9. guidelines for environmental and social
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E4085v12 REPUBLIC OF MOZAMBIQUE MINISTRY OF AGRICULTURE INSTITUTO NACIONAL DE INVESTIGAÇÃO AGRONÓMICA DE MOÇAMBIQUE (IIAM) AGRICULTURAL PRODUCTIVITY PROGRAM FOR SOUTHERN AFRICA (APPSA) Environmental and Social Management Framework (ESMF) 3 January 2013 TABLE OF CONTENTS EXECUTIVE SUMMARY ........................................................................................... viii 1. INTRODUCTION......................................................................................................... 1 2. PROJECT DESCRIPTION ......................................................................................... 2 2.1. Project Development Objectives and Principles .................................................... 2 2.2. Project Components ............................................................................................... 3 2.3. Anticipated sub-Project types under APPSA ......................................................... 9 3. PROJECT IMPLEMENTATION ARRANGEMENTS ......................................... 10 4. BASELINE INFORMATION ON PROJECT TARGETED AREAS ................... 15 4.1. Agro-ecological Zone 1 (R1) ............................................................................... 17 4.2. Agro-ecological zone 3 (R3) ................................................................................ 18 4.3. Agro-ecological zone 4 (R4) ................................................................................ 18 4.4. Agro-ecological Zone 5 (R5) ............................................................................... 19 4.5. Agro-ecological Zone 7 (R7) ............................................................................... 19 5. WORLD BANK SAFEGUARD POLICIES ............................................................ 20 6. LEGAL AND INSTITUTIONAL FRAMEWORK FOR ENVIRONMENTAL AND SOCIAL MANAGEMENT IN MOZAMBIQUE ............................................... 24 6.1. Legal Framework ................................................................................................. 24 6.2. Institutional Framework ....................................................................................... 31 7. POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS AND MITIGATION MEASURES ......................................................................................... 36 7.1. Potential adverse environmental impacts............................................................. 37 7.2. Potential adverse socio-economic impacts .......................................................... 44 7.3. Potential positive impacts .................................................................................... 46 8. GUIDELINES FOR SUB-PROJECT PREPARATION, APPRAISAL, APPROVAL AND MONITORING .............................................................................. 49 8.1. Project identification and preparation .................................................................. 50 8.2. Appraisal and Approval of sub-projects application ........................................... 52 8.3. Disclosure of sub-projects information ................................................................ 54 8.4. Annual Monitoring Reports and review .............................................................. 54 8.5. Environmental and Social Audit .......................................................................... 55 8.6. Summary of preparation, appraisal, approval and implementation procedures ... 55 9. GUIDELINES FOR ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN AND MONITORING REQUIREMENTS........................................................ 58 9.1. Environmental and Social Management .............................................................. 58 9.2. Pest Management ................................................................................................. 59 9.3. Involuntary resettlement ...................................................................................... 60 10. TRAINING AND CAPACITY BUILDING REQUIREMENTS ......................... 60 10.1. Institutional Capacity Assessment ..................................................................... 60 10.2. Proposed Training and Awareness Programs .................................................... 60 10.3. Technical Assistance (TA) ................................................................................. 65 11. ESMF MONITORING REQUIREMENTS ........................................................... 66 12. PROPOSED IMPLEMENTATION BUDGET...................................................... 66 ii LIST OF TABLES Table 1. Potential Sub-projects to be financed by APPSA ............................................... 10 Table 2. Safeguard policies triggered by the proposed project ......................................... 20 Table 3. Ministries with environmental and Social-related responsibilities in APPSA ... 32 Table 4. Summary of the negative and positive impacts of indicative sub-projects......... 48 Table 5. Criteria for Requiring a Field Appraisal ............................................................. 53 Table 6. Government agencies to be involved on a case by case ..................................... 57 Table 7. Training and sensitization requirements ............................................................. 62 Table 8. Proposed specific training packages and timing ................................................. 63 Table 9. Estimated implementation budget for APPSA ................................................... 67 LIST OF FIGURES Figure 1: Proposed organization and structure for APPSA in Mozambique .................... 12 Figure 2: Proposed organization and management system for the RCoL. ....................... 15 Figure 3: Location of APPSA targeted areas .................................................................... 16 Figure 4. Flow of activities to be carried out for the ESIA process in Mozambique ....... 29 Figure 5. Proposed sub-projects identification, submission, evaluation and monitoring . 56 LIST OF ANNEXES ANNEX I: ToR FOR AN SESIA OF MEDIUM-SCALE IRRIGATION SCHEMES ANNEX II: CHECKLIST FOR ENVIRONMENTAL AND SOCIAL SCREENING ANNEX III: RESOURCES SHEET ANNEX III.1. SMALL DAMS AND RESERVOIRS ANNEX III.2: SMALL IRRIGATION SCHEMES ANNEX III.3. RURAL ROADS ANNEX III.4. FOOD PROCESSING ANNEX III.5. STRUCTURES AND BUILDINGS ANNEX III.6. ELECTRIC ENERGY ANNEX IV: ENVIRONMENTAL AND SOCIAL FIELD APPRAISAL FORM ANNEX V: GUIDELINES FOR ANNUAL REPORT ANNEX VI: GUIDELINES FOR ANNUAL REVIEWS ANNEX VII: GUIDELINES FOR AN ESMP ANNEX VIII: LIST OF VISITED SITES, CONSULTED STAKEHOLDERS AND KEY OBSERVATIONS iii ABBREVIATIONS AND ACRONYMS ANE National Roads Administration Administração Nacional de Estradas APPSA Agriculture Productivity Program for Southern Africa ARA Regional Water Admnistration BOD Biochemical Oxygen Demand CAADP Comprehensive Africa Agriculture Development Programme CBD Convention on Biological Diversity CCARDESA Centre for Coordination of Agricultural Research and Development for Southern Africa CEPAGRI Agriculture Promotion Center CGIAR Consultative Group on International Agricultural Research CNDS National Commission for Sustainable Development COD Chemical Oxygen Demand DARN Directorate of Agronomy and Natural Resources Direcção Nacional de Agronomia e Recurso Naturais DEP Department of Roads and Bridges Departamento de Estradas e Pontes DER Department of Rural Extension Departamento de Extensão Rural DNA National Directorate of Water Direcção Nacional de Águas DNAIA National Directorate of Environmental Impact Assessment Direcção Nacional de Avaliação de Impacto Ambiental DNS National Directorate of Health Direcção Nacional de Saúde DNSA National Directorate of Agrarian Services Direcção Nacional de Serviços Agrários DNTF National Directorate of Land and Forestry Direcção Nacional de Terras e Florestas DPCA Provincial Directorate for Coordination of Environmental Action Direcção Provincial de Coordenação Ambiental DPOPH Provincial Directorate of Public Works and Housing Direcção Provincial de Obras Públicas e Habitação Administração Regional de Águas Centro de Promoção de Agricultura Conselho Nacional de Desenvolvimento Sustentável iv EA Environmental Assessment ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan FAAP Framework for African Agricultural Productivity FAEF Faculty of Agronomy and Forestry FAO United Nations Food and Agricultural Organization GMO Genetically Modified Organisms GIS Geographic Information System GoM Government of Mozambique IDA International Development Agency IIAM National Agrarian Research Institute IFDC International Finance and Development Corporation IFPRI International Food Policy Research Institute IPM Integrated Pest Management IRRI International Rice Research Institute IWMI International Water Management Institute MINAG Ministry of Agriculture Ministério da Agricultura MCT Ministry of Science and Technology Ministério da Ciência e Tecnologia MISAU Ministry of Health Ministério da Saúde MOPH Ministry of Public Works and Housing Ministério das Obras Públicas e Habitação msl Meters above sea level v Faculdade de Agronomia e Engenharia Florestal Instituto de Investigação Agrária de Moçambique NAPA National Action Plan to Adapt to Climate Change NGOs Non-Governmental Organization OP/BP Operational Policy/Bank Policy PEDSA Strategic Plan for the Agricultural Development PMP Pest Management Plan PNGA National Environnemental Management Program PQR Resettlement Policy Framework Política Quadro de Reassentamento QGSA Environmental and Social Management Framework Quadro de Gestão Sócio-Ambiental RAP Resettlement Action Plan RCdL Regional Centers of Leadership RCoLs Regional Centers of Leadership R&D Research and Development RU Registration Unit SADC Southern African Development Community SAR Sodium Absorption Rate SDPI District Services of Patrimony and Infrastructures SESIA Simplified Environmental and Social Impact Assessment SPA Provincial Services of Agriculture Serviços Provinciais de Agricultura SPER Provincial Services of Rural Extension Serviços Provinciais de Extensão Rural TA Technical Assistance TBD to be determined TDS Total Dissolved Solids ToR Terms of Reference UASMA Social Affairs and Environmental Unit Unidade de assuntos ambientais e sociais UEM Eduardo Mondlane University Universidade Eduardo Mondlane vi Centro Regional de Excelência Serviços Provinciais de Património e Infraestruturas UNCCD UN Convention on Combating Desertification UNFCCC United Nations Framework Convention on Climate Change WHO World Health Organization vii EXECUTIVE SUMMARY Introduction The Government of Mozambique has requested World Bank financing for the Agriculture Productivity Program in Southern Africa (APPSA). The Project Development Objective of APPSA is to improve the availability of agricultural technologies within and across SADC countries and will be implemented in Malawi, Mozambique and Zambia. APPSA will pursue this objective by: (i) establishing Regional Centers of Leadership (RCoLs) on commodities of regional importance, thereby allowing regional specialization around priority farming systems and more strategic investment in agricultural research capacity; (ii) supporting regional collaboration in agricultural training and dissemination; and (iii) facilitating increased sharing of agricultural information, knowledge and technology across boundaries of participating countries. Overall responsibility for APPSA will lie with the National Agrarian Research Institute (IIAM) of the Ministry of Agriculture (MINAG) which will have responsibility of implementing, coordinating and managing activities in the different areas of research and development. The project will be implemented over a six-year period as part of which an Regional Centre of Leadership (RCoL) will be established around Quelimane in Zambézia Province, and technology generation and dissemination activities will be implemented in the RCoL and other Satellite research stations of Umbelúzi, Chóckwe, Nampula and Sussundenga. On-farm trials will also be carried out in areas adjacent to the research station, though these are currently not selected. The activities supported under APPSA are expected to have both positive and adverse social and environmental impacts thus triggering World Bank’s safeguard policies. This Environmental and Social Management Framework (ESMF) outlines the process and procedures to be followed for mitigating the adverse social and environmental impacts of activities financed under APPSA. In accordance with the World Bank Policy (OP 4.01 Environmental Management) and the Mozambican legislation (Decree 45/2004) the project is a Category B and thus this ESMF has been prepared. The objectives of the ESMF are to: Establish clear procedures and methodologies for the environmental and social assessment, review, approval and implementation of investments to be financed under APPSA; Specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to project investments; 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 requirements; and Provide practical information resources for implementing the ESMF. viii Project description APPSA support to Mozambique will be through an International Development Agency (IDA) credit of USD 30million with a national counterpart contribution of USD 2.2million. APPSA in Mozambique includes three components: (1) Technology Generation and Dissemination; (2) Strengthening Regional Centers of Leadership; and (3) Coordination and Facilitation. Component 1: Technology Generation and Dissemination. Component 1 will finance technology generation and dissemination activities associated with the commodity or commodity group1 being targeted by RCoLs, through collaborative regional R&D projects. Component 2: Strengthening Regional Centers of Leadership. This component will support core national capacity building activities taking place within the RCoLs and will be driven primarily by the specific needs of each RCoL. Investments in Mozambique will support capacity strengthening, primarily within the Instituto de Investigação Agrária de Moçambique (IIAM), but also in the Ministry of Agriculture (MINAG), the Faculty of Agronomy (UEM) and the Ministry of Science and Technology (MCT). To strengthen the capacity of the rice program, IIAM proposes to establish a new research facility around Quelimane in the Zambezia province of central Mozambique. Component 3: Coordination and Facilitation. This component will finance three main types of activities: (i) research coordination at the national level (to be done by coordination units or teams established in the various implementing agencies); (ii) research facilitation at the regional level by CCARDESA (for example, planning and implementation of regional research and training activities, as well as dissemination of information among the participating countries); and (iii) policy analysis and dialogue to assess what policies are needed to facilitate technology generation and dissemination activities within the region. Components 1 and 2 raise the principal safeguards issues associated with the project, and thus the ESMF focuses specifically on these components. Under component 1 seven research priorities are defined: Genetic diversity of Rice; Rice improvement; Agronomy, Water and Production Systems Management; Agricultural Mechanization; Post Harvest Technologies; Socio economic studies, market search and impact evaluation; Innovation and technology development. Under Component 2, several infrastructures will be renovated, rehabilitated or built. Under APPSA, the types of sub-projects that may be financed include: Increased area of rice production, Construction of small Agro-processing facilities, Construction and/or rehabilitation of small irrigation schemes, Rehabilitation of access roads, Use of agriculture machinery, Testing of different technologies (land preparation, water and soil 1 Research may target the commodity itself, or the larger farming system within which that commodity is produced. ix conservation, pest control, etc), Construction and/or rehabilitation of infrastructures such as laboratories, agro-processing facilities, seed storage, etc. Baseline information on project targeted areas Targeted areas are located in 5 agro-ecological regions of the country, namely: R1 (Boane- Maputo), R3 (Chockwe-Gaza), R4 (Sussundenga-Manica), R5 (Namacurra and Nicoadala-Zambezia) and R7 (Nampula-Nampula). World Bank Safeguard Policies World Bank OP 4.01 (Environmental Assessment), OP 4.09 (Pest Management) OP 4.12 (Involuntary Resettlement) and possibly OP 4.04 (Natural Habitats), are triggered by the proposed Project. The ESMF provides practical tools for preparing and/or implementing Environmental and Social Management Plans (ESMPs), Pest Management Plans (PMPs) and Resettlement Action Plans (RAPs). Preparation of the latter is described in a separate document, the Resettlement Policy Framework (RPF). Legal and Institutional Framework for Environmental Management in Mozambique Relevant legislations in Mozambique that are pertinent for APPSA include the following: The National Environment Management Program National Action Plan to Adapt to Climate Change (NAPA) The Environmental Law ESIA Regulation Environmental Quality Standards and Effluents Emissions Regulation Pesticide Regulations Land Policy Land Law Water Policy Biosafety Regulation The ESIA regulation (Decree 45/2004) defines three categories of projects: Category A (full ESIA required), Category B (Simplified ESIA is required) and Category C (exempt from an ESIA). These are broadly in agreement with World Bank categories. Pesticides Regulations were passed in September 2002 and regulate the use of pesticides in Mozambique. These should be closely adhered to for any subproject that contemplates pest management. Potential environmental and social impacts and mitigation measures While the actual project sites and subprojects to be supported are not known, the potential impacts presented in the ESMF are based on field visits and consultations undertaken and serve as a guideline for a thorough assessment once the sites and subprojects have been selected. The proposed project is a Category B project as all identified potential impacts for the sub-projects are site-specific; few if any of them are irreversible; and in all cases mitigation measures can be readily designed. However, the consultant recommends that APPSA avoid sensitive areas and observe the 350 ha threshold of Mozambican EIA x Regulation (Decree 45/2004) for irrigation sites to ensure that sub-projects stay within category B (for details refer to Chapter 6). Although some negative impacts are expected from this project, there are also significant positive impacts that would counteract the negative ones. The positive impacts include: improved income of the participating farmers, improved food security at household level, improved rice crop agronomic practices and technologies, and improved rice varieties that are adapted to different climatic conditions. Potential adverse impacts include: hydrologic: changes to the low flow regime, altering the hydrologic flux, sedimentation of rivers and streams lowering the water table, waterlogging, increased pollutant concentrations, Agrochemical pollution, Anaerobic effects (methane emission from large rice paddies and euthrophication of water bodies from over-supply of nutrients). edaphic: soil salinity, erosion, compaction increased in intensity of human activity in areas surrounding the scheme, altered river morphology, damage to channel structures due to erosion and sedimentation. biological: Caused by changes of land and water uses. Effects on rare and endangered species and aquatic habitats should be considered. socio-economic: conflicts related to land rights/uses, increased population densities; reduced income due to several factors; Human migration to the development area, effects on human health, effects on cultural property, issues related to involuntary resettlement and gender related effects. Mitigation measures to address the adverse impacts and enhance positive impacts have been identified in the ESMF. Sub-project Preparation, Appraisal, Approval and Monitoring The Ministry for the Coordination of Environmental Affairs (MICOA) is responsible for cross-sectoral environmental (and social) management. Provincial Directorates for the Coordination of Environmental Affairs (DPCA) will have a key role in the appraisal and approval of subprojects supported under APPSA to ensure compliance with Mozambican environmental legislation and the safeguards outlined in the ESMF. Both MICOA/ DNAIA should be part of the Consultation Forum within APPSA implementation arrangements, but the Directorate of Agronomy and Natural Resources (DARN) within IIAM should be responsible for this ESMF implementation. The completed ESMF checklist along with any additional planning reports [e.g. ESMP, RAP, and PMP] will be forwarded together with the overall application to the review authority (SDAE/SDPI) for pre-approval. For most of the sub-projects under APPSA, final approval will be provided by the DPCA and the Consultation Forum of which MICOA is suggested to be included as a member. DPCA will issue the environmental (and social) license to categorize all sub-projects. Before issuing of the environmental (and social) license the WB will have to give the final approval to any sub-project. xi In accordance with the new World Bank Policy on Public Disclosure of Information, additional reports such as ESMPs, RAPs and PMPs will be made available for public and private review at a places easily accessible to local people. Projects implementation and monitoring will be carried out by IIAM and jointly with the communities assisted by extension workers. District authorities (SDAE/SDPI) assisted by DPCA and/or APPSA funded technical assistance will prepare annual monitoring reports that include information on the implementation of the ESMF. DPCA is required to conduct annual inspections for all category B projects. Annual reviews of the implementation of the ESMF will be carried out by an independent local consultant, NGO or other service provider that is not involved in APPSA, but the approval must be done by the consultation Forum and the WB. Independentlycommissioned tri-annual environmental auditing should be carried out. The consultant proposes that successful incorporation of environmental safeguards depends on: 1. The preparation, appraisal and approval process detailed in the ESMF must be an integral part of APPSA Operations Manual; 2. Training, capacity building and technical assistance must be provided at all levels from the community level to project management level; 3. Annual and mid-term review must fully evaluate compliance with the ESMF and the Operations Manual. Guidelines for environmental and social management plan and monitoring requirements The additional management actions may include the preparation of Environmental and social Management Plans (ESMPs), Pesticide Management Plans (PMPs) and Resettlement Action Plans (RAPs). Guidelines for the preparations of ESMPs are provided. A comprehensive PMP is presented as a standalone document. A separate Resettlement Policy Framework (RPF) has been prepared for use in conjunction with the ESMF and this provides guidelines for the preparations of RAPs. Technical expertise and funds will be provided for the preparation of specialist reports as required. Training and Capacity Building Training and capacity building is the key to the successful implementation of the ESMF and the RPF. The objective of the training is to: Train IIAM, extension teams and communities to identify, prepare, implement and manage the environmental and social aspects of their subprojects. Ensure that district, provincial and national level officials have the capacity to appraise, approve and supervise the implementation of subprojects. Three levels of training are proposed namely: awareness raising, sensitization and indepth technical training. In any case it will mostly be conducted through workshops and refresher courses. Training will include case studies of actual sub-project interventions using the environmental checklist and visiting sites. The focus of the training will mainly xii be IIAM, selected farmers and extension officers who will in turn train community members to implement components of the ESMF at the community level. Appropriate training and assistance will also be provided for district, provincial and national level agencies. Technical assistance under the project will support IIAM, extension teams and communities to implement the ESMF including the preparation of ESMPs, PMPs, and RAPs. ESMF monitoring requirements Indicators of ESMF implementation are: Number of national, provincial, district level staff trained in implementation of this ESMF; Number staff attending training course in ESIA and ESMF implementation; Number of sub-projects correctly submitted for approval; Number of mitigation measures implemented; Number of written warnings of violation of ESMPs issued to project proponents; Number of recommendations from the Audit that have been implemented; Number of performance contracts signed between IIAM and farmers. These indicators should be integrated into APPSA’s Monitoring and Evaluation (M&E) system to guarantee that the ESMF will be implemented in full. ESMF Implementation Budget The budget includes funds for: Institutional development activities; The training program for communities and extension teams and local authorities to implement the ESMF; Allowances for the preparation and/or implementation of sub-projects ESMPs, RAPs, etc. The costs of implementing these plans are included in the sub-projects budgets; Annual reviews and tri-annual audits; PMP implementation and monitoring. The overall budget for implementation of the ESMF is estimated at US$ 1,408,000. xiii 1. INTRODUCTION This Environmental and Social Management Framework (ESMF) outlines the process and procedures to be followed for activities financed under the Agriculture Productivity Program for Southern Africa (APPSA) that has the potential to trigger some of the World Bank safeguard policies. The Project Development Objective of APPSA is to improve the availability of agricultural technologies within and across SADC countries and will be implemented in Malawi, Mozambique and Zambia. APPSA will pursue this objective by: (i) establishing Regional Centers of Leadership (RCoLs) on commodities of regional importance, thereby allowing regional specialization around priority farming systems and more strategic investment in agricultural research capacity; (ii) supporting regional collaboration in agricultural training and dissemination; and (iii) facilitating increased sharing of agricultural information, knowledge and technology across boundaries of participating countries. The ESMF covers the activities to be undertaken for technology generation and dissemination activities associated with Rice in the case of Mozambique, and those related to supporting the core national capacity building activities taking place within the Regional Centre of Leadership (RCoL) for Rice Research in Mozambique. APPSA intends to generate technological solutions to increase production and productivity and added value for the rice crop in Mozambique and in Southern Africa, thus contributing to the improvement of food diet, family income and to reduce the burden on rice imports. The National Agrarian Research Institute (IIAM) is the agency responsible for implementing the APPSA including the provisions of this ESMF. APPSA for Mozambique is based on main guiding documents for the country’s economic development such as the Strategic Plan for the Agricultural Development (PEDSA, 2010 – 2020) and the Strategy for the Development of the Rice Sector in Mozambique (EDA, 2005). The principles of PEDSA are consistent with the pillars and principles of the Comprehensive Africa Agriculture Development Programme (CAADP) and it is, therefore under its context that Mozambique will implement CAADP. APPSA also seeks to improve natural resources management, which is the basis to achieve economic growth and poverty reduction in Mozambique as well as to reduce vulnerability to ongoing climate changes and rising food prices. APPSA intends to promote regional approaches for technology generation and dissemination through the support, reinforcement and dissemination for commodities of regional importance and benefit. In Mozambique it is expected that the APPSA plays a role of leadership in regional initiatives for rice research, it is connected to the global research system with capacity to establish regional partnerships and provides a crucial contribution to strengthening and improving the national agricultural research system. The RCoL in Mozambique will establish linkages with other CoL located in the APPSA participating countries (Malawi: Maize and Zambia: Legumes) in aspects of training and sharing of knowledge and technologies of regional relevance. 1 The project will be implemented over a six year period and the RCoL will be established around Quelimane, Zambézia Province, which will have responsibility of implementing, coordinating and managing activities in the different areas of research and development. As part of organic functional structure of IIAM, the activities of APPSA will be undertaken through the Zonal Research Centers of IIAM (South, Centre and Northeast). This ESMF is prepared because the actual sites on Research stations and those for onfarm trials will not be known by project appraisal, and, therefore, site specific issues would not be determined. The ESMF thus provides a uniform approach for addressing all potential negative environmental and social impacts, and to provide enhancement measures for positive impacts. The main purpose of the ESMF is to: Establish clear procedures and methodologies for the environmental and social assessment, review, approval and implementation of investments to be financed under APPSA; Specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to project investments; 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 requirements; Provide practical information resources for implementing the ESMF. 2. PROJECT DESCRIPTION 2.1. Project Development Objectives and Principles The development objective of APPSA in Mozambique is to enhance the national and regional specialization in agricultural research and technology dissemination for the rice crop, to enhance the regional collaboration in training and dissemination and to facilitate increased sharing of agricultural information, technologies and knowledge beyond borders of other APPSA participating countries. From the RCoL in Mozambique it is expected that APPSA contributes in such a way that, in a long term perspective, an increase in the adoption of improved agricultural technologies for all the APPSA participating countries is reached, as measured through the increase in the adoption of improved varieties, technologies and better methods of agro processing and handling. It is also expected that the support from APPSA to the RCoL in Mozambique results in an increase of national income due to increased rice production and domestic marketing, and contributes substantially to the reduction of rice imports and, in this way, to the stability in the country’s balance of payments. 2 2.2. Project Components APPSA support to Mozambique will be through an International Development Agency (IDA) credit of USD 30million with a national counterpart contribution of USD 2.2million. APPSA in Mozambique includes three components: (1) Technology Generation and Dissemination; (2) Strengthening Regional Centers of Leadership; and (3) Coordination and Facilitation. Component 1: Technology Generation and Dissemination. Component 1 will finance technology generation and dissemination activities associated with the commodity or commodity group2 being targeted by RCoLs. All activities financed under Component 1 will be undertaken through collaborative R&D projects involving the participation of at least two countries. R&D projects will focus on topics that provide solutions to regional problems. R&D projects will support research, technology dissemination, training, and other activities (e.g., knowledge exchange) that will contribute to enhanced regional collaboration. The proposal for each R&D project will identify a clear objective or specify a well-defined hypothesis and describe a detailed set of activities that will be carried out within a defined time frame and budget. It will outline the collaborative implementation arrangements, detailing the roles responsibilities of the institutions involved and the participating staff. It will include also a results framework that is aligned with the RCoL results framework, as well as an explanation of how performance indicators will be monitored. Every R&D proposal will include a set of activities designed to ensure that technologies generated through APPSA enter the dissemination system and are made available to farmers and other end users. R&D projects will be developed through the following process: (i) for each commodity being targeted by APPSA, priorities will be identified at national level; (ii) for each commodity being targeted by APPSA, regional planning meetings will be convened by CCARDESA to facilitate the identification of regional research and dissemination priorities and preparation of associated sub-project proposals; (iii) a peer review process facilitated by CCARDESA will provide feedback on the relevance and quality of subproject proposals; and (iv) sub-project proposals will be confirmed and implemented at national level. Technology Generation Priorities. Each APPSA participating country will support research relating to the commodity or commodity group being targeted by the RCoL that they are hosting, as well as research relating to the commodities or commodity groups being targeted by RCoLs in other APPSA participating countries. Each country is expected to devote the largest share of its research funds to activities related to the commodity or commodity group being targeted by the RCoL that it is hosting, but a portion of the IDA funds will go to support research on commodities or commodity groups being targeted by RCoLs hosted by other APPSA participating countries. 2 Research may target the commodity itself, or the larger farming system within which that commodity is produced. 3 Research priorities are expected to cover the full range of issues associated with the commodity or commodity group, including germplasm collection and characterization, germplasm improvement (plant breeding), crop management, and post-harvest activities including processing and storage. Technology Dissemination Priorities. The second sub-component will support technology dissemination through a range of activities that link RCoLs to institutions within and across countries to enable scaling up of innovations. Technology generation and dissemination activities will target participation from a range of institutions, in line with FAAP principles of pluralism, and they will aim to strengthen linkages between researchers, extension and end users. Although APPSA is not intended to be a fullfledged dissemination or extension program, it is expected to play an important role in improving and scaling up the technical content, information, and knowledge available within the dissemination system. Technology dissemination activities supported by APPSA could be expected to focus on: Improving the content and accessibility of technology messages and knowledge products around maize, food legumes or rice technologies, including the use of information and communication technologies; Improving the capacity of advisory service providers through technical training of lead farmers, extension agents and private or civil society advisory service providers; Strengthening the capacity of dissemination officers or technology transfer experts within research institutes to enable them to engage more with farmers, extension agents and advisory service providers; Establishing or improving platforms for farmer, private sector and civil society dialogue and consultation around technology priorities; Improving farmer-research-extension feedback mechanisms to obtain a better analysis of farmer preferences; Regional information sharing and exchange activities with other participating countries; Research on technology dissemination methods or tools, including those targeting gender specific issues such as household nutrition and food safety. APPSA will also support technology multiplication activities by RCoLs to improve the availability of materials for further scaling up by private sector or civil society. This will include seed multiplication at the level of breeder/pre-basic and basic seed production within the research system or initial production in the case of farm implements or machinery. Component 2: Strengthening Regional Centers of Leadership. This component will support core national capacity building activities taking place within the RCoLs and will be driven primarily by the specific needs of each RCoL. In general APPSA will support: (i) upgrading of research infrastructure including physical infrastructure and equipment; (ii) improving management and performance systems including knowledge and 4 information systems; (iii) developing human capital including by providing scientific training at the post graduate level and upgrading skills through short courses or targeted training; and (iv) strengthening seed, regulatory and related services. Mozambique: Investments in Mozambique will support capacity strengthening, primarily within the Instituto de Investigação Agrária de Moçambique (IIAM), but also in the Ministry of Agriculture (MINAG), the Faculty of Agronomy (UEM) and the Ministry of Science and Technology (MCT). To strengthen the capacity of the rice program, IIAM proposes to establish a new research facility around Quelimane in the Zambezia province of central Mozambique. With the help of analysis undertaken by IIAM, potential sites in Nicoadala and Namacurra districts have been identified based on proximity to rice production clusters, accessibility, water quality, and level of investment needs. The preferred site is the location where the rice program is currently undertaking field testing and laboratory analysis in a temporary space. Further feasibility assessments—including a detailed hydrological assessment—are needed to determine which of the potential sites is most appropriate to develop a full-fledged facility. The size of the new facility will expand the area available for field testing and multiplication to approximately 50 hectares. APPSA financing will also be used to build laboratory analytical capacity in soil, water and plant analysis; biotechnology; seed quality; Geographic Information System (GIS) and simulation modeling; agro processing and storage; pests and diseases identification; and grain physical and chemical analysis. The RCoL will be staffed with scientists recruited from the CGIAR system, IIAM, and private firms, but gaps have been identified in the areas of molecular biology, agronomy (soil, water and environment), mechanization and agro-processing, and economy, extension, sociology and rural innovation. APPSA will finance post graduate training at the MSc and PhD levels. Because IIAM has relatively few scientists operating within its headquarters and zonal structures APPSA financing could also be used to finance new research staff on consulting contracts. Measures to transition these positions to the IIAM budget, however, would begin early during implementation. APPSA financing may initially fund 100 percent of newly recruited research staff, but cost sharing measures would be introduced quickly, and by Project closing the salaries of staff will be paid entirely by Government. Component 3: Coordination and Facilitation. This component will finance three main types of activities: (i) research coordination at the national level (to be done by coordination units or teams established in the various implementing agencies); (ii) research facilitation at the regional level by CCARDESA (for example, planning and implementation of regional research and training activities, as well as dissemination of information among the participating countries); and (iii) policy analysis and dialogue to assess what policies are needed to facilitate technology generation and dissemination activities within the region. National Level Coordination and Management: APPSA financing will be provided at the national level to pay for costs related to the coordination of national and regional aspects of the Project (travel, meetings); management and administration costs (including consultants or staff where gaps exist); and national level monitoring and evaluation. 5 Regional Facilitation by CCARDESA: At the regional level, the Project will finance regional facilitation activities including: (i) regional planning, monitoring and evaluation activities needed to establish and monitor regional collaborative activities; and (ii) regional exchange of information, knowledge and technologies. CCARDESA will play an important role in facilitating the development of collaborative research sub-projects, as well as in facilitating peer review and quality control. Financing for the regional facilitation function will be sourced from each participating APPSA country on the basis of a work plan and budget envelope agreed at appraisal stage. R&D Policy Analysis and Dialogue: APPSA financing will support analytical work, needs assessments, and policy dialogue or policy harmonization activities on key areas that affect R&D at national and regional level. This includes issues such as intellectual property rights, progress the implementing the SADC common seed certification system or biosafety regulations. Support for SADC Regional Seed Regulatory System. SADC is currently in the process of rolling out its harmonized seed regulatory system, which is expected to (i) strengthen systems and structures for seed inspection, testing, and certification across the region; (ii) establish a regional variety release catalogue; and (iii) strengthen alignment of national seed systems to SADC harmonized seed policy. APPSA investments in Component 2 at the national level are expected to support the national seed authorities in Malawi, Mozambique, and Zambia in building their capacity and aligning national legislation and regulatory systems to the harmonized regional system. Additional support may be provided under Component 3 at the regional level for support by the SADC Seed Center in facilitating these activities, particularly in technical assistance and capacity building; information and knowledge management; and addressing policy gaps in intellectual property rights. APPSA support for regional activities related to seed will be channeled through CCARDESA. It will reflect the priorities identified in the five-year strategic plan for the SADC Seed Center, which is currently in draft form, but which is expected to be validated and endorsed in early to mid-2013. Components 1 and 2 raise the principal safeguards issues associated with the project. Taking into consideration the regional nature of APPSA, the main research themes/priorities take into consideration the following aspects: a) the strategic importance of rice in Mozambique to balance the country imports and exports (PEDSA), b) regional (CCARDESA) and Global Priorities on Research and Development of Rice in Africa and the World, and c) the common rice research needs identified for the three countries participation in the APPSA programme. The seven research priorities defined for the APPSA in Mozambique are: 1. Genetic diversity of Rice in the Country Objective: collect, characterize, register, manage and conserve genetic pool of the rice crop as means of protecting local genetic diversity. Main results to be achieved with this research theme are: a) Germplasm collected; 6 b) Country local germplasm diversity collected, characterized, mapped and registered; c) Gene banks for conservation and dissemination created; d) Genetic diversity for the relevant characteristics for rice breeding studied. 2. Rice improvement Objective: Accelerate the development, availability and adoption of more productive varieties of high quality and nutritive value and adapted to biotic and a-biotic factors. Main results to be achieved with this research theme are: a) Varieties adapted to different production systems, with the cooking qualities demanded by the local and regional market (aromatic, long grain, translucent, intermediate amylase content, high head rice recovery) developed; b) Varieties for intensive production systems developed; c) Hybrids for commercial farming developed; d) More healthy and nutritive varieties developed; e) Varieties tolerant to diverse biotic and a-biotic factors (pests and diseases, water stress, thermal regime, salinity/sodicity and other toxicities) and adapted to climatic changes developed; f) Varieties with wide regional adaptation developed; g) Breeder seed produced and maintained. 3. Agronomy, Water and Production Systems Management Objective: Develop strategies, crop practices and high productivity technologies taking into account the sustainable management of different rice production systems. Main results to be achieved with this research theme are: a) Sustainable rice production systems that are profitable, efficient and viable for specific local production conditions developed; b) Efficiency of water use in the rice fields improved; c) Integrated soil fertility and water management for the specific conditions of each location (irrigated and rain fed rice) developed; d) Crop practices and measures of control conducive for high productivity of irrigated and rain fed rice (direct seeding/transplanting, dates of seeding/transplanting, population density, fertilizer, pest control, diseases and weeds) identified and tested; e) Land preparation technology aiming at better water soil fertility management and weeds control improved; f) Conservation Agriculture technologies for upland production ecosystems tested; g) Impact of climatic changes expected in the rice production systems studied; h) Agriculture practices and mechanisms that allow to increased capacity of adaptation to climatic variability and changes developed and tested. 4. Agricultural Mechanization Objective: Develop and test appropriate machineries and agricultural implements to support the different activities of the rice production cycle. Main results to be achieved with this research theme are: 7 a) Machineries and agricultural tools of different technology levels for pre harvest operations developed and tested; b) Machineries and agricultural tools of different technology levels for post harvest operations developed and tested; c) Local artisans and operators for operation and maintenance of appropriate agricultural equipment for rice crop production, trained. 5. Post Harvest Technologies Objective: Add value to rice post harvest products, through improvement of quality, more innovative and efficient processing, access to markets and development of new products based on rice. Main results to be achieved with this research theme are: a) Technologies and business models for rice post harvest products in order to increase the post harvest revenue, the product quality and its market value developed; b) Other food products based on rice developed; c) Innovative uses for rice byproducts (straw, husk and bran) developed; d) Packaging for a more attractive display in the market improved. 6. Socio economic studies, market search and impact evaluation Objective: Understand, characterize and evaluate existing farming systems and identify the needs for products and technology development that satisfy farmers and market needs in order to enhance their impact. Main results to be achieved with this research theme are: a) Social economic organization forms that maximize the productivity and farmers income studied; b) Socio economic studies in different rice production regions to identify and evaluate the technological needs for farmers and consumers realized; c) Market studies to quantify the rice demand (types, tastes and quality, new products derived from rice, use of byproducts and residues and its degree of quality) realized; d) Strategic vision for research and development priorities for each period established; a) Impact of research in the development of rice crop evaluated; b) Contribution of innovations for the country balance of payments, for Mozambique and other APPSA participating countries, evaluated; c) Data base on research results and technological advancements with the rice crop, which can be used at national and regional level, produced. 7. Innovation and technology development Objective: Support the development of the rice sector in Mozambique and in the Region, through the research and development achievements and impacts of APPSA. Main results to be achieved with this research theme are: a) Innovative tools for training and communication produced; b) Technology extension and dissemination capacity developed; c) Sustainable and user friendly Rice technology packages developed; 8 d) Effective systems for wide scale adoption of sustainable and viable technologies for rice production, agro-processing and added value, for the country and the region, established. For the implementation of the above mentioned research thematic areas there will be need to create specialized and support services such as laboratories, green houses and other technological instruments to allow an effective rice research and development in the context of the objectives established for the APPSA. The following support services are previewed: a) b) c) d) e) f) g) h) Soil, water and plant analysis, Biotechnology products, Quality control and seed maintenance, Use of GIS and simulation models, Agro-processing and storage, Identification of pests, diseases and weeds, Chemical and physical analysis of the rice grain, Meteorology: collection, processing and data analysis. These specialized services, apart from their primary function to support rice research and development, can also play an important role in service provision, in terms of analysis, diagnosis and recommendations for other agricultural commodities and entities, either public or private, and therefore be a source of revenue for the RCoL. 2.3. Anticipated sub-Project types under APPSA Under the context of APPSA the following sub-projects may have an impact on the biophysical and social environment. Potential impacts from these sub-projects are identified in Chapter 8. 9 Table 1. Potential Sub-projects to be financed by APPSA Sector Water supply Sub-projects with potential negative environmental and social impacts Transportation Agriculture and market Infrastructures Construction/rehabilitation of small dams or weirs Rehabilitation and/or construction of small- scale irrigation and drainage systems Rehabilitation of access roads Increased area of rice production Construction of small Agroprocessing facilities Use of agriculture machinery Testing of different technologies (land preparation, water and soil conservation, pest control, etc) Construction and/or rehabilitation of infrastructures such as laboratories, agroprocessing facilities, seed storage, etc Sub-projects with potential positive environmental and social impacts Construction of flood and drainage related infrastructure Promote improved agriculture technologies Promote conservation agriculture Promote IPM approach 3. PROJECT IMPLEMENTATION ARRANGEMENTS 3.1. Regional implementation mechanisms Because APPSA is a regional program, implementation will be based on partnerships and collaboration among the participating countries. Countries will work together in a number of ways: (i) by undertaking joint technology generation, dissemination, and training activities through research sub-projects; (ii) by coordinating their respective national activities to achieve a shared regional objective; and (iii) by sharing knowledge and technological outputs from their national programs throughout the region. To the extent possible, APPSA implementation will rely on existing regional platforms, networks, and partnerships to share information and create opportunities for collaboration. 3.2 National Implementation mechanisms The proposed organization and structure takes into consideration that the RCoL is a research centre established within the framework of IIAM, with responsibilities for scientific research at national and regional level. In its regional responsibility, the RCoL has a straight linkage with CCARDESA and other regional RCoLs. Taking into account the limitations in human resources in the current rice research program within IIAM, the organizational structure proposed considers the need for the establishment of partnerships that can complement the available capacity. It is also 10 proposed that the RCoL puts in place implementation mechanisms based in partnerships and collaborative programs with other research and academic institutions at national, regional and international level. Figure 1 illustrates the organizational structure of APPSA in Mozambique whose implementation will be supported by APPSA. In terms of institutional arrangements for APPSA, IIAM will be the implementing agency which is an autonomous entity under MINAG. MINAG will have the responsibility of political guidance and general supervision to APPSA and will be supported by a consultative and advisory Forum for decision making. Several relevant institutions concerned with rice (government, private sector, research and academic institutions) will be part of the consultative and advisory Forum. This Forum will give attention to issues of strategic guidance for the institutional agenda, will appreciate the relevance of results achieved and propose measures for strategic reorientation of research priorities and dissemination, approaches and methodological principles. The operation of this Forum will be guided by Terms of Reference to be developed and the professionals representing different institutions involved will be appointed on the basis of professional and technical experience and competence with the rice crop. It is advised that this Forum integrates a representative from either the Ministry for Coordination of Environmental Affairs (MICOA) or MINAG’S Environmental Unit. This will guarantee decision making on environmental and social issues at Project’s level. IIAM will have the responsibility of coordination and management of APPSA with respects to the establishment and implementation of rice research and development activities in the RCoL. Within IIAM the Directorate of Agronomy and Natural Resources (DARN) is the unit responsible for implementation of the provisions of this ESMF. The current presence of several CGIAR institutes within IIAM premises constitutes one of the strong points of national research system and an opportunity for the establishment of specific partnerships for specific research areas. 11 MINAG (PEDSA) Supervision and Policy Orientation CCARDESA – Board of Directors Consultation Forum (MINAG, MCT, MIC, UEM-FAEF, Private Sector) Consultation and Advice CGI AR FARA IIAM Management, Coordination, Research and Dissemination CCARDESA - Executive Secretariat Regional coordination, training, technology transfer and sharing of knowledge Center of Leadership (CoL) IIAM – Zambezia (CoL Headquarters) Implementation and Coordination of Activities Plant breeding, Agronomy, Soil and Water Management, Agro processing, Mechanization, Socioeconomics, Training and Dissemination, Support Services Research network, incl. possible partnerships with national, regional and international inst and networks Extention Services Technology dissemination Rice Producers and Rice Producers Organization s Private Sector Rice value chain actors Training institutions Training and students internships IIAM Central Research Centre (Nicoadala site) Rainfed lowland rice Southern Research Centre (EAChokwé, EA Umbeluzi) Irrigated rice Northeast Research Centre (PA Nampula) Upland and rainfed lowland rice Other CoL commoditi es Malawi (Maize) Zambia High Education Institutions Mechanization, Integrated Pest Management, Socioeconomics, and biotechnology. Training Centers (Polytechnics, Agricultural Schools - Chókwé, Sussundenga, Umbeluzi) Training of beneficiaries Treino dos beneficiários Private Sector Seed multiplication, Agro processing, markets. IRRI (CGIAR) – Plant Breeding, Agronomy, Agroprocessing, mechanization. IWMI (CGIAR) – Water management IFPRI (CGIAR) – policy analysis IFDC Soil fertility management, input markets. Figure 1: Proposed organization and structure for APPSA in Mozambique 12 At regional level, implementation mechanisms based on partnerships and collaborative programs among APPSA partner countries will be in the form of a regional facilitation undertaken by CCARDESA (Centre for Coordination of Agricultural Research in Southern Africa), through its executive secretariat. The main role of the CCARDESA secretariat will be the coordination of training, sharing of knowledge and technology transfer at regional level. IIAM and RCoL will have a direct linkage with CCARDESA in terms of the regional implementation of APPSA. The RCoL in Mozambique, with its headquarters in Zambezia Province, will have under its responsibility the implementation, coordination and management of activities in the different areas of research and development. As part of organic functional structure of IIAM, the activities of the RCoL will be undertaken through the Zonal Research Centers of IIAM (South, Centre and Northeast). For specific research areas where the current national agricultural research system does not have the required capacity, partnerships with other research and academic institution at national, regional and international level will be established. Figure 1 illustrates some of potential partnerships and areas of research where the RCoL could develop partnerships [universities, training centers, private sector, CGIAR (IRRI, IWMI, IFPRI) and IFDC]. Other partners/collaborators of RCoL include the Extension Services, Rice Producers and their organizations, Private sector and Education Institutions. The RCoL will establish linkages with other RCoL located in the APPSA participating countries (Malawi: Maize and Zambia: Legumes) in aspects of training and sharing of knowledge and technologies of regional relevance. To ensure environmental and social issues are adequately addressed as per the safeguards policies applicable to the project, the Research Stations will designate one social/environment specialist from the Provincial Directorate for the Coordination of Environmental Action (DPCA) to be the contact person for the project; who will participate in the project meetings at provincial level, join technical project missions, and provide technical support and guidance on an ongoing basis. 3.1 Organization and internal management system of RCoL Internally, the RCoL will be organized and structured in order to allow an efficient and operational management system. Figure 2 illustrates the proposed management system for the RCoL in Mozambique, which will be structured at three different levels: strategic, tactical and operational level. a) The management at strategic level takes into consideration the principles established in the Strategic Plan for Agricultural Sector Development (PEDSA), the Strategic Plan of IIAM and strategic priorities at regional level (CCARDESA), to allow the creation of RCoL institutional agenda for research and development. Therefore, IIAM and CCARDESA will have the responsibility for the institutional agenda guidance and its programmatic implementation. b) Tactical management is meant for the establishment of mechanisms and procedures to organize the portfolio of research programs and projects according to the strategic plan, research agenda and development priorities at national and 13 regional level. It is at this level that the necessary synergies will occur and will be aligned among the core functions of the RCoL (Research and development, Technology transfer and communication, Institutional development and Administrative and financial management). At this level, the process of management and coordination of the different research and development programs will also take place, supported by a technical and scientific committee. The technical and scientific committee will be the body in charge to appraise the scientific and technical merit of different programs and research projects as well as their relevance and impact (composed by the research program coordinators and other national and international researchers and academicians invited according to the theme under evaluation). c) The operational management includes the organization and operation of different research and development programs and projects, their units and research teams including the support and interaction with national and international partners. 14 Orientation and Guidance on National and regional Priorities (IIAM and CCARDESA) Strategic Level Institutional Agenda (CdL) Institutional Development Research and Development Communication and Technology Transfer Administrative and Financial Management Tactical Level Management and Coordination of Research and Development Programs Scientific and Technical Committee Genetic Diversity Rice Improvement Agronomy, Water and Farming Systems Agriculture Mechanization Post Harvest Technology Socioeconomics Studies Innovation and Technology Development Operationa l Level Research network, research units, research teams, support services, partnerships, technical assistance Figure 2: Proposed organization and management system for the RCoL. 4. BASELINE INFORMATION ON PROJECT TARGETED AREAS APPSA will be implemented over a six-year period across 4 candidate IIAM research stations in northern, central and southern Mozambique. Most likely the research stations will be located in Namacurra and Nicoadala (Zambézia Province), Sussundenga (Manica), Nampula (Nampula), Chockwé (Gaza) and Umbelúzi (Maputo) (Figure 3). The Rice CoL headquarters will be located in Namacurra, where new facilities will be built 15 and experimental land acquired. A number of small-holder farms (to be identified) will also be involved as on-farm experiments. Figure 3: Location of APPSA targeted areas Targeted areas are located in 5 agro-ecological regions of the country, namely: R1 (Boane-Maputo), R3 (Chockwe-Gaza), R4 (Sussundenga-Manica), R5 (Namacurra and 16 Nicoadala-Zambezia) and R7 (Nampula-Nampula). The following environmental description is based on identified agro-ecological zones (MINAG, 2007). 4.1. Agro-ecological Zone 1 (R1) The climate in this region is semi-arid dry, with a mean annual precipitation between 500mm (Moamba, Sábié, and Magude) and 800mm (Manhiça, Marracuene, Boane, Namaacha and Matutuíne), confirming the gradient from the coast to the interior. The rainfall is concentrated between October/November and March, and is very irregular. The mean annual temperature varies between 20ºC and 26ºC, being lower along the Libombo plateau. The potential evapotranspiration varies between 1.400 a 1.500 mm. Low precipitation and high temperatures imply a water deficiency even during the rainy season, for most of the region. The soils are characterized as alluvial and of basaltic origin. Except for the soils in the Pequenos Libombos Plateux, Moamba and Maputo, Umbeluzi, Sabie and Incomáti river valleys, the soils are in general sandy to loam-sandy, with good to marginal fertility. Main activities carried out in R1 are cattle production, which represents 4% of the national production. Agriculture is carried out all year round, but in small portions due to erratic rains and soil salinity. The main crops in this area are maize, groundnuts, beans, cassava, sweet-potato, fruits and vegetables. Umbelúzi Research Station was visited on December the 10th and the details of conversations and field observations are presented in Annex XI. The Umbelúzi Research Station was created in 1909 during the colonial period. With an extension of 600 ha, the research focus on this station is on: Cereals (maize and rice), legumes (beans), roots (cassava and sweet potato), and fruits trees. For these crops, IIAM is researching on new varieties with improved characteristics and cultural/agronomic practices. The station uses agro-chemicals namely pesticides and fertilizers such as: NPK, and Urea. There have not been any accidents and/or incidents with the use of agrochemicals and the station has a storage place that is in good condition for safe storage of the chemicals. The Station has 117 workers of whom more than 60% belong to the communities around the station. The workers have the permit to cultivate station’s area, but there is no conflict with either workers or local communities. There is an experience with on-farm trials but these are usually located outside Umbelúzi, in areas such as: Manhiça, Marracuene, Matutuíne and Changalane. The criteria to select an on-farm trial site are: (i) farmer with minimal conditions to perform the trials (land, tools and interest); and (ii) capacity to provide extension of the results to other farmers. Depending on the crop and type of experiment, the on-farm sites may vary from one place to another. 17 4.2. Agro-ecological zone 3 (R3) R3 is located in southern Mozambique, extending from central to northern Gaza Province (Chockwe, Guija, Chibuto, Chicualacuala, Massingir and Massangena) and a narrow strip in the western Inhambane Province (Mabote) up to the Save River. It occupies an area of 75.460 km2, with the lowest human density in the country of 5 inhabitants/km2. Most R3 is located below 200m, but along the Zimbabwe and South-Africa borders the altitudes reach 200 to 500m. The climate is semi-arid dry, with mean annual precipitation of between 350 and 800mm, concentrated between November and February. Potential evapotranspiration is generally higher than 1500 mm. It is one of the driest places in the country. The mean annual temperature is higher than 26°C. High temperatures are responsible for water deficiency higher than 800mm annually, but it exceeds 1100mm in Pafúri. The relative annual humidity is about 60-65%. R3 is characterized by relatively poor soils with high salinity. There is a predominance of fluvic soils along the river valleys. The main rivers are the Limpopo, Elefantes, Changane and the Save. At certain places rich Mananga soils predominate. Close to the SouthAfrican border, the soils are red, derived from calcareous materials. Erratic precipitation together with high temperatures limits the production of the main crops of millet, maize, groundnuts and beans. Cattle production is also important in this region. 4.3. Agro-ecological zone 4 (R4) This region is located in central Mozambique and extends through most of Manica Province (Machaze, Mossurize, Manica, Gondoloa, Chimoio, Macossa and Sussundenga) and a small portion of central Sofala Province (Chibabava and Gorongosa). To the south it is limited by the Save River, occupying an area of 64.000 km2 and presenting a human density of 13 inhabitants/km2. 80% of the region belongs to the gneiss-granitic complex. The altitude varies between 200 to 1000 msl (meters above the sea level). The climate is dry, with mean annual precipitation between 800 and 1000mm, distributed between November and March. The potential evapotranspiration is between 1200 and 1400 mm and the mean annual temperature not higher than 24ºC. The soils are ferrasols to litossols and the hydrographic network is composed of the following rivers: Save, Buzi, Pungué and Mavuzi, where the soils are alluvial and hydromorphic. Main crops in the area include: maize, millet, cassava, beans, rice, and ground nuts; and other crops grown include cotton, sugar cane, sunflower and tobacco. 18 4.4. Agro-ecological Zone 5 (R5) R5 is located in central Mozambique along low altitude areas (0-200 msl) in Sofala (Machanga, Buzi, Nhamatanda, Muanza, Cheringoma and Marromeu) and Zambézia (Mopeia, Chinde, Inhassunge, Quelimane, Nicoadala, Namacurra, Maganja da Costa and Mocuba). This is a coastal area that extends from the Save River through the South of Pebane District in Zambézia. R5 occupied an area of 74.000 Km2 and have a human density of 22 inhabitants/km2. The topography is characterized by a smooth relief between 0 and 200 msl; the geology is characterized by sedimentary rocks from the quaternary and tertiary. The climate is influenced by the tropical humid savanna climate, with annual mean precipitation higher than 800mm, but at some places it varies between 1200 and 1400mm, occurring between December and March. The potential evapotranspiration varies between 1000 and 1400mm and the mean annual temperature ranges between 24 and 26ºC. This creates an appropriate condition for rainfed agriculture. The predominant soils are fluvissols to arenossols, but letossols and ferrasols are also found. In general the soils are of high fertility and the freatic level to the surface. The hydrographic network is composed of the rivers: Buzi, Pungué, Zambeze, Luala and Licungo. Main crops in this area are: rice, maize, cassava, millet, beans and tobacco and cotton. 4.5. Agro-ecological Zone 7 (R7) R7 is the most extensive zone with 234,000 km2 and a human density of 11 inhabitants/km2, between 200 and 500 metres in Zambézia (Morrumbala, Alto Molocue, Lugela, Ile, Gilé and Namaroi), Nampula (Murrupula, Nampula-Rapale, Ribawé, Lalaua, Mecuburi and Muecate), Tete (Moatize and Chiuta), C. Delgado (Namuno, Balama and Montepuez) e Niassa (Mecanhelas, Cuamba, Maúa, Majune, Mecula, Marrupa, Mavago, Lago, N´gauma, Metarica, Nipepe and Muembe). The altitudes vary between 200 and 1000 metres, with a smooth topography. The climate is tropical humid of Savanna (Aw) according to the Koppen classification, with a mean annual precipitation of 1000 to 1400 mm, between November and March/April, while the potential evapotranspiration is between 1300 and 1500 mm. The mean annual temperature varies between 20 and 25ºC. The soils are ferrasols, lixissols and luvissols, with low to medium fertility. Along the water courses the soils are hydromorphic and alluvial, associated with Dambos. Main rivers crossing this region are: Licungo, Lúrio, Messalo, Lugenda, Chire and Rovuma. The main crops in this area are: maize and millet, cashew nuts, cotton, tobacco and beans. 19 5. WORLD BANK SAFEGUARD POLICIES In this section World Bank Operational Policies that are triggered by the project are reviewed (Table 2). The purpose of this review is twofold: 1. Ensure that the proposed project is environmentally and socially sound, and the proposed measures will support compliance with triggered policies, and 2. Assess the relevance and implementation arrangements for these policies under the project. Table 2. Safeguard policies triggered by the proposed project Safeguard Policy Environmental Assessment (OP/BP 4.01) Natural Habitats (OP/BP 4.04) Pest Management (OP 4.09) Physical Cultural Resources (OP 4.11) Involuntary Resettlement (OP/BP 4.12) Indigenous Peoples (OP/BP 4. 10) Forests (OP/BP 4.36) Safety of Dams (OP/BP 4.37) Projects in Disputed Areas (OP/BP 7.60) Projects on International Waterways (OP/BP 7.50) Yes [X] [X] [X] [ ] [X] [ ] [ ] [X] [ ] [ ] No [ ] [ ] [ ] [X] [ ] [X] [X] [ ] [X] [X] Environmental Assessment (OP/BP 4.01) The Project triggers WB’s OP/BP 4.01 Environmental Assessment because (i) research activities to be supported under Component 1 could include breeding, germplasm, farm management and processing; and (ii) capacity building for RCoLs to be supported under Component 2 are likely to include infrastructure and equipment investments. OP/BP 4.01 establishes the fact that some level of environmental assessment is required for all Bank financed development projects. The Bank classifies proposed projects into one of four categories, depending on the type, location, sensitivity, and scale of the project and the nature and magnitude of its potential environmental impacts: Category A: if it is likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. For a Category A project, the borrower is responsible for preparing a report, normally an EA (or a suitably comprehensive regional or sectoral EA). Category B: if its potential adverse environmental impacts on human populations or environmentally important areas -including wetlands, forests, grasslands, and other natural habitats- are less adverse than those of Category A projects. These impacts are 20 site-specific; few if any of them are irreversible; and in most cases mitigation measures can be readily designed. Category C: if it is likely to have minimal or no adverse environmental impacts. Beyond screening, no further EA action is required for a Category C project. Category “FI”: if it involves investment of Bank funds through a financial intermediary, in subprojects that may result in adverse environmental impacts. The WB project category definitions do not completely concur with those from the National EIA regulation 45/2004 (see Chapter 6) for Mozambique. According to that instrument, irrigation projects whose extension is equal or above 350 ha or that are located in ecologically sensitive areas are of Category A, but following the WB criteria, they do not necessarily fall within category A unless the area is sensitive and the impacts irreversible. The APPSA project has been classified as an environmental assessment (EA) Category B non-transferred Project as described in the World Bank’s project documentation. The consultant concurs with this assignation/characterization insofar that all identified potential impacts for the activities are site-specific; few if any of them are irreversible; and in all cases mitigation measures can be readily designed. Bank policy also requires that EA is initiated as early as possible in project processing and is integrated closely with the economic, financial, institutional, social, and technical analyses of a proposed project. The commissioning of EA work is the responsibility of the borrower and the Bank reviews the findings and recommendations of the EA to determine whether they provide an adequate basis for processing the project for Bank financing. OP 4.01 also determines that (a) before the Bank proceeds to project appraisal, the EA report must be made available in a public place accessible to affected groups and local NGOs and must be officially submitted to the Bank; and (b) once the Bank officially receives the report, it will make the report available to the public through its InfoShop. In commissioning the formulation of the ESMF (this document) and by making the document available to the public, the proposed project will be in compliance with OP 4.01. This ESMF presents the process and procedures including checklists to assist in identifying potential social and environmental impacts, and provides guidance to project managers and implementers for avoiding or mitigating them. Where necessary, IIAM will determine if more detailed studies are required and request that an environmental and social assessment be carried out and that an ESMP be prepared before the project interventions are considered in specific sites in compliance with OP 4.01. 21 Pest Management (OP/BP 4.09) The project triggers the OP/BP 4.09 because technology generation and dissemination activities to be supported could result in increased pesticides and agrochemical use on research stations and among farmers reached by the program. The Bank supports strategies that promote integrated pest management (IPM) approaches, such as biological control, cultural practices, and the development and use of crop varieties that are resistant or tolerant to the pest. However, the Bank may finance the purchase of pesticides when their use is justified under an IPM approach. In appraising a project that will involve pest management, the Bank assesses the capacity of the country's regulatory framework and institutions to promote and support safe, effective, and environmentally sound pest management. a) 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. With respect to the classification of pesticides and their specific formulations, the Bank refers to the World Health Organization's Recommended Classification of Pesticides by Hazard and Guidelines to Classification (Geneva: WHO 1994-95). The following criteria apply to the selection and use of pesticides in Bank-financed projects: 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. The methods, timing, and frequency of pesticide application are aimed to minimize damage to natural enemies. Pesticides used in public health programs must be demonstrated to be safe for inhabitants and domestic animals in the treated areas, as well as for personnel applying them. d) Their use must take into account the need to prevent the development of resistance in pests. The Bank requires that any pesticides it finances be manufactured, packaged, labeled, handled, stored, disposed of, and applied according to standards acceptable to the Bank. The Bank does not finance formulated products that fall in WHO classes IA and IB, or formulations of products in Class II, if (a) the country lacks restrictions on their distribution and use; or (b) they are likely to be used by, or be accessible to lay personnel, farmers, or others without training, equipment, and facilities to handle, store, and apply these products properly. Activities under the APPSA with a focus on irrigated agricultural expansion may result in the introduction or expansion of pest management activities in certain areas. The ESMF implementation tools and procedures are designed to identify the potential for the introduction or expansion of pest management activities in sub-projects and, as needed, requires the preparation of a Pest Management Plan (PMP). Sub-projects involving the procurement of pesticides or pesticide application equipment, or increased pesticide use, will not be funded until experience demonstrates that the local capacity exists to adequately manage their environmental and social impacts in compliance with OP 4.09 as described above and the pesticide regulation as described in Chapter 6. 22 Involuntary resettlement (OP/BP 4.12) OP 4.12 applies to all land acquisition and any changes in access to resources due to a sub-project. The policy applies whether or not affected persons must move to another location. The Bank's policy requires a full Resettlement Action Plan (RAP) if over 200 people must be relocated or if these people are not physically displaced but lose over 10% of their assets due to the project. If the impact is less than this an Abbreviated Resettlement Action Plan should be prepared instead. The nature and scale of sub-projects proposed under APPSA means that only minimal displacement, and the subsequent need for relocation and/or compensation, is likely to occur as a consequence of project implementation, especially at the headquarters in Zambézia. However, since these impacts are not yet known, the ESMF provides criteria for determining the need for resettlement in the form of Checklist (See Chapters 10 and 11 and Annex II of the ESMF). Additionally, a Resettlement Policy Framework (RPF) has also been prepared for APPSA and complements this ESMF with regards to involuntary resettlement. Natural Habitats (OP/BP 4.04) The Bank supports the protection, maintenance, and rehabilitation of natural habitats and their functions in its economic and sector work, project financing, and policy dialogue and expects borrowers to apply, a precautionary approach to natural resource management. In the context of APPSA implementation and development the following elements of Bank policy will apply: 1. Promotion and support to natural habitat conservation and improved land use and the rehabilitation of degraded natural habitats; 2. The Bank does not support projects that, in the Bank's opinion, involve the significant conversion or degradation of critical natural habitats unless there are no feasible alternatives for the project and its siting, and comprehensive analysis demonstrates that overall benefits from the project substantially outweigh the environmental costs. If the environmental and social assessment indicates that a project would significantly convert or degrade natural habitats, the project includes mitigation measures acceptable to the Bank. Such mitigation measures include, as appropriate, minimizing habitat loss (e.g., strategic habitat retention and post-development restoration) and establishing and maintaining an ecologically similar protected area; 3. Wherever feasible, Bank-financed projects are sited on lands already converted (excluding any lands that in the Bank's opinion were converted in anticipation of the project). For APPSA the impact on natural habitats will be small, but on-farm trials located in Umbelúzi and Nampula the impacts maybe considerable if areas for on-farm trials are located in natural habitats and thus, OP4.04 is triggered. However, proper planning is required regarding site selection which should always avoid areas requiring 23 transformation of undisturbed natural habitat. The Project area encompasses a number of natural habitats such as rivers (Mucelo, Umbelúzi) and thus, some sub-projects may impact on natural habitats either through encroachment (e.g. new cropping areas), hydrologic interference (water extraction) or indirectly by improving access to natural habitats which did not previously exist (e.g. the rehabilitation or construction of access roads). To address this concern, the ESMF provides the appropriate environmental checklists and planning methods to identify any potential impacts of sub-projects on natural habitats and to develop appropriate mitigation measures to minimize or avoid damage. Safety of Dams (OP/BP 4.37) When the Bank finances a project that includes the construction of a new dam, even of small size such as retaining ponds or wells, it requires that the infrastructure be designed and its construction supervised by experienced and competent professionals. It also requires that the borrower adopt and implement certain dam safety measures for the design, bid tendering, construction, operation, and maintenance of the infrastructure and associated works. For the life of any infrastructure, the owner is responsible for ensuring that appropriate measures are taken and sufficient resources provided for the safety of the dam. For small dams, generic dam safety measures designed by qualified engineers are usually adequate. APPSA will not fund any large dams as defined by OP4.37 but may fund small water diversion weirs and irrigation or water supply systems that will depend on existing or new small dams or weirs hence OP 4.37 is triggered. The design, construction and operation of new small dams/weirs will use sound engineering as required by the OP 4.37. Nevertheless, should a small dam be proposed, it is still subject to World Bank and Mozambique EA and resettlement policies and regulations and the ESMF provides guidelines on how to incorporate environmental considerations into the planning and appraisal process. 6. LEGAL AND INSTITUTIONAL FRAMEWORK FOR ENVIRONMENTAL AND SOCIAL MANAGEMENT IN MOZAMBIQUE 6.1. Legal Framework In 2004 Mozambique adopted a new Constitution in which the GoM committed to assure sustainable development by adopting policies and promoting initiatives that guarantee the ecological balance, conservation and preservation of the environment aimed at improving the quality of life of its citizens (Constituição da República de Moçambique, Article 117). Mozambique has also acknowledged and adhered to international efforts in order to assure environmental sustainability. Some of them include: Vienna Convention on the protection of the ozone layer; the United Nations Framework Convention on Climate Change (UNFCCC), Kyoto Protocol (As a non-Annex I Party), Montreal Protocol on the substances that destroy the ozone layer and the respective London and Copenhagen 24 amendments; Cartagena Protocol on Biosafety, Convention on Biological Diversity (CBD); UN Convention on Combating Desertification (UNCCD); Basel Convention on the control of trans-border movements of dangerous residuals and their elimination; and the Bamako Convention on the prohibition of importation of dangerous waste and the control of trans-border movements of such waste in Africa. In the context of the proposed APPSA Project the key elements of the national legal framework that are relevant: The National Environment Management Program National Action Plan to Adapt to Climate Change (NAPA) The Environmental Law ESIA Regulation Environmental Quality Standards and Effluents Emissions Regulation Pesticide Regulations Land Policy Land Law Water Policy Biosafety Regulation National Environnemental Management Program (PNGA) The National Environmental Management Program (PNGA), approved by the Council of Ministers in 1995, seeks to promote and implement a sound environmental policy. The PNGA is the master plan for the environment in Mozambique and contains a National Environment Policy, Framework Environmental Law and Environmental Strategy. The PNGA consists of sectoral and cross-sectoral plans, for the medium and long term, which intends to lead Mozambique to sustainable development. Thus, its implementation will require a range of actions at all levels and across sectors. In accordance with the PNGA, MICOA, in close co-ordination with other ministries, private and civil groups, will work towards: Development of inter-sectoral policies for sustainable development Development and promotion of integrated resource-use planning Promotion of sector legislation and establishment of norms and criteria for environmental and social management Protection and sustainable use of the countries' natural resources Creating conditions for law enforcement and environmental and social monitoring National Action Plan to Adapt to Climate Change (NAPA) In 2007 the Council of Ministers of Mozambique approved the NAPA plan that presents four important and urgent actions to adapt to climate change. MICOA has the responsibility of coordinating a multi-institutional group to implement such actions. The four main actions are: 25 1. Enhance the existing early warning system in order to assure that rural communities are previously informed about natural disasters in order to avoid human life losses. 2. Enhance farmer’s capacity to adapt to climate change by providing improved inputs, rehabilitation and/or construction of irrigation schemes, creation of alternative means of income generation such as agro-processing and promoting sustainable use of natural resources. 3. Reduce the impact of climate change on coastal areas by controlling land use and implementing erosion control activities in coastal areas. 4. Water resources management through multi-sectoral activities such as integrated watershed management, improve hydrometric network in the country and improve human capacity. The plan has a time-span of 3 years (2007-2010) and is being updated for the next 3 years. Environmental Law The Environmental Law was passed by the Mozambican Parliament in July 1997. It aims at providing a legal framework for the use and correct management of the environment and its components and to assure the sustainable development of Mozambique. It is applicable to all public or private activities, which may influence the environment either directly or indirectly. Salient features of the Law include: Those who pollute, or in any way degrade the environment, are liable and under obligation to rehabilitate the environment or to compensate for the resulting damage. The Law forbids the pollution of the soil, subsoil, water or atmosphere by any polluting substances, or any other form of degradation of the environment, which fall outside the limits stipulated by the Law. Projects and operations that are likely to have a negative impact on the environment are subject to an environmental impact assessment by independent assessors. To protect environmental components that have a recognized ecological and socio-economic value, environmental protection zones can be created. Licensing of activities that are liable to cause significant environmental impacts is required. The issuance of an environmental license is dependent on an appropriate level of environmental impact assessment being completed and accepted. A National Commission for Sustainable Development (CNDS), linked to the Council of Ministers, was created by a provision in the Environmental Law in October 2000 to coordinate and integrate sectoral policies and plans related to environmental management at the highest level. Environmental and Social Impact Assessment (ESIA) Regulation ESIA Regulation were passed by the Council of Ministers in July 2004 (Decree 45/2004) and published in the Government Gazette (Boletim da Republica, I Série, Number 39 of 29 September 2004). 26 Three categories of project are defined by the Regulation (Article 3): Category A: Activities presented in Annex I of the ESIA Regulation are considered to have significant adverse impacts on the environment and are subject to an Environmental and Social Impact Assessment (ESIA). Category B: Activities listed in Annex II of the ESIA Regulation are those for which potential environmental impacts are less adverse than those of Category A projects and are subject to a Simplified Environmental and Social Impact Assessment (SESIA). Category C: Activities listed in Annex III of the ESIA Regulation are exempt from an ESIA and/or SESA but still require observance of good management practices. According to the project description there are no activities to be considered under Category A. However, if the project affects directly or indirectly sensitive areas, it is classified as Category A. Sensitive areas include among others: a) Natural forests b) Zones of potential erosion, including dunes along the coastline c) Conservation or protected zones or areas d) Wetlands e) Zones where the habitats and ecosystems are in danger of extinction f) Zones of outstanding landscape beauty g) Zones of archaeological, historical and cultural value that should be preserved h) Zones where plant or animal species threatened with extinction are located i) Ground waters used for public consumption j) Areas for the protection of spring and water sources. A proposed project is classified as Category B if its potential adverse environmental impacts on human populations or environmentally important areas are less adverse than those of Category A projects. These impacts are reversible and in most cases mitigation measures can be easily defined. All activities that do not appear in Category C or in Category A are considered to be Category B. Selected activities considered to be Category C include the following: Transformation or removal of indigenous vegetation with areas between 100 and 200 hectares without irrigation; Irrigation schemes with an individual or cumulative area between 50 and 100 ha; Industries of conservation of fruits and horticultural products equal or greater than 300 ton/day; Rehabilitation or Construction of infrastructures (laboratories, offices, rural roads, facilities etc). 27 It is expected that most sub-projects under the APPSA project will be categorized as Category B and thus they require a simplified ESIA. Some sub-projects will also fall under Category C and these are exempt from a normal ESIA but they require a good management practice. An ESIA (for Category A) must be approved at the central level (Direcção Nacional de Avaliação de Impacto Ambiental - DNAIA), while a Simplified ESIA (for Category B) or Category C should be approved at the provincial level (Direcção Provincial de Coordenação Ambiental - DPCA). For all three categories MICOA issues an environmental license on completion of the ESIA process. The ESIA process in Mozambique is shown in the flow diagram shown in Figure 4. See Chapter 5 for synergies among this regulation and the OP 4.01 regarding sub-projects classification and ESIA procedures. Environmental Quality Standards and effluents emission Regulation Regulation related to Environmental Quality Standards and Effluents Emissions was approved by the Council of Ministers in May 2004 (Decree 18/2004) and published in the government’s gazette (Boletim da República number 22 of 2 of June 2004). It aims at controlling and maintaining the level of concentration of pollutants at an admissive level. MICOA is responsible for ensuring compliance with this Regulation. Article 12 refers to water quality standards for agriculture, livestock production, irrigation and aquaculture and these water quality parameters are given in detail in Annex IV of the Regulation. Parameters for irrigation water quality include water salinity (electrical conductivity), pH, Sodium Absorption Rate (SAR) and Total Dissolved Solids (TDS). Article 18 refers to parameters to maintain soil quality which include agricultural practices (crop rotation, fertilization, etc.) and permitted practices according to the slope of the terrain to avoid soil erosion. 28 Procedures for participation Licensing Request license for land use and utilization or special license to the MINAG/DNTF Temporary License Present the project to CPI or the institution responsible for the activity Submit the project to MICOA for Preevaluation Registration of the EIA process by MICOA Elaboration of pre-viability study and Terms of Reference by the proponent EPDA approval by MICOA Elaboration of ESIA by the proponent ESIA approval by MICOA Environmental and Social License Approval of executive project by responsible institution Construction License Approval of the activity by the responsible ministry Operational License Construction by the proponent Environmental and Social Monitoring by the proponent Environmental Auditing by MICOA Figure 4. Flow of activities to be carried out for the ESIA process in Mozambique (source: Directiva Geral de AIA, DNAIA, 2001). 29 Pesticides Regulation Ministerial Diploma 153/2002 of 11 September 2002 regulates the use of pesticides in Mozambique. In terms of this regulation only those pesticides registered with the National Directorate of Agricultural Services (DNSA) may be used. DNSA has established a Registration Unit (RU) for the registration of the pesticides and the issue of permits for their use. All substances with a pesticide action or regulators of plant growth and which are to be imported, produced, commercialized and used in Mozambique must be registered. The request for registration must be submitted together with the pesticide's process according to the Standards for Registration and Handling of Pesticides published by DNSA. Concurring with OP 4.09, the composition and physical-chemical characteristics of the pesticides proposed for registration shall conform to the specifications from the World Health Organization (WHO) or the United Nations Food and Agricultural Organization (FAO) and must appear on the label. Any company legally established in Mozambique may obtain a title for the registration of pesticides, after approval by the Ministries of Industry and Commerce, Agriculture, Coordination of Environmental Affairs and Health. Registered companies must assume full technical and environmental responsibility of the pesticides. The validity of the title is 2 years, after which it can be renewed. Pesticides that are not registered but are considered effective in the control of an emergency situation due to an outbreak of epidemics or a plague, can be used with a Permit for Emergency Use, given by the RU according to the Standards for the Registration and Handling of Pesticides. These permits have the validity of the emergency period. Land Law In accordance with the Constitution and the Land Policy, the Land Law (No. 19/97) confirms that all land in Mozambique belongs to the State. Individuals (and associations) may acquire, by default or through application, the right to use and occupy land through a variety of mechanisms such as customary tenure, continuous occupation of a piece of land for a number of years or official authorization. Although land may not be transferred (i.e. sold) and there is no "land market" per se, holders of land rights are able to transfer improvements, such as buildings, from one party to another. The Land Law provides all Mozambican nationals, corporate persons (e.g. associations and companies) and local communities the right to use and benefit from land. Certain land belongs to the public domain in which no rights of land use and benefit can be acquired, except where special licenses have been issued for specific activities. Such land includes zones of total and partial protection, such as national parks, coastal zones and the banks of navigable rivers. Land occupied by, among other infrastructure, aerial, surface, subterranean and underwater installations and conductors of electricity, including a strip of land of 50 m on each side, are considered to be zones of partial protection. 30 For purposes other than settlement and cultivation the land and natural resources are usually considered to be common property. Such areas include livestock grazing areas, the surrounding bush and woodland areas where people collect or exploit natural resources, such as fuel wood, poles, thatching grass, medicinal plants, honey, wildlife, etc., and open water bodies which are used for fishing. Water Policy In august 2007 the Cabinet Council approved the new National Water Policy published in the official Gazette nr. 43/Serie I, supplement 5 of 30 of October 2007. This new policy is a review of the Water Policy of 1995 (Boletim da República, I Série Number 34 of 23 of August 1995), which emerged from the Water Law of 1991. The new Water Policy intends to achieve in the medium-term (2015) and long-term (2025) the following main objectives: (a) Satisfaction of basic needs of human water consumption. (b) Improvement of sanitation in urban and rural areas. (c) Water efficiently used for economic development. (d) Water for environmental conservation. (e) Reduced vulnerability to floods and droughts. (f) Agreements on water allocations and management coordination for international river basins. Objective (c), (d) and (e) are particularly pertinent to the proposed project: Biosafety regulation The Decree 6/2007 of 25th April establishes the rules for imports, exports, transit, production, manipulation, handling and utilization of Genetically Modified Organisms (GMO) and sub-products, to achieve environmental protection, conservation of biodiversity and human health. Given the regional context of the APPSA, this regulation will be applied when researching on new varieties and transferring technologies and genetic materials on Rice from Mozambique. 6.2. Institutional Framework The implementation of the ESMF will need to take place at all levels of APPSA (Central to local), taking into account the coordination and implementation arrangements set out for the project (Figure 1). 31 Environmental and Social Management Central Level MICOA is responsible for implementing the PNGA and associated environmental policy and legislation. The Ministry has primarily a co-coordinating role in order to ensure the integration of environmental variables in the process of planning and managing socioeconomic development. In this regard MICOA must co-operate with the other ministries and sectors (see Table 3). Table 3. Ministries with environmental and social-related responsibilities in APPSA Institution MICOA MINAG (IIAM, DNTF, DNSA) MOPH (ARAs) District administration Environment-related responsibilities for APPSA Environmental and Social Management, ESIA approval, auditing Sub-project approval, ESIA review, environmental screening review and monitoring, Issue water licenses and guarantee sustainable water use Road rehabilitation authorization MICOA is also responsible for regulating Environmental and Social Impact Assessment (ESIA) procedures in Mozambique through the National Directorate for EIA (DNAIA). As indicated above (section 6.1. Legal Framework), all projects likely to have adverse environmental and social impacts are obliged to register the project with MICOA for determination of its Category (A, B or C) and issuing an Environmental and Social License. MICOA is also responsible for enforcement of Environmental Quality Standards and of Emissions and Effluents legislation and for territorial planning. MICOA shall be a member of the Advisory Forum within institutional arrangements for implementation of the APPSA in Mozambique. Provincial and District levels MICOA has established Provincial Directorates (DPCA) in all Provinces. DPCAs are responsible for approving and monitoring the ESIA process with regards to Category B and C projects, inspect project’s compliance with environmental regulations and promote coordination among all sectors in the province. The level of organization and capacity varies from province to province. For example DPCA-Zambézia promotes regular multisectoral meetings to discuss environmental issues in the province. Major limitations at DPCAs in Zambézia province are limited human, material and financial resources. These, hold back full completion of DPCA’s tasks especially monitoring and inspection activities. 32 At the district level the environmental activity is based in the District Services of Patrimony and Infrastructures (SDPI) through a Section of Environmental Management. The SDPI is responsible for several environmental activities including monitoring and inspection, which they should report to DPCA. However, this is a newly created structure and all visited districts have none or limited staff and resources to carry out their responsibility. The Consultant recommends that IIAM should designate an entity within DPCA to be the contact point for the APPSA project at provincial level. Main tasks include advise, monitoring and inspection as well as emitting environmental licenses for sub-projects. Regulation of Pesticide use, registration and management Central Level According to Pesticides Regulations Ministerial Diploma 153/2002, DNSA of the MINAG, through its Registration Unit is the official agency responsible for the registration of the pesticides and the issue of permits for their use, after approval by the National Directorate of Health (DNS/MISAU), the National Directorate for Environmental Impact Assessment (DNAIA/MICOA) and the National Institute for Agrarian Research – Department of Animal Science (IIAM/DCA). Within APPSA arrangements, IIAM is the project coordinator institution and thus, responsible for making sure that formal procedures will be followed. Provincial and District Levels DPA through Agricultural Services is the institution with the responsibility of inspecting if users have a use, handling or transportation permit. It also should monitor the use and impact of pesticides from agricultural activities and report to DPCA. At the district level pesticide use, handling and transportation is controlled by SDAE, which works with an extension team in providing training for farmers and other individuals/institutions in this matter. APPSA shall adopt an IPM strategy and will be responsible to transfer new technologies to small farmers. Land management Central level At the central level the National Directorate of Land and Forests (DNTF) which is part of MINAG is the institution responsible for ensuring that the national land policy is implemented. The Department of Agri-measurement must co-ordinate, promote, develop, supervise and monitor activities related to mapping, large-scale land surveying, satellite imaging and mapping, while the Department of Cadastre must deal with land registration and land title accreditation. 33 Provincial and District Levels Provincial Services of Geography and Cadastre are represented in each country's Provinces. The responsibilities of the Provincial Geography and Cadastre Services include: Produce land-use maps (based on title rights) and documenting all the procedures in the process of authorizing land use and utilization rights. The Provincial Geography and Mapping Services do not authorize/allocate land use and utilization rights, but simply prepares and channels the respective documentation. Responsibility for the land law and regulations, the resolution of disputes, the transfer of land use and utilization rights and the collection of land use fees. Registration of community land acquired under customary law and documenting the rights acquired by individual persons under customary law. Sharing and providing information relevant to economic planning in the Province by supplying information about areas occupied or abandoned. It also prepares master plans for land occupation in co-ordination with other institutions At the district level land management is under the responsibility of the District Services of Economic Activities (SDAE) through a Land Section. Agriculture development Central level At central level all activities related to agriculture development are the entire responsibility of MINAG through several departments including Direcção Nacional de Serviços Agrários (DNSA) and Centro de Promoção de Agricultura (CEPAGRI). Its main tasks are the development of farmers, public and private sectors through dissemination of improved technologies and promotion of agribusiness among others. As IIAM is the institution responsible for coordinating APPSA, it must dialogue with DNSA, DE and CEPAGRI for reviewing, approving and monitoring all activities within APPSA. Provincial and District levels At provincial level DPA, through its Agrarian (SPA) and rural extension (SPER) services, is the institution responsible for defining priorities, organizing farmers associations and deciding the best options for agriculture development. DPA has a Department of Rural Extension (DER) composed of extension workers and their supervisors who are responsible for implementing several activities for rural development such as training on: application of appropriate agriculture techniques (crop rotation, test and introduce resistant varieties, crop consociation among others), use and handling of pesticides and fertilizers, among others. At the district level SDAE will be the institution directly involved with APPSA which through its extension team will identify and select site for on-farm testing, site for development, prepare activities for submission, and conduct monitoring of field activities. 34 Irrigation Central level At the central level, the Services for Agricultural Hydraulics under DNSA at MINAG assumes the responsibility of authorizing irrigation schemes but the issuance of a license for water use and payment thereof falls under the responsibility of DNA/ARAs (Center, North and South). At the provincial level irrigation is under responsibility of DPAs through an irrigation supervisor. This works in close relationship with extension teams at the district level. At the district level irrigation is under responsibility of SDAE through an extension team that covers each Administrative Post. Roads Rehabilitation and Construction Central level At the central level the National Roads Administration (ANE) under Ministry of Public Works and Housing (MOPH) is responsible for overseeing the planning and management for the rehabilitation and construction of National Roads. A Social Affairs and Environmental Unit (UASMA) have been created within ANE. The role of UASMA is to ensure that environmental and social considerations are incorporated into all road projects within Mozambique in accordance with the environmental guidelines for roads (i.e. Social and environmental clauses in bidding documents). Provincial and District Level At the provincial level the Department of Roads and Bridges (DEP) under the Provincial Directorate of Public Works and Housing (DPOPH) is responsible for secondary and tertiary roads. However, rehabilitation and construction of access roads are the responsibility of the district administration. In theory DEP should be responsible for environmental and social considerations in road projects but currently do not have the capacity to do so. This task is currently carried out by UASMA. Through a program of capacity building in environmental management UASMA intends to strengthen the capacity of DEP in this regard. Inland Water Management Central Level The National Water Directorate (DNA) in the MOPH is responsible for water resources in Mozambique. DNA's responsibilities are: Carry out inventories of hydrological resources and water needs at national, regional and catchment levels and establish and operate an information system; Promote the formulation of policies for development, hydrological resources use, water supply and sanitation; Promote water legislation and supervise water legislation enforcement; 35 Promote studies for short, medium and long term planning on water utilization and hydrological resource development; Ensure investment for studies, projects and works on water supply and sanitation in accordance with adequate and efficient management. Provincial and District Levels At provincial level MOPH is represented by the Provincial Directorate of Public Works and Housing (DPOPH) and the Department of Hydro Resources represents DNA. This department is responsible for the measurement of water flow in the major target rivers (Umbelúzi, Mucelo, Limpopo) of this project and, theoretically for ensuring adequate management of hydrological resources and guaranteeing a potable water supply and sanitation for all the population while maintaining environmental integrity. At district level the District Directorate of Public Works and Housing (DDOPH) respectively represents DNA. Regional Water Administrations The regional water administrations (ARAs) are regional structures, created within the decentralization process for water resources management. They are under the MOPH/DNA supervision. The jurisdictional area of ARAs coincides with one or a group of catchments basins. ARAs have economic, administrative and patrimonial autonomy. They have the responsibility of operational management of water resources at regional scale. Another competence of this institution is the issuing of licenses and concessions for the public use of water and effluent discharge. They have also to inspect and monitor the operators under their area of jurisdiction. 7. POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS AND MITIGATION MEASURES Based on field visits and consultations on the proposed activities under APPSA, the major positive and negative social and environmental impacts and mitigation measures were identified. The precise nature of impacts will be available when the actual project activities and sites will be finalized. The potential impacts described below provide a broad understanding of the social and environmental impacts of proposed activities and the mitigation measures. Key impacts relate to the potential interventions related to Genetic diversity of Rice, Rice improvement, Agronomy, Water and Production Systems Management, Agricultural Mechanization, Post Harvest Technologies and Innovation and technology development (see section 2.2. for details). Over and above the proposed mitigation measures, additional mitigation measures, where applicable, will be considered when ESMPs are prepared for sub-projects. Impact assessment has also to take into consideration the possible cumulative impacts by considering other rice projects and developments in the area. 36 7.1. Potential adverse environmental impacts HYDROLOGY Impacts on hydrology, specially related to water quantity may arise if irrigation schemes are to be developed in the context of the proposed project and the potential impacts associate to this are described below. Low flow regime Changes to the low flow regime may have significant negative impacts on downstream users, whether they draw water (irrigation schemes, drinking supplies) or use the river for transportation or hydropower. For target areas issues to consider are: Minimum demands from both existing and potential future users need to be clearly identified and assessed in relation to current and future low flows; The quality of low flows according to the Environmental Quality Standards and effluents emission Regulation (Decree 18/2004) is also important; Return flows are likely to have significant quantities of pollutants from various sources such as nitrogen, phosphorus, sulfur, among others. Low flows need to be high enough to ensure sufficient dilution of pollutants discharged from irrigation schemes and other sources such as industry and urban areas. A reduction in the natural river flow together with a discharge of lower quality drainage water can have severe negative impacts on downstream users, including irrigation schemes. Habitats both within and alongside rivers are particularly rich, often supporting a high diversity of species. Large changes to low flows (±20%) will alter micro-habitats of which wetlands are a special case. It is particularly important to identify any endangered species and determine the impact of any changes on their survival. Such species are often endangered because of their restrictive ecological requirements. Mitigation measure: Integrating low flow release strategies into dam operation protocols or watershed management plans are the best mechanism for mitigating the potential negative impacts of changes to low flows. This can be achieved through the strategic partners namely: ARA-Norte, ARA-Centro or ARA-Sul. Flood and sediment transport regimes It is important that new irrigation infrastructure does not adversely affect the natural drainage pattern, thus causing localized flooding or altering the hydrologic flux. This is particularly important for places where the hydrologic flux is changing, even though this is not the case of APPSA’s command area. In these places, radically altered flood regimes may have negative impacts thus, the following should be considered: Flood waters are important for fisheries both in rivers and particularly in estuaries. Floods trigger spawning and migration and carry nutrients to coastal waters. Controlled floods may result in a reduction of groundwater recharge via floodplains and a loss of seasonal or permanent wetlands. 37 Changes to the river morphology may result because of changes to the sediment transport regime of flood waters. This may be either a positive or negative impact, as dams typically interrupt the natural sediment transport regime and can cause downstream scour for many hundreds of kilometers; and Sediment accumulation in the reservoir can reduce the storage capacity and affect the operational life of the reservoir. Mitigation measure: See mitigation measures for low flow regimes. The protection of flood plains may also be a useful measure as they function as groundwater recharge zones and also attenuate peak discharges downstream. These are additional positive functions of wetlands. Fall of water table Lowering of the water table by the provision of drainage to irrigation schemes with high water tables brings benefits to agriculture. However, lowering the groundwater table by only a few meters adversely affects existing users of groundwater whether it is required for drinking water for humans and animals or to sustain plant life. For example, wetlands are particularly affected, especially during the dry season. Springs are fed by groundwater and will finally dry up if the level falls. Similarly, normal flows in rivers will be reduced. In all APPSA targeted areas about 80% of people use water from wells and boreholes and from surface waters. Thus, any change in the availability of groundwater for drinking water supply needs to be assessed in terms of the economics of viable alternatives. People may be forced to use superficial water sources that carry health risks, particularly guinea worm infection and schistosomiasis. A number of negative consequences of a falling water table are irreversible and difficult to compensate for example salt water intrusion and land subsidence. Mitigation measure: Ground and surface water withdrawal need controlling either by licensing, other legal interventions or economic disincentives. Rise of water table In the long-term, one of the most frequent problems of irrigation schemes is the rise in the local water-table (waterlogging). Low irrigation efficiencies (as low as 20 to 30% in some areas) are one of the main causes of rise of water table. Poor water distribution systems, poor main system management and archaic in-field irrigation practices are the main reason. Ground water rising under capillary action will evaporate, leaving salts in the soil and makes the soil difficult to work and not suitable for some crops. Waterlogging may also imply increased health risks. Field visits confirmed that where irrigation schemes exist, the Operation and Maintenance (O&M) is deficient. For example in Chóckwe the irrigation scheme is obsolete and problems such as soil salinity, poor drainage among others were reported. Mitigation measures: Good irrigation management, closely matching irrigation demands and supply, can reduce seepage and increase irrigation efficiency, thereby reducing the groundwater recharge. The provision of drainage will alleviate the problem locally but 38 may create problems if the disposal water is of a poor quality. Apart from measures to improve water management, two options to reduce seepage are to line canals in highly permeable areas and to design the irrigation infrastructure to reduce wastage. WATER QUALITY Solute Dispersion The changing hydrological regime associated with irrigation schemes may alter the capacity of the environment to assimilate water soluble pollution. In particular, reductions in low flows result in increased pollutant concentrations already discharged into the water course either from point sources, such as industry, irrigation drains and urban areas, or from non-point sources, such as agrochemicals leaking into groundwater and soil erosion. Reduced flood flows may remove beneficial flushing, and reservoirs may cause further concentration of pollutants. Where low flows increase, for example as a result of hydropower releases, the effect on solute dispersion is likely to be beneficial, particularly if the solutes are not highly soluble and tend to move with sediments. Mitigation measures: Measures proposed for low flow impacts are also applied to mitigate the impacts of solute dispersion. Agrochemical pollution A high nutrient level is essential for productive agriculture. Under APPSA, there will be an increase in rice, maize and legumes production area. The use of both natural and chemical fertilizers may result in an excess of nutrients, which can cause problems in water bodies and to health. Agrochemicals enter the water bodies mainly through run-off. Accumulation of agrochemicals residues in surface waters can have an effect on domestic water supply and aquatic organisms. Several studies have demonstrated that the use of chemical in rice paddies produces an effect on water ecosystems. For example, in the 70’s fish kills in the US were attributed to the application of Aldrin with seed rice that entered in the aquatic ecosystem (Ginn and Fisher, 1974). Moody(1990) reports that the problem with herbicide in Sacramento, California is the Thiobencarb, which gives a bitter taste to the water and Molinate, which is toxic to fish. During the field visit it was observed that, for rice production, agrochemicals are not used in general by the farmers, but some of the agrarian stations do. For example, in Chóckwe Agrarian Station fertilizers such as Ureia and NPK are used. When agrochemicals are used, they are usually drained into the surface and groundwater systems, and DPA and DPCA have weak capacity for monitoring/control agrochemicals use. The use of these sources for drinking water supply is at risk due to the presence of nitrogen and phosphorus salts. This run-off of fertilizers and pesticides may lead to eutrophication and upset aquatic biota and ecosystems. Mitigation measure: In case of herbicides such as Thiobencarb and molinate, the water must be retained in the field for 14 and 12 days, respectively after their application in order to keep the concentrations of Thiobencarb in the river below 8ppb and of Molinate below 4.5 ppb. Overall pesticides and chemicals used for agriculture must be assessed 39 and monitored as part of the environmental management process and measures to ensure compliance with the WB OP 4.09 and the National Pesticide Regulation (Ministerial Diploma 153/2002). To achieve this, a general Pest Management Plan (PMP) is presented as a standalone document and should be strictly followed. Anaerobic effects Most anaerobic conditions in water bodies are the result of an over-supply of nutrients, as discussed above, resulting in eutrophication. Anaerobic conditions can be caused by oversupply of nitrogen and phosphorus from other sources in the area (commercial agriculture, mining etc). Anaerobic conditions also occur when water is so polluted as to kill most aquatic life. Anaerobic decomposition should be avoided as it produces gases such as hydrogen sulphide, methane and ammonia all of which are poisonous and some of them (methane) contribute to the greenhouse effect. Mitigation measures: Adopt the IPM approach to limit the use of agrochemicals that can be leached to water bodies. Especially in rice and irrigated lands manage the discharge and infiltration of waters that is over-supplied with nutrients by nitrogen and phosphorus. AIR QUALITY Methane emissions from wetland rice agriculture have been estimated up to 100 Tg/yr, which accounts for approximately 20% of the global anthropogenic budget (Roger and Joulian, 1999). According to the IPCC (1994) flooded rice fields are one of the two main agricultural sources of methane, together with ruminant enteric digestion. Mitigation of CH4 emissions are needed to stabilize or even lower atmospheric concentrations. Factors affecting methane emissions from rice paddies include soil properties (in clay, poorly drained is higher), agricultural practices (water management, organic matter utilization and mineral fertilizer). Considering that a rice paddy may emit between 5 and 100 g/m2 of methane depending of water and soil conditions, rice varieties used and water management efficiency and, that around 75*105 m2 (roughly 100*150 m2 times 500 plots) will be developed in the APPSA context, it can be roughly estimated that, emissions may vary between 37.5*106 and 75*107 g of methane. Mitigation Measures: Methane and other gases emissions from rice paddies can be reduced by using varieties with low water needs, higher yield per ha thus reducing the extent of waterlogged area, temporary drainage periods during the crop cycle and using mineral fertilizers (Sulphate and nitrogen containing and Gypsum fertilizers reduce emissions) rather than organic; and Methane emissions may also be reduced by proper irrigation management. SOIL PROPERTIES AND SALINITY EFFECTS Impacts on soils may arise if irrigation schemes are to be developed in the context of the proposed project. Impacts on soils may also occur from the development of cultural 40 technologies, use of machinery, rehabilitation/construction of infrastructure. The potential impacts arising from the proposed activities are described below. Soil salinity and properties The increased use of agrochemicals, needed to retain productivity under intensification, can introduce toxic elements that occur in fertilizers and pesticides. Also, on irrigated lands salinization is the major cause of land being lost to production and is one of the most common adverse environmental impacts associated with irrigation. Soil salinization was observed in Umbelúzi Agrarian Station, where a white salt layer was detected in a small area, where APPSA will be potentially developed. The accumulation of salts in soils can lead to irreversible damage to soil structure essential for irrigation and crop production. Effects are most extreme in clayey soils where the presence of sodium can bring about soil structural collapse. This makes growing conditions very poor, makes soils very difficult to work and prevents reclamation by leaching using standard techniques. A number of APPSA target areas have clayey soils but Zambézia have the heaviest soils with very low permeability in a flat topography. These areas are at risk from salinization as they are difficult to leach. High water losses through the soil profile will result in useful cations being washed out from the soil-complex, resulting in a general lowering of pH. This may in turn result in an increased availability/release of heavy metals. Similarly, organic material in the soil may decrease leading to a degradation of soil structure and fertility. Mitigation measure: Careful management can reduce the rate of salinity build up and minimize the effects on crops. Management strategies include: leaching; altering irrigation methods and schedules; installing sub-surface drainage; changing tillage techniques; adjusting crop patterns; and, incorporating soil ameliorates. All such actions, which may be very costly, would require careful study to determine their local suitability. Reducing salt inputs is one way of improving drain water quality. Groundwater drains, either from pipe (tile) drains or deep ditches, carry out the dual task of controlling the water table and through leaching, counteracting the buildup of salts in the soil profile. Normally water is applied in excess of the crop water requirement and soluble salts are carried away in the drainage water although in some areas leaching can be achieved during the rainy season. The safe disposal of salts is of prime importance, either to the sea (using dedicated channels if river quality is threatened) or to designated areas such as evaporation ponds where the negative impacts can be contained. Erosion and sedimentation Soil erosion rates are greatest when vegetative cover is reduced and can be 10 to 100 times higher under agriculture compared with other land uses. Moreover, the method of cultivation profoundly affects the vulnerability of the land to erosion. Because rice land is wetter, it is less able to absorb rainfall and runoff will therefore be higher. Field size, stream size (drop size), slope and field layout are all difficult to change and all significantly affect erosion rates. The micro-topography of a field will thus be disturbed. 41 Unavoidably, this effect creates disproportionate water distribution over the field. In addition it might create disputes between water users. Soil erosion by water is an old problem in Center of Mozambique, especially in the highlands of Manica Province, but in the other sites no erosion problems were detected. Thus, APPSA is advised to carefully study and implement agricultural techniques to avoid adding on this problem. - - Mitigation measures: There is a wide range of management and design techniques available to minimize and control erosion that include Providing good vegetative cover to dissipate water energy; Contour drainage to slow down surface runoff; Terrace and contour cultivation (land-leveling) and the construction of field bunds; Careful design of irrigation scheme can avoid the occurrence of erosion problems; Improved water management practices related to surface irrigation methods (for example by using gates, siphons, checks). Irrigation infrastructure needs to be designed to ensure that localized erosion, e.g. gully formation, does not occur. Construction activities generally expose soil to erosion. Following the completion of construction work, vegetation should be established around structures so that bare soil is not exposed to erosive forces. Hinterland effect The development of agriculture or increased production of some commodities such as rice, maize and legumes in developing countries is often associated with an increase in intensity of human activity in areas surrounding the scheme and/or production area. This may be due to people moving into the area as a result of the increased economic activity or may be carried out by farmers and their families who are directly engaged in irrigation/production activities. In either case typical activities are: more intensive rain fed agriculture; an increase in the number of livestock; and greater use of forests, particularly for fuel wood. All these activities are liable to increase erosion in the area by decreasing vegetative cover which will have a detrimental effect on the local fertility and ecology as well as contribute to sediment related problems. Clearing higher parts of the catchment can result in a rising downstream water table. In areas where the groundwater is saline the higher recharge may cause higher salinity levels in the rivers and cause pressure levels in the lower areas to rise thus impeding leaching. Mitigation measures: Mitigating actions can be put in place relatively easily with forethought as to problems that might arise. Some of the actions are: - Planting deeper rooting crops and trees in the higher and sensitive to erosion lands; - Allowance should be made for livestock, fuel wood or vegetable gardens within the layout of the experimental fields and irrigated areas; 42 - Alternatively, protection of vulnerable areas may be necessary. Channel structures The susceptibility of channel structures to damage is strongly related to changes in channel morphology and changes in sediment regime. Increased suspended sediment will cause problems at intake structures in the form of siltation as well as pump and filtration operation. Abstraction structures may become clogged with sediment or left some distance from the water. Degradation of the river bed is likely to threaten the structural integrity of hydraulic structures (intakes, headworks, flood protection etc.) and bridges. In fact, this is already happening in Umbelúzi as a deficient management of the irrigation scheme is happening. Mitigation measures: The best mitigation measure is to maintain the river’s pre-existing hydrologic, hydraulic and sediment transport regimes as described above. Soil Compaction Improper management of machinery may lead to compaction. This may be caused by poor timing of field operations, pressure from wheels, tillage equipment, trampling by animals, reduced use of organic matter, frequent use of chemical fertilizers and plowing at the same depth for many years. The signs of soil compaction are slow plant emergence, thin stands, uneven early growth, small grain heads, abnormal rooting patterns, shallow or horizontal root growth and reduced nutrients concentration (Ramazan et al, 2012). Mitigation measures: The best mitigation measure is to properly use machinery avoiding excessive utilization especially in heavy soils. BIOLOGICAL AND ECOLOGICAL CHANGES The main impacts associated with (irrigated) agricultural projects are a consequence of the changes in land and water uses in the project area, but also in land around the project and on aquatic ecosystems that share the catchment. The overall habitat as well as individual groups (mammals, birds, fish, reptiles, insects etc.) and species need to be considered. Rare and endangered species are often highly adapted to habitats with very narrow ranges of environmental gradients. Such habitats may not be of obvious economic value to man and therefore current knowledge of the biota may be poor and a special study may be required. Under APPSA, there are no environmentally sensitive areas since the project will focus on existing experimental stations and existing farms. However, given the characteristics o the project of developing agricultural production it is important to assess the area in order to detect the existence of wetlands and other sensitive ecosystems. Wetlands usually support a wide range of species and are particularly important for water fowl and as staging areas for migrating birds. Also wetlands contribute as buffer to reduce flood peaks, as low-cost water purification system and as a protection from erosion. These places also have specialized and important habitats providing grazing for cattle and wildlife and vital spawning grounds for many fish species. Flood flows trigger migration 43 and breeding in a large number of species. This high environmental and socio-economic value of wetlands makes their study and preservation of key importance in an ESIA. The consumption of water for (irrigated) agriculture and the reduced quality of return flows is likely to adversely impact on downstream ecosystems. Reduced flows, increased salt concentrations, lower oxygen levels, higher water temperatures and increased pollution and silt loads all tend to favor vigorous, tolerant species (aquatic weeds). The demands of different ecotypes will change through the year both in quantity and quality. It is important to consider the biological and ecological changes that may occur in the surrounding areas of experimental fields. However, if irrigated or improved agricultural technologies are to be developed they may have positive impacts by for example settling migrant slash and burn farmers or a negative impact by for example raising the demand for fuel wood due to increases in local populations (see impacts on soils). Mitigation measures: The creation of compensation areas or habitat enhancement within and/or outside the command area may be useful mitigation measures where the natural habitat change is assessed as detrimental. 7.2. Potential adverse socio-economic impacts The major purpose of APPSA is to support research on agricultural (rice, maize and legumes) production, agro-processing and commercialization, and ultimately to improve the economic and social well-being of the target area. Although these activities will have many positive impacts on the community, some potential adverse impacts are envisaged. Impacts on land rights Agricultural development and especially those involving irrigation have often become arenas of multiple conflicts, of which the following are worth noting: a) there is conflict among water users over water allocation, land rights, or maintenance issues; b) conflict may arise between users and the authority responsible for the project over inappropriate design of infrastructure, peasant relocations, water charges, or management issues; c) conflict between project beneficiaries and non-beneficiaries; and d) finally conflict may arise from land acquisition for agriculture or infrastructure development. Mitigation measures: Ensuring participation farmers and other community members in the planning and design stages of both new developments and the rehabilitation of existing agricultural infrastructure, as well as the provision of technology, extension, and marketing services, can minimize negative impacts and maximize positive ones. Consultations with local communities and the assistance of NGOs can also greatly minimize adverse socio-economic impacts. The Resettlement Action Plans (RAP) will need to be prepared where land acquisition is involved or where access to resources is involuntarily restricted, as described under the RPF. 44 Population change Owing to project activities, there is likelihood of increase in population densities either in the context of labor for works or to benefit from the technology dissemination and increased incomes. Mitigation Measures: Careful planning of labor requirements and arrangements needs to be done. Further the project should ensure robust technology dissemination methodologies to ensure dissemination of technology beyond research stations and surrounding localities to larger areas to benefit a large proportion of the population. Income generation In general the research approach of APPSA will not directly promote income generation. However it will require recruitment of additional labor, force which may create some source of income to local communities. However, socio-economic problems may reduce the income generating capacity including: Reduced farming flexibility: as APPSA focuses on rice, maize and legumes cultivation thus reducing emphasis on activities such as grazing animals, operating woodlots; Insufficient external supports such as markets, agro-chemical inputs, extension and credit facilities; Increased inequity in opportunity, often as a result of changing land-use or water use patterns; and Changing labor patterns that make labor-intensive irrigation unattractive. Mitigation measures: Improved planning, with user involvement, has the potential to reduce if not remove the above problems for both new and rehabilitation of infrastructure subprojects under APPSA. Extension services, with training and education, also offer much scope to improve the income and amenity. Human migration Project establishment attracts temporary populations both during construction and during peak periods of agricultural labor demands. This impact is expected to occur mainly in the new site in Quelimane in the Namacurra district of Zambezia province where the RCoL for Mozambique will be established. Mitigation measures: Careful planning of the impact of the research station construction and later activities need to be assessed on the local community, the social and economic infrastructure. Appropriate measures for dealing with the labor involved in the construction activities will need to be put in place. Human health Wetland rice and irrigated schemes can create a variety of health risks, in part because of ecological change (mosquito and snail propagation along shallow shorelines, associated with aquatic weeds) and in part because of demographic changes. In some cases 45 infections occur in adjacent areas to the rice and irrigated fields, especially canals, ditches etc. Mitigation measures: Depending on the ecological requirements of local vector species any of a range of interventions may be successfully applied; alternating wetting and drying periods. The frequency of dry phases must enable the larvae dry out, steepening of the shorelines, controlling aquatic weeds, and sitting settlements away from the reservoir. Issues related to involuntary resettlement The exact numbers of project affected people, the degree of impact on the families’ livelihoods (their losses, ownership status, tenancy status etc.) are not determined yet and must be done during the process of developing RAPs. However, acquisition of land for the rice development, rehabilitation/construction of infrastructure and access roads may affect an estimated 200 households, without, however, physical displacement. For example, in Mucelo farmers are cultivating inside IIAM’s area (conflicts already exist) and in Namacurra, inside the area where RCoL will potentially be established there are over 100 farmers using the land for rice cultivation. These situations may bring conflicts, which are raised and dealt by the RPF developed for APPSA. Mitigation measures: The Resettlement Policy Framework (RPF) outlines the mechanism and tools for addressing the potential scope of resettlement and land acquisition outlined above. RAPs will be required for APPSA activities that lead to involuntary resettlement and these are described in the RPF. Gender issues Changing land use patterns and workloads resulting from the introduction or formalizing of new agricultural technologies are likely to affect men and women, ethnic groups and social classes unequally. Historically and due to cultural habits it has been men from the more powerful and settled group that have had the greatest access to benefits and increased income from agriculture. Women, migrant groups and poorer social classes have often lost access to resources and gained increased workloads. Conversely, the increased income and improved nutrition from agriculture benefit women and children in particular. Mitigation measures: Inclusion of disadvantaged groups (women, youth, and minor ethnic groups) into key project processed from planning and implementation is critical to ensure that both men and women from the local communities participate in the planning and decision making process on R&D needs thus benefiting all the sections of the society. 7.3. Potential positive impacts APPSA is expected to have positive environmental impacts as it supports the development and dissemination of agricultural technologies that promote sustainable use of land and water. Below is a description of potential positive environmental impacts and measures to enhance or maintain the positive impacts. 46 Reduced flood and drought vulnerability Uncontrolled floods can cause tremendous damage and flood control is therefore often an added social and environmental benefit of reservoirs built to supply irrigation water. Enhancement measure: To guarantee this positive impact it is necessary to maintain and manage efficiently the infrastructures and the whole system. Increase in agriculture productivity Improved agricultural technologies and use of agro-chemicals (fertilizers and pesticides) will contribute to improved crop productivity. Enhancement measure: To achieve this impact it is suggested to promote better agriculture techniques such as contour crops and terraces in all APPSA target areas, especially those in slopes. The use of pesticides should follow the best practices according to OP 4.09 (see Chapter 5). Reduced deforestation Improved crop production will likely settle the farmers, which will reduce the need for new crop areas and thus deforestation. This is important in all APPSA areas but with emphasis in Manica where high levels of deforestation were observed. Enhancement measure: This effect will be accomplished as farmers realize the benefits of permanent cultivation plots and efficiently manage and operate the irrigation scheme. Improved livelihoods APPSA will support a range of economic infrastructure to support agricultural productivity and increased returns like rehabilitation and/or construction of new irrigation schemes, access roads, and infrastructures, among other. Thus one of the potential positive impacts is income generation and reduced food insecurity in the region. Enhancement measure: Measures for operations and maintenance of these infrastructures is essential to sustain benefits. Also important is to ensure access of all sections of the community to these infrastructures and the resultant benefits. 47 Table 4. Summary of the negative and positive impacts of indicative sub-projects. Sub-projects Construction of small dams or weirs Rehabilitation and/or construction of small- scale irrigation and drainage systems Rehabilitation of access roads Increased area of rice production Use of agriculture machinery Potential negative environmental and social impacts Flood and sediment transport regimes Solute Dispersion Agrochemical pollution Low flow regime Flood and sediment transport regimes Fall of water table Rise of water table Solute Dispersion Soil salinity and properties River morphology Channel structures Human health Issues related to involuntary resettlement Cultural property Erosion and sedimentation Hinterland effect Soil Compaction Agrochemical pollution air quality Soil salinity and properties Erosion and sedimentation Hinterland effect biological and ecological changes Impacts on land rights Population change Income generation Human migration Human health Cultural property Issues related to involuntary resettlement Gender issues Soil salinity and properties Erosion and sedimentation Soil Compaction Population change Income generation Human migration 48 Potential positive environmental and social impacts Availability of irrigation water Increase in ground water table Increase in agriculture productivity Reduced flood and drought vulnerability Improved livelihoods Improved livelihoods Increase in productivity agriculture Improved livelihoods Increase in agriculture productivity Reduced deforestation Improved livelihoods Testing of different technologies (land preparation, water and soil conservation, pest control, etc). Cultural property Gender issues Agrochemical pollution Anaerobic effects air quality Soil salinity and properties Erosion and sedimentation Soil Compaction biological and ecological changes Impacts on land rights Population change Human migration Cultural property Issues related to involuntary resettlement Gender issues Reduced flood and drought vulnerability Increase in agriculture productivity Solute Dispersion Agrochemical pollution Anaerobic effects air quality Soil salinity and properties Erosion and sedimentation Soil Compaction biological and ecological changes Cultural property Issues related to involuntary resettlement Gender issues Improved livelihoods Construction and/or rehabilitation of infrastructures such as laboratories, agroprocessing facilities, seed storage, etc Improved livelihoods 8. GUIDELINES FOR SUB-PROJECT PREPARATION, APPRAISAL, APPROVAL AND MONITORING This chapter describes the process for ensuring that environmental and social potential impacts are adequately addressed through the institutional arrangements and procedures used by APPSA for managing the identification, preparation, approval and implementation of sub-projects. As stated in Chapter 5, APPSA is a category B project and thus most of the sub-projects will fall within this category. However, according to national legislation, some subprojects may fall within Category C. In this case, the sub-project does not require an Environmental and Social Impact Study, but it will be necessary to develop a code of good environmental and social management practices. However, it is recommended to 49 avoid sensitive areas and observe the 350 ha threshold for irrigation schemes to ensure that sub-projects stay within category B. To safeguard environmental and social components in this section the consultant recommends procedures for small-scale (probably Category C) and medium-scale sub-projects (probably Category B) separately. 8.1. Project identification and preparation IIAM will be responsible for sub-project planning including identification and management of on-farm experiments, thus sub- project planning will be integrated into IIAM’s annual activity plan. The District Administration and Serviços Distritais de Actividades Económicas (SDAE) have a key role in assisting IIAM in selecting on-farm sites and contact farmers. Farmer’s organizations and institutions (for example in Zambézia) are the key players in site selection and, most importantly, selected farmers must formally agree to engaging with project activities. It is important that IIAM, through its research stations, partners with selected farmers to identify sub-projects for on-farm trials. For sub-projects at either research station or onfarms, IIAM prepare (in consultation with farmers and/or extension staff) the sub-project proposals to avoid or minimize adverse environmental and social impacts. This ESMF provides a checklist and screening guidelines (see Annex II) together with information on typical sub-projects impacts and mitigation measures (see Annex III Resource Sheets). The aim of the checklist and screening guideline is to assist IIAM and its partners in identifying potential impacts based on field investigations and adopt measures to avoid them. The Resource Sheets provide advice on how to avoid or minimize impacts and cover a range of possible sub-project. Project preparation teams must bear in mind that these lists are not exhaustive and thus, should be open minded to other impacts and mitigation measures that may arise during project preparation. The checklist and screening contain a certification by IIAM and farmers that the application includes all measures required to avoid or minimize adverse environmental and social impacts. 8.1.1. Small-scale sub-projects According to the World Bank Operational Policy 4.01 (Environmental Assessment) beyond screening, no further action is required for Category C projects. The Mozambican EIA regulation (Decree 45/2004) states that Category C projects shall follow specific environmental management norms. Thus, IIAM is requested to prepare an ESMP for category C projects. According to the Decree 45/2004, under the context of APPSA, the possible sub-projects that will probably fall within Category C are: 50 Small Irrigation Schemes (up to 50 ha) Groundwater abstraction up to 200 m3/year Rice (legume or maize) Processing facilities Infrastructures (especially markets and grain storage facilities) The application identifies the potential impacts of the sub-projects, describes the measures built into the sub-projects to address these impacts and annexes the completed checklist. For some sub-projects, mitigation measures and implementation of these measures will need to be specified in more detail in the ESMPs and this should be presented as an annex to the application. Training will be provided to IIAM team and communities to adequately addressing these situations when preparing their applications. There may, however, be situations where the advice of DPCA or APPSA-funded technical assistance, is required. These include: Land is acquired for a sub-project or someone's access to resources they are defendant upon or use is restricted or denied: The need for a Resettlement Action Plan (RAP) must be determined and, if needed, prepared according to procedures detailed in the RPF. A sub-project will involve the use of pesticides: a Pest Management Plan (PMP) will be prepared in line with PMP document for the APPSA areas that will cover PMP needs for sub-projects that trigger the policy i.e. all sub-projects with PMP requirements will draw from the main PMP. In case additional planning reports (e.g. ESMP, RAP, and PMP) must also be prepared together with the sub-project application, sub-project cannot be finally approved and funded until such reports are received, approved and disclosed. Wherever possible IIAM should attempt to avoid the need for special planning reports (e.g. ESMP, RAP or PMP) since they require extra resources to prepare and this may require amendments to the sub-project design. Nevertheless, in the event of IIAM and communities teams identifying good sub-projects that will significantly contribute to local development these additional studies must be carried out and reports prepared. 8.1.2. Medium-scale sub-projects According to the World Bank Operational Policy 4.01 (Environmental Assessment) the scope of an environmental assessment for a Category B project may vary from project to project, but it examines the project's potential negative and positive environmental impacts and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance. The Mozambican ESIA regulation (Decree 45/2004) states that Category B projects shall follow a simplified Environmental Impact Study. According to the Decree 45/2004, under the context of APPSA, the possible sub-projects that will probably fall within Category B are: 51 Development of agronomic activities (use of pesticides, cultural practices, mechanization, etc) Rural Roads Infrastructures (laboratories, agro-processing, grain storage, etc) Under the proposed APPSA arrangements and the ESIA regulation (Decree 45/2004), IIAM will be responsible for preparation of the simplified ESIA for medium-scale subprojects. They will most probably procure the services of an environmental consulting firm to prepare the simplified ESIA. The format for the ESIA will follow the requirements under the Decree 45/2004 and the OP 4.01 requirements. In addition, medium-scale sub-projects that also require the preparation of a RAP in the context of involuntary resettlement should refer to the RPF for guidance. The Terms of Reference (ToR) for a Simplified ESIA of irrigation and drainage projects is attached as Annex I. 8.2. Appraisal and Approval of sub-projects application 8.2.1 Small-scale sub-projects The completed ESMF checklists along with any additional planning reports (e.g. ESMP, RAP or PMP) produced by IIAM and its partners are forwarded together with the overall application to the review authority – DPCA. This institution may require consultation with relevant technical personnel and must be trained in proposal evaluation and environmental screening. In the present situation, DPCA in all APPSA target areas lack adequate human resources to carry out environmental activity. The first step in the approval process is a desk appraisal to determine if all the relevant information has been provided, and if it is adequate. DPCA will then determine if it is satisfied that the proponent have thoroughly considered all environmental and social issues with regards to the identification of potential adverse effects arising from the subproject as well as mitigating measures to adequately address negative impacts. If required, APPSA-funded technical assistance may provide support to this process. If the desk appraisal indicates that the proposed sub-project may have environmental or social concerns that are not adequately addressed in the application, or if the application meets certain criteria (see Table 4), the review authority requires a field appraisal before the application can be considered further. An example of a format for a field appraisal report is provided in (Annex IV). 52 Table 5. Criteria for Requiring a Field Appraisal Criteria Field Appraisal 1. Land must be acquired for a sub-project, an individual or community's access to land or available resources is restricted or lost, or an individual or family is displaced 2. A sub-project may-affect a protected area or a natural habitat. This is unlike to happen within the APPSA context since most of the developments will be performed in existing farms and experimental stations. 3. A sub-project may have an impact on ecologically sensitive ecosystems Determines the scale and level of impact. A Resettlement Action Plan (RAP) may then be required according to procedures detailed in RPF Document. Determines if the sub-project will adequately avoid adverse effects on a protected area or natural habitat, as provided for in Chapter 10 of the ESMF. 4. A sub-project will involve or introduce the use of pesticides 5. A sub-project may involve, or result in: * Diversion or use of surface waters; * Production of waste ; * New or rebuilt irrigation or drainage * Small dams, weirs, reservoirs, wells, or water points. A field appraisal determines the scale and level of impact. The application may need to be revised to describe how the sub-project will avoid or minimize adverse impacts to ecologically sensitive areas. This may require a distinct Environmental and Social Management Plan (ESMP) as outlined in chapter 10 of the ESMF A field appraisal determines the scale and level of the concerns. If needed, a PMP is prepared according to the requirements of Chapter 10 of the ESMF. A field appraisal determines the scale and potential adverse effects, and may include an ESMP as outlined Chapter 10 of the ESMF. Note: these criteria should be updated based on field experience in implementing sub-projects. Based on the desk appraisal and, if needed, the field appraisal, DPCA will make the decision about approval conditions and implementation supervision (e.g. erosion control, waste management, human safety). For most of the sub-projects under APPSA final approval will be taken by the respective DPCA which will be responsible for the issuing of an environmental license. 8.2.2. Medium-scale subprojects Under the implementation arrangements for APPSA and the ESIA regulation in Mozambique, IIAM will submit the simplified ESIA to DPCA/MICOA for review and approval. DPCA will coordinate with the DNA, ARAs, DPOH and DPAs on any technical questions regarding the design and potential environmental and social issues related to the sub-projects. In regards to specific land use issues, DPCA will consult with the DPA how to address potential displacement and resettlement of project affected parties (this is discussed in more detail in the RPF). DPCA will then grant an Environmental License or reject the ESIA and request for more information. 53 As emphasized in the World Bank’s safeguard policies, projects financed by the World Bank cannot be approved and funded until ESIA (and RAPs) are also received and approved by the Bank, and then disclosed. 8.3. Disclosure of sub-projects information In compliance with World Bank guidelines, before a sub-project is approved, the applicable documents (ESIA, ESMP and/or RAP) must be made available for public review at a place accessible to local people (e.g. at a local government office, at the DNAIA/DPCA/SDPI), and in a form, manner, and language they can understand. They must also be forwarded to the Bank for disclosure at the Public Information Center in Maputo. 8.4. Annual Monitoring Reports and review Monitoring of the compliance of project implementation with the mitigation measures set out in its ESMP, PMP and/or RAP will be carried out jointly by IIAM, the communities, extension teams and assisted by APPSA-funded technical assistance, if needed. DPCA should supervise the monitoring activities and are required to report annually on subproject activities during the preceding year. The information to be included in these annual reports to capture experience with implementation of the ESMF procedures is shown in Annex V. An annual monitoring report must be submitted to the Consultation Forum and the WB by IIAM. Monitoring of Category A sub-project should entirely be the responsibility of IIAM, through most probably a consultant firm. Compliance monitoring comprises on-site inspection of activities to verify that measures identified in the ESMP, PMP and/or RAP are being implemented. This type of monitoring is similar to the normal tasks of a supervising engineer whose task is to ensure that the Contractor is achieving the required standards and quality of work. MICOA, through DPCA and DNAIA (or a consultant) will have the responsibility of conducting the environmental inspection. An annual inspection report must be submitted (together with the monitoring report) to the IIAM and WB for review and approval. Annual reviews may be carried out by an independent local consultant, NGO or other service provider that is not otherwise involved with APPSA. Annual review should evaluate the annual monitoring report from district authorities and the annual inspection report from DPCA/DNAIA. The purpose of the reviews is two-fold: 1. To assess compliance with ESMF procedures, learn lessons, and improve future ESMF performance; 2. To assess the occurrence of, and potential for, cumulative impacts due to projectfunded and other development activities. The annual reviews will be a principal source of information to the Consultation Forum for improving performance, and to Bank supervision missions. Thus, they should be undertaken after the annual report on monitoring has been prepared and before Bank 54 supervision of the project. Guidance on undertaking annual reviews is provided Annex VII of this ESMF. 8.5. Environmental and Social Audit An independently-commissioned environmental and social audit will be carried out on a tri-annual basis. The audit team will report to the IIAM and the World Bank, who will lead the implementation of any corrective measures that are required. An audit is necessary to ensure (i) that the ESMF process is being implemented appropriately, and (ii) that mitigation measures are being identified and implemented. The audit will be able to identify any amendments in the ESMF approach that are required to improve its effectiveness. An Audit Report will include: A summary of the environmental performance of APPSA, based on the ESMPs; A presentation of compliance and progress in the implementation of the subprojects ESMPs; A synopsis of the environmental monitoring results from individual sub-projects monitoring measures (as set out in the sub-project ESMPs). The main tasks of the audit study will be: Consideration of the description of the project; Indicate the objective, scope and criteria of the audit; Verify the level of compliance by the proponent with the conditions of the ESMP; Evaluate the proponent’s knowledge and awareness of and responsibility for the application of relevant legislation; Review existing project documentation related to all infrastructure facilities and designs; Examine monitoring programs, parameters and procedures in place for control and corrective actions in case of emergencies; Examine records of incidents and accidents and the likelihood of future occurrence of the incidents and accidents; Inspect all buildings, premises and yards in which manufacturing, testing and transportation takes place within and without the project area, as well as areas where goods are stored and disposed of and give a record of all significant environmental risks associated with such activities; Examine and seek views on health and safety issues from the project employees, the local and other potentially affected communities; and Prepare a list of health and environmental concerns of past and on-going activities. 8.6. Summary of preparation, appraisal, approval and implementation procedures In summary, the process for sub-projects identification, preparation, evaluation, approval and monitoring is presented in Figure 5. 55 ACTIVITY Sub-project identification, preparation and submission Sub-project review and pre-approval Sub-project approval and precategorization RESPONSIBILITY IIAM and farmers associations Regional decision on project identification Consultation Forum (CF) Assisted by APPSA DPCA/CF World Bank approval and public disclosure procedures Final sub-project review and approval (Environmental License) Project implementation and monitoring DPCA for both category B and C IIAM with extension teams, and farmers IIAM/DPCA Supervision and annual monitoring report Assisted by APPSA or APPSA Rice RCoL funded funded technical assistance DPCA Annual Inspection for category B and C sub-projects. Annual monitoring report review and approval WB and CF independently-commissioned tri-annual auditing Figure 5. Proposed sub-projects identification, submission, evaluation and monitoring 56 There are two basic scenarios for small-scale sub-projects preparation and approval with regards to environmental screening: Scenario 1: The environmental checklist does not trigger any additional environmental management measures. Scenario 2: The environmental checklist triggers the need for additional environmental measures [ESMP/PMP/RAP] and IIAM, communities/extensions teams to prepare these (with technical assistance if required). In all cases appraisal involve the DPCA and final approval involve the Consultation Forum (CF), and the latter will also ensure that all sub-projects implementation are in compliance with Mozambican ESIA Regulations (See Section 6.2). In some sub-projects relevant government agencies must provide inputs for the appraisal (Table 6) and approval process. Table 6. Government agencies to be involved on a case by case Sub-projects Agency involved Rural roads District Administration Irrigation ARAs/DPA/SDAE Land acquistiton DNTF Water Abstration ARA-Zambeze/ARA-centro Pest management DNSA/DPA Construction (facilties) DNOPH It cannot be emphasized sufficiently that the successful incorporation of environmental safeguards are contingent upon three fundamental prerequisites: 1. The preparation, appraisal and approval process detailed in the ESMF must be an integral part of APPSA’s Operations Manual. 2. Training, capacity building and technical assistance must be provided at all levels from the community level to project management level. 3. Annual and mid-term review must fully evaluate compliance with the ESMF and the Operations Manual. Failure to comply with these prerequisites will result in environmental management procedures being sidelined or overlooked. 57 9. GUIDELINES FOR ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN AND MONITORING REQUIREMENTS This chapter of the ESMF describes the additional management actions that may be required as determined by the checklist and the World Bank OPs that are triggered by this project. The additional management actions may include the preparation of Environmental and Social Management Plans (ESMPs), Pesticide Management Plans (PMPs) and Resettlement Action Plans (RAPs). Since APPSA target areas and detailed activities are not known yet the following section (and Annex VII) only present guidelines for the design of a comprehensive ESMP. A detailed PMP is also presented and should be strictly adopted by sub-projects but should be adjusted to the particular situation of each site. 9.1. Environmental and Social Management The environment is broadly defined to include the natural environment (air, water, soil, land and the associated fauna and flora), and human health and safety. In the case wherea sub-project is of Category B (according to the Decree 45/2004) or the checklist indicates that more explicit impact mitigation measures are required for a sub-project, an Environmental and Social Management Plan (ESMP) is required. For guidance the contents of a typical ESMP are given in Annex VII. The ESMP should meet the requirements for a sub-project and be easy to use. There is no standard format or length. For many small and medium-scale sub-projects, it may be no more than a few paragraphs or perhaps just a table. On sub-projects with more significant environmental concerns (e.g. rehabilitation of a road that passes through a wetland), a more substantive ESMP may be warranted to highlight its importance and in this case technical assistance may be required to prepare the ESMP. The basic elements of an ESMP are: A description of the possible adverse effects that the ESMP is intended to mitigate; Addresses the requirements of OP 4.01 Environmental Assessment; A description of planned mitigation measures, and how and when they will be implemented; A program for monitoring the environmental effects of the project both positive and negative; A description of who will be responsible for implementing the ESMP; and A cost estimate and source of funds. IIAM together with the extension team will prepare the ESMP, but communities should participate in preparing the ESMP since local knowledge is important in identifying, designing and planning the implementation of practical mitigation measures. It is 58 especially important where the success of an ESMP depends on community support and action, both in implementing mitigation measures and in monitoring their success. 9.2. Pest Management Pest management issues can be raised on a variety of agriculture sub-projects such as: New land-use development or changed cultivation practices in an area; Expansion of agricultural activities into new areas; Diversification into new agricultural crops, particularly if these tend to receive high usage of pesticide - e.g. maize, legumes and rice; Intensification of existing low-technology agriculture systems; As indicated in Chapter 5 the Bank supports strategies that promotes integrated pest management (IPM) approaches, such as biological control, cultural practices, and the development and use of crop varieties that are resistant or tolerant to the pest. The purchase of pesticides may be permitted when their use is justified under an IPM approach. In addition to agricultural insect pests and plant diseases, pests also include weeds, birds, rodents, and human or livestock disease vectors. Mozambican regulation on pesticides and OP 4.09 conforms to the specifications of the World Health Organization (WHO) and FAO. There are no specific policies with regards to pest management and crop protection in the context of IPM approaches in Mozambique. Research into plant health and to a certain extent IPM approaches are carried out by IIAM (National Agrarian Research Institute) and Faculty of Agronomy and Forestry (FAEF) of Eduardo Mondlane University (UEM). Under these agencies research in IPM will continue and the knowledge passed on to extension services. Currently IPM approaches in APPSA target areas are at an early stage with reliance more the use of conventional pesticides. Major problems in the targeted areas regarding the use of pesticides: The potential problems with respect to use of pesticides in APPSA areas include: * Excessive or inadequate use, which may result in problems for the human health and the environment, especially the contamination of soils. Signs of soil contamination/depletion were not observed within the visited sites. However, soil salt accumulation was observed in Chóckwe; * Use of out-of-date pesticides (not observed in most of areas); * Use of non-authorized and/or non-labeled pesticides or the re-packaging of pesticides; * Application without the adequate equipment, with an increase of the risk of contamination; * Used/ empty pesticide's packages, washed in rivers and leading to water contamination. * No adequate monitoring of pesticides use and handling is carried out. If pest management issues are raised by sub-projects interventions as outlined above a PMP must be adopted. As capacity to prepare PMPs is weak, the PMP could be used as guidance. 59 The PMP minimizes reliance on synthetic chemical pesticides, and promotes the use of biological or environmental pest control methods, such as integrated pest management (IPM) based on prevention, surveillance and monitoring, and ultimately intervention in accordance with OP 4.09 (see Chapter 5). APPSA strategic partners such as UEM, MCT, CCARDESA and other countries may contribute towards the development of IPMs. 9.3. Involuntary resettlement The World Bank's policy on involuntary resettlement (OP 4.12) applies to all land acquisition and any changes in access to resources due to a sub-project as described in Chapter 5. The Bank's policy requires that a Resettlement Action Plan (RAP) be prepared when people are relocated, or if these people are not physically displaced but lose their assets due to the project. A separate Resettlement Policy Framework (RPF) has been prepared and must be used in conjunction with this document. In addition the Environmental and Social Checklist (Annex II) indicates when a RAP is needed. 10. TRAINING AND CAPACITY BUILDING REQUIREMENTS This section outlines the types of training and capacity building that is required to support implementation of this ESMF. These recommendations result from observation and discussions made during field visits carried out as part of the preparation of this ESMF. Training and capacity building is the key to the successful implementation of the ESMF. 10.1. Institutional Capacity Assessment Institutional capacity to address environmental and social management issues, and consequently to implement most of the measures outlined in this ESMF, is considered weak. Although most agencies have some experience in environmental management they have limited capacity especially the DPCAs and farmers and require some form of capacity building. Generally Mozambique has good environmental laws and regulations but the capacity to enforce them is weak across all sectors. 10.2. Proposed Training and Awareness Programs In order to successfully implement the guidelines and recommendations in the ESMF, it is important to ensure that target groups and stakeholders who play a role in implementing the ESMF are provided with the appropriate training and awareness provisions. These include: Central Level project management: IIAM Consultation Forum 60 Provincial level project management: Provincial Services for Agricultural Services (DPA) Provincial Directorate for Environmental Coordination (DPCA) Provincial Directorate for Public Works and Housing (DPOPH) Research Stations Zonal Research Centers Local level project implementation: Extension workers Selected farmers Farmers associations and leaders These stakeholders have different training needs in terms of raised awareness, sensitization to the issues, and detailed technical training: Awareness-raising in which the participants acknowledge the significance or relevance of the issues, but are not required to have technical or in-depth knowledge of the issues; Sensitization in which the trainees become familiar with the issues to a sufficient extent that allows them to demand their precise requirements for further technical assistance; and In-depth technical training to a level that allows trainees to go on to train others, including technical procedures and take action. The objective of the training under this ESMF is to: Support IIAM, representatives and community leaders and associations to prioritize their needs, and to identify, prepare, implement and manage the environmental and social aspects of their sub-projects; Ensure that provincial and district government officials are able to appraise, approve and supervise the implementation of sub-projects; and Strengthen local extension teams to provide technical support [including basic ESMPs, RAPs, and PMPs] to communities in preparing their sub-projects. Table 7 sets out the general training requirements of each of the groups and Table 8 presents details of the training to be carried out and the chronological order of training. For each training session, the value of inviting participation of other stakeholders, such as those from local authorities and the local private sector, should be considered. 61 Table 7. Training and sensitization requirements Provincial level project management Extension workers/contact farmers/NGOs IOs/farmers associations/leaders Integrating Environmental and Social Management into Development Planning T T S A - Linkages between environmental, social and natural resource management and sustainable rural livelihoods A T T S S EA legislation and relevant environmental policies (national and international) A A T S A ESIA procedures and methods for impact assessment and monitoring A T T S S Potential impacts of sub-projects and suitable mitigation measures A A T T T Addressing land acquisition and access to resources through resettlement planning and compensation A T T T S Participatory Public Consultation T T S S A Use of this ESMF, its procedures, resources and forms (including the PMP) A T T T T Methods of community involvement A A T T A Inter-community lesson-learning and review A A T S - District level project management Central level project management Training component Legend: T =Technical training, S =Sensitization, A = Awareness-raising 62 Table 8. Proposed specific training packages and timing Target audience Central PM Provincial PM Extension workers/selected Farmers/NGOs Training component Length Timing In-depth training in integrating environmental management into developing planning and Public consultation 1 day Quarterly for 3 years to update Awareness on ESIA procedures, legislation, use of this ESMF, potential impacts, community involvement, Linkages between environmental, social and natural resource management and sustainable rural livelihoods and land and resources acquisition In-depth training in Integrating Environmental Management into Development Planning (tailored to each province’s situation), Linkages between environmental, social and natural resource management and sustainable rural livelihoods, land and resources acquisition; ESIA procedures, Public Consultation and Use of this ESMF. 1 day One-off at APPSA kickoff 3 days in each province One per year during three years Awareness in environmental legislation, potential impacts and community involvement 1 day in each province In-depth training on potential impacts, ESMF implementation, land acquisition and community involvement 3 days in each district One-off at the APPSA kickoff and one refresher in the middle One per year during three years 63 farmers associations/Leaders Sensitization in ESIA procedures, legislation, Linkages between environmental, social and natural resource management and sustainable rural livelihoods and public consultation 1 day in each province Once at the kick-off of APPSA and a refresher in the middle In-depth training on potential impacts and use this ESMF 3-days in each district Awareness in legislation, public consultation and community involvement; 1 day in each district One per year during three years once at the kick-off of APPSA Sensitization in ESIA process, land acquisition and Linkages between environmental, social and natural resource management and sustainable rural livelihoods 1 day in each district Once at the kick-off of APPSA and a refresher in the middle The most profitable strategy would be to run workshops and refresher courses. Communities exchange visits, training of trainers (selected farmers) and on-job training of extension workers should also be considered. The training materials developed for the workshop should include at least the following components: Case studies (where possible developed by the workshop participants) based on the scope of work of the sub-projects interventions that can be used to demonstrate the basic principles of EA; Workshops on sub-projects preparation guidelines developed and presented in Chapters 8 and 9 above should also be a training component; An overview of environmental assessment (scoping, screening, EA methodologies, impacts and mitigation measures, public participation, monitoring and evaluation); Review of relevant environmental legislation but with emphasis on regulations regarding ESIA; Designing effective public awareness campaigns. A provisional program for a three-day workshop is presented in Box 1. 64 Box 1. Proposed agenda for a 3-day workshop Introducing ESMF Day One: (a) Introduction Environmental and Social Management (b) Legal and institutional arrangements for ESMF (including WB operational policies) (c) ESIA procedures in Mozambique (including public consultation and Community Support) (d) ESMF procedures (environmental screening and community involvement) (e) The Environmental and Social Management plans (IPM, RAP, EMP) and contractor responsibilities Day two: (a) Overview of sub-projects (b) Descriptions of the areas of influence and possible constraints to project implementation (c) Identification of potential impacts (d) Monitoring and evaluation Day three: (a) Fieldtrip to selected sub-projects sites (b) Environmental and social screening checklist testing (c) Proposal’s preparation and submission The focus of this proposed training will mainly be selected farmers, associations and extension officers who will in turn train community members to implement components of the ESMF at the community level. 10.3. Technical Assistance (TA) Technical assistance will be provided for government officials, IIAM and communities in order to prepare sub-projects proposals and implement the ESMF. Two types of technical assistance will be provided: 1) General TA to ensure that local government authorities and extension teams receive, on a reliable basis, experienced advice and mentoring to assist them in carrying out their responsibilities. This component of the TA will also assess training effectiveness and recommend further training needs, based on information gleaned from regular interaction with project participants. 2) Specific TA to support IIAM, extension teams and communities in preparing challenging sub-projects where specific technical knowledge is needed (e.g. the design of a weir, a water supply system, IPM, monitoring) or where thorough ESMPs, PMPs, RAPs, etc. may be required. The General TA will be delivered on a regular, programmed monthly schedule by professionals with strong training experience in environmental and social analysis and management, as well as community-based development. The Specific TA will be 65 contracted on a "standing offer" basis so it can be mobilized quickly, as it is needed, by professionals with the relevant technical skills and experience for preparation and/or implementation of ESMPs, PMPs and RAPs, and other specialist inputs. General and Specific TA service providers must keep detailed records for use in compiling the annual reports and for undertaking annual reviews. 11. ESMF MONITORING REQUIREMENTS This chapter also sets out requirements for monitoring of this ESMF implementation. Monitoring of the indicators set out here will be mainstreamed into the overall monitoring and evaluation (M&E) system for the project. Indicators of ESMF implementation are: Number of national, provincial, district level staff trained in implementation of this ESMF; Number staff attending training course in ESIA and ESMF implementation; Number of sub-projects correctly submitted for approval; Number of mitigation measures implemented; Number of written warnings of violation of ESMPs issued to project proponents; Number of recommendations from the Audit that have been implemented; Number of performance contracts signed between IIAM and farmers/associations. The indicators are deliberately very simple. Despite their simplicity, the integration of these indicators into the APPSA M&E system provides a guarantee that the ESMF will be implemented in full. 12. PROPOSED IMPLEMENTATION BUDGET This Chapter presents the estimated budget needed to implement the ESMF. The budget includes: Institutional development activities; The training program for communities, extension teams and IIAM to implement their ESMF responsibilities; Technical assistance to local authorities and extension teams; Allowances for the preparation and/or implementation of sub-projects ESMPs, RAPs, PMPs, etc. The costs of implementing these plans are included in the subprojects budgets. Sub-projects will only be approved as from year two; Annual reviews and tri-annual audits; The overall budget for implementation of the ESMF is estimated at USD$1,408,000 and is presented in Table 9. 66 Table 9. Estimated implementation budget for APPSA Component ESIA PMP ESMF implementation Training (includes trainer fee, course material preparation, implementation of different types of training) Activity Preparation and Implementation Implementation and monitoring General technical assistance Specific technical assistance Monitoring Inspection Annual review Tri-annual Audit Central level Project Management Provincial level Project Management Annual amount (*USD$1000) 4 5 Total (*USD$1000) 1 25 2 15 3 25 30 30 30 15 15 145 5 5 5 5 2.5 2.5 25 7 7 7 3.5 3.5 28 15 14 4 15 14 4 15 14 4 30 15 14 4 60 56 16 60 55 Notes 6 40 21 17 15 14 4 30 17 50 40 50 140 Extension teams/selected farmers 20 15 20 55 IOs/leaders/Associations 25 20 25 70 Total 401 347 447 75 84 54 67 1,408 3 times a year during 3 years in-depth training and one awareness training at kick-off one per year during 3 years in-depth training and one awareness training at kick-off and one awareness refresher (in each province) 1 per year during three years in-depth training in each district, 1 sensitization at the kick-off and 1 sensitization refresher 1 per year during three years in-depth training in each district, one awareness training at kick-off , 1 sensitization at the kick-off and 1 sensitization refresher ANNEX I: ToR FOR A SIMPLIFIED ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT (ESIA) Consultants are required to carry out a SESIA and prepare an EA report according to the Mozambique’s legislation and World Bank standards (OP 4.01). The report should include the sections: Executive summary Introduction Policy, Legal, and Administrative Framework Project Objectives and Description Characterization (socio-economic and biophysical) of the reference area Potential Environmental Impacts (follow Chapter 8) Analysis of Alternatives Environmental and Social Management Plan (Follow Annex VII) Specific aspects under the above components of the ESIA that should be addressed in an ESIA of a project are described below. Project Objectives and Description: This section should describe the need for the project in the context of the local and national agricultural strategy. The effect on economic and social development goals of the project area, country and region when the project influences transboundary rivers, aquifers, coastal zones or other issues, If the project is an element of an overall irrigation and drainage or agricultural sector development program in the area, then a description of the other program elements must be presented. A physical description of the project should be provided, including the physical location and area of influence, the schedule of works and implementation program, the materials and equipments needed, the source of irrigation water, the disposal strategy for drainage waters and the projected effects including volume and flow of irrigation and drainage water. Characterization of the reference area: Key parameters for area characterization include: hydrology and hydrogeology, water quality, demand and allocation, soils, existing land-uses, ecology, ecologically sensitive habitats, protected areas, forested areas, socio-economic environment, significant natural, cultural and historic sites. Potential environmental and social impacts: A prediction of the changes on the environment (social and biophysical) resulting from the project construction and operation must be considered and an assessment of the effect on the surrounding physical, biological and human systems should be considered. The engineering design plan should reflect “best practices” in terms of construction and operation activities to ensure that potential environmental impacts are minimized. Special attention should be given to issues raised in Section 8.2 about potential impacts. 68 Analysis of alternatives: Alternatives should be clearly presented (including the “alternative zero” of no-action). For irrigation projects, alternative sources of water and demand reduction through conservation and re-use and project management and monitoring should be considered. For drainage, alternative methods, overall project concept, management and monitoring programs should be thoroughly analyzed. Environmental and Social Management Plan: This section should include details of the management initiatives to be implemented during both the construction and operational phase of the project. The ESMP will need to account for monitoring of environmental parameters and the influence of mitigation measures on environmental impacts. It should include the following basic components: Institutional Component • Institutional responsibilities for management of the agricultural sector; • Institutional responsibilities for health and socio-economic issues management; • Responsibilities for monitoring, reporting and enforcement for water quality, water balance and salt balance and related issue management; • Identification of any needs for capacity building, training or equipment Environmental and Social Mitigation Component Chapter 8 presents key mitigation measures for agriculture project. Environmental and Social Monitoring Component Monitoring should address all potential issues listed in Section 8.2 and any others which are considered relevant to the project and the location. For Bank-financed projects the results of the monitoring and analysis including interpretation and recommendations, if any, should be reported to the Bank on a quarterly basis during the construction phase and annually during the operational phase for at least three consecutive years following the completion of construction. General monitoring parameters and their suggested monitoring frequency agriculture projects are presented in Annex III.2. It is important to note that these parameters apply in general to such projects and that it may be necessary to include additional parameters for individual projects. The parameters listed do however provide a benchmark for the environmental and social management plan, which will need to be geared toward the specific project circumstances. 69 ANNEX II: CHECKLIST FOR ENVIRONMENTAL AND SOCIAL SCREENING Name of the Project: Sub-project Name: Sub-project Location: Community Representative and Address: Extension Team Representative and Address: Site Selection: When considering the location of a sub-project, rate the sensitivity of the proposed site in the following table according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable. They do indicate a real risk of causing undesirable adverse environmental and social effects, and that more substantial environmental and/or social planning may be required to adequately avoid, mitigate or manage potential effects. Issues Natural habitats Water quality and water resource availability and use Natural hazards vulnerability, floods, soil stability/ erosion Cultural property Low No natural habitats present of any kind Water flows exceed any existing demand; low intensity of water use; potential water use conflicts expected to be low; no potential water quality issues Flat terrain; no potential stability/erosion problems; no known volcanic/seismic/ flood risks No known or suspected cultural heritage sites Site Sensitivity Medium No critical natural habitats; other natural habitats occur Medium intensity of water use; multiple water users; water quality issues are important Medium slopes; some erosion potential; medium risks from volcanic/seismic/ flood/ hurricanes Suspected cultural heritage sites; known heritage sites in broader area of influence 70 High Critical natural habitats present Intensive water use; multiple water users; potential for conflicts is high; water quality issues are important Mountainous terrain; steep slopes; unstable soils; high erosion potential; volcanic, seismic or flood risks Known heritage sites in project area Rating Issues Involuntary resettlement Low Low population density; dispersed population; legal tenure is welldefined; welldefined water rights Site Sensitivity Medium Medium population density; mixed ownership and land tenure; well-defined water rights High High population density; major towns and villages; low-income families and/or illegal ownership of land; communal properties; unclear water rights Rating Completeness of Sub-projects Application: Does the sub-project application document contain, as appropriate, the following information? Yes Description of the proposed project and where it is located Reasons for proposing the project The estimated cost of construction and operation Information about how the site was chosen, and what alternatives were considered A map or drawing showing the location and boundary of the project including any land required temporarily during construction The plan for any physical works (e.g. layout, buildings, other structures, construction materials) Any new access arrangements or changes to existing road layouts Any land that needs to be acquired, as well as who owns it, lives on it or has rights to use it A work program for construction, operation and decommissioning the physical works, as well as any site restoration needed afterwards Construction methods Resources used in construction and operation (e.g. materials, water, energy) Information about measures included in the sub-projects plan to avoid or minimize adverse environmental and social impacts Details of any permits required for the project 71 No N/A Environmental and Social Checklist Yes A 1 2 3 4 4 5 6 7 8 9 B 10 11 12 13 14 15 16 17 18 C 19 20 21 22 No Type of activity – Will the sub-projects : Involve the construction or rehabilitation of any small dams, weirs or reservoirs? Support irrigation schemes? Build or rehabilitate any rural roads? Build or rehabilitate any electric energy system? Involve food processing? Build or rehabilitate any structures or buildings? Support agricultural activities? Be located in or near an area where there is an important historical, archaeological or cultural heritage site? Be located within or adjacent to any areas that are or may be protected by government (e.g. national park, national reserve, world heritage site) or local tradition, or that might be a natural habitat? Depend on water supply from an existing dam, weir, or other water diversion structure? If the answer to any of questions 1-9 is “Yes”, please use the indicated Resource Sheets or sections(s) of the ESMF for guidance on how to avoid or minimize typical impacts and risks Environment – Will the sub-projects : Risk causing the contamination of drinking water? Cause poor water drainage and increase the risk of water-related diseases such as malaria or bilharzia? Harvest or exploit a significant amount of natural resources such as trees, soil or water? Be located within or nearby environmentally sensitive areas (e.g. intact natural forests, mangroves, wetlands) or threatened species? Create a risk of increased soil degradation or erosion? Create a risk of increasing soil salinity? Produce, or increase the production of, solid or liquid wastes (e.g. water, medical, domestic or construction wastes)? Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or groundwater (e.g. wells)? Result in the production of solid or liquid waste, or result in an increase in waste production, during construction or operation? If the answer to any of questions 10-18 is “Yes”, please include an Environmental and social Management Plan (ESMP) with the sub-projects application. Land acquisition and access to resources – Will the sub-projects : Require that land (public or private) be acquired (temporarily or permanently) for its development? Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forests) Displace individuals, families or businesses? Result in the temporary or permanent loss of crops, fruit trees or household infrastructure such as granaries, outside toilets and 72 ESMF Guidance Annex IV.1 Annex IV.2 Annex IV.3 Annex IV.4 Annex IV.5 RPF Annex IV.1 Annex VII Yes 23 D 24 F 25 26 No kitchens? Result in the involuntary restriction of access by people to legally designated parks and protected areas? It the answer to any of the questions 19-23 is “Yes”, please consult the ESMF and, if needed, prepare an Resettlement Action Plan (RAP) Pesticides and agricultural chemicals – Will the sub-projects : Involve the use of pesticides or other agricultural chemicals, or increase existing use? If the answer to question 24 is “Yes”, please consult the ESMF and, if needed, prepare a Pest Management Plan (PMP). Dam safety – Will the sub-projects : Involve the construction of a dam or weir? Depend on water supplied from an existing dam or weir? If the answer to question 25-26 is “Yes”, please consult the ESMF ESMF Guidance RPF and Chapter 8 Chapter 10 and PMP document Annex III.1 CERTIFICATION We certify that we have thoroughly examined all the potential adverse effects of this sub-projects. To the best of our knowledge, the sub-projects plan as described in the application and associated planning reports (e.g. ESMP, RAP, PMP), if any, will be adequate to avoid or minimize all adverse environmental and social impacts. IIAM representative (signature):……………………………………………. Community representative (signature): ………………………………………….…………… Extension team representative (signature): …………………………………………………… Date: ………………………………………………… 73 FOR OFFICIAL USE ONLY Desk Appraisal by Review Authority: The sub-project can be considered for approval. The application is complete, all significant environmental and social issues are resolved, and no further sub-project planning is required. A field appraisal is required. Note: A field appraisal must be carried out if the sub-project: Needs to acquire land, or an individual or community’s access to land or available resources is restricted or lost, or any individual or family is displaced May restrict the use of resources in a park or protected area by people living inside or outside of it May affect a protected area or a critical natural habitat May encroach onto an important natural habitat, or have an impact on ecologically sensitive ecosystems (e.g. rivers, streams, wetlands) May adversely affect or benefit an indigenous people Involves or introduces the use of pesticides Involves, or results in: a) diversion or use of surface waters; b) construction or rehabilitation of latrines, septic or sewage systems; c) production of waste (e.g. slaughterhouse waste, medical waste); d) new or rebuilt irrigation or drainage systems; or e) small dams, weirs, reservoirs or water points. The following issues need to be clarified at the sub-project site: ……………………………………………………………………………………………………… ……………………………………………………………………………………………………… ……………………………………………………………………………………………………… A Field Appraisal report will be completed and added to the sub-project file. Name of desk appraisal officer (print): …………………………………………………………... Signature: ………………………………………………… Date: ……………………………… 74 ANNEX III: RESOURCES SHEET ANNEX III.1. SMALL DAMS AND RESERVOIRS Scope of Projects Small dams and reservoirs can have many purposes, for example to provide water for irrigation, water supply and aquaculture, to control erosion or floods, and to generate micro-hydropower. They may involve relatively low structures (weirs) to divert water to other uses without creating a reservoir. Higher structures raise water levels and flood land upstream, and can significantly alter the timing and perhaps temperature of downstream flows. The latter may require resettlement of people, land clearing, and the relocation of roads. Structures that divert water to other uses reduce downstream flows with consequent effects on surface and groundwater hydrology, aquatic habitats, and water users. Even small dams can have complex and significant environmental effects. Planning and design need to be comprehensive and thorough, and will likely involve specialists in a variety of fields (e.g. engineering, hydrology, aquatic ecology, soil and water conservation, sociology, economics). Some of the environmental impacts and mitigation measures that can apply to the target areas are presented in Table 1. Table 1. Potential environmental impacts and mitigation measures for small dams and reservoirs that may apply to APPSA target areas. Potential environmental Adverse effects Human Environment * Loss of productive land (e.g. agriculture, grazing and forestry) * Displacement of people and families * Loss of local livelihoods * Reduction of water available to downstream water users Human Health * Creating habitats for disease carriers such as mosquitoes and snails * Increases in water-related diseases such as Mitigation measures Consider alternatives to a new dam and reservoir for example: Upgrading and renovating existing water supply and irrigation systems; Alternate locations and/or dispersed smaller dams in less sensitive areas; Watershed improvement program to enhance retention of precipitation in soils (see below) Compensate for taken land and structures, and resettlement (including rehousing, reestablishment of livelihood activities, water and sanitation, training) Avoid areas of significant economic or cultural value to local people Ensure that downstream water users (e.g. water supply, irrigation, livestock watering) are partners in planning the dam and mitigation/compensation measures Assess the ecology of disease carriers in the watershed Employ suitable prevention and 75 malaria, schistosomiasis (bilharzia), onchocerciasis (river blindness), and dysenteries, fevers and worms) mitigation measures, including education of local people, construction workers, e.g.: Ensure all construction sites, borrow pits and quarries are properly drained, Finish and manage reservoir margins for proper drainage, Vary the reservoir water level Proper design and operation of dam spillways and gates (timing and volume of discharges) Monitor disease and public health indicators, during and after construction, and take corrective measures (e.g. education, medical) as needed Natural Environment (General) * Loss of natural areas, important habitats, and number and variety of species Avoid: Protected natural areas (biodiversity); Critical habitats or areas with significant biodiversity (e.g. wetlands) Assess state of the watershed, and plan the reservoir (e.g. siltation, evaporation losses) to implement appropriate water conservation program, perhaps including: Watershed improvement measures (e.g. revegetation, reforestation, afforestation, controlled use) to reduce erosion and increase infiltration of precipitation, Training to ensure effective tending of improvement measures (e.g. watering, protection from grazing), Agricultural methods that maximize soil moisture conservation (e.g. mulching, terracing, contour cropping, maintaining soil cover) * Threatened water source(s) for the reservoir (sedimentation) Aquatic Environment - River/Stream * Reduced or altered timing, quantity, quality and temperature of downstream water flows * Altered rates and locations of bed and bank erosion and deposition downstream * Reduction in quantity and quality of aquatic habitats and fish production * Reduction/loss of downstream subsistence or commercial fisheries Ensure thorough analysis and assessment of potential impacts to develop and plan, as part of the project, an acceptable combination of: water releases required to sustain habitats and fish production, habitat improvements to sustain production and fisheries, development assistance to people de pendent on reduced fisheries * Consider alternate dam locations and possibility of fish around dam * Blockage of fish migration and access to upstream spawning areas by dam; decreases in fish populations downstream Aquatic Environment - reservoir * Conversion of aquatic species in reservoir from those that require flowing water to those that need still water, and resulting effects on fishing activities *Assess fish production potential of reservoir, and implement feasible measures to enhance production (e.g. habitat design, stocking, aquaculture) * Provide development assistance to local people to benefit from reservoir fisheries 76 * Deterioration of reservoir water quality * Provide areas for bathing, laundering, and animal watering away from reservoir * Ensure local sanitation facilities do not release pollutants to surface or roundwaters reaching the reservoir * Prevent livestock access to reservoir * Deterioration of reservoir water from: - Decomposition of flooded vegetation flooding; Nutrients in eroded soils and agrochemicals * Clear vegetation from reservoir area before * Train farmers in soil and water conservation, agricultural fertilizers and in appropriate use of fertilizers Terrestrial Environment * Raised water table around the reservoir, waterlogging and salinization of soils, and lowered agricultural productivity ENVIRONMENTAL STANDARDS * National legislation on protected areas (natural cultural and built environments) * National legislation on protecting natural resources (e.g. fish, wildlife, forest cover) * International environmental conventions (e.g. waters and heritage, wetlands) * National water quality standards and controls * National controls on use of fertilizers * Health and safety standards for construction activities * Project support to improve agricultural land drainage and production around reservoir * Develop tolerant fodder and crop species around reservoir ENVIRONMENTAL QUALITY INDICATORS Pollution: Fish deaths, concentrations of suspended sediments and contaminants (e.g. pesticides) in surface reservoir, Reservoir oxygen levels Environmental Health: pesticides and herbicides, Degree of biodiversity (numbers of plant, fish, animal and bird species) in the watershed, Extent of critical habitats Human Wellbeing: Incidence of human and animal illness or disease, Poverty levels 77 ANNEX III.2: SMALL IRRIGATION SCHEMES Scope of projects Small irrigation schemes can serve a few families or an entire community. They can involve new irrigation for existing rain-fed agriculture, the development of uncultivated areas, and changes or expansions to existing schemes. Water may be pumped from lakes, ponds or underground, or be diverted from streams or rivers. Pipes, channels or ditches carry the water to farmers' fields where it is distributed to crops by gravity on the soil surface, by hand, or by other means. Irrigated agriculture involves complex soil-water-plant relationships, and should not be undertaken without thorough informed planning, even at a small-scale. While the benefits of irrigation can be obvious and impressive, the adverse environmental effects can be significant, long-term, and perhaps permanent. The most significant environmental issues with small irrigation schemes concern threats to human health and soil productivity. Health effects arise from stagnant water in canals, ditches or fields that provide habitats for water-borne disease carriers. Losses of soil productivity result from over-irrigation or poor soil drainage. These lead to waterlogging and salinization of the soils, and a reduction or complete loss of their usefulness for cropping. Salinization is the build-up of mineral salts in the soil as water evaporates from the soil surface. Some of the environmental impacts and mitigation measures that can apply to the target areas are presented in Table 1. Table 1. Potential environmental impacts and mitigation measures for small irrigation schemes that may apply to APPSA target areas. Potential environmental Adverse effects Human Environment * Upsetting existing social and economic community management relationships, land tenure system, security of livelihoods and gender division of labor * Conflicting demands on surface or groundwater supplies Human Health * Creating habitats in canals and ditches for disease carriers such as mosquitoes and Mitigation measures * Avoid sites that require: Resettlement, Displacement of other important land uses, or Encroachment on historical, cultural, or traditional use areas. * Locate and size irrigation schemes: - Where water supplies are adequate and the scheme will not conflict with existing human, livestock, wildlife or aquatic water uses, especially during dry seasons - So that withdrawals do not exceed "safe yield" from groundwater resources * Encourage crops with lower water demands * Ensure effective community organization for equitable distribution of water * Assess ecology of disease carriers in the project area, and employ suitable prevention and 78 snails responsible for spreading diseases such as malaria and schistosomiasis (bilharzia) * Spreading infection and disease through the inappropriate use of irrigation canals for water supply, bathing or human waste disposal * Health effects from improper storage, handling, use or disposal of agro-chemicals (pesticides and herbicides) Soils * Waterlogging mitigation measures, e.g.: - Site and orient water works, fields and furrows to ensure adequate natural drainage of surface water, - Use lined canals and pipes to discourage vectors - Avoid unsuitable gradients, and creating stagnant or slowly moving water, - Construct straight or only slightly curved canals, - Install gates at canal ends to allow complete flushing, - Ensure adequate sub-surface drainage of fields, - Avoid over-irrigation, Maintain water works, and clear sediment and weeds regularly * Provide/ensure alternate facilities for domestic water supply, bathing and human waste disposal * Provide education and training for farmers and other community members on: - Irrigation health risks, - Efficient use of irrigation water, - Maintenance of irrigation and drainage works, - Proper storage, handling, use and disposal of agro-chemicals, - Integrated pest management * Monitor disease/infection occurrence and public health indicators, and take corrective measures (e.g. physical changes to irrigation scheme, education, medical) as needed * Thoroughly assess project soils and their management needs under irrigated agriculture * Apply water efficiently. Consider drip or dawn/evening sprinkler irrigation. * Install and maintain adequate surface and subsurface drainage * Use lined canals or pipes to prevent seepage * Salinization * Avoid waterlogging (above) * Mulch exposed soil surfaces to reduce evaporation * Flush irrigated land regularly * Cultivate crops having high tolerance to salinity * Erosion * Design and layout of furrows appropriately * Avoid unsuitable gradients * Avoid over-irrigation * Install sediment traps in fields and canals to capture sediment for return to fields * Minimum tillage, contour cropping, terracing and other methods of conserving soil moisture Water Bodies and Aquatic Ecosystems * Loss or damage to wetlands and their environmental services, biodiversity, and ecological productivity * Avoid: - Locating irrigation schemes on or near important wetlands (Special attention should be given to Marromeu), - Developing irrigation 79 water sources that may reduce wetland water supply, - Draining irrigated fields into wetlands * Reduced quality of surface and groundwaters receiving excess irrigation water or drainage (nutrients, agro- salinization chemicals, salts and minerals) ENVIRONMENTAL STANDARDS National legislation on protected areas (natural, cultural and built environments) National legislation on protecting natural resources (e.g. fish, wildlife, forest cover) International environmental protection conventions (e.g. RAMSAR, Biodiversity) National water quality standards and controls National controls on storage, handling, use and disposal of agro-chemicals * Follow Soils mitigation measures (above) to minimize risks of waterlogging and * Use agro-chemicals appropriately (see Human Health above) * Prevent surface drainage of fields into nearby water bodies (streams, ponds, etc.) ENVIRONMENTAL QUALITY INDICATORS Pollution: Water quality (nutrients, agrochemicals, pH, Conductivity, turbidity, Sodium Absorption Rate -SAR) in water supply and drainage canals, and wells; Physical and chemical properties of irrigated soils; Environmental Health: Water table levels in project area (including wetlands); Rate of extinction of existing resources (e.g. fish, wildlife, forest cover); Rate of occurrence of disease carriers Human Wellbeing: Incidence of human and animal illness or disease; Poverty levels 80 ANNEX III.3. RURAL ROADS Scope of Projects Rural roads can have substantial economic and social benefits as well as have significant negative and long-term impacts. Many of these impacts can be avoided or minimized through careful and comprehensive planning and design. Roads that involve relocation of existing routes, or new access into previously inaccessible areas, can create particularly difficult impacts on communities and land use, both directly and indirectly. Indirect impacts include the economic, social and environmental effects, whether planned or spontaneous, induced by the improved access and lower transportation costs a road creates. Such new roads and relocations are large projects beyond the scope of this resources sheet. APPSA-supported rural roads will involve upgrading existing roads or tracks to improve access to markets. They will be built with local labor, unpaved, and will be narrower and can have tighter curves and steeper grades than highways. They may be all-weather or seasonal. Close management of construction work is important to avoiding most construction impacts. Adequate road maintenance is essential to avoid environmental problems, and is often inadequate due to lack of funds or well-trained personnel. The most important direct impact of rural roads is typically erosion -- during construction and then operation. Because traffic intensity is low, air and water pollution and noise are generally not significant problems. Indirect impacts need to be considered, but are unlikely to be as significant as those caused by new roads or relocations. Some of the environmental impacts and mitigation measures that can apply to the target areas are presented in Table 1. Table 1. Potential environmental impacts and mitigation measures for Rural Roads that may apply to APPSA target areas. Potential environmental Adverse effects Human Environment * Negative social and economic effects on local people and communities, such as: - Unplanned commercial development - Demand for local public infrastructure and services increases beyond capacities - Disruption of traditional lifestyles * Induced population movements and natural resource exploitation activities, due to improved access (e.g. conversion of forest to pasture, or of sustainable land use to unsustainable, short-cycle cropping; illegal or unsustainable hunting). Human Health * Social disruption during construction (e.g. enhanced transmission of STDs, HIV/AIDS and TB) Mitigation measures * Work with affected communities to anticipate and plan for enhanced access to and demand on local public infrastructure and services * Provide project funds to strengthen local public existing infrastructure and services (e.g. health clinics, markets, schools) * Avoid creating congested and unsafe road conditions at intersections, and in villages and towns * Comprehensive community participation in construction planning and management * Education on avoiding communicable diseases 81 * Creation of stagnant water in construction borrow pits and quarries, and on road sides, that breed disease carriers * Assess ecology of disease carriers in road corridor, and employ suitable mitigation measures (e.g. proper drainage of construction areas and road sides, effective road maintenance) * Minimize use of road-side herbicides * Health risks during road use due to herbicides used to control road-side weeds Soil and Vegetation * Loss of natural areas, important habitats, biodiversity * Landslides, slumps and slips * Increased soil erosion leading to sediment in runoff and, possibly, gully formation from: - Construction activities such as grading, excavations, and borrowing/quarrying - Inadequate design of culverts and drainage controls flows - Inadequate maintenance of road surface, ditches, burrow/quarry sites and, drainage and erosion control measures Surface and Groundwater * Disruption of natural surface and subsoil drainage patterns, especially in flood-prone or wetland areas * Increased runoff from road surface * Contamination by spills oil, fuels and lubricants from construction equipment Aquatic Environments Soil erosion leading to: - Increase in the turbidity of water courses - Temporary or permanent covering of riverbed organisms and habitats *Avoid infringing on: - Protected natural sites and wilderness areas, - Critical habitats or areas with significant biodiversity (e.g. wetlands). * Avoid: - Areas of soil, slope or geological instability, - Unstable river crossing sites Design: - Use surface drainage controls and mulch on vulnerable surfaces and slopes - Size and locate roadside drainage and culverts to handle maximum anticipated flows - Line receiving surfaces with stones or concrete - Locate and design borrow/quarry sites for erosion control during road construction and future maintenance operations Construction: - Limit earth movement and soil exposure to the dry season - Balance cut and fill for minimum deposition of earth - Provide sedimentation basins - Resurface and revegetate exposed surfaces - Ensure proper and timely maintenance of erosion control and drainage measures along the road and at borrow/quarry sites * Minimize soil compaction and time that soil surfaces are exposed * Provide adequate surface drainage control for both construction and operation * Size and place culverts and bridges correctly * Establish measures to avoid accidental spills, and contain them if they do happen * Collect and recycle used lubricants * Follow Soil and Vegetation and Surface and surface Groundwater mitigation measures above * Install culverts and bridges in dry season 82 * Watercourse and drainage blockages at culverts and bridges * Erosion of embankments and roadside slopes Animals and Wildlife * Blocked animal and wildlife movements * Animal/wildlife road kills ENVIRONMENTAL STANDARDS National legislation on protected areas (natural, cultural and built environments) International environmental protection conventions (e.g. RAMSAR, Biodiversity) National water quality standards and controls Health and safety standards for road construction and use * Ensure adequate maintenance of: - Culverts and bridges,- Roadside slopes, drainage control measures and vegetation, - Road surface * Avoid fencing across known animal and wildlife movement routes * Animal/wildlife crossing warnings, night time speed limitations or perhaps closures ENVIRONMENTAL QUALITY INDICATORS Pollution: Concentrations of suspended sediments in surface waters, water turbidity, salinity and pH. Environmental Health: Degree of biodiversity (numbers of plant, fish, use animal and bird species) in road vicinities; Extent of critical habitats; Human Wellbeing: Occurrence of illness or disease, Frequency of traffic accidents involving vehicles or pedestrians; Poverty levels 83 ANNEX III.4. FOOD PROCESSING Scope of Projects Small-scale food processing may be home-based or small enterprises that use a wide variety of processes and technologies to convert animal and plant products into human food. Food processing of all kinds can create environmental problems if not managed properly. Solid and/or liquid wastes can be highly polluting and create offensive odors. Water use can place excessive demands on local supplies. Wastewater containing organic and other wastes can degrade streams and rivers, and contaminate groundwater. Stagnant pools of polluted water can be highly odorous and provide breeding grounds for mosquitoes. Some of the environmental impacts and mitigation measures that can apply to the target areas are presented in Table 1. Table 1. Potential environmental impacts and mitigation measures for food processing that may apply to APPSA target areas. Potential environmental Adverse effects Human Environment * Water supply conflicts: - Negative social and economic effects on existing community water management practices relationships - Conflicting demands on surface or groundwater supplies Human Health * Illness or disease due to pollution of water sources from food processing wastes Mitigation measures * Minimize water use by use "dry cleanup" (e.g. sweeping, wiping down) of solid wastes before washing, regulate water flows (e.g. valves, high pressure nozzles) and reuse water * Develop supply sources: - Where water quantities are adequate and the project will not conflict with existing human, livestock, wildlife or aquatic water uses, especially during dry seasons; - So that withdrawals do not exceed "safe yield" from groundwater resources * Follow General Measures above to minimize water use and provide good management of solid and liquid wastes * Damaging worker health * Provide/strengthen health and safety training, accident prevention and equipment (e.g. face masks, rubber gloves, boots, ear plugs, good ventilation) * Practice good housekeeping (e.g. clean floors regularly, install drip trays) * Repair and maintain machinery for safe and quiet operation Water Quality * Degradation of groundwater, streams and rivers from solid and liquid wastes; and consequent * Deterioration and contamination of aquatic habitats and resident species from waste discharges * Follow General Measures above to minimize water use and solid and liquid wastes * Screen waste liquids to remove solids * Install grease traps and skim tanks. * Locate waste disposal sites away from surface and groundwater sources, watercourses, housing 84 and town centers * Ensure receiving waters for liquid wastes are able to absorb and naturally decompose the effluent * Ensure waste that is stored before transport to treatment facility or landfill cannot leak into the ground ENVIRONMENTAL STANDARDS National/local standards and regulations for the discharge of industrial wastewater to i) sewers and ii) streams and rivers National water quality standards and controls Workplace health and safety regulations ENVIRONMENTAL QUALITY INDICATORS Pollution Quality (nutrients, chemicals, salinity) of liquid effluent and receiving waters Environmental Health Surface water flows and groundwater table levels in project area Productivity of aquatic environments receiving liquid waste Human Wellbeing Incidence of human illness or disease 85 ANNEX III.5. STRUCTURES AND BUILDINGS Scope of Projects Sub-projects may include the construction of buildings notably markets and grain storage facilities. Markets will include ancillary facilities such as sanitation, drainage, and access. Although the envisaged construction is small-scale and likely to have localized environmental impact, there are some precautionary measures requiring consideration in the planning, construction and operational phases of the project cycle. Some of the environmental impacts and mitigation measures that can apply to the target areas are presented in Table 1. Table 1. Potential environmental impacts and mitigation measures for structures and buildings that may apply to APPSA target areas. POTENTIAL MITIGATION MEASURE PHASE ENVIRONMENTAL IMPACTS Loss of indigenous vegetation Locate site in order to avoid Planning Phase or sensitive habitats destruction of indigenous vegetation or sensitive habitats. Loss of productive inhabited * Locate site on uninhabited land and/or assets due to land when possible. If location of site inhabited, follow guidelines found in Resettlement Policy Framework and in Operational Manual. * Locate site on least productive or degraded land Loss, of vacant or unused Locate project on least productive land resources and productive or degraded land other assets on any site Loss of inhabited or used land, When possible locate site on resources and assets, by people vacant or unused land with no without officially usage rights issues OR affected recognized usage rights for the people may site voluntarily give up land and assets on the site and be provided with replacement or restoration of losses (see RPF and Operational Manual) Loss of rights and used or When possible locate site on unused land, resources and vacant or unused land with no assets by people without or fewer usage rights issues OR officially recognized usage affected people may voluntarily rights for the site give up rights, land and assets on the site and be provided with replacement or restoration of losses (see RPF and Operational Manual) Soil erosion (note steep areas, Locate site on level ground Construction Phase lack of vegetation cover and 86 high rainfall) Removal of intact vegetation such as trees, stream bank vegetation etc. Unforeseen damage to neighboring property (e.g. damage to vegetable garden) Localized soil/water pollution from incorrect storage and handling of diesel fuel. Localized soil/water pollution from used engine oil. Accumulation of solid wastes creating health risks and negative aesthetic impact. Operational phase Accumulation of non-hazardous solid wastes creating health risks and negative aesthetic impacts.. poorly maintained latrines and drainage channels drainage Lack of shade 87 Wherever possible avoid removal of trees or other intact vegetation Ensure that construction workers vehicles and materials do not enter neighboring property Carefully selected storage area for handling of fuels to prevent localized pollution of soils Used engine oil should be properly stored in drums and returned to the supplier for recycling or should be disposed of in proper disposal sites. (i)Remove and dispose of solid waste in pits and cover with top soil on closure; (ii) recommended: mount awareness campaigns for the workforce. (iii) where possible use building debris for backfilling and construction of drains, soak-aways and paved walk ways (i) Remove and dispose of solid waste in dedicated land fill site or dig pits and cover with top soil (ii) Design, promote & conduct public hygiene awareness campaigns focusing on adverse health impacts arising as a consequence of indiscriminate disposal of solid wastes Establish a routine maintenance & cleaning service through caretaker or community action. Through public health education campaigns, raise awareness about the dangers of exposed sewage and blocked channels Plant shade trees and shrubs ANNEX III.6. ELECTRIC ENERGY Scope of projects Some sub-projects may include the rehabilitation and/or establishment of electric energy to feed electric pumps. This would be performed most likely through the national electric system. This will not only feed in electric pumps for irrigation schemes but can also provide energy for local population. Although the envisaged sub-projects are of small-scale and likely to have localized environmental impact, there are some precautionary measures requiring consideration especially during construction/rehabilitation and operation of the electric energy system. Some of the environmental impacts and mitigation measures that can apply to the target areas are presented in Table 1. Table 1. Potential environmental impacts and mitigation measures for electric energy systems. Potential environmental Adverse effects Human Environment Risks of accidents for local population (electrocution) Mitigation measures delimitation and signalization of the risk area Awareness regarding to the risks Biophysic Environment Landscape modification Ecosystem loss and fragmentation Fauna perturbation Increased erosion due to vegetation removal *Vegetation removal only in justified situations; *Vegetation recuperation whenever the risk of erosion is high; *Avoid ecological sensitive areas; *Establish the system along the existing roads to Avoid further ecosystem/vegetation loss; *Design the system according to the local topography ENVIRONMENTAL STANDARDS ENVIRONMENTAL QUALITY INDICATORS Land Law (areas of partial protection and compensations due to construction) extension of protected area and/or ecosystem crossed or removed Roads Law Number of species (fauna and flora) lost National legislation on protected areas (natural, cultural and built environments) Number of properties lost and compensation Amount of soil loss due to erosion Electric Energy Law 88 ANNEX IV: ENVIRONMENTAL AND SOCIAL FIELD APPRAISAL FORM NAME OF PROJECT Application Number: (APPSA Project) PART 1: IDENTIFICATION 1. Project Name: (for example: Rehabilitation of the Sussundenga road, Sussundenga District) 2. Project Location: (for example: Sussundenga District, Manica Province) 3. Reason for Field Appraisal: Summarize the issues from the ESMF Checklist that determine the need for a Field Appraisal. 4. Date(s) of Field Appraisal: 5. Field Appraisal Officer and Address: 6. Extension Team Representative and Address: 7. Community Representative and Address: PART 2: DESCRIPTION OF THE PROJECT 8. Project Details: Provide details that are not adequately presented in the sub-project application. If needed to clarify sub-project details, attach sketches of the sub-project component(s) in relation to the community and to existing facilities. PART 3: ENVIRONMENTAL AND SOCIAL ISSUES 9. Will the project: Yes No * Need to acquire land? * Affect an individual or the community's access to land or available resources? * Displace or result in the involuntary resettlement of an individual or family? If "Yes", tick one of the following boxes: The Resettlement Action Plan (RAP) included in the sub-project application is adequate. No further action required. The RAP included in the sub-project application must be improved before the application can be considered further. A RAP must be prepared and approved before the application can be considered further. 10. Will the project: Yes 89 No * Encroach onto an important natural habitat? * Negatively affect ecologically sensitive ecosystems? If "Yes", tick one of the following boxes: The Environmental and Social Management Plan (ESMP) included in the sub-project application is adequate. No further action required. The ESMP included in the sub-project application must be improved before the application can be considered further. An ESMP must be prepared and approved before the application can be considered further. 11. Will this project involve or introduce pesticides? No Yes If "Yes", tick one of the following boxes: The Pest Management Plan (PMP) included in the sub-project application is adequate. No further action is required. The PMP included in the sub-project application must be improved before the application can be considered further. A PMP must be prepared and approved before the application can be considered further. 12. Will this project involve or result in: Yes No * Diversion or use of surface waters? * Production of waste (e.g. slaughterhouse waste)? * New or rebuilt irrigation or drainage systems? If "Yes", tick one of the following boxes: The application describes suitable measures for managing the potential adverse environmental effects of these activities. No further action required. The application does not describe suitable measures for managing the potential adverse environmental effects of these activities. An ESMP must be prepared and approved before the application is considered further. 13. Will this project require the construction of a small dam or weir? Yes No If "Yes", tick one of the following boxes: The application demonstrates that the structure(s) will be designed by qualified engineers, and will be built by qualified and adequately supervised contractors. No further action is required. The application does not demonstrate that the structure(s) will be designed by qualified engineers, and will be built by qualified and adequately supervised contractors. The application needs to be amended before it can be considered further. 14. Will this project rely on water supplied from an existing dam or weir? No If "Yes", tick one of the following boxes: 90 Yes The application demonstrates that a dam safety report has been prepared, the dam is safe, and no remedial work is required. No further action is required. The application does not demonstrate that a dam safety report has been prepared, the dam is safe, and no remedial work is required. A dam safety report must be prepared and approved before the application is considered further. 15. Are there any other environmental or social issues that have not been adequately addressed? Yes No If "Yes", summarize them: and tick one of the following boxes: Before it is considered further, the application needs to be amended to include suitable measures for addressing these environmental or social issues. An ESMP needs to be prepared and approved before the application is considered further. PART 4: FIELD APPRAISAL DECISION The sub-project can be considered for approval. Based on a site visit and consultations with both interested and affected parties, the field appraisal determined that the community and its proposed project adequately address environmental and/or social issues as required by the ESMF. Further sub-project preparation work is required before the application can be considered further. The field appraisal has identified environmental and/or social issues that have not been adequately addressed. The following work needs to be undertaken before further consideration of the application: All required documentation such as an amended application, ESMP, RAP, or PMP will be added to the sub-projects file before the sub-projects is considered further. Name of field appraisal officer (print): ..................................................................... Signature: ................................................Date: …………………………………… 91 ANNEX V: GUIDELINES FOR ANNUAL REPORT Name of the Project: (APPSA Project) Application Number: 1. Name of District or Local Government: 2. Name and Position of Review Authority Completing the Annual Report: 3. Reporting Year: 4. Date of Report: 5. Community Sub-project (s): Water Supply Water point rehabilitation Earth dam rehabilitation Community reservoirs Small dams Water harvesting facility Gravity water schemes Roads and Energy Tertiary/secondary roads Tertiary/secondary road culverts/bridges Footpaths Rural electrical distribution Agriculture and markets Terracing Agro-processing facilities Post harvest handling facilities Market places Mechanization Natural resources management Anti-erosion interventions and soil fertility restoration 92 Specific TA RAP/ARAP PMP EMP Field Appraisal Application included an ESMF checklist Types of Activities Approved this year Please enter the numbers of sub-projects in the following table. Specific TA RAP/ARAP PMP EMP Field Appraisal Application included an ESMF checklist Approved this year Types of Activities Demonstration/nutrition gardens Stream and river bank protection Wetland development 6. Were there any unforeseen environmental or social problems associated with any sub-project approved and implemented this year? If so, please identify the subproject (s) and summarize the problem (s) and what was or will be done to solve the problem (s). Use a summary table like the one below. Sub-project Problem(s) Actions taken Actions to be taken 7. Have any other environmental or social analyses been carried out by other public or private agencies in your district/province? If so, please describe them briefly. ……………………………………………………………………………………………… ……………………………………………………………………………………………… ……………………………………………………………………………………………… ………………………. 8. Have you noticed any particular problems with implementing the ESMF in the past year (e.g. administrative, communications, forms, capacity)? If so, please describe them briefly. ……………………………………………………………………………………………… ……………………………………………………………………………………………… ……………………………………………………………………………………………… ……………………… 9. Training: Please summarize the training received in your district/province in the past year, as well as key areas of further training you think is needed. 93 Group Review Authority Training Received Approval Authority Extension Teams Selected farmers/Associations 94 Training Needed ANNEX VI: GUIDELINES FOR ANNUAL REVIEWS Objectives: The objectives of annual reviews of ESMF implementation are two-fold: a) To assess Project performance in complying with ESMF procedures, learn lessons, and improve future performance; and b) To assess the occurrence of, and potential for, cumulative impacts due to APPSAfunded and other development activities. The annual reviews are intended to be used by APPSA management (Consultative Forum) to improve procedures and capacity for integrating natural resources and environmental/social management into project operations. They will also be a principal source of information to Bank supervision missions. Scope of Work: ESMF Performance Assessment The overall scope of the performance assessment work is to: a) Assess the adequacy of the sub-project approval process and procedures based on interviews with project participants, project records, and the environmental and social performance of a sample of approved sub-projects; b) Assess the adequacy of ESMF roles and responsibilities, procedures, forms, information resource materials, etc.; c) Assess the needs for further training and capacity building; d) Identify key risks to the environmental and social sustainability of sub-projects; and e) Recommend appropriate measures for improving ESMF performance. The following tasks will be typical: a) Review provincial and district records of sub-projects preparation and approval (e.g. applications; screening checklists; ESMPs, RAP and PMPs appraisal forms; approval documents), monitoring reports as well as related studies or reports on wider issues of natural resources and environmental management in the country; b) On the basis of this review, conduct field visits of a sample of approved sub-projects to assess the completeness of planning and implementation work, the adequacy of environmental/social design, and compliance with proposed mitigation measures. The sample should be large enough to be representative and include a substantial proportion of sub-projects that had (or should have had) a field appraisal according to established ESMF criteria (see Section 9.2 Appraisal and Approval). Sub-projects in sensitive natural or social environments should especially be included. c) Interview project and district officials responsible for sub-projects appraisal and approval to determine their experience with ESMF implementation, their views on the strengths and weaknesses of the ESMF process, and what should be done to improve performance. Improvements may concern, for example, the process itself, the available tools (e.g.guidelines, forms, and information sheets), the extent and kind of training available, and the amount of financial resources available. d) Develop recommendations for improving ESMF performance. 95 Cumulative Impacts Assessment This part of the annual review assesses the actual or potential cumulative impacts of subprojects with other sub-projects or development initiatives on the environment, natural resources and community groups. Cumulative impacts result from a number of individual small-scale activities that, on their own, have minimal impacts, but over time and in combination generate a significant impact. For example: * Decline in groundwater levels or quality due to the construction of numerous wells and the introduction of numerous small-scale irrigation works; * Overwhelmed or illegal waste and dumping sites due to the inappropriate disposal of increasing amounts of waste materials; * Illegal poaching of wildlife due to expansion of land under cultivation or increased proximity and access to protected areas through construction of small access roads; and * Attraction of large migrant populations to communities that have successfully introduced improve social infrastructure (such as schools, health centers or water sources) resulting in overcrowding, depletion of resources (e.g. space, supplies, water), etc. The function of this assessment is primarily as an "early warning" system for potential cumulative impacts that might otherwise go undetected and unattended to. It will be largely based on the observations of people interviewed during the field work, and trends that may be noticed by district or regional officials. Where cumulative impacts are detected or suspected, recommendations will be made to address the issue, perhaps through more detailed study to clarify matters and what should or can be done about them. Qualifications for Undertaking Annual Reviews: The reviews should be undertaken by an individual or small team with training and experience relevant to the likely issues to be encountered (e.g. environmental and natural resources management and land acquisition and resettlement). They should also be familiar with the methods and practices of effective community consultation, and with typical methods and processes for preparing, appraising, approving and implementing small-scale community development projects. Timing: Annual reviews should be undertaken after the annual monitoring report has been prepared and before Bank supervision of the project, at the closing of each year of the project. It is expected that each review would require 3-4 weeks of field work (interviews, examination of sub-projects), and that the review report would be completed within 2 weeks of completing the field work. Outputs: The principal output is an annual review report that documents the review methodology, summarizes the results, and provides practical recommendations. Distinct sections should address: a) ESMF performance and b) cumulative impacts. Annexes should provide the detailed results of the field work, and summarize the number of approved sub-projects by district and their characteristics according to the annual report format (see Annex V). 96 Copies of the annual review report should be delivered to APPSA Consultation Forum, to each district/provincial office responsible for appraisal, approval and implementation of sub-projects, and to the World Bank. The Provincial Review Panel may also want to host national or district workshops to review and discuss the review findings and recommendations. 97 ANNEX VII: GUIDELINES FOR AN ESMP When a sub-project includes distinct mitigation measures (physical works or management activities), an Environmental and Social Management Plan (ESMP) needs to be included with the sub-project application. ESMP Contents: An ESMP usually includes the following components: Description of adverse effects: The anticipated effects are identified and summarized. Description of mitigation measures: Each measure is described with reference to the effect(s) it is intended to deal with. As needed, detailed plans, designs, equipment descriptions, and operating procedures are described. Description of monitoring program: Monitoring provides information on the occurrence of environmental effects. It helps identify how well mitigation measures are working, and where better mitigation may be needed. The monitoring program should identify what information will be collected, how, where and how often. It should also indicate at what level of effect there will be a need for further mitigation. How environmental effects are monitored is discussed below. Responsibilities: The people, groups, or organizations that will carry out the mitigation and monitoring activities are defined, as well as to whom they report and are responsible. There may be a need to train people to carry out these responsibilities, and to provide them with equipment and supplies. Implementation schedule: The timing, frequency and duration of mitigation measures and monitoring are specified in an implementation schedule, and linked to the overall sub-project schedule. Cost estimates and sources of funds: These are specified for the initial sub-project investment and for the mitigation and monitoring activities as a sub-project are implemented. Funds to implement the EMP may come from the sub-project grant, from the community, or both. Government agencies and NGOs may be able to assist with monitoring. Monitoring Methods: Methods for monitoring the implementation of mitigation measures or environmental effects should be as simple as possible, consistent with collecting useful information (see example below) and that community members can apply themselves. For example, they could just be regular observations of sub-project activities or sites during construction and then use. Are fences and gates being maintained and properly used around a new water point?; does a stream look muddier than it should and, if so, where is the mud coming from and why?; are pesticides being properly stored and used? Most observations of inappropriate behavior or adverse effects should lead to commonsense solutions. In some cases (e.g. unexplainable increases in illness or declines in fish numbers), there may be a need to require investigation by a technically qualified person. 98 Table 1. Example of monitoring water quality from a drainage project Item Operation Phase Ground water quality Monitoring Parameter Sampling Frequency Monitoring Location pH salinity Alkalinity conductivity ammonia Total nitrates Phosphorus Pesticide scans BOD COD Monthly tube wells, tile drain outfalls and/or monitoring wells Surface water quality – receiving water pH salinity Alkalinity conductivity ammonia Total nitrates Phosphorus Pesticide scans BOD COD Coliforms weekly Drainage quality pH salinity Alkalinity conductivity ammonia Total nitrates Phosphorus Pesticide scans BOD COD Coliforms Weekly above and below project influence and at strategic stations below and above drainage outfalls at minimum 500 meters; if the river exceeds 3 meters depth, samples at all stations should be at surface and 60-80% of depth At point of discharge 99 ANNEX VIII: VISITED SITES, CONSULTED STAKEHOLDERS AND KEY OBSERVATIONS Site visits to the agrarian research stations were carried out between 10th December 2012 and 8th of January 2013. In general, there are several environmental concerns in the target areas and the contacted stakeholders in each site are presented in Table 1. Umbelúzi Agrarian Station The Umbelú Agrarian Station was founded in 1909 and is Located in Umbelúzi, Boane District in Maputo Province. The area of 60 ha belongs to IIAM (with the DUAT) where several experiments on legumes, roots, maize and rice are taking place. The main problem in this station is related with the irrigation scheme which is from the colonial period and has never received a profound maintenance. According to the head of the station, the main needs associated with the system are: two electro-bombs, maintenance of the main dike (full of grass, sand and other detritus), and rehabilitation of main walls, among others. As a result of these problems the water drainage is insufficient and thus soils have become saline. During site visit it was observed at thin salt layer over the soils, in an area that will probably be used as the APPSA experimental area (Figure 1). No problems were reported in terms of either water quality or quantity. Water quantity is sometimes a stress specially when different crops are in the field at the same time, but with an accurate irrigation schedule, water is enough for all experiments. 100 Figure 1. Salt layer over the soils in the Umbelúzi Agrarian Station. Nicoadala Research Station Nicoadala Research Station was founded in 2006 and is located in Nicoadala District about 15 km north of Quelimane. The experimental fields, of about 85 ha, are located in Mucelo along the EN1 road, in the right hand side of the Mucelo River an affluent of the Bons Sinais River, at approximately 273541 E and 8045596 S. IIAM has the land rights (DUAT) of the area. In the area there are several small (100x50m) rice fields belonging to local communities. Some temporary houses are found in the area and these belong to farmers that are only present in the zone during the rice campaign (November/December to March/April). A power line crosses the area (Figure 2). 101 Figure 2. IIAM’s experimental fields in Nicoadala (Mucelo). Main environmental and social problems in this area are related with water salinity (electrical conductivity of Rio Mucelo is 6.638 μS/m and the pH of 5.8), but the soils do not present major salinity or other problems (electrical conductivity of 211.3 to 683.3. μS/m and a pH of 4.4.3 and 4.86). Water salinity is higher during the dry season when river flow is lower and saline waters from the ocean enter the river through the Bons Sinais River. Socially, the area is being cultivated for rice by around 100 farmers and several conflicts with IIAM were reported during the site visit such as farmers not allowing IIAM to cultivate the area, which resulted in the need for police interference. During the site visit, famers were very renitent in talking to the consultant and inquired the reasons for her presence. APPSA will not develop any activity in this area, given the high salinity of the water from the Mucelo River and thus, an area belonging to DPA in Namacurra District was selected for APPSA. Namacurra DPA’s area The visited site in Namacurra District is located at about 105 km north of Quelimane, along the EN1 road. The site belongs to DPA where a rice processing facility exists and a seed laboratory infrastructure is being built. The area for rice cultivation is located in the low lying area in the margin of the Nadobe River at about 272920 E e 8046086 S. The area belongs to the Maulati (ou Dualia) community. Presently there are a bit over 100 farmers cultivating the area (small farms of 100 x 50 m) and they reported having bought the land from an individual. APPSA will develop the RCoL for rice in an area of 50 ha. Probable project’s activities in this area include: resettlement (of existing farms), construction of an irrigation scheme and mechanization of the area. No major environmental problems were found in this area (soil electric conductivity of 589 μS/m and pH of 5.71; water electric conductivity of 13.40 μS/m and pH of 6.39). Major social problems in this area are related with resettlement of rice farms (over 100 small farms). However during conversations in the field people willing to move their farms to other places, but they reported not knowing any free areas for cultivation nearby. 102 Table 1. List of visited sites and consulted stakeholders. Province Research Station Maputo Umbelúzi Gaza Chóckwe Manica Sussundenga Zambézia Nicoadala (Mucelo)/Namucurra (Dualia,Maulate) Nampula Nampula Consulted stakeholders Enga. Paciência Banze (Head of the RS) 103 IIAM- Eng. Hideraldo Duarte (Researh Station) DPA – Eng. Ilidio Afonso José Bande SDAE (Nicoadala) – Sr. Nel da Graça Bartolomeu DPCAEng. António Osvaldo Paqueleque
