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MINISTRY OF WATER, SANITATION AND IRRIGATION

THWAKE MULTI-PURPOSE WATER DEVELOPMENT PROGRAM PHASE 1

TERMS OF REFERENCE

FOR

CONSULTANCY SERVICES FOR UNDERTAKING ENVIRONMENTAL AND SOCIAL

AUDIT AT THWAKE MULTI-PURPOSE WATER DEVELOPMENT CONSTRUCTION

SITE

YEAR 2021

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1.0 Project Background Information

The Ministry of Water, Sanitation and Irrigation is implementing Thwake Multipurpose

Water Development Program (TMWDP), a flagship program under Vision 2030. The program

commenced with construction of Thwake dam which is located 1 km downstream of the

confluence of Thwake and Athi rivers in the counties of Kitui and Makueni. The program

whose budget is KES 42.6B is jointly funded by the Government ofKenya and African

Development Bank (AfDB) and comprises of construction of:-

a. Phase 1; Construction of a 80.5 m high multi-purpose dam (688 Million Cubic Metre

storage capacity) and associated preliminary works needed to enable the other three

phases;

b. Phase 2; Development of hydropower generating system with an installed capacity

of approximately 20 MW;

c. Phase 3; Development of Water Supply, Sanitation & Waste water Infrastructure to

supply estimated 150,000 m3/day of treated water to approximately 1.3million

people drawn from the rural areas of Kitui and Makueni Counties and those in Konza

Techno City and its environs;

d. Phase 4; Irrigation Scheme Development to ultimately irrigate approximately 40,000

hectares (approx. 100,000 acres) of land;

The dam is located at a distance of about 180 km south east of Nairobi and is accessible

from Wote Town in Makueni County through Wote – Mavindini gravel road or through Kwa-

Vonza – Kanyangigravel road in Kitui County.

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The reservoir will cover an area of 2,900 Hectares spanning from the embankment to about

12 Km upstream and an estimated catchment area of 10, 276 square kilometres. The

catchment area constitutes about 35% arable and 65% semi-arable land. The Dam project is

expected to serve the greater lower eastern areas of Makueni, Kathonzweni, Mbooni East

(all in Makueni County) and lower Yatta in Kitui County. The principal areas which have been

targeted as the main beneficiaries of water from the dam are the towns of Kathonzweni,

Wote, Kibwezi and their sounding areas, the Konza ICT City and the neighbouring areas of

Makueni County and the Yatta Plateau in Kitui County.

The project area is characterized by very low levels of rainfall averaging about 690mm per

annum. This results in frequent droughts and acute water shortages. The area is not

endowed with surface water resources except Athi River which is a perennial river and

drains along the Athi basin andfinally into the Indian Ocean. The source of Athi river is

Gatamayo forest in Kiambu County and flows through Nairobi, Machakos and Kajiado

Counties. The river is fed by several other tributaries which are seasonal in nature but which

carry huge volumes of water during the rainy seasons. Thwake River, one of the tributaries

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joins Athi River near Kathukuni and Nduyu Hills in Makueni and Kitui counties respectively,

and at a distance of approximately 1.0 km upstream of the proposed dam axis.

Ephemeral tributaries into Athi River include Kaiti, Muooni, and MutitoAndei Rivers. Other

tributaries that form the catchment of Athi River are Mbagathi, Ngong, Ruiru, Thiririka,

Nairobi, Mathare, Ndarugu, Kiboko, Makindu, Kibwezi and Tsavo Rivers.

2.0 Program Goals.

The program seeks to meet the following specific goals:-

1. To provide clean and adequate domestic water supply for about 1.3 million

people

2. To provide water for irrigation

3. To facilitate water storage and reduce rain water losses, and

4. To generate hydro-electric power.

The Dam project began with the concept development that involved desk and field

assessment with a view to establishing the need for the project. A wide range of

considerations including the capacity of the existing water sources, water demand and uses

as well as social and economic linkages of water in the target area have been taken into

perspective. The concept was followed by a detailed feasibility study involving the

environmental scoping process. This study involved determination of the viability of the

proposed Dam project with respect to sustainability of water feed, environmental

suitability, social acceptability and economical justifications. Preliminary physical surveys,

measurements and social evaluations were carried out in conjunction with all stakeholders

and in reference to all other social and economic initiatives in the project area. According to

the feasibility study report, the Dam project is a fulfillment of the communities’ long-time

desire to have access to water both for domestic consumption and economic development.

The positive implications of the proposed project override the potential negative impacts of

the project that would be mitigated through integrated measures proposed in this report.

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Before the commencement of the dam construction, the Ministry undertook a baseline

survey to determine and describe the then existing situation on the ground on all aspects of

cultural, social and economic characteristics of the society and the environment. The survey

was aimed at providing baseline data and information on the area for decision making

during the project implementation period as required in the program execution and

financing.

3.0 Project Organization

The dam is currently under construction by the appointed contractor- China

GezhoubaGroup Co., Ltd. (CGGC)and has engaged several sub-contractors. The construction

project is supervised by SMEC International Pty ltd, a consultant. The Ministry of Water,

Sanitation and Irrigation has established Project Implementation Team (PIT) which reports

to the AfDB through its Principal Secretary and is responsible for procurement, financial

management, land compensation and all RAP and ESIA related activities. Program Steering

Committee (PSC) has been set to guide the program and comprise of Principal Secretaries

from the Stakeholder ministries, i.e. Ministry of Water, Sanitation and Irrigation, Ministry of

Agriculture, Livestock and Fisheries, Ministry of Health, Ministry of Energy, Ministry of

Information, Communication and Technology, National Treasury, Ministry of Environment

and Natural Resources. Other members of the Committee include representatives of Water

Resources Authority, National Irrigation Board, National Environmental Management

Authority, National Construction Authority, Tanathi Water Works Development Authority

and Makueni and Kitui Counties.

4.0 Project Commencement and Progress

The Dam Construction Site handed over to contractor on 27th March 2018 which is also the

commencement date of works. The expected completion date is November 2022. As at 30th

June 2020, the construction works progress stood at 37% against time lapse of 49.08%. The

main work activities of the Dam being undertaken currently include:

a) Water diversion Tunnels A and B of respectively 731m and 791m distances.

b) Spillway which include excavation and concrete works

c) Access Adit – drilling, blasting and rock excavation

d) Construction of Embankment wall

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e) Construction of Coffer Dam

f) Construction of Employer’s / Engineer’s permanent site office

The process of compensating Project Affected Persons (PAPs) was completed before the

project site was handed over to the contractor.

5.0 Justification for the Audit

Environmental Impact Assessment (EIA) for Thwake Multi-Purpose Water Development

Project was conducted and completed in April 2013 and EIA license issued in December

same year.

This Environmental and Social Audit (ESA) is being undertaken in accordance with the

requirements of Environmental Management and Coordination Act (EMCA) 1999section 68

(4)that obligates the proponent of a project to prepare and submit environmental audit

report to NEMA annually. The ESA report shall describe how far the project conformsin

operation with the statements made in the EIA study reportsubmitted under section 58 (2)

of EMCA 1999.TMWDP is a new project undertaken after Environmental (Impact

Assessment and Audit) Regulations, 2003 were effected and thus Regulation 31-(1) require

an environmental audit study be undertaken on the projectactivities which are likely to have

adverse environmentalimpacts. According to Regulation 31(4b) the proponent of a project

that has undergone EIA study is required within a period of twelve months of

thecommencement of the operations, and not more than twenty four monthsafter the

completion of a project whichever is earlier, to undertake anenvironmental audit of the

project.

The African Development Bank’s (AfDB) Environmental and Social Assessment Procedure

(ESAP) define requirements and obligations of the Borrower to conduct Environmental and

Social compliance audit to assess level of compliance of the project with the Environmental

and Social Management Plan (ESMP). The audit will inform the AfDB compliance levels of

the project construction and actions required to address any gaps identified in the project.

The audit will also inform the Employer/PIT level of implementation of the Environmental

and Social Management Plan (ESMP) and compliance to EMCA 199 and related Regulations.

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The audit shall be conducted by a qualified and authorized environmental auditor who shall

be an expert or a firm ofexperts registered in accordance with regulation 14.

6.0 Audit Objectives

The objective of the environment and social compliance audit is to assess the level of

compliance of the project with the requirements of EMCA 1999 and related Regulations and

those of the AfDB Environmental and Social Safeguards. The audit will focus specifically on

assessing the extent of compliance with the financial agreements provisions, including

national legislations, regulations and procedures, the Bank’s environmental and social

requirements and international industrial best practices (IIBP) of the project’s sector. The

audit will identify non-compliance, good practices and deficiencies, and recommend

corrective actions.

7.0 Scope of the Audit:

The audit will cover all the dam construction site activities including quarries and

neighborhood. The audit will also cover health, safety, welfare and social aspects of the

workers, impact of the project construction activities and processes on the neighboring

communities.

As part of the assignment, the Consultant is required to visit all the project sites and engage

with therelevant stakeholders of the project. The Consultant is expected to undertake a

detailed analysis of the environmental and social risksposed by the project and determine

compliance and adequacy of the ESMP. The detailed analysis of the environment includes

but not limited to measurement of air quality, Athi and Thwake river water quality, analysis

of levels of siltation if any, noise, excessive vibrations and other measurements necessary in

order to obtain full picture of the environmental protection. The Consultant will examine

contractor’s documents on management of environment, health and safety and draw up

conclusions. Separate reports for noise, air quality, water quality, excessive vibrations will

be required to be prepared and submitted together with the final environmental report.

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In carrying out the EA study, theauditor/consultant shall ensure that an appraisal of all the

project activities, includingthe production of goods and services is carried out, give

adequateconsideration to environmental regulatory frameworks, environmental health and

safety measures including detailed measurement and analysis of exposure to noise,

excessive vibrations, dust, noxious gases, and sustainable use of natural resources.

The auditor/consultant, in carrying out the audit shall comply with any existing

nationalenvironmental regulations and standards prescribed by NEMA, andin the absence of

such national environmental regulations and standardsshall use such other international

standards

The Consultant will develop audit questionnaire based on the AfDB’s requirements on ESAP,

Environmental National legislation and contract conditions related to management of

environment, health and safety.

The Consultant will prepare draft for presentation and discussion with the Client and then

prepare final report for submission to the Client, NEMA and AfDB.

The Consultant selected will be expected but not limited to:

a) Organize audit opening meeting with the PIT, Contractor and Supervising

Consultant’s management, and where applicable, representatives of local

community

b) Determine and agree on the scope, methodology and specific set of criteria for the

compliance audit with the PIT.

c) Review Bank’s environmental and social policies’ requirements, including climate

change and gender.

d) Review applicable national legislations, policies, frameworks on health and safety,

sustainable use of natural resources and on acceptable national and international

standards.

e) Review available reports on the project including the project appraisal report, the

Loan/grant agreements, the project periodic implementation reports, any relevant

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documentation and records available and necessary for the assessment of the

project EHS performance.

f) Examine monitoring programs, parameters, and procedures in place for control and

corrective actions in case of emergencies.

g) Examine records of incidents and accidents and the likelihood of future occurrence

of the incidents and accidents.

h) Inspect all buildings, premises and yards in which manufacturing, testing and

transportation takes place within and without the project area,as well as areas

where goods are stored and disposed of and give a recordof all significant

environmental risks associated with such activities.

i) Carry out project site inspections to assess project implementation activities

including contractor management and related environmental and social risks and

impacts;

j) Conduct assessment and detailed analysis and measurement (to be undertaken by

accredited NEMA Laboratory) of the current biophysical environment:

I. noise pollution,

II. excessive vibrations,

III. water and soil within and outside the site,

IV. air quality,

V. water quality,

VI. levels of rivers siltation (Athi and Thwake), and

VII. aspects of ecosystem.

Separate reports of each of these audit elements should be prepared and submitted

to PIT.

k) Assess adequacy of site waste management and disposal and prepare

recommendations based on good practices

l) Examine and seek views on health and safety issues from the projectemployees, the

local and other potentially affected communities.

m) Prepare a list of health and environmental concerns of past andongoing activities.

n) Evaluate the actual capacity for managing and monitoring implementation of agreed

mitigation measures and related Environmental Management documents applicable

to the project.

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o) Hold consultation(s) with stakeholders (including but not limited to contractor, sub-

contractors, supervising Consultant, PIT, local beneficiaries and project affected

persons on the status of the planned and implemented Environmental mitigation

measures and legal permits.

p) Prepare comprehensive Audit report. The report should present a cogent analysis on

findings and causes as related to the predetermined compliance audit scope and

criteria. It should present a logical (qualitative and quantitative) examination of the

effectiveness of mitigation measures, residual risks, environmental issues, etc. The

report will also include a Corrective Action Plan (CAP) summarizing the concrete

recommendations for follow-up actions on findings and remedial measures including

clearly estimated costs, specific roles and responsibilities.

q) Organize a closing meeting with the PIT, management of the Contractor and

Supervising Consultant and those responsible for the functions audited. The purpose

of this meeting is to present audit findings to ensure that they are clearly understood

and acknowledged by the auditee. Any outstanding diverging opinions between the

audit team and the auditee should be discussed and recorded.

8.0 Consultants Qualifications

Considering the scope of the audit, the Firm of Experts must comprise of the following

experts who meet the stated requirements and qualifications:

a) Team Leader – NEMA registered EIA/EA Lead Expert with minimum 10 years’

experience. At least Master’s Degree in Environmental Science/ Natural Science;

should have relevant work experience in environmental assessment of

infrastructure, water and energy projects. Good command of International

standards, including African Development Bank and/or World Bank/IFC safeguard

policies, is also required.

b) Sociologist– With at least Master’s Degree in Social Science; minimum 8 years of

relevant work experience in social impacts assessment of infrastructure, water

and energy projects. Must have good command of International standards,

includingAfrican Development Bank and/orWorld Bank/IFC safeguard policies, is

also required.

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c) Ecologist (Biodiversity Expert)- NEMA Registered with at least Bachelor’s Degree

in Ecological Studies and minimum 7 years of relevant work experience in

environmental assessment of infrastructure, water and energy projects. Must

have good command of International standards, including African Development

Bank and/or World Bank/IFC safeguard policies, is also required.

d) Hydrologist – At least Bachelor’s Degree in Hydrological studies or related with

minimum 6 years of relevant work experience in environmental impact assessment

and audits in water and energy projects.

e) Health & SafetyExpert –An approved Health and Safety Advisor by DOHSS with at

least 10 years’ experience and minimum Bachelor’s Degree in Biological, Physical

Science or Engineering disciplines.

All the Experts must have:

Sound knowledge and experience in application of the provisions of the

Environmental Management and Coordination Act (EMCA), 1999 and Regulations

under the Act.

A good knowledge and experience in developing and managing the implementation

of Environmental and Social Impact Assessments (ESIAs), Environmental and Social

Management Plans (ESMP), Environmental Management Frameworks, the social

aspects of development projects (health and safety aspects, involuntary

resettlement and gender issues, etc.), monitoring, evaluation and conformity

assessment;

A proven knowledge and practice of ISS, including the safeguards policies,

procedures and practices of development agencies of key bilateral and multilateral

partners in regional member countries.

A good knowledge and experience of multi-criteria assessments, stakeholder

engagement and consultation, community participation; analytical skills to assess

institutional capacity and to design/review practical arrangements for implementing

complex projects;

Demonstrate ability to work effectively in a multicultural environment and to

develop effective working relationships with clients and colleagues;

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Have excellent technical and analytical skills, with a proven track record in

operational and political work on environmental and social issues;

Have a good knowledge of the assessment, preparation and/or management of the

implementation of the Bank's environmental and social safeguards for the

development of major projects;

Have solid practical experience in the evaluation, integration and monitoring of

social development concerns at the level of Bank operations;

10. Deliverables

The main deliverable from the audit will be Environmental &Social compliance audit report

which includes Corrective Action Plan (CAP) and updated ESMP. The audit reports should

provide information that will enable the Borrower (Government), Bank and stakeholders

identify, evaluate and manage environmental and social risks relating to the project.

Recommendations should be made on how to prioritize and develop action plans and

implement the management measures that best avoid, mitigate project risks and impacts.

The Consultant will prepare the following documents/reports indicated in the table below

for discussion and approval by the Client will observing the stated timelines:

S/no. Document/Report details Completion Time(after

contract signing)

No. of Copies Required

1 Pre-audit briefing meeting, validation

of audit plan and methodology,

resources required and contact

persons where needed

1 Week

Copies for the meeting

participants.

Consultant to take

minutes of the meeting

and members in

attendance

2 Validation of E&S and Public

Participation/Consultation

questionnaires detailing systematic

and progressive collection of

information and data required to

complete the audit.

3 Site Audit Kick-off meeting with the

PIT, Contractor and SMEC. The

Consultant to present audit plan,

2 Weeks Copies for the meeting

participants.

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methodology, required documents and

resources

Consultant to take

minutes of the meeting

and members in

attendance

4 Audit document review and validation

of the audit plan

3 weeks

5 Inception Report – to provide

conceptual framework to be used in

the audit, the key evaluation questions

and methodology, including

information on data sources and

collection, sampling and key indicators.

4 Weeks One (1) hard copy and

one (1) soft copy

6 Site Audit exercise - Data collection

Obtain and analyze samples of soil,

water and air

Take measurements and analysis of

`noise and excessive vibrations

8 weeks

8 Public and stakeholders engagement 8 weeks Attendance lists, Minutes

of public

participation/consultation

meeting. Issues logs

9 Draft Audit Report. The Consultant to

present draft report and lead

discussions with PIT, Contractor and

SMEC Representatives

10 weeks One (1) hard copy, one

(1) soft copy

10 Final EA Report and submission to the

Clientand NEMA. Report submission

acknowledgement to be provided as

evidence that the report was received

by NEMA. The Client will submit the

report to the AfDB.

12 weeks 3 hard copies, one soft

copy

11. Duration of the assignment

The audit will take not more than three (3) months with reports submitted to the Client and

NEMA. This audit will cover year 2020. Same audit exercise will be repeated in years 2021

and 2022.

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Undertaking of audits for 2021 and 2022 will be subject to satisfactory preparation of the

2020 audit. The PIT will be required to submit an evaluation of the consultant’s performance

for any prior audit, before the consultant undertakes subsequent audits.

12. Payment Schedule

Payment of the audit assignment will be made as follows:

a) Submission of Inception Report to the Client – 20% of the contract amount.

b) Submission and clearance of the draft Audit Report by the Client – 30% of the

contract amount.

c) Submission of the Final Report with Acknowledge Slip from NEMA – 50% (balance of

the contract amount)

13. Reporting Requirements

The consultant will report to the Thwake Multipurpose Water Development Program

(TMWDP) Coordinator and will work under the supervision of the Program Implementation

Team (PIT). All reports should be printed, bound and submitted in both hard (3copies) and

soft copies in a standard way by the consultant.

14. Document Control

All documents and data obtained during the audit shall remain the property of the Client.

The Consultant shall return the documents obtained to the Client immediately the

Consultants submits the Audit report and before any payment is made.

15. Confidentiality

The Consultant shall be bound by the confidentiality clause as provided in the contract.