ministry of Finance based on previous experience from community demand driven micro projects implemented in Local Authorities. Refinements have also been provided based on specific sector inputs from the Ministry of Agriculture (Land Resources Conservation), Pest Control Board, Ministry of Environment 12 MASAF IV Environmental & Social Management Framework. and Climate Change Management and Ministry of Water Development and Irrigation. The Implementation of the ESMF follows a decentralized system where the Local Authorities support the communities in undertaking screening, preparation of Environmental and Social Management Plans (ESMPs), Preparation of Pest Management Plans (PMPs) and preparation of the Forest management Plans (FMPs) and implementation of these plans. The Local Authorities were also fully consulted in the preparation and updating ESMF. It should be understood that the ESMF provides a guide to be used within existing Government Policy regulations for environment and social processes. The ESMF is a living document that will be subject to periodic review to address specific concerns raised by stakeholders, and emerging policy requirements. It compliments District level guidelines provided for operationalization of provisions of the Environmental Management Act of 1996. An Annex to reflect summary of comments (on the ESMF) from stakeholders after disclosure will be inserted in this Framework after consolidation of disclosure results and views from public consultations prior to programme roll out. This Environmental and Social Screening Process is to be used by key stakeholders involved in the planning, implementation, management and operation of future MASAF funded sub- projects. As a reference material, the process would be useful to the following MASAF key stakeholders: (a) Funding and cooperating partners; (b) District Executive Committee members in all the districts. (c) Local and political leaders; (d) Senior government officials responsible for policy making and development Planning; (e) Government extension workers in the Local Assemblies; and (f) Non-governmental organizations involved in natural resource management. The following institutions will be used as supporting agencies in the screening process as outlined in Chapter 8:  District Executive Committee specifically District Environment Subcommittee – DESC and District Advisory Team (DAT);  Natural Resource Management NGOs; and  Area Executive Committee  Village Development Committee/ward development committees  Village Natural Resources Management Committee, Environmental Clubs and Community Based Organization) 2.4 Stakeholder Consultations and Participation in Preparing the Environmental and Social Management Framework (ESMF) The preparation of this ESMF has followed an extensive consultation process with various stakeholders at community, local authority and National levels. The communities consulted during the MASAF IV project preparation stage include: Mchinji, Karonga, Rumphi, Dedza, Salima, Nkhota Kota, Kasungu and Mangochi districts. Field visits were made to communities to obtain feedback regarding their experience implementing the ESMF previously. 13 MASAF IV Environmental & Social Management Framework. Preparation also included consultation with members of a watershed management project in Kabwazi Extension Planning Area in the area of Traditional Authority (T/A) Chilikumwendo in Dedza. Experiences and expectations with regard to resettlement issues were shared. Consultations were also done with both communities and districts during environmental and social safeguards training for District Environmental Subcommittee (DESC) members (from 7 districts) in Mzuzu from 2-7 September, 2013. DESC members provided useful suggestions and inputs into the ESMF and RPF, including:  The need for front line staff (extension workers) to undergo training on environmental and social safeguards prior to project implementation. Front line staff training will help with project monitoring and reporting which was noted to be lacking in the implementation of environmental and social safeguards.  Some people had been involuntarily displaced during the implementation of subprojects and were provided with small pieces of land for them to be resettled on (without compensation in cash).  Funds for environmental and social safeguards implementation should be set aside for each subproject, rather than lumped together with the whole subproject budget because environmental and social issues are not prioritized in the subprojects and get little or no money for implementation of the safeguards.  Some of the participants had not seen any of the EA instruments for their projects and were not aware of the categorization of their impacts. There was an expressed need for more awareness and sensitization.  The need for annual refresher courses to improve the skills of safeguards implementers both at district and community level in order to address the skills gaps and improve implementation and compliance of safeguard measures. A selected number of Environmental District Officers (EDOs) from Mzuzu city, Mzimba district, Salima, Dowa, Lilongwe, Mchinji, Zomba, Blantyre, Blantyre City, and Mulanje were invited to a workshop to review the draft RPF and ESMF after the update had been completed. This was to ensure that all the suggestions that had been received during stakeholder consultation were taken on board and that the proposed measures and implementation arrangements were practical and implementable. In addition to these officers, the draft updated RPF and ESMF was discussed with officials from the Ministry of Environment and Climate Change, the Department of Forestry, Ministry of Agriculture and Food Security and the Ministry of Lands and Housing. These officers reviewed the documents in relation to the applicable national laws, policies and regulation. All comments have been incorporated into the updated ESMF and RPF documents. The subprojects to be funded under MASAF IV are not yet known. As such further public consultations and participation will be undertaken during subproject screening. Moreover, since this is not a one-stop process, but rather an interactive one, consultation will be done throughout project implementation, involving all key stakeholders, particularly women, the poor and most vulnerable groups of the beneficiary communities. 14 MASAF IV Environmental & Social Management Framework. CHAPTER THREE THE LEGAL FRAMEWORK 3.1 Malawi Legislation Relevant to MASAF Funded Sub-Projects Implementation Over the years, Malawi has taken considerable strides in integration of environmental policies through environmental impact assessment in development programmes with the aim of promoting and consolidating sustainable socio-economic development in the country. In Malawi, National Environmental Action Plan and National Environmental Policy (2004) provide an overview of justification for mainstreaming environmental and social considerations in some projects such as the proposed MASAF IV Project. A number of legislations, policies and instruments are available to support environmental management in Malawi. The National Environmental Policy and the Environment Management Act are the key instruments that cover environmental management in all the sectors of development. The Environmental Impact Assessment Guidelines prescribe the process, procedures and practices for conducting site-specific ESMPs based on the level and amplitude of impacts involved. In addition to these instruments, there are sector specific policies and legislations that prescribe the conduct for managing the environment. Summarized below are some of the policies and legislation that are directly relevant to the implementation of projects to be funded under MASAF IV. The National Environmental Action Plan (2004) The Government of Malawi signed the Rio Declaration on Environment and Development in 1992 and committed herself to putting in place tools and mechanisms that ensure sustainable utilization of her resources. One of the outcomes of the Rio Conference was the Agenda 21which is an action plan for sustainable development in the 21st Century. The Agenda 21 required that the Government prepare a National Environmental Action Plan (NEAP). The NEAP, developed in 1994, provides the framework for integrating environmental protection and management in all country development programs, with the view to achieving sustainable socio-economic development. The National Environmental Action Plan (NEAP) was reviewed in 2004 to strengthen it as a framework for integrating the environmental planning into the overall socio-economic development of the country through broad public participation. National Environmental Action Plan (NEAP) highlights key environmental issues that need to be addressed which include soil erosion; deforestation; water resources degradation and depletion; threat to fish resources; threat to biodiversity; human habitat degradation; high population growth among others. NEAP also provides guidelines actions to be taken by stakeholders such as local communities, government, agencies, non-governmental organizations and donors in environmental planning and management. National Environmental Policy (2004) National Environmental Policy, 2004 is based on the principles of National Environmental Action Plan, and provides broad policy framework on environmental planning in development programmes including undertaking environmental impact assessments for prescribed projects. The overall goal of National Environmental Policy is the promotion of sustainable social and 15 MASAF IV Environmental & Social Management Framework. economic development through the sound management of the environment in Malawi. The policy seeks to meet the following goals:  Secure for all persons resident in Malawi now and in the future, an environment suitable for their health and well-being;  Promote efficient utilization and management of the country’s natural resources and encourage, where appropriate, long-term self-sufficiency in food, fuel wood and other energy requirements;  Facilitate the restoration, maintenance and enhancement of the ecosystems and ecological processes essential for the functioning of the biosphere and prudent use of renewable resources; The NEP highlights the areas of priority including efficient utilization and management of natural resources. It accommodates the private sector, CBOs, NGOs and the community to participate in the initiation and mobilization of resources, to achieve sustainable environmental management. It also provides for the involvement of local communities in environmental planning. The policy empowers the communities to protect, conserve and sustainably utilize the nation's natural resources. It advocates enhancement of public awareness and promotion of public participation. It also prescribes cooperation with other governments and relevant international/regional organizations in the management and protection of the environment. The NEP objectives set a foundation for addressing a broad range of environmental problems facing Malawi. Environment Management Act (1996) The Environment Management Act enacted in 1996, outlines the EIA process to be followed in Malawi and requires that all project developers in both the public and private sectors comply with the process. The act sets out the powers, functions and duties of the Director of Environmental Affairs (DEA) and Environmental Affairs Department (EAD) in implementing the EIA process. The Act does not provide for an environmental and social screening process for those projects whose location and extent are not yet known at the inception and planning stage. However the EIA Guidelines of 1997 prescribe the types and sizes of projects, which should be subject to EIA. Some of the MASAF funded sub-projects may fall under the list of prescribed projects. Hence, EIA studies have to be conducted, before implementation of the project activities. Since the sub-project locations and the extent of sub-project activities are not exactly known at this time, an environmental and social screening framework is required. The Malawi Growth and Development Strategy (MGDS II) (2012-2016) The Malawi Growth and Development Strategy (MGDS) is the principal government medium term development framework and is designed to attain the nation’s vision 2020.The strategy emphasises the need to generate a conducive environment for private sector investment to stimulate economic growth and subsequent expansion in production of goods and services. The strategy advocates infrastructure development and industrial development as catalyst for poverty reduction in the country. The Malawi Growth and Development Strategy has nine priority areas and these are: agriculture and food security, and water development, Environment and climate change, transport infrastructure development, youth development, energy generation and supply, integrated rural development, prevention and management of nutrition disorders, HIV and Aids. The strategy outlines specific activities in efforts to meet targets in these nine priority areas 16 MASAF IV Environmental & Social Management Framework. Malawi Growth and Development Strategy outline Safety nets under the Social Support theme as one of the intervention strategy to address poverty among poor rural and urban households. The strategy outlines a number of social support programmes including Public works Programmes, Social Cash Transfers, Village Savings, Loans and School feeding programmes that are done in a sustainable manner as key to achieving sustainable and inclusive development. National Forest Policy (1996) and Forestry Act 1997 The goal of National Forestry Policy is to sustain the contribution of the national forest resources to enhance quality of life in the country by conserving the resources for the benefit of the nation. There are three general objectives for the policy and these are:  Promoting regulated and monitored access to forest resources and products.  Contributing towards improving the quality of life in rural communities and providing a stable local economy in order to reduce the degenerative impact on the environment that often accompanies poverty.  Promoting incentives for community based forest conservation and sustainable utilization in order to alleviate poverty. This includes social forestry and allowing all communities to grow trees on their gardens and farms. The Department of Forestry has identified all catchment areas, hill slopes and other environmentally fragile areas for permanent forest cover and protection. The department also works on improvement on control, protection and management of woodlands on customary land, forest reserves and protected hill slopes. In addition, the Department of Forestry works will local communities and non-governmental organization on various afforestation programmes covering bare area, fragile areas in the country. The Forestry Act (1997) deals with the management of indigenous forests on customary and private land; forest reserves and protected forest areas; woodlots and plantation forests; and it also deals with cross-cutting issues including law enforcement and fire management. The Act underlines the need for EIA studies for projects in the forest reserves or forest-protected areas. The Forestry Act gives the Forestry Management Board the responsibility to approve EIA reports for proposed projects within forest reserves and protected forest areas. The Forestry Act (60:01) affirms the role of Department of Forestry on control, protection and management of forest reserves and protected forest areas. In addition the act recognizes the need to promote participatory social forestry and empowerment of communities for conservation and management of trees within the country. In this regard the act encourages community involvement woodlot establishment and in management of forest reserves through co-management approaches. Government of Malawi has put in place an Environmental Management Manual (Forest Management and Conservation) to guide communities, community extension workers in participatory social forestry in Malawi. The manual provide step by step procedures in planning, implementation, monitoring and evaluation of community based forest management activities in rural and per-urban areas. The system allows effective participation of communities at all stages. 17 MASAF IV Environmental & Social Management Framework. In order to strengthen the management of existing MASAF funded woodlots, Local Development Fund TST (in collaboration with District Council and Department of Forestry) will ensure that all community - owned woodlots established during previous MASAF I and II are aligned within the existing community based forest management systems. Most of forested areas under Malawi Social Action Fund are within customary land, and are owned by communities. Each community will be able to prepare a Forest Management Plan for the wood lot/forested area based of guidelines from the manual. Pesticides Act (2000) Pesticide Act provides legal and administrative framework for registration, procurement, distribution, export, importation, storage, usage and disposal of the pesticides and related materials. The administrative work is done by the Pesticide Control Board which is established under section 10-11 of the act. Main duties include: processing registration of pesticides and subsequent issue of certificates and permits for procurement, importation, export, storage distribution, usage and safe disposal of pesticides. The other duty is to provide public campaigns on proper usage, storage, importation, export, safe disposal of pesticides in Malawi. By and large the provisions of the pesticide act are intended to minimise the potential adverse effects of pesticides to the people or non target species and the environment in general. Small-scale irrigation schemes (winter cropping on less than a hectare to about 5 hectares) are among social protection measures which Government of Malawi supports among rural households. These irrigation schemes provide additional crop production to resource poor rural households. Some infrastructure developments such as water conservation measures, canals and treadle pumps for these schemes are eligible for support from Malawi Social Action Fund 4. However, the project does not support operations activities including the procurement of pesticides of schemes. In order to enhance environmental best practices on irrigation schemes, all applicable irrigation schemes shall meet the following conditions: (i) Use of registered and environmental friendly pesticides registered by Pesticide Control Board of Malawi. (ii) Have in place of suitable storage facilities for pesticides (iii) Have designated trained workers on best practices in storage and packaging of the pesticides, application of the pesticides so as to minimise misuses and eventual accidents. (iv) Must prepare a basic Pesticide Management Plan for the scheme. The preparation of the pesticide management plan shall be based on guidelines attached in annex 8. (v) Appropriate disposal of pesticides containers National Irrigation Development Policy (1999) and Irrigation Act (2001) The National Irrigation Development Policy and Strategy advocates among others the promotion of sustainable irrigation development systems, which can adequately contribute to increased agriculture production and food security in the country with minimal degradation of water resources and the environment. The policy highlights that some constraints to Malawian farmers to further irrigation development that include inadequate access to appropriate technologies/equipment for land reclamation and expansion, and inadequate trained personnel in 18 MASAF IV Environmental & Social Management Framework. irrigation technologies. One potential way of addressing such constraints includes support from Malawi Social Action Fund. Irrigation Act provides guidance on development and management strategies of irrigation farming and water utilisation in Malawi, aspects on protection of the environment from irrigated related degradation, establishment of National Irrigation Board. The focus of the bill is to guide sustainable irrigation development so as to enhance the production of food crops as well as cash crops in the country for domestic needs as well as international markets. The bill seeks to enhance an enabling regulatory framework and development environment for the farmers, private sector, donors and government. With respect to environmental issues, both the policy and the Act stipulate the need of environmental impact assessment prior to implementation for large scale and medium scale irrigation projects in Malawi. The requirement is necessary in order to identify in advance serious detrimental impacts, which must be avoided and minimised in course of project implementation. Environmental and Social Management Plan (ESMP) are applicable for small scale and community driven irrigation schemes such as those supported by Malawi Social Action Fund. Small-scale irrigation schemes will adopt ESMP in order to mitigate potential negative environmental impacts during implementation. National Parks and Wildlife (Amendment) Act (1992) The National and Wildlife Act (Amendment) number 11 of 1992 focuses on sustainable protection and management of wildlife and their environment. The act stresses the conservation of environment in National Parks and Game Reserves through among others the following specific strategies: preservation of selected examples of Malawi’s biotic communities and the their physical environment; interest, preservation of population of rare , endangered and endemic species of wild plants and animals, assist in maintaining water supplies through catchments conservation. Part V of the National and Wildlife Act (Amendment) number 11 of 1992 provides for impact assessment for new projects undertaken in proximity to national parks and game reserves. This provision is there to help in strategizing appropriate environmental management measures in protecting wildlife and their physical environment from negative impacts of the projects. Some of the main negative externalities of the land developments, housing and human settlement sector projects include disturbance to ecological corridors of wildlife, disturbance to wildlife natural habitat and ecosystems. The effects of unsustainable physical developments in parks and game reserves include enhancement of unwarranted migration and exposure wildlife to external threat. Due to restrictions on nature of physical developments, communities will have to get consent for construction of public works projects and feeder roads within national parks and game reserves. Local Government Act (1998) Local government Act provides legal mandate for local assemblies in land administration, local environmental planning, infrastructure planning, chiefs’ administration and implementation of various issues and development programmes in their respective geographical districts. One main function of the councils is that of local environmental planning and management. Some of the environmental management functions are provided in section 2 of the second schedule of functions of the council outlined in Local Government Act. These include land administration, local afforestation programmes, control of soil 19 MASAF IV Environmental & Social Management Framework. erosion, appropriate management of solid and liquid wastes .The public works projects are located within various district councils and Local Development Fund will have to collaborate with councils on a range of matters. These include training of local communities on preparation of forest management plan, pesticide management plan and sensitization of communities. District councils and Department of Forestry have in place Manuals for Decentralised Environmental Management Guidelines (2012) and Community Environmental Management: Forest and Conservation Manual (2005), prepared with support of Ministry of Environment and Climate Change Management. These documents are useful and require revision as soon as possible to incorporate recent policy changes such as climate change and adaptation at local level, gender and HIV/Aids issues in forestry sector, catchment protection among others. Decentralization Policy (1998) The Decentralization Policy, developed in 1998 devolves administration and political authority to district level, in order to promote popular participation. The Decentralization Policy assigns certain responsibilities to the District Council. One of the key responsibilities is to assist the government in the management and preservation of the environment and natural resources. In light of this devolution, the District Council will play a very important role in the implementation of the environmental management process for MASAF IV funded sub- projects. Malawi National Land Policy (2002) The Malawi National Land Policy is the principal policy that guides land management and administration in Malawi. The policy introduces major reforms intended for land planning, use, management and tenure. It provides clear definitions of land ownership categories. The policy categorizes land into five categories: customary land, leasehold land, registered land, freehold land, Government land and public land. Issues of compensation payment for land will relate to leasehold land and registered land. The policy has provisions for environmental management, urban management of solid and liquid wastes, protection of sensitive areas, agricultural resource conservation and land use, community forests and woodland management. Of particular importance to MASAF IV funded sub-projects are the requirements in Section 9.8.1 (b) of the policy, that environmental impact assessment studies shall be mandatory before any major land development project is carried out; and in Section 9.8.1 (c) that development activities in fragile ecosystems such as wetlands, game reserves, forest reserves and critical habitants will only be permitted after the appropriate authority has conducted an environmental impact assessment study. Water Resources Act (1969) The Water Resources Act (1969) deals with control, conservation, apportionment and use of water resources of Malawi. Of relevance to MASAF funded sub-projects is Section 16 of the Act which states that it is an offence for any person to interfere with, alter the flow of, or pollute, or foul any public water. This means that MASAF must take this into account when developing new water supply facilities or improving the existing ones. MASAF will also ensure that wastewater from water supply points does not pollute the environment. 20 MASAF IV Environmental & Social Management Framework. The National Water Policy (2005) The National Water Policy addresses all aspects of water including resource management, development and service delivery. The policy covers areas of water quality and pollution control, water utilization, disaster management, institutional roles and linkages which will have to be taken into consideration. Fisheries Conservation and Management Act (1997) The Fisheries Conservation and Management Act (FCMA) enacted in 1997, identifies issues which may have a bearing on the proposed project such as: degradation of spawning grounds by siltation and changing flow regimes; retention of the unique biodiversity of Lake Malawi and identification of pollution and monitoring sources. MASAF funded sub-projects will need to take these issues into account to ensure that they do not adversely affect fish resources. The National Land Resources Management Policy and Strategies (2000) The National Land Resources Management Policy and Strategies is an instrument for the conservation of land for agriculture and other uses. The Policy also indicates land use and management measures that will balance and regulate competing land use for various activities such as human settlements and forest reserves that will have to be taken into consideration. The Technical Field manual on Rain Water Harvesting, 2008 operationalises some of the provisions of the Policy for use in land resource conservation sub projects. 21 MASAF IV Environmental & Social Management Framework. CHAPTER FOUR REVIEW OF WORLD BANK SAFEGUARD POLICIES The activities of the proposed Malawi Social Action Fund 4 project have triggered four of the World Bank's safeguard policies, namely, Operational Policy (OP 4.01) Environmental Assessment, (OP 4.09) Pest Management, (OP 4.12) Involuntary Resettlement and (OP4.36) Forests. While the Environmental and Social Screening Process has been prepared according to the requirements of OP 4.01, the process links to OP 4.12 by including relevant questions that will indicate whether or not the provisions of the Resettlement Policy Framework (RPF) are adhered to as well. 4.1 Environmental Assessment (OP/BP 4.01) The objective of Operational Policy (OP4.01) is to ensure that Bank-financed projects are environmentally sound and sustainable, and that decision-making is improved through appropriate analysis of actions and mitigation of their likely environmental impacts. This policy is triggered if a project is likely to have potential adverse environmental and social impacts in its area of influence. The construction and rehabilitation of various types of sub- projects under MASAF IV are likely to have some adverse environmental and social impacts, which will require mitigation. In order to comply to this safeguard policy, district councils (who are implementers) will carry out three activities on all sub-projects. These are: (a) Environmental and social screening of sub-projects using a screening form attached as annex 1. The screening process will be done to appraise environmental and social risks and identify potential mitigation measures in advance. (b) Preparation of Environmental and Social Management Plan (ESMP) for individual sub-projects. ESMP will guide the implementation of mitigation measures where need be. (c) Monitor implementation of safeguard activities and submit reports on implementation progress of the safeguard activities Environmental and Social Categories The environmental and social screening of each subproject determines the appropriate extent of ESA work. The projects are classified into one of the below four categories, depending on the type, location, sensitivity, and scale of the project and the nature and magnitude of its potential environmental and social impacts. The projects are categorized as follows; Category A: A proposed project is classified as Category A if it is likely to have significant adverse environmental and/or social impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works. ESA for a Category A project examines the project's potential negative and positive environmental and/or social impacts, compares them with those of feasible alternatives (including the "without project" situation), and recommends any measures needed to prevent, minimize, mitigate or compensate for adverse impacts and improve environmental and/or social performance. For a Category A project, the borrower is responsible for preparing a 22 MASAF IV Environmental & Social Management Framework. report, normally an ESIA (or a suitably comprehensive site specific ESMP) that includes as necessary, elements such as environmental and social audits or hazard or risk assessments.  Note: As regards MASAF funded sub-projects, any sub-project assigned the environmental category A as a result of the environmental and social screening process will have to be either redesigned or dropped because the parent project Social Action Fund – APL II - has been assigned the environmental category B. Therefore, category A sub-projects cannot be funded under the Social Action Fund. (b) Category B: A proposed project is classified as Category B if its potential adverse environmental and social impacts on human populations or environmentally and/or socially important areas - including wetlands, forests, grasslands, and other natural habitats - are less adverse than those of Category A projects. These impacts are site-specific; few if any of them are irreversible; and in most cases mitigatory measures can be designed more readily than for Category A projects. The scope of EA for a Category B project may vary from project to project, but it is narrower than that of Category A. Like Category A, it examines the project's potential negative and positive environmental and social impacts and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance.  Note: Given that most MASAF funded sub-projects will not have significant adverse environmental and social impacts requiring a separate EIA report. For most sub- projects, ESMPs will be prepared, consulted upon, and disclosed during implementation; if some sub-projects have more substantial impacts, site specific ESIAs/ESMPs will be prepared, consulted upon, and disclosed during implementation. All sub-projects which require land acquisition, impacts assets, causes a loss of livelihood, and/or restrict access to natural resources will require the preparation of a RAP. (c) Category C: A proposed project is classified as Category C if it is likely to have minimal or no adverse environmental and/or social impacts. Beyond screening, no further ESA action is required for a Category C project. However, being a category C project does not mean not ensuring the project is social and environmentally sound.  Note: In cases where the results of the screening process indicate that the sub-project will have negligible or very minimal environmental and social impacts, no additional environmental and/or social work will be required and sub-project implementation can proceed immediately. (d) Category FI: A proposed project is classified as Category FI if it involves investment of Bank funds through a financial intermediary, in subprojects that might result in adverse environmental and social impacts. 4.2 Involuntary Resettlement (OP/BP.4.12) The objective of World Bank Operational Policy (OP/BP 4.12) is to avoid or minimize involuntary resettlement where feasible, exploring all viable alternative project designs. Furthermore, it intends to assist displaced persons in improving their former living standards; it encourages community participation in planning and implementing resettlement and in providing assistance to affected people, regardless of the legality of title of land. This policy is triggered not only if physical relocation occurs, but also by any loss of land resulting in: 23 MASAF IV Environmental & Social Management Framework. relocation or loss of shelter; loss of assets or access to assets; loss of income sources or means of livelihood, whether or not the affected people must move to another location. A separate document, the Resettlement Policy Framework (RPF) has been prepared, updated from the parent project for the proposed public works sub-projects programme. The RPF outlines the principles and procedures to be applied in the event that any Public works sub- projects involve land acquisition and thus require the mitigation of potential adverse social impacts. Where there is land acquisition, impact on assets, and/or loss of livelihood, the RPF guidelines must be followed and a RAP completed prior to sub-project implementation. Where there are differences between Malawi’s legislation and the Bank’s operational policy, the latter prevails for the duration of project implementation. 4.3 Physical Cultural Resources (OP/BP 4.11) The objective of this policy is to assist countries to avoid or mitigate adverse impacts of development projects on physical cultural resources. For purposes of this policy, “physical cultural resources” are defined as movable or immovable objects, sites, structures, groups of structures, natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or 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. 4.4 Forests (OP/BP 4:36) This policy has been triggered by woodlot establishments supported by Malawi Social Action Fund over the years. Currently, Public Works Programme supports local afforestation initiatives through community woodlots and agro-forestry interventions across the country. The objective of Forests Policy is to assist borrowers to harness the potential of forests to reduce poverty in a sustainable manner and to effectively integrate forest issues into sustainable economic development. This policy is triggered whenever any World Bank funded project has potential to have impacts on health and quality of forests or the rights and welfare of people and aims to bring about changes in the management, protection, utilization of natural forests or plantations. In order to minimize negative impacts on forest resources, The World Bank Group does not finance projects/plantations which involve significant conversion or degradation of critical forest areas including potential invasive tree species. In addition, World Bank does not finance projects related to commercial harvesting/ industrial –scale commercial harvesting operations. Forest Policy supports small-scale woodlot establishments under community – level management approaches where such interventions harness the potential to reduce local poverty. The policy also encourages forests projects to explore opportunities for non-timber forest products and related goods and in order to enhance a full range of goods and environmental services of forests. Woodlots established with support of Malawi Social Action Fund are owned by communities and are within customary land within villages/homesteads. Some are established along rivers and along natural forests. The aims of afforestation programmes are many and these include: 24 MASAF IV Environmental & Social Management Framework. woodlot establishment for future supplies of fuel wood and construction poles; conservation of soil and land in bare areas, conservation of river catchment areas among others. Operational Policy 4:36 (Forests) stipulates that all World Bank funded forest projects should develop an action plan or Forest Management Plan in order to enhance sustainable development and utilization of products and services. The preparation of an action plan or Forest management Plan has to be done with adequate participation of affected people and beneficiaries. Guidelines for preparation of Forest Management Plans are attached as annex 7. 4.4 Pest Management (Operational Policy 4.09) The MASAF IV Project will support infrastructural development (canal diversions) to small scale irrigation scheme for purposes of growing food crops including maize and vegetables.. This would trigger Pest Management Operational Policy (OP 4.09). This policy covers the procurement and use of pesticides on Bank funded or Bank supported projects. The procurement of any pesticide in a Bank-financed project is contingent on an assessment of the nature and degree of associated risks, taking into account the proposed use and the intended users. The following criteria apply to the selection and use of pesticides in Bank-financed or bank supported projects: (a) They must have negligible adverse human health effects; (b) They must be shown to be effective against the target species; (c) They must have minimal effect on non-target species and the natural environment. (d) The methods, timing, and frequency of pesticide application must aim to minimize damage to natural enemies. In case of Community Demand Driven Public Works Programmes, support will be focused on community driven irrigation schemes projects with support of Department of Irrigation Services. The project will encourage adoption of integrated pest management plan (IPM) as best option for the schemes. However, in case that IPM cannot be implemented, such schemes will be required to prepare a Pesticide Management Plan before can be supported at the scheme. The expected Pesticide Management Plan (PMP) has to be consisted with international best practices in management of pesticides in an irrigation schemes. The PMP prepared for the Malawi Agricultural Sector Wide Approach will be used for this project. 4.4.1 Integrated Pest Management There exists some indigenous knowledge in plant protection. Some farmers have reported that they practice the use of botanical plants to control some insect pests and diseases. For example, leaves from the fish bean plant, Tephrosia vogelli have been used to control a number of pests in maize and beans. The neem leaves are used to protect maize from weevils. Other non-pesticide control methods are applied on the cassava mealy bug, larger grain borer; cereal stem borer; citrus wooly whitefly; and the cassava green mite. A number of sub-projects are expected to increase agricultural productivity through the provision of small-scale irrigation infrastructure and concomitant increased use of agro-chemicals and fertilizer. Therefore, this operational policy is triggered, and appropriate steps will be taken by LAs to ensure the safe management of pesticides. 25 MASAF IV Environmental & Social Management Framework. The sections below provide guidance to the sub-project implementers at the community and district levels to ensure that potential adverse environmental and social impacts such as soil and water contamination as well as pesticides poisoning among humans and animals are identified and appropriately mitigated at the planning stage of the sub-projects. The beneficiaries of the projects will not only consult the “Pesticide Management and Monitoring Plan” but, most importantly, with the Crop Officers at the district level, and as necessary, with the Director of Crops, MoAFS. 4.4.2 Institutional Responsibilities for Integrated Pest Management Environmental issues will be discussed with the community at preparation of the Village Action Plan (VAP). The discussions will be led by the Agricultural Extension Development Coordinator (AEDC) including the screening processes. The implementation of mitigation measures for a particular sub project will be reviewed by the AEDC on continuous basis during implementation as an integral part of following up on project progress and reported to the District. The District Environmental Sub Committee (DESC) will be responsible for receiving individual VAP and ensuring that CDAs carry out monitoring of implementation of mitigation measures. The DESC will also carrying out public consultations at the Local Authority level. The District Crops Officer will be responsible for the implementation of the pesticide management and control program. He /She will carry out this task as part of his jurisdiction. Any environmental/pest management training needs will be submitted to the Training Manager in the LDF TST for consideration on demand basis. The training will be funded at 100 % of cost by the Systems and Capacity Building component. 4.4.3 Ministry of Agriculture and Food Security (MoAFS) At the national level, the Department of Crops, arranges for the core training for agro- dealers and farmers through the employment of NGOs and through the m inistry’s own training programs LAs will enquire about potential participation of its beneficiaries in the sensitization seminars and/or in-depth training courses to be provided by MoAFS in the context of the Agricultural Development Program-Support Project (ADP-SP). With support from MoAFS as appropriate, LAs led by the Crops Officer will ensure effective monitoring of pesticides management under its sub-projects. 4.4.4 District Agricultural Development Officers (DADOs) At the district level, the DADOs arranges for the core training of farmers and beneficiaries through implementation of the MoAFS core training program and knowledge sharing. Furthermore, each DADO has Subject Matter Specialists (SMSs) which will guide LAs in the safe management of pesticides as well as integrated pest management techniques. Any specific requirements for training should be linked and costed as part of project cost. 26 MASAF IV Environmental & Social Management Framework. CHAPTER FIVE THE ENVIRONMENTAL AND SOCIAL SCREENING PROCESS FOR MASAF SUBPROJECTS 5.1 Environmental and Social Screening Framework in Malawi The Malawi Environment Management Act (1996) and the Malawi EIA guidelines (1997) prescribe the conduct for Environmental Impact Assessment for development projects. However, these instruments do not contain guidelines regarding the screening, identification, assessment and mitigation of potential localized impacts of small-scale investments, where the project details and specific project sites are not known. 5.2 Environmental and Social Screening in the Framework Environmental and Social Screening Process outlined below complements Malawi’s EIA procedures for meeting the environmental and social management requirements, as outlined in Appendix C of the EIA guidelines. The Environmental and Social Screening Process also meets the requirements of the World Bank’s OP 4.01 Environmental Assessment. It provides a mechanism for ensuring that potential adverse environmental and social impacts of MASAF funded sub-projects are identified, assessed and mitigated as appropriate, through an environmental and social screening process. 5.3 Application of the Screening processes Since the specific details and locations of the MASAF funded sub-project activities are not known at this time, the environmental and social screening process is necessary for the review and approval of the sub projects, for the development of new and the rehabilitation of existing facilities or infrastructure. The objectives of the screening process are to: a) Determine the level of environmental work required (i.e. whether an EIA/ESMP is required or not; whether an ESMP is required; whether the application of simple mitigation measures will suffice; or whether no additional environmental work is required); b) Determine appropriate mitigation measures for addressing adverse impacts; c) Incorporate mitigation measures into the development plans; d) Determine which construction and rehabilitation activities are likely to have potential negative environmental and social impacts; e) Determine if there will be land acquisition, impact on assets, loss of livelihood, and/ or restricted access to natural resources. f) Indicate the need for a Resettlement Action Plan (RAP), which would be prepared in line with the Resettlement Policy Framework (RPF), prepared for the Social Action Fund; g) Facilitate the review and approval of the screening results regarding construction and rehabilitation proposals; and h) Provide guidelines for monitoring environmental and social parameters during the construction, rehabilitation, operation and maintenance of the infrastructure service facilities and related project activities. 27 MASAF IV Environmental & Social Management Framework. 5.4 The Screening Process The extent of environmental work that might be required, prior to the commencement of construction and rehabilitation of the MASAF funded sub-projects will depend on the outcome of the screening process described below. Step 1: Screening Of Sub-Project Activities and Sites Prior to going to the field, a desk appraisal of the construction and rehabilitation plans, including infrastructure designs, will be carried out by the District Environmental Sub- Committee (DESC) at the district level. Subsequently, the Area Executive Committee, with assistance from the District Environmental Sub-Committee (DESC), will carry out the initial screening in the field, through the use of the Environmental and Social Screening Form (Annex 1). The screening form, when correctly completed, will facilitate the identification of potential environmental and social impacts, the determination of their significance, the assignment of the appropriate environmental category (consistent with OP/BP 4.01), the determination of appropriate environmental and social mitigation measures, and the need to conduct an Environmental and Social Impacts Assessments/Environmental and Social Management Plans (ESIAs/ESMPs) and/or Resettlement Action Plans (RAPs). To ensure that the screening form is completed correctly for the various project locations and activities, training should be provided to members of the Area Executive Committee (AEC) by the DESC as part of strengthening community level structures. This will be funded on need basis using funding from the systems and capacity building component. The Community Based NRM Organisations and the Village Natural Resource Management Committee Clubs will complement each other in ensuring that ESMF is in place for all subprojects being implemented. Step 2: Assigning Appropriate Environmental and Social Categories The environmental and social screening form, when completed, will provide information on the assignment of the appropriate environmental and social category to a particular activity for construction of new facilities or rehabilitation of existing structures. The DESC will be responsible for assigning the appropriate environmental category to the proposed MASAF funded sub-projects consistent with the requirements of OP/BP 4.01: In the event that Resettlement Action Plans (RAPs) will have to be prepared for MASAF funded sub-projects, these would be reviewed and approved by the Commissioner for Lands, consistent with the Resettlement Policy Framework as well as the World Bank, prior to initiating compensation and commencement of project activities. Each LA will ensure that members of the DESC should receive appropriate environmental and social training so that they can perform this function effectively. The Environmental District Officer is the secretariat to the DESC and will therefore take a leading role in capacity building issues of the DESC. 28 MASAF IV Environmental & Social Management Framework. Step 3: Carrying Out Environmental and Social Work After reviewing the information provided in the environmental and social screening form, and having determined the appropriate environmental category, the DESC will determine whether (a) the application of simple mitigation measures outlined in the Environmental and Social Checklist will suffice; (b) a comprehensive Environmental and Social Impacts Assessments/Environmental and Social Management Plans (ESIA/ESMP), or just an ESMP, will need to be carried out, using the national EIA guidelines; or (c) no additional environmental and/or social work will be required. ESIA reports are first subjected to technical review by Technical Committee on the Environment (TCE) before they are recommended to National Committee on the Environment (NCE) for approval. 5.5 Use of the Environmental and Social Checklist: The Environmental and Social Checklist will be completed by members of the AEC and the DESC. Some of the activities categorized as B1 might benefit from the application of mitigation measures outlined in the checklist. In situations where the screening process identifies the need for land acquisition, impacts assets, causes a loss of livelihood, and/or restricts access to natural resources, a RAP shall be prepared consistent with the standards and guidelines set forth in the Resettlement Policy Framework and World Bank policy 4.12. Where standard designs will be used, the DESC, in consultation with the District Lands Assessment Team will assess impacts on the chosen land site and the community; and modify the designs to include appropriate mitigation measures. For example, if the environmental screening process identifies loss of fertile agricultural fields as the main impact from the construction of a water storage reservoir, the mitigation measure would be for the DESC and members of the planning team to choose a site further away from the fertile gardens so that the livelihood systems are maintained. The DESC must confirm that any land donation was truly voluntary and free of community pressure or coercion. Where community land was donated, the DESC must confirm the land was vacant and not being utilized by any individual. Carrying out Environmental and Social Impacts Assessment (ESIA)/Environmental and Social Management Plan (ESMP) The ESIA process will identify and assess the potential environmental and social impacts of the proposed construction activities, evaluate alternatives, as well as design and implement appropriate mitigation, management and monitoring measures. These measures will be captured in the Environmental and Social Management Plan (ESMP) which will be prepared as part of the ESIA process for each sub-project. In some cases, where impacts are minimal to moderate and localized, then only an ESMP will be prepared. Preparation of the site specific ESIA, the ESMP and the RAP will be carried out in consultation with the relevant sector Ministries including potentially affected persons. The DESC in close consultation with the Environmental Affairs Department and on behalf of the Local Assembly and the Project Management Team will arrange for the (i) preparation of ESIA terms of reference; (ii) recruitment of a service provider to carry out the ESIA; (iii) 29 MASAF IV Environmental & Social Management Framework. public consultations; and (iv) review and approval of the ESIA through the national ESIA approval process. The Project Management Team, in close consultation with the DESC, will arrange for the preparation of the RAPs, following the provisions outlined in the Resettlement Policy Framework. The Ministry of Lands, Physical Planning and Surveys will bear overall responsibility for approving the RAPs; copies of the RAPs will be sent to the Bank for review and clearance prior to the commencement of civil works. Step 4: Review and Approval of the Screening Activities Review Under the guidance of the DESC, the relevant sector committees at the district level will review (i) the results and recommendations presented in the environmental and social screening forms; and (ii) the proposed mitigation measures presented in the environmental and social checklists. Where an ESIA/ESMP has been carried out, EAD will review the reports to ensure that all environmental and social impacts have been identified and that effective mitigation measures have been proposed. Where a RAP has been carried out, the Ministry of Finance will review the action plans to ensure individuals have been properly identified, meaningfully consulted, participated in the planning, and appropriately compensated. Prior to implementing the compensation process, MoF will ensure World Bank review and clearance of the RAP. Recommendation for Approval/Disapproval Based on the results of the above review process, and discussions with the relevant stakeholders and potentially affected persons, the DESC, in case of projects that don't require ESIA/ESMP or RAP, will make recommendations to the District Executive Committee (DEC) for approval/disapproval of the screening results and proposed mitigation measures. As regards ESIA/ESMP reports, EAD will recommend ESIA/ESMP reports to the National Council for the Environment (NCE) for approval while RAPs will be approved by the Ministry of Lands Physical Planning and Surveys. Approval /Endorsement Disapproval Subsequently, the District Executive Committee will forward its recommendations to the District/Urban Council for approval, while NCE will forward its recommendations to the Minister responsible for Environmental Affairs for endorsement. The corresponding RAPs would be reviewed and approved by the Ministry of Lands, Physical Planning and Surveys and the Bank. 30 MASAF IV Environmental & Social Management Framework. CHAPTER SIX PUBLIC CONSULTATION AND DISCLOSURE 6.1 Rationale for Consultation and Disclosure According to Malawi's Guidelines for EIA (1997) and World Bank policies for resettlement and environmental assessment, public consultations are an integral component of the EIA and RAP requirements, and the guidelines identify the following principal elements: a. Developers are required to conduct public consultation during the preparation of Project Briefs, ESIA/ESMPs, and RAPs. b. The Director of Environmental Affairs may, on the advice of the Technical Committee on Environment (TCE), conduct his or her own public consultation to verify the works of a developer. c. Formal ESIA/ESMP and RAP documents are made available for public review and comments. Documents to which the public has access include Project Briefs, ESIA terms of reference, draft and final ESIA/ESMP and RAP reports, and decisions of the appropriate authorities regarding project approval. The Director of Environmental Affairs and MASAF, on the advice of the TCE, will develop practices and procedures for making these documents available to the public. It is very unusual that an ESIA will need to contain proprietary or market sensitive information (i.e. technological and financial) which a developer would prefer to remain confidential. Unless public knowledge of such information is crucial to project review, and as provided under Section 25(5) of the EMA, the Director will comply with requests that such information does not appear in an ESIA/ESMP or RAP. d. Certificates approving projects will be published by the developer and displayed for public inspection. Public consultations are critical in preparing an effective proposal for the construction and rehabilitation project activities. The first step is to hold public consultations with the local communities and all other interested/affected parties, during the screening process and in the course of preparing the ESIA/ESMP and RAP. These consultations should identify key issues and determine how the concerns of all parties will be addressed in response to the terms of reference for the ESIA/ESMP and RAP which might be carried out for construction and rehabilitation proposals. 6.2 Instruments for Use during Consultations Annex G of the Malawi Guidelines for EIA (1997) provides details concerning the public consultation methods in Malawi. Such methods include press conferences, information notices, brochures/fliers, interviews, questionnaires and polls, open houses, community meetings, advisory committees, and public hearings. It is also critical that the disclosures should be done in a language that people can easily understand. The ESMF and the RPF, and any subsequent safeguards instruments, will therefore be translated into two major languages in Malawi, Chichewa and Chitumbuka in order to solicit meaningful consultations and feedback. 31 MASAF IV Environmental & Social Management Framework. The guidelines for public consultation include, among others, a requirement that major elements of the consultation program should be timed to coincide with significant planning and decision-making activities in the project cycle. In terms of Malawi's EIA process, and World Bank policy standards, public consultation should be undertaken during (i) the preparation of the site specific ESIA/ESMPs and RAPs terms of reference; (ii) the carrying out of an ESIA/ESMPs and RAP; (iii) government review of an ESIA/ESMP and RAP reports; and (iv) the preparation of environmental and social terms and conditions of approval. Further details are provided in Appendix G of the Malawi's Guidelines for EIA. Under the MASAF IV, consultations will be carried out by communities as part of the environmental and social screening process of subprojects, and the results will be communicated in an understandable language to potentially affected persons and beneficiaries. 32 MASAF IV Environmental & Social Management Framework. CHAPTER SEVEN ENVIRONMENTAL AND SOCIAL MANAGEMENT AND MONITORING PLANS 7.1 Purpose of the Environmental and Social Management Plan (ESMP) The objective of the Environmental and Social Management Plan (ESMP) is to provide guidance during the implementation of the MASAF Project regarding the institutional responsibilities and cost estimates for effective environmental and social management. Specifically the ESMP will:  Ensure that proper appraisals on the effects of sub-projects takes place and that proper measures are put in place to mitigate the effects;  Set out the basis for compliance and enforcement of terms and conditions for approval;  Design compliance strategies; and  Monitor compliance and management of the environment. Thus, the ESMP for the MASAF IV Project (i) describes the potential adverse environmental and social impacts of future sub-projects; (ii) outlines proposed mitigation measures to be adopted and indicates parties responsible for implementing mitigation measures; (iii) identifies parties that will carry out the monitoring of the implementation of the mitigation measures; (iv) outlines the time horizons for the various activities; and (v) details the associated costs. Activities that relate to capacity building will be undertaken prior to sub-project commencement as a sub set to sensitisation of stakeholders on the Project (MASAF IV Strengthening Safety Nets Systems. The total cost of physical mitigation measures have been estimated as part of the sub- project costs based on experience from previous phases of MASAF. Communities will be expected to contribute to the cost of the mitigation measures. 7.1.1 Environmental and Social Impacts As regards the proposed MASAF project, potential adverse environmental and social impacts on the natural and human environment are likely to be associated with future sub-projects. The sources of impacts will arise from inputs as well as project processes at construction and operation and maintenance phases. Details for various sector specific projects are included in Annexe 4: Environmental and Social Checklist. Adverse impacts include but not limited to:  Clearing of indigenous vegetation and disturbance to the biodiversity;  Loss of soil cover arising from excavations and moulding of bricks;  Disturbance in families arising from immigration of workforce without their spouses;  Occurrence of respiratory infections from dust and cement;  Irresponsible damping of solid waste;  Noise during construction;  Air pollution resulting from wrong siting of components like toilets;  Increased demand of services;  Increased land value and more intensive land use arising from opening up of roads; 33 MASAF IV Environmental & Social Management Framework.  Increase in the incidence of sexually transmitted diseases due to availability of cash; and  Increased water pollution from eroded soils 7.1.2 Mitigation Measures Mitigation measures involve avoiding of impact altogether, minimising the impact, rectifying the impact and gradual elimination of impact over time. Depending on the nature, these measures will be implemented by communities with the support from Local Authorities and at Local Authorities with support from MASAF. The support will be in form of financial and human resource efforts. Mitigation Measures are twofold: physical and socio-economic. Physical measures relate to issues of project siting, re-vegetation and preventive measures to bush clearing, erosion, sedimentation and pollution control and good construction/farming practices. Socio-economic measures include education and awareness, hygiene and sanitation training, rules and regulations, institutional support (including skills training), and recruitment of qualified personnel. Table 1 is intended as a sample to guide the general formal and context of a specimen ESMP. Please see Annex 1 for full coverage of projects likely to cause impact. 34 MASAF IV Environmental & Social Management Framework. Table 1: Environmental and Social Management Plan for a Social Infrastructure Subproject expected to be supported under MASAF IV Project Activities Environmental/ Social Impacts Proposed Mitigation Measures Estimated costs Responsible Authority (USD) Maintenance and rehabilitation  Loss of economic assets (e.g.  Fair compensation based on market 70,000.00  District Commissioners of roads or footpath timber trees, fruit trees, kraals) values on that time.  Regional Commissioner for  Environmental health and safety  Use World Bank Group Environmental Lands impacts during construction Health and Safety Guidelines Support to molding and baking  Soil erosion  Use of environmentally friendly  District Commissioner of bricks  Environmental health and safety technology such as Soil Stabilized Bricks 25,000.00  District Environmental impacts during construction (SSBs) Officer  Use World Bank Group Environmental Health and Safety Guidelines Support to social infrastructure  Spread of HIV/AIDS among  HIV/AIDS civic education to workers, 30,000.00  District AIDS Coordinators subprojects such as schools and workers, contractors, contractors working in the sites and local health posts. beneficiaries, local community people members  Distribution of condoms to workers  Environmental health and safety  Use World Bank Group Environmental impacts during construction Health and Safety Guidelines Clearing of land  Loss of vegetation and  Selective clearing of sites  District Forestry Officer endangered tree species  Re-afforestation 25,000.00  District Environmental  Environmental health and safety  Use World Bank Group Environmental Officer impacts during construction Health and Safety Guidelines Area enclosure  Loss of traditional access ways  Open alternative routes in liaison with N/A  Local Village Headman local leadership  District Commissioner Ancillary construction work  Soil and water pollution  Controlled disposal of waste 25,000.00  Contractors resulting from the accumulation  Use World Bank Group Environmental  District Environmental of solid and liquid waste Health and Safety Guidelines Officer  Environmental health and safety impacts during construction TOTAL 175,000.00 1 MASAF IV Environmental & Social Management Framework. ENVIRONMENTAL AND SOCIAL MONITORING 7.1.3 Monitoring Plan Monitoring of the site specific ESMPs will be undertaken through a coordinated arrangement. Key staff in the process will be the CDA or Forestry Assistant at community level, the EDO at LA level as he/she is Secretary to the DESC and the officer responsible for social Safeguards at the TST. The ESMP outlines the institutional arrangements and cost estimates for environmental and social management during the implementation of the MASAF IV Project. 7.2 Identification and Summary of Potential adverse Environmental and Social Impacts of Sub-Projects Identification of potential adverse environmental and social impacts of sub projects is an activity that will take place at project identification stage. All communities will have to undergo this process as part of Village action Plan Preparation and at community meetings once subproject have been approved in the assembly annual investment plan. The processes will be guided by extension workers in the catchment of the proposed project. The final outcome will be checked by an appropriate DESC member at desk appraisal and field verification. 7.3 Potential Impacts, if any, of the Proposed Mitigation Measures Even though the magnitude of environment degradation at a single project may not be equal to the mitigation measure, efforts on mitigation will have the following positive impacts:  Knowledge gained through training on environmental degradation and importance of mitigation will be used in other projects by the community at large.  Soil erosion will be reduced due to the soil conservation measure that will be instituted at every project regardless of its nature. Drainages around structures and roads will continuously remind the communities of its use in contributing to control of erosion.  Filling of borrow pits will also have an indirect benefit of contributing to reduction of incidence of malaria, or/and accidents if bricks were mould within the school area.  Actual planting of trees as a replacement of timber used in construction will act as a means of reminding communities the need to replace cut trees and once the trees grow, will serve as an asset for the community. Continuous existence of such assets will continuously remind the community of the need to have more mitigation.  Tree planting will directly contribute to reduction of carbon dioxide in the atmosphere. There are several challenges in implementation of mitigation measures by communities and LAs in the short-term. Some physical measures are seen as expensive and in some cases not favoured as they are not part of the component being requested – examples on these have resulted in reluctance to use cement blocks. In some cases communities resist change to new technologies because they are seen to be difficult to adopt and they require a lot of time. Socio-economic measures outlined above will assist in reducing impacts of the physical measures. 1 MASAF IV Environmental & Social Management Framework. 7.4 Linkage with other Mitigation Measures required for the Project Socio-economic impacts of the sub-projects to be implemented encompass a range of policies. As such it is important for project implementers to consider the Resettlement Policy Framework for the project as they prepare the ESMP. Social and economic impacts of sub- project activities will tend to impact on the environmental considerations that need mitigation. Table 2 is intended as general guidance for the ESMF, it is a sample of impacts of a specific project which can be monitored. SOCIAL AND ENVIRONMENTAL MONITORING PLAN DISTRICT……………………………………………………………………………. PROJECT NAME……………………………………………………………………. REPORTING OFFICER…………………………………………………………… DATE………………………………………………………………………………… 1 MASAF IV Environmental & Social Management Framework. Table 2: Sample of Impact Monitoring Format for one Subproject ID SUBPROJECT EXPECTED IMPACTS PROPOSED OUTPUT TARGET ACHIEVEMENTS REMARKS NO ACTIVITY MITIGATIONS/ INDICATORS MITIGATION ACTIVITIES 1.0 Intensive use of Loss of soil fertility Promotion of manure No of pits, Area 10 ha of 2 ha application The substitution of agro- agro-chemicals e.g. making and utilization applied to manure manure chemicals by manure must be fertilizer, herbicides, accelerated. pesticides Water pollution/ Sensitization of farmers on No of 6 4 Good progress but needs further Reduced water quality disposal of empty containers sensitization improvement. meetings 2.0 Small scale Soil erosion, siltation Conduct ridge alignment, Area realigned, 120 ha 120 ha As planned irrigation scheme Establish vetiver hedge row, Length of hedge de-silting of water channels row established Conflicts over use of Training in irrigation No of training 5 1 This is a serious deficit water agronomy (water mgt, sessions, No of irrigation scheduling, Crop farmers trained mgt) and conflict management Spread of HIV/AIDS, Conduct awareness meetings No of awareness 10 10 Excellent performance STDs on dangers of contracting meetings HIV/AIDS conducted Loss of land for Establishment of pastures No. of pastures 2 1 Good progress grazing established Conflicts over land use Public awareness campaigns No. of awareness 3 3 On track and Ownership on land ownership, meetings Participation and consultation 1 MASAF IV Environmental & Social Management Framework. CHAPTER EIGHT INSTITUTIONAL SETUP FOR ENVIRONMENTAL AND SOCIAL MONITORING AND CAPACITY BUILDING REQUIREMENTS 8.1 Responsibilities for Environmental and Social Monitoring Environmental and social monitoring will be carried out three different levels i.e. Community, District and National levels. 8.2 Definition of Roles and Responsibilities The successful implementation and monitoring of the environmental and social management framework, environmental monitoring would depend on collaboration of different stakeholders at district level, national level with Local Development Fund TST. This is necessary because the implementation of the activities would require inputs, expertise and resources which would be adequately taken care of if the concerned parties work together. The following sections outline some of the selected and recommended activities to be done by each stakeholder in the environmental activities. (a) Community level At community level, members of the project management committee will be responsible for implementation of the most social and environmental mitigation measures with support from the Area Executive Committee. The specific area executive member to provide the support will depend on the mitigation measure and the sector in which the community is working. For example, communities implementing watershed management interventions will receive support from the Agricultural extension officer, while those undertaking savings and investment related activities will receive support from the Community Development Assistant (CDA). (b) District council level Members of District Environmental Sub Committee will be responsible for monitoring the implementation of recommended environmental mitigation measures within the sites for public works projects during construction, rehabilitation of existing facilities and during decommissioning phases of the programme. (c) National level: Director of Environmental Affairs will be responsible for monitoring the synchronizations of recommended environmental and social mitigation measures within the sites for MASAF IV sub projects during construction, rehabilitation of existing facilities and during decommissioning phases of the programme. The LDF TST will also undertake quarterly follow- up with the councils to monitor implementation of the ESMPs. The LDF TST will also facilitate monitoring visits by the Ministry of environment and climate change Management and other relevant interested stakeholders. 1 MASAF IV Environmental & Social Management Framework. Table 3 provides some of the key environmental and social monitoring indicators, to be adapted to the subprojects as necessary. 8.3 Monitoring, Evaluation and Reporting Monitoring, evaluation and reporting on environmental issues will be part of project implementation processes and LA reporting systems. Communities will keep records of all activities done in their communities, which will be submitted to LAs for consolidation. The relevant frontline staff through VNRMC and the local leaders will be responsible for environmental and social monitoring at a local level and transmission of the same to the DESC on monthly basis. The DESC will distil environmental and social screening actions. Compliance to environmental and social screening requirements will also be generated from quarterly reports, annual reports, evaluation reports, feedback meetings and Implementation Support Missions. An independent Environmental and Social Audit will be undertaken by an independent consultant on an annual basis to inform the project. The Audit will assess environmental and social performance based on a selected sample of 10 – 15 % of subprojects. The Audit will assess the implementation of screening, environmental and social plan preparation and implementation, etc. Some sample indicators include (but are not limited to) the following: - % of subprojects satisfactorily screened - Area of land conserved/reforested - Number of accidents/near misses - Number of persons affected that are compensated/relocated - Number of resettlement complaints received/resolved The TORs for this work will be developed during implementation. 8.4 Participatory Community Accountability in Environmental and Social Monitoring Community Score Card processes will include environmental and social considerations in line with the Environmental Management Act, 1996. These will include physical and biological factors surrounding the human being, and social, cultural, and economic aspects of human activity, the natural and built environment. 8.5 Capacity Development and Training and Resource Requirement It is envisaged that to strengthen capacity in the implementation of ESMP two institutions will need capacity building: the DESC and relevant members of the AEC. The DESC will have an orientation in a form of Trainers of Trainers (TOT). This orientation will be a sub-set of the orientation of DEC on MASAF IV Project. The course will run for five Days. The participants to the course will include Forestry, Environment, Agriculture, Health, Water and Community. Regional meetings will be organized and facilitated by the LDF TST, Department of Environmental Affairs, and Department of Lands. The cost of orientation will is estimated to be about U$100, 000.00 based on costs of training with similar duration. Topics to be covered will include:  Overview of MASAF IV -½ day;  Guidelines for Environmental and Social Screening and District Environmental Management Screening -1 day 2 MASAF IV Environmental & Social Management Framework.  Implementing the ESMF -1 day  Environmental and Social Management Plan- 1 day  Pesticide Management Plan -½ day  Forest Management Plan- ½ day  Gender Assessment and Mainstreaming - ½ day  HIV/AIDS Mainstreaming - ½ day. Details of content of each topic will be available before commencement of training. Management of Social and Environmental issues in relation to sub project to be funded from Malawi Social Action Fund 4 will be carried out at community level, district level and national level. Appropriate budget support to activities expected at each of these three levels is outlined in Tables 4, below here. It should be pointed out that the budget estimates are indicative, and may be revised by stakeholders when the level of social and environmental work becomes clearer and more specific. Table 3: Indicative Budget for ESM Activities Local Authority and National levels Serial Losses or Impacts Budgeted for Unit of Budget Budget (US$) Source of Number Expected on Proposed Site Budget Estimates (in Funding Malawi Kwacha) 1.0 National stakeholder awareness Lump 7,500,000 21,428.57 Malawi workshops on social and sum Government environmental impacts 2.0 Preparation of checklists for Lump 1,500,000 4,285.71 Malawi social and economic impacts sum Government 3.0 Sensitization of the communities Lump 2,350,000 6,714.29 Government on social and environmental sum impacts 4.0 Training communities in Lump 5,900,000 16,857.85 Government screening process sum 6.0 ESM screening Lump 2,000,000 5,714.29 Government sum 7.0 Preparation of Resettlement Lump 2,350,000 Government Action Plan sum 6,714.29 8.0 implementation of mitigation Lump 7,000,000 21,428.57 Government measures sum 9.0 Monitoring activities Lump 7,000,000 14,285.71 Malawi sum Government 10.0 Administrative costs Lump 2,500,000 10,000 Malawi sum Government Total 38, 100, 000 100, 263 The DESC will in turn facilitate training of AEC targeting 6 sectors as follows: Community Development, Forestry, Health, Agriculture, Water and the Chair of the VDC of the area. The cost of this training is to be covered by Systems Development and Capacity building component as this is part of the implementation level capacity strengthening. It is estimated that this training will cost U$130, 000.00. The trainings will be done for five days and for uniformity, the LAs will be given 8 weeks to complete the training to allow participants use 3 MASAF IV Environmental & Social Management Framework. knowledge gained in project processes and at pre-launch training. There will be annual refresher courses for AEC so that the skills are cascaded to the grassroots level. 8.5 Capacity Building Plan for Frontline Staff In Resettlement Activities The implementation of this Resettlement Policy Framework has an inherent Capacity Building arrangement for frontline staff that are responsible for facilitating training, screening for resettlement and preparation of resettlement actions plans at community level. Three key staff members will be targeted at area level and these include the Agricultural Extension Development Officer (AEDO), the Community Development Assistant (CDA) and the Forestry Assistant (FA). The training will be done annually, and will be facilitated by a team of experts from the Local Authorities including the Environmental District Officer, the District Community Development Officer, the District Forestry Officer and the District Extension Methodology Officer. The indicative Budget for the Training of the front line staff is as outlined in Table 5 below: Table 4: Cost Estimate for Training of Extension Workers in Social and Environmental Safeguards (MK) No. Description of Quantity No. of Duration Unit Cost Total Cost Expenditure Item Per Councils Council 1 Allowances for 30 28 3 days 8,000.00 20,160,000.00 extension workers 2 Allowances for 4 28 3 days 15,000.00 5,040,000.00 Facilitators 3 Allowances for 2 28 1 17,000.00 952,000.00 Management Team 4 Allowances for DC 1 28 1 21,000.00 588,000.00 5 Allowances for support 8 28 3 8,000.00 5,376,000.00 staff 6 Hall Hire 1 28 3 10,000.00 840,000.00 7 Stationery 1 28 1 30,000.00 840,000.00 8 Refreshments 100 28 3 1,500.00 12,600,000.00 9 Transport Refunds 30 28 1 1,000.00 840,000.00 10 Fuel including field trip 1 28 1 100,000.00 100,000.00 Total 50,036,000.00 Specific IEC material will be prepared to guide implementers especially AEC members on social and environmental safeguards. These will include fact sheets, flyers, posters, newspaper articles and messages in electronic media. This activity is estimated to cost US$20,000.00. Overall, the Capacity Building budget is estimated to be $260,000 for the duration of the project, spread from the central to the national, district and down to the local levels. 4 MASAF IV Environmental & Social Management Framework. CHAPTER NINE CHANCE FIND PROCEDURE FOR MASAF IV 9.1 Introduction Chance Find Procedure is a step by step procedure which outlines what needs to be done when projects come across archeological sites, historical sites, remains and objects, including graveyards and/when individual graves during excavation or construction. This procedure relates to OP/BP 4.11- Physical Cultural Resources. This Policy addresses physical cultural resources which are defined as movable or immovable objects, sites, structures that have archeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or rural settings and may be above or below the ground. 9.2 Chance Find Procedures for MASAF IV If the implementers of a MASAF IV sub project discover archeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavation or construction, the implementers will carry out the following steps: 1. Stop the construction activities in the area of the chance find; 2. Delineate the discovered site or area; 3. Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be arranged until the responsible local authorities or the Department of National Antiquities take over; 4. Notify the supervisory Environmental District Officer or Director of Public Works at the Council who in turn will notify the responsible officer in the Departments of Antiquities or Cultural Affairs immediately (within 24 hours or less); 5. Responsible local authorities and the Regional Department of Antiquities/Cultural Affairs would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed by the archeologists. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values; 6. Decisions on how to handle the finding shall be taken by the responsible authorities and regional officer responsible for antiquities or culture. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage; 7. Implementation for the authority decision concerning the management of the finding shall be communicated in writing by relevant local authorities to the LDF TST; and 5 MASAF IV Environmental & Social Management Framework. 8. Construction work could resume only after permission is given from the responsible local authorities or department responsible for culture or antiquities concerning safeguard of the heritage. 6 MASAF IV Environmental & Social Management Framework. CHAPTER 10 CONCLUSION The Environmental and Social Management Framework (ESMF) will act as a guide for managing social and environmental impacts of the MASAF IV Project. It has covered three Operational Policies of the World Bank, namely; Environmental assessments (OP/BP 4.01) Pest Management (OP4.09), Physical Cultural Resources (OP/BP 4.11) and Forests (OP/BP 4.36). The Physical Cultural Resources policy was triggered because of the likelihood of project activities (i.e. civil works) that might unearth some culturally sensitive artfacts during project implementation. Hence, a Chance Find Procedure has been included to adequately mitigate such new discovery, whenever it happens. Likewise, the Forests policy was triggered during the Second Additional Financing for the MASAF 3 APL II project where it was reported that MASAF has over the years contributed to the social forestry programme through the woodlots that are established across the country, within villages, local hillsides, river banks among others. Based on selected data from Forestry Department, the overall estimated land cover for woodlots implemented under Malawi Social Action Fund over the years should not reach 1.4 million hectares as previously documented in some project reports. This is because the estimate of 1.4 million hectares could have meant that the overall Malawi’s forest cover had doubled from the currently 1.2 million hectares to 2.5 million hectares within the MASAF project implementation period. However, this is not the case, and there are no significant changes in terms of statistics at national level to reflect such achievements in any of the years within the period of implementation of project activities under Malawi Social Action Fund. Woodlots established under Malawi Social Action Fund are within villages, and risks of negative effects on health and quality of existing indigenous forests are low. Indigenous forests are located in designated and protected forest areas. However, this framework has provided guidelines for preparing forest management plans (FMP) for afforested areas or for communities wanting to plant woodlots as part of the Public Works Programme. The Operational Policy on Pesticide Management was also triggered during the second additional financing. However, Malawi Social Action Fund to irrigation schemes is limited to civil works as public works. The programme does not cover procurement of pesticides. Irrigation Scheme supported are small community schemes focused on winter crop productions, ranging from 1 to 10 hectares. Crops include maize and horticultural crops such as tomatoes and cabbages. Farmers procure pesticides from approved retailers such as Farmers World Limited. Observations from field visits have found out that the community irrigation schemes do not have pesticide management plan and farmers are not trained in storage and appropriate use of pesticides in order to minimize health risks and pollution to the environment. A separate PMP prepared for the Malawi Agricultural Sector Wide Approach (ASWAP) will guide pest management efforts in this project. 7 MASAF IV Environmental & Social Management Framework. REFERENCES  Government of Malawi (2005) The National Water Policy, Ministry of Irrigation and Water Development  Government of Malawi (2002), Malawi National Land Policy, Ministry of Lands, Housing and Surveys.  Government of Malawi (2000) National Parks and Wildlife Act.  Government of Malawi (1998) Local Government Act. Ministry of Local Government and Rural Development  Government of Malawi (1997) Forestry Act, Ministry of Forestry, Fisheries and Environmental Affairs  Government of Malawi (1997), Fisheries Conservation and Management Act, Ministry of Forestry, Fisheries and Environmental Affairs.  Government of Malawi (1997) Environmental Management Act, Ministry of Forestry, Fisheries and Environmental Affairs  Government of Malawi (1997) Guidelines for Environmental Impact Assessment, Ministry of Forestry, Fisheries and Environmental Affairs  Government of Malawi (1969) Water Resources Act. Ministry of Water Development  Government of Malawi (1965), Ministry of Land, Land Act. Ministry of Lands and Natural Resources  MASAF (1998) Guidelines: Environmental Appraisal and Implementation Processes  MASAF (2003) Operational Manual, MASAF 3 APL I  MASAF (2008) draft Operational Manual, MASAF 3 APL II  MASAF (2008) draft Resettlement Policy Framework, MASAF 3 APL II  World Bank Operational Policies, OP 4.01 Environmental Assessment  World Bank Operational Policies, OP 4.09 Pest Management  World Bank Operational Policies, OP 4.12 Involuntary Resettlement 8 MASAF IV Environmental & Social Management Framework. Annex 1: Environmental and Social Screening Form (ESSF) ENVIRONMENTAL AND SOCIAL SCREENING FORM FOR THE SCREENING OF POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS OF FUTURE MASAF SUB- PROJECTS INTRODUCTION This Environmental and Social Screening Form (ESSF) has been designed to assist in the evaluation of planned construction and rehabilitation activities under MASAF. The form will assist the sub-project implementers and reviewers to identify environmental and social impacts and their mitigation measures, if any. It will also assist in the determination of requirements for further environmental work (such as EIA), and social work (such as a RAP), if necessary. The form helps to determine the characteristics of the prevailing local bio-physical and social environment with the aim of assessing the potential impacts of the construction and rehabilitation activities on the environment by the MASAF funded sub-project. The ESSF will also assist in identifying potential socio-economic impacts that will require mitigation measures and/or resettlement and compensation. GUIDELINES FOR SCREENING The evaluator should undertake the assignment after: 1. Gaining adequate knowledge of baseline information of the area. 2. Gaining knowledge of proposed project activities for the area. 3. Having been briefed / trained in environmental and social screening. The form is to be completed by consensus of at least three people, knowledgeable of the screening process. 9 MASAF IV Environmental & Social Management Framework. 1 MASAF IV Environmental & Social Management Framework. PART A: GENERAL INFORMATION Project Name Estimated Cost (MK) Project Site Funding Agency Project Objectives Proposed Main Project Activities: Name of Evaluator/s Date of Field Appraisal PART B: BRIEF DESCRIPTION OF THE PROPOSED ACTIVITIES Provide information on the type and scale of the construction/rehabilitation activity (e.g. area, land required and approximate size of structures) Provide information on the construction activities including support/ancillary structures and activities required to build them, e.g. need to quarry or excavate borrow materials, water source, access roads etc. Describe how the construction/rehabilitation activities will be carried out. Include description of support/activities and resources required for the construction/rehabilitation. 2 MASAF IV Environmental & Social Management Framework. PART C: ENVIRONMENTAL AND SOCIAL BASELINE INFORMATION OF THE SUB PROJECT SITE BRIEF DESCRIPTION Category of Baseline Information Brief Description GEOGRAPHICAL LOCATION * Name of the Area (District, T/A, Village) * Proposed location of the project (Include a site map of at least 1:10,000 scale / or coordinates from GPS) LAND RESOURCES * Topography and Geology of the area * Soils of the area * Main land uses and economic activities WATER RESOURCES * Surface water resources (e.g. rivers, lakes, etc) quantity and quality * Ground water resources quantity and quality BIOLOGICAL RESOURCES * Flora (include threatened/endangered/endemic species) * Fauna (include threatened/endangered/endemic species) * Sensitive habitats including protected areas e.g. national parks and forest reserves CLIMATE * Temperature * Rainfall SOCIAL * Number of people potentially impacted * Type and magnitude of impacts (ie. impact on land, structures, crops, standard of living) * Socio-economic overview of persons impacted 3 MASAF IV Environmental & Social Management Framework. PART D: SCREENING CRITERIA FOR IMPACTS DURING SUBPROJECT IMPLEMENTATION, AREAS OF IMPACTS AND IMPACTS EVALUATION AND POTENTIAL MITIGATION MEASURES Table 1: Screening Criteria for Social and Environmental Impacts Areas of Impacts Impacts Evaluation Potential Mitigation Measures Is this sub-project site/activity within Extent or coverage (on site, Significance (Low, and/or will it affect the following within 3-5km or beyond Medium, High) environmentally sensitive areas? 5km) 1.0 No Yes On Within Beyond Low Medium High Site 3-5 km 5 km 1.1 National parks and game Reserve 1.2 Wet-lands 1.3 Productive traditional agricultural /grazing lands 1.4 Areas with rare or endangered flora or fauna 1.5 Areas with outstanding Scenery/tourist site 1.6 Within steep slopes/mountains 1.7 Dry tropical forest s such as Brachsystegia species 1,8 Along lakes, along beaches, riverine 1.9 Near industrial activities 1.10 Near human settlements 1.11 Near cultural heritage sites 1.12 Within prime ground water recharge area - - 1.13 Within prime surface run off 1.14 Will the sub-project use inter national water sources? 2.0 Screening Criteria for Impacts during implementation and Operation Will the implementation and operation of the sub-project within the selected site generate the following externalities/ costs/impacts? No Yes On Within Beyond Low Medium High Site 3-5 km 5 km 2.1 Deforestation 2.2 Soil erosion and siltation 2.3 Siltation of watercourses, Dams 2.4 Environmental degradation arising from mining of construction materials 4 MASAF IV Environmental & Social Management Framework. Areas of Impacts Impacts Evaluation Potential Mitigation Measures 2.5 Damage of wildlife species and habitat 2.6 Increased exposure to agro-chemical pollutants 2.7 Hazardous wastes, Asbestos, PCB's, pollution from unspent PV batteries 2.8 Nuisance - smell or noise 2.9 Reduced water quality 2.10 Increase in costs of water treatment 2.11 Soil contamination 2.12 Loss of soil fertility 2.13 Salinization or alkalinisation of soils 2.14 Reduced flow and availability of water 2.15 Long term depletion of water resource 2.16 Incidence of flooding 2.17 Changes in migration patterns of animals 2.18 Introduce alien plants and Animals 2.19 Increase the use of pesticides and fertilizers 2.20 Increased incidence of plant and animal diseases 5 MASAF IV Environmental & Social Management Framework. 3.0 Screening Criteria for Social and Economic Impacts Will the implementation and operation of the sub-project activities within the selected site generate the following socio-economic costs/impacts? No Yes On Within Beyond Low Medium High Site 3-5 km 5km 3.1 Loss of land/land acquisition for human settlement, farming, grazing 3.2 Loss of assets, property, houses, Agricultural produce etc 3.3 Loss of livelihood 3.4 Require a RAP or ARAP 3.5 Loss of cultural sites, graveyards, monuments 1/ 3.6 Disruption of social fabric 3.7 Interference in marriages for local people by workers 3.8 Spread of STIs and HIV and AIDS, due to migrant workers 3.9 Increased incidence of communicable diseases 3.10 Health hazards to workers and communities 3.11 Changes in human settlement patterns 3.12 Conflicts over use of natural resources e.g. water, land, etc 3.13 Conflicts on land ownership 3.14 Disruption of important pathways, roads 3.15 Increased population influx 3.16 Loss of cultural identity 3.17 Loss of income generating Capacity 4.0 Consultation (comments from Beneficiaries) 1/ NOTE: Sub-projects affecting cultural property negatively will either have to be redesigned to avoid any damages, or, they will have to be abandoned. 6 MASAF IV Environmental & Social Management Framework. Government of Republic of Malawi Local Development Fund – Technical Support Team (TST) Malawi Social Action Fund Table 2: Summary of Overall Environmental, Social and Resettlement Screening Form Guidelines: Example of Site inspection of a sub project. The evaluation results to be a consensus of at least three officials. Project Name: Rehabilitation of Mphomwa Irrigation District: Kasungu Scheme Project Location: Mphomwa Village, T/A Chulu Nature/Size: 5 hectares Name & Signature of Evaluator: Date of Field Evaluation: 20/5/2013 Appraisal Significance Potential Mitigation Measures Yes/No Low, medium, high 1.0 Environmental Screening (OP 4:01) Will the project generate the following impacts 1.1 Loss of trees 1.2 Soil erosion/siltation in the area 1.3 Pollution to land-diesel ,oils 1.4 Dust emissions 1.5 Solid and liquid wastes 1.6 Borrow pits and pools of stagnant water 1.7 Rubble/heaps of excavated soils 1.8 Invasive tree species 1.9 Long term depletion of water 1.10 Soil contamination/salinization 1.11 Reduced flow of water 1.12 Nuisance from noise or smell 1.13 Loss of soil fertility 1.14 Incidence of flooding 2.0 Screening on Pesticides Mgmt Plan (OP4:09) 2.1 Increased agricultural chemicals, pesticides 2.2 Is there a Pesticide Mgmnt Plan for irrigation scheme 2.3 Are farmers trained in pesticide management on the scheme? 3.0 Screening on Forest Mgmnt Plan (OP 4.36) 3.1 Removal of native trees 3.1 Is there a forest management plan for the woodlot? 3.2 Are farmers trained in management of woodlot? 7 MASAF IV Environmental & Social Management Framework. Overall Evaluation of Screening Exercises The results of the screening process would be either the proposed sub - projects would be exempted or subjected to further environmental and resettlement assessments. The basis of these options is listed in the table below: Review of Environmental Screening Tick Review of Resettlement Screening Tick (OP 4.01, OP 4.09, OP 4.36) (OP 4.12) 1. The project is cleared. No serious impacts. 1. The project is cleared. No serious social impact. (When all scores are “No” in form) (Where scores are all “No”, “few” in form) 2.There is need for further assessment. (when 2. There is need for resettlement/compensation. some score are “Yes, High” in form) (When some score are “Yes, High” in form Endorsement by Environmental District Officer Endorsement by Director of Planning and Development Name Name: Signature: Date Signature: Date: NOTES: 1. The DPD shall ensure that a completed form is filed within project file immediately after endorsement. EDO may keep a duplicate. 2. Project Management Committee will maintain a copy of completed form 3. It is the duty of Director of Planning and Development and Environmental District Officer to ensure mitigation measures outlined in form are implemented. 4. An EDO shall prepare a monthly monitoring report on implementation of mitigation measures. 8 MASAF IV Environmental & Social Management Framework. TYPICAL MITIGATING MEASURES The following mitigation measures may be required to help avoid or reduce the potential adverse impacts. These measures may sometimes be necessary in addition to the measures built into the project design in the PIM and Planning Guidelines Potential Impacts Mitigation Measure Roads and Footpaths Soil erosion/flooding Drainage control measures to be included within construction plans concerns Number of stream Minimize water crossings in road location and alignment crossing/disturbances Wet season excavation Schedule construction for the dry season Quarry sites/borrow pits Re-contour and rehabilitate sites/pits and avoid collection of standing created water Vegetation removal Minimize temporary or permanent removal of natural vegetation Wildlife habitats or Identify and avoid effects on habitats and migration routes of key populations disturbed species Environmentally sensitive Identify and avoid forest, riparian and wetland habitats with particular areas disturbed biodiversity Land Acquisition Avoid occupied land. Prepare procedures to ensure equitable resolution. Private assets displaced Avoid occupied land. Prepare procedures to ensure equitable resolution. Informal land uses displaced Avoid interference with informal land users, and take measures to or access restricted provide access to alternative lands or resources Cultural or religious sites Identify and avoid cultural or religious sites. If disturbance unavoidable, disturbed agreement on mitigating measures must first be reached with stake holders (eg Community, mosque, church). If excavation encounters archaeological artifacts, halt construction and notify relevant authorities. New settlement pressures Ensure road development is coordinated with local land use plans and created discuss with the Community Other (specify): 9 MASAF IV Environmental & Social Management Framework. Irrigation Projects Existing water sources Assess water supply and existing demands, and manage supply/yield depletion sustainability Existing water users disrupted Identify and avoid negative impacts on existing water users in the system design Downstream water users Identify and avoid effects of diversion or extraction on downstream disrupted users in the system design Water storage requirement and Test the soil percolation and ensure and impermeable layer in the viability (soil permeability) structure design Vulnerability to water logging Assess soil characteristics and either avoid or provide drainage for (poor drainage) areas prone to waterlogging Vulnerability to soil and water Irrigation expert to assess the potential for high salinity and ensure salinization appropriate irrigation practices to minimize impacts Sensitive downstream habitats Identify and avoid effects of diversion or extraction on downstream and bodies of water ecosystems that depend on the surface or groundwater supply Environmentally sensitive areas Identify and avoid forest, riparian and wetland habitats with disturbed particular biodiversity. Cultural or religious sites Identify and avoid cultural or religious sites. If disturbance disturbed unavoidable, agreement on mitigating measures must first be reached with stakeholders (e.g. Community, mosque, church). If excavation encounters archaeological artifacts, halt construction and notify relevant authorities. Increased agricultural chemicals Develop an integrated pest management strategy and provide (pesticides, etc) loading training to farmers Land Acquisition Avoid occupied land. Prepare procedures to ensure equitable resolution. Private assets displaced Avoid occupied land. Prepare procedures to ensure equitable resolution. Informal land uses displaced or Avoid interference with informal land users, and take measures to access restricted provide access to alternative lands or resources Increased social tensions/conflict Establish a water users committee through the Community and over water allocation equitable rules for water allocation Local incapacity/inexperience to Establish an operations and maintenance manual, authority and manage facilities provide training to persons responsible for operating the system Local incapacity/inexperience Provide training to farmers on sustainable irrigated agriculture with irrigated agriculture Other (specify): 10 MASAF IV Environmental & Social Management Framework. Catchment, Forestry, Grasslands Projects New access (road) construction Ensure drainage controls on new roads and rehabilitate temporary access following subproject implementation Wet season soil disturbance Schedule activities for the dry season Potential for debris flows or Prepare a watershed plan that identifies and address drainage/slope landslides instability Sensitive downstream ecosystems Identify and avoid effects of diversion or dams on downstream ecosystems Removal of native plant/tree Protect and encourage regeneration of endemic species species Introduced plant/tree species Ensure non-native species are compatible with native species invasion of native species Wildlife habitats or populations Identify and avoid effects on habitats and migration routes of key disturbed species Environmentally sensitive areas Identify and avoid activity in forest, riparian and wetland habitats disturbed with particular biodiversity Land Acquisition Avoid occupied land. Prepare procedures to ensure equitable resolution. Private assets displaced Avoid occupied land. Prepare procedures to ensure equitable resolution. Informal land uses displaced or Avoid interference with informal land users, and take measures to access restricted provide access to alternative lands or resources Insufficient capacity to manage Establish a water users committee, where appropriate, and/or catchment ponds Community bylaws and provide training to water users Insufficient capacity to prohibit or Establish a watershed committee, where appropriate, and/or control open grazing Community bylaws and provide alternative sources of fodder Insufficient capacity to manage Establish a local committee, where appropriate, and/or Community new plantations/pastures bylaws and provide appropriate controls Other (specify): Drinking Water Projects New access (road) construction Ensure drainage controls on new roads and rehabilitate temporary access following subproject implementation Existing water sources Assess water supply and existing demands, and manage supply/yield depletion sustainability Existing water users disrupted Identify and avoid negative impacts on existing water users in the system design Downstream water users Identify and avoid effects of diversion or extraction on downstream disrupted users in the system design Increased numbers of water users Assess water supply and existing demands, and manage due to improvements sustainability Increased social tensions/conflict Establish a water users committee through the Community and over water allocation equitable rules for water allocation Sensitive ecosystems downstream Identify and avoid effects of diversion or dams on downstream disrupted ecosystems Land Acquisition Avoid occupied land. Prepare procedures to ensure equitable resolution. Private assets displaced Avoid occupied land. Prepare procedures to ensure equitable resolution. Informal land uses displaced or Avoid interference with informal land users, and take measures to access restricted provide access to alternative lands or resources Local incapacity/inexperience to Establish a local committee, where appropriate, and/or Community manage facilities bylaws and provide appropriate controls Other (specify): 11 MASAF IV Environmental & Social Management Framework. School and Health Projects Alteration of existing drainage Drainage control measures to be included within construction plans conditions Vegetation removal Minimize temporary or permanent removal of natural vegetation Wet season soil disturbance Schedule construction for the dry season Construction materials impact on Avoid taking construction materials in an unmanaged manner adjacent forests/lands Quarries and borrow pits created Re-contour and rehabilitate sites/pits and avoid collection of standing water Water supply development effects Identify and avoid negative impacts on existing water users in the in available supply system design Sanitation development effects on Ensure the necessary facilities and capacity for upgraded facilities, existing disposal fields consistent with health department design standards Medical waste increase effects on Prepare a waste management plan for major facility upgrades; existing disposal system ensure sufficient facilities and capacity for medical waste Land Acquisition Avoid occupied land. Prepare procedures to ensure equitable resolution. Private assets displaced Avoid occupied land. Prepare procedures to ensure equitable resolution. Cultural or religious sites Identify and avoid cultural or religious sites. If disturbance disturbed unavoidable, agreement on mitigating measures must first be reached with stake\holders concerned (e.g. Community, mosque, church). If excavation encounters archaeological artifacts, halt construction and notify relevant authorities. Informal land uses displaced or Avoid interference with informal land users, and take measures to access restricted provide access to alternative lands or resources In-migration/settlement induced Control unplanned settlement near the facilities by facilities development Local incapacity/inexperience to Establish/strengthen local committees, where appropriate, through manage facilities the COMMUNITY and provide appropriate procedures and training to maintain the facilities Other (specify): 12 MASAF IV Environmental & Social Management Framework. E. Summary of the Outcome of Public Consultations during the Screening Process F. OVERALL EVALUATION OF THE SCREENING PROCESS ON THE SITE AND PROJECT ACTIVITY Consistent with the requirements of OP 4.01 Environmental Assessment, the proposed sub-project has been assigned: Notes Environmental category A This sub-project will either have to be redesigned or abandoned, because the Social Action Fund Project is a category B project. Therefore, category A sub- projects cannot be funded by MASAF i. This sub-project will require the Environmental category B implementation of simple mitigation measures prior to implementation ii. This sub-project will require a separate EIA study prior to implementation Environmental category C This sub-project will not require any additional environmental work, and implementation can proceed immediately. Completion by Environmental District Officer This sub-project will require a separate EIA study This sub-project will require a separate Resettlement Action Plan List A/B paragraph numbers Date forwarded to DEA Head Office Name & Signature of EDO This sub-project will not require a separate EIA study; the implementation of simple mitigation measures has been approved by the District Environmental Officer 13 MASAF IV Environmental & Social Management Framework. Completion by the Director of Environmental Affairs Date received from District Assembly Date reviewed Date of submission of project brief Date of submission of EIA report Date of Approval/Rejection NOTES: * Once the Environmental and Social Screening Form is completed, it is analyzed by experts from the District Environmental Sub-Committee who will classify it into the appropriate environmental category based on the requirements of OP 4.01 Environmental Assessment * All projects' proponents exempted from further environmental work must be informed to proceed with other necessary procedures as appropriate * All projects recommended for further environmental impact assessment will have to follow procedures outlined in sections 24 and 25 of the Environmental Management Act, and the Malawi Government's Guidelines for Environmental Impact Assessment appendix C, page 32. This activity may have to be outsourced by the responsible local authority in consultation with MASAF Management. 14 MASAF IV Environmental & Social Management Framework. Annex 2: Summary of the World Bank’s Safeguard Policies 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 can Assessment sustainable, and that decision-making is improved be used: EIA, environmental audit, through appropriate analysis of actions and of their hazard or risk assessment and likely environmental impacts. This policy is environmental and social triggered if a project is likely to have potential management plan (ESMP).When a (adverse) environmental risks and impacts on its project is likely to have sectoral or area of influence. OP 4.01 covers impacts on the regional impacts, sectoral or regional natural environment (air, water and land); human EA is required. The Borrower is health and safety; physical cultural resources; and responsible for carrying out the EA. transboundary and global environment concerns. MASAF IV will rely on the updated ESMF from its parent project to adequately guide the way forward. It will thus apply the proposed Environmental and Social Screening Process to future sub-projects. OP/BP 4.04 This policy recognizes that the conservation of This policy is triggered by any project Natural natural habitats is essential to safeguard their (including any sub-project under a Habitats unique biodiversity and to maintain environmental sector investment or financial services and products for human society and for intermediary) with the potential to long-term sustainable development. The Bank cause significant conversion (loss) or therefore supports the protection, management, and degradation of natural habitats, restoration of natural habitats in its project whether directly (through financing, as well as policy dialogue and economic construction) or indirectly (through and sector work. The Bank supports, and expects human activities induced by the borrowers to apply, a precautionary approach to project). natural resource management to ensure opportunities for environmentally sustainable MASAF will not fund any sub- development. Natural habitats are land and water projects that will have negative areas where most of the original native plant and effects on natural habitats. 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. OP/BP 4.36 The objective of this policy is to assist borrowers to This policy is triggered whenever any Forests harness the potential of forests to reduce poverty in Bank-financed investment project (i) a sustainable manner, integrate forests effectively has the potential to have impacts on into sustainable economic development and protect the health and quality of forests or the the vital local and global environmental services rights and welfare of people and their and values of forests. Where forest restoration and level of dependence upon or plantation development are necessary to meet these interaction with forests; or (ii) aims to objectives, the Bank assists borrowers with forest bring about changes in the restoration activities that maintain or enhance management, protection or utilization biodiversity and ecosystem functionality. The Bank of natural forests or plantations. assists borrowers with the establishment of environmentally appropriate, socially beneficial MASAF will not fund any sub- and economically viable forest plantations to help projects that will have negative meet growing demands for forest goods and effects on forests or the welfare of services. the people depending on these forests. 15 MASAF IV Environmental & Social Management Framework. OP 4.09 Pest The objective of this policy is to (i) promote the The policy is triggered if : (i) Management use of biological or environmental control and procurement of pesticides or pesticide reduce reliance on synthetic chemical pesticides; application equipment is envisaged and (ii) strengthen the capacity of the country’s (either directly through the project, or regulatory framework and institutions to promote indirectly through on-lending, co- and support safe, effective and environmentally financing, or government counterpart sound pest management. More specifically, the funding); (ii) the project may affect policy aims to (a) Ascertain that pest management pest management in a way that harm activities in Bank-financed operations are based on could be done, even though the integrated approaches and seek to reduce reliance project is not envisaged to procure on synthetic chemical pesticides (Integrated Pest pesticides. This includes projects that Management (IPM) in agricultural projects and may (i) lead to substantially increased Integrated Vector Management (IVM) in public pesticide use and subsequent increase health projects. (b) Ensure that health and in health and environmental risk; (ii) environmental hazards associated with pest maintain or expand present pest management, especially the use of pesticides are management practices that are minimized and can be properly managed by the unsustainable, not based on an IPM user. (c) As necessary, support policy reform and approach, and/or pose significant institutional capacity development to (i) enhance health or environmental risks. implementation of IPM-based pest management and (ii) regulate and monitor the distribution and LAs will rely on guidelines for use of pesticides. implementation of pesticides management under sub-projects as coordinated by the Director of Crops, Ministry of Agriculture, or, the Crops Officer at the District level. OP/BP 4.11 The objective of this policy is to assist countries to This policy applies to all projects Physical avoid or mitigate adverse impacts of development requiring a Category A or B Cultural projects on physical cultural resources. For Environmental Assessment under OP Resources purposes of this policy, “physical cultural 4.01, project located in, or in the resources” are defined as movable or immovable vicinity of, recognized cultural objects, sites, structures, groups of structures, heritage sites, and projects designed natural features and landscapes that have to support the management or archaeological, paleontological, historical, conservation of physical cultural architectural, religious, aesthetic, or other cultural resources. significance. Physical cultural resources may be located in urban or rural settings, and may be MASAF will not fund any sub- above ground, underground, or underwater. The projects that will have negative cultural interest may be at the local, provincial or effects on physical cultural national level, or within the international resources. Chance Find community. Procedures have been including in the ESMF to adequately mitigate any unexpected encounter. OP/BP 4.10 The objective of this policy is to (i) ensure that the The policy is triggered when the Indigenous development process fosters full respect for the project affects the indigenous peoples Peoples dignity, human rights, and cultural uniqueness of (with characteristics described in OP indigenous peoples; (ii) ensure that adverse effects 4.10 para 4) in the project area. during the development process are avoided, or if not feasible, ensure that these are minimized, The Policy does not apply in Malawi mitigated or compensated; and (iii) ensure that as per the WB definition of indigenous peoples receive culturally appropriate Indigenous Peoples. and gender and inter-generationally inclusive social 16 MASAF IV Environmental & Social Management Framework. and economic benefits. OP/BP 4.12 The objective of this policy is to (i) avoid or This policy covers not only physical Involuntary minimize involuntary resettlement where feasible, relocation, but any loss of land or Resettlement exploring all viable alternative project designs; (ii) other assets resulting in: (i) relocation assist displaced persons in improving their former or loss of shelter; (ii) loss of assets or living standards, income earning capacity, and access to assets; (iii) loss of income production levels, or at least in restoring them; (iii) sources or means of livelihood, encourage community participation in planning and whether or not the affected people implementing resettlement; and (iv) provide must move to another location. assistance to affected people regardless of the This policy also applies to the legality of land tenure. involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. MASAF has prepared a Resettlement Policy Framework (RPF) updated from the parent project RPF to guide sub-project implementers in the mitigation of potential adverse social impacts due to land acquisition. OP/BP 4.37 The objectives of this policy are as follows: For This policy is triggered when the Safety of Dams new dams, to ensure that experienced and Bank finances: (i) a project involving competent professionals design and supervise construction of a large dam (15 m or construction; the borrower adopts and implements higher) or a high hazard dam; and (ii) dam safety measures for the dam and associated a project which is dependent on an works. For existing dams, to ensure that any dam existing dam. For small dams, generic that can influence the performance of the project is dam safety measures designed by identified, a dam safety assessment is carried out, qualified engineers are usually and necessary additional dam safety measures and adequate. remedial work are implemented. MASAF will not fund any sub- projects involving the construction of dams. In the event that check dams are needed, LAs will rely on the FAO Dam Safety Guidelines, and if need be, alss carry out a dam safety assessment. OP 7.50 Projects The objective of this policy is to ensure that Bank- This policy is triggered if (a) any in International financed projects affecting international waterways river, canal, lake or similar body of Waters would not affect: (i) relations between the Bank water that forms a boundary between, and its borrowers and between states (whether or any river or body of surface water members of the Bank or not); and (ii) the efficient that flows through two or more states, utilization and protection of international whether Bank members or not; (b) waterways. any tributary or other body of surface water that is a component of any 17 MASAF IV Environmental & Social Management Framework. The policy applies to the following types of waterway described under (a); and (c) projects: (a) Hydroelectric, irrigation, flood any bay, gulf strait, or channel control, navigation, drainage, water and sewerage, bounded by two or more states, or if industrial and similar projects that involve the use within one state recognized as a or potential pollution of international waterways; necessary channel of communication and (b) Detailed design and engineering studies of between the open sea and other states, projects under (a) above, include those carried out and any river flowing into such by the Bank as executing agency or in any other waters. capacity. LAs will only fund water small sub- projects through the provisions of the Second National Water Sector Development Project. MASAF will not develop any new water resources, as all the project intervention area are located within Malawi and on in- country water basin. 18 MASAF IV Environmental & Social Management Framework. OP 7.60 Projects The objective of this policy is to ensure that This policy is triggered if the in Disputed projects in disputed areas are dealt with at the proposed project will be in a Areas earliest possible stage: (a) so as not to affect “disputed area”. Questions to be relations between the Bank and its member answered include: Is the borrower countries; (b) so as not to affect relations between involved in any disputes over an area the borrower and neighboring countries; and (c) so with any of its neighbors. Is the as not to prejudice the position of either the Bank project situated in a disputed area? or the countries concerned. Could any component financed or likely to be financed as part of the project be situated in a disputed area? MASAF will not implement any sub- projects in disputed areas. 19 MASAF IV Environmental & Social Management Framework. Annex 3: Environmental and Social Management Plan – Indicative Summary MASAF Potential Proposed Mitigation Responsible For Responsible for Time Cost Funded Sub- adverse Measures Implement. The monitoring the Horizon Estimates Project environmental/s Mitigation implement. Of (US$) Activities ocial impacts Measures Mitigation Measures Public Works Increased soil  Proper route Communities CDA Ongoing 9,000 Cash Transfers erosion identification for Local DESC for labour roads Assemblies intensive sub-  Tree/grass projects planting  Limit earth movement and unnecessary soil exposure  Skills training  Public consultations  Disseminate accrued benefit messages Community Increased soil  Use of efficient Communities CDA Ongoing 6,000 Infrastructure erosion kilns Local Forestry Projects Creation of  Use cement Authorities Assistants For improved borrow pits blocks service Tree felling for  Enforce local delivery brick curing rules governing Sand mining environmental and social safeguards  Skills training and public awareness  Public consultations  Filling of borrow pits  Use of Environmental Contractors Guidelines for Contractors Capacity Limited  Capacity DESC MoF Sep to 9,000 building for understanding of building for AECs DEA Dec 2008 environmental Social Screening AECs and social Processes  Capacity awareness building for VDCs DESC Ongoing Part of LA VDCs (at admin launch) costs  IEC material Ongoing 10,000 20 MASAF IV Environmental & Social Management Framework. Annex 4: General Environmental and Social Checklist List The Environmental and Social Checklist below serves as a sample checklist which will be adapted to the particular type and circumstance of the subproject as well as the relevant local level (Village, District, Municipal) at which the sub-project is planned. The checklist will be completed by a member of the Planning Team who has received environmental training. Table 1: General Environmental and Social Checklist for Construction Subprojects Stage Potential Negative Tick if Mitigation Measure Tick if Responsible Environmental and relevant relevant Person Social Impacts Before construction 1.0 Loss of livelihoods, Prepare Resettlement impact on assets, land Action Plan as per OP acquisition 4.12 – see RPF 2.0 Landslides and soil Terracing; excavation to erosion on sloppy level; control of water hillsides flows 3.0 Destruction of Construction contracts to vegetation during include provisions for excavation; may cause limiting vegetative loss of fauna removal, and for re- vegetation of the construction area after completion of works 4.0 Soil erosion, Construction contracts deposition of fine will require re- debris (sand, silts, vegetation as soon as clays) in downstream possible; contractors to water courses during be limited regarding construction, activities that can be particularly in the carried out in the rainy rainy season season; contractors will be required to treat excavated areas below flood water levels as required under the design contract (use of stone gabions and mattresses, before the start of each rainy season 5.0 Traffic disruption Best engineering practices to be employed to ensure traffic disruptions are kept to a minimum 6.0 Noise disturbance Not likely to be a 21 MASAF IV Environmental & Social Management Framework. problem 7.0 Dust impacts In extreme cases, particularly near clinics, moisten the construction area to minimize dust 8.0 Pit formation from Use sand from existing sand mine borrow pits; fill back pits During construction 1.0 Noise Use of ear protectors 2.0 Cement/dust pollution Dust control by water or other means After construction 1.0 Soil and water Contractors to clear pollution due to construction site of remainder of temporary infrastructures construction wastes, and restore vegetation of tools, equipment, and the site temporary infrastructure This form has been signed by: _______________________________ Chairperson of the VDC / CDC: _____________________________ Chairperson of the Environment Sub-Committee: ________________ Member of the Environment Committee: _______________________ Date:………………………………………………..………………….. 22 MASAF IV Environmental & Social Management Framework. Table 2: Environmental Checklist for Water Supply Sub-Projects S/No. Potential Tick if Possible Mitigation Measures Tick if Responsible Negative relevant relevant Person Environmental Impact 1.0 Hand dug wells, protected springs 1.2 Spillage of Select well site where water drains water and away from well; do not construct creation of well in a depression or on low- stagnant pools lying, poorly drained site; construct of water at well drainage ditches to divert run-off head which will water around well site; construct be a breeding concrete pad around the base of the ground for well head (see modular design) vectors of water- borne diseases 1.3 Contamination Install hand pump on the well and of well water by do not allow users to draw water users by lowering containers into the well; ensure well head is properly sealed 1.4 Contamination Do not construct latrines within a of well water by minimum of 30 m of the hand dug seepage from pit well, 60 m is preferable latrines 23 MASAF IV Environmental & Social Management Framework. Table 3: Environmental Checklist for Sanitation Sub-Projects S/No. Potential Negative Tick if Possible Mitigation Tick if Responsible Environmental and Social relevant Measures relevant Person Impacts 1.0 Septic tanks 1.1 Soil and water pollution due Ensure regular emptying; to seepage from tanks conduct hygiene education campaign to raise awareness of the health risks of exposed sewage; establish and support affordable pump out services 2.0 Storm water drainage 2.1 Construction impacts Refer to Table 1 2.2 Possible land acquisition Refer to RPF 3.0 Public toilets 3.1 Contamination of water Ensure latrines are supply sources located at least 30 m from hand dug wells and springs, and 60 m from boreholes 3.2 Latrines overflowing and Conduct hygiene creating health risks through education campaign to people and animals coming raise awareness of the in contact with human health risks of exposed wastes human waste and promote the support and use of municipal or private sector cleaning services 3.3 Flies and rodents carrying Block pathways for flies, diseases from the latrines i.e. by putting a screen over the vent and installing lid on the hole; ensure latrines are constructed with a suitable superstructure to prevent entry of rodents into vault 3.4 Open defecation Conduct hygiene education campaign to raise awareness of the health risks of open defecation, and promote the use of latrines 3.5 Flying toilets Conduct hygiene education campaign to raise awareness of health risks of indiscriminate dumping of flying toilets and promote the use of latrines. As an interim 24 MASAF IV Environmental & Social Management Framework. S/No. Potential Negative Tick if Possible Mitigation Tick if Responsible Environmental and Social relevant Measures relevant Person Impacts measure, provide facilities for people to dispose of flying toilets 25 MASAF IV Environmental & Social Management Framework. Table 4: Environmental Checklist for Roads Sub-Projects S/No. Potential Negative Tick if Possible Mitigation Tick if Responsible Environmental and Relevant Measures Relevant Person Social Impacts 1.0 Footpaths 1.0 Loss of livelihoods, Prepare Resettlement impact on assets, land Action Plan as per OP 4.12 acquistion – see RPF 1.1 Footpath blocking Install culverts or bridges drainage for runoff across natural and water manmade drainage channels and keep cleared of debris 2.0 Earth roads 2.1 Erosion of lands Plant grass along the edge downhill from road of the road; construct bed or in borrow areas during dry season 2.2 Create dust to nearby Dust control by water or houses during other means construction 2.3 Possible land Refer to RPF acquisition, loss of livelihoods 2.4 Creation of stagnant Rehabilitation of borrow pools of water in left pits sites borrow pits 3.0 Bridges and culverts 3.1 Flooding and erosion Ensure that openings are caused by adequately sized to overflowing and accommodate flows and blockage of openings organize regular clean out of openings 26 MASAF IV Environmental & Social Management Framework. Annex 5: Generic ESIA Terms of Reference The following will be the guideline for EIA for use by LAs 1. Provide a full description of the nature of the project with respect to the name of the proponent, the postal and physical address, the spatial location of the potential site for the project, the estimated cost of the project, and size of land for the project site, including water reticulation, waste disposal and access roads. 2. Provide a site-specific map of the area (Scale 1:50,000) showing the proposed project site and existing establishments in the area and surrounding areas. A site plan for the project should also be provided. 3. Examine the existing conditions of the proposed site identifying and analyzing: * Geological and soil conditions of the area; * The scope of vegetative resources of the area; * Existing land uses within the area and within adjacent villages; * Ecologically important or sensitive habitats and resources e.g. water resources, biodiversity elements; and * Suitability of the site for the proposed development. 4. Describe the major activities to be undertaken for the construction and operation of infrastructure services. This should include the size and type of infrastructure, the type of equipment to be used, the method and duration of construction, nature and quantity of wastes to be generated, the facilities for appropriate disposal and management of waste, number of people to be employed. 5. State the reasons for selecting the proposed site, the consequences of not undertaking the project at the proposed site and any alternative sites considered. 6. Predict the major short and long-term environmental impacts of the project. Examine both the positive and negative impacts as well as impacts on the biophysical, social, economic and cultural components of the environment. The potential impacts must include those related to: * Project location (e.g. resettlement of people, loss of assets, loss of forest land, loss of agricultural land, impact on flora and fauna); * Construction works (e.g. soil erosion, disposal of construction spoils, drainage and access roads) * Project operation (e.g. solid waste disposal, sewage disposal). 7. Prescribe measures to eliminate, reduce or mitigate the negative effects identified and the measures to enhance the positive effects in 6. 8. Propose an Environmental and Social Management Plan (ESMP) in tabular form by which all of the mitigation/enhancement measures prescribed will be carried out, specifying who will be responsible for implementing these measures and the schedule for implementation, cost of implementing the measures and the source of funding. An environmental monitoring plan should also be prepared including the indicators to be used for monitoring the impacts and responsible persons and institutions that will conduct the monitoring. 27 MASAF IV Environmental & Social Management Framework. 9. Undertake public consultations to ensure that all interested and affected parties are involved in the EIA process and incorporate their views into the EIA. Evidence of consultation should be provided in the report. 10. Provide an account of all statutory and regulatory licenses and approvals obtained for the project to ensure that they are in line with sound environmental management practices and are in compliance with all relevant existing legislation. Reference should be made, but not limited to the Environment Management Act and other relevant and other relevant legislation. 28 MASAF IV Environmental & Social Management Framework. Annex 6: Environmental and Social Guidelines for Contractors These Environmental Guidelines for Contractors are prepared for all the contractors to be engaged for MASAF construction activities. The guidelines include provisions for proper management of construction sites, safe storage of construction materials and safe disposal of wastes including PCB's and asbestos wastes, where applicable. General Considerations * The contractor shall, in all his activities ensure maximum protection of the environment and the socio-economic wellbeing of the people affected by the project, whether within or outside the physical boundaries of the project area. * Before any construction works begin, the contractor shall ensure that the relevant environmental and land acquisition certificates of authorization for the works have been obtained from the Director of Environmental Affairs and/or the Commissioner for Lands * In general, the contractor shall familiarize himself with the Environmental and Social Screening Process and the Resettlement Policy Framework (RPF) for this project. Specifically, the contractor shall make every effort to follow and implement the recommendations and mitigation measures of the ESMP and the RAPs or ARAPs, to the satisfaction of MASAF and the EAD and Ministry of Land, or any such persons or agencies appointed by MASAF or the EAD or Ministry of Land to inspect the environmental and social components of MASAF funded sub-projects. * The contractor shall work in cooperation and in coordination with the Project Management Team and/or any other authority appointed to perform or to ensure that the social and environmental work is performed according to the provisions of the Environmental and Social Screening Process, RPF, RAPS, ARAPs and ESMP for MASAF funded sub-projects. * The contractor shall always keep on site and make available to Environmental Inspectors or any authorized persons, copies of the ESMPs, RAPs and ARAPs for the monitoring and evaluation of environmental and social impacts and the level or progress of their mitigation. Acquisition of Construction Materials The contractor shall ensure that construction materials such as sand, quarry stone, soils or any other construction materials are acquired from approved suppliers and that the production of these materials by the suppliers or the contractor does not violate the environmental regulations or procedures as determined by the EAD. Collection of sand by communities will be guided by LA Bye Laws. Movement and Transportation of Construction Materials The movement and transportation of construction materials to and within the construction sites shall be done in a manner that generates minimum impacts on the environment and on the community, as required by the ESMPs and the RAPs or ARAPs. Storage of Construction Materials and Equipment Construction materials shall be stored in a manner to ensure that: * There is no obstruction of service roads, passages, driveways and footpaths; * Where it is unavoidable to obstruct any of the service paths, the contractor shall provide temporary or alternate by-passes without inconveniencing the flow of traffic or pedestrians; 29 MASAF IV Environmental & Social Management Framework. * There is no obstruction of drainage channels and natural water courses; * There is no contamination of surface water, ground water or the ground; * There is no access by public or unauthorized persons, to materials and equipment storage areas; * There is no access by staff, without appropriate protective clothing, to materials and equipment storage areas; * Access by public or unauthorized persons, to hazardous, corrosive or poisonous substances including asbestos lagging, sludge, chemicals, solvents, oils or their receptacles such as boxes, drums, sacks and bags is prohibited; * Access by staff, without the appropriate protective clothing, to hazardous, corrosive or poisonous substances including asbestos lagging, sludge, chemicals, solvents, oils or their receptacles such as boxes, drums, sacks and bags is prohibited. Safe Disposal of Construction Waste Construction waste includes but is not limited to combustion products, dust, metals, rubble, timber, water, wastewater and oil. Hence construction waste constitutes solid, liquid and gaseous waste and smoke. In performing his activities, the contractor shall use the best practical means for preventing emissions of noxious or offensive substances into the air, land and water. He shall make every effort to render any such emissions (if unavoidable) inoffensive and harmless to people and the environment. The means to be used for making the emissions harmless or for preventing the emissions shall be in accordance to the RAPs, ARAPs or the ESMPs and with the approval of the relevant Local Authority or the Environmental Affairs Department. The contractor shall, in particular, comply with the regulations for disposal of construction/demolition wastes, waste water, combustion products, dust, metals, rubble and timber. Wastewater treatment and discharge will conform to the applicable regulations by the relevant Local Authority and Ministry of Irrigation and Water Development. Asbestos wastes, PCBs and other hazardous wastes shall be treated and disposed of in conformity with the national regulations and where applicable, with the supervision of qualified personnel. Health and Safety of Workers The contractor shall protect the health and safety of workers by providing the necessary and approved protective clothing and by instituting procedures and practices that protect the workers from dangerous operations. The contractor shall be guided by and shall adhere to the relevant national Labor Regulations for the protection of workers. HIV/AIDS Training The DESC arrange for HIV/AIDS training courses for the construction crews to ensure their understanding of the relevant issues. This will be a costed element within BOQs for a construction project. Appropriate signs on HIV/AIDS will be erected at each construction site. 30 MASAF IV Environmental & Social Management Framework. Annex 7: Guidelines for preparation of Community Participatory Forest Management Plans 1.0 Introduction Better forest management has a key role to play in dealing with issues of climate change, conservation, protection, sustainable management and utilization of both natural and artificial forests. The National Forestry Policy recognizes among others the importance of creating an enabling environment for participation of all stakeholders in the management of forest resources. It therefore calls for the promotion of increased forest productivity, community based forest management, forest extension and advisory services, industrial forest plantation development, private forestry, forest reserves and protected hill slopes management, biodiversity conservation, forest education and training, forestry research, urban forestry, Small and Medium Scale Forest Based Industries (SMEs), eco-tourism development, gender and equity, inter-sectoral coordination, Regional and International Cooperation (RICO), climate change management and HIV and AIDS. It also provides guidance on forest regulation and quality control. In order to sustainably manage forest resources at community level, guidelines for forest management plans have been prepared as reference manual for preparation of Community Participatory Forest Management Plans in the districts. Since the inception of Malawi Social Action Fund in 1995, the fund has supported community afforestation activities that have contributed to increased number of hectares of trees across the country. The intention and practice, is for communities to protect the indigenous tree species by planting mostly fast growing tree species for fuel wood and construction of houses in order to decrease pressure of deforestation and degradation of primary forests. The guidelines contain basic steps towards sustainable management and utilization of these forests for the benefits of the communities. Benefits from forests/woodlots Forests and woodlands provide social, economic and environmental benefits globally and nationally. They support livelihoods through the provision of shelter (house construction, and furniture), energy (fuel wood), shade, medicinal plants and food. Forest and trees also contribute to rural incomes through collection and sale of various forest products including non timber forest products (NTFPs). Forests contribute to the economy of the country through timber exports and the provision of jobs in forestry. They are also important in the provision of ecosystem services such as nutrient cycling, soil formation, water catchment protection, biodiversity conservation, soil erosion control. Forests also contribute to mitigation of climate change by absorbing and storing carbon dioxide. 2.0 Main Steps in Preparation of a Community Participatory Forest Management Plan The steps are as follows: a) Form a Village Natural Resource Management Committee (VNRMC) b) Ask the Village Head to demarcate an area into a Village Forest Area (VFA) or bring all unallocated non-developed land under forest management c) Conduct participatory resource assessment d) Prepare a participatory forest management plan 31 MASAF IV Environmental & Social Management Framework. e) The Community should decide on rules governing the designated area f) The committee in consultation with communities should control harvesting of wood and non-wood products. 3.0 Outline of a simple Community Participatory Forest Management Plan. The management plan should include the following:  Site information – VNRMC/Extension Planning Area (EPA)  Site assessment – Assessing the site condition and regeneration status, site problems  Plan of site in current condition  Technical management such as regeneration, new woodlot, enrichment planting  Stakeholder analysis – who currently uses this site  Community forest needs – from Focus Group Discussion  Site plan (shows location of species to be planted/spacing)  Forest management activities  Monitoring and Evaluation Plan. 4.0 Formation of Village Natural Resource Management Committees The Forest Policy and Act provides for formation and training of these committees for community forests/woodlots. 4.1 Functions of Village Natural Resource Committee  To provide a link between Forestry Department and the communities  To act as a change agent for forestry development in a village or a set of villages  To provide a structure for forestry administration at village level  To coordinate planning, implementation and monitoring of forest conservation activities. 4.2 How to form a Village Natural Resource Management Committee After identification of the working area, the extension worker should do the following: a) Visit the Village Headman  Explain that you are in the village for forestry development opportunities in the area.  Explain the need to have VNRMCs. Get the support of the village headman before going to the second stage. b) Ask the village headman to call for a meeting on a convenient day c) Conduct a meeting and elect the committee  The village headman should conduct the meeting  The Village Headman should introduce the extension worker to the community  The extension worker should then explain the aim of the visit as told to the village headman  Proceed to lead the election of the VNRMCs if there is none in the village.  Strengthen if there is one already 32 MASAF IV Environmental & Social Management Framework.  The composition of the Committee should be Chairperson and Vice Chairperson; Secretary and Vice Secretary; Treasurer and 4 committee members. Village headman is the advisor. 5.0 Formulation of a village constitution The constitution should appear as an annex to the community forest management plan. 5.1 Local Structure These will include the following:  Managing Committee: comprising the office bearers such as the chairperson, secretary, treasurer  General body: members who are actively engaged or interested in forestry activities  The wider community: local people living in the area whose interests are represented by the VNRMC, who have the right to participate and take part in the elections of office bearers. 5.2 Responsibilities of a committee  Mobilization of communities to work on woodlot sites  Mobilization of resources for activities  Supervision of day to day activities on woodlots or forest area  Supervision of maintenance, utilization and harvesting of woodlots  Liaising with Village Natural Resources Management Committee. 5.3 Outline of a Basic Constitution The constitution should include the following sections:  Eligibility- who can join  Composition of the Committee: e.g. Chairperson, Secretary, Treasurer, Committee Members etc.  Elections: free and fair with proper consultation with traditional leaders  Tenure and term of office  Quorum for meetings  Frequency of meetings  Rules and regulations: By laws, penalties and sanctions  Powers of the committee  Dissolution of the committee  Disqualification of office bearers and members  Accounts/financial management- receipts and payment procedures  Record keeping- Minutes of meetings  Benefit sharing- (consider gender and equity issues). 6.0 Guidelines for Preparation of Bye-Laws of a Community Woodlot/Forests  Bye laws should be prepared by the Village Natural Resources Management Committee and moderated by extension worker 33 MASAF IV Environmental & Social Management Framework.  Bye laws should to be signed by the Minister responsible for Forestry  The communities should be encouraged to have simple written rules which could be followed while waiting to have comprehensive ones to be signed by the minister. 6.1 Generic Sections of By-Laws  Section i: Introduction- gives the forest situation, concerns, the purpose  Section ii: Administration- responsibility of the Village Headman, VNRMCs  Section iii: Management of the forest resources- plans to be put in place, roles and responsibilities of each one in planting/ protecting trees, resource use etc.  Section iv: Offences- what constitutes an offence  Section v: Offences and fines- offences and penalties  Section vi: Handling offences. 7.0 Community Forest Management Options Forest development activities may involve establishment of a new woodlot or conservation of indigenous woodlands. Indigenous woodlands/shrubs should be left to grow through natural regeneration, enrichment planting and/or through new tree planting depending on stocking. 8.0 Guidelines for Tree Planting in Woodlots  Clear land  Mark for pitting  Espacement is dependent upon the use of trees planted. Trees planted for poles and firewood are usually closely spaced compared to timber trees  Dig pits  Fill pits after the first rains  Plant strong and healthy seedlings.  Plant early with first rains to enable good tree establishment. 9.0 Guidelines for Woodlot Management  Regular weeding of the woodlot (about 2 to 3 times a season) till good canopy is achieved  Pruning of trees within woodlots intended for timber or poles. Woodlots intended for firewood do not require pruning. Blue gum trees are self pruning. 10.0Guidelines for Protection of Woodlots/Forests from Livestock, Pests and Diseases Woodlots/forests can be damaged by livestock, pests and diseases within one season or the other. Fungal diseases are common in some forests and kill trees. Common pests for trees are beetles, caterpillars, grasshoppers and aphids. Some cost effective measures to be included in forest management plan are as follows:  Fence woodlots (use sisal or hedge trees) to protect from livestock  Thin or burn affected trees as mitigation measure for diseases  Apply approved pesticides to protect woodlots/forests from pests. 11.0Fire Risks and Community Fire Management Plan 34 MASAF IV Environmental & Social Management Framework. Fire outbreaks damages seedlings, shrubs, shoots, trees and grass leading to significant losses to woodlots/forests. The steps to include a community fire management plan include sensitization, stakeholder analysis, fire suppression measures, and fire reduction measures among others. 11.1 Sensitization of Community and Traditional Leaders on Fire Risks to Woodlots Risks may include the following:  Loss of fire sensitive species and habitats  Soil erosion  Reduced productivity; less poles, firewood and timber  Loss of potential revenue  Wasted efforts and resources spent on planting tree. 11.2 Conduct a Stakeholder Analysis - Users and Beneficiaries  Determine different user groups such as grazers, fuelwood, honey, medicinal plant, mice , poles and timber collectors; and charcoal producers  From the above determine with the community which groups have an interest in fire protection and which groups would be negatively affected. Discuss how each of the groups could be brought together with a common interest for collective action. 11.3 Fire Protection Strategy The fire protection strategy should indicate priority areas for protection such as areas with medicinal plants, fire sensitive species, newly planted areas, enrichment planting, and areas of fire sensitive natural regeneration i.e. high risk areas. Basic fire protection measures are:  Firebreaks – both internal and boundary should be planned  Areas for prescribed early burning identified as appropriate. 11.4 Fire Suppression Strategy Include what would be the pre-planned procedures along with roles and responsibilities within the community should a wild fire start which threatens their forest area.  Community fire detection system: How the community (individuals, groups) responds to fire detection to promote prompt reaction and therefore protection  Procedures in response to a fire alert. These would involve emergency calls, use of green braches of trees to suppress fire, use of bucket of water etc. 11.5 Fire Education Strategy  Committee develops a plan and sensitizes groups within the community on the impact of fire and the need to protect the forest from fire  Groups which represent a higher risk should be targeted for education, e.g. honey collectors, charcoal producers, mice collectors, school children etc. 35 MASAF IV Environmental & Social Management Framework.  Further sensitization can be conducted through village meetings, posters prepared by the VNRMC on flip chart sheets at the appropriate high fire risk time of the year. 12.0 Guidelines on Harvesting of Community Woodlots/Forests (a) Harvesting of the trees within the woodlots/forest has to be based on a majority decision of the community membership including women (b) Communities should harvest trees in such a manner that there is continuity of the woodlots/forests on the site. The type of harvesting should be done depending on the intended purposes (firewood, timber or poles). (c) Trees should be cut at about 15 centimetres above the ground. This will enable easy transportation of wood from the woodlot, and also facilitate better development of coppice shoots (d) Methods of harvesting trees from a woodlot include the following:  Clear felling (for complete coppice) This is when a whole section of the forest is cut to promote new growth. This method can be used for short rotation products, such as for the production of domestic firewood. Do not do this in steep slopes, along river banks or on water catchment.  Felling with standards (Coppice with Standards) This method leaves few trees selectively to be retained as ‘standards’ while the rest are coppiced.  Selective Thinning This method involves the removal of undesirable trees such as the dead, dying, diseased and crooked. Remove some trees to reduce over-crowding. The cut trees can be used for small poles or firewood. This helps to have a forest of the desired tree product. 36 MASAF IV Environmental & Social Management Framework. Annex 8: Summary of Comments from Stakeholders at Disclosure and during Public Consultations The preparation of this ESMF has followed an extensive consultation process with various stakeholders at community, local authority and National levels. The communities consulted during the MASAF IV project preparation stage include: Mchinji, Karonga, Rumphi, Dedza, Salima, Nkhota Kota, Kasungu and Mangochi districts. Field visits were made to communities to obtain feedback regarding their experience implementing the ESMF previously. Preparation also included consultation with members of a watershed management project in Kabwazi Extension Planning Area in the area of Traditional Authority (T/A) Chilikumwendo in Dedza. Experiences and expectations with regard to resettlement issues were shared. Consultations were also done with both communities and districts during environmental and social safeguards training for District Environmental Subcommittee (DESC) members (from 7 districts) in Mzuzu from 2-7 September, 2013. DESC members provided useful suggestions and inputs into the ESMF and RPF, including:  The need for front line staff (extension workers) to undergo training on environmental and social safeguards prior to project implementation. Front line staff training will help with project monitoring and reporting which was noted to be lacking in the implementation of environmental and social safeguards.  Some people are involuntarily displaced during the implementation of projects, which require small pieces of land for them to be resettled on without being compensated by cash.  Funds for environmental and social safeguards implementation should be set aside for each subproject, rather than lumped together with the whole subproject budget because environmental and social issues are not prioritized in the subprojects and get little or no money for implementation of the safeguards.  Some of the participants had not seen any of the EA instruments for their projects and were not aware of the categorization of their impacts  The need for annual refresher courses to improve the skills of safeguards implementers both at district and community level in order to address the skills gaps and improve implementation and compliance of safeguard measures. A selected number of Environmental District Officers (EDOs) from Mzuzu city, Mzimba district, Salima, Dowa, Lilongwe, Mchinji, Zomba, Blantyre, Blantyre City, and Mulanje were invited to a workshop to review the draft RPF and ESMF after the update had been completed. This was to ensure that all the suggestions that had been received during stakeholder consultation were taken on board and that the proposed measures and implementation arrangements were practical and implementable. In addition to these officers, the draft updated RPF and ESMF was discussed with officials from the Ministry of Environment and Climate Change, the Department of Forestry, Ministry of Agriculture and Food Security and the Ministry of Lands and Housing. These officers reviewed the documents in relation to the applicable national laws, policies and regulation. All comments have been incorporated into the updated ESMF and RPF documents. The subprojects to be funded under MASAF IV are not yet known. As such further public consultations and participation will be undertaken during subproject screening. Moreover, since this is not a one-stop process, but rather an interactive one, consultation will be done throughout project 37 MASAF IV Environmental & Social Management Framework. implementation, involving all key stakeholders, particularly women, the poor and most vulnerable groups of the beneficiary communities. 38 MASAF IV Environmental & Social Management Framework.