Environmental and Social
Management Framework
Local Governance and Service Delivery Project
Republic of South Sudan
DRAFT
Dege Consult
December 2012
List of Content
1 Executive Summary 1
1.1 Introduction 1
1.2 Objective and Scope of Work 1
1.3 Rationale for Preparing the ESMF 2
1.4 Policy and Legal Framework 2
1.5 ESMF Implementation 3
1.6 Capacity Building for ESMF implementation 3
1.7 Environmental and Social Impacts 3
2 LGSD and its components 6
3 Purpose and methodology 10
3.1 Purpose 10
3.2 Methodology 10
4 Socio-economic and environmental context 11
4.1 Socio-economic and cultural setting 12
4.2 Environment and natural resource setting 13
5 Regulatory and Administrative framework 16
5.1 Transitional Constitution 16
5.2 Land Act 16
5.3 Draft Environment Policy 17
5.4 South Sudan Development Plan 17
5.5 Existing institutional setup 18
6 Applicable World Bank Safeguard Policies 19
6.1 OP 4.01 Environmental Assessment 22
6.2 OP 4.10 Indigenous Peoples 22
6.3 Chance find of physical cultural resources 23
7 Potential impacts and mitigating measures 23
8 Capacity development 32
8.1 Safeguards staff 32
8.2 Training 32
8.3 Technical assistance 37
8.4 Operational support 37
9 Subproject management procedures 37
9.1 Subproject preparation and application 37
9.2 Screening, appraisal and approval of subprojects 38
9.3 Disclosure of subproject information 38
10 Environmental Management Plan (EMP) 38
11 Chance find of physical cultural resources 41
12 ESMF Monitoring, reviews and evaluation 42
12.1 Monitoring 42
12.2 Reviews 42
12.3 End-of-project evaluation 42
13 ESMF implementation Budget 43
14 Public consultation,disclosure and grievances 43
14.1 Public consultation 43
14.2 Disclosure 43
14.3 Feedback and Grievance mechanism 44
Annex A - Literature 45
Annex B - List of people consulted 46
Annex C - Checklist for screening of subprojects 47
Annex D - List of subproject that are not eligible for funding 50
Annex E - Procedures for chance find of physical cultural resources 51
Annex F - Form for appraisal of subproject 53
Annex G - Form for field appraisal 56
Annex H Format for Documenting Voluntary Land Donation by Individual for Subprojects 58
Annex I - Template safeguards procedures for contracts 59
Annex J - ESMF reporting form 62
Annex K - Guidelines for annual reviews 63
Annex L: Template for Environmental Management Plan (EMP) 65
Abbreviations
Abbreviation / ExplanationBDC / Boma Development Committee
CBO / Community Based Organization
CDC / Community Development Committee
CDD / Community-Driven Development
CDG / County Development Grants
EIA / Environmental Impact Assessment
EMP / Environmental Management Plan
ESMF / Environmental and Social Management Framework
FP / Facilitating Partner
FTI / Fast Track Initiative
GRSS / Government of the Republic of South Sudan
IDP / Internally Displaced Person
LGB / Local Government Board
LGSD / Local Governance and Service Delivery Project
MoCYS / Ministry of Culture, Youth and Sports
M&E / Monitoring and Evaluation
MoE / Ministry of Environment
MoFEP / Ministry of Finance and Economic Planning
MoGCSW / Ministry of Gender, Child and Social Welfare
NGO / Non-Governmental Organization
OP / Operational Policy
PCSO / Project Coordination and Support Office
PDC / Payam Development Committee
PDG / Payam Development Grants
PMU / Project Management Unit
RoSS / Republic of South Sudan
SSDP / South Sudan Development Plan
TA / Technical Assistance
UNDP / United Nations Development Programme
UNICEF / United Nations Children's Fund
USD / United States Dollar
WB / World Bank
24
ESMF - LGSDP South Sudan1 Executive Summary
1.1 Introduction
In order to support the Government of the Republic of South Sudan's (GRSS) efforts to deliver services to the population, the World Bank (WB) and bilateral donors are supporting the development of the Local Government Service Delivery Project (LGSD). LGSD aims at supporting improvements in local governance and deliver services to communities through strengthening of community engagement and local government capacities in planning, implementation and oversight of local development activities.
The project development objective of the LGSD is to improve local governance and service delivery in participating counties in South Sudan. LGSD will support a simple process for planning, implementation and oversight of small-scale public infrastructure subprojects corresponding to community priorities, through four inter-related components.
a. Component 1: Block Grants to Counties for Payam Development. The objective of this component is to incentivize citizen engagement and county capacity development by providing grants (rule-based resources) through the intergovernmental fiscal transfer system to finance community-driven public infrastructure investments.
b. Component 2: Community Engagement. The objective of this component is to facilitate and strengthen the engagement of communities in the planning, implementation and oversight of local development activities, with a particular focus on vulnerable social groups (including women, elderly, youth, disabled, displaced, returned, minority ethnic groups etc.) and their access to social and economic infrastructure.
c. Component 3: Institutional Strengthening. The objective of this component is to increase the capacity of county governments to fulfill the roles and functions required to effectively implement the local development investment cycle.
d. Component 4: Project Management Support. This component will support the management of the project, including technical, financial, procurement, social and environment safeguards, monitoring and evaluation; spot checks and Annual Performance Audits of county grant management and individual subprojects as well as annual Project Financial Audits; implementation of a grant monitoring system, project monitoring framework and system as well as project evaluations; and implementation of a grievance mechanism related to all project supported activities.
These components operate in an integrated and complementary manner to strengthen elements of the annual local public investment management cycle of counties, which progresses from participatory identification of and allocation of resources to subprojects, sub-project implementation, reporting and oversight mechanisms. The efficacy of this cycle is dependent on relationships between three main stakeholders—the county governments, communities and higher tiers of government.
1.2 Objective and Scope of Work
The objective of this assignment is to assist the Ministry of Finance and Economic Planning (MoFEP) and the Local Government Board (LGB) in assessing the potential impacts of LGSD with respect to the applicable World Bank safeguards policies and to draft an ESMF with the following objectives:
· To identify the potential positive and negative social and environmental impacts of project supported subprojects;
· To identify measures for mitigating adverse social and environmental impacts and measures to enhance positive impacts;
· To establish clear procedures and methodologies for the environmental and social screening, planning, review, approval and implementation of subprojects to be financed under LGSD;
· To specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to subprojects;
· To determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF;
· To establish the project funding required to implement the ESMF; and
· To provide practical resources for implementing the ESMF.
The ESMF was developed based on an extensive literature review, as well as discussions and interviews with key resource persons working for GRSS ministries and donors. Discussions were also held with the civil society representatives and more consultations with community representatives are scheduled and will inform finalization of the ESMF.
1.3 Rationale for Preparing the ESMF
It is anticipated that the proposed subproject activities under LGSD will generate potential environmental and social impacts, and measures need to be put in place in order to mitigate the negative impacts and enhance the positive impacts. This involved the review of the relevant environmental and social policies of RoSS namely the draft Environment Policy and draft Environmental Bill, the Land Act 2009 and the relevant World Bank Safeguards Policies including the environmental and social management requirements outlined in the Environmental Assessment policy (OP.4.01). LGSD activities will generate small, reversible and localized impacts, and since the specific activities and exact locations are not known, the indicative list of subprojects was used to identify the likely positive and negative environmental and social impacts. The ESMF, as a safeguard instrument, has been prepared to identify, analyze and mitigate any potential impacts of the project.
1.4 Policy and Legal Framework
Only a limited number of RoSS policies and legislations have been developed since independence. The main ones of relevance to environmental and social safeguard measures are the Transitional Constitution, the 2009 Land Act, the National Development Plan, the draft Environmental Policy and draft Environmental Bill.
OP 4.01 World Bank (WB) Operational Policy on Environmental Assessment and Operational Policy 4.10 on indigenous people are triggered by the LGSD. Several subprojects to be financed under Component 1 will have positive environmental and social impacts. Others could potentially result in adverse impacts on the environment. However, given the anticipated small scale of the subprojects, the negative environmental impacts are likely to be localized, temporary, and easily mitigated through sensible construction management techniques, and diligent management practices. This ESMF therefore helps the project comply with the OP 4.01 World Bank. OP 4.11 on Physical Cultural Resources is not triggered. Any project activity that would affect physical cultural resources (graves, sites of religious/spiritual significance, known or unknown sites of cultural significance, etc.) will be excluded from the project.
OP 4.10 on Indigenous Peoples is triggered. Analysis by Bank and other experts confirms that the majority or all people in the project area meet the requirements of the policy. As Indigenous Peoples are the sole or the overwhelming majority of direct project beneficiaries in South Sudan and the elements of an Indigenous Peoples Plan (IPP) have been incorporated into the overall project design. OP 4.12 on Involuntary Resettlement is not triggered as no land acquisition will be required for subproject implementation. Any subproject requiring land acquisition will be excluded. The ESMF provides a format for recording voluntary community donations of land for subprojects.
1.5 ESMF Implementation
The capacity for implementation of the environmental and social management measures as laid out in the Laws and Policies is very limited across the five administrative units, namely - National, State, County, Payam and Boma. The existing capacity of the implementing institutions - MoFEP, LGB, state Ministries of Local Government and Ministries of Finance, and participating counties- to implement the ESMF and other environmental and social safeguard instruments is very limited. However, checklists for screening; formats for preparation, appraisal and approval of LGSD subprojects along with a format for Environmental Management Plan (EMP) as well as procedures for public disclosure and addressing grievances are included in the ESMF.
1.6 Capacity Building for ESMF implementation
The project has provided for capacity building and technical support to MoFEP, LGB, PMU, FPs, state ministries of Local Government and Ministries of Finance, and county level institutions in environmental and social safeguards management including implementing and monitoring to increase their effectiveness. A senior safeguards specialist and safeguards officer at the national PMU will oversee safeguards implementation in LGSD; liaise with National and State Environmental Ministries on a regular basis; ensure compliance with ESMF and other safeguard instruments; build capacity and troubleshoot for the state and county level focal points; prepare and implement EMP and other instruments as required; and raise awareness and build capacity of various stakeholders at the state, county and payam levels. Earmarked budget of USD 86,000 will support capacity development of these focal points..
1.7 Environmental and Social Impacts
Based on the indicative list of subprojects, consultations and professional judgment, the following are the indicative list of positive and negative social and environmental impacts.
The identified key positive environmental and social impacts include:
· Increased employment opportunities (laborers, guards etc. during construction)
· Increased employment opportunities (guards and small-scale craftsmen: plumbers, carpenters etc. during use and maintenance)
· Increased income (improved market access, increased agricultural production)
· Improved access to basic social services (e.g. education, health care, water, etc)
· Improved health
· Improved aesthetics due to more environmentally friendly construction.
· Improved capacity of state and county focal points due to on-the-job training in environmental and social assessment.
· Improved capacity of MoE to handle chance find of physical cultural resources.
The ESMF has also identified the following key potential negative environmental and social impacts during construction and use and maintenance of subproject facilities:
· Loss of vegetation cover causing erosion of soil and siltation of streams
· Dumping of construction debris
· Use of limited or sensitively located local construction materials such as aggregate and wood
· Dust and noise pollution due to movement of equipment, digging
· Pollution of surface and ground water due to oil and fuel spills and exposure of ground water table
· Chance find of physical cultural resources
· Health hazards due to inadequate cleaning and maintenance of latrines
· Stagnant water causing health hazards
· Health hazards caused by inadequate storage and disposal of medical and other wastes
· Pollution of soil and water resources due to inappropriate collection and disposal of refuse and waste
· Change of water flow causing water shortage, change of water course, etc. downstream
· Safety concerns due to speeding vehicles
· Lowering of water table
Mitigation measures identified for key adverse environmental and social impacts of the subprojects that relate to construction and/or rehabilitation of physical structures are presented below.
Subproject / Potential negative impact / Mitigating measures /Environmental impacts / · Loss of vegetation cover causing erosion of soil and siltation of streams / · Cutting of vegetation to be kept at a minimum, replanting around construction
· Application of appropriate erosion-protection measures, in particular when working on slopes
· Works adjacent to a water resource require temporary barriers on slopes to prevent silt from entering the water resource
· Dumping of construction debris / · Disposal of construction debris should occur at waste dumps
· Use of limited or sensitively located local construction materials such as aggregate and wood / · Ensure aggregate is only obtained from locations with no risk of river bank collapse, landslides, loss of flora and fauna, etc.
· Minimize the use of wood for construction
· Dust pollution due to movement of equipment, digging / · Prevention of excessive dust emissions including cement dust by careful handling and working under moist conditions as much as possible
· Noise pollution due to use of equipment / · Use of noisy equipment should be concentrated during day-light hours
· Pollution of ground water due to oil and fuel spills and exposure of ground water table / · All solid waste, fuels or oils should be collected
· Ensure the presence of oils spill containment at the construction site
· The bottom of the pit is at least 1.5 m above the water table
· Latrines should be located at least 30 m from any water source
· Occupational health and safety due to hazards from handling of equipment / · The contractor should protect workers by ensuring the use of protective equipment
· Chance find of physical cultural resources / · Follow procedures in chapter 11 for chance find of physical cultural resources
· Stemming of water flow during construction of bridges causing water shortage, change of water course, etc. downstream / · Leave some channels to allow for continued flow downstream.
· Design bridge to ensure minimum changes in water flow
Social Impacts / · Health hazards due to inadequate cleaning and maintenance of latrines / · Maintenance plans for school latrines must be developed
· Health hazard due to stagnant water at water points acting as breeding ground for malaria carrying mosquitoes and other vector-borne diseases / · All water facilities must have proper drainage
· Health hazards caused by inadequate storage and disposal of medical and other wastes / · Provide collection and disposal system for medical or others wastes, e.g. incinerators or transfer to special dump sites
· Safety hazards due to collapsing latrine pits / · Latrine design standards must be adhered to
· Safety concerns due to speeding vehicles / · Provide speed control bumps where road is close to community to avoid accidents and dust and noise pollution
· Interference with culturally sensitive sites, graveyards, spiritual sites / · Avoid siting haffirs/boreholes or other water supply structures or any infrastructure even if it involves changing the dimensions and sizes
2 LGSD and its components
LGSD aims to support improvements in local governance and service delivery by strengthening community engagement and local government capacities in the planning, implementation and oversight of local development activities. The project responds to the unique imperatives in South Sudan—the need to deliver early benefits to communities in the context of weak government capacity while at the same time strengthening government institutions and legitimacy—by combining features of traditional local government and community-driven development operations.