E3069 v3
PRIME MINISTER'S OFFICE REGIONAL ADMINISTRATION AND LOCAL
GOVERNMENT - URBAN LOCAL GOVERNMENT STRENGTHENING PROGRAM
TECHNICAL MANUAL FOR
ENVIRONMENTAL AND SOCIAL
MANAGEMENT IN URBAN LOCAL
GOVERNMENT AUTHORITIES
i
PREAMBLE
By PMO RALG
ii
ACKNOWLEDGEMENTS
This Manual was developed with input and guidance from the following:
PMO RALG: ULGSP Program Coordination Unit
*** PMO RALG to insert names***
World Bank
*** WB to insert names****
Consultant's Project Team
 Saada Juma-Team Leader
 Navonaeli Kaniki-Environmentalist& Project Manager
 Ignatius Ngamesha- Sociologist
Consultant Contact details
ADDRESS: COWI Tanzania Ltd.
398, Kawawa Road
P.O.Box 1007
Dar es Salaam
Tanzania
TEL:
+255 22 266 6161
FAX:
+255 22 266 6094
WWW:
www.cowi-africa.com
EMAIL:
cowi@cowi.co.tz
 Kisakka Huruma- Institutional Assessment
 Eke Mwaipopo- Institutional Assessment
 Karen Marie Baek – D by D backstopping
iii
TABLE OF CONTENT
PREAMBLE ............................................................................................................................... i
ACKNOWLEDGEMENTS ...................................................................................................... ii
List of Figures ....................................................................................................................... v
List of Tables ......................................................................................................................... v
ACRONYMS AND ABBREVIATIONS .................................................................................. 1
PART I: INTRODUCTION AND CONTEXT ......................................................................... 2
1
2
INTRODUCTION ............................................................................................................. 3
1.1
Purpose of the Manual .................................................................................................. 3
1.2
Objectives of the Manual ............................................................................................. 4
1.3
Users of the Manual ..................................................................................................... 4
1.4
Layout of the Manual ................................................................................................... 5
URBAN LOCAL GOVERNMENT SUPPORT PROGRAM DESCRIPTION ................ 7
2.1
Program Background .................................................................................................... 7
2.2
Anticipated ULGSP sub-project types ......................................................................... 8
2.3
ULGSP target areas .................................................................................................... 10
2.4
ULGSP Project coordination and implementation ..................................................... 10
3 GENERAL ENVIRONMENTAL AND SOCIAL MANAGEMENT PRINCIPLES AND
REQUIREMENTS .................................................................................................................. 13
3.1
Introduction ................................................................................................................ 13
3.2
General Principles of Environmental and Social Management .................................. 13
3.3 Relevant Legislature for Environmental and Social Management and Infrastructure
development. ....................................................................................................................... 15
3.4
Relevant Authorities ................................................................................................... 18
PART II:
URBAN LOCAL GOVERNMENT ENVIRONMENTAL AND SOCIAL
MANAGEMENT SYSTEM GUIDE ...................................................................................... 24
4 ENVIRONMENTAL AND SOCIAL ASSESSMENT AND MANAGEMENT
ARRANGEMENTS FOR ULGAs .......................................................................................... 26
5
6
4.1
Introduction ................................................................................................................ 26
4.2
ULGA Environmental and Social Authorization Process .......................................... 26
4.3
Summary of steps ....................................................................................................... 36
SCREENING AND ENVIRONMENTAL CATEGORIZATION OF PROJECTS ....... 38
5.1
Introduction ................................................................................................................ 38
5.2
Screening process ....................................................................................................... 38
URBAN LGA INFRASTRUCTURE ENVIRONMENTAL AND SOCIAL IMPACTS 43
6.1
Introduction ................................................................................................................ 43
6.2
Impacts Identification Method ................................................................................... 43
6.3
Land Take ................................................................................................................... 46
iv
6.4
Effects of External Factors and Processes on Project................................................. 48
6.5
Public Concerns and Views about the Project ............................................................ 49
6.6
Project Implementation .............................................................................................. 49
6.7
Project Decommissioning........................................................................................... 54
7 ENVIRONMENTAL MANAGEMENT CONTROLS AND MITIGATION
MEASURES............................................................................................................................ 55
7.1
Introduction ................................................................................................................ 55
7.2
Guidance on mitigation measures .............................................................................. 55
7.3
Environmental and Social Management Plan (ESMP)............................................... 63
7.4
Integration of Mitigation Measures into Sub-Project Design ..................................... 64
8
Resettlement and Compensation ..................................................................................... 65
8.1
Introduction ................................................................................................................ 65
8.2
RAP Preparation Process............................................................................................ 65
9
Guidelines for review, approval, disclosure of reports and plans.................................... 80
9.1
Introduction ................................................................................................................ 80
9.2
Review and Approval Process .................................................................................... 80
10
Monitoring of Environmental and Social issues during project implementation ....... 83
10.1
Introduction ............................................................................................................ 83
10.2
Project implementation process ............................................................................. 83
11
Guidance on Report Contents..................................................................................... 87
PART III: FORMS AND TEMPLATES ................................................................................ 92
FORM No1- ESIA REGISTRATION FORM ..................................................................... 93
TEMPLATE No 1: Terms of References for Environmental Impact Assessment .............. 97
FORM No 2: Screening Checklist ..................................................................................... 104
TEMPLATE No 2: Environmental and Social Management Plan..................................... 107
TEMPLATE NO 3: RAP Implementation Schedule .......................................................... 108
TEMPLATE NO 4: Table of cost/budget estimates for RAP ............................................ 109
TEMPLATE NO 5: Grievance Record Form ..................................................................... 110
Form No 3: EIA Certificate Form ...................................................................................... 111
TEMPLATE NO 6: Environmental and Social Monitoring Plan ....................................... 113
TEMPLATE NO 7: ESMP Compliance Record ................................................................ 114
PART IV: MANUAL IMPLEMENTATION ....................................................................... 115
12
CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE .......... 116
12.1
Institutional Capacity Building ............................................................................ 116
12.2
Training ................................................................................................................ 122
12.3
Budgets and expenditures Template .................................................................... 125
GLOSSARY OF TERMS ..................................................................................................... 127
REFERENCES ...................................................................................................................... 129
v
APPENDIX A: Detailed Legislative Requirements .............................................................. 131
1.
FRAMEWORK POLICIES AND LEGISLATION ................................................. 131
2.
LAND AND LANDUSE LAWS ............................................................................. 139
3.
OTHER RELEVANT ENVIRONMENTAL AND SOCIAL LAWS ...................... 152
4.
URBAN LOCAL GOVERNMENT ......................................................................... 154
5.
LAWS RELEVANT TO INFRASTRUCTURE DEVELOPMENT........................ 155
APPENDIX B: World Bank's Programme for Results Financing ......................................... 156
Aim of Program for Results .............................................................................................. 156
Key performance areas under Programme for Results Financing ..................................... 156
Environmental and Social Performance Indicators ........................................................... 157
APPENDIX C: Project Specific Guidance ............................................................................ 159
City roads and related infrastructure ................................................................................. 160
Markets and Trade ............................................................................................................. 166
Solid Waste management .................................................................................................. 169
List of Figures
Figure 1: Key Actors in implementing and coordinating the ULGSP ......................... 12
Figure 2. Institutions in the National ESIA process .................................................. 118
Figure 3. Institutional structure for LGA ESIA process ............................................ 119
List of Tables
Table 1: Types of eligible urban infrastructure sub-projects that can be financed by
the UPG.......................................................................................................................... 9
Table 2: List of ULGAs participating in the ULGSP .................................................. 10
Table 3 ULGA Roles and Responsibilities in implementing ULGSP ......................... 11
Table 4 Guiding Principles for Environmental and Social Management in ULGSP .. 14
Table 5 Summary of relevant legislation ..................................................................... 16
Table 6 Institutional Structure for Environmental and Social Management ............... 19
Table 7 Institutional Structure for Land and Land Use at national level ..................... 21
Table 8 Relevant Sectoral Authorities ......................................................................... 22
Table 9 : Leopold's Matrix of impact identification .................................................... 45
Table 10 Sample of Environmental and Social Management Plan – Abattoir
/slaughter-house ........................................................................................................... 63
Table 11 Example of an Entitlement Matrix from the Road Sector ............................ 72
Table 12 Example of an Environmental and Social Monitoring Plan (ESMoP) ......... 85
Table 13 Content of a Scoping Report ......................................................................... 87
Table 14 Content of a PESA Report ............................................................................ 88
Table 15 Content of an ESIS ....................................................................................... 89
Table 16 Content of a RAP report ............................................................................... 90
Table 17 Content of an Environmental and Social Monitoring Report ....................... 91
Table 18. Example of implementation budget for a Five-Year Project ..................... 126
1
ACRONYMS AND ABBREVIATIONS
CBG
Capacity Building Grant
CDG
Capacity Development Grant
DAS
District Administrative Secretary
DbyD
Decentralisation by Devolution
DoE
Division of Environment
EMA
Environmental Management Act
EIAA Regulations
Environmental Impact Assessment and Audit Regulations
EIS
Environmental Impact Statement
ESD
Environmentally Sound Design
ESIA
Environmental and Social Impact Assessment
ESM
Environmental and Social Management
ESMM
Environmental and Social Management Manual
ESMP
Environmental and Social Management Plan
ESMoP
Environmental and Social Monitoring Plan
ESMS
Environmental and Social Management System
IPS
Infrastructure Proponent Section
GoT
Government of Tanzania
LGA
Local Government Authority
LGDG
Local Government Development Grant
LGRP
Local Government Reform Program
MEO
Mtaa Executive Officer
MLHHSD
Ministry of Lands Housing and Human Settlement Development
NEMC
National Environmental Management Council
PAP
Project Affected Person
PESA
Preliminary Environmental and Social Assessment
PESAR
Preliminary Environmental and Social Assessment Report
PMO-RALG
Prime Minister's Office- Regional Administration and Local
Government
PPE
Personal Protective Equipment
RAP
Resettlement Action Plan
TA
Technical Assistance
TSCP
Tanzania Strategic Cities Program
ULGA
Urban Local Government Authority
ULGSP
Urban Local Government Strengthening Program
WEO
Ward Executive Officer
2
PART I: INTRODUCTION AND CONTEXT
3
1
INTRODUCTION
This manual has been developed for the preparation for the Government of Tanzania (GoT)
Urban Local Government Strengthening Programme (ULGSP) which the World Bank is
funding under its Programme for Results financing instrument. Tanzania laws and
regulations require GOT and World Bank to ensure that the ULGSP is implemented in an
environmentally and socially sustainable manner.
An appraisal of institutional arrangement and capacity for the 18 urban Local Government
Authorities (ULGAs) which will receive funds from the ULGSP under PMO-RALG in April,
20121) concluded that:
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Currently, the ULGAs have poor level of understanding of the principles and
practices of sound and responsible social and environmental management.
Particularly, they have no sound experience and knowhow in carrying out
Environmental and Social Impact Assessments (ESIA) and, handling of
environmental compliance, monitoring and auditing of infrastructure projects.
The ULGAs use several concurrent management practices for environmental and
social aspects mostly in the form of frameworks and checklists.
Powers for social, environmental and resettlement oriented authorization of planned
projects have not been devolved to the LGAs.
However, in Tanzania there exists an enabling policy and legal framework (Environmental
Policy, 1997; Environmental Management Act, Cap 191 (of 2004) and Environmental Impact
Assessment and Audit Regulations, 2005; Land Policy, 1996; Land Act, 1999; Local
Government (Urban Authorities) Act, 1982) that ULGAs can harness to ensure correct
environmental and social management during planning and implementation of infrastructure
sub-projects funded by the UPG and in LGA’s operations at large. Experience and capacity
existing at national level: National Environmental Management Council (NEMC), Division of
Environment (DoE), Ministry of Land and Human Settlement Development (MLHHSD) and
among some of the key technical staff at urban LGA level (Environmental Management
Officers, Land Officers) to enforce many of the above policy and legal requirements. The
appraisal report recommended a LGA-specific Environmental and Social Management
Procedure be established. This Manual is tailored for ULGAs under the ULGSP to help them
improve their environmental understanding and capacity.
1.1
Purpose of the Manual
The purpose of the Environmental and Social Management Manual (ESMM) is to build the
understanding and capacity for application of the principles of sound and responsible social
and environmental management to all its users. It provides tools and information to build
capacity for social and environmental management integration in LGAs.
Since the details of the sub-projects under the ULGSP in terms of exact locations, sizes, etc
are not known, the Manual will act as a reference guide for identifying, assessing, mitigating,
monitoring and evaluating the key environmental, social and land acquisition problems that
may arise in the course of development and operation of urban infrastructure. The manual
1
Institutional Assessment Report for Environmental and Social Management for Urban Local
Government Authorities.
4
provides simple methods of identifying adverse social and environmental impacts, the
continuum of mitigation approaches that ULGAs can implement and the costs-benefits of the
preferred mitigation strategy. The Manual provides step by step guidelines for assessing the
environmental and social suitability of the ULGA infrastructure investments in line with
national requirements and international obligations. It complements environmental and social
assessment procedures set out in the national EIA Regulations, 2005 managed by the NEMC.
Even though impacts of individual infrastructure are likely to be limited given their size and
number, their cumulative impacts over time would tend to be significant. The Environmental
impacts screening, assessment and mitigation guidelines are designed to manage such
eventualities. The Manual also provides its users with a strategy for screening high-priority
infrastructure for possible problems with regulatory compliance as well as opportunities to
introduce best management practices.
1.2
Objectives of the Manual
In terms of specific objectives this ESMM:
 Establish clear procedures and methodologies for the environmental and social
planning, review, approval and implementation of subprojects to be financed under
the ULGSP;
 Specify appropriate roles and responsibilities, and outline the necessary reporting
procedures, for managing and monitoring environmental and social concerns related
to subprojects;
 Determine the training, capacity building and technical assistance needed by LGAs
to successfully implement the provisions of the ESMM;
 Establish the project funding required to implement the ESMM requirements;
 Provide practical resources for implementing the ESMM.
1.3
Users of the Manual
The main users of the manual are envisaged to include, but not limited to:
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Staff both at the 18 ULGAs under ULGSP and potentially at other LGAs who are
responsible for application/planning, review, approval, and supervision of the
infrastructure and other projects;
Relevant LGA Committees overseeing Environmental and Social aspects;
Leaders and representatives from project host communities;
Environmental and social assessment consultants and development services
providers who provide services to LGAs in non-core functions such as management
training or Technical Assistance (TA) support;
Consulting engineers and contractors.
Regional Secretariat and PMO-RALG Officials responsible for developing support
programmes of implementation and for undertaking the initial financing support;
Media and other supporters/facilitators inclined on urban development initiatives.
In the longer-term, the Manual is intended to build capacity of LGA staff in the LGAs (133
country-wide) and at PMO-RALG for those directly involved with LGAs operations to
manage and coordinate an LGA specific Environmental and Social Management System
(ESMS); and in the process improve the social and environmental performance of LGA’s
development investments.
5
1.4
Layout of the Manual
The manual is divided into the Introduction and Context (Part I), the main ESMS technical
guidance (Part II), Templates and Forms (Part III), Manual Implementation (Part IV) and
finally the Appendices.
PART I: INTRODUCTION AND CONTEXT
Part I has 3 main chapters that sets out the purpose of the manual, the users of the manual, the
program for which the manual has been developed and the legislative and institutional
context. Specifically:
Chapter 1 is the introduction outlining the purpose and objectives of the manual;
and potential users of the manual.
Chapter 2 gives a description of the program, its scope and types of urban
infrastructure investments.
Chapter 3 presents an overview of Tanzania's environmental and social management
principles and requirements
PART II: URBAN LOCAL GOVERNMENT ENVIRONMENTAL AND SOCIAL
MANAGEMENT SYSTEM GUIDE
Part II firstly presents the key actors, steps and procedures in the proposed Environmental and
Social Management System (ESMS) in Chapter 4. Secondly, detailed guidance on
implementing these procedures are presented in Chapters 5-10 according to the main steps in
the ESMS. Lastly the capacity building, training and TA needed is presented. Specifically:
Chapter 4 is an overview chapter that describes the overall step-by-step procedure for
environmental and social planning, review, approval, implementation, monitoring and
evaluation of sub-projects financed under the ULGSP. Each of these steps are futher
elaborated in the subsequent chapters.
 Chapter 5 are Screening Criteria for determining need for and level of
environmental assessment for individual infrastructure sub-project.
 Chapter 6 presents the approach and guidance for urban infrastructure
environmental and social impacts identification
 Chapter 7 presents the approach and guidance for impacts mitigation, integration
into project designs/proposals and preparation of requisite reports and management
plans
 Chapter 8 presents the approach and guidance for executing a Resettlement and
Compensation Plan (RAP) emanating from land acquisition, access to resources and
compensation.
 Chapter 9 presents the approach and guidance for review, approval and disclosure of
reports (EIS/PEAR) and plans (ESMP/RAP)
 Chapter 10 presents the approach and guidance monitoring of mitigation measures
and management plans (ESMP/RAP) during project implementation
 Chapter 11 presents guidance on the contents of the various reports in the ESMS
6
PART III : FORMS AND TEMPLATES
Part III provides relevant templates and forms that have been referred to in the previous
chapters. These have been presented in chronological order of when they have been referred
to in the guidance chapters. The templates and forms have chapter reference numbers to give
the user easy reference to the specific chapter it refers to. These templates and forms include:
Description
Form No 1: ESIA Registration Form
Template No 1: Terms Of References for Environmental Impact
Assessment
Form No 2: Screening Checklist
Template No 2: Environmental and Social Management Plan
Template No 3: Rap Implementation Schedule
Template No 4: Table Oo Cost/Budget Estimates for RAP
Template No 5: Grievance Record Form
Form No 3: EIA Certificate Form
Template No 6: Environmental and Social Monitoring Plan
Template No 7: ESMP Compliance Record
Chapter Reference
Chapter 4
Chapter 4
Chapter 5
Chapter 7
Chapter 8
Chapter 8
Chapter 8
Chapter 9
Chapter 10
Chapter 10
PART IV: MANUAL IMPLEMENTATION
Chapter 11 outlines the capacity building, training and technical assistance required for
effective implementation of the ESM Manual
APPENDICES
The appendices give more detailed information for the projects under the ULGSP.
A. Detailed legislative requirements outlining specific section in relevant legislation and
policies that are applicable to ESM and the implementation of infrastructure
development projects.
B. The World Bank's OP 9.00 Program for Results that is the financing instrument for
the ULGSP
C. Specific project guidelines on typical impacts and mitigation measures for ULGSP
sub-projects that are eligible for funding.
7
2
URBAN
LOCAL
GOVERNMENT
PROGRAM DESCRIPTION
SUPPORT
This chapter provides the programme context which this manual has been developed for. The
background of how and why the ULGSP was developed and its objectives are presented. The
chapter also describes the scope of the program in terms of the relevant components, the
programme target areas and key people involved in implementing the programme.
2.1
Program Background
The ULGSP is one of the various instruments supporting the Decentralization by Devolution
(D by D) efforts that have been underway in Tanzania as part of the Local Government
Reform Program (LGRP) since 1999. The aim of D by D is to anchor decision-making on
service delivery closer to the people, and ensure that the government becomes more
responsive, efficient and effective in providing and enabling service delivery to the public.
As part of fiscal decentralization, LGAs are allocated discretionary grants through the Local
Government Development Grant2 (LGDG) system that has been underway since 2004. The
LGDG system provides Council Development Grants (CDG) and Capacity Building Grants
(CBG) on a formula basis. CDG aims at enabling LGAs to implement sub-projects
formulated in a participatory bottom-up planning approach while CBG is provided to enable
LGAs to meet the costs of O&M interventions that will enhance their performance. The
LGDG system of grants is funded by Government of Tanzania (GoT) from its own sources,
seven bilateral partners3, and the World Bank. However, the World Bank contributed to the
LGDG system of grants up to December 2011.
A challenge faced by the LGAs amongst many others is that the current local
governments’ fiscal framework including the LGDG and the Tanzania Strategic Cities
Project (TSCP4.) do not accommodate the needs to cover both the backlog of urban
infrastructure investments and the constantly increasing demand for such financing. The
Tanzania’s population growth and urbanization rate is high and so, the country’s
urban areas have significant institutional and infrastructure needs. Nevertheless, the
existing LGDG system does not also categorize between urban and non-urban LGAs,
therefore, the only discretionary funds within LGDG provided to ULGAs to address
their infrastructure needs is through the CDG and CBG windows, amounting to only
$2/capita/annum which is far below their actual demand. It is not sufficient and a new
sub-programme is required to be established within the overall LGDG to meet the
specific institutional and development needs of ULGAs.
Thus, the GoT via PMO-RALG intends to introduce a new window within the LGDG
System to focus specifically on meeting the investment needs and leveraging the
improved institutional performance of Tanzania’s rapidly growing secondary cities.
The GoT has requested the World Bank’s continued support to the LGRP with a focus on
2
Previously known as the Local Government Capital Development Grant (LGCDG)
Belgium, Finland, Germany, Ireland, Japan, Netherlands, and Sweden
4
The Tanzania Strategic Cities Project (TSCP), which recently became effective, is designed as an investment
operation to provide finance for critical infrastructure in key urban LGAs: Arusha, Dodoma, Kigoma, Mbeya,
Mtwara, Mwanza and Tanga.
3
8
the 18 ULGAs with the objective to strengthen their institutional capacity and improve
service delivery under the ULGSP.
The 18 participating ULGAs in the ULGSP will receive financing under an Urban
Performance Grant (UPG) based on the World Bank's Performance for Results financing
instrument. Their performance will be assessed against agreed disbursement-linked indicators
which will measure the enhancement of institutional systems. The exact amount of funds that
the ULGAs will receive, will depend on the score of an annual performance assessment for
each ULGA. ULGA performance under ULGSP will be assessed in the following results
areas:
1. Improved urban planning systems,
2. Enhanced revenue enhancement (with a particular focus on property taxation);
Increased efficiency in fiduciary systems management (financial management and
procurement);
3. Improved service delivery systems; and
4. Enhanced accountability and oversight mechanisms (including environmental and
social management).
The main objective of the ULGSP is "to improve institutional performance for service
delivery in the participating urban LGAs"
2.1.1 Components of ULGSP
** to be confirmed by PMORALG and WB**
1. Enhanced institutional capacity of 18 urban LGAs:
ULGSP will help 18 selected Urban Local Government Authorities to strengthen their
institutional capacity and improve local governance defined in terms of improved urban
planning systems, increased own source revenue generation and collection (with a particular
focus on improved property taxation), enhanced fiduciary systems management, improved
service delivery systems and enhanced accountability and oversight mechanisms;
2. Infrastructure Investments:
A set of urban infrastructure investments which will be financed by the Programme’s UPG.
The ULGAs will have the opportunity of prioritizing which infrastructure projects to
implement from the menu of eligible projects to be financed; and
3. Capacity enhancement and implementation support to the PMO-RALG:
Enhanced central government mechanisms that can support decentralization including ontime disbursement of ULGSP funds from the central government to ULGAs.
2.2
Anticipated ULGSP sub-project types
Table 1contains a list of anticipated sub-project types that may be funded under the UPG.
Municipal and Town Councils that qualify will access the fund for capital investments mainly
for infrastructure such as road, market, municipal waste disposal site facilities, etc.
9
Table 1: Types of eligible urban infrastructure sub-projects that can be financed by the UPG.
Sector
City
Eligible Sub-project Expenditures
roads
and
related

infrastructure
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Project preparation
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Equipment
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Markets and Trade
Public Space
Solid waste management
Road rehabilitation: Grading, graveling, brick paving, tarmac,
upgrading or rehabilitation for which the ULGA is responsible
(maximum 15 km per year)
Road side and Stand-alone open storm-water drains
Street lights
Culverts
Small Bridges: 6m span or less
Minibus stands and bus stops (e.g. minibus parking areas for
approximately 25 vehicles)
Taxi stands
Truck stands
Public car parking
Other road-related infrastructure (street furniture, vending platforms,
signage)
Abattoir (maximum capacity of 100 head of cattle per day)
Commercial market infrastructure
Public green space
Sports fields and facilities
Tree planting
Dumpsite rehabilitation
Community waste collection points
Equipment
Expenditures related to preparation of infrastructure projects (design,
supervision etc)
Equipment related to enhancement of relevant capacities for urban
planning and OSR management, etc.
2.2.1 Sub-Project Activities Ineligible under UPG
The types of subprojects listed under Box 1 cannot be financed under ULGSP:
Box 2-1 Sub-project Activities Ineligible for Funding under UPG
o
o
o
o
Road works outside existing right of way
Works involving the relocation of more than 20 households
New Landfills
Subprojects that involve the significant conversion or degradation of critical
natural habitats or significantly alter potentially important biodiversity and/or
cultural resource areas;
The types of subprojects listed under Box 2 cannot be financed under World Bank Group
regulations:
** to be confirmed by PMORALG and WB**
Box 2-2 Sub-project Activities Ineligible for Funding
o
o
o
o
o
o
o
o
o
Subprojects that involve the significant conversion or degradation of
critical natural habitats;
Religious infrastructure;
Headquarters for cooperatives, groups, or executing organizations;
Acquisition of equipment for government services.
Administrative buildings (except accommodations for health workers, and
primary school teachers);
Activities already covered by other sources of financing or are already
included in other national, regional public development programs and
where financing has been secured;
Purchase of mechanical equipment (e.g. trucks, tractors, etc.);
Growing or purchase of tobacco or drugs; and
Investment in bars or establishments serving alcohol.
10
Also, during the first year of the UPG and until experience demonstrates that the local
capacity exists to adequately manage their environmental and social impacts, the types of
subprojects listed below (Box 3) will not be financed by the UPG. This list will be reviewed
annually to determine if subproject types should be removed from, or added to, the list.
** to be confirmed by PMORALG and WB**
Box 2-3 Subproject Activities that May or May Not Be Financed
Under UPG
o
o
o
o
o
2.3
Secondary roads
Subprojects involving the use of pesticides or agrochemicals,
including tick dips
Animal vaccination yards and slaughterhouses
Dams and weirs
Subprojects in locations that are ecologically sensitive such as
forests, wetlands, and other unique habitats.
ULGSP target areas
The ULGSP is being implemented in 18 ULGAs across mainland Tanzania. These are located
in 18 of the 25 regions as in Table 2 below.
Table 2: List of ULGAs participating in the ULGSP
Region
Municipal Councils
Town Councils
1
Iringa
Iringa MC
2
Geita
3
Kagera
4
Katavi
5
Kilimanjaro
Moshi MC
6
Lindi
Lindi MC
7
Manyara
8
Mara
Musoma MC
9
Morogoro
Morogoro MC
10
Njombe
Njombe TC
11
Pwani
Kibaha TC
12
Rukwa
Sumbawanga MC
13
Ruvuma
Songea MC
14
Shinyanga
Shinyanga MC
15
Singida
Singida MC
16
Simiyu
17
Tabora
18
Tanga
Geita TC*
Bukoba MC
Mpanda TC
Babati TC
Bariadi TC
Tabora MC
Korogwe TC
* Geita TC in the process of being upgraded to Geita MC as Geita has been designated a new region in 2012.
2.4
ULGSP Project coordination and implementation
Implementation of ULGSP will use existing staff structures and government systems. The key
implementers are PMO-RALG and the ULGAs:
1. PMO-RALG will be responsible for the overall management of Programme activities,
providing overall coordination and technical support to ULGAs. The Programme will
be coordinated and managed by PMO-RALG who has established a dedicated
11
Programme Team consisting of its own personnel for the implementation of all World
Bank supported projects and programmes, including ULGSP, within the Directorate
of Urban Development.
2. The participating ULGAs will take the primary responsibility for implementing their
own sub-projects including fiduciary, environmental and social management, and
reporting requirements. Specific roles and responsibilities in implementing the subprojects are described in Table 3 below.
Table 3 ULGA Roles and Responsibilities in implementing ULGSP
Department/Unit/Committee
Roles and Responsibilities
Full Council
Standing Committees
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Finance Department
Economic Planning Department
Infrastructure Proponent Section
Environmental and Social
Management Unit
Procurement Management Unit
Urban Planning/Lands
Department, Health Department,
Community Development Section
and, Works Department


Sub-project approvals
Review of budgets
Review of project implementation reports
ULGA budget planning
ULGSP project planning and budgeting in ULGA
Overseeing sub-project implementation
ULGSP reporting to PMO RALG
Sub-project concept and design
Sub-project implementation
Environmental and Social Management of Subprojects: ESIA, monitoring and reporting
Procurement of services and supplies for sub-projects
Sector specific management and coordination
Environmental and Social Management issues are currently managed under various
departments5 and are not well anchored in the ULGAs. This manual presents an
ESMS that establishes the responsibility of each actor in the LGA in Environmental
and Social management (ESM) for ULGSP under specific departments/teams.
5
Environment is currently placed in different departments depending on the LGA e.g. in Lands and
Natural Resources, Urban Planning, Lands and Environment Department or Cleaning and
Environment Department.
12
PMO RALG
Permanent Secretary
Respective Regional Secretariats
PMO-RALG Urban Program Unit
Program Coordinator
ULGSP Sub-Coordinator
Financial Management Specialist
Procurement Specialist
Environmental and Social Specialist
Monitoring and Evaluation Specialist
18 ULGAs
Full Council
Standing Committees
Finance Department
Economic Planning Department
Infrastructure Proponent Section
Environmental and Social Unit
Procurement Unit
Other sectoral departments
Figure 1: Key Actors in implementing and coordinating the ULGSP
Oversight, Advisory and Mentoring
13
3
GENERAL ENVIRONMENTAL AND SOCIAL
MANAGEMENT PRINCIPLES AND
REQUIREMENTS
3.1
Introduction
This chapter presents the policy, legislative and institutional context within which the manual
has been developed and will be used. The key principles for environmental and social
management pinned by various relevant policies are presented and are applied throughout the
manual. The legislative requirements and institutions relevant to environmental, social and
resettlement management are then presented in order for the users of the manual to know the
minimal legislative requirements and key actors involved in either approving, enforcing,
implementing or coordinating the requirements.
3.2
General Principles of Environmental and Social
Management
In Table 4 below are some of general principles and practices of sound environmental and
social management relevant to infrastructure development projects. The key principles drawn
from various national and international environmental and social requirements (Appendix A)
will guide Urban LGAs in relation to any decision, order, exercise of any power or
performance of any function they will make.
14
Table 4 Guiding Principles for Environmental and Social Management in ULGSP
Principle
Definition/ Explanation
Sustainable Development
Development that meets the needs of the present without compromising the ability of future generations to meet their own needs.
The following shall be done to ensure sustainable development:

Protection of biodiversity;

Duty not to transfer, directly or indirectly, damage or hazards from one area to another;

Promotion of best available techniques and best environmental practices;

Maximising sustainable benefits of neighbouring communities;

The duty to co-operate on a district, regional and national level for the protection and preservation of the environment;
The precautionary approach require that where there are potential threats of serious or irreversible adverse effect, lack of full scientific certainty
shall not be used as a reason for postponing cost-effective measures to prevent environmental degradation or adverse social effects. LGAs shall
strive to adopt Prior Assessment Principle i.e. assess environmental impacts before starting a new activity or project and before
decommissioning a facility or leaving a site.
Precautionary Approach
Polluter Pays Principle / User Pays
Principle
Stakeholder
Participation
Transparency
and
The Principle of Access to Justice
Access to Information
Minimization of Waste
Resettlement measures planned
and implemented according to
Resettlement Action Plans (RAPs)
Polluters shall in principle bear the cost of causing adverse effect on the environment and is required to pay in full social and environmental
costs of avoiding, mitigating and or remedying those adverse effects. This should be done with due regard to public interest and without
distorting the practical value of the investment to an unreasonable extent. Similarly, users of resources e.g. water, land, and natural resources
etc. It follows from this that environmental costs of developments shall be internalised into the financial planning of any development undertaken
be LGAs, especially through mitigation measures, monitoring and evaluation.
It is recognised that as stakeholder participation is essential component in the planning and implementation of environmental management and
social safeguarding (policies, plans, and processes). This extends to stakeholders representation on decision making bodies, timely disclose of
relevant information to stakeholders in accessible format and regular ad hoc consultation with them as and when issues arise.
The principle gives individuals, the public and interest groups of persons the opportunity to protect their rights to participation and to contest
decisions that do not take their interest into account.
This enables citizens to make informed personal choices and encourages improved performance by government and industry.
Where practicable, waste should in order of priority, be re-used, recycled, recovered and disposed of safely in a manner that avoids / is least
likely to creating adverse effects.
For infrastructure sub-projects requiring land acquisition, people and livelihoods would be impacted, and resettlement cannot be avoided in all
cases. The implementation of individual sub-project resettlement and compensation plans (RAPs) shall be a prerequisite for any investment
activity causing resettlement, to ensure that displacement (relocation or loss of shelter) or restriction to access does not occur before necessary
measures for resettlement and compensation are in place including assistance to the displaced persons.
Other good practice principles
Continuous
Monitoring
and
Evaluation
Employee Education and capacity
building
Facilities and Operations
Compliance and Reporting
It is necessary for the responsible stakeholders to maintain regular monitoring and evaluation for continuous improvement of environmental
performance in order to preserve the integrity of environment
LGAs and Contractors shall have programmes to educate, train and motivate employees to conduct their activities in an environmentally
responsible and socially acceptable manner.
LGAs and Contractors shall select technologies/facilities and operate facilities and conduct activities taking into consideration the efficient use of
energy and materials, the sustainable use of renewable resources, the minimisation of adverse environmental impact and waste generation, and
the safe and responsible disposal of residual wastes.
LGAs and Contractors shall comply with national policies, legislation relevant to environmental and social management.
15
3.3
Relevant Legislature for Environmental and
Management and Infrastructure development.
Social
All sub-projects that will be implemented under ULGA shall comply with relevant national
environmental and social management requirements as well as the World Bank Core Principles
applicable to UPG and its infrastructure sub-projects. These tools provide enabling environment within
which the Manual will be developed and get used.
Infrastructure investments under the UPG programme may be established in all sectors of economy. As
such, several sectoral legislations will have bearing on the development and operations of the individual
project. The majority of the sectoral legislations require the project proponent to respect the
environmental integrity and recommend that environmental impact assessments should be carried out in
order to achieve that. The following table (Table 5) is a summary of the key legislature summarised
from the various relevant Acts (see Appendix A for detailed legislative requirements).
For particular reference to the ULGSP, the World Bank's Operational Policy 9.00 Program for Results
is attached as Appendix B.
16
Table 5 Summary of relevant legislation
Description
Legislation/Policy
The Constitution of the United
Republic of Tanzania Cap 2 (1977)
National
(1997)
Environmental
Policy
The Environmental Management
Act (EMA), Cap 191 (2004)
Environmental Impact Assessment
and Audit (EIAA) Regulations
(2005)
Environmental
(Registration of
Environmental Experts) Regulations
(2005)
The National Land Policy
Land Act, Cap 113 (R.E 2002)
The Land Acquisition Act, Cap. 118
(R.E 2002)
Urban Planning Act (2007)
Land Use Planning Act (2007)
The Land (Assessment of the Value
of
Land
for
Compensation)
Regulations (2001)
The Land (Compensation Claims)
regulations (2001)
This revised edition of the Constitution of United Republic of Tanzania of 1977 incorporates and consolidates all amendments made therein by
the Constituent Assembly in 1977 up to 31st December 2008, and it is printed and published under section 4 of the Law Revision Act, chapter
4.). The constitution is the mother law in the sense that all laws should get legitimacy from it. It is the supreme law in such that all other laws
must not be construed to be held to be repugnant or inconsistent with its provisions and principles. It is the tool that guarantees basic rights and
ensuring that all human rights are preserved and that the duties of every person are faithfully discharged.
The NEP recognizes investments as the major source of income and employment in Tanzania but also source of environmental challenges.
Paragraph 62 states that “…. As a means of exploiting resources, direction of investment and orientation of technological development shall be
in harmony and enhance both the current and future potential to satisfy human needs and aspirations". NEP recognizes Environmental Impact
Assessment as a strategic tool to achieve that and directs the establishment of a legal regime requiring EIA to be mandatory for all
development projects.
The Act was enacted with a view of providing for legal and institutional management of environment. It provides basics for implementation of
the National Environmental Policy. It further outlines principles and best practices for management of environment, impact and risk
assessment, environmental quality standards, public participation, compliance and enforcement. The Acts outlines rights, duties, and powers to
individuals and institutions at all administrative levels. It repealed the National Environment Management Act, 1983 to provide for continued
existence of the National Environmental Management Council. EMA provides for establishment/or delegation to officers and committees at
urban LGAs for environmental management within area of jurisdiction and provides for other environment related matters.
The Regulations have been promulgated as response to implementation of the Environmental Management Act Cap 191 as per Section 82 (1)
and 230 (2) which conferred the Minister to make regulations and guidelines on how Environmental Impact Assessment shall be conducted.
Therefore they are regulations to give effect to the provisions of the EMA.
The Regulations have been promulgated as response to implementation of the Environmental Management Act Cap 191 as per Section 83 (2)
which conferred the Minister to prescribe in the regulations qualifications of a person who may conduct Environmental Impact Assessment.
Therefore they are regulations to give effect to the provisions of the EMA.
Due to changes in land uses and increase in human population, growth of livestock, increased awareness on value of land, adaption of political
pluralism and affirming customary tenure the National Land Policy is introduced to bring about land dispensation in a responsible and orderly
fashion to cater for various needs in land tenure, landuse management and administration. The Land Policy provides key guiding policy
directives on land tenure; land allocation, access, and protection; value to land; compensation; dispute settlements; and urban land use.
The Act provides for the basic law in relation to land other than village land, management of land, settlement of disputes and matters incidental
thereto. Provisions of the Act include classification and tenure of land, land administration procedures, rights and incidents of land occupation,
granted rights of occupancy, conversion of interests in land, dispositions affecting land, land leases, mortgaging of land, easements and
analogous rights, co-occupation and partitioning and settlement of land disputes.
The Land Acquisition Act is the principal legislation governing compulsory acquisition of land in Tanzania. It repealed and replaced the Land
Acquisition Ordinance (1923), and empowers the President to acquire land for public purposes (i.e. in connection with housing schemes) and
provide the procedures to be followed when doing so.
The Act gives the relevant authorities mandate to provide for the orderly and sustainable development of land in urban areas, to preserve and
improve amenities; to provide for the grant of consent to develop land and powers of control over the use of land to provide for the other related
matters. It also recognises value of land for purpose of compensation.
The Act provides procedures for the preparation, administration and enforcement of land use plans and matters incidental to. The primary
requirement of the act is development projects should take into consideration and understand the strategic planning of the other land
surrounding the project.
The Regulation were made under section 179 of the Land Act No. 4 of 1999 to set standard methods for valuation of land and properties;
responsible authorities and elements that should be included in a compensation package including methods for calculating their values.
The regulations provide the basis for eligibility for compensation. It sets out the rights and entitlement for the one claiming compensation. It also
provides that compensation takes the form of monetary compensations, or may, at the option of the Government, take the form of all, a
combination or any of the following;

A plot of land of comparable quality, extent and productive potential the land loss;

A building or buildings of comparable quality extent and use comparable to the building or buildings lost;

Plant and seedlings; and
17
Courts (Land Disputes Settlements)
Act (2002)
Urban Planning Act (2007)
The Local Government (Urban
Authorities) Act No. 8 (1982)
Road Act (2007)
Occupational Health And Safety
(OHS) Act (2003)
The Water Supply And Sanitation
Act (2009)
The Water Resource Management
Act (2009)
National Parks Ordinance
The Wildlife Conservation Act
(2009)
Marine Parks And Reserves Act
(1994)
Forest Act (2002)
National Gender Policy (1999)
Public Health Act (2009)
The Employment and Labour
Relation Act Cap 366 (2004)
The HIV and Aids (Prevention And
Control) Act (2008)
Law of the Child Act (2009)
Disabilities Act (2010)
Community Development Policy
(1996)
National Strategy for Growth and
Reduction of Poverty (2005)

Regular supplies of grain and other basic foodstuffs for a specified period.
Subject to section 167 of the Land Act, 1999, and section 62 of the Village Land Act, 1999, the Act provides for every dispute or complaint
concerning land shall be instituted in the Court having jurisdiction to determine land disputes in a given area.
The Act provides for the orderly and sustainable development of land in urban areas, to preserve and improve amenities and to provide for the
grand of consent to develop land and the power of control over the use of land
The Act establishes urban authorities for the purposes of local government, provides for the functions of those authorities and for other matters
connected with or incidental to those authorities.
The act makes provisions for the road financing, development, maintenance, management and other related matters. It also provides for road
classification and declaration as well as provisions for road management where it assigns responsibilities to different authorities at national to
LGA level.
OHS Act makes provision for the safety, health and welfare of persons at work. Also it provides for the protection of persons other than at work
against hazards to health and safety arising out of or in connection with activities of persons at work.
The Act provides for sustainable management and adequate operation and transparent regulation of water supply and sanitation services;
provides for establishment of water supply and sanitation authorities as well as community owned water supply organizations; and provides for
appointment for service providers. The main aim of this law is to ensure the right of every tanzanian to have access to efficient, effective and
sustainable water supply and sanitation services for all purposes by taking into account among others protection and conservation of water
resources and development and promotion of public health and sanitation; and protection of the interest of customers.
The Act provides for the institutional and legal framework for sustainable management and development of water resources. It outlines
principles for water resource management, prevents and controls water pollution and provides for public participation of stakeholders and the
general public.
The Ordinance establishes the mechanism whereby the president can declare, with the consent of Parliament, a National Park. The Act also
creates a management authority of trustees for the National Parks of Tanzania, the Tanzania National Parks Authority (TANAPA).
The Act provides for the conservation, management, protection and sustainable utilisation of wildlife and wildlife products.
The Act provides for the establishment, management and monitoring of marine parks and reserves and establishes a Park and Marine
Reserves Unit
Act provides for the management of forests: National Forests (forest reserves or nature forest reserves); Local Authority Forests; Village
Forests; and Private Forests.
The key objective of the policy is to provide guidelines that will ensure that gender sensitive plans and strategies in all sectors and institutions
are developed. While the policy aims at establishing strategies to eradicate poverty, it puts emphasis on gender quality and equally opportunity
of both men and women to participate in development undertakings and to value the role-played by each member of the society.
The purpose of the public health act is, amongst other things, for the improvement in the health habits and lifestyles of people living in
Tanzania; securing environmental sanitation and hygiene; and preventing and controlling living infectious or communicable and other diseases.
The Act provides for core labour rights, establishes basic employment standards, provides a framework for collective bargaining, provides for
the prevention and settlement of disputes, and other related matters.
The Act requires 'every ministry, department, agency, local government authority, parastatal organization, institution whether public or private,
shall design and implement gender and disability responsive HIV& Aids plans in its respective area, and such plans will be mainstreamed and
implemented within the activities of such sector.’ therefore attention needs to be paid to any existing HIV and aids plans in any area where
projects will be implemented.
The Act provides for reform and consolidation of laws relating to children, stipulates the rights of the child and provides for the promotion,
protection and maintenance of the welfare of a child with a view to giving effect to international and regional conventions on the rights of the
child. The Act also regulate employment and apprenticeship of children and makes provisions with respect to a child in conflict with law and to
provide for related matters.
The Act provides for the health care, social support, accessibility, rehabilitation, education and vocational training, communication, employment
or work protection and promotion of basic rights for the persons with disabilities and other related matters.
The policy objective is to enable Tanzanians as individuals or in their families and/or groups/associations to contribute more to the government
objectives of self-reliance and therefore bring about development at all levels and finally the nation as a whole.
The goals of the National Strategy for Growth and Reduction of Poverty or MKUKUTA are grouped into 3 main clusters: growth and reduction
of income poverty, improvement of quality of life and social well-being and good governance and accountability.
18
3.4
Relevant Authorities
The Tanzania Environmental Management Act (EMA), Cap 191 (2004) is the principle Act that
establishes and sets out roles and responsibilities for institutions and bodies for the management of
environmental and social issues of concern. EMA supersede other Acts in this regard with the exception
of the National Constitution. Authorities relevant to Environmental and Social Management as
prescribed in the EMA and in the Environmental Impact Assessment and Audit Regulations of 2005 for
carrying out ESIAs are presented overleaf (
Table 6). The Relevant Authorities for Land and Land use as provided for in the various Acts and
Regulations are presented in Table 7 below. Other Sectoral Authorities relevant for the implementation
of infrastructure development projects are presented in Table 8 below.
19
Table 6 Institutional Structure for Environmental and Social Management
Name of Authority/Entity
Respective Role and Responsibility
National Environmental Advisory Committee
Minister Responsible for Environment6
Director of Environment
National Environment Management Council (NEMC)7
(a body corporate)
Established under EMA, Cap. 191 Section 11to advise the Minister Responsible for Environment on issues pertaining to the
protection and management of the environment and to review and advise on any environmental standards, guidelines and
regulations
Established under EMA, Cap. 191, Section 13 to issue guidelines and designate duties.
Under the EIA and Audit Regulations, 2005 the Minister is responsible for approval by issuing of decision letter / EIA Certificate for
development projects. The Minister may delegate responsibility for EIA authorization to Director of Environment, LGAs and Sector
Ministries.
Established under EMA, Cap. 191 Section 14 to coordinate, advise, assess, monitor and report environmental related aspects and
activities. Division of Environment is responsible for policy and legal formulation and implementation; promoting the integration of
environmental considerations into development policies, plans, programmes, strategies and projects; undertaking strategic
environmental assessment. Under the EIA and Audit Regulations, 2005, it is the Director who provide advice to Minister for
approval of Environmental Impact Assessment report (EIS) of development projects.
Established under EMA, Cap. 191 Section 16 to undertake enforcement, compliance, review and monitoring of environmental
impact assessment. Specifically section 18(2)(d) review and recommend for approval of Environment Impact Statement.
The EIA and Audit Regulations, 2005, provide specific roles and responsibilities to NEMC in the undertaking EIA / PEA for new
development projects (Part III – XI); Environmental Audit for existing development projects (Part X); and Environmental Monitoring
and Reporting (Part XI):
 Registration/ application
 Screening (assigning the appropriate level of environmental assessment to project
 Facilitates public/ stakeholders participation in environmental decision making
 Review of Environmental Assessment reports : constitutes multidisciplinary, multi-sectoral committees to review the
adequacy of EIS
 Issuing of decision letters: screening results, approval of TOR and scoping report; approval of PEA reports, approval of
ESMP,
 Disclosure of EIS / EA report.
 Recommendations to the government for approval and clearance of EIA Certificates for projects.
 Monitoring environmental phenomena, operations of any industry, project or activity (Regulation 57(1)(a))
 Monitoring on-going projects on a continuous basis in consultation with Sector Ministry, Government Department, Agency or
Institution
 Undertaking Control Audits to check compliance or verify Self Audit reports (Regulation 49)
 Issuing Post Audit Orders: an improvement order for corrective measures for mitigating the environmental degradation
revealed during audit study (Regulation 5
Under the EMA, NEMC is empowered to establish specific offices or to appoint or designate officers to effectively perform its
functions. Section 26: “NEMC may delegate to any sector Ministry, environmental body, employee or agent of the Council, the
exercise of any of the powers or the performance of any of the functions or duties of the Council under the Act”
6
7
Vice President's Office- Division of Environment
NEMCs structure is comprised of five directorates of i) Compliance; ii) Environmental impact assessment; iii) Research and planning; iv) Environmental Information
Communication and outreach; and Finance and administration. Also it has support units of corporate planning, internal audit and procurement. NEMC's target to have 7
regional offices namely: Lake Zone (Mwanza (center), Geita, Kagera, Mara and Shinyanga); North Zone (Arusha (center), Tanga, Kilimanjaro, Manyara,); Southern Zone
(Mbeya (center), Iringa, Rukwa, Nkasi, Ruvuma); South-Coast Zone (Mtwara, Lindi); Central Zone (Tabora, Dodoma, Singida); and Coast Zone (Dar es Salaam, Pwani,
Morogoro)
20
Name of Authority/Entity
NEMC zonal offices
Environmental Inspector (Appointed or Designated)
Sector (Ministries) Environmental Sections
(Established under EMA, Cap. 191 Section 30)
Regional Secretariat
Local Government Authority
City, Municipal, Town designated / appointed
Environment Management Officer
LGA Standing Committee on Urban Planning and
Environment
LGA Standing Committees of Economic Affairs, Works
and Environment of a Township
Township Environmental Management Officer
Investor/ Developer / Project Proponent
Registered EIA Expert /Firm of Experts /Environmental
Auditor/Environmental Inspectors
General Public
Respective Role and Responsibility
The zonal offices headed by Environmental Management Coordinators replicate all functions and departments at regional level i.e.
overseeing Compliance and Enforcement; EIA; Research and Planning; and Environmental Information, Communication and
Outreach
Inspectors are empowered under the EIA and Audit Regulations, 2005 to enter on any land, premise or facility of the project for the
purpose of inspection, to examine records and to make enquiries on the project (Regulation 55) or for the purpose of monitoring
the effects of activity carried out on that land, premise or facility upon the environment (Regulation 58)
Established under EMA, Cap. 191 Section 30 to be responsible for all sector–specific environmental matters within the Ministry.
The EIA and Audit Regulations, 2005 stipulates specific functions for relevant sector Ministries, Government Departments, Agency
or Institutions including participation in Cross-Sectoral Advisory Committee for review of EIA Reports; review and verification of
Environmental Audit Reports (Regulation: 53); monitoring on-going projects on a continuous basis (Regulation:58 (1); and to
prepare and submit Monitoring reports to NEMC.
EMA, Cap. 191 Section 34 confers additional roles to the Regional Secretariat to coordinate all environmental matters within
respective region.
Established under Section 5(1) of the Local Government (Urban Authorities) Act, 1982 to perform basic functions provided under
Section 54 (1) and (2) of the Act including promoting social and economic wellbeing and development of its area and people within
jurisdiction. Section 55 (1) specify several duties of urban LGA and Schedule to Section 55 (2) lists over 100 duties which urban
LGA may perform most of which are relevant to environmental and social management
EMA, Cap. 191 Section 37 directs that additional functions for the environment committee include any that are prescribed under
EMA or assigned by Minister for Environment. Section 41 confer General Powers to the LGAs including to undertake inquiries and
investigations, summon any person, resolve conflicts among various parties, inspect and examine any premise, order to remove
substance or article harmful to the environment and prosecute or sue any violator.
Established under EMA, Cap. 191 Section 36 in Cities, Municipalities, and Towns to enforce, advise the Environment Management
Committee, gather/ manage information, and report on state of local environment. Specifically section (36 (3) (f), EMO are tasked
to monitor the preparation, review and approval of environmental impact assessment for local investments.
The Committee is established under Section 42 (1) of the Local Government (Urban Authorities) Act, 1982 as a standing
committee responsible for urban planning. Functions of the standing committee are determined by respective urban LGAs for
better performance of its functions and efficient management of its duties.
Established under Section 96(1) of the Local Government (District Authorities) Act, 1982 to perform functions provided determined
by the respective township authority. EMA, Cap. 191 Section 38 directs that additional functions for the environment committee
include overseeing proper management of environment within Township.
Established under EMA, Cap. 191, Section 39 to coordinate all functions and activities for protection of environment within the
township.
This is the promoter of the project or undertaking subject of any environmental assessment requiring authorization. The Project
Proponent is required to:
 Oversee and meet costs of Environmental assessment and implementation of EMP/EMoP (Regulations: 46 (3) and (4)
 Undertake Initial Environmental Audits and Environmental Control Audit, Self auditing during implementation of EMP
(Regulation: 50/57 (1) (c)
 Undertake Baseline Survey before project implementation as basis for undertaking effective monitoring
Established under the Environmental (Registration of Environmental Experts) Regulations, 2005 these are qualified
firms/individuals authorized to offer services in undertaking EIA, Initial and Control Environmental Audit Environmental Inspection,
EIA training and other technical support.
The General public is empowered by EMA Cap. 191 and EIA and Audit Regulations, 2005 to participate in all environmental
management matters concerning them and at all stages of the EIA process specifically to raise issues and concerns and to appeal
when dissatisfied.
21
Table 7 Institutional Structure for Land and Land Use at national level
Name of Authority/Entity
Key Role and Responsibility
Minister Responsible for Lands
Minister responsible for Land Use Planning
Commissioner of Lands
National Land Advisory Council
National Land Use Planning Commission
Director of Urban Planning
Land Allocations Committee
Established under the Land Policy and the Land Act (Section 8) as the sole authority over all land matters. The Land Act poses to Minister
the duty of policy formulation and implementation of Land Policy and Act. The Minister is directed to perform a number of functions
(delegated to the Commissioner for Lands) including issuing permit for using land (other than village or reserved land).
Established under the Urban Planning Act (Section 5) to ensure incorporation of principles of urban planning in planning processes and
use and development of land. The Minister is empowered to designate any Body or Organ as a planning authority (Section 7 (4)) and to
declare any area of land to be a planning area (Section 8(1)).
Established under the Land Policy and Land Act as sole authority responsible for land administration. Land Act (Section 9-11) impose the
Commissioner for land as the principal administrative officer and professional officer and advisor to the government in land matters at all
levels. The Commissioner may appoint officers at the appropriate levels of government to administer land other than village land. Has
power to delegate the powers to Deputy, Assistant Commissioners and Officers and officers at Local Authority or public organization all
who work and comply to directives of the Commissioners.
Established under Land Act (Section 17 to advice Minister on Land Policy and institutional framework and organizational structure for land
matters
Established under Section 6 &7 of the Land Use Planning Act, as the principal advisory organ of the Government on all matters related to
land use. The Commission is comprised of various environmental stakeholder to ensure oversee the best use of land use planning.
Established under the Urban Planning Act (Section 6) to advise to Minister, issue guidelines, set standards, coordinate and approval of
matters related to urban planning
Under the Land Act (Section 12) Land Allocation Committees are to be established at central, urban and district authorities to perform
duties related to advise of application of Rights of Occupancy.
Established under Section 5(1) of the Local Government (Urban Authorities) Act, 1982 to perform basic functions provided under Section
54 (1) and (2) of the Act.
The Land policy directs LGAs (working with Minister) as being responsible for land administration in respective areas of jurisdiction.
Local Government Authorities
Qualified Valuer
Chief Valuer
According to Land Act (Section 14): LGAs (unless authorized) do NOT make an offer or grant or sign any Right of Occupancy to any
individual or organization; any such purported offer shall be void; any application is forwarded (with comments and recommendations) to
the Commissioner. LGAs only make representation, provide advice or guidance of land matters in respective areas of jurisdiction not
contrary to directive or circular issued by the Commissioner.
Land (Assessment of the Value of Land for Compensation) Regulations, 2001 (Regulation 5) directs that every assessment of the value of
land and unexhausted improvement is done by a qualified Valuer
Land (Assessment of the Value of Land for Compensation) Regulations, 2001 (Regulation 6) directs that every assessment of the value of
land and unexhausted improvement is verified by the Chief Valuer of the Government or Representative
22
Table 8 Relevant Sectoral Authorities
Name of Authority/Entity
Key Role and Responsibilities
WATER AND EFFLUENT DISCHARGE
Established under the Water Supply and Sanitation Act (2009), Section 9 and is responsible to provide a secured and continuous supply of
water; develop and maintain water works and sanitation works (includes treatment and monitoring of water quality; liaise with LGAs and
collect fees and levies for services supplied.
Established under the Energy and Water Utilities Rgulatory Act Cap 414 responsible for

Licencing and regulating water supply and sanitation services
Energy and Water Utilities Regulatory Authority

Establishing standards, guidelines and tarrifs chargeable in relation to water supply and sanitation services

Monitoring water quality
Established under Water Resource Management Act (2009) section 22 and are responsible for the general planning, coordination,
management and reporting on water resource management and water resource structures a in a basin. Also responsible to

Approve, issue and revoke water use permits for any person who diverts, dams, stores, abstracts or uses water from surface or
underground water source.
Water Basin Board

Approve, issue and revoke ground water permits for any person who intends to construct, sink, enlarge or deepen a well or
borehole in a Groundwater Controlled Area declared by the Minister

Approve, issue and revoke discharge permits for any person who wants to discharge effluents from any commercial, industrial or
agricultural source, from any sewerage works or any other source.

Monitor, enforce and report on environmental compliance by water use and discharge permit holders
NATURAL HABITATS AND PROTECTED AREAS DESIGNATED BY LAW
Established under Forest Act (2002), Section 5 who appoints licensing and registration officers, enforcement officers and inspectors who
ensure the efficient, effective and economical management and supervision of forests. Also responsible for approving permit applications
for

the felling and extraction of timber,
Director of forestry (appointed)8 and relevant forest

gathering, removing, export of forest produce,
manager

human activities in the forest: research, construction, tourism, industry, hunting, fishing

planting, sowing and cultivation of trees, crops or other vegetation

livestock rearing
Established under Wildlife Conservation Act, Section 7 who is the principle advisor to the government on all matters related to the
conservation and management of wildlife and wildlife products and is responsible for

Issuing permits/licenses to hunt, burn, capture, kill, wound or molest any animal or fish found in a game reserve, game controlled
9
Director of Wildlife
area or wetland reserve.

Authorizing entry into game reserves

Authorizing livestock grazing in game controlled areas
Established under Marine Parks and Reserves Act Section 3 under the Division of Fisheries to establish and develop marine parks and
Marine Parks and Reserves Unit
reserves and to implement and enforce provisions in the Act; to provide public education and awareness; to provide services to visitors and
establish, operate or manage or grant concession or licenses to other persons to operate of manage on their behalf any facilities for visitors
traveling to or from any marine park .
Established under the National Parks Ordinance Section 8 who has general powers, duties and functions to control, manage, administer
Tanzania National Parks Authority (TANAPA)
and maintain National Parks
INFRASTRUCTURE DEVELOPMENT
Established under the Local Government (urban authorities) Act section 5 that have the authority to
Urban Councils

Regulate any trade or business which may be noxious, injurious to the public health or a source of public danger, or
Water Supply and Sanitation Authority
(body corporate)
8
9
Ministry of Natural Resource Management- Division of Forestry and Beekeeping and relevant Forest Reserve Management Authority
Ministry of Natural Resource Management Wildlife-Division and designated wildlife officers
23

Provide, maintain, supervise and control public markets and pounds, and cold-storage depots, mineral water factories and public
or private slaughter- houses,

Provide for and maintain a supply of electric lighting or other means of lighting the streets and trunk roads

Keep and maintain in good order and repair all public waste and sanitation facilities and services so as to prevent injury to health

Make, keep and maintain clean and in-good order and repair all streets, sewers, buildings,machinery, works, surface water
drainage and things belonging or shall become vested in the authority,

Regulate the use and conduct of public vehicles and to appropriate particular routes, roads, streets and parking places to
specified classes of traffic plying
Established under the Road Act Section 5 responsible for the development, maintenance and management of public roads and related
facilities and have the authority to

Enter land owned by any person to survey for the purpose ofa road

Collect stones, sand, gravel or any material required for opening, making or preparing any public road
Road Authority (TANROAD)

Acquire quarries for developing and maintaining a road

Remove and cut trees that overhangs, obstructs or interferes with light, endangers or obstructs the pathway or interferes with
road performance or maintenance.

Notify any person obstructing or encroaching on any public road to remove or abate such obstruction
OCCUPATIONAL AND PUBLIC HEALTH AND SAFETY
Empowered under the Public Health Act Section 5 to
Urban Authorities

Prevent the occurrence of or deal with the prevalence of any disease (infectious, communicable and non-communicable)

Safeguard, promote, implement and enforce public health standards, including notifying any breach of the standards
Established under OHS Act Section 5 to enter, inspect and examine a factory, workplace, building, machinery or appliance to ensure
Designated OHS Inspectors
compliance with the provisions of the Act and in doing so may obtain and examine relevant documentation and/or direct an employer,
employee or user to appear before them or to be examined.
Established under the Executive Agencies Act No. 30 of 1997 and is the custodian of Occupational Health and Safety Act No.5 of 2003 to
make provision for the safety, health and welfare of persons at work in the workplaces and to provide for the protection of persons other
Occupational Health and Safety Authority (OSHA)
than persons at work against hazards to health and safety arising out of or in connections with other activities of persons at work. OSHA
also provides Occupational Health & Safety Compliance Licensing.
Established under the Fire and Rescue Services Act (1985) Section 4 for protection against fire hazards, to enter a premise to ensure
Fire and Rescue Services Force
adequate fire safety provisions are available and to supervise, instruct and monitor all fire and rescue activities of all fire brigades
24
PART II:
URBAN LOCAL GOVERNMENT
ENVIRONMENTAL AND SOCIAL
MANAGEMENT SYSTEM GUIDE
Part II of this manual describes the LGA-specific ESMS. It is divided into 7 chapters as follows:
Chapter 4 is an overview chapter that presents the overall ESMS describing step-by-step procedures for
environmental and social planning, review, approval, implementation, monitoring and evaluation of subprojects financed under the ULGSP.
Further guidance on implementing the procedures in the ESMS are provided in the following chapters:
 Chapter 5 are Screening Criteria for determining need for and level of environmental assessment
for individual infrastructure sub-project.
 Chapter 6 presents the approach (guidelines) for urban infrastructure environmental and social
impacts identification
 Chapter 7 presents the approach (guidelines) for impacts mitigation, integration into project
designs/proposals and preparation of requisite reports and management plans
 Chapter 8 presents the approach (guidelines) for executing a Resettlement and Compensation Plan
(RAP) emanating from land acquisition, access to resources and compensation.
 Chapter 9 presents the approach (guidelines) for review, approval, disclosure and authorization of
reports (EIS/PEAR) and plans (ESMP/RAP)
 Chapter 10 presents the approach (guidelines) for implementation i.e. supervision, monitoring and
reporting of mitigation measures and management plans (ESMP/RAP).
 Chapter 11 outlines the capacity building, training and technical assistance required for effective
implementation of the ESM Manual
These chapters are to be read while referring to the LGA ESMS flow diagram provided for overleaf. It is
advised that this page is printed as a separate insert that is not bound to the manual document. This allows for
for easy reference while reading the chapters.
25
Overview of Part II in relation to the LGA-specific ESMS
Key
Sub-project pre-design
by IPS
ESMU
Action
Screening: Chapter 5
IPS Action
Sub-project registration
with ESMU
Decision
Sub-project
Screening
ESIA at National level
Project not acceptable
ESIA at Local Government level
Impact Identification
&
No ESIA
required
mitigation: Chapter 6, 7, 8
ESMP
Preliminary Environmental and
Social Assessment (PESA)
PESAR
Full ESIA
ESIS, RAP
Incorporation of ESMP, PESAR,
RAP, EIS into project design
ESMU
recommendation
on EIS and RAP
Review & Approval: Chapter
9
Review
ESMU
recommendation
on ESM,PESAR,
EIS and RAP
Project not
acceptable
EIS and RAP Decision
Incorporation of
ESMP, PESA
report, EIS, RAP for
project approval
by person delegated by
VPO-E
EIS certificate
EIS not
approved
Revise EIS
EIS and RAP
report disclosure
Incorporation of ESMP in
 Contractor tendering
 Construction works
ESMP
implementation
Monitoring: Chapter10
Environmental and Social
Management Report
External Annual Review/ Audit Report on
Environmental and Social Management
Report
Environmental
and Social
monitoring
26
4
ENVIRONMENTAL AND SOCIAL ASSESSMENT AND
MANAGEMENT ARRANGEMENTS FOR ULGAs
4.1
Introduction
The following describes a LGA - specific Environmental and Social Management System (ESMS) linked to
the national process. The ESMS is based on a simple screening and approval procedure including linkages
with national institutions and other LGA-level entities.
For the process to be effective, each participating ULGA will need to establish an Environmental and Social
Management Unit (ESMU)10 headed by the Environmental Management Officer (EMO) anchored in the
ULGA Economic Planning Department. It must be ensured that key staffs are adequately qualified and
registered as ESIA Experts under the Environmental (Registration of Environmental Experts) Regulations,
2005. To become qualified for the tasks, the LGA officials and other actors will receive training (Part IV).
4.2
ULGA Environmental and Social Authorization Process
The sections below illustrate the steps involved in the environmental and social authorization process leading
towards review and approval of infrastructure sub-projects under the UPG programme. The purpose of this
environmental and social assessment process is:
 To determine whether future infrastructure investments are likely to have potential negative
environmental and social impacts;
 To determine appropriate mitigation measures for activities with adverse impacts;
 To incorporate mitigation measures into infrastructure design;
 To review and approve proposed activities or infrastructure; and
 To monitor environmental parameters during sub-project implementation.
The extent of environmental and social work that might be required for sub-project prior to implementation
will depend on the outcome of the screening process described below.
Main steps (that follow the national legislative procedure as stipulated in the EIAA Regulations, 2005)
include:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
10
Preparation and Application
Screening
Impact Assessment
Incorporation into project designs
Appraisal
Approval
Disclosure of Sub-Project Information
Project Implementation
Monitoring and Evaluation
Reporting
Annual Review/Audit
ESMU key members: Environmental Management Officer (EMO) and Sociologist. Other opted specialists appointed
by the Council Director on need basis depending on nature of project e.g.Town Planner ,Land Officer/Valuer,Social
Welfare Officer etc.
27
Step 1: Application for ESIA Certificate & Project Registration
The relevant Infrastructure Proponent Section (IPS) (i.e. the LGA department/section responsible for the
design and/or implementation of the proposed infrastructure) shall register the infrastructure sub-project by
submitting a dully filled in special application form (Form No 1 Part III) to the LGA ESMU together with a
Project Brief and prescribed fee11 for the ESMU to assess whether or not an ESIA is required and the level
of assessment for the particular infrastructure.
Project Brief shall be in a format prescribed under EIAA Regulations No.6, prepared by a registered ESIA
expert12 (IPS official). IPS shall make use of the Impacts Identification and Mitigation Guidelines13 (Chapter
6 and 7) to make preliminary description of potential environmental and social impacts and mitigations when
filling both the registration form and project brief.
IPS shall submit 2 copies of the Registration Form and 2 copies of the Project Brief (Form No 1 Part III).
ESMU shall then disseminate the Project Brief14 for comments to relevant LGA Departments15.
Box 4-1 Content of the Project Brief for the Application for an
Environmental and Social Impact Assessment Certificate
1.
2.
Title Page: Name of Project, Proponent and Date
Table of Contents: with list of tables, figures and Acronyms where
applicable.
3. Introduction: brief background to the project, need for the project and
structure of the report.
4. Nature of the Project: type of project and main activities of the project
during construction, operation and decommissioning phases.
5. Location of the project: actual location, maps, general geographical,
biological and socio-economic description of the project area.
6. Design of the project and materials to be used and generated: products
and by-products, including waste to be generated by the project and the
methods of their disposal.
7. Potential environmental and social impacts and the mitigation measures to
be taken during and after implementation of the project (use chapter 6 and
7 of the Technical Manual for guidance)
8. Potential economic and socio-cultural impacts and the mitigation measures
to be taken during and after implementation of the project (use chapter 6
and 7 of the Technical Manual for guidance)
9. A plan for the prevention and management of possible accidents during the
project cycle
10. A plan to ensure the health and safety of the workers and neighbouring
communities;
11. The project Budget
Step 2: Screening and assigning the appropriate Environmental and Social Assessment
Category
11
Proposed fee amount of 10% project costs to cover monitoring, allowances, review costs, fuel and stationary
Registered EIA Expert
13
Environmental and Social Guidelines are based on conventional environmental and social impacts and mitigation
measures associated with infrastructure development activities
14
The project brief is also an information awareness tool that allows for other sectoral departments to know that a
certain project is underway.
15
Dissemination should follow LGA structure: economics, works, community development, town planning, health and
legal department, Ward committees, RAS and Central government (PMO RALG)
12
28
A qualified staff of ESMU shall carry out initial environmental and social screening of the Project Brief
through the use of the Environmental and Social Screening Guidelines (Chapter 5) and the screening criteria
(Form No 2 Part III). Screening is the classification stage to determine the level at which an ESIA will be
carried out. The screening takes consideration of key factors specifically sensitivity of the environment,
location of a project, technology used, concerns of the public, land use considerations, magnitude/scale of
environmental impacts and any other relevant factors.
After reviewing the results of the environmental and social screening process, ESMU will then determine the
extent of environmental work required and assign a category to the sub-project. A proposed infrastructure
sub-project can be classified as:





“No ESIA” Required: If the environmental and social screening results indicate the potential impacts
and application of mitigation measures in sub-project design described in Project Brief are sufficient the
sub-project will not require further environmental work . The preparation of an ESMP (described in
Chapter 7) suffices.
"ESIA List 2: LGA to carry out Preliminary Environmental and Social Assessment (PESA)" : Tanzania’s
EIA and Audit Regulations categories small-scale development activities as projects that may or may
not cause adverse environmental and social impacts (First Schedule of the EIA and Audit regulations),
and therefore should be subject to PEA to ascertain this.
"ESIA List 1: LGA to carry out Full-scale ESIA" : In some cases, the results of the environmental and
social screening process may indicate the need to carry out a full-scale ESIA. The IPS will have to carry
out the ESIA using the guidance provided in Chapter 6 and 7 and will have to pay particular attention to
subprojects involving hazardous wastes and those that can deplete scarce resources.
"ESIA follow national process": In some cases the results of the environmental and social screening
process may indicate the need for the sub-project to undergo and assessment at the national level.
"Not acceptable": No further consideration at all for a project contravening the program's or government
policies and other global obligations.
ESMU then submits the screening results to the IPS within 14 days of submission of project brief.
Step 3: Carrying out environmental work
The IPS will initiate environmental work according to the category the sub-project has been assigned in the
screening process. Detailed guidelines for Impact Assessment and Mitigation Measures are provided for in
Chapter 6 and 7 respectively.
“No ESIA” Required
If the environmental and social screening results recommend no further environmental work, the IPS will
prepare an ESMP and proceed to Step 4- incorporate the mitigation measures into the proposals or designs of
the infrastructure development activities.
The ESMP and project proposal documentation will be submitted by the IPS official to the ESMU for review
and approval (step 5 a-c, step 6 and step 7).
ESIA List 2: Preliminary Environmental and Social Assessment
Should any subproject fall under ESIA List 2 a PESA needs to be carried out. The steps (Box 4-2) are very
similar in all aspects as provisions in the EIAA Regulations, 2005 Part III, Section 11(2).
29
Box 4-2 Preliminary Environmental and Social Assessment
A preliminary assessment shall proceed along the following steps:
a) description of the project characteristics and the affected environment;
b) identification of impacts on the local environment;
c) assessment or evaluation of the significance of the impacts in terms of
energy flow, transformation of matter, effects on sensitive ecosystems
relative to the baseline state and socio-economic impacts;
d) identification of mitigation measures
The IPS will constitute an Environmental and Social Assessment Team (ESIA Team) of LGA staff certified
as ESIA experts for the environmental assessment work drawn from relevant sectoral departments at the
LGA. Minimally, this conventionally includes16 a sector specialist (i.e. Civil Engineer), Ecologists/Natural
Resource specialist and Sociologist.
If necessary, the IPS can provide funds to hire environmental assessment experts/consultants to carry out the
environmental work as needed with LGA input and participation.
IPS shall make use of the Impacts Identification and Mitigation Guidelines (Chapter 6 & 7) to make
description of potential environmental and social impacts and mitigations. The outcome shall be a PESA
Report (PESAR). A fully described PESA report constitutes duly filled sections (as per report guidelines
chapter 10) shown in Box 4-3 below.
Box 4-3 Main Content of Preliminary Environmental and Social
Assessment Report
Part A: brief description of infrastructure project;
Part B: brief description of the environmental and social situation;
Part C: environmental and social impacts and significance;
Part D: mitigation measures; and
Part E: Environmental and Social Management Plan.
IPS will then proceed to step 4 - incorporate the mitigation measures into the proposals or designs of the
infrastructure development activities.
The PESAR and project proposal documentation will be submitted by the IPS official to the EMU for review
and approval (step 5 a-c, step 6 and step 7).
ESIA List 1: Full-Scale ESIA
Should any subproject fall under EIA List 1 and full-scale EIA needs to be carried out, the procedures (Box
4-4) shall be followed. The steps are very similar in all aspects as provisions in the EIA and Audit
Regulations, 2005. The steps for carrying out an environmental impact assessment are outlined in Figure **
(to add).
Box 4-4 General steps for a Full-scale Environmental and Social
Impact Assessment (ESIA)
A full scale ESIA shall proceed along the following steps:
a)
b)
c)
d)
e)
16
Scoping and preparation of Terms of Reference
Preparation of Environmental Impact Statement / EMPs
Review,
Approval and
Issuing of an EIA certificate
The number and type of team members will depend on the nature and scope of the sub-project under consideration.
30
Such full-fledged ESIA requires inputs from teams of specialists (ESIA Team) as well as from other
stakeholders. Minimally, this conventionally include 4 specialists: a sector specialist (i.e. Civil Engineer),
Ecologists, Sociologist and Environmental Impact Assessment specialist17.
The IPS will constitute an ESIA Team of LGA staff certified as ESIA experts for the environmental
assessment work drawn from relevant sectoral departments at the LGA. Minimally, this conventionally
includes a sector specialist (i.e. Civil Engineer), Ecologists/Natural Resource specialist and Sociologist.
Other common specialists include Environmental Engineer, Health and Safety Specialist, Land/Urban
Planner, etc.
OR
The IPS will have to seek and pay for the services for environmental assessment by Certified EIA experts /
Consultants as needed with LGA input and participation.
The ESIA Team shall undertake the environmental assessment in accordance to the Environmental and
Social Impact Identification and Mitigation Guidelines (Chapter 6 & 7) as appropriate. Use of the guidelines
should be complimented by other measures applicable to the particular sector/situation. The ESMU in
consultation by NEMC Zonal Officer / NEMC will assist the process as necessary.
a) Undertaking Scoping & preparation of ESIA Terms of Reference
The ESIA Team shall identify main issues of concern through scoping by consulting all the relevant
concerned parties. The Team shall prepare a scoping report constituting sections (as per report guidelines
chapter 10) shown in Box 4-5 and draft Terms of References (TOR) (Template No 1, Part III) to guide the
impact assessment study.
Box 4-5 Main Content of Scoping Report
Part A: brief description of infrastructure project;
Part B: brief description of the environmental and social situation;
Part C: Outline of relevant policy, legal and institutional framework
Part D: Stakeholder participation
Part E: Outline of preliminary environmental and social impacts
Part F: Strategies and Approach to the ESIA study
Part G: Terms of Reference for the ESIA study
The IPS then submits the scoping report with TOR to ESMU for approval. Approval should be granted
within 14 days of submission, failure of which approval is assumed.
b) Public Participation
Public consultation is mandatory when conducting an ESIA and at a minimum the proponent (IPS) must
meet key stakeholders to solicit their views. The Proponent (IPS) must extensively publicize the project: post
posters in strategic public places; publish notices in newspapers; announce notice in radio; and conduct
public meetings (as appropriate) with affected parties and communities. A public consultation programme
(see Box 4-6) shall be submitted (attached to Scoping report / EIA report) for verification of issues raised by
concerned parties.
Box 4-6 Content of the public consultation programme
A public consultation programme shall include



17
the minutes of the public consultation meetings indicating when and
where meetings were held, who attended
how stakeholders were informed and selected,
local opinions and proposals presented, the major concerns raised
and how they were addressed
31
c) Impact Assessment
The ESIA Team shall undertake the ESIA study following the approval of the TOR. The Team will make use
of impacts identification and mitigation measures guide (Chapter 6 & 7) to identify likely impacts, to assess
and evaluate their severity and magnitude and propose mitigation measures to minimize potential negative
impacts and enhance positive benefits.
Box 4-7 Requirements on impacts
Impact identification to pay attention to specific impacts / mitigate on i.e. if sub
projects result in







resettlement of people/property and access to resources;
change access to resources in park or protected area;
affect protected area or natural/sensitive habitat;
affect cultural property;
involve use of pesticides;
safety of dams
affect vulnerable and indigenous peoples/groups
If the impact identification process determines that the taking of land for the establishment of the sub-project
will result in resettlement (displacement of people or property, or restriction of access to resources) as a
significant impact, the IPS should prepare a Resettlement Action Plan (RAP) to guide resettlement and
compensation activities for the process. The IPS shall constitute a RAP Team to prepare the RAP.
d) Environmental and Social Impact Assessment Report (ESIS)
The outcome shall be an Environmental and Social Impact Assessment Statement (ESIS) with format and
constituting contents prescribed in the reporting guidelines (chapter 10) and signed by each expert.The
content of the ESIS is summarised in Box 4-8 below.
Box 4-8 Main Content of EIS Report18
Part A: Executive Summary (Kiswahili and English)
Part B: Description of infrastructure project;
Part C: Description of the environmental and social situation;
Part D: Description of relevant policy, legal and institutional framework
Part E:Stakeholder participation
Part F:Assessment of environmental and social impacts and identification of
alternatives
Part G: Environmental mitigation measures
Part F: Environmental and Social Management Plan
Part G: Environmental and Social Monitoring Plan
The ESIS shall include drafts of the Environmental and Social Management Plan (ESMP), an Environmental
and Social Monitoring Plan (ESMoP) and a RAP (where applicable). A non-technical executive summary in
English and Kiswahili is mandatory.
IPS will then proceed to step 4 - incorporate the mitigation measures into the proposals or designs of the
infrastructure development activities.
IPS shall submit to ESMU 2 original copies and an electronic copy of the EIS and project proposal
documentation for review and approval (step 5 a-h, step 6 and step 7).
18
EIS include sections for Resource evaluation or Cost Benefit Analysis and Decommissioning Plan (as appropriate)
32
Box 4-9 Requirements on additional planning reports



Resettlement Action Plan – if there is land acquisition / changes in
access to resources
Indigenous People Plan (IPP) – if adverse effect /benefit to Indigenous
Peoples
Other specific mitigation plans e.g. Environmental and Social
Management Plan
Step 4: Incorporating mitigation measures into project proposals / designs
IPS will incorporate the mitigation measures recommended in the ESMP, PESA Report, EIS or RAP into the
proposals or designs of the infrastructure development activities. Once satisfied that the infrastructure
designs/proposals are environmentally and socially compliant, IPS will prepare a final ESMP and ESMoP.
The IPS shall submit the revised proposal/designs to the ESMU as appropriate for review and approval. The
proposal documentation must be accompanied by the approved EIA report and final ESMP/ESMoP/RAP.
Step 5: Review
Review of environmental assessment reports and project application documents shall follow the steps in Box
4-10 (Chapter 9):
Box 4-10 Review and Approval
The review and approval process shall proceed along the following steps:
a) Desk appraisal by ESMU and Relevant Sectors;
b) Field appraisal
c) Environmental decision of ESMU on ESMP / PESA Report
d) Cross-sectoral Technical Advisory Committee (TAC) Meeting
e) Public Review
f) ESMU recommendations
g) Environmental decision on EIS
h) Approval (conditions and implementation supervision)
i) Disclosure of sub-project information
1. Desk Appraisal
ESMU shall disseminate the documents to relevant LGA Departments/sections19 and Authorities. The
Review Team (ESMU and other Sector staff that were not members of the ESIA Team) will undertake desk
appraisal of the ESMP / PESA Report / ESIS /RAP and sub-project designs/proposals to ascertain relevancy,
and adequacy of information. The review shall ensure that all environmental and social impacts and
resettlement issues have been identified and successfully mitigated and mitigation measures integrated in the
project designs.
The ESIA reports and project proposal documents shall be reviewed by the Review Team making use of
Review Guidelines (Chapter 9). The application shall need to adequately explain and demonstrate from its
design that the issues of concern have been addressed appropriately. The Reviewers shall ensure that the subproject designs include monitoring and institutional measures to be taken during implementation and
operation.
The Review Team shall produce a desk appraisal report
2. Field Appraisal
19
See LGA departments defined in step 1
33
The review of the report shall include field appraisal - a site visit coordinated by ESMU, conducted to verify
information provided in the PESA / ESIS report. The Review Team shall produce a field appraisal report.
3. Environmental decision of ESMU on ESMP/PESA Report
For the ESMP / PESA Report, the ESMU shall give decision within 14 days of receiving ESMP/ PESA
Report.

For the ESMP the outcome of the review could be "ESMP approved" or "ESMP to be improved".

For the PESA Report the outcome of the review could be “PESA approval” or “PESA approval
subject to specified conditions” or “Upgrade PESA to full ESIA” or could be “PESA not
approved”. The proponent sector (IPS) is issued with a decision letter signed by the LGA
Environmental Management Officer (MEMO)
4. Cross-sectoral Technical Advisory Committee (TAC) Meeting
For ESIS, ESMU shall coordinate a TAC meeting constituting one-to-one discussions with IPS (Sector
which is proponent of the infrastructure sub-project) to get feedback on various aspects of the report and to
recommend improvements on it. The TAC shall be composed of not less than 7 multi-disciplinary specialists
from sectors responsible for environment and resource management, and those that are currently the focus
for the infrastructure investment and relevant LGA Authorities. TAC is crucial in enhancing required
technical credibility, institutional and interagency coordination, accountability and transparency in deciding
the fate of a project.
Box 4-11 Cross-sectoral Technical Advisory Committee (TAC)
Members
a) ESMU – Chair / Secretary
b) Sector specialist (road, waste
facility, etc)
c) Land / Town Planning Department
d) Community Development
Department
e) Health Department
f) OSHA
g) Host community representative(s)
Agenda of TAC meeting
1. Discussion and acceptance of
Desk Appraisal Report
recommendations
2. Discussion and acceptance of
Field Appraisal Report
recommendations
3. Approval of project
documentations and ESIA
report/management plans.
5. Public review of (ESMP, PESA Report, ESIS / RAPs, IPP etc)
The public are invited to present their views and comments on the reports and plans. The ESMU shall
publicize the project via posters, notices and media and make available the environmental assessment reports
and management plans to any interested member of the public to consult and submit written comments
within 7 days. The reports should be accessible in a public place and in an understandable form, manner and
language.
The ESMU may hold a public hearing/meeting if deemed necessary (further guidance in Chapter 9).
6. ESMU recommendations
If the application has satisfactorily addressed all key issues, the ESMU will then clear the proposal and
recommend approval of the infrastructure sub-project to the ULGA Urban Planning and Environment
Committee20.
If the ESMU finds that the submitted proposal is not consistent with the requirements of the EIAA
regulations, 2005 then the IPS would be requested to re-design (e.g. make additional modifications and/or
choose other sites) and re-screen the sub-project until it is consistent and then re-submit it for review. The
ESMU will then review again the revised application, if now acceptable, will recommend for consideration
for approval. If it is not acceptable for the second time, it would be referred back to the preparer for more
20
Person delegated by minister to approve ESIA certificate
34
work e.g. carry out a sub-component ESIA in cases where one was not done before or deny clearance
altogether.
Any proposed infrastructure project that does not comply with the requirements of Tanzania environmental
policies and legislation and WB Core Principles will not be cleared for approval.
This process is designed to ensure that the environmental and social assessment process is part of and
conducted during the design process thereby ensuring that the infrastructure development activities are
environmentally and socially sound and sustainable.
ESMU submits a report of ESIS review to the ULGA Urban Planning and Environment Committee.
Step 6: Approval
Environmental decision of the ESIS
The ULGA Urban Planning and Environment Committee, after receiving ESMU recommendations and
advice shall give decision within 14 days of receiving report of ESIS review. The outcome of the review
could be “EIS approval” or “EIS approval subject to specified conditions” or could be “EIS not approved”.
For the later two cases the proponent is issued with a decision letter signed by the Environmental
Management Officer.
Approval (with conditions)
For approved ESIS / cleared proposals, the IPS shall be issued an EIA Certificate (Form No 3 Part III) by the
District Administrative Secretary (DAS). DAS will give a conditional approval for detailed planning,
implementation of the infrastructure sub-project. These conditions may include, for example, such measures
as siting or routing restrictions, construction and operation practices, restoration of disturbed areas and
construction/implementation supervision to ensure the approval conditions are being followed. If no
development has started within 3 years, the certificate is deemed invalid and the IPS shall have to re-register
the sub-project.
Step 7: Disclosure of sub-project information (ESMP, PEA, EIS, RAP etc)
The IPS will disclose sub-project information to the public. This information shall include the sub-project
design, timeframe and key findings of the ESIA report (and RAP where applicable).
More than one avenue can be used as most suitable to the ULGA however at the minimum the IPS shall
ensure that the key findings of the ESIA report (and RAP where applicable) are:




Discussed in at least one ULGA public meeting and is recorded in meeting minutes
Discusses at Ward or mtaa meetings
Accessible in a public place i.e. notice board, public library, educational institution, ward/village
offices, Local newspapers, Government gazette, etc.
Presented in an understandable form, manner and language by using the non-technical executive
summaries that are in both Kiswahili and English
Step 8: Project Implementation
The IPS will ensure that all relevant project approvals (i.e. project proposal, ESIA and RAP approvals,
budgets) are complete before initiating project implementation. During implementation the IPS is responsible
for:
1. Ensuring that the RAP (if applicable to the sub-project) is implemented and completed before the
commencement of any construction works. RAP implementation will be supervised by the Urban
35
Planner/appointed Land Officer. This includes the procurement of a Land Valuer and the preparation
of a RAP report.
2. Ensuring that the implementation of the ESMP is part of the Contractor's contractual obligations.
The LGA procurement section will supervise the tendering process for all service providers.
3. Ensuring that the ESMP is implemented during the mobilization, construction and operation of the
sub-project.
Step 9: Monitoring and evaluation
Environmental monitoring needs to be carried out during the mobilisation, construction as well as operation
and maintenance of the infrastructure in order to measure the success of the mitigation measures
implemented earlier.
The IPS is responsible for the day to day monitoring of the ESMP implementation by the contractor during
mobilisation and construction. The IPS submits a report based on the ESMoP to the ESMU where the
appointed EMO has a supervisory monitoring role.
During operation, the EMO is responsible for monitoring the implementation of the ESMP by the IPS.
Therefore EMO has the overall responsibility for monitoring the project implementation to ensure that the
mitigation measures indicated in the approved ESMP are actually being implemented.
Step 10: Reporting
The EMO is responsible for reporting on all ESM issues within the ULGA and to NEMC throughout the
project life-cycle.
The Council Economic Planning Officer will incorporate the reports from EMO to prepare the overall project
report and submit to PMO-RALG quarterly, bi-annually and yearly as required.
Step 11: Annual Reviews/Audits
Annual Reviews of the ULGSP projects will be carried out as commissioned by PMO-RALG. These are to
be Third Party audits which will also review the implementation environmental and social systems
management in the LGAs. These reviews and audits are part of the Assessment of the participating LGAs in
ULGSP and, their reports are submitted to the Review Mission for information and appropriate actions for
improvement or correction.
36
4.3
Summary of steps
The key actions and people responsible in the LGA-specific ESMS are summarised below and illustrated in
the figure overleaf:
Step
1
2
3
4
5
6
Action
Preparation and Application
Screening to determine level of assessment
Carrying out environmental and social assessment (including RAP
where applicable)
Incorporation into project designs
Appraisal and
Approval
7
8
9
10
11
Disclosure of Sub-Project Information
Project Implementation
Monitoring
Environmental and Social Management Reporting
Annual Review/Audit
Responsible party
IPS
ESMU
ESIA Team/RAP Team
IPS
ESMU
Urban
Planning
and
Environment Committee and
DAS
IPS
IPS
IPS and ESMU
ESMU
Third Party
The figure highlights the main roles for the IPS and the ESMU and where key decisions are made.
Proposed LGA-specific Environmental and Social Management System
Key
Sub-project pre-design
by IPS
IPS Action
ESMU
Action
Sub-project registration
with ESMU
Decision
Sub-project
Screening
ESIA at National level
Project not acceptable
ESIA at Local Government level
No ESIA required
ESMP
Preliminary Environmental and
Social Assessment (PESA)
PESAR
Full ESIA
ESIS, RAP
Incorporation of ESMP, PESAR,
RAP, EIS into project design
ESMU
recommendation
on EIS and RAP
Review
ESMU
recommendation
on ESM,PESAR,
EIS and RAP
Project not
acceptable
EIS and RAP Decision
Incorporation of
ESMP, PESA
report, EIS, RAP
for project
approval
by person delegated by
EIS not
approved
VPO-E
EIS certificate
Revise EIS
EIS and RAP
report disclosure
Incorporation of ESMP in
 Contractor tendering
 Construction works
ESMP
implementation
Environmental and Social
Management Report
External Annual Review/ Audit Report on
Environmental and Social Management
Report
Environmental
and Social
monitoring
37
38
5
SCREENING AND ENVIRONMENTAL CATEGORIZATION
OF PROJECTS
5.1
Introduction
In order to determine the need for an ESIA and to identify the level of assessment required individual
development projects undergo a screening process. This is both a national requirement and international best
practice. The chapter provides step by step guidance on how to carry out the screening exercise and should
be read referring to Form 2 on Screening Criteria.
Snapshot: Screening Process
Users of the chapter
ESMU Staff
Qualifications
Purpose


responsible to carry
out screening


5.2
A person with overall
knowledge of different sectors
OR staff knowledgeable in
specific thematic areas
(specific sector)
Registered expert with NEMC
Trained in screening as part of
the LGA-specific ESMS


To determine if an ESIA is
required or not
To determine the level of
assessment required
To determine if a full scale
ESIA will follow the
national or LGA process
Screening process
The screening process in the LGA ESMS firstly determines whether the project will undergo an assessment
at the LGA or under NEMC. Secondly the process determines the level of assessment required. The process
has 6 main steps:
1.
2.
3.
4.
5.
6.
Determining whether the project will follow the LGA or national ESIA process
Disseminating the project brief for comment
Determining whether an ESIA is required
Determining the level of ESIA required
Consolidating the screening results
Communicating the screening decision
Step 1: Determine whether the project will follow the LGA or national ESIA process
Upon receiving the project registration form the ESMU staff will screen the project based on information
provided in the project brief submitted by the IPS.
The Screener is to use the screening criteria below to determine whether the ESIA will be carried out at the
LGA or it is to be registered with NEMC for the national process.
The ESMU staff is to determine the threshold applicable for the sub-project and is to tick a "yes" or "no"
against each criteria. If any of the following criteria have a score of "yes" on the column for national ESIA
process then the project is to proceed with the national ESIA process.
39
Screening criteria to determine whether to follow LGA and National ESIA processes
Criteria
Land Jurisdiction
(both linear or non-linear
projects)
Geographical location of a
project in an
Environmental21, Social22 or
Economic23 Sensitive Area
Land use categorisation
Hazardous materials 24
Technology used
Concerns of the public25
Experience in Tanzania
(Human Resource, case
studies, mitigation measures
exist and are known)
Impact on Policy26
Threshold value to follow
LGA ESIA Process
The project area is within one LGA
jurisdiction boundaries
[YES] [NO]
The project is not located in a Sensitive
Area
[YES] [NO]
Threshold value to follow
National ESIA Process
The project area overlaps more than one
LGA's jurisdiction boundary
[YES] [NO]
The project is located in a Sensitive Area
[YES] [NO]
The project is located in Village or
General land
[YES] [NO]
The project will not use hazardous
materials or produce hazardous
substances
[YES] [NO]
The project will use standard technology
known/previously used to the LGA
The project is located on Reserved land
[YES] [NO]
[YES] [NO]
The project has not caused major public
concern
[YES] [NO]
Available
[YES] [NO]
The project will not result in policy
initiatives which may affect the
environment
[YES] [NO]
The project will use hazardous materials
or produce hazardous substances
[YES] [NO]
The project will use specialized
technology neither known or previously
used in the LGA
[YES] [NO]
The project has major public concerns
[YES]
[NO]
[YES]
[NO]
None
The project will result in policy initiatives
which may affect the environment
[YES]
[NO]
Most likely majority of sub-projects will be categorized for the LGA ESIA process and national ESIA
process will not apply to most of infrastructure sub-project. Box 5-1 below gives a tentative list of projects
that would most likely follow the national ESIA process (to discuss with stakeholders).
21
Environmental sensitive areas: national park, wetland, productive agricultural land,
archaeological/historical/cultural site, protected area, areas containing rare or endangered flora or fauna, areas
containing unique or outstanding scenery, mountains or developments on or near steep hill-slopes, dry tropical forests,
near Lakes or beaches, damage to wildlife and natural habitats, prime ground-water re-charge areas or areas of
importance for surface run off of water, areas prone to natural hazard e.g flooding, landslides, strong winds.
22
Social Sensitive areas: area providing important resources, livelihood or income for vulnerable groups and
indigenous peoples; area that will displace significant numbers of people, families or communities.
23
Economic Sensitive Areas: high population concentrations or industrial activities where further development could
create significant environmental problems
24
Hazardous products such as by-products, residual or waste materials which require handling and disposal in a
manner that is not regulated.
25
26
Public concern due to impacts that: are politicaly controversial, vary depending on gender or social group
Impact on Policy such as changes in agricultural pricing subsidies or the tobacco liberation, land tenure, taxes on
social services, etc
40
Box 5-1 Tentative list of projects for national ESIA process


Market infrastructure
Abattoir
For project subject to the national ESIA process, the Screener will proceed to step 6.
For projects subject to the LGA ESIA process the Screener will proceed to step 2.
Step 2: Disseminate the project brief to other LGA departments for comment
For projects subject to the LGA ESIA process the Screener will disseminate the project brief to relevant
LGA departments. The relevant LGA departments will review the project brief and recommend whether an
ESIA is required and the level of assessment based on the criteria given in steps 3 to 5 below.
Step 3: Determine whether an ESIA is required or not
The Screener is to use the screening criteria below to determine whether an ESIA is required or not. The
ESMU staff is to determine the threshold applicable for the sub-project and is to tick a "yes" or "no" against
each criteria.
If all the criteria score "no" then an ESIA is not required. If any of the following criteria have a score of
"yes" on the column for ESIA required then the project is to proceed with the LGA ESIA process.
Screening Criteria to determine whether an ESIA is required
Criteria
Land use and acquisition
Pollution
Land degradation
The project will not require
off-site locations for
sourcing materials27
Access to Natural Resources
Threshold value for ESIA
The project type will not result in changes in land use or require land acquisition
[YES] [NO]
The project will not cause air, land or water pollution
[YES] [NO]
The project will not require off-site locations for sourcing materials
[YES] [NO]
The project will not substantially use a natural resources in a way that pre-empts
the use, or potential use, of that resource for any other purpose
[YES] [NO]
Box 5-2 below give a tentative list of projects that would most likely not require an ESIA.
Box 5-2 Tentative list of sub-projects that may not require an ESIA
Sector
Eligible Sub-Project Expenditure
Solid Waste Management
Equipment e.g Front loader Garbage
truck (flatbed), Cesspit Emptying Truck
etc
Expenditures related to preparation of
infrastructure projects (deign,
supervision etc)
Project preparation
27
Materials such as water, soil, gravel, wood, etc
41
If the screening score determines that an ESIA is not required the Screener will proceed to step 5.
If the screening score determines that an ESIA is required the Screener will proceed to step 4.
Step 4: Determine level of ESIA required
If screening score in step 3 determines that the sub-project requires an ESIA, the Screener determines the
level of ESIA is required by referring to the screening criteria below.
If any of the following criteria have a score of "yes" on the column for "List 1-Full ESIA" then the project is
to proceed with a full ESIA process. If all of the following criteria score "yes" on List 2- PESA" then the
project proceeds with a preliminary assessment i.e. PESA.
Screening Criteria to determine whether the sub-project will undergo a preliminary or full ESIA
following the LGA ESIA process
Criteria
Magnitude of environmental
impacts on Valued Receptors
(VRs)28
Spatial scale of impacts
Temporal scale of impacts
Land (size) requirement
Volume of materials (construction,
raw materials, etc) required
Support facilities and services to
support project (water sources,
quarry, power, etc)
Human Resource within ULGA
Management Team
Water use29
Threshold value to follow
List 1- FULL ESIA
Large to very large portion of VRs
affected
[YES] [NO]
Project impacts are not site specific
[YES] [NO]
Project impacts are medium to long
term, may cause residual impacts and
many are irreversible
[YES] [NO]
Large buildings / Floor area
[YES] [NO]
The project requires large volumes of
materials
[YES] [NO]
Various off-site facilities and services
[YES] [NO]
May need support from external
sources
[YES] [NO]
The project type will result in changes
in water use
Threshold value to follow List 2PESA
Small to moderate portion of VRs
affected
[YES] [NO]
Project impacts are site-specific
[YES] [NO]
Project impacts are short term and few
if any are irreversible
[YES] [NO]
Small buildings / Floor area
[YES] [NO]
The project requires small quantity or
materials
[YES] [NO]
The project uses on-site or nearby
facilities and services
[YES] [NO]
Available
[YES] [NO]
The project type will not result in
changes in water use
[YES] [NO]
A tentative list of project that may require a full ESIA versus a preliminary assessment is provided in Box
5-3 below.
The Screener will proceed to step 5.
28
Human populations (i.e. vulnerable groups) or environmentally / socially important areas and sensitive natural
habitats (chapter 6)
29
Changes in water use through irrigation, drainage promotion or dams, changes in fishing practices
42
Box 5-3 Tentative list of projects that may require a full ESIA vs PEA under
the LGA ESIA process
Type of urban
infrastructure
City Roads and
related
Infrastructure
Possible sub-projects under
ESIA list 1-FULL ESIA
o Road rehabilitation
(grading, gravelling, brick
paving, tarmac, upgrading
or rehabilitation for
maximum of 15km per
year)
o Small Bridges: 6m span or
less
Solid Waste
Management
o
Dumpsite Rehabilitation
Parks and
recreation
o
o
Sports field / facilities
Tree planting (wood lot)
Possible sub-projects under
ESIA list 2-PESA
o Road side and stand alone
open stormwater drains
o Culverts
o Street lights
o Minibus stands and bus stops
o Taxi stands
o Truck stands
o Public car parking
o Other road infrastructure
(Street furniture, vending
platforms, signage)
o Community waste collection
points
o
o
Public green space
Tree planting (aesthetic)
Step 5: Consolidate screening results / final screening decision
The Screener consolidates results from the scoring from Part A, Part B and Part C of the screening checklist.
The Screener then collects any comments from other relevant LGA departments and comes up with the final
screening decision.
Step 6: Communication of screening decision to IPS
The Screener will notify the IPS on the screening decision within 14 days upon receiving the project brief.
The Screener writes an official notification of the screening decision in the format presented in the Screening
Results Form (Form No 2 Part III). The screener is to provide comments on the results which include the
reason behind each scoring.
43
6
URBAN LGA INFRASTRUCTURE ENVIRONMENTAL AND
SOCIAL IMPACTS
6.1
Introduction
Identification of the potential impacts of a proposed activity and remediation are critical aspects in the
establishment and continuity of an effective LGA-specific environmental management system.
The approach for environmental and social impact identification in this Manual has been simplified such that
the process can be used for individual infrastructure or its components and by various actors within the LGA
environmental management system. The below sections provide background and insight to enable all users
identify the environmental impacts relevant to the particular stage in the EIA process for each sub-project.
The main steps leading to the identification of impacts are explained followed by further guidance on the
main project aspects causing the potential impacts.
Snapshot: Environmental and Social Impact Guidance
Users of the
chapter
Qualifications
Purpose
ESIA Team



Screener



Review Team
(ESMU)
6.2

Registered ESIA experts
under NEMC
Trained in impact identification
under the LGA-specific ESMS
A person with overall
knowledge of different sectors
OR staff knowledgeable in
specific thematic areas
(specific sector)

Registered expert with NEMC
To identify potential
environmental and
social impacts of
development projects
to determine
significance of the
impacts
To identify potential
environmental and
social impacts of
development projects
to determine the level
of ESIA required
Trained in screening as part of
the LGA-specific ESMS
Trained in review process as
part of the LGA-specific ESMS

To ensure that all
potential impacts have
been identified
Impacts Identification Method
Environmental and social impacts results from superimposing project activities on to the existing
environment (Table 9). The complete impact assessment procedure is comprised of four stages:
1. Determining project activities / aspects causing impacts
2. Establishing affected environmental and human components (valued receptors)
3. Determining potential environmental and social impacts
4. Impact Evaluation
5. Impact Assessment Results
44
Step 1: Determine project activities / aspects causing impacts
The Assessor makes scrutiny of proposed project activities and determine aspects likely to interact with and
to have effect on the existing valued environmental and social components at project primary impact area
and off-site locations (if any)30.
The Assessor also determines specific legal and procedural requirements the project needs to meet
throughout its life i.e. permits, licenses, standards etc.
Step 2: Establish affected environmental and human components (valued
receptors)
The Assessor establishes environmental and human components of value at the location of the sub-project,
covering existing data and information on climate, physical, biological, economic, social, health, safety and
cultural aspects considered important by stakeholders at household and community levels and where relevant
at Municipality levels. The data collected should be socially stratified.
The Assessor also determines existing capacities and procedures at community and Municipal levels for
management of key environmental and social aspects (i.e. wastes management procedures, valuation and
compensation procedures, community and occupational health and safety procedures etc.).
Step 3: Determine potential environmental and social impacts
The Assessor undertakes impacts prediction by linking project/ activities and the existing environmental and
social conditions (valued receptors) by developing and filling the sub-project Impact Identification Matrix.
Examples of project activities include raw materials consumption, water supply, energy supply, construction
work, atmospheric emissions, liquid effluents and solid wastes. Examples of the components of the
environment include air, water, soil, fauna, flora, population, economy. An environmental or social impact
results whenever there is a significant physical, biological or social interaction between a project activity and
an environmental component.
30
Off-site project location include areas such as sites for sourcing construction materials and other resources – water, energy, labour,
consumables etc., access road; construction and/or sanitation sites (base camps); storage areas, maintenance sites and disposal sites
for construction wastes and operations outputs etc.
45
Table 9 : Leopold's Matrix of impact identification
Valued Receptor (VR)
Project
component /
Physical
environment
Project
aspect
Climate Land /
/ Air
water
quality quality
Ecological
Socio-economic
environment
setting
Fauna
Flora
Other
ecosystem
components
Comm Occupation
unity
al health
health and safety
Cultural
and
safety
Site Selection Phase
Land take
!
!
!
!
!
Mobilization / Construction Phase,
Civil works
!
!
Labour
Operation Phase etc…
NB: ! illustrates a potential impact
Important Considerations
1. The impacts are best identified following the entire project cycle i.e. site selection phase,
mobilization / construction phase, operation phase and demobilization; and possible
decommissioning.
2. The identification considers the full range of potential impacts on the natural and human
environment - ecological, economic and social changes and health and safety risks together with the
strategic and socio‐economic implications of the effects.
3. Social impact identification entails socio‐economic and cultural analysis in relation to social
stratification in the society and to differences in living conditions. Identification of impacts takes into
consideration gender, poverty, geographical habitation pattern and vulnerability of all
social‐economic groups and specific groups, such as men, women, boys, girls, persons with
disabilities, poor populations etc.
4. The Assessor identifies both impacts of planned and spontaneous events (i.e. immigration to the
areas, accidental spills) and risks and hazards from external factors i.e. related to occupational health
and safety for the workers including HIV/AIDS and extremes of climatic conditions.
5. The assessments also identify project impacts on, or contribution to, climate change and adaptation
to predicted shift associated with climate change.
Step 4: Impact Evaluation
Impacts are estimated in either qualitative or quantitative terms, according to their inherent nature and the
availability of adequate data to enable predictive analysis to be undertaken.
These predicted changes (impacts) are then evaluated using a significance ranking based on a set of criteria:
magnitude, extent, duration and reversibility of the impact.
46
The evaluation is comprehensive providing detailed delineation of positive / negative impacts, direct /
indirect impacts, immediate / long term impacts, permanent / temporary and cumulative impacts (considering
other development).
Step 5: Impact Assessment Results
The Assessor then proceeds to chapter 7 to ascribe mitigation measures to identified environmental and
social impacts.
The Assessor consolidates the results from the impact identification process into the applicable reports with
format and constituting contents depending on the level of assessment i.e. PESA report or ESIS.
6.3
Land Take
This is the first stage in the identification and analysis of environmental and social impacts associated with
infrastructure project. It involves assessment of the general environmental suitability and social acceptability
of the sub-project at the specific site(s) or premise(s) at which the project will be established including sites
for support structures/facilities.
6.3.1 Project Component(s) Requiring Land
Taking land is the first project aspect considered as a likely impacts source. Infrastructures envisaged under
UPG programme such as roads, market places, municipal waste disposal sites etc. are mostly small to
medium scale activities in terms of land or size of total building floor area required for their establishment.
Nevertheless, the Assessor determines project components that require taking of land (temporarily or
permanently); and describes size of land required and layout of structures on the land (i.e. site plan).
6.3.2 Siting Requirements
For suitably placement project, the Assessor first checks conformity of sub-project to land acquisition and
land use requirements with reference or guidance from the relevant documents specifically the fit of the subproject with:
 The Urban Land Use Strategic Plan for the urban area;
 Town Plan (drawings) for the location;
 Rights of Occupancy (Title Deeds, Right of Way etc.) for the type of sub-project.
Affected Environment and Social Components
The Assessor undertakes review of available literature on the area, consultation with stakeholders,
visual inspection of the site and surveys to determine:
6.3.3
General natural settings at the project area
Undertake ecological survey or observation to determine presence of key natural features and species of
ecological value within the land and adjacent area required for all project components
 Main habitats (type, cover, contained species, productivity and use)
 Habitat of species of concern: rare, endangered, vulnerable (under Tanzania law, CITES, IUCN lists)
 Sensitive ecosystems and habitats: natural forested areas; protected areas (designated by community,
government or World Heritage); animal / birds migration routes; wetlands (swamps, seasonally
inundated areas); aquatic habitats (rivers/stream); geological/ soil unstable areas (prone to or at risk of
erosion, landslides, subsidence, leaching etc).
 Aesthetically attractive landscape
47
General socio-economic settings at the project area
Undertake socio-economic survey or observations to determine existing land uses, activities and features
(assets and properties) of social, economic, cultural values within project site boundary and sites required for
all project components including support structures/facilities.


Land characteristics (size and value)
Housing structures, infrastructure and
immovable properties (sizes and value)
Farms: food/cash crops,
Grazing areas /pasture
Natural capital: natural forest, planted
trees, fruit trees, wooded areas etc.









Population and demographic profile
including vulnerable groups residing, using
or depending on the land
Social capital: shared norms and values that
promotes social cooperation
Health conditions
Local institutions within or near the site:
schools, health centers, religious
Social and economic infrastructure and
services: water supply, power transmission
lines, roads/footpaths, burial sites,
recreational etc
Cultural properties: cultural heritage sites,
ruins, ancient / historical structures,
archeological sites
Important management aspects
Determine existing management procedures and practices on:



Local experience with valuation and compensation procedures
Availability and suitability of alternative sites and livelihoods
Needs of vulnerable groups
6.3.4 Key Environmental and Social Impacts
Assessor links infrastructure activities requiring land take (temporary or permanently) to relevant baseline
aspects (valued receptors) to determine direct impacts applicable to a particular infrastructure sub-project:
Environmental impacts

Change / loss of habitats and/or
contained biodiversity
Physical presence and landscape
impacts

Change of land use pattern:
agriculture, residential, industrial

Change of natural settings: loss of
aesthetic value, attraction of an
area, tourism value etc.

Visual effects: contrast to
surrounding in terms of colours,
height, shape and size

Division of communities (i.e. linear
developments such as roads)
Socio-economic impacts

Resettlement of existing inhabitants

Loss of properties and community
facilities

Loss of livelihoods (crops, fruit trees,
pasture)

Change /loss of recreation;

Change /loss of cultural property and
heritage;

Induced development
Impacts on rights for the affected
population

Loss of land rights;

Loss of access to resources (water,
pasture, wildlife, forests, fishing areas,
etc)

Loss of social and economic rights;

Impendent to children rights;

Impendent to women rights and gender
equality
48
6.4
Effects of External Factors and Processes on Project
These are risk factors that relate to possibilities of natural processes and neighbouring anthropogenic
activities and developments to have effects on the sub-project or its components.
6.4.1 External Factors and Processes that pose risk to Project
The Assessor undertakes surveys of area in immediate vicinity of project site (about 500 meters radius) to
determine:
Potential natural factors and processes that might affect the project

Extremes of climatic elements: winds,
rains, storms, hurricanes, lightening
Extreme oceanic conditions: waves,
tides, currents
Topography (terrain)of the area
Local hydrological patterns: surface
drainage (streams, rivers)
Storm water drainage – causing
flooding and overflows.








Hydro-geological
conditions:
underground water resources (height
of water table,
Soil: soil movements (soil erosion,
landslides), rock dislodging
Geology:
seismic
activities
(earthquakes etc.), land subsidence
Nearby
Environmental
Sensitive
Areas: protected areas, wetlands,
areas of high biodiversity, erosion
prone area.
Potential socio-economic factors that might affect the project

Land disturbances activities: cultivation (slash and burn), bulldozing, livestock
keeping
Occupation, economic and social status of nearby residences
Nearby Social Sensitive Areas: burial/ritual sites etc.
Deforestation, bush fires practices
Securitycondition in neighbourhood to the project site
Boundary fence and buffer zone separating project from neighbouring features





Important management aspects


Governance
Grievance redress mechanisms
6.4.2 Siting/ Placement Requirements
The Assessor determines conformity of sub-project in terms of:
 Compatibility / co-existence with nearby natural or social features
 Safe distance from neighbouring features
 Buffer zone
6.4.3 Impacts and Risks to Project
Assessor links natural factors and anthropogenic activities in project vicinity to determine direct impacts
applicable to a particular infrastructure sub-project or component:
49
Environmental impacts

Discharges into project site
Socio-economic impacts

Conflicts related to trespassing / illegal
practices on the project site

Conflicts related to blocked access to
local resources present on the site
6.5
Risks to project

Damage to project structures

Vandalism of structures / equipments

Theft of materials and portable items with
ready-made market or for home use.

Disruption of project operations and schedules
 Injuries and fatalities to project personnel
working on the site or visitors.
Public Concerns and Views about the Project
At very early stage in the impact identification process for the sub-project, the Team of Assessors make
arrangements for public consultations with the affected people; interested people / groups or organizations;
community leaders and civil society organizations and other relevant stakeholders to identify issues the
consider important regarding the project. The consultations with and information to the affected population
should use accessible participatory methods and deliberately target groups that have difficulties in getting
information and voice, such a non‐readers, women, children, elderly, widows/widowers, orphans and persons
with disabilities. The outcomes of these public consultations are to be recorded and made accessible to the
relevant stakeholders, including potentially affected persons.
Stakeholders’ consultation methods:

One-to-one interviews and discussions

Focus group discussions

Community / public meetings
 Publicize the project: post posters in strategic public places; publish notices in newspapers;
announce notice in radio etc.
The Assessment Team produce a public consultation programme which is a the record of the public
consultation process indicating aspects shown in box below:
Public consultation programme

When and where consultation took place;

Who participated (indicating involvement of social/vulnerable groups);

How participants were informed and selected;

Local opinions and proposals presented,

The major concerns raised and how they were addressed and included in decision making
 How social/vulnerable groups will benefit from the sub-project.
6.6 Project Implementation
Project implementation proceeds through phases: mobilization, construction, operation and decommissioning
of components or whole project. However, activities in each phase tend to be repetitive and associated
recurring during the entire project cycle. Mobilization entails delivery of materials, equipments and
crew/staff to the project location with activities tending to be high prior to construction phase and wane off
and become routine during operation phase. Construction is the erection or laying down of structures on the
project site. Project operations entail long term activities related to the use of the infrastructure with
interspersed mobilisation of resources and construction works constituting maintenance, rehabilitation and
upgrading activities.
6.6.1 Activities causing impacts during project implementation
1. Resources utilization
50
Infrastructures cut across most sectors of economy or services and distinctively vary in terms of resources
required to construct and operate them e.g. sufficient supply of good-quality raw materials, available
technologies, qualified human resource and financial sufficiency.
The majority of urban infrastructure development activities do not involve primary production in agriculture,
livestock, fisheries or forestry. However, some of infrastructure may directly utilize natural resources in
these sectors e.g. charcoal, lime etc.; or constitute processing facilities that require operational raw materials
and natural resources inputs e.g. water, biomass fuel etc. Depending on the number of infrastructure in a
given locality and the resources uses, there could be potential to deplete such resources.
The Assessor determine sourcing of and availability of adequate resources and identify activities that may
cause impacts to valued receptors at project location; at off-site locations (sources of resources) and along
transportation routes to the project location(s).
Exploitation of construction materials (type,
quantity, distance from source, ownership and
current prices)

Quarry or site for excavation

Borrow material (aggregates, sand,
stones, gravel etc),
Human resource (staffing)

Type of labour force (skilled, semi-skilled,
casual labourers)

Number

Source (local, national, expatriate)
Exploitation of local natural resources

Water (source, quantity, quality, distance
from source

Biomass energy (source, quantity, quality,
distance from source

Raw materials (take note of open access
mode of resource utilizations)
Procurement of local supplies and services

Domestic supplies (food, consumables
accommodation, medicals)

Industrial supplies (cement, wood, metal,
chemicals, equipments

Fuel, oils and lubricants
2. Support services
Infrastructure being located already developed urban areas invariably will operate using existing support
facilities /services.
Roads
Water supply

Connections to local sourcing points
Base camp

Installation and operation
Transportation

Transportation means: road, rail, sea

Transportation route

Type of vehicle or vessel ( trucks, barge etc)

Number of truck journeys
Electricity

Connections to local sourcing points
Waste management

Collection systems and disposal sites
3. Construction works
Some of the infrastructures (e.g. waste collection points, bus stands/stop etc.) may require small to medium
sized sheds or concrete buildings. These are envisaged not to require extensive construction works. However,
construction of infrastructure such as feeder roads, bridges, market infrastructure, administrative buildings,
and recreational facilities may require more works and for longer periods.
Site preparation

Site / vegetation clearance
spatial
and
temporal
considerations (size / extent of
area cleared, duration, time of
year)

Demolition
of
existing



Civil works
Excavation, trenching for foundations, drainage
channel, new fence, laying pipes/lines to connect to
energy or water sources
Spatial and temporal considerations (size / extent of
area excavated; duration, time of year)
Completion: resurfacing and compaction, landscaping
51
structures
and restoration
4. Management practices
Infrastructures development exhibit variation in management techniques and practices.
Generation and disposal of wastes (type,
sources, quantities)

Overburden,

Demolition (rubble, roofing materials
(asbestos)

Landscaping and cleaning (sweeping,
housekeeping)

Excavated materials

Domestic solid waste: biodegradable
(food, paper etc); non-biodegradable
(plastic, metal parts, glass etc); hazardous
(batteries etc);

Waste water (grey water, sewerage) from
amenities and/or accommodation, food
and refreshment centers, offices /
business centers31.

Storm water drainage

Fuel and oils, lubricants (accidental spills
and leakages from equipments, minor
repairs, maintenance workshops, fueling
points.

Process solid wastes (ash, sludge, wood /
metal works), effluents and discharges




Technologies, technique and practices sources of:
Atmospheric emissions (CO2, NOx, SOx,
particulate matters and hydrocarbons):
(motored
equipments,
compressors,
generator, mixing machinery, vehicles etc.)
Noise / vibrations: motored / heavy powered
equipments and tools and engines, vehicles
grinding, cranking, etc.
Dust
emissions
(including
fugitive
(unavoidable, residual)
Change in microclimate: heat, low
temperature
5. Risk to workers and neighbouring community
The Assessor determine sourcing of and availability of adequate resources, transportation activities and
operation activities that may cause impacts to valued receptors at project location and locations for support
facilities; at off-site locations (sources of resources) and along transportation routes to the project location(s).
Public Health and Safety

Site hazards: falling objects,open pitsetc

Air pollution from emissions of exhausts of
vehicles, equipments, dust and odours

Noise
pollutionfrom
equipments,
processes vehicles and people(distance
from local residents and institutions)

Contamination of water by wastes and
chemicals (catchment, groundwater)

Waste scavenging by people, animals,
birds

Fires hazards: building materials (tents or
thatch-roofed), flammable substances
(gases and liquids), electricity faults

Social interactions among workers and
31



Working Conditions (Occupation Health
&Safety)
Lack of /inadequacies in use of Personal
Protective Equipment (PPE)
Use of hazardous technology and practices
e.g. motored / sharp edged equipments,
explosives,
noise-emitting,
emissionsemittingnoxious /poisonous, dust, gases32;
hazardous
chemicals,
corrosive
substances,
disease
agents,
bioaccumulation heavy metals etc.
Technique or practices exposing workers to
extreme / risky working conditions: low/high
temperatures, excess heat/cold, ventilation
for hazardous fumes, drinking water
Per capita solid waste generation is about 0.5 kg per day.
A person use 20 litres of water/day, and 80% of this amount is discharged as waste.
emission factors and permitted / tolerance levels.
32Consider
52


local communities(at construction areas,
transportation routes)
Bleached security
Lack of / inadequate emergency response
equipments




Exposure to disease agents / vectors
Procedures prone to negligence at work i.e.
understaffing and long working hours,
employing wrong people on particular jobs,
low morale, etc.
Lack of instituted code of practices in the
working place.
Distribution
of
responsibility
and
accountability to all employees at all levels
6.6.2 Legal and standards requirements
The Assessor checks conformity of project to the following resources utilization, design / engineering,
construction and operation methodology, management planning requirements:
Mobilization requirements:

Permit to utilize construction materials

Design / drawings connection to support services

User rights or permits for connection to services (water, energy)

Transportation requirements(procedures, conducts / practices /conditions for transporters)

Material Data Sheets (MDS) for chemicals

Equipments specifications(potential sources of emissions, noise, vibrations, land degradation):
 Health & safety procedures and rights to work and safe working condition;
Construction requirements:

Design / drawings connection to support services

Building permit

Handling and disposal of wastes

Health & safety procedures
 Consultants / Contractors supervision (construction procedures /practices, conducts, conditions
Operations requirements

Management of waste

Housekeeping, sanitation and hygiene

Public and Occupation Health and Safety

Periodic maintenance /repairs of equipment (of waste treatment /disposal facilities, storm water
drainageetc).

Emergency response procedures

Sector management standards and technical information

User rights or permits for connection to services (water, energy, solid waste collection/disposal,
effluent discharge)

Supervision of Consultants / Contractors (procedures, conducts, conditions for operation’s
NB: more specific details of the requirements to be determined and included in the technical manual for each
sub project category.
6.6.3 Affected environment and social components
The Assessor undertakes review of project designs and undertakes survey of project primary impact area and
area of influence(points of extraction (borrow bits/ quarries, water supply, energy supply) and transportation
routes to determine environmental and social features and aspects that may interact with / be affected by subproject mobilization, construction and operations activities.
Land uses on the project site and offsite locations

Settlement: people and settlement features

Socially, economically and culturally valuable
vegetation:
type
and
value
(crops,
grazing/animal feed, medicinal, aesthetic) –
consider food crops / food security; cash crops /
income; local genetic pool

Existing surface and underground infrastructure
and services: water supply system, electricity
transmission and supplies, communications
Site biological characteristics

Vegetation type, cover

Biodiversity: flora, fauna,
avifauna
(birds) (species composition and
distribution),

Species of special concern - rare
species or endangered species or
species of economic significance and
species of special interest
53
cables
Sites physical characteristics

Rain fall: average quantities, seasonality

Topography (terrain)

Soils: types, properties, quality

Geology: rock type

Surface drainage : water quantities / flow rates,
quality

Storm water drainage

Ambient air quality

Ambient noise
Availability of alternatives

Alternative materials

Alternative sources

Alternative routes
6.6.4 Key environmental and social impacts
Assessor link project activities to relevant baseline aspects (valued receptors) to determine direct impacts
applicable to a particular infrastructure sub-project:
Environmental (physical) impacts

Impair air quality by emissions of
significant amounts of acid gases (sulphurdioxide - SO2, and nitrogen-oxides - NOx)
and dust emissions

Climatological changes by emissions of
significant amounts of Green-House
Gases (carbon-dioxide – CO2 and
methane)

Noise pollution (levels exceed allowable
decibel level for the zone)causing
nuisance and disturbances to onsite and
offsite receptors

Impair of water qualities, quantities &
contained resources from direct / runoffs
discharge of pollutants (wastes, chemicals,
oily substancesetc)

Impair of land qualities and contained
resources from discharge of pollutants
(chemicals, wastes, oily substances,
oxygen demanding substances, heavy
metals)

Land disturbances / soil erosion

Flooding and overflows.
Occupational health and safety risks

Disturbances / nuisance and discomfort

Serious injuries

Fatalities

Sickness and ill-health

Negligence due to fatigue

Loss of morale

Loss of property
Environmental (biological / ecological) impacts

Impairment / lossof flora, fauna, sub-surface
organisms,
biological
diversity
and
ecosystemsdue to physical damage or release
of pollutants (BOD, COD, heavy metals etc.)
onto land or into water bodies

Reduction / loss of vegetation cover, forest
cover (by clearance, trampling)

Depletion of local natural capital / endowment.

Disturbances / flight of fauna from noise,
gaseous and dust emissions

Degradation of protected areas, swamps /
wetlands, and other natural and critical
habitats.

Sprout and spread of invasive plant species
(along feeder roads)
Public Health and safety hazards

Disturbances / nuisance

Serious injuries

Fatalities

Risks of human-human transmission of
diseases (STD, HIV)

Creation of new water bodies (pits) asbreeding
habitats for agents / vectors of water-borne
diseases (malaria, bilharzias etc)

Infections from putrceable wastes with disease
pathogens

People of different social background immigrate
to project area

Attitudes and behaviour change to indigenous
people. Relative wealth of the project
workerslead to exploitative behaviour on the
hosts' side

Water / food contamination with heavy metals
(mercury, lead, cadmium etc.) transmitted
through food chain

Excavations accidents

Transport hazards: vehicles causing accidents,
54
congested traffic, material spillage
Conflicts, damage/loss of properties from
bleached security

Effects to nearby buildings by vibrations from
heavy equipments
Positive Socio-economic impacts

Employment opportunities and generation of
income

Income to local suppliers and service providers

Increased Government revenue

Improved services and service delivery.

Increased operations and products

Stimulation of various economic, commercial
and social activities(increased business
opportunities

Induced development in other sectors: tourism,
natural resources (fisheries, forestry, wildlife),
energy, agriculture, industry, and urban
development.

Change of land use, landscape and cultural
properties

Increased resource demand / depletion of
local natural resources.

Change of land use and land cover,

Change landscape and visual amenity
from cleared areas,haphazardly disposed
waste

Alteration of historical, archeological or
cultural heritage cites
6.7
Project Decommissioning
At one point in the far future, the urban LGA may decide to undertake major rehabilitation or upgrading of
the infrastructure, or completely demolish or abandon the infrastructures
6.7.1 Project decommissioning activities causing impacts
-
Demolition waste
Termination of employment
6.7.2 Decommissioning requirements
The Assessor determine requirement that needs to be met before decommissioning a facility or leaving a site:
- Restoration of site to original state
- End-of-project life standards and practices
- Supervision of Contractors
6.7.3 Affected environment and social components
** to add content**
6.7.4 Key environmental and social impacts
At the end
including:
-
of its life an infrastructure may involve demolition of structures with consequent impacts
Air pollution and particulate dust.
Loss of employment
Disrupted livelihoods
55
7
ENVIRONMENTAL MANAGEMENT CONTROLS AND
MITIGATION MEASURES
7.1
Introduction
Chapter 6 identified the potential impacts and their significance. This chapter provides mitigation measures
for impacts considered to be common for most, if not all sub-project types. The Assessment Team shall
identify cost effective mitigation measures to reduce or avoid adverse impacts, or to enhance and stimulate
the potential beneficial impacts. The IPS will be responsible for implementation of the identified mitigation
measures. If no viable solution is found, the proposed project is stopped. The general and specific measures
will be incorporated in the Environmental and Social Management Plan (ESMP).
Users of the manual refer to this chapter when particular attention is necessary to manage potential adverse
environmental effects of subprojects.
Snapshot: Environmental and Social Mitigation Measures
Users of the
chapter
Qualifications
Purpose
ESIA Team



7.2
Registered ESIA experts
under NEMC
Undergone impact
identification training under the
LGA-specific ESMS
To identify suitable
mitigation measures to
avoid, minimise, reduce
the effects of the
identified environmental
and social impacts
Guidance on mitigation measures
The following are mitigation measures that can be applied based on the relevance of the issue identified
during impact identification.
7.2.1 Landtake
Measures to mitigate impacts from land take include the following.
Stakeholders Information, Education and Communication (IEC)
Development of a plan for continuous engagement with project affected individuals and groups and other
stakeholders prior to project. The IEC plan includes early formal notification to relevant authorities of the
scope and schedules of the intended project activities.
Land Acquisition and Compensation Plan (LACP) / Resettlement Action Plan (RAP)
Acquisition of land or user rights from current land, property or natural resource owners / users following
laid down procedures, guided by existing legislation: Land Act No. 4 of 1999 (Part V) and Land
(Amendment) Act. No. 2 of 2004 (Part II).
56
First step is to determine PAPs with land rights or property or crops etc. and undertake compensation (where
necessary) calculated and paid through a LACP / RAP the content of which depend on the degree of
resettlement impact33. A subproject RAP will cover, at minimum:
 The nature of the subproject and the required resettlement;
 A census of the affected people and a valuation of their assets;
 A matrix that shows – the entitlements of the categories of affected people;
 The resettlement sites and programs for improvement or restoration of livelihoods and standards of
living;
 The responsibilities and arrangements for implementation, grievance redress, and monitoring;
 The resettlement timetable and budget.
Chapter 8 is a RAP preparation guide that provides a step-by-step procedure for completing a subproject
RAP.
Resources Mapping
Carry out resource mapping entailing identification and mapping of any ecologically sensitive habitats and
species or human settlement features. First step is baseline survey of the project locations prior to the
commencement of project operations followed by sustain communications with relevant affected / interested
parties to avoid (where possible) sensitive natural, social, economic and cultural resources and/or to use
alternative resources and routes.
Project Area Layout/Plan
Reviewing layouts of landuse at project site and immediate vicinity enables:
 Restriction of project activities to the project primary areas of impact;
 Choice of access/transportation routes that cause minimum impact (i.e. use existing routes);
 Marking of exclusion zone around project site / activities.
Initiating and Maintaining Good Neighbourliness
 Incorporate in the IEC plan information dissemination, public awareness on potential dangers of project
activities to humans and properties.
 Engage communities in the running of project: employment opportunities, project benefits sharing etc.
 Engage individuals or private company or Government agencies offering security services
7.2.2 Legal Compliance
Measures to mitigate impacts regarding non-compliance include the following.
Project-specific Environmental and Social Legal Assessment and Compliance Procedure



Collection and interpretation for compliance of all relevant pieces of legislation, standards, sector best
practices and procedures (safety, management) to avoid collision or interference with other operations.
Engagement with Regulatory Authorities by undertaking early consultations and Procedure for
maintaining adequate communication with institutions and stakeholders custodian of legal requirements.
Apply for user rights (i.e. Water Right) following procedures.
33 No needed for RAP - where impacts are minor (no physical displacement and less than 10% of productive assets are lost) or fewer that 200 people are displaced ........ DISCUSS
AND AGREE!
57
7.2.3 Choice and use of Materials and Technologies
Measures to mitigate impacts from materials and technologies include the following.
Procurement procedures
 Procure materials and fresh water from licensed suppliers to minimize cumulative impacts associated
with extracting materials from unauthorised /degraded areas.
 Maximize procurement of supplies from locals e.g. food, water, construction materials, etc. to increase
income to local suppliers and business.
 Choice of materials and designs resilient to extremes of natural events i.e. able to with stand
pressures/forces i.e. welded and seamless wrought steel pipes; valves, end closures, connectors and
swivels made of corrosive-resistant materials.
Project-specific Good Housekeeping Procedure (GHP)
 Develop and institutionalize Good Housekeeping Procedure outlining action aimed at:
 Rationalising the use of materials, water, and energy inputs, reducing the loss of valuable material
inputs and therefore reducing operational costs
 Reducing the volume and/or toxicity of waste, waste water, and emissions
 Reusing and/or recycling the maximum of primary inputs and packaging materials
 Improving working conditions and occupational safety
Specific aspects for the GHP
Efficient Use of Materials








Storage and Handling of Materials
Monitoring material consumption - performing
regular loss assessments through all
processing/use steps
Avoiding losses due to spillage and leakage
Establishing
preventive
maintenance
programmes
Substituting and/or reducing the use of
materials harmful to the environment (e.g.
(cleaning agents, disinfectants, leaded fuel)
Use materials formulated with internationally
acceptable benign (non toxic) / low toxicity /
ingredients
Adopt closed circulation system to recycle the
use of the material
Minimize residue through processing by solids
control equipment.
Use of high standard personnel and
equipment.
Water Use
Institute
measures






Monitoring the quality of materials
Ensuring proper handling and storage and
transport of materials and products
Applying the first-in-first-out principle
Establishing adequate, secure, and controlled
storage for hazardous materials
Handling dangerous substances with care
Properly cleaning and disposing of packaging
materials
Energy Use
for
reduction
of
water
consumption, waste water, and pollution by:

Monitoring water consumption and quality

Reducing water consumption in processes and
other areas

Avoiding spillage and leakage

Reusing and/or recycling suitable water
sources

Reducing waste water pollution

Treating waste water in an environmentallysound way (see WMP)
Institute
measures
for
reduction
of
energy
consumption and use of waste heat and
environmentally- sound sources of energy

Monitoring energy consumption

Reducing energy consumption and costs

Avoiding energy losses and optimizing
electrical installations

Recuperating and reusing energy

Operating electrical equipment (for lighting,
heating, cooling, freezing, air-conditioning) in
an energy-efficient way

Implementing a preventive maintenance
programme for equipment

Purchasing energy-efficient equipment

Dealing adequately with black-outs
58
7.2.4
EMPLOYMENT
Measures to mitigate impacts regarding employment include the following.
Institute Employment Procedures that:
 Optimize local employment
 Allocate jobs fairly /equally (gender, marginalized groups) among community members: set criteria for
allocation: number of laborers needed, number of communities, population and availability of workers.
 Involve community leaders/ committees to identify suitable/able people for the jobs: review to avoid
bias or favoritism
 Deliver skills / literacy training to locals particularly youth.
 Ensure the Contractors and workers observe national / and international labour standards.
 Establish a system to manage local expectations.
7.2.5 Traffic and Transportation
Measures to mitigate impacts regarding traffic and transportation include the following.
Traffic Management and Safety Procedure (TMSP)
Prepared by Contractor with provision / procedures to guide:
1. Choice of Appropriate Transportation route

Proper selection of transport route avoiding large agglomerations.
2. Good Site Practices



Informing locals of transportation proposals.
Signage and signal personnel where appropriate; vehicle lighting (front and back).
Training and testing of heavy equipment operators and drivers, including vision tests with records kept
of all trainings; Requirements that all companies and drivers have licenses and insurance.
Transportation restrictions: vehicle movement restricted to routes determined with consultations with
stakeholders; maximum load restrictions; restrictions on movement of vehicles and speed limits (zoned
according to sensitivity of the area); day time movements if desired; and parking and on-site traffic
movement.
Noise control measures: provisions for properly maintained silencers and mufflers.
Dust control measures: watering of roads, speed restrictions etc.
Compliance with all Tanzanian transportation laws/standards




7.2.6 Site Clearance and Civil Works
Measures to mitigate impacts from site clearance and civil works include the following.
Pre-construction surveys and mapping


Survey / line walk to identify any
significant ecological or social, economic
or cultural features – i.e. specimen tree or
rare/endangered species;
Prepare
Environmental
and
Social
Sensitivities Map.
Site route / adjustments and avoidance
measures
Adjustments at site or route to avoid sensitive or high
valued features/habitats –

Avoid cutting large trees (≥ 20cm diameter),
areas with dense vegetation, slow growing areas,
settled areas etc.

Minimize removal of trees and shrubs

Open minimal width of access, develop/widen
existing tracks/roads for access,

Use existing clearings;

Construct linear developments alongside existing
ones (e.g. within road reserves)
59


Design and engineering techniques

Minimize “footprint” (size, or number of
developments);
Clear cut above ground to promote
recovery
Use low ground pressure equipments
Protect project site by digging ditches or
building berms; rip up bridges or roads
Open short sections of trench at a time;
Physical protection against damage (by
fencing).





Double use of site
Protect single trees within or adjacent to work site
On final completion
All land (work areas, depot, material storage site)
restored to original condition

Ongoing
restoration:
close
unnecessary
temporarily cleared areas

Removal of machines/plant and waste materials

Spread of topsoils,

Vegetation removed reinstated (seed or replant)
or compensated by replanting at other suitable
location.
Restoration /reinstatement of pits
Contractor undertake reinstatement of disturbed sites to original state:

Proper grading and draining of terrain,

Allow in-situ regeneration,

Replant as necessary: grass seeding and planting of original vegetation
7.2.7 Waste Management
Measures to mitigate impacts regarding waste include the following.
Project- specific Waste Management Plan
WMP prepared and implemented based on the following principles:
 Avoid / reduce wastes
 Segregate waste streams on site and collecting according to different categories
 Reuse of waste materials and by-products back in production process
 Recycle / sale of certain wastes where possible. (e.g. paper, glass, plastic, aluminum, steel, livestock
manure, mowed grass / cleared vegetation etc.)
 Treatment before disposal using technically relevant method.
 Dispose of waste that cannot be reused or recycled appropriately at authorized / certified sites (i.e.
incineration, macerators, centrifuge/separation systems, landfill).
 Management and disposal methods undertaken in accordance with legislation and standards, Urban
Local Government Authority by-laws, and international agreements i.e. Basel Convention.
 Monitoring waste quantities and qualities
Specific aspects for the WMP:
Organic (putrecible) wastes




Volume reduction - maceration, compaction
etc. prior to discharge.
Prohibit discharge of untreated putricible
waste directly into water or onto land.
Domestic solid wastes i.e. glass, paper, and
cans segregated using clearly marked bins
for correct disposal or recycling.
Record kept in Garbage Record Book.
Sewerage and grey water


Collected and treated by biological
(anaerobic digester / septic tanks) or
chemical processes: resultant effluent
leached or released percolation areas / tile
bed system.
Waste water treatment plant (UASB, waste
Maintenance and Packaging Wastes


Maintenance wastes (i.e. paint sweepings,
rags, floor sweepings, oil soaks, machinery
deposits etc) and packaging wastes (pallets,
cardboard
boxes,
drums)
collected,
compacted (if possible), segregated using
clearly marked skips, labelled, stored in
designated areas prior to disposal or
recycling.
Ashes collected and disposed in accordance
with requirements.
Wash down waters
Recovery and recycling of drainage water:

No wastes routinely discharged via drains.

An oil/water separator to which all drainage
from areas likely to have significant oil
contamination (e.g. workshop floor) are sent

The oily water treated to permitted levels in
60






stabilization ponds).
Construct berms /ditches to prevent runoffs
of operational waste water
Install fencing around water pits.
Capping inert waste in lined pits with soil to
allow re-vegetation.
Sludge properly dried / dewater using
evaporator – resulting semi-solid deposed in
landfill, or for land application (as fill for road
works or building or as farm soil
enhancement.)
Recovered fluid reconditioned / recycled.
Ensure regular maintenance.
Incidental Spillages and/or Leakages





Supply of materials and transfers of
materials undertaken in accordance to
Materials Transfer Procedures developed by
the Contractor.
Provide training/instruction to workers on
proper handling and clean up of
contaminating spills.
Limit re-fuelling and storage activities to
bunded areas.
Conduct regular inspection of equipments.
Maintain machinery and vehicles in good
running conditions by ensuring that all
equipment undergoes weekly preventive
maintenance.

accordance set requirements and the oil
recovered stored for recycling or appropriate
disposal.
Sediments trap
Hazardous materials
chemicals)



(waste
oils
and
Used or stored not routinely discharged but
managed in
accordance with
strict
procedures
Handled according to their Materials Safety
Data Sheets held on site, and imported in
accordance with Tanzania regulations
Waste oils collected, stored in bunded areas
and transported to location where they are
sold/or given for free to industries with
furnaces - used as fuel.
7.2.8 Atmospheric Emissions
Measures to mitigate impacts from air emissions include the following.
To minimize the volume of atmospheric emissions from machinery and vessels / vehicles powered by
internal combustion engines:
 Use Best Available Technology to minimize continuous and fugitive emissions.
 Regular Inspection and Maintenance Procedures that shall require and guide Operators to ensure all
engines of machinery and vessels are tuned to maximum efficiency.
 Maintain machinery and vessels in good running conditions by ensuring that all equipment undergoes
weekly preventive maintenance.
7.2.9 Dust Emissions
Measures to mitigate dust pollution from mobilisation and construction activities include the following.
Site Access Road

The main haul road kept clear of dusty
materials or sprayed with water.

The main haul road paved with aggregate or
gravel.

Vehicle speed will be limited to 10kph.
Stockpiling of Dusty Materials

Any stockpile of dusty materials covered
entirely by impervious sheeting or placed in an
area sheltered on the top and three sides or
sprayed with water so as to ensure that the
entire surface is wet.
Loading, unloading or transfer of dusty materials

All dusty materials sprayed with water
immediately prior to any loading, unloading or
transfer operation so as to prevent dust from
being released.
Excavation Works

Working area of any excavation or earth
moving operation sprayed with water
immediately before, during and immediately
after the operation so as to ensure that the
entire surface is wet.
Construction of the Superstructure of Building

Effective dust screens, sheeting or netting will
be provided to enclose the scaffolding from the
Building Demolition

The area where the demolition works are
planned to take place will be sprayed with
61

water immediately prior to, during and
immediately after the demolition activities.
Any dusty material remaining after a stockpile
is removed will be wetted with water and
cleared from the site.
ground level up to the highest level of the
scaffolding.
7.2.10 Noise
Measures to mitigate noise pollution from various sources include the following.
Noisy equipments and processes

Inspection and maintained of equipments and
machinery in good running conditions.

Soft start technique
Transportation noise

Transportation path selected to minimize
potential for disturbances.

Minimal low speed; no passing close to
breeding, resting etc (bird nesting areas).

Shortest route taken over land.
People and anthropogenic activities

Education to people about noise sensitive life.
Avoidance strategies

Monitor and record movements of noisesensitive fauna and avifauna

Visual checks made for the presence of
sensitive life

Undertake monitoring and all sightings
recorded and reported according to set
procedures

Maintain caution/ separation distances.
Artificial lighting

Lighting minimum necessary to fulfil operational and safety requirements.
7.2.11 Workers Health and Safety
Measures to mitigate impacts regarding workers health and safety include the following.
Occupational Health & Safety Procedure
Workplace safety and health protection; protection against accident, hazardous substances, odours, noise and
injury
Specific aspects for the OH&S Procedure:
Use of faulty equipment, tools, harmful substances
and risk practices
Measures to prevent the occurrence of incidents and
accidents associated with operation of risk equipments:

Equipment operating according to good international
industry practice and by qualified and experienced
professionals.

Set and follow standards for operations and
equipment use such as lifting, mobile plant, electrical
isolation / installation, working at heights, manual
handling, fitness for work, hand tools, housekeeping,
building and office, vehicle and driving, hazardous
substances etc.

Engage human resource only of trained /qualified
and competent personnel as operators and
mechanics, with supervisors and specialists on site
at all times during specific operations.

Implement measures to control, minimise sources of
and disturbances from noise, air emissions and
odours.

Modification, substitution or elimination of hazardous
conditions or substances
Code of practices at the work place

Comply with relevant Tanzania (OSHA, 2003) /
International Performance Standards on health and
Personal Protective Equipment (PPE) and
safe working conditions

Provision and properly maintaining of
appropriate equipments

Strict enforcement of use of PPEs.

Fall prevention systems instated where
appropriate (ladder and stairwells);

Undercover or shaded work areas and
accessible water throughout work zones;.

Reasonable working hours,

Signage: post warning signs with
appropriate text (in appropriate language)
and graphics.

Appropriate and adequate storage (i.e.
security of PPE equipment).

Secure equipment and clearly label and
demarcate any hazardous areas.
Water and sanitation provisions

Make a proper assessment of water
needs.
62

safety requirements.
In-house health and safety procedures / guidelines /
manual: general and for specific operations; certified
operation equipment; inspections and maintenance
system; traffic management; emergency response
equipment
Risk of infection / exposure to disease vectors

Provide vector protection to workers.

Institute a malaria protection programme: information
about recommended measures to limit exposure to
disease: use of anti-malarial drugs, insect repellents,
and clothing.

Provide medical personnel to test workers for
potential infections and provide treatment to those
infected.

Monitor and maintain records of infections supplemental anti-malarial indoctrination for an
unusual number of infections

Strategy for HIV/AIDS awareness and prevention
Fire risk from accidental events

Minimizing the risk of fire

Fire fighting equipments and procedures.

Training to personnel and fire drills.

Establish a First Aid and ER facility at project
location taking into considerations treatment and ER
capabilities of local medical services providers and
hospitals.

Increase water extraction (desalinated
sea water, underground wells, rainwater
harvesting) and storage capacity.

Establish
water
saving
measures
including an Education, Information, and
Communication (EIC) package with “
DOs and DON’Ts”.
Security, rowdiness /disorderliness

Project personnel accommodated at
locations away from local communities
and residential areas.

Alcohol-free; if not discourage use of
alcohol within base camp

Conduct proper screening of security
personnel.
Institutional
OH&S
management
capabilities

Training of workers; documentation and
reporting of occupational accidents,
diseases and incidents;

Emergence prevention, preparedness
and response arrangements.
7.2.12 Public Health and Safety Procedures (Ph&S)
Specific aspects for the PH&S Procedure include:
Good Construction Site Practices:

Secure equipment and demarcate any
excavations

Use barriers and security officers

Post warning signs with appropriate text,
language and graphics.

Education
program
in
schools
and
communities.
Transmission of communicable diseases:

Cooperate with and support local CSOs, public
health offices in undertaking awareness /
education programmes to workers and
communities

Establish worker’s / community health
protection procedures (e.g. make available free
condoms to workers).
 In close cooperation with the relevant LGA
Department make preparation of a strategy for
HIV/AIDS awareness and prevention among
staff/workers and communities
Nuisance and disturbances

Establish measures to minimise sources of
noise, air emissions (odours, hazardous fumes)
Exposure to diseases vectors
Community health and safety programmes
undertaken at three intervention levels:

Pathogens: immunization, prophylactic or
curative drugs;

Reducing vector lifespan: chemical, biological
and environmental controls;

Reduce human/pathogen contact: health
education, personal protection measures and
mosquito proofing of houses.
7.2.13 Supervision/Management Practice
Simply put best management practices is the integration of good housekeeping practices, engineering
practices and human ware to achieve the desired environmental performance. Provision of resources (human
as well as financial), provision of requisite skills to the workers, provision of policies and guidelines,
adherence to national laws, regulations and standards, are key elements of the best management practices.
 Provide adequate resource for maintenance.
63


Establish regular maintenance schedule.
Proper operational and monitoring procedures.
7.2.14 Employment Termination
Measures to mitigate impacts regarding the termination of employed staff include the following.


Issue certificates of employment and acquired skills to enable workers to be employed elsewhere
Ensure long term employed workers (contract of more than one year) are members of the National
Social Security Fund (NSSF) and ensure that company contributions are paid.
7.3
Environmental and Social Management Plan (ESMP).
Subproject planning should strive for designs and management measures that avoid creating adverse
environmental and social impacts that have to be explicitly managed. Where explicit impact mitigation
measures are required for a subproject, an environmental and social management plan (ESMP) is required.
An ESMP should fit the needs of a subproject and be easy to use. There is no standard format or length. For
many small-scale subprojects, it may be no more than a few paragraphs or perhaps just a table (see below
sample). On sub-projects with more significant environmental and/or social concerns (e.g. waste
management), a more substantive ESMP may be warranted to highlight its importance.
The basic elements of an ESMP are:
 A description of exact sub-project activities likely to cause potential negative / positive impacts
 A description of the possible adverse effects that the EMP is intended to deal with;
 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
including relevant monitoring indicators;
 A description of who will be responsible for implementing the ESMP (institutional arrangements);
and
 A cost estimate and source of funds.
Community participation in preparing an ESMP is paramount consideration since local knowledge is
important in identifying, designing and planning the implementation of practical mitigation measures and the
success of an ESMP depends on community support and action, both in implementing mitigation measures
and in monitoring their success.
Table 10 Sample of Environmental and Social Management Plan – Abattoir /slaughter-house
Anticipated
Mitigation
Monitoring Parameter Responsibility
Schedule
Effect
Measure(s)
Possible
contamination of
water sources
from livestock
manure
Construct
drainage channels
to divert cleaning /
runoff water
Waste water
collected and
treated by
biological
anaerobic digester
Cost and
Source of
Funds
Inspect channel
construction
Infrastructure
Proponent Sector;
EMO
Construction
period
Included in
project grant
Check condition of
drainage channel
EMO;
ULGA Environment
Committee
EMO;
Ongoing
Nil
Construction
period
Ongoing
Included in
project grant
Nil
Inspect bio-digester
construction
Check efficiency of biodigester
EMO;
Infrastructure
Proponent Sector;
64
Proper collection
and use of manure
from abattoir
Early warning of
reduced water
quality
7.4
Check water quality at
water sources
Farmers, ULGA
Departments for
public green space,
tree planting etc.
EMO;
ULGA Water
Engineer
Ongoing
Nil
Every 6 months
until
effectiveness of
mitigation
measures is
proven
$100 a year -EMO
Integration of Mitigation Measures into Sub-Project Design
Majority of environmental and social problems could be solved at this stage, i.e. through environmentally
sound design (ESD) and planning of implementation procedures.
The IPS reviews the sub-project preliminary design against the recommended mitigation measures and
identifies gaps in the design and operating procedures requiring modification. Such modifications would
include addition of waste-treatment systems (if not already in the design) and consideration of other process,
technology or siting alternatives.
Impact mitigation measures have intrinsic costs therefore the IPS should prepare a separate bill of quantities
for mitigation measures and supervision costs and incorporate into the overall project budget.
The outcome of the integration of mitigation measures is a full project proposal document.
65
8
Resettlement and Compensation
8.1
Introduction
If the impact identification process (Chapter 6) determines that the taking of land for the establishment of the
sub-project will result in resettlement (displacement of people or property, or restriction of access to
resources) as a significant impact, the IPS should prepare a Resettlement Action Plan (RAP) to guide
resettlement and compensation activities for the process.
Whether the land take involves land acquisition from current owners or not (in case the land already belongs
to the ULGA), a RAP is a prerequisite to resettlement and compensation.
The purpose of this chapter is to guide the development of the Resettlement Action Plan (RAP) which will
guide the implementation of resettlement and compensation activities.
Snapshot: RAP Development and implementation
Users of the
chapter
Qualifications

RAP Team

Persons appointed to the
RAP team responsible for
the preparation and
implementation of RAP
Trained in developing a
RAP as part of the LGSspecific ESMS






Review Team
(ESMU)
8.2

Trained in reviewing
processes as part of the
LGA-specific ESMS

Purpose
To identify PAPs
To define eligibility criteria and
entitlements;
To plan the consultation
procedures and participatory
approaches involving PAPs and
other key stakeholders; and
To plan procedures for filing
grievances and resolving disputes.
To ensure that the RAP
implementation is in accordance to
the plan
To use as reference during review
of RAP for approval to ensure key
aspects and principles have been
followed.
RAP Preparation Process
The RAP is to be prepared before the project is approved by the LGA. This is to ensure that the extent of
resettlement and compensation required is identified and planned before decisions are made on the project.
The process in which the RAP is prepared, reviewed and implemented is carried out in 7 main steps:
1.
2.
3.
4.
5.
6.
7.
Forming a RAP Team
Reviewing the Project Design
Preparing a RAP
Submission of the RAP for Review
Decision on the RAP
Decision on the proposed sub-project
Implementation of the RAP
66
Step 1: Forming a RAP Team
The IPS constitutes a RAP Team which will be responsible for coordinating the development and
implementation and coordinating the RAP. Member of the ULGA RAP Team includes the land officer,
surveyor, valuer, CDO, Ward/Mtaa Executive Officer (WEO/MEO), and representatives of Project Affected
Persons (PAPs).
Box 8-1 Members of the RAP Team
Staff
Land officer
Responsibilities






Surveyor

Land Valuer


CDO



WEO/MEO

PAP representatives

Overall responsible for the development of the RAP
To identify and document affected persons, properties
and areas
To review project design and plan to avoid or minimize
resettlement and compensation
To ensure that Tanzanian laws and World Bank
standards are upheld
To submit the RAP for review and approval for
implementation
To ensure RAP is implemented before project
commencement
To identify area for relocation sites and to survey plots
to delineate areas.
To conduct a detailed survey of land and assets
affected
To prepare valuation report of costs of land and assets
affected
To assist in identifying affected persons, properties and
areas
To ensure public participation/consultation is carried out
and incorporated into RAP
Ensure eligibility criteria are non-discriminatory against
vulnerable and indigenous groups
To assist in identifying affected persons, properties and
areas
Gender balanced representation of the PAPs to ensure
that their views and concerns are considered in RAP
and promote fairness, equity and transparency
Step 2: Reviewing the Project Design
The RAP team works with the respective project designer (e.g. engineer) to review the design and location
of the project in order to:
i.
Identify activities that will cause resettlement as defined (e.g. re-alignment of an existing road during
rehabilitation, changing the landuse of a plot used for urban agriculture as an open space).
ii.
Carry out a spot valuation of project area to give rough estimation of costs.
iii.
Propose ways to avoid or minimize displacement and compensation (e.g. keeping existing alignment
design and landuse plans).
iv.
Propose ways to avoid removal or minimize damage to existing infrastructure, social services, cultural
properties and historic/archaeological sites
67
NB: If there is an opportunity for the design to be revised to avoid and minimize land acquisition and
displacement of people then the design is to be revised and finalised before proceeding to prepare a RAP.
Step 3: Preparing a RAP
The Team is to prepare a RAP that will be implemented after approval. The sections of the RAP are listed in
Box 8-2 below.
Box 8-2 Content of a Resettlement Action Plan (RAP)
A Resettlement Action Plan includes the following key chapters:
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.
x.
xi.
xii.
xiii.
xiv.
xv.
xvi.
xvii.
xviii.
xix.
Description of the Project
Objectives
Potential Impacts
Identification of Affected Populations
Legal and Policy Framework
Institutional Framework
Eligibility
Valuation and Compensation for Losses
Resettlement Measures
Site Selection, Site Preparation, and Relocation
Housing, Infrastructure, and Social Services
Environmental Protection and Management
Community Participation
Integration with Host Populations
Grievance Procedures
Organizational Responsibilities
Implementation Schedule
Costs and Budget
Monitoring and Evaluation
The RAP should contain the following:
i.
Description of the project
Provide a general description of the project and identification of the project area. Project maps are also useful
to include.
ii.
Objectives
Outline the main objectives of the resettlement program in relation to the subprojects (Box 8-3 below).
Box 8-3 World Bank Objectives of preparing a RAP





Establish the Program's resettlement and compensation principles and
implementation arrangements;
Describe the legal and institutional framework underlying Tanzanian
approaches for resettlement, compensation and rehabilitation;
Define the eligibility criteria for identification of project affected persons
(PAPs) and entitlements;
Describe the consultation procedures and participatory approaches
involving PAPs and other key stakeholders; and
Provide procedures for filing grievances and resolving disputes.
iii.
Potential Impact
The RAP Team identifies:
a. The project component or activities that give rise to resettlement e.g. widening road's right of way
resulting in displacing roadside businesses
b. The zone of impact of such component or activities;
c. The alternatives considered to avoid or minimize resettlement; and
68
d. The mechanisms established to minimize resettlement, to the extent possible, during project
implementation.
Efforts made to minimize displacement and results of such efforts including mechanisms used to minimize
displacement during implementation should also be described.
iv.
Identifying Affected Populations
The RAP Team is to collect the socio-economic information in order to use the information to identify
potential PAPs, identify potential properties that will be affected by land acquisition for the project and
understand the PAPs socio-economic status. The RAP team and IPS is to hold a public meeting to gather
some of this information and to create awareness of the RAP and to hear the public's views on the project. At
the public meeting the RAP team will provide information on:
 The project description: project type, area of influence and impact, project activities, project
financier, duration etc.
 Inform them that properties and assets may be affected. An explanation of the RAP procedures
should also be given i.e. how the properties will be identified and how they will conduct the
household inventory and measurement.
 Explanation of the cutoff date notification of the removal of assets: the public is to be informed that
no further development is to take place on any property identified after the date of physical
Land/Property Assessment Survey. In addition the PAPs are to be given a notice period of when all
their assets have to be removed prior to construction.
 How the PAPs will be identified: to explain eligibility criteria, entitlements and how the valuation
will be done.
 Explain options of compensation versus resettlement to the public and implications on method of
payment are to be agreed upon with the PAPs at this meeting i.e. cash, in kind, relocation etc.
The public should also be allowed to share their views and concerns that are to be recorded in meeting
minutes that are signed by the MEO. Carrying out the public sensitization in this way is designed to
give it the integrity and transparency it needs to allow all stakeholders to have confidence in the
process.
The various socio-economic studies to be conducted are explained in Box8-4 below.
Box 8-4 Information to be collected from various socio-economic studies
Socio-economic
can include:






34
information
Information on vulnerable
groups or indigenous
persons
Patterns of social interaction
in the affected communities,
social supporting systems
Public infrastructure and
services that will be affected
Social and cultural
characteristics of displaced
community and host
community
Land tenure, property and
transfer systems
Common property natural
resources that people use for
Ministry Valuation Form No 1
Household information should
include:











Household Head and
Structure:
PAP Census34 information should
include:

Household Size:
Gender structure
Age structure
Ethnicity and Religion
Migratory status



Occupation
Income and expenditure
levels
Education level

Health Status
Marital Status

The PAP’s valuation reference
number (indicating the
proponent-location-sequential
number);
The PAP’s name;
The date of the census;
Location of affected property:
plot number (or Land
Registration No.), house
number, street name, village or
town;
A sketch is drawn of the
property, indicating affected
portions, cropped area, fallow
land, open and covered
buildings, etc.
A photograph of the property is
69

their livelihoods and
sustenance
Social norms and non-title
based land tenure systems
used.
taken with the PAP in the
foreground holding a large piece
of paper indicating his reference
number.
An inventory of affected assets is also carried out by a registered Land Valuer35 based on the Town Planning
and Engineering Design Drawings of particular sites and the entitlement matrix prepared for the specific subproject. The Valuer produces a Valuation Report36 which is detailed enough to tally with rightful affected
owners, types of properties/assets as well as relative realistic costs at current market values37.
The inventory of affected assets should also include losses of public resources such as:
1. Cultural property: burial grounds, buildings or areas of religious significance, historical and
archaeological sites, monuments and artifacts.
2. Public facilities: meeting halls, places of worship, schools, clinics, bus shelters, open spaces, public
washrooms, community water points, markets, etc.
3. Infrastructure that may be damaged or disrupted during construction: roads, culverts, bridges, power
lines, water lines, sanitation facilities, drainage channels, communications, etc.
Content of the survey of affected property is given in Box 8-5 below.
Box 8-5 Key content of the Land/Property Assessment Survey
Implementer
Information
to
be
recorded
(Ministry
Valuation Form No 1)
Approval of surveys
Special conditions
Valuer in collaboration with the surveyor, MEO or VEO and
land owner (or representative)
1. Type of property (eg. single storey commercial building,
double storey residential house, row of single storey
shops, etc);
2. Details of construction (type of roof, ceiling, walls,
windows, doors, floor);
3. Accommodation characteristics: number of bedrooms,
sitting room, dining room, and outhouses (bandas);
4. Condition of the property (ie. state of repair);
5. Purpose/use of property (whether residential,
commercial, institutional, religious, agricultural or a
combination of two or more of these categories);
6. Area of affected buildings/structures (built-up area);
7. Types of crops grown;
8. Area of cultivated land affected;
9. Total area of the land.
MEO and VEO are to sign the form as verification of details
collected
Announcement of the Cut-off Date: PAP to be informed that
no further development or occupation of the property is to
take place from this date.
The Team should also identify the need for updates to census, assets inventories, resource assessments, and
socioeconomic surveys, if necessary, as part of RAP monitoring and evaluation at regular intervals so that
the latest information is available at the time of their displacement.
35
private consultant or government Valuer
The valuation report (Ministry Valuation Form No 2) includes the compensation schedule which has 2 main parts:
Part 1: Summary of reference number, name and total compensation cost for each PAP and Part 2: Itemised valuation of
each property/asset and each allowance entitled for each PAP with their picture
37
Valuation Report is currently approved by the Chief Government Valuer at Central Ministry. Consultations revealed
the preparation of a Resettlement Policy which will consider decentralising the role of approving valuation reports to
regional offices.
36
70
v.
Legal, Policy and Institutional Framework
Describe the legal and institutional context for the RAP implementation (Box 8-6). Details of relevant legal
requirements and institutions are attached in Appendix A.
Box 8-6 Content of Legal and Institutional chapter in a RAP
Legislative context should cover the
following:
Institutional context should cover the
following:







All relevant local laws and customs that
apply to land take: resettlement,
compensation, property laws, valuation
methods, mode and timing of
payments,etc;
Identification of gaps between local
laws and World Bank Group policies
Description of project-specific
mechanisms to address conflicts;
Entitlement policies for each category
of impact and specification of the fact
that resettlement implementation will be
based on specific provisions of agreed
RAP;
Description of the method of valuation
used for affected structures, land, trees,
and other assets; entitlement matrix.




Agencies and offices responsible for
resettlement activities that may have a
role in project implementation;
An assessment of the institutional
capacity of such agencies;
Any steps that are proposed to enhance
the institutional capacity of agencies
responsible for resettlement
implementation.
Coordination of the activities associated
with and described in the resettlement
action plan
Mechanisms for ensuring independent
monitoring, evaluation, and financial audit
of the RAP and for ensuring that
corrective measures are carried out in a
timely manner.
Any legal steps necessary to ensure
the effective implementation of
resettlement activities under the project,
including, as appropriate, a process for
recognizing claims to legal rights to
land—including claims that derive from
customary law and traditional usage.
vi.
Eligibility
Define criteria for determining the PAPs38 eligibility for compensation and other resettlement assistance,
including relevant cut-off dates39. The various eligibility criteria are listed in Box 8-7 below.
38
In some informal sectors it is not easy to determine exactly who is affected or what the long-term impacts are likely
to be. Many markets and ‘squatter’ businesses’, such as roadside kiosks and small workshops, are not formally
organized and have few, if any, records of ownership, tenancy, income, or length of occupancy.
39
Cut-off date refers to an agreed set date after which claims for compensation within a specified location will not be
considered. It is a date of the completion of census of the project affected persons and parties. The survey team should
be looking for signs of recent invaders who may have moved into the area once it has become public that some
assistance with improved conditions may be available.
71
Box 8-7 Eligibility Criteria for PAPs in a RAP process for ULGSP
Based on the Land Act Cap113 (1999) and World Bank's Resettlement Policy (OP 4.12),
a person is eligible for compensation if they are:

the holder of a formal granted right to land/assests

the holder of land under customary law

land users i.e. those physically not living at the place but will suffer loss of
access to land and livelihood

Have spiritual and ancestral ties to the land

Sharecroppers40, tenants and seasonal migrants.

Illegal occupants of land (entitled to resettlement assistance)
NB: The holder of the right of occupancy can be owner of a piece of land, house and
crops.
*** to insert groups of indigineous peoples if WB's Dr Mvungi finds any in his research***
vii.
Valuation and Compensation for Losses
Describe the methodology to be used in valuing losses to determine their replacement cost; and a description
of the proposed types and levels of compensation under local law and such supplementary measures as are
necessary to achieve replacement cost for lost assets.
For World Bank funded projects, the valuation is to consider full replacement costs and not depreciated
market values.
Compensation can be in the form of cash or in kind as defined in Box 8-8 below.
Box 8-8 Types of Compensation
 Compensation in cash: monetary payments made to replace the cost
of an asset or resource that is acquired or affected by the project.
 Compensation in kind: means payment in lieu of money. This may
apply where a portion of land is permanently taken from an individual
for the purposes of construction. The land owner may accept another
piece of land as compensation, provided the new plot of land is of the
same value as the land he has had to relinquish in terms of market
value and productivity levels
viii.
Resettlement Measures
Describe the packages of compensation and other resettlement measures that will assist each category of
eligible displaced persons to achieve the objectives of the policy. In addition to being technically and
economically feasible, the resettlement packages should be compatible with the cultural preferences of the
displaced persons, and prepared in consultation with them.
An example of an entitlement matrix made for the road sector is illustrated in Table 11. The RAP team is to
use the entitlements from the national legislation and entitlements that are eligible for compensation from
the World Bank presented in Appendix A for ULGSP projects. These options include in-kind (e.g.
replacement housing) and cash compensation.
40
Sharecropping is a system of agriculture in which a landowner allows a tenant to use the land in return for a share of
the crop produced on the land
72
Table 11 Example of an Entitlement Matrix from the Road Sector
CATEGORY
of Project
Affected
People (PAP)
S OF LAND
TYPE OF LOSS
ENTITLEMENTS
Compensation for
Loss of Structures
---
Compensation for
Loss of Assets
Replace land / pay
compensation at
market value;
Compensation for Loss
of Income
Crops at market cost in
scarce season
Moving
Allowance
None
Compensation at full
replacement value
not depreciated –
WB policy
Permanent crops or
trees at market cost
in scarce season
For lost rental income
Lump sum cash payment
of 6 months rent per
tenant
Actual cost of
transporting 12t of
goods by road for
20km
Property
Owners
Loss of structure
residential or
business; standing
crops and trees41
Loss of business income:
payment of half of
turnover for 6 months
No loss of income
Loss of rental
accommodation
No loss of structure,
no entitlement to
housing at new site
Replacement cost for
non-movables if
installation was
agreed with owner
Business
Tenant
Loss of rental
business premises
No loss
Replacement cost for
facilities that cannot
be moved
For loss of business
income, payment of half
of turnover for 6 months
Encroachers
(using land)
Loss of land
---
---
Squatters
(living on site)
Loss of shelter
Compensation at full
replacement value
for structure
Relocation to
resettlement site of
choice, with payment
of rental fee for land.
For crops, fences and
wells, as above for
owners
None
Residential
Tenant
Payments in lieu of
wages while rebuilding
Free moving if
notification before
deadline
Actual cost of
transporting 12t of
goods by road for
20km
Free moving if
notification before
deadline
Actual cost of
transporting 12t of
goods by road for
20km
---
Other Assistance
Land replacement at
new site (for landbased income and
livelihood).
Disturbance
Allowance
Disturbance
Allowance
Accommodation
allowance
6 months rent
equivalent for
disturbance
Food from
Government during
construction of new
site
Disturbance
Allowance
Source: Road Sector Resettlement and compensation guidelines, 2009
ix.
Resettlement Sites
The RAP Team describes the institutional and technical arrangements for identifying and preparing
relocation sites. This should be a participatory process where PAPs are involved to identify sites, assess of
advantages and disadvantages of each site, select preferred sites and develop an acceptable strategy for
housing replacement.
This section also includes detail plans to provide (or to finance resettlers' provision of) housing,
infrastructure (e.g., water supply, feeder roads), and social services (e.g., schools, health services); plans to
ensure comparable services to host populations; any necessary site development, engineering, and
architectural designs for these facilities.
The Team also estimates the time and budget needed to acquire, prepare and transfer land and ancillary
resources. This needs to be determined before moving forward in order to decide if PAPs will be offered
alternative sites during the RAP implementation. Other consideration in planning for relocation are on Box
8-9 below.
41
Compensation on unexhausted improvements on land and developments on the land
73
Box 8-9 Key Issues to consider in determining alternative relocation sites







Plots vs. bare land: are the sites surveyed and in an area that has been
demarcated for that particular land use; land that is not already occupied.
Site location: rural or urban; location which has advantages at least equivalent to
the advantages lost.
Access to adequate social services: road access, water, electricity, waste
collection, schools, etc.
Natural resource and environmental impact assessments: adequacy of soils and
land use capability, vegetation and livestock carrying capacity, water and forest
resource surveys; site not located in environmental sensitive areas that will
increase pressure on natural resources.
Agricultural land: equivalent agricultural productive potential, allocation of
agricultural land or pasture/rangeland; arrangements for site development for
agriculture, etc
Any measures necessary to prevent land speculation or influx of ineligible
persons at the selected sites;
Legal arrangements for regularizing tenure and transferring titles to resettlers
x.
Livelihood Restoration
It is encouraged that resettlement is looked at as a sustainable development intitiative that leads to the
improvement of the standard of living for PAPs. Therefore the ULGAs should identify restoration strategies
for each category of impact including description of institutional, financial, and technical aspects. The team
should consult PAPs and seek their participation in finalizing strategies for income restoration.
Some livelihood restoration activities to be considered include:
 Provision to dependable access to resources e.g water
 Job placement or skills development programs
 Financing start up enterprises through small scale credits schemes
 Entrepreneurship training to expand businesses or generate local employment
 Compensation in kind
The team should also consider:
 Main institutional and other risks for the smooth implementation of the resettlement programs;
 How to monitor the effectiveness of the income restoration measures;
 Development programs currently operating in or around the project area that PAPs can benefit
from.
Box 8-10 Special assistance for women and vulnerable groups
Special assistance for Women:
 Women should not be discriminated against access
to resources, opportunities and public services
 Community and informal social networks are to be
preserved
 Provides means to improve women's mobility to find
ways to earn an income
 Ensure entitlements and land titles are issues in the
name of both spouses
 Provide low cost locally available tools to reduce
workloads e.g hand pumps, fuel efficient stoves
 Improve health and family services






provide separate and confidential consultations
for vulnerable groups
prioritise vulnerable groups in site selection in
the host area;
relocate vulnerable groups to near to kin and
former neighbours;
Assist vulnerable groups with dismantling
salvageable materials from their original home;
Prioritise vulnerable groups access to all other
mitigation
and
development
assistance
provided
Monitor
integration
into
the
resettled
community
xi.
Environmental Protection and Management
Describe the boundaries of the relocation area, an assessment of the environmental impacts of the proposed
resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the
environmental assessment of the main investment requiring the resettlement).
74
xii.
Community Participation
The RAP Team is to provide:
 A description of the various stakeholders and the process of consulting and promoting participation
of PAPs and hosts in the design and implementation of the resettlement activities;
 A summary of the views expressed and how these views were taken into account in preparing the
resettlement plan;
 A review of the resettlement alternatives presented and the choices made by displaced persons
regarding options available to them, including choices related to forms of compensation and
resettlement assistance, to relocating as individuals families or as parts of pre-existing communities
or kinship groups, to sustaining existing patterns of group organization, and to retaining access to
cultural property (e.g. places of worship, pilgrimage centers, cemeteries); and
 Institutionalized arrangements by which displaced people can communicate their concerns to
project authorities throughout planning, implementation and monitoring
 Measures to ensure that such vulnerable groups as indigenous people, ethnic minorities, the
landless, and women are adequately represented.
 A Plan to disseminate the RAP including entitlements, eligibility, resettlement assistance and
grievance redress
xiii.
Integration with Host Populations
Measures to mitigate the impact of resettlement on any host communities should be elaborated. These
include:
 Consultations with host communities and local governments;
 Arrangements for prompt tendering of any payment due the hosts for land or other assets provided
to resettlers;
 Arrangements for addressing any conflict that may arise between resettlers and host communities;
and
 Any measures necessary to provide/expand services in host communities (e.g. education, water,
health, and production services) to make them at least comparable to services available to resettlers.
xiv.
Grievance Procedures
There should be put in place affordable and accessible procedures for third-party settlement of disputes
arising from resettlement preferably through mediation and negotiation and the ULGA level. Such grievance
mechanisms should take into account the availability of community and traditional dispute settlement
mechanisms prior to resorting to judicial solutions.
xv.
RAP Implementation Responsibilities
This section outlines the organizational framework for implementing resettlement, including:
 identification of agencies responsible for delivery of resettlement measures and provision of
services;
 arrangements to ensure appropriate coordination between agencies and jurisdictions involved in
implementation. This includes identification of roles and responsibilities for all stakeholders
involved in the implementation of the compensation and resettlement process;
 external (non-project) institutions involved in the process of income restoration (land
development/land allocation/training/credit, etc)
 responsibility for managing facilities and services provided under the project and for transferring
other such responsibilities from the resettlement implementing agencies, when appropriate.
 Mechanisms for ensuring independent monitoring, evaluation and financial audit of the RAP and
reviewing and revising the RAP if necessary.
xvi.
Implementation Schedule
This is an outline of the chronological steps covering all resettlement activities from preparation through
implementation of a RAP and agencies responsible for each activity (Template No 3 Part II). The schedule
75
should indicate how the resettlement activities are linked to the implementation of the overall project. The
schedule should also include target dates for the achievement of expected benefits to PAPs and hosts and
terminating the various forms of assistance.
The RAP is to be completed and implemented before Construction works begin as illustrated in the sample
implementation schedule below.
**to insert example of implementation schedule***
xvii.
Costs and Budget
This includes the costs for resettlement and compensation that forms part of the overall project budget
(Template No4 Part III). Costs of affected land/property and assets are provided in the valuation report.
There should be a clear statement of financial responsibility and authority, sources of funds for resettlement,
flow of funds and the mechanisms that will be established to ensure coordination of disbursements with the
RAP and the project schedule. Where applicable financial arrangements for external monitoring, evaluation,
procurement and maintenance of contracts for the entire duration of resettlement should be included.
xviii.
Monitoring and Evaluation
A monitoring plan should be developed for monitoring the implementation of resettlement activities in the
ULGAs. The key components of the monitoring plan should be performance monitoring indicators to
measure the progress of resettlement activities against milestones; and impact monitoring to evaluate the
effectiveness of the RAP and its implementation with respect to meeting the needs of the PAPs.
Box 8-11 Abbreviated RAPs for smaller projects
Since the ULGSP projects eligible for funding are not to displace more than 20
households, an abbreviated RAP can be prepared that has the following information:
1. A PAP census of the displaced persons;
2. A valuation of all the assets affected;
3. Details of types of compensation and other resettlement assistance to be
provided for each PAP;
4. A listing of acceptable alternatives, based on consultations held with persons to
be displaced;
5. Defined and agreed roles and responsibility of institutions involved the
implementation process;
6. Mechanisms for grievance redress;
7. Defined and agreed arrangements for monitoring and implementation;
8. An implementation schedule for the Compensation and resettlement process;
9. A budget for implementation and monitoring the C&R process.
Step 4: Submission of the RAP for Review
The RAP Team submits the RAP as part of the final ESIA report (Environmental Impact Statement) to the
ESMU for review (Refer to Chapter 9 for the review process).
Step 5: Decision on the RAP
After review of the RAP the ESMU will submit the RAP with the ESIS and recommendations to the LGA
Urban Planning and Environment Committee for a decision on approval.
If the decision is "not approved", the IPS will be instructed whether the RAP is to be revised or if it is not
acceptable due to the severity of the impact of land take.
76
If the decision is "approved", the IPS will combine the RAP with the ESIS and submit for sub-project
approval.
Step 6: Decision on the proposed sub-project
The sub-project proposal documents which will include the ESIS and RAP reports are submitted to the LGA
Full Council for a final decision on the proposed sub-project.
The decision should consider the estimated costs identified in the RAP i.e. does the LGA have the financial
resources to cover the estimated costs for any resettlement and compensation activities.
If the sub-project is approved then the IPS will implement the RAP.
Step 7: Implementing the Resettlement Action Plan
After the RAP has been approved, the implementation of the RAP includes 6 main activities:
i.
Awareness raising meeting
ii.
Mobilisation
iii.
Preparation of plots for resettlement
iv.
Compensation payments
v.
Addressing Grievances and Dispute Resolution
vi.
Monitoring of RAP implementation
i.
Awareness raising meeting
RAP Team members (CDO, MEO) should raise awareness through consultations with the PAPs to
 Inform them of the RAP implementation.
 Provide them with a timeframe for the implementation process i.e. the implementation schedule
(Template No3 Part III).
 Confirm the acceptability of the sites that have been identified for relocation
 Assure them that they will be compensated and/or resettled
 Resolve concerns they may have
 Sensitize them with regard to further concerns they may have and general procedures that will be
followed.
ii.
Mobilisation
The RAP Team mobilises and confirms the commitment of implementing staff, organisations, agencies and
entities identified in the RAP that will oversee and follow up on all compensation and resettlement matters
during and after the RAP implementation. The RAP Team confirms the planning process for implementation
and logistical arrangements compensation and carrying out resettlement activities.
iii.
Preparation of plots for resettlement
The Team prepares the plots for relocating PAPs including:

The preparation of land: clearing of grass and bush may be necessary for the construction of
houses at relocation sites, and in the case of new fields for cultivation, the soil may have to be
tilled and sowed.

Construction of new houses and structures (if approved as part of project budget and was
agreed as method of payment): once the site has been allocated and the area cleared, the new
houses and structures will be built. This again has an implication on the timing of physical
relocation.
iv.
Compensation payments
77
The actual disbursement of payment is carried out at the LGA level and is not the responsibility of the
Ministry of Lands to ensure that all PAPs have been compensated. The valuation report and compensation
schedule is counter-signed by relevant authorities before implementation, including:
 Ward or Mtaa Executive Officers (WEO/MEO)
 Authorized land officer (informing the Director of the LGA)
 District Commissioner
 Regional Commissioner
The LGA is responsible to ensure that the payments have been issued to the respective PAP and the PAPs to
be relocated have been given their alternative land. The following key activities are to be undertaken to
ensure that compensation payments are conducted justly42:







42
The LGA has again to ascertain to itself on the real individual identity of PAPs to be
compensated. LGA/CDA land valuation experts have to go back to the field and re-gather or
review information and data on previously valuated assets belonging to each PAP recorded in
the List of Valuation Schedule per Sub-Project area. That is aimed at gap-filling in any
unforeseen omissions so as to get a realistic situation and accurate figures that will help the
LGA/CDA to effect just compensation payment to affected individuals. Ward Executive
Officers (WEO), Mtaa Chairpersons well understanding individual PAPs and having their
records in offices books will assist to correct any additions or non-inclusions so far made in the
Valuation Schedules at hand.
WEO and Mtaa Chairperson have to inform and assist each PAP to have an Identity Card that
will be a proof in the course of the PAP being called for payment and/or any other related
matters.
Mtaa Chairperson and WEO have to notify and issue each PAP a formal Letter of Introduction
signed by WEO for the purpose of Compensation payment. That will be followed by each PAP
preparing a set of ‘identical or resembling’ passport size photos to be affixed on the List of
Valuation Schedule, Letter of Introduction and on the Identity Card; all pressed by one and the
same WEO’s office stamp. Also, each PAP has to be informed to come with the ministry's
valuation form which was issued to each PAP during verification of assets to be compensated,
for official scrutiny.
LGA should re-confirm the correctness of the names in the list of PAPs by Mtaa/Settlement
well in advance. That list(s) will then be posted to the Notice Boards in all areas visible and
accessible to all targeted PAPs. Quite carefully, each PAP has to go through the list of schedules
and affirm whether the written names are correct as they belong to him/her and, what is written
in the list as his/her assets earmarked for compensation is really what he/she deserves. By doing
so, it is meant to amicably resolve any doubts which can be raised by PAPs early enough, before
effecting such payments.
LGA have to inform PAPs to open Bank Accounts where needed, or else it has to prepare
honoured Open Cheques.
LGA has to inform targeted PAPs through public Notice Boards and the media on the date of
payment of Compensation money clearly stating the venue and time range. When making
payments, respective Mtaa Chairpersons and WEOs should be present to assist the LGA/CDA
paying staff in ensuring that payments are made to true or correct PAPs according to the
approved Schedule(s) of Valuation. At that juncture, PAPs receiving their cheques have to
individually sign in a dispatch book in acknowledgement of having collected the cheques.
LGA Accounts and Valuation/Land Offices should then properly keep original transaction and
payment records/documents for future office use. The Land Officer has to keep track of who
among the PAPs deserved relocation to an alternative plot or otherwise decided so as to resolve
any possible grievances from PAPs.
Procedure adopted from current practice under TSCP
78
Other considerations during compensation payments are in Box 8-12.
Box 8-12 Considerations during compensation payments

Spouses or female members of the affected households should be
present when compensation is being paid so that they are aware of
the compensation amount or assets received as compensation in
kind (Road sector guidelines, 2009).

Witnesses of the payments to PAPs should include the MEO, ULGA
Land Officer and ULGA CDO (the VEO should be involved for PAPs
in their jurisdiction).
Compensation is to be paid within 6 months from time the valuation report was signed by the Regional
Commissioner. If compensation is not paid within the 6 months the Tanzanian legislation provides for an
interest rate of 5% compound interest or the average rate offered by commercial banks "fixed deposit" to be
applied.
The PAPs are given notice to vacate from the identified project site within a time stipulated by the LGA.
Construction is not to begin until the PAPs are fully compensated.
v.
Addressing Grievances and Dispute Resolution
The IPS should strive to ensure that any grievance and disputes are resolved through mediation at the ULGA
level. If an agreement is not reached then the grievance is to follow the formal system through tribunals and
the courts. The following steps are proposed with respect to the ULGSP projects:
1. PAPs with a grievance or dispute should register their complaints and grievances to their respective
MEO who is part of the RAP Team. MEO in collaboration with the ULGA RAP Team should be the
first stage of mediation.
2. If the PAP is not satisfied then the grievance should be forwarded to the ULGA's Ward Executive
Committee for mediation.
3. If the PAP is still not satisfied then the grievance should be directed to the Regional Administrative
Secretary for mediation before entering the formal legal system.
4. If the PAP is not satisfied then the grievance is logged formally into the legal system with the Ward
Tribunal.
5. If the grievance is not solved at the Ward Tribunal it will be forwarded to the District Land and
Housing Tribunal.
6. If the grievance is still not resolved then it will be forwarded to the High Court (Land Division).
Grievances that are addressed through mediation are to be recorded by the RAP Team in the Template N o 5
(Part III). The PAP is to be given a copy of the same for their own follow up.
vi.
Monitoring of RAP implementation
The purpose of monitoring is to assess the performance of the RAP implementation in terms of
 disbursement of the compensation payments,
 progress of resettlement and rehabilitation activities including construction of structures and houses
and assistance during rebuilding
 public consultation process.
 PAPs use of the compensation payments for rebuilding or livelihood restoration.
 Types of grievance issues and effectiveness of the grievance redress mechanism to resolve them.
Box 8-13 Examples of indicators used when monitoring RAP implementation
79








The number of meetings held with the PAPs;
The number of complaints lodged, how many complaints are being addressed, how
many have been resolved;
The number of compensation payments made, and the number of pending payments;
The number of houses/structures constructed, and the number pending;
The number of PAPs relocated to their new houses/structures, and the number that
still have to be relocated;
The number of vulnerable people assisted.
The RAP implementation committee is responsible for monitoring the implementation of the RAP and to
complete a RAP implementation report. The content of the RAP report is outlined in chapter 11.
80
9
Guidelines for review, approval, disclosure of reports
and plans
9.1
Introduction
Upon completion of the various environmental works, the reports and plans are reviewed for approval for the
purpose of issuing an environmental certificate. The LGA-specific ESMS proposes this process to take place
at the LGA level for projects which were screened to follow the LGA ESIA process. This chapter provides
guidance on how the review should be conducted, describes the approval process and public disclosure
requirements.
Snapshot: Review and Approvals
Users of the
chapter
Review Team
(ESMU)
9.2
Qualifications

Purpose
Trained in reviewing
processes as part of the
LGA-specific ESMS

To use as reference during review
for approval to ensure key aspects
and principles have been followed.
Review and Approval Process
The review and approval process has general stages in project implementation are as follows:
1. Appraisal
2. Recommendations
3. Decision
4. Disclosure of sub-project information
Step 1: Appraisal
The Review Team (ESMU and other Sector staff that were not members of the ESIA Team) will review the
ESMP / PESA Report / EIS /RAP and sub-project designs/proposals. The review process will include a desk
appraisal, a site visit and a Cross-sectoral Technical Advisory Committee (TAC) meeting described in the
ESMS procedure (Chapter 4).
An invitation to the public to submit written comments on the reports is also given. The public is to be
invited to submit their views on the ESIS report via:
1. posters in strategic public places in the vicinity of the site of the proposed project
2. publishing a notice in a newspaper that has a nationwide circulation
3. making an announcement of the notice in both Kiswahili and English languages in a radio with a
nationwide coverage
The review shall ensure that all environmental and social impacts and resettlement issues have been
identified and successfully mitigated and mitigation measures integrated in the project designs.
Box 9-1 Review criteria
81
(based on the EIAA regulations, 2005)


Review Area 1
Description of the Development
Description of the local environmental baseline conditions.
Review Area 2
Identification and Evaluation of key impacts:

identification and evaluation of key impacts;

residual impacts;

cumulative impacts;

prediction of impact magnitude; and

assessment of impact significance.
Review Area 3
Alternatives, mitigations, EMP, and commitment
Review Area 4
Stakeholder participation and communication of results:

stakeholder participation

stakeholder representation and balance

non-technical summary
The ESMU may hold a public hearing on the environmental statement if as a result of the comments received
it is of the opinion that a public hearing shall enable it to make a fair and just decision or it considers it
necessary for the protection of the environment.
Box 9-2 Public Hearing
Preparations
1.
2.
3.
4.
The date and venue of the public
hearing shall publicized at least one
week prior to the meeting by notice in
at least one daily newspaper of
national circulation, one newspaper of
local circulation, television and other
means of mass communication in
Kiswahili and English
Information and copies of the reports
will be made available
A presiding officer shall be identified
Presiding officer shall determine the
rules of procedure at the public hearing
in consultation with the ESMU.
General format
1.
2.
3.
4.
5.
IPS shall be given an opportunity
to make a presentation
ESMU and public shall ask
questions and seek answers
respecting the environmental
impacts
Presented questions shall be
responded
Comments from any interested
party shall be received
The presiding officer shall compile
a report of the views presented at
the public hearing and submit the
report to the Review Team.
Step 2: Recommendations
If the application has satisfactorily addressed all key issues, the ESMU will then clear the proposal and
recommend approval of the infrastructure sub-project to the ULGA Urban Planning and Environment
Committee.
If the ESMU finds that the submitted proposal is not consistent with the requirements or contravenes the
EMA and it's regulations then the IPS would be requested to re-design (e.g. make additional modifications
and/or choose other sites) and re-screen the sub-project until it is consistent and then re-submit it for review.
Step 3: Decision of approval
The ULGA Urban Planning and Environment Committee shall make a decision on the ESIA for the subproject while taking into account
1. the validity of the environmental impact assessment statement with emphasis on the environmental,
economic, social and cultural impacts of the project;
2. the comments made by relevant ULGA departments and other interested parties
82
3. the report from the public hearing (where applicable)
4. the recommendations from the ESMU
The EMO shall prepare a decision letter to the IPS on the decision of approval which could be either “EIS
not approved”, “EIS approved” or “EIS approved subject to specified conditions”. The decision letter shall
include the reasons for the decision and will specify conditions attached on the approval based on the
environmental management plan provided in the environmental impact assessment statement including
schedule of activities that governs implementation of activities.
For projects that are approved, or approved with conditions, the decision letter and project documents are
submitted to the DAS43 who will issue an EIS Certificate in the format prescribed in the environmental
regulations of 2005 ( Form No 3 Part III)
Step 4: Disclosure of sub-project information (ESMP, PEA, EIS, RAP, etc)
The IPS will disclose sub-project information to the public through various avenues such as ward/mtaa
meetings, public spaces, media, notice boards, libraries, government gazette, etc. In addition the IPS will
make available any of the following documents to any person who desires to review them:






43
Sub-project design
Project brief
Terms of reference for ESIA
Environmental and Social Impact Statement (including the RAP where applicable)
Public comments
Decision letter
Person proposed to be delegated by minister to issue the ESIA certificate
83
10
Monitoring of Environmental and Social issues during
project implementation
10.1 Introduction
During project implementation the implementation of ESMP and RAP (where applicable) and monitoring are
important with respect to ESM. The project implementation process is contingent on various project
documents being approved. These documents include:



Project plan and design
ESIA and RAP reports where applicable
Project budget (that includes ESMP and RAP implementation costs)
This chapter presents the specific ESM activities to be carried out during project implementation which
includes the implementation of the RAP (where applicable), implementation of the ESMP and monitoring.
Snapshot: Project Implementation
Users of the chapter
Purpose
IPS


ESMU


To understand their key supervisory roles in
project implementation
To ensure that the proposed mitigation
measures are implemented
To
understand
their
monitoring
responsibilities to ensure that ESMP is
implemented according to the plan
To guide preparation of environmental and
social monitoring report
10.2 Project implementation process
The general stages in project implementation are as follows:
1. Implementing the RAP
2. Incorporating the ESMP in procurement
3. Supervising the implementation of the ESMP
4. Monitoring the ESMP
5. Reporting on the ESMP and RAP
Step 1: Implementation of the RAP
Construction of the project cannot commence before the implementation of the RAP and the completion of
compensation payments (chapter 8). The authorized/appointed Land officer is to monitor the implementation
of the RAP and report it's completion to the IPS in a RAP report
The IPS will share the RAP report with the ESMU.
Step 2: Procurement of a Contractor
84
The IPS prepares tender documents for the procurement of a contractor for project construction works. These
are to follow the general procurement principles outlined by the Public Procurement Regulatory Authority
(PPRA).
The IPS ensures that the ESMP is included into the project design (Chapter 7) and contractor's contractual
obligations before construction. The IPS ensures that all contracts and financial approvals are complete
before the contractor begins construction. The IPS is overall responsible for supervising the contractor and
the implementation of the project.
Step 3: Supervision of ESMP implementation
The contractor is responsible for implementing the relevant components of ESMP related to mobilisation and
construction works i.e. ensuring that each mitigation measure identified in the ESMP is carried out during
mobilisation and construction works. The IPS in collaboration with the ESMU is responsible for supervising
and monitoring the implementation of the ESMP by contractor.
The IPS is responsible for implementing the relevant components of ESMP related to project operation
monitored by the ESMU.
Step 4: Monitoring of ESMP
The principle stages of a development project life cycle to be checked and monitored are during design,
implementation, operation and decommissioning. Carrying out an ESIA acts as a check during design and an
ESMP includes monitoring activities to be done during the implementation (construction) stage of a project.
Monitoring ESMP implementation
During mobilisation and construction, the IPS is responsible for the day to day monitoring of the
implementation of the ESMP). The IPS uses an ESMoP developed based on the approved ESMP (Template
No 6, Part III) that the IPS fills during monitoring. The ESMoP is a tool that the IPS will use to monitor the
implementation of the ESMP by the contractor.
Box 10-1 Content of an Environmental and Social Monitoring Plan (ESMoP)
The ESMoP is presented in a table format that includes the following information:
1. Potential impact
2. Proposed mitigation measure
3. Monitoring indicator/parameter
4. Monitoring frequency
5. Target level/Standard
6. Progress/status and comments
1. Monitoring parameters: The monitoring parameters are derived from the potential impacts. The
parameter is the object/area/persons that were identified to have a potential impact during the
different phases of the projects.
2. Monitoring frequency: This refers to the number of times the parameter is to be measured during
specified period in which the mitigation measure is to be implemented. The frequency in which each
parameter is monitored varies depending on the nature of the parameter.
3. Target level/standard: This refers to environmental or social condition that the proposed mitigation
measure aims to restore or enhance. It could also include legal standards that have to be observed.
4. Progress/status: This is completed by the IPS either through reports submitted by the contractor
implementing the ESMP, or by observations made during site visits to the construction area(s). The
status could be "completed", "on track", "not on track- review ESMP" or "to be implemented
(date/month)". This should be accompanied by comments for followup.
85
Table 12 Example of an Environmental and Social Monitoring Plan (ESMoP)
Potential
Proposed mitigation
Monitoring
Target
Monitoring
impact
measure
Parameter
level/Standard
frequency
Use dust boozers to
Dust particles
Every day
Dust
spray water before
Air pollution
less than ***
during large
pollution
large
earth work
from
excavation/earthworks
activities
excavation
works
Destroyed
Re-planting of fruit
Planting of
Fruit trees
Every week
fruit trees
trees after major
fruit trees
restored
after major
used by
construction works
construction
local
works
residents
completed
due to
vegetation
clearance
Death due
Build speed humps
Traffic
No traffic
Every month
to
near construction
accidents
accident
during
accidents
areas to reduce speed
incidences
construction
recorded
Increased
Provide free clinic and HIV/AIDS
No new
Every 3
incidence
counselling for
infection
HIV/AIDS
months
in
construction staff
rate
infections
during
HIV/AIDS
during
construction
construction
Status
Comments
On track
to be
implemented
(October
2013)
Construction
works still
underway
On track
Not on trackreview
ESMP
Staff
reluctant to
attend free
clinic- to
conduct
awareness
campaign
Compliance (Supervisory) monitoring
The appointed EMO in the ESMU conducts compliance monitoring to ensure that the ESMP is actually
implemented and that impacts are no greater than predicted44. If the ESMoP is submitted quarterly by the IPS
and there is close coordination between them, then the ESMU will only have to conduct small number of
spot-check visits to complete a compliance monitoring form (Template No 7 Part III). The EMO conducts
spot-check visits at critical points in the construction/implementation programme when key actions and
construction impacts can be inspected.
Examples of project elements to be monitored include:
•
•
•
•
•
•
•
•
•
44
Implementation and effectiveness of erosion and sedimentation control measures (e.g., prompt
re-grassing of disturbed areas);
Water management issues (e.g., water logging, flooding, and drainage issues);
Waste disposal issues (e.g., disposal of demolition debris, spoil, used oil, old tires, and scrap
metal, and the management of liquid and solid wastes);
Management and reclamation of borrow pits and quarries or other sources or natural resources;
Social impacts (e.g., related to compensation issues, resource use conflicts, communicable
diseases);
Public health and safety (e.g., accidents and accident risks during construction);
Noise and dust problems during construction works (e.g. close to schools, hospitals and other
sensitive human activities); and
Occupational health and safety (e.g., the safe handling and storage of hazardous materials and
safe operating procedures).
Vulnerability of the project to natural hazards e.g flooding, landslides, earthquakes, tsunamis,
strong hurricane like winds etc
In the national ESIA process this role is carried out by NEMC
86
Step 5: Reporting on the ESMP
The IPS submits completed ESMoP on a quarterly basis (i.e. every 3 months) to the ESMU where the
appointed EMO will prepare an Environmental and Social Monitoring Report in collaboration with the
CDO/sociologist. The EMO may also conduct site visits in the preparation of the Environmental and Social
Monitoring Report.
The monitoring report should be made available to the public and to other LGA departments to encourage
feedback on the ESMP for continuous improvement.
The information in the monitoring report in conjunction with the other reports and plans
(ESMP/PSEA/RAP/ESIS) are used to compile an Environmental and Social Management Report for PMO
RALG that is combined with the other project reports documents. The same can be used to report to NEMC
when required.
87
11
Guidance on Report Contents
The following section provides guidance on the reporting structure and contents for the various reports in the
LGA-specific ESMS. These reports include the Scoping, PESA, EIS, RAP and Monitoring reports.
11.1.1 Scoping Report
The ESIA Team prepares a Scoping Report as part of the scoping exercise that is done after the project has
been screened. The scoping report includes the key issues to be assessed and evaluated and provides a ToR
(Template No 1 Part III) for carrying out the impact assessment. The report is submitted to the ESMU for
review and approval.
The content of a Scoping report is outlined in Table 13 below.
Table 13 Content of a Scoping Report
Chapter
Introduction
Environmental and social
Context
Policy, legal and
institutional Context








Stakeholder Participation



Preliminary Impacts
Impact Assessment
Approach





Terms of Reference

Description
Brief description of the project i.e. nature, location scale etc
Description of how the scoping exercise was carried out
Description of the spatial and temporal boundaries
Description of project alternatives
Description of the environmental and social situation in the
identified boundaries
Description of relevant policies and legislation
Description of institutions involved in the project planning and
implementation,
Description of institutions involved in the management of
environmental and social issue.
Description of the stakeholder groups identified
Description of how they were involved in the scoping exercise
Stakeholder views and concerns that are to be considered during
impact assessment
Description of potential environmental impacts
Description of potential socio-economic impacts
Description of other impacts: public health, OHS, etc
General approach and methodology to be taken
Description of particular studies/investigations to be conducted
e.g. water analysis, survey of waste collection points/facilities
Terms of reference to guide the impact assessment including the
scope, objectives, tasks and duration
11.1.2 PESA Report
The ESIA Team prepares a PESA Report if the screening process determined that the project falls under the
ESIA List 2. The aim of a PESA is to determine whether a full ESIA is required due to the uncertainty of the
impacts or the lack of information provided in the project brief. The PESA report is submitted to the ESMU
for review and approval.
The content of a PESA report is outlined in Table 14below.
88
Table 14 Content of a PESA Report
Chapter
Introduction
Environmental and social
Context
Policy, legal and
institutional Context








Environmental and Social
Impacts



Mitigation Measures

Environmental and Social
Management Plan






Description
Brief description of the project i.e. nature, location scale etc
Description of how the PESA exercise was carried out
Description of the spatial and temporal boundaries
Description of project alternatives
Description of the environmental and social situation in the
identified boundaries
Description of relevant policies and legislation
Description of institutions involved in the project planning and
implementation,
Description of institutions involved in the management of
environmental and social issue.
Description of potential environmental impacts and their
significance
Description of potential socio-economic impacts and their
significance
Description of other impacts: public health, OHS, etc, and their
significance
Description of mitigation measures for each of the impacts
identified
Description of activities likely to cause potential impacts
Description of the impacts (negative and positive)
Description of planned mitigation measures
Monitoring plan including relevant monitoring indicators;
Institutional arrangements of who will be responsible for
implementing the ESMP
Cost estimates and source of funds
11.1.3 ESIA Report
The ESIA Team prepares an EIS if the screening process determined that the project falls under the ESIA
List 1. The ESIA shall take into account environmental, social, cultural, economic, and legal considerations,
and shall:




identify the anticipated environmental impacts of the project and the scale of the impacts
identify and analyse alternatives to the proposed project
develop an environmental management plan with mechanisms for monitoring and evaluating the
compliance and environmental performance which shall include the cost of mitigation measures and the
time frame of implementing the measures
propose mitigation measures to be taken during and after the implementation of the project
The ESIA Team will prepare an ESIA report (referred to as an Environmental Impact Statement or EIS) is
submitted to the ESMU for review and approval. The content of an EIS report is outlined in Table 15 below.
89
Table 15 Content of an ESIS
Chapter
Executive Summary
(English and Swahili)










Acknowledgements,
acronyms, etc
Introduction
Project Description






Policy, legal and
institutional Context





Environmental and social
Context



Environmental and Social
Impacts



Mitigation Measures


Environmental and Social
Management Plan





Description
Brief description of the project environment
Project stakeholders and their involvement in the EIA process
Explanation on why some impacts are not addressed
Stakeholder participation: list of people consulted and their
views and concerns
Description of the major significant impacts
Project alternatives considered
Mitigation measures for the impacts
ESMP with monitoring plan
Resource evaluation or cost benefit analysis
Decommissioning
Background to the ESIA
Description of how the ESIA exercise was carried out
Assumptions made, gaps and uncertainties encountered during
the ESIA
Layout of the report
Brief description of the project i.e. objective, nature, location
scale etc
Project activities, technologies, procedures and processes that
will be used in project implementation
Materials to be used in construction and operation of project
Product and by-products to be generated
Description of relevant policies and legislation
Description of institutions involved in the project planning and
implementation,
Description of institutions involved in the management of
environmental and social issue.
Description of the spatial and temporal boundaries
Description of project alternatives
Description of the environmental and social situation in the
identified boundaries
Description of potential environmental impacts and their
significance
Description of potential socio-economic impacts and their
significance
Description of other impacts: public health, OHS, etc, and their
significance
Identification of alternatives: project site, design, technologies
etc and reasons of preference
Description of mitigation measures for each of the impacts
identified
Description of activities likely to cause potential impacts
Description of the impacts (negative and positive)
Description of planned mitigation measures
Monitoring plan including relevant monitoring indicators;
Institutional arrangements of who will be responsible for
90


Cost Benefit Analysis


Decommissioning

Summary and Conclusions








References
Appendices
implementing the ESMP
Cost estimates and source of funds
Other management plans i.e. hazardous materials management
plan, OHS plan
Available resources to implement the project: human and
financial OR
Analysis of the benefits and costs for implementing the project
(qualitative and quantitative as appropriate)
Plan on how the project infrastructure will be demolished or reused after the life-span of the project
Summary of key stakeholder issues and impacts
Conclusion based on the findings (not to be subjective)
List of any documents, reports or websites used
List of people consulted with names, organisation and contacts
Meeting minutes
Picture library
ESIA Terms of Reference
RAP report ( if applicable)
11.1.4 RAP Report
The authorized/appointed land officer is responsible for monitoring the implementation of the RAP prepares
a RAP report. The RAP report is submitted to the IPS and is to be included as part of the EIS for review and
approval by the ESMU.
The content of the RAP report is outline in Table 16 below.
Table 16 Content of a RAP report
Chapter
Introduction

RAP zone of influence


Organisational
responsibilities
Legal and institutional
framework
Socio-economic studies
Eligibility and resettlement
measures
Public consultation









Valuation of assets

Description of content
Project background, objectives of the RAP, methodology,
entitlement cut-off date, structure of the report
Description of activities and areas leading to resettlement and
compensation
predicted impacts on human settlements, livelihoods,
community and property
proposed mitigation measures
Inter-agency coordination
Implementation procedure
Relevant policies and legislative requirements observed and
applicable institutions involved.
Findings of the socio-economic study and household survey
Eligibility criteria used
Entitlements provided: compensation, relocation, income
restoration etc
Methods used to consult the public, views and concerns from
PAPs
Measures taken to mitigate the impact of resettlement on any
host communities
Method used in valuing losses to determine their replacement
91
Implementation schedule
Costs
Appendix 1: Summary of
compensation summary:
Appendix 2: Detailed items
compensated
Appendix 3: Public
consultation documents









cost; and a description of the proposed types and levels of
compensation under local law
Brief description of grievances received and resolved
Description of process used and an indication of duration taken
during implementation
Report of costs for compensation from valuation report
Report of payments made
Report of relocation and income restoration activities
PAP reference number, Name, location, compensation amount,
cheque number and date paid
PAP reference number, picture, name, location, general
comments, entitlements, total compensation cost.
Meeting minutes from public consultations
List of people consulted
11.1.5 Environmental and Social Monitoring Report
The appointed EMO is responsible for preparing an Environmental and Social Monitoring Report (ESMR)
that forms part of the ULGA project implementation report. The EMO shall make use of the ESMoP
submitted by the IPS and site visits to prepare the report.
The content of the ESMR is outlined in Table 17 below.
Table 17 Content of an Environmental and Social Monitoring Report
Chapter
Introduction
Project Background and
Description






Major Work Progress

Monitoring Observation




Environmental Monitoring
Compliance


Conclusion
Recommendations




Description of content
Purpose and objective of the report
Layout of the report
Describes project background
Description of the project area and baseline conditions
Main design features of the project and key project data
Summary of approved esia: identified impacts and stakeholder
concerns; when esia was carried out and approved.
Current major work in progress: major earthworks, drainage
works and obstacles faced during implementation
Maps
Methodology which was used to gather and report findings
Observation of environmental impacts related to construction
activities
Changes which might have occurred on surrounding
environment caused by ongoing construction activities
List of proposed environmental mitigation measures to be
applied during construction
Contractor's compliance to environmental mitigation measures
(Template No 7 Part III)
Discusses contractor's compliance status
Guidance/expectations on applying proper mitigation measures
Recommendation (to the contractor) in order to enhance
safeguard environmental measures during construction and
operation phases
Legal measures to enforce implementation and protection of the
environment
92
PART III: FORMS AND TEMPLATES
The various Forms and Templates referred to in the previous chapters are presented here in the
following order:
Description
Form No 1: ESIA Registration Form
Template No 1: Terms Of References for Environmental
Impact Assessment
Form No 2: Screening Checklist
Template No 2: Environmental and Social Management Plan
Template No 3: RAP Implementation Schedule
Template No 4: Table Oo Cost/Budget Estimates for RAP
Template No 5: Grievance Record Form
Form No 3: EIA Certificate Form
Template No 6: Environmental and Social Monitoring Plan
Template No 7: ESMP Compliance Record
Chapter Reference
Chapter 4
Chapter 4
Page No
91
95
Chapter 5
Chapter 7
Chapter 8
Chapter 8
Chapter 8
Chapter 9
Chapter 10
Chapter 10
102
104
105
106
107
108
110
111
93
FORM No1- ESIA REGISTRATION FORM
(Reference : Chapter 4)
Prime Minister's Office - Regional Administration and Local Government Authority
Urban Infrastructure Investments
APPLICATION FOR
ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT
CERTIFICATE
LGA/NEMC Application Reference No:……………………… Fee Amount: ………………………………
Date:………………………………….
PART A: DETAILS OF PROPONENT
PROPONENT
ENVIRONMENTAL AND SOCIAL IMPACT
ASSESSMENT EXPERTS
LGA / Firm /
Organisation/
Donor
Contact
Person Name
Address
Telephone No
Fax No
E-mail:
PART B: DETAILS OF THE PROJECT
Title of the Project (general classification of undertaking)
Description of the Project
(Nature of undertaking, unit processes [flow diagram], raw materials list of chemicals [source, types &
quantities], storage facilities, wastes / by-products [solid, liquid and gaseous])
Scope of the Project/Works
94
(size of labour force, equipment and machinery, installed / production capacity, product type, area covered
facility / proposal, market)
Project Location
A map/site plan; indicate the geographic co-ordinates of the site elevation and slope; any nearby area of the
environmental significance (e.g. proposed or declared reserves, water courses, wetlands); general vegetation;
adjacent land uses, current zoning
Infrastructure and Utilities
Structures (buildings and other facilities); Land required; Water (sources, quantity required); Power (type,
source & quantity required); Road (access, conditions); Other major utilities (e.g. sewerage facility and
quantity produced, solid waste produced and management, health risks and facilities occupational health and
safety provisions, etc)
Materials
(Locations of where natural materials will be sourced for the construction)
Required Permits/Approvals
Type of permit
Required (Yes/No)
Permit obtained
(if applicable)
Building
Water Extraction
Water Use
Burrow pit /Quarry
Abattoir/slaughterhouse registration
Liquid / Solid Waste Disposal
Zoning/land use change
PART C: ENVIRONMENTAL IMPACTS
Identify activities of proposed project that may result in potential environmental and social impacts.
Impact Category
List of activities that may result in potential environmental and
social impacts
(Use chapter 6 of the Technical Manual to identify potential
95
impacts)
Activities requiring land
External natural factors and processes
that could have potential impact
External socio-economic factors that
could have potential impact
Management aspects that may cause
potential impact
Activities related to mobilisation,
construction and operation of project
that may result in potential physical and
biological impacts
Activities related to mobilisation,
construction and operation of project
that could have potential socioeconomic
impact
(positive
and
negative)
Activities related to mobilisation,
construction and operation of project
that could have potential land use and
cultural property impacts
5. OTHER ENVIRONMENTAL AND SOCIAL ISSUES
Potential significant risks and hazards associated with the Project (including occupational health and safety).
State briefly relevant environmental studies already done and attach copies as appropriate.
Impact Category
List of activities that may result in potential environmental
and social impacts
(Use chapter 6 of the Technical Manual to identify potential
impacts)
Activities
related
to
mobilisation,
construction and operation of project that
could have potential public health impacts
Activities
related
to
mobilisation,
construction and operation of project that
could have potential occupational health
and safety impacts.
PART D: PROJECT BRIEF
Detailed project brief to be attached.
Content of the Project Brief for the Application for an Environmental and Social Impact Assessment
Certificate
A registered Environmental and Social Impact Assessment Expert is to complete a Project Brief that is attached to Form 1
(the Application for Environmental and Social Impact Assessment Certificate). The Content of the Project Brief will
include:
1.
2.
Title Page: Name of Project, Proponent and Date
Table of Contents: with list of tables, figures and Acronyms where applicable.
96
3.
4.
Introduction: brief background to the project, need for the project and structure of the report.
Nature of the Project: type of project and main activities of the project during construction, operation and
decommissioning phases.
5. Location of the project: actual location, maps, general geographical, biological and socio-economic description of
the project area.
6. Design of the project and materials to be used and generated: products and by-products, including waste to be
generated by the project and the methods of their disposal.
7. Potential environmental impacts and the mitigation measures to be taken during and after implementation of the
project (use chapter 6 and 7 of the Technical Manual for guidance)
8. Potential economic and socio-cultural impacts and the mitigation measures to be taken during and after
implementation of the project (use chapter 6 and 7 of the Technical Manual for guidance)
9. A plan for the prevention and management of possible accidents during the project cycle
10. A plan to ensure the health and safety of the workers and neighbouring communities;
11. The project Budget
PART E: DECLARATION BY THE PROPONENT
I hereby certify that the particulars given above are correct and true to the best of my knowledge and
shall provide any additional information that shall come to my notice in the course of processing this
application
Name:
__________________________________________
Position: ___________________________________________
Signature: __________________________________________
Date: _____________________________________________
97
TEMPLATE No 1: Terms of References for Environmental
Impact Assessment
(Reference: Chapter 1 and 10)
Introduction
[State the purpose of the ToRs, identify the development project to be assessed, and explain the
executing arrangements for the environmental assessment.]
2.
Background Information
[Describe the pertinent background. This should include a brief description of the major components
of the proposed project, a statement of the need for the project, the objectives it is intended to meet,
the implementing agency, a brief history of the project (including alternatives considered), its status
and timetable, and a list any associated projects. If there are other projects in progress or planned
within the region that may compete for the same resources, they should also be identified here.]
3.
Objectives
[Summarise the general scope of the environmental assessment and discuss its timing in relation to
the project preparation, design, and execution processes.]
4.
EIA Requirements
[The EIA requirements are determined by the Environmental Assessment and Audit Regulations
made under the Environmental Management Act. Identify any other regulations and guidelines that
govern the conduct of the assessment or specify the content of the report, including e.g. the
following:
•
•
International treaties, national laws and/ or regulations and/ or guidelines on environmental
reviews and impact assessments;
World Bank Operational Directive (OD) 4.00, Annex A: "Environmental Assessment" and
other pertinent ODs, Operational Manuals (OMs), Operational Notices (OPNs), and
Guidelines.]
5.
Study area
[Specify the boundaries of the study area for the assessment (e.g., water catchment area and land
use), as well as any adjacent or remote areas that should be considered with respect to specific
impacts (temporary infrastructure). The project could have different study areas corresponding to the
level of impact.]
6.
Scope of work
[Define the tasks. In some cases, the tasks to be carried out by a consultant will be known with
sufficient certainty to be specified completely in the terms of reference. In other cases, specialised
field studies or modelling activities will need to be performed to assess impacts. In that case, the
consultant will define particular tasks in more detail after some period of assessment and will submit
98
the detailed scope of work to the contracting agency for approval at a later date. Task 4 in the Scope
of Work (below) is an example of the latter.]
SAMPLE TEXT ON SCOPE OF WORK:
The EIA study for project XXX includes, but is not necessarily limited to, the following tasks:
Task 1: Description of the proposed project and alternatives
•
Provide a brief description of the relevant parts of the project using maps of
appropriate scale where necessary and include the following information:
• Project justification;
• Location;
• General layout, size, and capacity;
• Pre-construction activities;
• Construction activities;
• Schedule;
• Staffing and support;
• Facilities and services;
• Operation and maintenance activities;
• Required offsite investments;
• Life span;
• Provide a brief description of alternatives considered. At a minimum the do-nothing
alternative must be included in the EIA study, i.e. the situation of not implementing
the proposed project.
[Note: specify any other type of information relevant to the description of the project
category.]
Task 2: Description of the environment
Assemble, evaluate, and present baseline data on the relevant environmental characteristics
of the study area. Include information on any changes anticipated before the project
commences. Modify the list below to show critical project information (e.g., information
relevant to the project category and other project-specific information). Avoid compiling
irrelevant data. Present environmental characteristics of the study area on a map to facilitate
the understanding.
[a]
Physical environment: geology; topography; soils; climate and meteorology;
ambient air quality; surface and groundwater hydrology; coastal and oceanic
parameters; existing sources of air emissions; existing water pollution
discharges; and receiving water quality.
[b]
Biological environment: flora; fauna; rare or endangered species; ecologically
important or sensitive habitats, including parks or reserves, and significant
natural sites; species of commercial importance; and species with potential to
become nuisances, vectors, or dangerous (of project site and potential area of
99
influence of the project)
[c]
Socio-cultural environment: population; land use; planned development
activities; community structure; employment; distribution of income, goods and
services; recreation; public health; cultural/ historic properties; tribal peoples; and
customs, aspirations, and attitudes.
Task 3: Legislative and regulatory considerations
Describe the pertinent regulations and standards at international, national, regional and local
levels that govern environmental quality, health and safety, protection of sensitive areas,
protection of endangered species, siting, and land use control. The ToR should specify those
that are known and should require the consultant to investigate for others.
Task 4: Determination of the potential impacts of the proposed project
Distinguish between positive and negative impacts, direct and indirect impacts, and
immediate and long-term impacts. Identify impacts that are unavoidable or irreversible.
Wherever possible, describe impacts quantitatively, in terms of the affected environmental
components (e.g., area, number) and environmental costs and benefits. Assign economic
values when feasible. Characterise the extent and quality of available data, explaining
significant information deficiencies and any uncertainties associated with the predicted
impacts. If possible, develop ToR to conduct research to obtain the missing information.
Identify the types of special studies likely to be needed for this project category.
The engineering plans should reflect "best practice" in alignment and construction to ensure
that potential negative environmental impacts are minimised (e.g., through measures to
prevent soil erosion risk, ensure proper drainage, and provide for waste disposal for cut and
fill material and used oil. The EIA should verify that this is the case.
The EIA should focus on the potential for negative environmental and social impacts caused
by:
•
•
•
•
Planned and unplanned (spontaneous) in-migration of people;
Clearing of forest lands for agriculture;
Increased pressure on fuel wood, fodder, and water resources;
Social disruption and conflict; and threats to woodlands and important wildlife
species.
The EIA should also examine the potential for linear resettlement, as road projects usually
involve linear patterns of land acquisition (e.g., highways, railways, canals, power
transmission lines). An overview shall be provided of different groups of people and their
cultural, ethnic, and socio-economic characteristics, and how they are likely to benefit and/ or
be negatively affected by the project. Negative impacts may include, but not be limited to,
physical relocation, loss of land or other physical assets, or loss of access to livelihood. The
purpose of this screening shall be to minimise negative social impacts, both through the
selection process and by providing inputs and guidance to the engineering designs.
100
In the case of land acquisition, a compensation and resettlement plan (CRP) should be
prepared and implemented in accordance with the Compensation and Resettlement
Guidelines for the Road Sector.
Task 5: Analysis of alternatives to the proposed project
Describe alternatives that were examined in the course of developing the proposed project
and identify other alternatives, which would achieve the same objectives. The concept of
alternatives extends to siting, design, technology selection, construction techniques and
phasing, and operating and maintenance procedures. Compare alternatives in terms of
potential environmental impacts; capital and operating costs; suitability under local
conditions; and institutional, training, and monitoring requirements. When describing the
impacts, indicate which are irreversible or unavoidable and which can be mitigated. To the
extent possible, quantify the costs and benefits of each alternative, incorporating the
estimated costs of any associated mitigating measures. Include the ‘no project’ alternative to
demonstrate environmental conditions without the project.
Task 6: Development of an environmental management plan to mitigate negative
impacts and enhance positive impacts
The environmental management plan (EMP) focuses on three generic areas: mitigation
measures, institutional strengthening and training, and monitoring. The emphasis on each of
these areas depends on the context-specific project needs.
Mitigation measures
Recommend feasible and cost-effective measures to prevent or reduce significant negative
impacts to acceptable levels. The must cover requirements in the design phase, site
preparation, construction, demobilisation of construction, and operation and maintenance of
the road.
Quantify the impacts and estimate the costs of the mitigation measures. Consider
compensation to affected parties for impacts that cannot be mitigated. The plan should
include proposed work programmes, budget estimates, schedules, staffing and training
requirements, and other necessary support services to implement the mitigation measures.
The recommended mitigation measures must be specific and described in quantitative terms
to a detailing level which allows for inclusion of the mitigation measures into the Bill of
Quantities for the road project.
Describe residual impacts after incorporation/implementation of the recommended mitigation
measures
Summarise the environmental impacts and mitigation measures using a strip map at the
same scale as that of the road design.
101
Institutional strengthening and training
Identify institutional needs to implement environmental assessment recommendations.
Review the authority and capability of institutions at local, provincial, regional, and national
levels and recommend how to strengthen the capacity to implement the environmental
management and monitoring plans. The recommendations may cover such diverse topics as
new laws and regulations, new agencies or agency functions, inter-sectoral arrangements,
management procedures, training, staffing, operation and maintenance training, budgeting,
and financial support.
Monitoring Plan
Prepare detailed arrangements to monitor the implementation of mitigation measures and the
impacts of the project during construction and operation. Include in the plan an estimate of
capital and operating costs and a description of other required inputs (e.g., training and
institutional strengthening).
Task 7: Assist in interagency coordination and public/ NGO participation
Assist in coordinating the EIA with other government agencies, in obtaining the views of local
NGOs and affected groups, and in keeping records of meetings, other activities,
communications, comments, and their disposition. The ToR should specify the types of
activities (e.g., interagency scoping session, environmental briefings for project staff and
interagency committees support to environmental advisory panels, or public forums).
7.
Reporting
[State the reporting requirements]
SAMPLE TEXT ON REPORTING:
The EIS should be concise and limited to significant environmental issues. The main text
should focus on findings, conclusions, and recommended actions supported by summaries of
the data collected and citations for any references used in interpreting data. Detailed or uninterpreted data are not appropriate in the main text and should be presented in appendices
or in a separate volume. Unpublished documents used in the EIA may not be readily
available and should also be assembled in an appendix. The EIS should be organised in
compliance with the requirements of the Environmental Assessment and Audit Regulations,
2005, and according to the following outline:
•
•
•
•
•
•
Executive summary;
Policy, legal, and administrative framework;
Description of the proposed project and alternatives considered;
Description of the existing environment;
Significant environmental impacts and mitigation measures;
Analysis of the alternatives;
102
•
•
•
•
•
Emergency plan;
Environmental management plan (including monitoring plan);
Interagency and public/NGO involvement;
List of references;
Appendices:
• Terms of Reference;
• List of the EIA team;
• Records of Interagency and public/ NGO communications;
• Data and unpublished reference documents.
X hard copies and one electronic copy (in MS Word 2007) of a preliminary EIS should be
submitted to the [name of road authority] for comments.
Upon receipt of the road authority’s comments, the environmental expert shall prepare the
EIS.
Y copies and one electronic copy (in MS Word 2007) of the EIA should be submitted to the
[name of road authority].
Upon receipt of possible comments by the environmental authority, the consultant shall
incorporate the comments of the environmental authority into and finalise the EIS.
Y copies and one electronic copy (in MS Word 2007) of the EIA should be submitted to the
[name of road authority]. Photos, tables, maps and the like must also be submitted in original
and appropriate electronic versions.
8.
Consulting team
[Identify the expertise to include on the EIA team. Environmental assessment requires
interdisciplinary analysis. Members of the team could consist of people with the following
specialisations: rural sociology (in the case of rural roads); human geography; and/or terrestrial
ecology (e.g., wildlife, plant, and conservation ecology). Depending on the location of the project,
some issues may have higher priority than others.]
9.
Schedule
[Specify dates for progress reviews, interim and final reports, and other significant events.]
10.
Activity/time schedule
[Specify the duration of the assignment and include a time/activity schedule for the assignment.]
11.
Other pieces of information
[Include here lists of data sources, project background reports and studies, relevant publications, and
other items to which the consultant’s attention should be directed.]
12.
Quality assurance
[Include requirements to the environmental expert’s quality assurance system and procedures,
including the nomination of a qualified person who will be responsible for the quality assurance of
the standard of work and performance of the vironmental expert.]
103
13.
Confidentiality and intellectual property rights
[Include conditions on confidentiality and intellectual property rights, as required.]
SAMPLE TEXT ON CONFIDENTIALITY AND INTELLECTUAL PROPERTY RIGHTS:
During the performance of the consultancy services or at any time after expiry or termination
of the EIA study, the consultant shall not disclose to any person or otherwise make use of
any confidential information which he has obtained or may in the course of this EIA study
obtain relating to the consultant, the client or otherwise.
The intellectual property rights and the copyright of the work produced by the consultant
belongs to the [NAME OF THE PROJECT PROPONENT ORGANISATION].
104
FORM No 2: Screening Checklist
(Reference: Chapter 4 and 5)
Prime Minister's Office - Regional Administration and Local Government Authority
SCREENING CHECKLIST FOR URBAN INFRASTRUCTURE
INVESTMENTS
A registered expert in the Local Government's Environmental Management Unit is to screen
the project brief submitted against the following criteria to determine the significance of the
potential impacts and the level of assessment required for the proposed project.
PART A: DETERMINING WHETHER TO FOLLOW LGA OR NATIONAL ESIA
PROCESSES
The Screener is to tick "Yes" or "No" on only one column. If any of the answers is "Yes" under the
column to follow the national ESIA process, the project will automatically follow the national or
LGA ESIA process.
*** to insert final checklist*****
Sensitive Areas (ESIA regulations,
2005)
Environmental sensitive areas:
national park, wetland, productive
agricultural land,
archaeological/historical/cultural
site, protected area, areas
containing rare or endangered flora
or fauna, areas containing unique or
outstanding scenery, mountains or
developments on or near steep hillslopes, dry tropical forests, near
Lakes or beaches, damage to
wildlife and natural habitats, prime
ground-water re-charge areas or
areas of importance for surface run
off of water, areas vulnerable to
natural hazards e.g flooding,
landslides, tsunami, etc.
Social Sensitive areas: area
providing important resources,
livelihood or income for vulnerable
groups and indigenous peoples;
area that will displace significant
numbers of people, families or
communities.
Economic Sensitive Areas: high
Definition of Terms
Vulnerable groups
 Widows
 Children
 People with disabilities
 Elderly
 Dependents on a natural
resource for income e.g.
fishers, miners
Indigenous groups
To be defined from
Mvungi's report
Dr
105
population concentrations or
industrial activities where further
development could create
significant environmental problems
PART B: DETERMINING WHETHER ESIA IS REQUIRED OR NOT AT THE LGA
The Screener is to refer to chapter 6 (sections 6.3) on impact identification to guide them in
completing this section. The Screener is to tick "Yes" or "No" for each question. The project has to
score "Yes" for all the following questions for the Screener to determine that an ESIA is not
required.
*** to insert final checklist*****
PART C: DETERMINING WHETHER THE PROJECT WILL UNDERGO A
PRELIMINARY OR FULL ESIA FOLLOWING THE LGA ESIA PROCESS
*** to insert final checklist*****
Screening Results Form
Name of infrastructure project
Implementing ULGA department
Sub-Project Location
Screening Results
Final scores to determine whether subproject follows national or LGA ESIA
process.
Final Score to determine if an ESIA is
required or not
Final score to determine whether subproject undergoes a PEA or full ESIA
process
Responsible EMU staff:
Mtaa:
Ward:
Town:
Municipality:
Name:
Title:
Phone Number:
Email:
106
Signature:
107
TEMPLATE No 2: Environmental and Social Management Plan
(Reference: Chapter 7)
Anticipated Effect
Mitigation Measure(s)
Environmental impacts
Socio-economic impacts
Monitoring
Responsibility
Schedule
Cost and Source of
Funds
108
TEMPLATE NO 3: RAP Implementation Schedule
(Reference: Chapter 8)
[RAP team to add more rows and columns to the various actions to be undertaken and months for the timeframe as applicable. The month (s) a
particular action is to be implemented is highlighted by shading it a colour or by an "X"]
No
Action
Time frame
Jan
1
1.1
1.2
1.3
1.4
1.5
1.6
RAP Implementation
Awareness raising meeting
Mobilisation
Preparation of plots for resettlement
Compensation payments
Addressing Grievances and Dispute Resolution
Monitoring of RAP implementation
2
2.1
2.2
Procurement of Contractor
Etc
etc
3
3.1
3.2
3.2
Construction Works
etc
etc
etc
Feb
Mar
Apr
May
Jun
Jul
Aug
Sept
Oct
Nov
Dec
109
TEMPLATE NO 4: Table of cost/budget estimates for RAP
(Reference: Chapter 8)
Resettlement
Activity
Planning (RAP)
 Public
awareness
 Socioeconomic study
 household
survey
 etc……
Implementation
 Compensation
costs
 Resettlement
sites
 Etc……


Unit cost
Quantity
Contigency
(inflation. population
growth,etc)
Management &
administration,
Monitoring &
evaluation
TOTAL COST
Activity Cost
Source of fund
Responsibility
Timeline/Deadlines
110
TEMPLATE NO 5: Grievance Record Form
(Reference: Chapter 8)
No
PAP Ref.
No
PAP
name
Detail
grievance
of
Responsible ULGA
staff
Grievance solution
Date
grievance
resolved
Grievance forwarded to?
Date
forwarded
111
Form No 3: EIA Certificate Form
(Reference: Chapter 9)
Based on an approved EIS, the Minister Responsible for the Environment or any other person delegated by
the Minister will issue an EIA certificate following Form no. 3 in schedule 3 of the Environmental
Assessment and Audit Regulations, 2005
Application Reference No……………………………
Registration No……………………………………….
FOR OFFICIAL USE
THE ENVIRONMENTAL MANAGEMENT ACT, 2004
ENVIRONMENTAL IMPACT ASSESSEMENT
CERTIFICATE
This is to certify that Ms
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
………………………………………………..of
address…………………………………………………………………………………………………
…………………………………………………………………….has this day been granted an
Environmental Impact Assessment Certificate for the proposed project/activity titled:
…………………………………………………………………………………………………………
……………………………………………………………………Which is located at
…………………………………………………………………………………………………………
………………………………………………………………….. This certificate shall remain in
force during the whole lifecycle of this specific project unless henceforth revoked or
suspended.
General and specific conditions and terms attached to this certificate are set out overleaf.
……………………………………………………………………………………….
Dated this………………….day ………of 20……….
Signature…………………………………………..
Minister Responsible for Environment.
(OR Title of person delegated by the Minister)
112
Conditions of certificate
1. This certificate is valid for a period of ……………………. time within
which the project should commence) from the date thereof.
2. The Minister shall be notified of any transfer/variation/surrender of this
certificate.
3. Observe all relevant national policies and legislation that guide this
specific project throughout its life cycle.
4. Ensure safe disposal of all types of wastes (solid or liquid) in specified
sites.
5. Ensure environmental sustainability by avoiding any form of pollution
by using most viable management techniques.
6. Adhere to the Environmental Management Plan (EMP) and Monitoring
Plan (MP) and constantly improve and update them by taking into
account any new developments.
7. Constantly liaise with relevant authorities and consult stakeholders
including local communities in case of any new development or
changes as regards to implementation of your project plan or activities
8. Adhere to all proposed mitigation measures as specified in the
Environmental Management Plan contained in the Environmental
Impact Statement.
9. Abide to all national social and environmental safeguard policies and
standards and strive to maintain and constantly improve standards.
10. Prepare an Emergency and Contingency plan and put in place risk and
safety measures.
11. Conduct periodic Environmental Audits and facilitate monitoring by
relevant authorities.
12. Design and implement an internal Environmental and Safety Policy
and Awareness Programme.
13. Prepare Annual Environmental Reports and any other reports
requested by competent authorities and the government.
14. Obtain all other relevant permits.
113
TEMPLATE NO 6: Environmental and Social Monitoring Plan
(Reference: Chapter 10)
Potential impact
Proposed mitigation
measure
Monitoring
Parameter
Target
level/Standard
Environmental impacts
Socio-economic impacts
Public health and safety impacts
Monitoring
frequency
Status
Comments
114
TEMPLATE NO 7: ESMP Compliance Record
(Reference: Chapter 10)
Activity / Impact
E.g Dust / Air
Pollution
Proposed Mitigation
Measures from Original
Previous Compliance Status
(insert period last monitored
Current Compliance
Status
ESMP
e.g. July-Sept))
(insert period for current
monitoring e.g. Oct-Dec)
E.g. The exposed surface area
must be watered 2 times a day
3
1
Remarks
Action to be taken and by
whom
Problem of lack of sufficient
water when last monitored
solved.
Source: Adapted & (slightly altered) from Environmental Management Guideline for Road Sector (2004).
1.
Activity
Comply
with
Specification
2.
Not
at
a
stage
of
compliance
3.
Does
not
comply
with
Specification
4.
Does
not
apply
115
PART IV: MANUAL IMPLEMENTATION
116
12
CAPACITY BUILDING, TRAINING AND TECHNICAL
ASSISTANCE
Objective of this chapter is to delineate capacity building, training, and technical assistance required for each
ULGA under ULGSP to effectively implement this ESM Manual. As reiterated in chapter 4, to become
qualified for the tasks in the LGA-specific ESMS, the LGA officials and other actors need to receive
training.
This chapter firstly looks at the institutional needs to implement the manual. This is presented by
summarising institutional gaps identified for Environmental and Social Management (ESM), followed by
recommendations to strengthen the gaps. The chapter secondly presents an approach for training various
actors to build individual capacities to implement the manual. Lastly a budget template is presented that can
be used to prepare a budget required to provide capacity building, training and Technical Assistance (TA)
12.1 Institutional Capacity Building
An Environmental and Social Systems Analysis conducted in preparation for the ULGSP revealed the
following institutional gaps in terms of structure, legislature, human resources and budgetary resources:
A. Structure
i. ULGAs do not have fully fledged department/Unit responsible for ESM for infrastructure projects
ii. Insufficient coordination between staff involved in ESM and overall project development and
planning.
iii. NEMC Zonal offices are underutilised due to lack of staff and have insufficient budgets and
equipment to give the ULGAs technical guidance or to conduct monitoring.
iv. The officer for physical planning at regional level, who is also responsible for environmental
issues, does not have resources to offer technical guidance and monitor the ESIA activities in
the ULGAs.
v. Zonal offices for the ministry responsible for land and resettlement have only began to be
established with staff to easily provide services to ULGAs.
vi. Occupational health and safety not regularly enforced and monitored by ULGA staff, rather
dependant on Contractor Registration Board.
vii. Information disclosure of ESIA documents and public participation in ESM is weak therefore little
awareness or involvement of ULGA standing committees, Full Council and the general public in
ESM.
B. Legislature
i.
Environmental and Social management is still centralised: ESIA work is carried out by NEMC and
approvals at the Ministry responsible for the Environment45.
ii.
45
No resettlement policy for Tanzania exists that considers land users or occupiers (i.e. tenants,
squatters, mobile vendors, hawkers and encroachers) and that provides for livelihood restoration.
Vice-President's Office-Division of Environment (VPO-DoE)
117
iii.
Centralised process: Land valuation reports are all approved by the Chief government Valuer at the
Ministry responsible for Land46.
iv.
Not all ULGAs have effective by-laws that can assist them to enforce Environmental Management
Act (EMA) and other requirements
C. Human resources
i.
No all ULGAs have EMOs (or other sectoral staff) who are trained or experienced in environmental
and social management with respect to infrastructure development.
ii.
Registered Valuers are not present in all ULGAs and not all valuers have experience in World Bank
funded projects to understand the gaps between Tanzanian legislation and World Bank policies.
iii.
Though EMOs now have a budget code in the scheme of service, the employment of staff at LGAs is
still centralised
D. Budgetary Resources
i.
Lack of sufficient ULGA budget resources from own source revenue collections to pay
compensations timely.
ii.
Budgetary resources: funds rarely flow or are inadequate to carry out ESM functions in LGAs
12.1.1 Recommendations
Based on the above mentioned gaps, institutional strengthening recommendations are presented in terms of
structure, legislature, human resources and budgetary resources.
A. The institutional structure for environmental and social management
LGAs- specific ESMS requires 2 linked institutional structures to address environmental and social
management issues (and implement sub-projects’ ESMP/RAP where applicable)
i.
The national institutional structure and its authorities at all relevant levels
The LGA –specific ESMS does not propose a new institutional structure. If a project has been
identified through screening to follow the National ESIA process, the Registration Form and Project
Brief are to be submitted to NEMC via the regional secretariat and NEMC zonal offices. NEMC
would procure relevant experts to carry out the ESIA, review the report and submit it for approval to
the Director of Environment for approval by the Minister (Fig 2 below). PMO RALG and other
sector ministries would be involved to submit comments on the ESIA for approval.
46
Ministry of Lands Housing and Human Settlement Development ( MLHHSD)
118
ULGA IPS
ULGA ESMU
Regional Secretariat
NEMC Zonal Office
NEMC Head Office
for review
Sector Ministry
Environment Unit
Director for Environment
for Decision
PMO RALG
Minister for Environment
to issue certificate
Figure 2. Institutions in the National ESIA process
However the zonal and regional offices need to be strengthened by:

Increasing the staff base to have a team with multi-sectoral staff that either have an
educational background or have had training in Environmental Management.

Improving their basic equipment such as vehicles for travelling for monitoring, computers
for report writing and record keeping, basic water and air quality measuring equipments.

Allocating more funds for the implementation and enforcement of EMA to the regional and
zonal offices.

Involving the ULGAs ESM by giving them more implementation and supervisory
responsibilities to complement the gaps (Box 11-4 below).
Box 12-1 Proposed ULGA involvement for national ESIA process
Application for
ESIA certificate
 Submission of 3 copies of Registration form and 10 copies of
project brief to NEMC
Procurement of
experts
 Preparing the Terms of Reference for ESIA work and procuring
expert(s) from NEMC's list of registered experts
Reporting
 Reviewing reports produced by external expert before
submission to NEMC
Public
participation
 Facilitate external experts conducting ESIA or RAP in consulting
local residents, institutions etc.
 Publicise the project to community and make available
documents for public comment
 Disclosure of reports and plans after approval
Review of ESIS
for decision
 part of cross-sectoral technical advisory committee to advise it on
reviews of environmental impact assessment related reports
 Facilitate any site visits done by NEMC
Monitoring
 Monitoring the implementation and performance of the ESMP
during project implementation
119
ii.
The Urban LGA institutional structure
The LGA-specific ESMS proposes a new institutional structure if a project has been identified
through screening to follow the LGA ESIA process. The ESMS requires for a specific Infrastructure
Proponent Section to be identified for each project e.g. sector engineer who submits the Registration
Form and Project Brief are to be submitted to the ESMU. The ESMU then coordinates the review of
ESIA and RAP documents that are submitted with recommendations to the Council Urban Planning
and Environment Committee for a decision of approval and the DAS to issue a certificate.
The ESMU is suggested so as to establish a central point where ESM issues are handled, rather than
each ULGA designate these responsibilities to different departments. The ESMU is to be anchored in
the Economic Planning Department until each ULGA is able to increase their staff base and
competency to have the unit to stand independently.
IPS
Economic Planning Department
ESMU
PMO RALG
Council Urban Planning and Environment Committee
District Administrative Secretary
Figure 3. Institutional structure for LGA ESIA process
B. Existing laws, policies and regulations for environmental and social management
(including administering permits and licenses)
LGA- specific ESMS does not propose any changes to policy or legislation with respect to environmental
management, rather it supports the provisions in the Acts. More specifically:
i.
The ESMS requires the delegation of powers to the LGA. This is provided for in Section 94 of the
EMA that empowers the Minister to delegate powers of approval of Environmental Impact
Statements to the Director of Environment, Local Government Authorities or to Sector Ministries.
The person delegated by the Minister will approve the RAP47. It is recommended that PMO RALG
initiates a dialogue with NEMC and the Minister Responsible for Environment to implement the
delegation of powers.
ii.
The establishment or strengthening of ULGA by-laws for ESM. This is provided for in Section 80 of
the Local Government Urban Authorities Act that requires for every urban authority to make by-
laws to implement the Act and any function described in the Act or any other written law. It
is recommended that ULGAs with existing by-laws that emulate ESM principles and
47
The valuation report which forms part of the RAP will still be approved by the Chief Government Valuer. There are
currently no legislative provisions for the approval of the valuation report to be delegated to LGAs.
120
practices in this manual to be used as trainers for other ULGAs to prepare of strengthen their
by-laws.
The LGA- specific ESMS follows the World Bank principles for land acquisition, resettlement and
compensation, for which the national legislation does not complement on all aspects. It was however noted
during consultations with MLHHSD that the preparation of a Resettlement Policy has been initiated that will
consider World Bank practices. It is recommended that PMO RALG is involved in the development of the
policy by contacting the MLHHSD to offer their experience and knowledge in the World Bank Resettlement
Policy and RAPs from TSCP and UDEM.
(b) Human Resource Capacity
For each ULGA the following are numbers and qualifications of staff to carry out EMS responsibilities and
have relevant knowledge and experience to carry out environmental analyses and designing mitigation
measures for UPG infrastructure
Actor in the
Responsible
ULGA ESMS
Infrastructure
Proponent
Department /
Section
Environmental &
Social
Management Unit
staff
Engineer? or
Economic
Planner?
EMO
Number
Qualifications
Other requirements
Vary depending
on sector e.g
water, roads,
waste, etc
Minimum 1


Degree in relevant sector
Trained in project
management
Trained in ESMS

Degree in Environmental
Management/ Geography
and Environmental
Studies….48
If degree or diploma in
other relevant field
(Ecology, Natural
Resource Assessment,
Development Studies) then
has to have attended
course on ESIA
Degree in Sociology/
Development Studies…49


Trained in ESMS
Registered Expert
under NEMC


Trained in ESMS
Registered Expert
under NEMC
Trained in ESMS
Registered Expert
under NEMC

Environmental
Assessment
Team
Sociologist
Minimum 1

Other opted staff
e.g. health,
planner, etc
Vary depending
on nature of
project and EMO's
need to get
specialist input
1

Vary depending on nature
of project



1

Degree in engineering in
relevant sector
Degree/Diploma in
Ecology/ Natural Resource
Management/ forestry…
Attended course on ESIA
(either in degree or short
courses)
Educational Background
(Degree/diploma) in
Sociology/ Development
Studies…
Attended course on ESIA
(either in degree or short
courses)
Registered Expert under
NEMC
Registered Expert under
NEMC
Sector specialist
(i.e. Engineer)
Ecologists/Natur
al Resource
specialist

Sociologist
1


48
49
To add other degrees offered that have ESIA or ESM component
ibid
Registered Expert under
NEMC
121
RAP Team
Other common
specialists
include
Environmental
Engineer, Health
and Safety
Specialist,
Land/Urban
Planner
Land officer
Surveyor
Valuer
Will vary
depending on
nature and size of
project

1

1
1



Education background
(degree/diploma) in
specialised sector
Attended course on ESIA
(either in degree or short
courses)
Registered Expert under
NEMC
Degree in Land Use
Management/Urban
Planning/ Development
Planning
Degree in Land Use
Management/Urban
Planning/ Development
Planning
Degree in Land Valuation







Review Team for
Decision
Representatives
and community
leaders
Service Providers
CDO
1

Degree/Diploma in
Community
Development/Social
Development
Council Urban
Planning and
Environment
Committees
Councilors,
WEOs, MEOs
CSOs
1 committee

Elected leaders and ULGA
staff appointed to the
committee
External experts
in ESIA, RAP
and other sector
specialists
Contractors
Vary depending
on ULGA and
number of
wards/mtaa
involved in RAP
Will vary
depending on
ULGA's need
Will vary
depending on
ULGA's need


Trained in LGA
ESMS
Trained in RAP
Trained in LGA
ESMS
Trained in RAP
Registered Valuer
under Ministry of
Lands
Trained in LGA
ESMS
Trained in RAP

Registered Expert
under NEMC
 Trained in LGA
ESMS
 Trained in RAP
Trained in LGA ESMS
Elected community leaders

Trained in LGA
ESMS

Registered Expert or firm
of experts under NEMC

Aware of LGA ESMS

Registered by Contractors
Registration Board

Aware of LGA ESMS
(c) Budgetary resources to support the staff in their work
Apart from ULGAs strengthening own source revenue collections, they need to be supported by PMO
RALG to ensure that adequate budgets for ESM are allocated and reach ULGAs, and funding opportunities
are availed to the ULGAs.
The following sources of funds are currently available for ULGAs:
i.
LGDG system: Council Development Grants (CDG) that aims at enabling LGAs to implement
projects formulated in a participatory bottom-up planning approach and Capacity Building Grants
(CBG) is provided to enable LGAs to meet the costs of interventions that will enhance their
performance.
ii.
ULGSP capacity building funds
*** PMO RALG and WB to advise on any other donor resources available specifically for LGAs***
122
12.1.2 Institutional Development plan
Aspect
Action
Party Responsible
Timeframe
Cost
(TBD by PMO
RALG)
Structure
Introducing the LGA ESMS to
relevant staff/units/committees
PMO RALG
Before ULGSP
implementation
Constituting the IPS
ULGAs and PMO
RALG
Before ULGSP
implementation and
throughout Year 1
Constituting the IPS
Policies/
Meeting with NEMC, MLHSSD
legislation
and VPO-DoE to present the
LGA ESMS
ULGAs and PMO
Before ULGSP
RALG
implementation and
throughout Year 1
PMO RALG
Before ULGSP
implementation
Delegation of powers to LGAs
PMO RALG
Before ULGSP
implementation
Development/strengthening of
by-laws
ULGAs
Year 1 of ULGSP
Consultation with MLHSSD on
PMO RALG
progress of Resettlement
Policy
Human
Resources
Staffing – hiring relevant staff
PMO RALG
 Before ULGSP
implementation
 Year 1 of ULGSP
Before ULGSP
implementation and
throughout ULGSP
where applicable
Staffing- training relevant staff
PMO RALG and
external trainers
Before ULGSP
implementation and
throughout ULGSP
where applicable
Budgetary
Capacity Building and
World Bank and PMO
resources
Development Grants to
ULGAs
RALG
12.2 Training
The following training and TA needs for the various participants involved in implementing the ESMM have
been identified and a proposed training plan is presented.
12.2.1 Training Objectives
The objective of the training under the ESMM is to:
 support staff of the various urban LGA departments and sections relevant to infrastructure (IPS)
supported under ULGSP to prioritise their needs, and to identify, prepare, implement and manage the
environmental and social aspects of their subprojects;
123


ensure that LGA ESMU and Environmental Assessment Team and have the capacity to assist Sector
Departments (IPS) in preparing their subproject proposals, and to appraise, approve and supervise
the implementation of subprojects; and
strengthen local Service Providers to provide technical support (including ESMPs, RAPs) to LGA
Environmental Assessment Team in preparing their subprojects.
12.2.2 Training Needs Assessment
Linkages between environmental and social
management and sustainable urban development
Local EA legislation and relevant environmental
policies
Potential localized impacts of subprojects and
suitable mitigation measures
Addressing and land acquisition and access to
resources through resettlement planning and
compensation
Environmental and social planning and integration in
project design.
The LGA ESM System, its procedures, resources
and requirements
Methods of community involvement
Grievance Redress
Preparation of Terms of Reference
Community Leaders/
Workers
Government
Approval Authorities
IPS
EMSU
Training Requirements for Various Groups of
LGA ESMS
Impact Assessment
and RAP Teams and
As part of ULGSP Project preparation, a Training Needs Assessment (TNA) and training effectiveness
needs to be carried out. The TNA will consider all participants (LGA staff, representatives and community
leaders who will have responsibilities for implementing the ESMM. The needs assessment will distinguish
among their different skills development / training needs in terms of:
 Awareness-raising for representatives and community leaders who need to appreciate the
significance or relevance of environmental and social issues.
 Sensitisation to the issues for approval authorities who need to be familiar enough with the issues
that they can make informed and specific requests for technical assistance; and
 Detailed technical training for LGA Sector staff and Impact Assessment Teams, who will need to
analyze potentially adverse environmental and social impacts, to prescribe mitigation approaches
and measures, and to prepare and supervise the implementation of management plans (including
community participation methods; environmental analysis; preparing ESMPs, RAPs, etc.; reporting;
and subproject supervision and monitoring).
T
T
T
S
A
T
T
T
S
A
T
T
T
S
A
T
T
T
S
A
T
S
S
A
S
T
T
T
T
S
T
T
T
T
T
T
T
T
S
S
T
S
A
S
A
Legend: T = Detailed training, S = Sensitisation to the issues (understanding key issues),
A = Awareness-raising (appreciation)
124
12.2.3 Training Plan
The following training plan distinguishes among the various participants (e.g. LGA officials, community
leaders (Councillors), and between their needs for general awareness raising versus and more specific
training.
The training plan includes:
 Detailed workshops to address the key training needs,
 Review workshops to assess the performance of staff and the ESMS and identify additional
training/capacity building needs
 Refresher training workshops to update the staff on any new aspects in the ESMS and remind of key
issues.
The review and refresher workshops have been suggested annually to also accommodate for staff turnover in
the ULGAs. In addition training materials to be provided should be detailed enough to allow for training-oftrainers (TOT) components i.e. trained staff in the ULGAs can train other staff depending on the needs.
Outline of a Training Plan for the various groups in the LGA ESMS
Participants
IPS and ESMU
Impact Assessment and
RAP Teams
Local government
approval authorities
Community leaders
(Councillors, WEO, MEO)
Duration and Format
5-day workshop
1-day ESMS review workshop
2-day refresher workshop
5-day workshop
1-day ESMS review workshop
2-day refresher workshop
1- day workshop
½-day refresher workshop
1-day workshop
Frequency
Year1 of the Project
Annually after Year 1 and
Annual Reviews
Annually after Year 1
Year 1of the Project
Annually after Year 1 and
Annual Reviews
Annually after Year 1
Year 1 of the Project
After Year 1 as needed
As needed throughout the
project
12.2.4 Technical assistance (service providers)
Technical Assistance by external service providers is proposed specifically to
1. Provide on-job training/job-shadow opportunities to LGA staff
2. Update the manual or provide further guidelines for the various groups in the ESMS:
 ESMU: Project screening, review, monitoring
 IPS: Registration/application, integrating into project design,
 LGA Environmental Assessment Team: Impact identification and mitigation, reporting, subproject guidance
 RAP Team: preparing and implementing RAP, relocation and livelihood restoration activities,
monitoring and reporting
125
12.3 Budgets and expenditures Template
Table 18 overleaf, adopted from the World Bank's Environmental and Social Management Framework, can
be used to identify and plan expenditures related to institutional development and training.
126
Table 18. Example of implementation budget for a Five-Year Project
Implementation budget for a Five-Year Project (insert currency)
Activity
Year
1
Institutional Capacity Building
The institutional structure
laws, policies and regulations
Human Resource Capacity
Budgetary resources
Training
IPS and ESMU
Impact Assessment and RAP Teams
Local government approval authorities
Community Representatives
Technical Assistance
Updating guidelines for specific groups
On job training and job shadows
Allowances
Annual Reviews
2
Total
3
4
5
Notes
127
GLOSSARY OF TERMS
*** to keep updating***
Abattoir
A slaughter house designed for the purpose of killing animals,
skinning, dressing and cutting up of carcass, wrapping for sale for
human consumption with cooler and freezer storage and includes
indoor confinement of animals while awaiting slaughter but shall not
include any cooking or process related to processing plants such as
smoking, curing or the manufacturing of meat by-products or any
process related to rendering plants such as the manufacture of tallow,
grease, glue, fertilizer or any other inedible product.
Compensation:
Payment in cash or in kind for an asset or resource that needs to be
acquired for the purposes of the project, or is in some way affected by
the project.
Land clearing
Includes tree felling and stump removal works carried out for soil
occupation and ground development on land previously covered with
woody vegetation.
Monitoring
Following on activities during mobilisation, construction, and
operational phases of project implementation to ensure that the
proposed mitigation measures are implemented as required and that
project impacts are not greater than those predicted in the impact
assessment.
Physical displacement:
The actual physical relocation of people resulting in loss of shelter
productive assets or access to productive assets.
Project Affected Person (PAP)
A person or institution who loses his/her/their right to own, use
or benefit from a structure, property, house, land, crops, trees or
any other fixed or moveable assets as a result of the project. This
loss may affect an asset in part or in full, and it may be
temporary or permanent.
Resettlement:
A term used to describe the process of physical displacement of
project affected persons and properties in order to re-establish
lifestyles and livelihoods.



Rural resettlement results when part or all of a farm,
pasture or grazing area is to be acquired for the project. In
this case the RAP has to address the issue how loss of
income due to the loss of assets can be restored.
Urban resettlement occurs when populations in urban and
peri-urban areas are physically or economically displaced.
Urban resettlement poses more problems because of a
general lack of alternative sites for relocation.
Linear resettlement is most common type of resettlement
associated with road projects. In urban areas where
128

settlement is dense and located very close to the road or
within the construction corridor, upgrading of a road may
necessitate the demolition of a large number of houses and
structures.
Site specific resettlement refers to a discrete non-linear site
that must be acquired for the project.
Resettlement Action Plan (RAP)
A plan prepared as part of an EIA process to address the issues of
involuntary resettlement, compensations and rehabilitation of people
and communities affected by a project. It outlines the proposed
resettlement, its impacts on the Project Affected Persons and their
entitlements and legal issues involved in resettlement.
Stump removal
Consists of removing stumps to a minimum depth of 300 mm below
the surface.
Tree felling
Consists of entirely removing trees of all dimensions, solitary or not,
shrubs, branches, undergrowth, and deadwood
Grading
Modifying the topography of the ground to give it a form
corresponding to the geometrical characteristics of the planned road
129
REFERENCES
Reports
GOLD, 1999. Improving Dumpsite Operations with Limited Budget. The Local Governance Technical Notes
Series by the Governance and Local Democracy (GOLD) Project-USAID.
Joseph K and Visvanathan, C., undated. Dumpsite Rehabilitation. www.faculty.ait.ac.th
Manuals and Guidelines
Environmental Code of Practice for Road Works, 2009, Ministry of Infrastrcuture Development,
Government of Tanzania.
Farmers Market Guidelines, 2009. Manitoba Agriculture Food and Rural Initiatives.
www.gov.mb.ca/health/publichealth/environmentalhealth/index.html
Retail Markets Planning Guide, 1995. Rural Infrastructure and Agro-Industries Division, Food and
Agriculture Organisation of the United Nations. http://www.fao.org/ag/ags/rural-infrastructure/marketinfrastructure-and-management/en/
Road Sector Environmental Assessment and Mangement Guidelines, 2011, Ministry of Works,
Government of Tanzania
Solid Waste Management Manual: Pilot Development Strategy. The Tanzania Sanitation Project.
www.tanzaniasanitation.org
Training Modules: Closing of an Open Dumpsite and Shifting from Open Dumping to Controlled
Dumping and to Sanitary Landfilling. UNEP-IETC and the Department of Environment and Natural
Resources (DENR) of the Philippines.
Wholesale Markets Planning and Design Manual, 1991. Rural Infrastructure and Agro-Industries
Division, Food and Agriculture Organisation of the United Nations. http://www.fao.org/ag/ags/ruralinfrastructure/market-infrastructure-and-management/en/
World Bank References
World Bank Environmental and Social Management framework Template
World Bank Resettlement Policy Framework
World Bank Operational Manual. http://go.worldbank.org/DZDZ9038D0
130
IFC References (www.ifc.org/enviro)
Handbook for Preparing a Resettlement Action Plan. IFC Environment and Social Development
Department
Environmental, Health and Safety General Guidelines. IFC Environment and Social Development
Department
131
APPENDIX A: Detailed Legislative Requirements
All sub-projects that will be implemented under LGA shall comply with relevant national environmental and
social management requirements as well as the World Bank Safeguards Policies applicable to UPG and its
infrastructure sub-projects. These provide enabling environment within which the Manual will be developed
and will be used.
In recognition of the importance of natural resources to Tanzania economy and way of life, the country has a
comprehensive body of environmental law. The detail of the law is contained in a number of important Acts
and Regulations, many of which have been recently promulgated as older laws in the country are being
revised to reflect the relatively new privatization policy and following the general global trend for greater
focus on environmental protection, particularly in relation to natural resources utilization and loss of
biodiversity; and to energy production and global warming.
The environmental legislation has, to date, been limited in effectiveness by the lack of traditional judicial
intervention to address environmental issues.
Infrastructure investments under the UPG programme may be established in all sectors of economy. As such
several sectoral legislations will have bearing on the development and operations of the individual project.
The majority of the sectoral legislations require the project proponent to respect the environmental integrity
and recommend that environmental impacts should be carried out in order to achieve that. The following are
considered to be the principal Acts that need to guide the LGAs presented under 5 main headings:
1.
2.
3.
4.
5.
Framework Policies and Legislation
Land and Land Use Laws
Other Relevant Environmental and Social Laws
Urban Local Government
Laws Relevant to Infrastructure Development
1. FRAMEWORK POLICIES AND LEGISLATION
Environmental management and governance in Tanzania is underpinned by several key legislations that
provide the framework for more detailed regulatory instruments. The below are the key framework Acts:
1.
2.
3.
4.
5.
The Constitution of the United Republic of Tanzania, of 1977
National Environmental Policy (1997)
Environmental Management Act, Cap 191
Registration of Environmental Experts Regulations, 2005
The Environmental Impact Assessment and Audit Regulations, 2005,
132
The Constitution of the United
Republic of Tanzania of 1977
(Cap 2 of the laws)
Section
Article 13 (1): All persons are
equal before the law and are
entitled, without any
discrimination, to protection and
equality before the law
The Constitution does not have a specific Article which defends the right to clean and safe environment directly, but there are Articles which can be construed to fit the
scenario. The constitution has irrevocable provisions for the rights for a person to own property, for its protection and to fair and adequate compensation when deprived
of the property
This revised edition of the Constitution of United Republic of Tanzania of 1977 incorporates and consolidates all amendments made therein by the Constituent
Assembly in 1977 up to 31st December 2008, and it is printed and published under section 4 of the Law Revision Act, chapter 4.). The constitution is the mother law in
the sense that all laws should get legitimacy from it. It is the supreme law in such that all other laws must not be construed to be held to be repugnant or inconsistent
with its provisions and principles. It is the tool that guarantees basic rights and ensuring that all human rights are preserved and that the duties of every person are
faithfully discharged.
Applicability
 Though it is not directly promulgated in the constitution in respect of environment, any aggrieved person on issues related to environment can take the matter before
the law
Article 13: Equality before the Law
Article 14: Right to Life
Article 18: Freedom of Expression
 By revealing that every person has the right to live and to the protection of his life by the society in accordance with the law. Then a person has right to safe
environment.
 Article 18 on Freedom of Expression is a broad concept that may be construed to encompass freedom of expression on all matters related to the environment.
(Article 18(a), (b), (d)
 Article 18 (b): Every person has a freedom of opinion and expression of his ideas.
 Article 18 (b): Every person has a right to seek, receive and, or disseminate information regardless of national boundaries.
 Article18 (d): Every person has a right to be informed at all times of various important events of life and activities of the people and also of issues of importance to
the society.
 Article 24(1): Every person is entitled to own property, and has a right to the protection of his property held in accordance with the law.
 Article 24 (2): Subject to provisions of (1) it is unlawful for any person to be deprived of his property for the purpose of nationalization or any other purposes without
the authority which makes provisions for fair and adequate compensation
Article 24: The Right to Own
Property
 Article 24(1): Entitlement to own
property
 Article 24 (2): Compensation to
person deprived of property.
Authority
 Ministry of Ministry of Justice and Constitution Affairs
133
The National Environmental
Policy (1997)
Section

The NEP recognizes investments as the major source of income and employment in Tanzania but also source of environmental challenges. Paragraph 62 states that
“…. As a means of exploiting resources, direction of investment and orientation of technological development shall be in harmony and enhance both the current and
future potential to satisfy human needs and aspirations". NEP recognizes Environmental Impact Assessment as a strategic tool to achieve that and directs the
establishment of a legal regime requiring EIA to be mandatory for all development projects.
Applicability




Authority
 Ministry responsible for Environment (Vice-President’s Office- Division of Environment)
134
The National Environmental
Management Act Cap 191 (2004)
Section
Rights and Duties
Section 4(1): Every person living
in Tanzania shall have a right to
clean, safe and healthy
environment
Section 5: Right to bring an action
on environment:
The Act was enacted with a view of providing for legal and institutional management of environment. It provides basics for implementation of the National
Environmental Policy. It further outlines principles and best practices for management of environment, impact and risk assessment, environmental quality standards,
public participation, compliance and enforcement. The Acts outlines rights, duties, and powers to individuals and institutions at all administrative levels. It repealed the
National Environment Management Act, 1983 to provide for continued existence of the National Environmental Management Council. EMA provides for
establishment/or delegation to officers and committees at urban LGAs for environmental management within area of jurisdiction and provides for other environment
related matters.
Applicability
 Every person has the right to live in an environment not detrimental to his/her health and safety and livelihood
 Section 4: A person whose rights is violated, or being threatened to seek remedy, to prevent, stop or compel any public officer take measure against such violation




Sub-section (5(2): directs that on-going activity or omission be subjected to an environmental audit or monitoring;
Sub-section (5)(2)(e): directs restoration of degraded area to original state;
Sub-section (5)(2)(f): directs compensation for victims of harm or omission and lost benefits as a result of an activity.
Sub-section (5)(3): outlines the principles of environment and sustainable development to guide Administrators of Justice including: Precautionary Principle, Polluter
Pays Principle etc.
 Duty to every person to safeguard, enhance and to report harm to the environment.
Section 6. Duty to protect the
environment
 Section 9: Promotion of the
 Obligation to all (including LGAs) to have regard and promote the National Environmental Policy.
National Environmental Policy
Administration and institutional arrangement
The Act provide for administration and institutional arrangements for environmental management in the country by putting clear all bodies responsible for environment
 Section 11 through to Section
from national level to local level (Details see section 3.4 of this Manual)
41
 Section 42- Environmental
 Requires the Local Government Authorities to prepare Environmental Action Plan that conforms to the National Environmental Plan and has involved the public.
Action Plans
Protection of environmentally sensitive areas and habitats
Part V (a) and (b):
 Provides for area of land which is ecologically fragile or sensitive to be declared as an Environmental Protected Area taking into consideration: natural features, flora
Environmental Protected Areas
and fauna, unique of special geographical, physiographical, ecological, biodiversity, scientific, historical and cultural features, interests of the community I or around
the area, interests of the public and compliance to any international agreements
Part V (c): Sections 50 to 79
 The Act outlines environmentally sensitive areas and habitats that require special attention. these include: areas declared by the LGA, swamps, erosion prone area,
Conservation and Protection
landslide areas, steep slopes, semi-arid land, areas closed by Minister for specific activities, rivers, river banks, lake, lakeshores, wetland, environmentally sensitive,
coastal shorelines, land declared by an LGA,
The act provide actions for management of dangerous materials and processes, hazardous chemical and pesticides, persistent organic pollutants, atmosphere and

climate change, land utilization / use and planning, energy conservation, discharge of sewage, and cleaner production and sustainable consumption of goods and
services.
 (Details see specific sections … of this Manual)
Environmental impact assessment and other assessments
Section 81: Obligation to
Directs Developers to subject (at own cost) all new development projects and initiatives (including projects funded by the Government) to EIA study.
undertake EIA
It is an offence to commence, finance, permit or license a project without EIA certificate (Section 81(2 – 4).
Sections 83 - 94: EIA process
 Section 83 EIA conducted by registered experts: a person or firm offering services to undertake environmental assessments must be registered and certified by the
including screening, assessment,
Registrar at NEMC.
review and approval
 Section 84 Determination of scope of the EIS by NEMC in consultation with Developer.
 Section 87 - 90 Review of EIS: Require site inspection during review, participation of a Cross-Sectoral Technical Advisory Committee, the public, and public hearing
135
Sections 97 - 98: Conditions &
and information disclosure.
 Section 92: Approval / disapproval of EIS by Minister
 Section 94 Empowers the Minister to delegate powers of approval of EIS to Director of Environment, Local Government Authorities or to Sector Ministries.
 Section 95 Appeals to Environmental Appeals Tribunal on approval / disapproval of EIS by Minister
Section 97 Minimum Conditions: Confers the power to the Council to conduct, afresh an EIA study at any time. Non compliance can lead to revocation of an on-going
project/activity or fine or both.
offences
Sections 100 – 102: Audits &
monitoring
 Section 100:Requirements for undertaking Audit for existing development projects
 Section 101: Requirements for Monitoring for compliance
 Section 102:Requirements for undertaking decommissioning and site rehabilitation
Management of wastes and
hazardous substances
Part VIII: Pollution prevention and
This part stipulates acts that are prohibited e.g. water pollution, discharge of hazardous materials and chemicals.
control.
Part IX: Sections 114, 120, 123,
The sections deals with management of all forms of wastes
130 and 133 Solid, litter, liquid,
gaseous and hazardous wastes
respectively.
Part X:Environmental Quality
Standards
Part XIV: Public Participation in
Environmental Decision making
Part XV: International Agreements
Part XVI: Compliance and
Enforcement
Authority
 Ministry responsible for Environment (Vice-President’s Office- Division of Environment)
 National Environment Management Council
136
Environmental (Registration of
Environmental Experts)
Regulations, 2005
Section
Regulation 14 - 17; 22 - 24 :
Registration & Certification
Regulation: 5 - 13 & 22 – 23:
Authorities
Applicability
 Regulation 14 prohibits any person to conduct an environmental impact assessment, audit or related studies unless the person is certified /registered; otherwise the
Council shall not deliberate on such study, statement or audit (Regulation 15 (1)) or project brief (Regulation 15 (2))
 Regulation 17 requires qualifications to include: First degree or equivalent in relevant discipline awarded by recognized University or institution; three referees; no
professional or disciplinary offense.
 Regulation 24(2) allow registered person to use in any communication the title “ Certified Environmental Assessor” or “ Certified Environmental Auditor”
 Regulation 26(1) Firms registered under other laws apply as consulting Firm of Environmental Experts comprised of a multi-diciplinary team (Regulation 24(4).
 Regulation 5 - 13: the Committee of Environmental Experts established to advise the Council on registration, practice, and conduct of Environmental Impact
Assessors and Environmental Auditors; professional standards, ethics and integrity.
 Regulation 22 - 23: Registrar of Environmental Experts: designated or appointed Staff of the Council to maintain Register (names, certificates, renewals)
Authority
 National Environment Management Council
137
Environmental Impact
Assessment and Audit
Regulations, 2005
Section
Regulation 4: Requirement to
submit a certificate of
Environmental Impact
Assessment.
(Part III) Regulation 6 - 8:
Project Registration and Screening
(Part IV) Regulation 12-17:
Environmental Impact Assessment
(Part V) Regulation 18 & 19:
Environmental Impact Statement
(EIS)
(Part VI) Regulation 22 & 28:
Review Process of EIS
(Part VII): Decision of the Minister
(Part VIII): Access to EIS and
Information
(Part X): Audit
(Part XI): Monitoring
Regulation 60 - 65:
(General Provisions)
The Regulations have been promulgated as response to implementation of the Environmental Management Act Cap 191 as per Section 82 (1) and 230 (2) which
conferred the Minister to make regulations and guidelines on how Environmental Impact Assessment shall be conducted. Therefore they are regulations to give effect
to the provisions of the EMA.
Applicability
 Prior to the implementation of the project the developer is required to submit a certificate of Environmental Assessment to the licensing Authority. Any Authority is
prohibited to issue license / permit without EIA authorization.
 Developer is tasked with registration of project (Regulation 6,7); while NEMC assign environmental assessment category to the project using set of screening
criteria. Project may fall under List A of projects for which ElA is mandatory or List B of projects requiring a Preliminary Environmental Assessment.
 Screening requires (Regulation 8) participation of relevant institutions or local government environmental management officer or regional secretariat.
 These are requirements for conduct of environmental assessment procedure and steps for undertaking EIA study. Specific requirements include:
 Scoping and TOR approved by NEMC to guide the EIA study;
 EIA conducted by registered experts;
 Consideration of social, cultural and economic aspects /impacts of project;
 Provision of all opportunities for the public (any person who is likely to be affected or any interested party) to participate.
 Stipulate content and format of EIA reports and requirement for inclusion of a non-technical executive summary in English and Kiswahili languages.
 Requirements for review of EIA reports by various stakeholders: NEMC / Cross-Sectoral Advisory Committee /relevant Ministries, institutions and general public
using stipulated review criteria. Regulations 26 – 28 are provisions for public hearing when deemed necessary.
 Minister Responsible for Environment is the only authority empowered to issuing of decision letter on EIS and EIA Certificate for approved registered projects.
 Documents that are outputs of the EIA process are deemed to be public documents accessible to all.
 Procedures for undertaking Audit for existing development projects Procedures for environmental monitoring and reporting
 Offences - to conduct project without EIA approval; failure to prepare and submit to NEMC project brief, EIS, Audit or make false statements in the documents.
 Appeals - to Environmental Appeals Tribunal on refusal to grant or transfer EIA certificate, and imposition of other conditions, fees and costs.
 Delegation of powers – R. 65 (1) Minister is empowered to delegate powers of approval of EIS to Director of Environment, Local Government Authorities or to Sector
Ministries; R. 65 (2) NEM may delegate its powers to any Local Government Authorities or to Sector Ministries.
Authority
 National Environment Management Council
Adequacy
 Mitigation of impacts arising from land acquisition and fulfilment of compensation procedures NOT included as key project approval criteria.
138
APPLICATION FOR EIA CERTIFICATE & REGISTRATION
No EIA required
PRELIMINARY
Preliminary EIA
Required
SCREENING
ASSESSMENT
EIA required
IMPACT ASSESSMENT
Scoping, ToR, and
Screening Report (SR)
PER/SR for full EIA
Preliminary Environmental Report
(PER)
Full EIA study
Draft Environmental Impact Statement
(EIS)
PER/SR Insufficient
Public hearing required
REVIEW
Public hearing report
Revised EIS/PER
EIS
REVISION
PUBLIC
HEARING
EIS
EIS/PER not approved
DECISION
Insufficient
EIS/PER approved
EIS FINALISED
PERMIT
DECLINE
D
PERMIT
ISSUED
IMPLEMENTATION
Environmental Report
(ER)
MONITORING
KEY
NEMC action
Proponent action
Environmental Auditing
Report (EAR)
Decommissioning Report
(DR)
Figure A-1: Steps in the National ESIA process
AUDITING
DECOMMISSIONG
Public action
Minister decision
139
2. LAND AND LANDUSE LAWS
Tanzania has a set of solid policy, legal, and institutional frameworks for management of land and property
acquisition and compensation in urban areas. First, basic principles recognizing ownership of lands and
resources is enshrined in the National Constitution (Article 24), the Land Policy and Land Acts. These are
further defined in local laws and by-laws. Urban LGAs will apply the following laws, legislation,
regulations, and local rules governing the use of land and other assets in Tanzania.
 National Constitution (Article 24), 1977
 Land Acquisition Act, Cap.118 R.E.2002
 The National Land Policy, 1997
 The Land Act, Cap. 113 (Of 1999)
 Land (Assessment of The Value of Land For Compensation) Regulations, 2001
 The Land (Compensation Claims) Regulations,2001
 Courts (Land Disputes Settlements) Act, 2002,
 The Urban Planning Act, 2007
 Land Use Planning Act, Cap……………
 Provisions on Land and Land Use in Other Acts
The acts related to land and land use are collectively address five main aspects:
(i)
Property and land rights, as defined by statutory and customary practice;
(ii)
Acquisition of land and other assets, including regulations over the buying and selling of these
assets;
(iii)
Rights and compensation, in particular, the accepted norms influencing peoples’ basic rights to
livelihood and social services;
(iv)
Dispute resolution and grievance mechanisms, specifically the legal and institutional
arrangements for filing grievances or complaints and how those grievances are addressed
through formal and informal systems of dispute resolution; and
(v)
Use of land and contained resources
140
THE LAND ACQUISITION ACT
Cap. 118 R.E 2002
The Land Acquisition Act is the principal legislation governing compulsory acquisition of land in Tanzania. It repealed and replaced the Land Acquisition Ordinance
(1923), and empowers the President to acquire land for public purposes (i.e. in connection with housing schemes) and provide the procedures to be followed when
doing so.
Section
Applicability
Compulsory acquisition of land for public purpose
Section 3 & 4: Powers of
 The President is empowered to acquire any land for any estate or term where such land is required for any public purpose.
President to acquire lands for
 Section 4 (1) (a-g) defines circumstances in which the land is acquired for public purpose including: exclusive government scheme; development of agricultural,
public purpose
industrial, commercial, social services or housing, or in connection with sanitary improvement such as reclamations; laying out or extension or improvement of a new
city, municipality, township or minor settlement, airfield, port or harbour; mining for minerals or oil.
Payment of compensation
Section 11: Government to pay
 Section 11(1) and (2): the Government is bound to pay monetary compensation to person entitled, interested or claim to be interested after notifying them and with
compensation
their consent.
 President gives a six weeks notice, which can be shortened without explanation; after expiration of the notice period the President is entitled to enter the land even
before compensation is paid
Section 12 (3): Compensation
 Compensation to (i) value of the acquired land (ii) unexhausted improvements on the land; and (iii) land immediately prior to its acquisition was being used as a
package
cemetery or a crematorium or for any purpose other than for gain or profit or personal occupation.
 Section 12 (1) excludes compensation to a vacant ground, or such improvement as land clearing, ploughing, leveling; and fencing or hedged or consisting of a
cleared or partially cleared site of some former development; Section 12 (4) )
 The government may, with agreement of the person entitled, in addition or in lieu of cash compensation give alternative land – (compelled in cases e.g. where land
was used as a cemetery)) of same value, held under same terms, within same LGA as the land acquired (unless affected person consents for elsewhere.
Section 13: Disputes as to
 Disagreement relating to any of the following matters: (a) amount of compensation (b) the right to acquire land (c) in identify persons entitled (d) the application of
compensation
Section 12 to the land.
 If dispute is not settled within six weeks from the date of publication, the Minister may or any person holding or claiming interest may institute a suit in the court
(High Court of Tanzania) for the determination of the dispute. Every suit instituted is governed by the Civil Procedure Code. Decree of the High Court of Tanzania
may be appealed against to the Court of Appeal.
Valuation for compensation
Section 14: Assessment of
 Assessing for compensation shall take into account value of such land at the time of publication without regard to any improvement/work made thereon thereafter,
compensation
 take into account the damage. if any. sustained by the person having an estate or interest in the land by reason of the severance of such land from any other land or
lands belonging to the same person or other injurious effect upon such other land or lands;
 when part only of the land is acquired, take into account any probable enhancement of the value of the residue of the land by reason of the proximity of any
improvements or works made /or to be constructed
 not take into account any probable enhancement in the value of the land in future
 not take into account the value of the land where a grant of public land has been made in lieu of the land acquired;
Section 15: Interest
 Where the president has entered the land before compensation has been paid; the Court or the Minister shall pay interest thereon at the rate of 6 % per annum.
Adequacy
 Other land laws i.e. Village Land Act, Urban Planning Act 2007, Land Use Planning Act 2007 and others50 Roads Act 2007, have provisions related to land acquisition, but they will always refer back to
the Land Acquisition Act and the Land Act.
 The act (Section 12 (1)) stipulates that no compensation shall be awarded in respect of land which is vacant ground, or such improvement as land clearing and fencing. This has been rectified by the
Land Act, Cap. 113 which overrides / clarifies and adds certain aspects to be considered when determining the compensation package for compulsory land acquisition.
 Shortening of six weeks notice without explanation and President entitled to enter the land in question even before compensation is paid after the expiration of the notice period.
 Where there is a dispute, the government tries to reach an amicable solution through persuasion.
50
The Constitution of the United Republic of Tanzania of 1977 (as amended), the National Land Act (No. 4 of 1999), Village Land Act (No.5 of 1999), Land
Regulations 2001 Subsidiary Legislation, Land Acquisition Act (1967), Land Ordinance (1923 Cap. 113) and Town and Country Planning Ordinance (1956 Cap. 378)
contain provisions related to land tenure and ownership in Tanzania.
141
THE NATIONAL LAND POLICY
1997
Section
Land Tenure
Land is graded as a constitutional
category
Type and characteristics of land
tenure for public land
Due to changes in land uses and increase in human population, growth of livestock, increased awareness on value of land, adaption of political pluralism and affirming
customary tenure the National Land Policy is introduced to bring about land dispensation in a responsible and orderly fashion to cater for various needs in land tenure,
landuse management and administration. The Land Policy provides key guiding policy directives on land tenure; land allocation, access, and protection; value to land;
compensation; dispute settlements; and urban land use.
Applicability
 4 basic land policy tenets: Land is public and the President is vested power as a trustee on behalf of citizens; Land has value; Land is unalienable; and Full, fair and
prompt compensation to be paid in case of land acquisition.
 Right of Occupancy type of land tenure.
 Dual system of land tenure: Customary Rights of Occupancy and Statutory Rights of Occupancy, both equal before the law
 Three types of Rights of Occupancy: through Direct grant; or through relevant customary procedures; or through legally designated allocating authorities.
 Tenure rights to land can be held by individuals and by communities.
 Term of tenure: Statutory Right of Occupancy tenure of varying period (33, 66, 99) not exceeding 99 years; Customary rights no term limit.
 Confirmation of Right of occupancy Statutory: Right of Occupancy confirmed by Certificate of Title; Customary Right of Occupancy confirmed by “Hati ya Ardhi ya
Mila” issued by Village Council;
 Communities (Villages) are allowed to hold land and to manage it, although they do not formally own the land.
Land Allocation, Access and Protection
Access to all citizens
All citizens have equal and equitable access to land.
 Allocation of land to be done after fully surveyed and approved by the Director of Surveys and Mapping
Protective of sensitive areas
 Policy prohibits allocation of sensitive areas to individuals including water catchment, small islands, border areas, beaches, mountains, forests, national parks, river,
river basins and banks, seasonal migration routes of wildlife, national heritage and areas of biodiversity.
Land Value and Compensation
Land has values
Policy put clear that land value should be recognized in all transactions affecting that land and assessment of land rent.
Compensation based on
 Compensation of land acquired in the public interest to take account of: market value of the real property; disturbance allowance; transport allowance; loss of profit
opportunity cost
or accommodation; cost of acquiring or getting the subject land; any other costs or capital expenditure incurred to the development of the subject land; interest at
market rate if compensation is not paid promptly in time.
Dispute Settlement Machinery
Use of and strengthening existing
 Start from “Mabaraza ya Wazeeya Ardhi” to quasi-judicial bodies at the district, regional and national levels with appeals at the High Court on points of law.
quasi-judicial bodies
Urban Land Use
Control of lateral expansion of
 Promote compact development and vertical extension of buildings.
towns
 Development of urban land use and development plans aim at more intensive use of urban land
 Statutory boundaries of towns set according to needs for additional land for growth; rate of population increase; and financial, technical and organization capacity of
urban authority
Controlled land uses
 Protection of public open spaces and other urban land for public use: all sites set aside for public activities in urban areas including open spaces, sites for schools,
public utility easements and other community are protected from encroachers and used for intended purposes only.
 Urban agriculture: the government to regulate the conduct of urban agriculture and ensure it does not disrupt planned urban development.
 Protection of hazard lands from developments in towns: the policy prevent building on hazard lands and all fragile environments including river valleys, areas of
steep slopes, mangrove swamps, and marshland.
Strategic planning for urban
development
Institutional Responsibilities
Authority over land
 Do away with Master Plans and adopt contemporary planning strategies based on Strategic Plans, Rapid Appraisal and Land Use Plans for urban land
development, environmental management, and in the provision of housing, and infrastructure and services.
 Issuing of licenses, permits, claims and rights for exploitation of natural resources (mining, water rights, timber harvesting etc.) guided by Land use and land tenure
rights and environmental conservation policies.
 Minister responsible for Lands is sole authority over all land matters
 Commissioner for Lands is sole authority responsible for land administration. The Commissioner may appoint officers at the appropriate levels of government to
administer land other than village land.
 LGAs (work with Minister) are responsible for land administration in respective areas of jurisdiction.
142
Adequacy
 The Land Policy establishes a legal regime that recognises, clarify and secure existing rights in land especially customary rights of small holders.
 Assigning value to land including bare land where an occupier has not made any development or improvement)
 Compensation paid to any person whose right of occupancy or recognized long standing occupation or customary use of land is revoked or otherwise interfered with to their detriment by the state under
any land legislation or written law.
143
THE LAND ACT
CAP. 113 (OF 1999)
Section
Fundamental principles of the Act
(Sections 3 (1) – (3)
Fundamental principles of
National Land Policy
The Act come into force to provide for the basic law in relation to land other than village land, management of land, settlement of disputes and matters incidental
thereto. Provisions of the Act include classification and tenure of land, land administration procedures, rights and incidents of land occupation, granted rights of
occupancy, conversion of interests in land, dispositions affecting land, land leases, mortgaging of land, easements and analogous rights, co-occupation and partitioning
and settlement of land disputes.
Applicability
 The Act (Section 3 (1) (a)-(l)) recognizes all key guiding statement of the Land Policy that:
(a) All land is public land vested in the President as trustee on behalf of all;
(b) Guarantee security to all rights to land occupancy or use;
(c) Access to land by all citizens;
(d) Regulation of amount of land one may occupy;
(e) Productively use of land;
(f) Land has value;
(g) Payment of full, fair and prompt compensation to any person whose right of occupancy or recognized long-standing occupation or customary use is
revoked or otherwise interfered or acquired to their detriment by the state;
(h) Promote effective land administration;
(i) Ensure participation of all citizens;
(j) Enable operation of a market in land
(k) Protect urban smallholders and pastoralists;
(l) Rules of land accessible and understood by all.
 The Act hold on to the principle that assessment for compensation be based on opportunity cost considering market value of real property, various allowances for
costs and losses incurred and interest at market rate.
 The Act (Section 3 (3) recognize types of Rights of Occupancy articulated by the Land Policy: A person lawfully occupy land and such land is his/her property under
either (i) Granted Right of Occupancy; (ii) Deemed to be Granted Right of Occupancy; (iii) Customary Tenure Right of Occupancy; (iv) Deemed to Occupy Right of
Occupancy; (iv) Always Occupied the Land Right of Occupancy.
Land Categories
(Section 4 - 9)
4 categories of land
Institutional responsibilities
Sections 8 - 14
Information Disclosure
(Section 13): On general land
matters
Conflicts and Disputes
(Section 13) Inquiries
 Tanzanian public land classified into three categories
(a) Reserved Land: set aside for wildlife, forests, marine parks; also includes environmental protection areas as well as areas intended and set aside
for spatial planning and (future) infrastructure development. Reserved land is subject to nine listed laws;
(b) Village Land: land inside the boundaries of registered villages;
(c) General Land: neither reserved land nor village; land is governed by the Land Act, under the control and jurisdiction of the Commissioner for
Lands; issued Certificate of Right of Occupancy.
 The Act (creates a category of land known as hazardous land, the development of which is likely to pose danger or lead to degradation or environmental destruction.
Section 7 (1) (a-f) are types of hazardous land: mangrove swamps and coral reefs, wetlands, offshore islands, land designated or used for dumping of hazardous
wastes, land within sixty meters of a river bank, shoreline of an inland lake, beach or coast, land on slopes with a gradient exceeding acceptable angle, land
specified by appropriate authority as fragile nature or of environmental significance.
 President empowered (Section 5) to exchange or transfer land from one category to another; to direct the Minister to transfer general land or reserved land to village
land.
 The Act poses to roles and responsibilities to individuals and entities from central government to local level. Minister Responsible for Lands; Commissioner for
Lands who have powers to appoint or delegate responsibilities to other actors. LGAs only make representation, provide advice or guidance of land matters in
respective areas of jurisdiction as per directive or circular issued by the Commissioner.
 Commissioner or appointed officers provide information orally or in writing.
 The Act directs the Minister to hold inquiry, open to the public, and according to principles of natural justice on all matters concerning land or Land Act; if serious the
High Court Judge may hold inquiry.
Rights and Incidents of Land Occupation
Rights to Occupy Land: by
 Section 19 (1) of the Act stipulate the two types of rights to occupancy land which all citizen – individuals, a group of two or association or a corporate body (right
144
citizens and by non-citizens
(Section 19 & 20)
(Section 22 – 35 )
Characteristics and conditions
of Granted Right of Occupancy
Section 22 -23
Residential License, (Derivative
Right of Occupancy)
holders) may enjoy as: Granted Right of Occupancy and Derivative Right (a right derivative of a Granted Right of Occupancy).
 The Act (Section 19 (2) directs non-citizen to obtain Granted Right of Occupancy or Derivative Right only for purpose of investment prescribed under Tanzania
Investment Act, 1997.
 Under the Act (20(1)) non citizens are excluded from being allocated or granted land unless for investment. Right of Occupancy is granted to TIC who then creates
Derivative Rights to Investors.
 Section 22 (1) (a-j) lists incidents for Granted Right of Occupancy including granted by President; located in general land or reserved land; surveyed and registered;
tenure period of 33, 66 or 99 years; confirmed by a Certificate of Title; and liable to other land conditions (premium, rent, disposition, revocation, acquisition by the
state for public purposes and compensation).
 Section 22 (2) Rights over resources occurring or present on the land: Holder of Granted Right of Occupancy has NO automatic rights over i.e. water rights; rights
over foreshore; rights to mines, minerals, gas; or rights to appropriate and remove from country any flora or fauna, palaentological or archeological remains
 Section 31 – 35 Right of Occupancy carry conditions including land development and the payment of land rent. Failure to abide with these conditions can lead to the
loss of the right.
 (Section 45.(1), (2)Revocation for breach of condition The President is empowered by the act to revoke a the granted occupancy for the good cause. The good
cause shall include: An attempt to dispose to a non citizen, abandonment, misuse breach of condition contained or implied, breach of regulation.
 Section 22 (1) (a-j) are Incidents of Residential License: (under Derivative Right of Occupancy)
 DRO refer to a residential license, granted by LGAs for a specific period as a right to occupy non-hazardous land, reserved for public utilities, surveyed land, or
urban or peri-urban area.
 Section 23 (6) Residential license apply to any occupier of the land without official title who has occupied it for not less than 3 years.
Adequacy
 Other Acts have provisions related to land acquisition but the Land Act is the main reference in all matters related to land acquisition.
 All urban land falls under General Land Category, except land which is covered by laws constituting reserved land, or that which is considered hazard land.
 By far the majority of land occupiers have no certificates of title, in part because land has to be surveyed before it can be issued with a title. However, there is a lot of “de facto” recognition of property
rights for the majority of land occupiers.
 From the advent of the Land Acquisition Act, 1967 practice developed that since land belonged to the public, the valuation for compensation excluded the value of bare land. However, among the
clarifications made in the Land Act 1999 were:
 to take into account that an interest in land has value and that value is taken into consideration in any transaction affecting that interest; and,
 that in assessing for compensation, the market value of the real property is taken into consideration.
 The question of documented legality is not a key consideration in entitlement to compensation. In practice at least in recent days, compensation has been paid in all cases of people who claim to be
landowners and who are adversely affected by the contemplated scheme. However, the definition of beneficiaries has been taken not to include Tenants.
145
LAND (ASSESSMENT OF THE
VALUE OF LAND FOR
COMPENSATION) REGULATIONS,
2001
Section
Methods for valuation
(Regulation 3): Basis
(Regulation 4): Market Value
Responsible authority
(Regulation 5) Qualified Valuers
(Regulation 6)
Chief Valuer
Role of Government
Compensation package
(Regulation 7).
Compensation elements
(Regulation 8, 9, 10, 11)
Calculation of compensation
elements
(Regulation 12)
Unoccupied Land
Delay of compensations
(Regulation 13) Interest
The Regulation were made under section 179 of the Land Act No. 4 of 1999 to set standard methods for valuation of land and properties; responsible authorities and
elements that should be included in a compensation package including methods for calculating their values.
Applicability
 Market Value is basis for assessment of the value of any land and unexhausted improvement for the purposes of compensation
3 methods used for arriving at the Market Value of any land and unexhausted improvement:

Comparative method evidenced by actual recent, sales of similar properties

Income approach; or

Replacement cost method where the property is of special nature and not saleable i.e. not readily transacted in the market.
 Every assessment of the value of land and unexhausted improvement is done only by a qualified Valuer.
 Where the government (national and local) is involved, such assessment must be verified by the Chief Valuer of the Government or Representative.
 Compensation is paid by or overseen by Government or Local Government Authority.
Compensation for loss of any interest in land include:

Value of unexhausted improvement,

Disturbance allowance;

Transport allowance;

Accommodation allowance;

Loss of profits.
 Accommodation allowance payable = Market rent for the building x 36 months.
 Loss of profits payable = Net monthly profit of the business x 36 months ( profit evidenced by audited accounts where necessary and applicable)
 Disturbance allowance = Value of the land x Average percentage rate of interest offered by Commercial Banks on fixed deposits for 12 months at the time of loss
of interest in land
 Transport allowance = Actual costs of transporting 12 tones of luggage by rail or road (whichever is cheaper) within 20 kilometers from the point of displacement.
Elements NOT payable for unoccupied land at the date of loss of interest in land

Transport allowance;

Accommodation allowance;

Loss of profits.
Interest is paid only in case no prompt payment of compensation is made within six months after land is acquired or revoked.
Interest is at the average percentage rate of interest offered by commercial banks on fixed deposits, recoverable until such compensation is paid.
Adequacy
The Assessment of the Value of Land for Compensation Regulations, 2001, (and the Village Land Regulations, 2001), guide the current practice of valuation. The full and fair compensation is only assessed
by including all components of land quality with the market value as the basis for assessment of the value of land and unexhausted improvements (properties)
Presently in assessing the value of the unexhausted improvements for compensation purposes, the law emphasizes that the value should be the price that which said improvements can fetch if sold in the
open market. But this in normal circumstances is lower than the replacement value but higher than the initial construction cost of the said improvements. The method of determining the market value is
claimed to be subjective depending very much on the judgment of the person (Valuer) undertaking the assessment.
Compensation for homes, and associated structures
These are for example, huts, houses, farm outbuildings, latrines and fences, is paid by replacing at cost. In some cases homes are rebuilt on acquired replacement land, however cash compensation is the
preferred option. The going market prices for construction materials is be determined. In some cases compensation may be paid in-kind for the replacement cost without depreciation of the structure.
Compensation is sometimes made for structures that are: (i) abandoned because of relocation or resettlement of an individual or household; and (ii) directly damaged by construction activities.
146
Replacement values
Replacement value is based on:

Drawings of individual's household and all its related structures and support services;

Average replacement costs of different types of household buildings and structures based on collection of information on the numbers and types of materials used to construct different types of
structures (e.g. bricks, rafters, bundles of straw, doors etc.) For vulnerable groups replacement values is based on actual replacement cost.

Prices of these items collected in different local markets;

Costs for transportation and delivery of these items to acquired/replacement land or building site; and

Estimates of construction of new buildings including labor required.
Valuing agricultural production
The prices for cash crops is determined as the average value over the previous year, corrected for inflation. The prices for subsistence crops is determined as the highest value over the previous year,
corrected for inflation. Crop values is determined based on a combination of staple foods and cash crops. Specifically, the 80/20 ratio of land that a farmer typically has in food crops and cash crops is used
to determine the chances s/he would lose food crop rather than a cash crop income.
Another way of valuing agricultural production is through the value of stable crops to be taken as the highest market price reached during the Year. This is based on three factors: (i) Although most farmers
grow staple crops mainly for home consumption, they always have the option of selling these crops to take advantage of the market; (ii) Farmers most often purchase cereals when they have run out, during
the "hungry season" when prices are high. Compensating at a lower value might put the individual or household at risk. (iii) Averaging the highest price of stable foods yields a high per hectare value that
reimburses for the vegetables and other foods that are commonly inter-cropped with staples, but are almost impossible to measure for compensation.
Compensation for agricultural land
In the case of agricultural land, compensation is intended to provide a farmer whose land is acquired and used for project purposes to cover the productive values of the land, labor, and crop loss. For this
reason, and for transparency, "land" is defined as an area: (i) in cultivation; (ii) being prepared for cultivation; or (iii) cultivated during the last agricultural season. This definition recognizes that the biggest
investment a farmer makes in producing a crop is his/her labor. A farmer works on his/her land most of the months of the year.
The major input for producing a crop is not seed or fertilizer, but the significant labor put into the land each year by the farmer. As a result, compensation relating to land covers the market price of labor
invested times the amount of time spent preparing a plot equivalent to that taken. The market price of the crop lost is considered separately.
The other compensation rates cover the labor cost for preparing replacement land based on a calculated value that would cost a farmer to clear and create replacement land. This value is found by adding
together the average costs of clearing, plowing, sowing, weeding twice, and harvesting the crop. Labor costs are paid in Tanzania shillings, at the prevailing market rates.
All agricultural labor activities are included for two reasons. First, all land labor is compensated at the same rate. Second, it is difficult to forecast the growing season that would define acquisition of the land.
The eventual consideration is when land compensation covers all investments that a farmer makes. In certain cases, assistance may be provided to land users in addition to compensation payments, for
example, if the farmer is notified that his/her land is needed after the agriculturally critical date. Often, the timing coincides with the time when the farmer no longer has enough time to prepare another land
without additional labor. Assistance is provided in the form of labor-intensive village hire, or perhaps mechanized clearing, so that replacement land is be ready by the sowing dates. The farmer will still
continue to receive his/her cash compensation so that the compensation can cover the costs for sowing, weeding and harvesting.
147
THE URBAN PLANNING ACT,
2007
Section
Guiding Principles
(Section 3).
Fundamental Principles of
urban planning
Relevant Authorities
(Section 5 - 7): Planning
Authorities
The Act come into force in order provide for the orderly and sustainable development of land in urban areas, to preserve and improve amenities and to provide for the
grand of consent to develop land and the power of control over the use of land and matters in connection with.
Applicability
Key principles include:

Availability of serviced land for shelter and human settlement development to ALL sections of community (including women, youth, the elderly, disabled and
disadvantaged);

Improve the level of provision of infrastructure and social services;

Employment creation and eradication of poverty;

Protect environment from pollution, degradation and destruction

planning legislation, building regulations standards and other controls are consistent with the capabilities, needs and aspirations of the various sections of the
population.
 (Section 5): Minister Responsible for Land use Planning

Ensure incorporation of principles of urban planning in planning processes and use and development of land.

Designate any Body or Organ as a planning authority (Section 7 (4)).

Declare any area of land to be a planning area (Section 8(1)).




Types of Planning Areas
(Sections 8 – 24)
(Section 6): Director of Urban Planning: Advise to Minister, issue guidelines, set standards, coordinate and approval of matters related to urban planning.
(Section 7): empowers every city council, municipals council, town council and township authority to be a planning authority in respect of their jurisdiction.
(Section 28): PA vested with powers to control use of land in accordance with approved planning schemes.
Empowers Minister responsible for LGA to establish, confirm status and expansion of boundaries of LGA
 Sections 8: Any land with defined boundaries recommended and declared by the Planning Authority, favorable to public, and recommended by respective Regional
Secretariat.
 (Section 24) Special Planning Area: Area with unique development, potential or problems.
 Hazard land (Section 24): as declared under Cap 113.
 (Section 26) Changing of land category: transfer of Village or reserved land to general land.
Guide to town planning and development
(Sections 9 – 23): General
 A tool to all persons involved in town to coordinate sustainable development of area to which it relates in order to promote health, safety, good order, amenity,
Planning Scheme: planning
convenience and general welfare.
process, content, review, approval
etc.
Planning consent and EIA report
 No person shall develop any land within a planned area without planning consent from Planning Authority
(Section 29)
 Activities deemed injurious to environment (i.e. industrial location, dumping site, sewerage treatment, quarries) submit EIA report.
Land Acquisition and Compensation
Section 60 - 66
 (Section 60, 61) Land purchase and acquisition by Planning Authority: empowers planning authority to purchase or acquire an area by giving notice to the land
holder
 (Section 63) Value of land for purpose of compensation: the holder of the acquired land or outgoing is entitled to a compensation after due valuation in accordance
with Land Act, Cap 113.
 Section 66 of the Act provided that any landholder whose land is being acquired or whose land is being injured by actions taken under the act should file claims for
compensations in accordance with the Land Act Cap113 including recovery of compensation from the planning authority.
Adequacy

148
LAND USE PLANNING ACT,
CAP……, 2007
The Acts provide procedures for the preparation, administration and enforcement of land use plans and matters incidental to. The
primary requirement of the act is development projects should take into consideration and understand the strategic planning of the
other land surrounding the project.
Section
Applicability
Section 3 (a-f): Fundamental
principles of land use


Section 4:
Land use objectives
Section 6 &7:
National Land Use Planning
Commission
Section 8
Powers
Section 61
Offences and penalties




Responsible authority have regard to the need to make serviced land available for shelter and human development, improve infrastructure and
social services, facilitate creation of employment opportunities ,promote participation and balanced development protect environment and
ecosystems, promote capacity building.
The Act also require for the authority to ensure planning legislation,, building regulations, standards and other controls which are consisted with
capabilities, needs and aspirations of the various sections of the population.
Responsible authority to oversee that the objectives are complied to enhance: efficient and orderly management of land use; promote sustainable
land use practices; facilitate overall macro-level planning; and ensure the use of political and administrative structures recourses available at all
levels for the prevention of land use conflicts
Provide for the establishment of Commission comprised of various environmental stakeholder to ensure oversee the best use of land use
planning.
Section 7 Functions: Commission is the principal advisory organ of the Government on all matters related to land use.
Confers the commission the powers to take the violators accountable such as requiring compliance, take action in courts of laws.
 Invoke penalty for a person who contravenes by to be liable to a fine not exceeding two million shillings or imprisonment for three years or both.
Adequacy

Provisions on Land and Land Use in Other Acts
A number of national laws have provisions requiring for rights of individuals whose property may be acquired and to be compensated
according to national laws.
Environmental and Social Management
Environmental and Social Planning for investments that may cause adverse environmental impacts to the resource and people are
required to include mitigation measures for individuals affected by development activities.
The Local Government (District Authorities) Act No. 7, 1982 and Local Government (Urban Authorities) Act No. 8, 1982
The Acts stipulate the functions of District/Urban councils. Issues of land are
included as objectives of functions and therefore part of the mandates of local government in their respective areas.
149
World Bank Resettlement Entitlements (Source: World Bank Resettlement Policy Framework)
Land and Assets
Agricultural land
Types of Impact
Person(s) Affected
Compensation/Entitlement/Benefits
 Cash compensation for
affected land equivalent to
market value
 Less than 20% of land holding
affected
 Land remains economically
viable.
Farmer/ title holder
Cash compensation for affected land equivalent to replacement value
Tenant/ lease holder
Cash compensation for the harvest or product from the affected land or asset, equivalent to
average market value of last 3 years, or market value of the crop for the remaining period of
tenancy/ lease agreement, whichever is greater.
 Greater than 20% of land
holding lost
Farmer/ Title holder
 Land for land replacement where feasible, or compensation in cash for the entire landholding
according to PAP’s choice.
 Land for land replacement will be in terms of a new parcel of land of equivalent size and
productivity with a secure tenure status at an available location which is acceptable to PAPs.
Transfer of the land to PAPs shall be free of taxes, registration, and other costs.
 Relocation assistance (costs of shifting + assistance in re-establishing economic trees +
allowance up to a maximum of 12 months while short- term crops mature )
 Relocation assistance (costs of shifting + assistance in re-establishing economic trees +
allowance up to a maximum of 12 months while short- term crops mature )
Tenant/Lease holder
 Cash compensation equivalent to average of last 3 years’ market value for the mature and
harvested crop, or market value of the crop for the remaining period of tenancy/ lease
agreement, whichever is greater.
 Relocation assistance (costs of shifting + assistance in re-establishing economic trees +
allowance up to a maximum of 12 months while short- term crops mature
 Relocation assistance (costs of shifting + assistance in re-establishing economic trees +
allowance up to a maximum of 12 months while short- term crops mature )
 Relocation assistance (costs of shifting + allowance).
Title holder/ business owner
 Cash compensation for affected land
 Opportunity cost compensation equivalent to 5% of net annual income based on tax records
for previous year (or tax records from comparable business, or estimates where such records
do not exist).
 Land does not become
economically viable.
Commercial Land
Land used for business partially
affected
Limited loss
Assets used for business
severely affected
Business owner is lease holder
Opportunity cost compensation equivalent to 10% of net annual income based on tax records for
previous year (or tax records from comparable business, or estimates where such records do not
exist)
Title holder/business owner
 Land for land replacement or compensation in cash according to PAP’s choice. Land for land
replacement will be provided in terms of a new parcel of land of equivalent size and market
potential with a secured tenure status at an available location which is acceptable to the PAP.
 Transfer of the land to the PAP shall be free of taxes, registration, and other costs.
 Relocation assistance (costs of shifting + allowance)
 Opportunity cost compensation equivalent to 2 months net income based on tax records for
previous year (or tax records from comparable business, or estimates)
Business person is lease
holder
 Opportunity cost compensation equivalent to 2 months net income based on tax records for
previous year (or tax records from comparable business, or estimates), or the relocation
allowance, whichever is higher.
 Relocation assistance (costs of shifting)
 Assistance in rental/ lease of alternative land/ property (for a maximum of 6 months) to
reestablish the business.
If partially affected, the remaining
assets become insufficient for
business purposes
150
Land and Assets
Types of Impact
Person(s) Affected
Compensation/Entitlement/Benefits
Residential Land
Land used for residence partially
affected, limited loss
Title holder
Cash compensation for affected land
Rental/lease holder
Cash compensation equivalent to 10% of lease/ rental fee for the remaining period of rental/ lease
agreement (written or verbal)
Remaining land viable for
present use.
Buildings and structures
Title holder
 Land for land replacement or compensation in cash according to PAP’s choice.
 Land for land replacement shall be of minimum plot of acceptable size under the zoning law/ s
or a plot of equivalent size, whichever is larger, in either the community or a nearby
resettlement area with adequate physical and social infrastructure systems as well as secured
tenure status.
 When the affected holding is larger than the relocation plot, cash compensation to cover the
difference in value.
 Transfer of the land to the PAP shall be free of taxes, registration, and other costs.
 Relocation assistance (costs of shifting + allowance)
 Land and assets used for
residence severely affected
 Remaining area insufficient
for continued use or
becomes smaller than
minimally accepted under
zoning laws
Rental/lease holder




 Structures are partially
affected
 Remaining structures viable
for continued use
Owner
 Cash compensation for affected building and other fixed assets
 Cash assistance to cover costs of restoration of the remaining structure
Rental/lease holder
 Cash compensation for affected assets (verifiable improvements to the property by the
tenant).
 Disturbance compensation equivalent to two months rental costs
Entire structures are affected or
partially affected
Owner
 Cash compensation for entire structure and other fixed assets without depreciation, or
alternative structure of equal or better size and quality in an available location which is
acceptable to the PAP.
 Right to salvage materials without deduction from compensation
 Relocation assistance (costs of shifting + allowance)
 Rehabilitation assistance if required (assistance with job placement, skills training)
Rental/lease holder




Squatter/informal dweller
 Cash compensation for affected structure without depreciation
 Right to salvage materials without deduction from compensation
 Relocation assistance (costs of shifting + assistance to find alternative secure accommodation
preferably in the community of residence through involvement of the project
 Alternatively, assistance to find accommodation in rental housing or in a squatter settlement
scheme, if available)
Remaining structures not suitable
for continued use
Refund of any lease/ rental fees paid for time/ use after date of removal
Cash compensation equivalent to 3 months of lease/ rental fee
Assistance in rental/ lease of alternative land/ property
Relocation assistance (costs of shifting + allowance)
Cash compensation for affected assets (verifiable improvements to the property by the tenant)
Relocation assistance (costs of shifting + allowance equivalent to four months rental costs)
Assistance to help find alternative rental arrangements
Rehabilitation assistance if required (assistance with job placement, skills training)
151
Land and Assets
Types of Impact
Person(s) Affected
Compensation/Entitlement/Benefits
 Rehabilitation assistance if required assistance with job placement, skills training)
Street vendor (informal without
title or lease to the stall or
shop)
 Opportunity cost compensation equivalent to 2 months net income based on tax records for
previous year (or tax records from comparable business, or estimates), or the relocation
allowance, whichever is higher.
 Relocation assistance (costs of shifting)
 Assistance to obtain alternative site to re- establish the business.
Standing crops
Crops affected by land
acquisition or temporary
acquisition or easement
PAP (whether owner, tenant,
or squatter)
Cash compensation equivalent to average of last 3 years market value for the mature and
harvested crop.
Trees
Trees lost
Title holder
Cash compensation based on type, age and productive value of affected trees plus 10% premium
Temporary Acquisition
Temporary acquisition
PAP (whether owner, tenant,
or squatter)
Cash compensation for any assets affected (e. g. boundary wall demolished, trees removed)
152
3. OTHER RELEVANT ENVIRONMENTAL AND SOCIAL LAWS
The detail of important laws which are relevant to Urban LGA infrastructure development activities from
environmental, social, economic, cultural perspective is contained in a number of important Acts and
Regulations which are described in the below legal register. However, there exists few Acts for specifics
environmental aspects. EMA Cap 191 is the guiding Act in most respect. These include laws on:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
Air emissions and ambient air quality
Solid waste management
Wastewater and ambient water quality
Hazardous / contaminated land
Hazardous materials / substances management
Noise management
Water use / conservation
Energy conservation
Natural resources (biodiversity, forests, wildlife, aquatic) conservation
Natural habitats
Cultural resources
Workers condition (Occupational Health and Safety)
Community health and safety
Other social laws: gender, children, people with disabilities etc
153
*** to add more acts***
OCCUPATIONAL HEALTH AND SAFETY
ACT (ACT NO 5), 2003
Section
Section 4(1),(2) (3) and Section 5:
Appointment and powers of Chief Inspector
Section 6 and 64
Powers of inspectors
Section 7(1-2). Investigation
Section 8. Formal inquires
Section 16 & 17: Registration of factories
and work places
Section 43 Safe means of access and safe
working place
Section 44,45, Precautions in respect to
exposure or inflammable dust gas vapour
substance
Section 50 Prevention of fire
Section 60 Risk assessment
The Act come into force make provisions for safety health and welfare of persons at work in factories and other places of work, to provide for the protection of
persons other than persons at work against hazards to health and safety arcing out of or in connection with activities of persons at work; and to provide for
connected matters.
Applicability
The responsible Minister to appoint Chief Inspector who is responsible in working as an Executive Agency to appoint Inspectors in workplace for the
purposes of keeping record, inspect and keep the standards of health and safety.
 The inspector is mandated to enter, inspect, examine, apprehend any related work place. Specifically Section 6(2) he has the power to require the
occupier to allow entrance, inspection, examination, inquiry take sample and biological monitoring
The inspector is mandated power to investigate, and submit report to the Chief Inspector for further action
 The Chief Inspector may upon receiving a investigation report has the power to advise accordingly, issue improvement notice, prohibition or refer the
matter to court.
 The occupier is responsible to register, before commencement such factory or workplace.
 Section 17 Procedure for registration The occupier upon registering is issued a certificate to show that the place is suitable for the requested a work.
Specifically Section 17(3) compliance certificate is issued every twelve months, upon fulfilling occupational health safety requirements
 The Act put liability to the occupies to ensure all work placers are contracted of sound material and properly maintained. Likewise to make sure the
openings are closed and the workplace to be fenced
 Occupier to take precautions like ensuring prevention of explosion and give the workers wearing suitable breathing apparatus as the case may be.
 The employers are bound to take precaution of having fire extinguishers, adequate means of escape ways
Owners of factory/workplace which involve hazardous process or equipment/ chemical substances likely to harm people or environments are required to do
risk assessment.
Section 61 Removal of dusts or fumes
Section 62 Provision of protective equipment
Duty to the factory owners to protects, persons from inhalation of dust, fume or other impurities.
The employer in any process involving exposure to any injurious or offensive substance or environment is required to provide them with protective
equipments
Section 65 Safety or health of agricultural
activities
The Employer to protect the workers from hazardous machinery, and equipment, harmful animals/ insects, infectious agents, chemicals and hazardous
environment
Section 73Generaaal precautions in
handling chemicals
The Act (Section 73 (1) require the employer to ensure preventive, administrative and technical measures to reduce contamination.
The law further stipulates for (section 73 (7) the employer to ensure proper disposal of wastes in such a way that do not harm human health and
environment.
Section 78 Offences
Authority
Adequacy

The Act prohibit contravention with the requirements in the Act and which attract fine
154
4. URBAN LOCAL GOVERNMENT
THE LOCAL GOVERNMENT (URBAN
AUTHORITIES) ACT No. 8 (of 1982)
Section
The law comes into force to make better provision for the establishment of urban authorities for the purposes of local government, to provide for the functions
of those authorities and for other matters connected with or incidental to those authorities.
Applicability
Section 4 - 12
Establishment of urban authority as
body corporate and to be graded
The Minister Responsible for Local Government is vested with the powers to establish and issue certificate to various urban area in mainland Tanzania i.e.
Section 14 -17: Ward Committees &
implementation of development projects
Town, Municipal and City and to ensure effective and efficient system of local government.
Section12 confers power to LGAs to have perpetual succession and an official seal and acquires the legal status of suing and being sued.
Section 14: The Minister vested with powers, after consultation with President to divide the area of jurisdiction of an urban authority. Section15 establish
Ward Committees vested with functions to implement decisions and policies of the urban LGA; economic and social development of the Ward; to formulate
and submit proposals for making by-laws; and enforce the procedure for implementation of projects.
Section 54 - 55: functions, duties of
urban LGAs
Promoting social and economic wellbeing and development of its area and people within jurisdiction. Section 55 (1) specify several duties of urban LGA of
relevance include:

Take and require the taking of measures for the conservation of natural resources
prevention of soil erosion and prohibition and control of cultivation,

Keep and maintain in good order and repair all public waste receptacles (latrines, urinals, cesspits, dustbins); temporary deposit and collection of
rubbish and public bathing and washing places; removal of all refuse and filth from any public or private place; removal of night soil and disposal of
sewage from all premises and houses in its area so as to prevent injury to health

Provide, maintain, supervise and control public facilities (such as markets and slaughter houses) and public infrastructure and services (street and road
lighting).

Prevention and abatement of public nuisance, which may be injurious to the public health or to good order of the area

Make, keep and maintain clean and in good order and repair all streets and sewers (clear of obstruction), buildings, machinery and works etc and to
provide for the drainage of surface water.

Regulate trade or business which may be toxious, injurious to public health or source of public danger

Undertake matters and services necessary for conducive public safety, health and convenience.
Schedule to Section 55 (2) lists over 100 duties which urban LGA may perform.
Section 59 - 63: Powers
of LGAs
Section 59 vest powers to undertake new construct works; establish, manage, layout, plant, improve, maintain and regulate places of public resort and
recreation (i.e. parks and gardens), trees; and provide fire safety implements.
Under Section 60 urban LGA has powers (by agreement and approval of the Minister) acquire any land or right over use of any land within or without its area
of jurisdiction and pay compensation and expenses incurred of acquisition or revocation (Section 60 (4)), also Urban LGA has powers to let and mortgage
Section 70 - 60: Powers
of Minister
Authority
land and charge rents (Section 61); power to contract ((Section 63) and powers of entry into any land, building, premise etc.
 LGAs are vested with legislative powers – i.e. Section 80 to make by-laws following procedures set under section 81.
 Section 70: powers to modification in development plans of LGAs; Section 73: transfer particular functions of urban LGA; Section 77: delegate powers;
also under Section 82 Minister is vested with legislative powers – to make uniform by-laws.
155
Adequacy

5. LAWS RELEVANT TO INFRASTRUCTURE DEVELOPMENT
THE ROADS ACT , NO.
13 OF 2007
The law was enacted to make provisions for road financing, development, maintenance, management and other matters
incidental thereto.
Section
Applicability
Section 4 Responsibility of Minister
The Minister is the custodian of the policies and responsible for various implementation in respect of roads matters.
Section.5 & 6
Road Authority
 Section 5: The Minister is vested with powers to appoint an authority to in relation to construction, alteration, maintenance, protection and supervision of
roads
 Section.6: The Authority is vested powers to develop, maintain and manage public roads and related facilities; to undertake negotiations,
with developers, adopt harmonized approach on technical standards, research maintain inventories and update road management
systems.
Section.7 & 8 Regional Roads Board
 Section.7: the Board which is appointed by the Minister composed of various stakeholders within the area such as Regional Commissioner, Administrative
secretary Member of Parliament, nominated members from private sector, Mayor, Regional Engineer, TANROADS Manager
 Section.8 Functions: to advise the Minister on any matter relating to the development, maintenance and management within the region.
 Go through various report and perform any related functions.
Section.10
Functions of the TANROADS
It is an Executive Agency to advise, monitor, approve, and carry out research, network with other road authorities.
 Specifically (10 (d) advice on the road safety and mechanism to reduce negative environmental impact in the road network control.
 The road authority vested the powers to acquire the land and make considerable negotiation in respect of compensation.
Section.16
Compensation for Acquired land
Execution of road Works
Section. 18 – 24
Powers authority
Section.30 Protection of environment
 The authority is given powers to enter nod survey, take stones and materials, cut and remove trees, make ditches, place stones on public
roads, removal of abstractions and encroachments, preventing soil from being washed onto roads
 The authority is entrusted with the duties of developing, managing and maintaining the public roads and it is required to comply with
prescribed guidelines, regulations or any other law relating to environmental protection and waste disposal
Authority
Adequacy

WASTE MANAGEMENT FACILITIES ?
MARKET AND ABBATOIR FACILITIES?
156
APPENDIX B: World Bank's Programme for Results
Financing
Aim of Program for Results
The ULGSP is being implemented under the World Bank's Programme-for-Results (P forR)
financing mechanism. P for R aims to promote sustainable development and improve the efficiency, efficacy
and effectiveness of expenditures by:
a) financing the expenditures of specific borrower development programmes;
b) disbursing on the basis of the achievement of key results (including prior results) under such
programmes;
c) using and, as appropriate, strengthening the programme systems to provide assurance that
programme funds are appropriately spent and that environmental and social impacts are
adequately addressed by such programs; and
d) strengthening, where appropriate, the institutional capacity necessary for such programmes
to achieve their intended results.
Key performance areas under Programme for Results Financing
Under P for R financing, grants in the ULGSP will be disbursed upon the achievement of verified results
specified as disbursement-linked indicators (DLIs) linked to the following four key areas:
 Technical assessment : considering, among other things, ULGSPs rationale and its development
objectives; relevant institutional and implementation arrangements, including governance; ULGSPs
activities and expenditures framework; the degree to which the ULGSP aims to achieve specific,
measurable, and verifiable results; the monitoring and evaluation arrangements; and the general policy,
legal, regulatory, and institutional frameworks relevant to the ULGSP.
 Fiduciary systems assessment : considering whether ULGSP's systems provide reasonable assurance that
the financing proceeds will be used for intended purposes, with due attention to the principles of
economy, efficiency, effectiveness, transparency, and accountability.
 Environmental and social systems assessment considering, as may be applicable or relevant , to what
degree the ULGSP systems:
a) promote environmental and social sustainability in the Programme design; avoid, minimize,
or mitigate adverse impacts, and promote informed decision-making relative to the
Programme’s environmental and social impacts;
b) avoid, minimize, or mitigate adverse impacts on natural habitats and physical cultural
resources resulting from the Programme;
c) protect public and worker safety against the potential risks associated with: (i) construction
and/or operations of facilities or other operational practices under the Programme; (ii)
exposure to toxic chemicals, hazardous wastes, and other dangerous materials under the
Program; and (iii) reconstruction or rehabilitation of infrastructure located in areas prone to
natural hazards;
157
d) manage land acquisition and loss of access to natural resources in a way that avoids or
minimizes displacement, and assist the affected people in improving, or at the minimum
restoring, their livelihoods and living standards;
e) give due consideration to the cultural appropriateness of, and equitable access to,
Programme benefits, giving special attention to the rights and interests of the Indigenous
Peoples and to the needs or concerns of vulnerable groups; and
f) avoid exacerbating social conflict, especially in fragile states, post-conflict areas, or areas
subject to territorial disputes.
Integrated risk assessment: considers key risks to achieving the ULGSP's results and development objectives
informed by the results of the technical, fiduciary, and environmental and social systems assessments
Environmental and Social Performance Indicators
Programme Minimum Access Criteria
1. LGA environmental and social management system in place and operational whereby:
 Council ratifies use of Environmental, Social and Resettlement Manual (ESRM) to guide
infrastructure investments. [Year 1]
 LGAs designates staff responsibilities for Environmental & Social Management,
Compensation and Resettlement. [Year 1 and on]
 Verifies that all UPG projects have completed an environmental and social screening
checklist as per the ESRM. All projects requiring environmental and social management
plans have included them in contracts for civil works. Where required, the Resettlement
Action Plan has to be completed for all projects involving resettlement. [Year 2 and on]
2. ULGAs to have a system in place for handling grievances that keeps track of records of all
grievances, disputes, conflicts and wrangles related to the Programme social and
environmental management and fiduciary issues. Records should be obtained from the
designated staff for handling grievances on number of grievances filed, nature of grievances,
status, and resolution and the status of grievances included in overall Programme reported
to PMO-RALG and verified. [Year 2 and on]
Program Performance Indicators
The LGAs will have to demonstrate that:
1. Consultative process for Performance Grant Utilization is in place: Performance Grant
Utilization Plan for the Programme is developed and discussed by the (a) Full Council; (b)
respective Ward Development Committees; and (c) respective Regional Secretariat. (d)
Project Affected People to get their inputs on potential impacts and mitigation measures.
2. Records are kept on environmental and social management: As part of overall Programme
reporting from LGAs to PMO-RALG, staff with designated responsibilities for
environmental & social management and resettlement & compensation report on a quarterly
basis according to guidelines provided by PMO-RALG.
3. Environmental and social management is included in participatory processes: LGAs will
have to demonstrate satisfactory participation of the public and stakeholders via:
Meeting minutes that at least one public meeting for infrastructure projects included environmental
and social issues.
Making environmental and social impact assessment documents publicly available.
Ensuring that public sensitization meeting was held for projects requiring resettlement
158
4. Timely payment of compensation fund: all Project Affected People eligible for
compensation are paid prior to relocation and/or initiation of civil works.
Therefore, this manual acts as a tool to improve the environmental and social management system for
ULGAs implementing the ULGSP. Performance indicators related to environmental and social management
will be in line with the key areas where guidance has been provided for in the Manual.
159
APPENDIX C: Project Specific Guidance
160
City roads and related infrastructure
Eligible projects under ULGSP





Road rehabilitation: Grading, graveling, brick paving, tarmac, upgrading or
rehabilitation for which the ULGA is responsible (maximum 15 km per year)
Road side and Stand-alone open storm-water drains
Culverts
Small Bridges: 6m span or less
Street lights





Minibus stands and bus stops (e.g. minibus parking areas for approximately 25
vehicles)
Taxi stands
Truck stands
Public car parking
Other road-related infrastructure (street furniture, vending platforms, signage)
Examples of Typical Impacts
Biological
environment
Physical
environment
Social
environment
a)
b)
c)
d)
Damage on vegetation, fauna and its habitats, endangered or vulnerable species, and vital life-cycle functions;
Impacts on protected areas- increased road access near such areas increases poaching and illegal harvesting of resources in protected areas
Depletion of natural resources due to uncontrolled use or excavation e.g. water depletion, soil deterioration, deforestation, etc
Perturbation of the aquatic environment (e.g., effects on the integrity of the watercourses, drainage, and sedimentation regime due to erosion,
changes in water course, access roads across watercourses, etc);
e) Effects on landscape features such as escarpments or limestone karsts causing soil erosion, landslides etc;
f) Effects on the soil quality and on the quality of surface and underground water sources (especially water sources used for domestic purposes);
g) Modifications to air quality (increase or decrease of air pollution from emissions, dust, odours and exhausts), its potential effects on public health,
especially on vulnerable groups (e.g., hospital patients, children, and elderly people);
h) Modifications to the ambient noise level in the study area;
i) Improved drainage system reducing risk of flooding and stagnant pools of water
j) Effects on the visual environment (e.g., intrusion of new elements in the visual environment and modifications in the quality of the landscape);
k) Impacts of the construction activities on the cultural and natural heritage, including effects on archaeological or paleontological sites and heritage
buildings (damage, removal, demolition, restricting access);
l) Impacts on the existing or potential use of the territory, mainly to urban, residential, commercial, industrial, and/or institutional areas, and impacts on
agriculture and forestry;
m) Effects on residential areas, modifications in the access to buildings, destruction of future residential areas, fragmentation of property, and
expropriation of buildings;
n) Anticipated effects on the agricultural vocation in the areas adjacent to the project, loss of agricultural areas, modification to the drainage on
agricultural land, and consequences to livestock;
o) Anticipated effects on the forestry vocation in the areas adjacent to the project and loss of forested areas and economic value;
p) Impacts on the existing or proposed public infrastructure, such as roads, electrical installations, water intake, hospital, parks, and other natural sites
(negative impacts if damaged or access restricted during construction; positive impacts if upgraded, rehabilitated or access is improved during
operation);
q) Social impacts including effects on the population and its quality of life [e.g., relocation of the population, of their activities, modification of their
habits (severance), and loss or creation of green areas for rest and recreation];
r) Economic impacts of the project, including the construction and maintenance costs as well as the indirect effects on tourism, employment
opportunities at the local and regional levels, development of new services, land values, and local government incomes;
s) Pollution by noise or dust during the construction period and the inconvenience related to construction traffic (e.g., road deviations, traffic jams);
t) Impacts related to floods, movement of the soil onto the road infrastructure, and access to the road network;
u) Effects on the travel duration and distance (negative impact during construction; positive impact during operation);
v) Effects on traffic safety, including the major consequences and risks for the user and the surrounding population (negative during construction but
could greatly improve safety during operation). Specific attention should be given to the transport of dangerous goods.
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Examples of Environmetnal Management and Mitigation Practices
Road Rehabilitation works
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Erosion control
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Waste management issues
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Grading
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Machinery
maintenance
operation
and
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Identify erosion prone areas and plan construction works and sites to limit quantity of material likely to be eroded and
transported into watercourses.
Identify permanent erosion control measures that can be implemented and plan their design and costs into construction e.g
o use of vegetation e.g. agricultural plants or any other type of mulch; use of permanent vegetation such as trees, etc
o use of mechanical process e.g. stone ripraps, spreading gravel or crushed stone, use nets and matting, etc.
Minimize surface area to be cleared during works
Leaving buffer zones of natural vegetation cover between a cleared area/access roads and water bodies
Avoid and minimize the removal of stumps, trees and natural vegetation
Design slopes and ditches to prevent erosion
Minimize the extent and exposure tie of bare/cleared areas
Topsoil from stripped areas should be put aside for later use in the areas that will be re-vegetated
Divert surface runoff from exposed surfaces
Identify what type of solid or liquid wastes will the project generate
o Waste water from concrete works, washing of aggregates, maintenance warehouses and garages, petroleum reservoirs
o Solid waste including scrap wood, slags and blast-furnace slags, rubble, non-reusable excavated material, chunks of
pavement, pieces of concrete and masonry, non-fermentable crushed or shredded residue not containing dangerous
waste
Identify ways to reduce the volume of waste by reusing or recycling initiatives
Prepare waste collection and transportation mechanisms to water treatment facilities and disposal sites provided by local
government
Levelling near lakes or rivers must be avoided (i.e., a 30-m limit from the top of the bank’s slope), unless this is the location of
the planned work
Removing or moving grave sites, foundations, or other historical or archaeological remnants of interest are to be avoided
materials deposited on the surface of inclined ground must adhere well to the existing ground to avoid sliding
Preserve topsoil stockpiled to a maximum height of 1.5 m to be used to landscape the road slopes and other disturbed
surfaces
Excavated material must be immediately piled/temporarily stored either inside the road reserve or an area which is already
cleared located more than 60 m from water bodies.
Excavated material not re-used can be deposited, leveled and landscaped to give it a natural and stable form either within the
right of way, 35m from the road reserve or 60m from water bodies.
Machinery maintenance site should Have central disposal point for used fuels, oils, paint, vehicle fluids, and old tires and
tubes, household, office, workshop, and other solid wastes
Machinery maintenance site should Have secure storage area with an impervious surface that can contain fuel, oil, and other
fluid spills from servicing of plant, equipment, and vehicles
Spills must be cleaned up by burning in place or collecting the contaminated soil and burning it at the central disposal area that
was approved by the Engineer;
Residue deposited on the ground from washing trucks or from any operation must be buried or cleaned up to the satisfaction of
the Engineer;
Avoid use of heavy machinery closer that 30m from watercourses or lakes
Avoid use of heavy machinery during rainy season to avoid ground compaction, creation of ruts and loss of organic matter
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Bypass and temporary access
roads
Management
of
products
and
substances
petroleum
hazardous
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Managing air and sound
pollution
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Managing natural resources and
existing land uses
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Avoid use of heavy machinery neat properties to prevent damage or cracks
Move heavy machinery outside construction areas during peak traffic times
Re-fuelling, lubrication and cleaning of machinery to be done at maintenance site to avoid and minimize risks of leaks and
spills on soil and water courses.
fuel tanks in maintenance sites should be equipped with a reserve basin to prevent soil or water contamination from accidental
discharge/spills
To the extent possible, the temporary access roads should be located in the road reserve
should respect the boundary lines and linear measurements already established
In general, the width of a temporary access road should not exceed 2.5 times the width of the largest vehicle using it.
Site clearing should be restricted to the width of the road reserve.
crossing/traversing any natural watercourse or draining ditch should be restricted
Restore the landscape after construction to its natural state and remove other infrastructure
Petroleum products, lubricants, and other hazardous materials must be transported in leak-proof containers that are clearly
labelled as containers holding hazardous materials
Petroleum products, lubricants, and other hazardous materials must be stored outside easily flooded zones and more than
60m from watercourses or wetlands.
Tanks and filling equipment for petroleum products must be surrounded by a retention dike designed to completely contain the
content of each tank inside the basin in the event of an accidental discharge
Workers handling and using hazardous materials must be specifically trained in how to handle and use hazardous materials
and in how to avoid any risk of accidental discharge.
Workers must be trained in how to respond in the event of a natural disaster or environmental emergency, including events
leading to chain reactions, so as to avoid any accidental discharge
Store materials to control discharges near construction areas(e.g., absorbent material, peat, sand bags, shovels, pumps,
machinery, containers, and gloves)
Contain fine sand, cement and other materials with a firmly fixed cover during avoid dust formation
Installation of dust filters on equipment
Repair and maintain machinery to reduce exhaust fumes
Dust-control agents can be used (e.g., wood shavings, mulch) or water can be sprayed (e.g., near buildings, streams, and
wetlands) to reduce dust during activities such as construction, excavation, drilling, blasting etc.
Engines should not be left running unnecessarily to reduce noise, exhaust fumes, smoke, dust or other harmful effects
Carry out blasting, use of jackhammers, pile driving, rock crushing, or other operations generating high-intensity noise during
day light hours
Using the noise-suppressing devices available on certain equipment (e.g. mufflers, side panels on compressors, etc).
Installation of noise protection screens e.g. ridge made from excavated material, wall from plywood, mobile trailors, stacked
materials, etc)
Avoid or minimize removal of trees or plants with economic or food-source functions (e.g., teak wood or fruit and nut trees)
Minimize and avoid access roads that will result in individuals or communities to lose any assets e,g. land used for urban
agriculture
Avoid siting of new borrow areas that will result in land use conflicts
Avoid locating drainage structures and outlets that will pose problems to land users e.g. a steep ditch that cannot be easily
crossed preventing access to services/land across the road.
Informing and involving land users in the design and siting of drainage structures
Use of drainage structures and turnouts to benefit communities in water-deprived areas
Drainage structures can be designed to allow community to harvest water
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Use of borrow pits converted to some other use to the community after project completion e.g. water collection pond, dumpsite,
etc.
Rehabilitation works to maintain the same road alignment to avoid or minimise land and property acquisition.
To avoid removal and/or damage to existing structures and infrastructure during construction
Watercourse crossings (bridges and culverts)
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Perpendicular to a watercourse;
Choosing the crossing points
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In places where the banks are stable;
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Downstream from spawning sites;
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Downstream from sites designated for animal drinking water supplies;
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In sections where the banks are straight and well delimited (i.e., not in river bends);
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Downstream from junctions;
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Upstream from barriers that fish cannot cross;
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Downstream from areas where water is used by people (e.g., for drinking water, washing,
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and bathing);
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In areas where the slope of the bed is constant or inferior to 5 %.
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Preferred choice of crossing if imposing watercourse, the bank is steep/scarp, large amount of debris, watercourse bed is rock,
Bridges
if area known for spawning and fish migration.
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Bridge pillars should not significantly reduce the flow of the watercourse
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Minimse the number of pillars to avoid modification of the hydraulic regimen
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Prevent or recover solids such as metals from the watercourse after construction works
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Avoid obstructing movement of fish where applicable (flow rate inside a culvert should not exceed 1.2 m/s for a culvert < 25 m
Culverts
or 0.9 m/s for a culvert > 25 m.)
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Foundation rafts upstream and downstream of a culvert to be laid at least 15 cm below the natural bed of the watercourse or
with a depth corresponding to one-fifth the diameter of the culvert.
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When it is necessary to install culverts in parallel, place one culvert 15 to 30 cm lower than the others
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Plan for floodwater flow to prevent ponds forming upstream from the culvert.
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Plan the location and dimension of a culvert in collaboration with herders to ensure the safe passage of herds and reduce the
risk of road accidents
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Complete the work as quickly as possible;
Construction works
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Minimise the use of heavy machinery in the cross section of a watercourse
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Avoid land clearing and general construction work during periods of flooding and strong rains
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Minimize removing nearby vegetation and topsoil without suitable control measures to prevent sedimentation in watercouse
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Preserve and store Organic waste and topsoil that is removed from the edge of a watercourse during the work for use during
site landscaping
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Never use granular material from the bed and banks of a watercourse as fill;
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Avoid works during periods critical to fauna e.g. breeding, migration etc.
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Carry out all excavation work in the shelter of a cofferdam which isolates the operating area (e.g., the piers, abutments, and
foundations of bridges and culverts).
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Prevent damaging the banks by installing protection measures before beginning the work (e.g., trees, beams, or metal grids).
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If vegetation must be removed, stabilise the banks and restore the vegetation once the work is completed;
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Preserve the vegetation blanket along the road for at least 30 m on each side of the watercourse near the water crossing.
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Never reduce the stream runoff by more than one-third;
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Minimise erosion and sedimentation impacts by using energy dissipators, sand bags, etc
Water management (drainage)
164
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Walls and the bottom of the ditch covered with stable granular materials or vegetation to prevent erosion
Slope minimized or if unavoidable installed with elements to reduce the velocity of water at regular intervals e.g. steps, sand
bags, etc.
Constructed with turnouts to divert ditch water towards areas of natural vegetation, avoid residential and commercial areas
Use gutters to allow surface runoff to the bottom of a slope without causing slope erosion
Installed on undistrurbed soil or well compacted fill
Water is to be directed to stabilised area e.g. with natural vegetation, gravel, etc
Constructed with energy dissipators long the length of the gutter, at the exit or bottom of the slope to minimise erosion
Gabbions: metal baskets filled with stones wired together to form a uniform and unmovable block. Can be used to line
channels, form retaining walls or dams, stabilisation,
Derivation dam or ridge of soil at the top of a fill or excavation slope to divert small surface runoff areas using a narrow channel
Channel water used for building work into drains and gutters
Use of sedimentation basins where applicable to reduce suspended particles in surface water during construction
Stands: buses, taxi, trucks
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Provide lay-bys for bus stops and informal trading - they should be generously dimensioned and well-signed
locate lay-bys in safe locations that do not obstruct junctions and that are not far from existing stopping places
Check that pedestrians can get to and from the bus stops using safe paths and crossing points.
Direct and safe pedestrian access should be provided
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Drainage ditches
Gutters
Other drainage systems
Residue water
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Public transport and parking
Road side bus stops
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Public and Workers Health and Safety
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Public Health
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Road safety
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Establishing or promote an existing HIV/Aids programme that will
o Create awareness among the project managers and leaders of road construction companies;
o Encourage the adoption of a proactive change in behaviour including abstinence and/or fidelity to their spouse,
systematic use of condoms, and HIV testing
o Provide the necessary support to service providers (i.e., medical personnel, educational peers, and community
representatives), as well as clinical and psycho-social support to infected persons;
o Ensure that means of prevention or treatment for STIs and HIV/AIDS are available and
o accessible to workers and the local community members during the project implementation
Does the design and implementation process take into consideration health risks that are prevalent in the project area (e.g.,
guinea worm, malaria, or meningitis)
Prevention of mosquito breeding grounds to reduce prevalence of Malaria, gastro-enteritis, and other diarrhoeal illnesses due
to the proliferation of mosquitoes;
Designing safe roads in terms of route location, road geometry, and roadside access
Provision of sealed shoulders (min. 1m wide) has significant safety benefits for motorists, pedestrians and cyclists
Speed management: speed limits, humps, etc
Junctions can be made more safe through careful choice of design (e.g., roundabouts tend to be safer than other types, but
are not suitable for all situations); realignment to create better visibility; channelisation of traffic movements by islands (kerbed
islands (built-up areas); road markings for high speeds) and priorities (who gives way); advance warning signs; lane markings
Bends with clear warning signs, delineators, lane markings, crash barriers, etc
Cover open drains in built areas for pedestrian safety
Crash barriers to prevent out of control vehicles from leaving the road
Bridges with no sharp bends or steep grades, with adequate visibility, crash barriers, footways for pedestrians, etc.
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Occupational health and safety
issues
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Traffic signals that are upgraded with road improvements, that are manufactured according to standard and are maintained in
good condition
Signing and traffic control during construction
Provide adequate sanitation, potable water, and rest areas to workers;
Prepare for accidents (e.g., identify nearest doctor and hospital) to ensure a swift response when health issues arise;
Provide on-site First Aid kits and that at least 2 persons per worksite have received First Aid training;
Delegate one staff who has been trained in OHS as Safety Officer;
Train employees on health risks, on measures to ensure safety, on how to use Personal Protective Equipment (PPE), on the
importance of using safety equipment, and on what to do when accidents occur;
Train workers handling toxic substances and dangerous machinery on elevant ‘best practices’;
Provide all workers with required PPE (i.e., supply safety equipment based on a worker’s responsibilities, e.g., provide dust
masks to workers working in dusty conditions);
Enforce the correct use of PPE by workers and apply sanctions to workers who are not compliant;
Ensure that safety measures and procedures are adequate and correctly implemented, particularly with regards to passage of
traffic, work procedures, equipment, and materials.
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Markets and Trade
Eligible projects in ULGSP
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Abattoir (maximum capacity of 100 head of cattle per day)
Commercial market infrastructure
Examples of Typical Impacts
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Health impacts from stagnant pools of water due to insufficient surface water drainage. Rehabilitation and maintenance of infrastructure reduces health risks
Negative health impacts from use of water from poor quality source / reduced health impacts from improved water source.
Negative health from improper sanitation and solid waste management facilities / reduced health impacts from improved sanitation and solid waste management.
Fire hazards and odours from improper waste collection
Nuisance, smoke and odour from burning solid waste
Pollution of ground and surface water sources from improper waste management and surface water drainage
Income generation and providing livelihoods for new and rehabilitated market infrastructure.
Recovery of compost material and livestock feed
Examples of Environmental Management and Mitigation Practices
Markets
Selecting a
market site
new
Wholesale
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Whole Sale Market Building
design
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Decide whether it is necessary to concentrate all wholesaling activities at a single site. Can a new market site be located on
government owned land to avoid land acquisition?
Multi-market locations may be more suitable if there are many small-scale retailers, with premises scattered throughout the
city; if retailers' transport facilities are inadequate and if roads are highly congested
Consider proximity to main road and public transport- near enough for traders to access but not to cause congestion
Location area should be level, with stable soil conditions and not within a flood-plain - optimum range of gradients is 1 - 4 per
cent, which should lead to the least-cost construction for roads, services and large-span market buildings.
site should, ideally, already be provided with public services (water, electricity, sanitation, waste collection)
Site should have a regular and compact shape.
The surrounding development should be compatible with the market: avoid residential areas or public hospital, preferably on
the edge of a light industrial area, with easy access to existing and future retail areas
Appropriate arrangement for the buildings will depend on the operations of the market, how produce will flow and how it will be
managed
The planning grid should find the optimum size of sales areas and wholesalers' stalls-If they are over-sized this is likely to lead
to a low turnover and an underuse of resources.
Use the minimum of fixed walls so that sale areas and stalls can be defined by moveable partitions
Minimum clear vertical dimensions should consider the use of fork lifts, trucks and other equipment for loading
Buildings in warm, humid climates should be planned to minimize solar heat gain and to maximize air flow- building orientation
on an east-west axis; spaced to allow breeze penetration; rooms to allow cross-ventilation with large openings; walls should
have a low thermal capacity; roofs will need to be insulated with wide overhangs to prevent sun penetration and to give
protection from heavy rains.
Buildings in hot, dry (arid) climates should be planned as compactly as possible in a courtyard form with precautions to prevent
entry of hot dry winds.
Planning and location of internal elements: canopies, buyers' walks, display areas, loading ramps (max. 8% grade), doors, firefighting equipment, refuse bins, signs.
Planning and location of external elements: fencing and gates, posts and barriers, gantries, fuel and water tanks, temporary
167
Retail Market Building design
and location
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Surface Water Drainage
Water supply and Sanitation
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Solid waste Management
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Food protection
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Labelling
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Equipment
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shade structures, fire hydrants, solid waste skips, landscaping and drainage
segregate the produce coming in from that going out, usually by adopting a one-way circulation system
Provision of parking that does not obstruct loading areas
Decide the type of retail market: covered, open and roadside markets located in traditional city centre and inner city sites; and
markets needed for new urban fringe and suburban areas
Planning of new market sites will need potential locations which would most strongly support a new market to be identified, and
the size for new markets based on what would be most economically feasible to be defined
Location is to balance between the retailers' desire to maximize profit and consumers' desire to have the convenience of a
wide range of reasonably priced services and facilities within a short distance of where they live
land filling to bring the site above flood level or to provide a more stable base for construction
drains that will channel water without causing blockage or flooding
frequent cleansing of drains which are easily blocked by produce waste
covering open channels with steel gratings or concrete slabs
paving larger areas of the market with fitted drainage channels
The operator should ensure that there are compartment sinks that is easily accessible to all producers on the premises,
serviced with running water and connected to an approved drainage system.
The operator shall ensure that are toilets and hand basin for each gender that is easily accessible and maintained in a clean
condition and in good repair.
The operator shall ensure that the toilets and hand wash basins are provided with water and connected to an approved
drainage system.
In areas with unreliable supply of water a pumped supply from a bored tube well can be stored in an on-site storage tower.
Regular water-quality analysis of any existing supply may be required to test for the presence of pollutants, particularly faecal
coliform bacteria
Ideal system is using container interchange based around skip lifting vehicles: skips (3 - 9 cubic metres in volume) located at
strategic locations in the market for gradual filling from hand cart loads.
Skips should be collected regularly based on volume of waste produced per day and empty skips left for the next collection
For small secondary wholesale markets the most convenient collection vehicle may be a tractor and trailer combination. In this
case refuse would be collected in the market at fixed enclosures (usually constructed of rendered masonry or concrete) and
then manually transferred into the trailers
The operator should ensure daily general cleaning of road and floor surfaces within the market
The operator shall ensure that a sufficient number of covered containers are provided to hold all garbage and refuse.
Food shall be protected at all times from insanitary conditions and from potential contamination, including dust, insects,
rodents, animals, unclean equipment and utensils, unnecessary handling, coughs, sneezes, flooding and drainage through the
use of clean, new, approved packaging or display cases.
Containers of food should be stored be stored a minimum of 15cm (6 inches) off the ground (floor).
Food shall not be stored in direct contact with water.
Potentially hazardous foods requiring refrigeration should be kept at an internal temperature of 5°C (41°F) or below.
Frozen foods should be kept frozen (-18°C/0°F or below).
Packaged food should have labels that show: Source – producer name or identity code, and phone number; Common name of
food; Ingredients; Date the food was prepared
All utensils, display cases, counters, shelves, tables, refrigerating
equipment, sinks and any other equipment used in connection with a
Farmers’ Market operation shall be so constructed as to be easily cleaned
and shall be kept clean and in good repair at all times
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Personal hygiene
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Noise Pollution
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All persons handling food products shall conform to proper hygiene practices i.e. avoiding sneezing coughing or blowing of
nose on food, washing hands regularly, hair and sweat kept off face
All persons handling food products are to be free from disease conditions which may contaminate foods (i.e. open sores, cold,
flu).
Distance attenuation, by siting noisiest uses away from sensitive areas.
Restricting the working hours of a market, e.g. minimizing the impact of heavy traffic early in the morning
Attenuation by screening e.g. by constructing a wall around a site can reduce the impact on noise levels
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Solid Waste management
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Eligible Projects under ULGSP
Dumpsite rehabilitation (closed and controlled dumpsites)
Community waste collection points
Equipment
Examples of Typical Impacts
 Reducing negative health and environmental impacts of accumulated uncollected waste and disposal sites: dysentery, diarrhoea, scabies, eye infections, typhoid,
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cholera, intestinal parasites, etc
Reducing negative health and environmental impacts of presence of toxic wastes within dumpsite that poses public health risk
Controlled air emissions from waste collection, transfer vehicles, etc : smoke from burning, odor,
Improved handling and disposal of hazardous wastes, including healthcare and industrial hazardous waste.
Identification of income generation and livelihoods opportunities from controlled scavenging, recycling, gas recovery etc
Reducing loss of marketable material that can be recovered for sale or use
Reducing the closure and post operation monitoring costs of the site
Reducing presence of pests, vermins and rodent
Reducing risk of water and soil contamination
Improved aesthetic qualities of urban area to attract investors and tourists
Examples of Environmetnal Management and Mitigation Practices
Dumpsite Rehabilitation
Site preperations
 Levelling off and grading some portions of the area in order to attain a suitable surface prior to controlled disposal
operations
 Relocation of structures such as storage areas for recyclables by scavengers, shanties and others to be outside of the
disposal area
 Public consultation, consensus and participation in solid waste management including siting alternatives, collection
methods, recycling, composting etc.
Fencing
 Delineation of the site boundary: stake and barbed wire fence or an excavated perimeter ditch and bund planted with
Scavenge control
 Buffer strip: 5 meter wide of trees around the dumpsite to improve aesthetics and act as wind break.
 Scavenge area prepared near waste disposal area where truck unload
 Consultation with the community to set up system for scavenging licences for families or groups to enter the dumpsite to
shrubs
pick valuables
Access Road
 Upgraded access roads to compacted earth and gravel top dressing to ensure it is accessible throughout all seasons
 Access road design and gate to be wide enough for the passing of two trucks
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Surface drainage
 Design of surface drainage to minimize stagnant pools and percolation of surface runoff into waste to form leachate.
 Identification of leachate source and accumulation points
 Development of a plan to drain or pump for treatment or recirculation into waste
Use of facility
 Only municipal solid wastes are accepted. Toxic or hazardous wastes should not be allowed.
 Registration of vehicles entering the facility before being allowed to proceed to the present working area: weight, source of
waste, type of waste, time, etc.
 Site personnel to record all pertinent data, supervise unloading and scavengers and maintain facility. Data to be recorded
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Unloading and Spreading of wastes
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Application of daily cover
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Equipment
includes volume of waste received daily, special occurrences such as fires, accidents, spills, unauthorized loads, and daily
waste inspection logs.
Fire control: prohibit mixed solid burning to prevent air pollution and health risks; have soil stored within facility to put out
fires
Maintenance of access roads and drainage systems to minimize accidents, spillage and stagnant pools of septic water
Designation of a working area/face where waste is to be unloaded at.
Allocation of specific times for scavengers to collect any valuable materials before remaining waste is bulldozed to
emplacement area.
Waste is spread and compacted in layers not greater than 0.6m (2 ft.) after compaction. Compaction of the waste should
be on a slope of about 20-30% and worked from the bottom of the slope to the top.
A movable litter barrier is installed downwind of the active area.
Daily cover of at least 0.15m (0.5 ft.) thick is placed over the waste and compacted, preferably at the end of each working
day.
Daily cover materials : soil, inert material such as carbonized rice hulls or non-hazardous ash
Inactive areas are covered with an intermediate cover of at least 0.30m (1 ft.).
 Availability of equipment to perform the following functions: excavation, handling, spreading and compaction, maintenance
of on-site roads, pumping of water and/or leachate, making drainage ditches
 Examples of equipment: Bulldozer (spreading, compaction and soil cover), Tractor with trailer, hand tools etc
Monitoring Activities
Community Waste Collection Points
Options of how to collect Waste
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Recording of the incoming waste volumes;
Land surveying of the waste disposal area;
Monitoring of groundwater quality near the disposal facility;
Inspection of drainage canals and ditches; and
Availability of earth cover material.
 Waste separation from source: public sensitization and training required for residents to learn sorting method
 Providing communal skips that are not too far from residents, that are emptied regularly and not easily vandalised by
scavengers. these can be for separated waste or combined
 Organised door to door transfer by local contractor to communal skips
 Road side collection by waste collection vehicles taken directly to landfill/dumpsite
 Collection and disposal of hazardous or medical waste to be outsourced to specialised contractor
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 Collection to communal skips can be done by wheel barrow, bay hand, hand carts and trolleys, tuck tucks, small trucks
 Collection from communal skips to dumpsites done by vehicle.
 Vehicle choice is dependent on type or terrain and access roads; type of wastes collected; density of waste collected;
Options for transporting waste
Container
options
collection points
for
communal
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Workers health and safety
Vehicle types
distances
for
various
haulage
*** to add on public spaces***
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waste generation rate; collection frequency; haul distances to dumpsites; staff size available for loading and unloading;
costs for purchasing, fuel, maintenance, etc.
Permanent brick /concrete and plastered container for 75-100 households (1m×1.5m×1m). Appropriate if no roadside
transportation service available.
Steel container for 100-200 households emptied regularly to dumpsite.
Temporary dumpsite: building structure with roof able to contain waste from 200 households per day emptied regularly to
dumpsite (100m2)
Advanced Temporary Depots: permanent building with roof and designated areas for waste separation into inorganic waste
and composting (200-500m2). Inorganic waste either recycled or taken to dumpsite, compost can be produced on site for
sale or taken to composting site for sale
All options require emptying regularly to dumpsite to prevent odours, vermin, rodents, pests, soil and water contamination,
etc
Workers are to be provided protective clothing e.g. safety boots, gloves, overalls, helmets, goggles, etc. To be included in
contract documentation if outsourcing
Wheel barrow: 0.5 km
Hand/animal carts and trolleys: 2km
Trailers: 5km
Closed Trucks: 15km
Skip loaders, Tip Pak vehicles: 20-25km
Mobile compactor vehicles: 30km
Roll-on-roll-off vehicles: 30-90km