Ministry of Local Government and Ministry of Finance The Republic of Zambia Public Sector Governance for Service Delivery Program Draft Stakeholder Engagement Plan May 2019 Ministry of Local Government and Ministry of Finance Acronyms DACO District Agriculture Coordinating Officer DC District Commissioner ESCP Environmental and Social Commitment Plan ESRS Environmental Social Review Summary GBV Gender Based Violence GRM Grievance Redress Mechanism GRZ Government of Zambia LA Local Authority LMP Labour Management Plan M&E Monitoring and Evaluation MoF Ministry of Finance MoLG Ministry of Local Government PSGDP Public Sector Governance for service delivery Program SEP Stakeholder Engagement Plan WB World Bank WDC Ward Development Committee PMU Program Management Unit i Draft Stakeholder engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance Contents 1.0 Introduction ................................................................................................................... 1 1.1 Project Background.......................................................................................... 2 1.2 Project Description.................................................................................................. 3 1.3 Project Components; ........................................................................................ 3 1.4 Applicable World Bank Environmental Social Standards (ESSs) ................... 4 1.5 Stakeholder Consultation and Disclosure ........................................................ 6 1.6 Purpose of Stakeholder Engagement Plan ....................................................... 7 2.0 Stakeholder Identification and Analysis ....................................................................... 8 2.1 Affected groups....................................................................................................... 8 2.2 Other Interested parties ........................................................................................... 9 2.3 Stakeholder Needs ......................................................................................... 10 3.0 Summary of Previous Stakeholder Engagement Activities .................................. 10 4.0 Stakeholder Engagement Program .............................................................................. 11 4.1 Purpose and timing of stakeholder engagement ............................................ 11 4.2 Proposed Strategy for information disclosure................................................ 11 4.3 Proposed strategy for consultation ................................................................. 11 4.4 Proposed strategy to incorporate the view of vulnerable groups ................... 12 5.0 Resources and Responsibilities for implementing stakeholder engagement activities 13 5.1 Resources ....................................................................................................... 13 5.2 Management functions and responsibilities ................................................... 13 6.0 Grievance Mechanism ................................................................................................ 14 7.0 Monitoring and Reporting........................................................................................... 14 7.1 Involvement of Stakeholders in monitoring activities .......................................... 14 7.2 Reporting back to stakeholder groups................................................................... 15 Figures Figure 1 Zambia's 10 Provinces ................................................................................................. 3 Figure 2 Institutional Organisation .......................................................................................... 13 Annexes A to B--pls include ii Draft Stakeholder engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance 1.0 Introduction The Public Sector Governance for Service Delivery Program (PSGDP) is a US$ 100 million project which aims to support the Government of the Republic of Zambia in strengthening institutions for accountable local service delivery. This grant is critical to Zambia’s devolution program through which Councils are decentralized to help improve service delivery particularly in rural areas. The Government made the decision of decentralization through devolution as a principal method to development. The form of decentralization focuses on a decentralized system of governance within a unitary state of Zambia, with the district as the focal unit of development at the local level.The project will involve investments in: (i) Strengthening of local service delivery; (ii) performance grant for service delivery; (iii) capacity development; and (iv) program management. These activities will be implemented in 96 districts across 10 provinces. The social risk classification in this project is rated “moderate� as the project will be undertaken on existing facilities and will not involve complex or large scale civil works and not likely to result in any adverse social impacts. The project is designed on the principle of strengthening local governance accountability for improved delivery. Service delivery at local level is vital for the success of stakeholder engagement. While government has a role to play in ensuring that there is delivery of service in the community, the success of this project will depend on participation from the community. It is therefore, important to engage the community at various stages. In this regard, town councils will need expertise to hold meetings, open discussions and engage vulnerable communities. Stakeholder engagement and participation will assist in the process of managing risks but also timely disclosure of relevant information, gaining stakeholder cooperation and support for the project and addressing the concerns raised by citizens. Therefore, it will promote active participation of citizens in the development and planning of their area. The SEP is a guide with procedures and plans for engaging multiple stakeholder groups. Therefore, in order to successfully implement the PSGSDP there is need for a SEP with sufficient guidance on how PSGSDP will work effectively with various stakeholders to ensure there is interaction and feedback with those affected directly and indirectly by the project. This SEP is established alongside the Environmental and Social Environmental Commitment Plan (ESCP) and provides guidelines for stakeholder engagement during preparation and implementation of the project. This SEP is a living document. It will be: • Disclosed prior to project commencement • Periodically updated and changes validated during project implementation • Monitored and its effectiveness evaluated towards the end of the project 1 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance This SEP offers an overall framework that will guide stakeholder engagements throughout the duration of PSGSDP. It will, however, be updated from time to time to adapt its activities towards particular project needs during implementation. Although the SEP will be developed and the initial version drafted by the District planner under the Local Government administration, overall stakeholder engagement will be carried out in the name of PSGSDP and require prior approval from PSGSDP. 1.1 Project Background The Republic of Zambia in its 7th National Development Plan (7NDP, 2017-2021) highlights its economic strategy for achieving its vision of “becoming a prosperous middle-income country by 2030�. Creating a conducive governing environment for a diversified and inclusive economy is one of the core strategies elaborated in the vision. The 7NDP lays out the following six development outcomes as its key priorities to strengthen governance: (i) Improving the policy environment; (ii) improving transparency and accountability; (iii) establishing an inclusive democratic system of governance; (iv) improving service delivery; (v) improving the rule of law, human rights and constitutionalism; and (vi) enhancing national values, principles, and ethics. One key policy measure for improving governance is the government’s decentralization program aimed at improving service delivery at the local level. In order to strengthen governance and service delivery, the Government formulated in 2009 the National Decentralization Policy (NDP) which is meant to strengthen social interaction between citizens and the State. Therefore, the government has been devolving authorities, roles and funds to local governments. The NDP recognized the need to quicken the process of decentralization by devolving sectors in an all-inclusive and harmonized manner. The Councils, through elected councilors, represent local governments with a supported executive team of civil servants headed by a Town Clerk (for City and Municipal Councils) or Council Secretary (for Town Councils). The responsibilities of local governments are defined in the 2016 Constitution. These include but are not limited to: • Provision of local infrastructure • Street cleaning and drainage, sanitation; and solid waste management • Maintenance of parks, sports and recreation facilities. Nevertheless, local governments, particularly in rural areas face significant challenges in service delivery. They lack the institutional capacity to address their growing service delivery mandate in an effective manner. To be effective, local government bodies will need to engage citizens and create a feedback mechanism to the plans, budget and delivery of services. The government realizes that the decentralization strategy must translate into service delivery outcomes and has sought World Bank support to address these through a specific investment operation. This project will be implemented by the Ministry of Finance (MoF) in collaboration and partnership with the Devolution Secretariat and the Ministry of Local Government (MoLG). 2 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance MoF has experience in implementing World Bank funded projects, having successfully implemented the Finance Management Reform Programme (PFMRP) Phase 1 which ended in December, 2018. This project is a buildup of phase 1 and the same PIU under MoF will be maintained; however, specific skill sets will be needed in the PIU under MoLG since the project will be implemented in town councils and has the component on strengthening citizen engagement. 1.2 Project Description The project will offer support to 96 selected local authorities across the country. This process will be conducted in stages, in strengthening financial and service delivery, improving planning and monitoring, and strengthening citizen engagement in local governance and service delivery. The PSGSDP will be implemented in all 10 provinces of Zambia which include, Copperbelt, Central, Lusaka, Muchinga, Northern, Luapula, Western, North Western, Eastern and Southern provinces. The project will select local authorities categorized as Town Councils. See Annex A and the figure below illustrates the provinces of Zambia: Figure 1 Zambia's 10 Provinces 1.3 Project Components; The project comprises the following four components: Component 1: Strengthen Governance for Local Service Delivery (US$8.5 million) This component will support key agencies of the Central Government in (i) developing transparent and predictable fiscal transfer system, and (ii) monitoring of local government finances and performance for effective and accountable local governance and service delivery, and (iii) strengthening of oversight of local government institutions. The component has three subcomponents: (i) Strengthening the oversight of local government; (ii) supporting public finance management reforms for service 3 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance delivery; and (iii) strengthening the oversight of the local government. Component 2: Performance Grant for Service Delivery (US$70 million) Ninety-five percent of the financing under this component (or US$67 million) will be DLI-based. The council will introduce the performance grant to town councils to reward superior institutional performance of town councils measured through an Annual Performance Assessment (APA). This grant will be available to all 96 Town councils, on condition that they qualify in the APA. The towns that do not qualify will be offered targeted support with the aim to help them qualify in the subsequent years. Component 3: Capacity Development Support (US$17 million) This component will provide capacity development support to strengthen institutions and skills for local councils, particularly the 96 Town Councils with the aim to improve governance and service delivery to citizens in an efficient, accountable and sustainable manner. Furthermore, its aim will also be to strengthen national institutions such as MoLG and LGTI to enhance their ability to fulfill their assigned mandates as well as the Governance oversight of capacity building for LCs. Capacity building under this component will include core trainings, which will include targeted courses meant to meet minimum conditions and performance indicators measured in the APA of the PBG-scheme of project component 2: ICT Foundations and Communications and Citizen Engagement Implementation plan. Based on this plan, LC staff for public relations and communications and M&E staff will be supported through classroom trainings. Component 4: Program Management (US$4.5 million) This component will provide management support to the Ministry of Finance for the implementation of the project. In addition, it will provide support for regular project evaluations which include procurement and safeguard reviews, financial reporting and auditing. Furthermore, the component will also support the design and implementation of a survey to measure service delivery impacts as well as citizen perception of service delivery. Finally, the component will finance communication and outreach efforts about the Project to all key stakeholders. 1.4 Applicable World Bank Environmental Social Standards (ESSs) 1. Assessment and Management of Environmental and Social Risks and impacts (ESS1) Implementation of the PSGSDP will require assessment of environment and social risks likely to result from the project. To this effect, MoF and MoLG will conduct environmental and social assessments to identify risk mitigation measures. Based on assessments conducted during project preparation, the following environmental amd social risks have been identified as potential impacts on project areas: a) Disruption of access to public services b) Community health and safety 4 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance c) Occupational health and safety of workers d) Disposal and management of waste generated during works e) Non-inclusion of vulnerable groups, and f) Weak Grievance Redress Mechanisms. 2. Labour and working conditions (ESS2) As per project design, construction/rehabilitation works will be undertaken by personnel from designated town councils. Issues of occupational health and safety, as well as grievances on labour matters, may arise and pose a risk to meeting project implementation timelines. As such, a Labour Management Procedures (LMP) will be prepared as part of the Environmental and Social Management Framework (ESMF), to address potential labour concerns as highlighted above. The LMP will be prepared in line with local employment act. A Grievance Redress Mechanism (GRM) will be prepared for workers and contracted workers to address potential workplace issues. The GRM procedures will be made readily available to the entirepersonnel. It will provide guidance on process of grievance registering and timely feedback to affected project staff. 3. Community Health and Safety ESS 4 ESS 4 recognizes that project activities, use of equipment, infrastructure can increase community exposure to risks and impacts.1 However, this project envisages that civil works will be moderately low which may not pose a significant risk to the health and safety of communities. Communities may be affected by traffic related safety risks caused by movement of machinery as well as exposure to hazardous waste generated from construction and rehabilitation works. Mitigation measures against this risk are provided in the ESMF. There will be need to manage issues such as restrictions of access. Other potential issues that may arise include: a) Influx behavior by contractors which will lead to increased exposure to communicable diseases including but not limited to HIV/AIDS b) Risk of inadequate and/or illegal disposal of waste c) Creation of nuisances such as dust, noise, vibrations and fumes from civil works d) Effects from uncontrolled storm-water run-off and/or soil erosion. In order to address those impacts, the project will develop an Environmental and Social Commitment Plan (ESCP) outlining measures to be undertaken to mitigate these risks. As these risks will impact communities in targeted areas, effective engagement and communication on potential risks is important. This SEP serves as a mechanism for ensuring adequate project information and communication against risks is shared with various stakeholders. 4. Land Acquisition, restriction on land use and involuntary resettlement ESS5 It is not envisaged that project activities will lead to land acquisition or physical displacement, as the project will be implemented within existing council premises. However, should selected project activities result in impacts of physical or economic displacement, the implementing agencies will be required to prepare a Resettlement Action Plan (RAP). Preparation of the RAP will be guided by the principles set out in the Resettlement Policy Framework (RPF) which will be developed as a precautionary measure to address potential resettlement impacts. 5. Stakeholder Engagement ESS10 1 The World Bank (2017), The World Bank Environmental And Social Framework 5 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance ESS10 requires the government to prepare and implement a stakeholder engagement plan. Identification of stakeholders especially in town councils will ensure wide participation in project design since the project will be implemented in rural areas where there is low participation of vulnerable groups and women. To ensure that there is citizen participation in the project life spun, this SEP stipulates the process of consultation and disclosure of key project information which will be made public during project preparation and implementation. All the identified instruments listed under each ESS have been included in the draft ESCP, including the SEP which is a mandatory requirement for project preparation under the ESF. The proposed engagement activities will be closely monitored and reported on as per the agreed timeline. 1.5 Stakeholder Consultation and Disclosure Stakeholder engagement requires meaningful consultation in such a way that stakeholders are given the opportunity to express their views about the project, risks, impacts and mitigation measures and allow PSGSDP to consider and respond to them. As part of project preparation, officials in MoF undertook various consultations largely at the central level to review the design and to agree on roles, and to identify key stakeholders. Given the outcome of consultations held to date, more consultations need to be undertaken especially for targeted areas. Through this plan a well detailed schedule will be complied for future engagements with communities and other key stakeholders in project areas; tentative timelines have been provided (see Annex A). Meanwhile, meaningful consultations by the PSGSDP will be carried out on an ongoing process based on the nature of issues and potential impacts. The PSGSDP will use a two-way process that: 1) involves interactions between and among identified groups of people and provides stakeholders with an opportunity to raise their concerns and share their opinions, and ensures that this information is taken into consideration when making decisions pertaining to the project. 2) begins early during the project planning process to gather initial views on the project proposal and design. 3) encourages stakeholders feedback, especially as a way of informing the project design and engagement by stakeholders in the identification and mitigation of environmental and social risks and impacts. 4) is ongoing, as risks and impacts arise. 5) will be based on the prior disclosure and dissemination of relevant, transparent, objective, meaningful and easily accessible information in a timeframe that enables meaningful consultation with stakeholders in a culturally appropriate format, in relevant local languages and is understandable to stakeholders. 6) considers and responds to feedback. 7) supports active and inclusive engagement with project affected parties. 8) is free of external manipulation, interference, coercion, discrimination and intimidation; and 9) ensures that implementation of the SEP will be documented and disclosed prior to Project appraisal. 6 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance In addition, the PSGSDP will endeavor to disclose information that will allow stakeholders to understand the risks and impacts of the project as well as potential opportunities. And, it will provide stakeholders with access to information, as early as possible before the Bank proceeds to project appraisal, and in a timeframe that enables meaningful consultations with stakeholders on project design. 1.6 Purpose of Stakeholder Engagement Plan Stakeholder engagement is an inclusive process conducted throughout the project life cycle. Where properly designed and implemented, it supports the development of strong, constructive and responsive relationships that are important for successful management of environmental and social risks identified in a project.2 Communicating early, often, and clearly with stakeholders helps manage expectations and avoid risks, potential conflict, and project delays.3In addition, the plan assists in managing stakeholder expectations which will have a bearing throughout the lifespan of the project. Hence, this SEP provides a plan to interact effectively with stakeholders to support project interests. The institutional arrangement under MoLG will work as follows: The District planning office coordinates all district activities (consist of social economic planners who plan infrastructure projects, local community legislation as well as environmental and social issues) and reports on information on all works carried out by the council. This report is sent to the Provincial Local Government Officer who coordinates all council administrative issues and reports to the Director Local Government and planning who will in turn give financial reports to the Treasury Services department whose role is the disbursement of funds. Meanwhile, there are discussions underway regarding institutional arrangements of this project. The SEP will be updated once there is clarity on the matter. 1.7 Structure of Stakeholder Engagement Plan The structure of the stakeholder engagement plan will be as follows; 2.0 Stakeholder Identification and analysis 3.0 Previous Stakeholder Engagement Activities 4.0 Stakeholder Engagement Program 5.0 Resources and Responsibilities for implementing the Stakeholder Engagement Plan 6.0 Grievance Redress Mechanism 7.0 Monitoring and Reporting 2 The World Bank (2017), The World Bank Environmental And Social Framework 3 Pollet., T (2014), A Strategic Approach to Early Stakeholder Engagement 7 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance 2.0 Stakeholder Identification and Analysis In this SEP, stakeholders refer to individuals or groups who: a) are affected or likely to be affected by the project (project affected parties); and b) may have an interest in the project (other interested parties) 2.1 Affected groups The affected stakeholder groups include the following: • Council Staff in rural areas whose councils qualify for the grant • Bus commuters • Marketeers • Population around the areas of construction 2.1.1 Key Stakeholders a) MoLG b) PMU c) Provincial Local Government Officer d) District planning officers e) Councilors f) Council Secretaries g) Ward Development Committees h) Decentralization Secretariat i) Cooperating Partners4 j) EU k) USAID l) GIZ m) MoF 4 Cooperating partners supporting decentralization policy in Zambia, for exchange of ideas;lessons learned that could be added into the design of the project 8 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance n) Treasury department services o) Programme Management Unit 2.2 Other Interested parties • Bus owners • Shop owners • NGOs • Private Sector5 • Chiefs Other Key Stakeholder Group Purpose Chiefs Gate keepers of the community assist in cooperation of the community Bus Owners Need to be engaged in the event that private owners are affected by new bus stations when they created their own stations. Shop owners TBA Hired TBA Contractors NGOs/CBO’s TBA NGO’s /CBO’s Interact with the community and are at times critical of the WB Local Will use markets and bus stations constructed Community Hired Conduct construction works on behalf of the City Council Contractors Other Private TBA sector Organisations These groups of stakeholders have been identified as critical for the planning and implementation process of the project. Different types of stakeholders have been grouped based on their influences to the project (see Annex B). Early understanding of the influences or connections of a stakeholder group to the project assists in the identification of the key objectives in engagement. In this regard a stakeholder mapping exercise was undertaken to identify the importance of each stakeholder, 5 Who will be identified through further engagements 9 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance which assesses the influence that stakeholders have over a project and/or the way project activities will potentially affect stakeholders. As the project evolves, other stakeholder groups may be identified and engaged. 2.3 Stakeholder Needs Stakeholder needs include language needs and capacity building training, which have been exemplified in Annex B and the ESRS. However, through further consultations and engagements with the community more stakeholder needs will be identified. 3.0 Summary of Previous Stakeholder Engagement Activities During project preparation, a number of meetings were held between MoLG, MoF and the World Bank Mission. Annex C1 has a list of the participants to the meeting held in February 2019, and Annex C2 is a list of missions held in March 2019. The purpose of the February mission was to initiate the preparation of the PSGSDP. In collaboration with a Government team led by the Ministry of Finance (MoF) as well as key stakeholders the objectives of the mission were to: (i) define the scope of the Project and development objectives; (ii) identity priority areas of support based on the findings from the mission; and (iii) agree on the preparation steps and overall processing timeline. The mission held meetings with officials from the MoF (including Inter-Governmental Fiscal Relation Unit and Project Management Unit for PFMRP), Decentralization Secretariat, Ministry of Local Government, Ministry of National Development Planning, Local Government Service Commission, Chalimbana Local Government Training Institute, Smart Zambia Institute, Action Aid, the Zambia Institute of Policy Analysis and Research (ZIPAR) as well as with Cooperating partners (GIZ). In addition, the mission undertook field visits to three town councils (Chilanga, Kafue and Rufunsa) to get an understanding of the systems and capacity of town councils as well as the ground level challenges for implementing the Government’s Decentralization policy. The mission made good progress on the design by identifying keys issues relevant to project and agreed with Government counterparts to expedite project preparation through frequent technical missions. (see Annex C1). The second series of meetings were held March 18-to 29, 2019. The objective of the mission was to work with counterparts in the Zambian Government in order to (i) advance the design of the project scope, (ii) identify specific activities in the priority areas for support as agreed during the previous mission, and (iii) review the action plan from the previous mission to complete project preparation. The mission held meetings with officials from MoF (including IFRU), Office of Accountant General and Public Financial Management Reform Unit (PFMRU), Decentralization Secretariat, Ministry of Local Government (MoLG), Ministry of National Development Planning (MNDP), Local Government Service Commission (LGSC), Local Government Training Institute (LGTI), the Office of Auditor General, Smart Zambia Institute (SZI), as well as with cooperating partners (GIZ). In addition, the mission organized a workshop with representatives from the principal Ministries, Departments, and Agencies on 10 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance March 25-26, 2019 and discussed the project objectives, scope, components and activities, institutional and implementation arrangements (including fiduciary, disbursement, monitoring and evaluation) and environmental and social safeguards management. The mission also attended a meeting of the Cooperating Partners Group (CPG) on Public Financial Management (PFM) and presented the project design (see Annex B2 which has list of officials that attended the meeting). Another stakeholder engagement meeting was held at WB on April 4, 2019 with a representative from MoF and a representative from MoLG to identify key stakeholders in the project, agree on specific roles and responsibilities of the various stakeholders, as well as identify the office responsible for the management of the SEP. 4.0 Stakeholder Engagement Program 4.1 Purpose and timing of stakeholder engagement The PSGSDP will engage stakeholders as early as possible and will continue the engagement throughout the planning, mobilization, implementation and handing over stages until the project is eventually closed out. However, the nature and frequency of follow up consultations will differ depending on the subprojects; the principles will be guided by the SEP (see Annex A). 4.2 Proposed Strategy for information disclosure The Stakeholder Engagement plan will be disclosed on the Bank’s and ministry’s website. Furthermore, information prior and during project implementation will be made available through brochures in local languages (translation), in the provincial areas where activities will be conducted. Most of these areas have local community radio stations; therefore, information will be transmitted through these radio stations according to their language needs. The MoLG through the Local Authorities (Town Councils) will be responsible for the project launch and disclosure of the SEP and GRM so that the community is made aware of channels to bring out their complaints. These meetings will be in the form of Focus Group Discussions; all views and feedback will be recorded. Town Councils are key in the mobilization of the community and holding meetings with them once there are emerging needs in the community will be important. 4.3 Proposed strategy for consultation The PSGFSDG will have consultations at various levels, and meetings will be held for the purpose of gathering information. 11 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance Team one will comprise senior management from MoF, MoLG and World Bank PSGSDP Team leader and staff. At inception, this team will meet on a monthly basis and all participants will be responsible for giving updates including on delays that the project may anticipate. However, during implementation, meetings will be held once every six months. These meetings will create an opportunity for effective coordination in order to prevent delays. In this regard, there will be need for a dashboard as a way of monitoring the team’s engagement (see Annex D). Team two is intended to serve as a technical committee which will comprise the District Commissioner’s, Councilors, District Health Officer (DHO), and the District Agriculture Coordinating Officer (DACO). The purpose of this team will be to meet on a monthly basis to discuss technical issues related to the project during implementation. They will also discuss any grievances that may have arisen from the community,which require feedback. Team three will comprise of: Ward Development (WDC’s) Committees, market masters and commuters. WDCs are important in the stakeholder engagement process, because they are those who mobilise the community and the mouthpiece of the councils. They will also act as disclosure agents to the marketeers and commuters. Meetings will be held as and when there is need for disclosure or when there are grievances that arise. 4.4 Proposed strategy to incorporate the view of vulnerable groups The project defines a vulnerable group as a population that has some specific characteristics that places it at higher risk of falling into poverty than others living in areas targeted by a project. Vulnerable groups include the elderly, the mentally and physically disabled, at-risk children and youth, ex-combatants, internally displaced people and returning refugees, HIV/AIDS-affected individuals and households, religious and ethnic minorities, and in some societies, women. Whilst the project is not likely to attract labour influx into project areas, increased income streams for some workers if not managed well can lead to social tension, at household and community level, thus increasing risk of illicit behaviors and exposure to high risk situations such as sexual exploitation and Gender Based Violence (GBV)which mostly affect vulnerable community members. To complement mitigation measures in the ESMP, a GBV action plan will be developed and proposed actions shared with the public to safeguard against this risk as well as providing them information on reporting proceedures through the project GRM. Vulnerable groups on this project will be identified during community engagement and identification of new stakeholders. 12 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance 5.0 Resources and Responsibilities for implementing stakeholder engagement activities 5.1 Resources Human as well as financial resources are very important in stakeholder engagement to ensure effective service delivery. The institutional arrangement under MoLG will work as follows: The District planning office, which consists of social economic planners who plan on infrastructure projects, local community legislation as well as environmental and social issues, will coordinate all district activities and report on works carried out at the council level. This report will be sent to the Provincial Local Government Officer who will coordinate all council administrative issues and convey any feedback received to the Provincial Local Government Officer (PLGO) who then reports to the Director Local Government and planning who will, in turn, give financial reports to the Treasury Services department whose role is the disbursement of funds. However, there are discussions underway regarding institutional arrangements. The SEP will be updated once there is clarity on the matter. The office responsible for the stakeholder engagement plan will be the District planner under Local Government administration. This office will also come up with a budget for stakeholder engagement activities, to ensure that consultations on the project are done in an effective and efficient manner. Figure 2 Institutional Organisation Local Government •District Planning World Office Ministry of Finance • Provincial Local Bank • Treasury Services Government Office department • Director Local • PMU Government Office • PMU • Director Planning and Information 5.2 Management functions and responsibilities To ensure that the stakeholder engagement plan is effective, the MoLG in collaboration with MoF will hire, train and deploy the right personnel with good communication and accounting skills who will be able to engage various stakeholders. The hiring staff by the ministry has been included in the ESCP as one of the commitments. 13 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance 6.0 Grievance Mechanism The Grievance mechanism is currently in draft form but will be finalized before project approval. 7.0 Monitoring and Reporting Monitoring and reporting will include involving Project Affected Parties in monitoring mitigation measures that will be agreed on the ESCP to satisfy stakeholder concerns; thus, promoting transparency. The ESCP will further outline, based on close consultations with all stakeholders, how affected parties will be involved in the monitoring and evaluation and assess whether or not capacity building and training programmes will be required to enable affected parties and local council staff participate in monitoring. The Project will establish a monitoring system that is participatory, which will utilize indicators that are sensible to concerned stakeholders. Furthermore, the project will involve affected parties by gathering their observations to triangulate scientific findings and involve them in participatory discussions of external and monitoring and evaluation missions. 7.1 Involvement of Stakeholders in monitoring activities Throughout the consultative process, stakeholders will be questioned on how effective the meetings and process of engagement were. The questions will be tailor-made to the relevant audience; however, they will assess if the meeting and entire process were in line with the key requests for meaningful consultations with stakeholders. The Programme Management Coordination Unit will monitor the SEP in accordance with the requirements of the Legal Agreement and the Environmental and Social Commitment Plan (ESCP) including changes resulting from changes in the design of the project or project circumstances. The extent and mode of Stakeholder monitoring with respect to environmental and social performance would be proportionate to the potential environmental and social performance risks and impacts of the project and their effect on the various stakeholder interests. The following Monitoring actions will be undertaken regarding stakeholder interests in line with the environmental and social performance of the PSGSDP, which will include: • Conducting stakeholder engagement in an ongoing manner, in accordance with the SEP and build upon the channels of communication and engagement as established with stakeholders. • Collection of feedback from stakeholders on environment and social performance of the project, and on the implementation of the mitigation measures outlined in the ESCP on a bi-annual basis. • Periodic reviews of compliance with requirements of the legal agreement, including the ESCP. • Where appropriate, and as will be set out in the SEP, engaging stakeholders and third 14 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance parties such as independent experts, local communities or nongovernmental organizations (NGOs), to complement or verify projects stakeholder monitoring information; • Where other agencies or third parties would be responsible for managing specific risks and impacts and implementing mitigation measures, the Government would collaborate with such agencies and third parties to establish and monitor such mitigation measures. 7.2 Reporting back to stakeholder groups The Public Sector Governance Service Delivery Project (PSGSDP) stakeholder engagement process will aim to support the development of strong, constructive and responsive relationships among the key identified Project stakeholders for successful management of the project’s environmental and social risks. Effective stakeholder engagement between the Government and project stakeholders improves the environment and social sustainability of projects, enhances project acceptance and makes significant contribution to successful project design and implementation. All PSGSDP stakeholder engagement meetings will have minutes, which will be stored in the PSGSDP stakeholder engagement database; this will be to ensure that (i) there are records that can be referred to and that all views raised are taken into consideration, and (ii) commitments made are delivered upon. In addition, the outcomes of the stakeholder engagement activities with comments that have been taken into account will be reported in the ESCP and monitoring progress reports by all parties. Despite this being for internal use only, it will result in an annual report on stakeholder engagement under PSGSDP. In this regard, the first report will be published in June 2020. 15 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance Annex A Tentative Draft Stakeholder Disclosure Plan Componen Group Purpose Person Mode Time Frame t Responsibl e Componen WB(Task Team Disclosure WB May 2019 t4 Leader of the SEP, , MolG (Principal ESRS, Engineer, Directors ESCPP, Planning and GRM Directors Administration) , MoF( Procurement ) Componen District planner Ensure staff MoF For staff Prior to project t2 MoLG M& E and Finance class room commencemen Specialist community trainings at t are trained Chalimban in GRM, a or Mulungush i University Componen Councilor, Council Disclosure Councilors Meetings Prior to project t2 secretaries, Council of the GRM commencemen Staff, Hired t Contractors WDCS Componen WDCs, community Responsibl WDCs Community Prior to project t3 (marketeers, bus e for under meetings commencemen commuters, disclosure MoLG Focus t vulnerable of GRM, Group communities) SEP, EC Discussions 16 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance Annex B Group Description of Stakeholder Description and Key Impact on Project Desired State Engagement attributes Strategy Ministries -Ministry of Local Govt Effective and Efficient Workshops -Decentalisation Secretariat service delivery Joint assessments and -MDD Cabinet Office Look at decentralization Implementers of the Inspections -Ministry of National policy across all ministries components Development Planning and set criteria Meetings(monthly) -Local Govt Serivice Commisson Quarterly meetings Oversea staffing /Human Well skilled staff Efficient service delivery Chalimbana Local resource development Government training Institute Capacity Building Recruit qualified Conduct training for staff training All Councils should be personnel Auditor General’s office current Annual Audits Onsite and mobile MOF-Controller of internal training audit Proofing of financial Financial application documents Phasing of audits Local Districts • Implementing and • Useful in the • Consultative Government Municipalities affected entity construction meetings Sub-County • Technical activities • Build Town Leadership • Offer partnerships 17 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance Group Description of Stakeholder Description and Key Impact on Project Desired State Engagement attributes Strategy Council • In-charge of day to support and day running of supervision local governments Funding World Bank • Provides Funds Withhold funding if Donor requirements and • Conduct Agency • Sets funding donor requirements best practices are met strategic conditions are not met engagements assessments • Share progress reports • Constitute working group NGO’s Social Environment Interact with the Provide for entry Maintain good relationships Build alliances and work /CBO’s community and are at times points into the and support compliance to with other NGO’s and critical of the WB community environmental and social CBO’s requirements Local • Chiefs • Gate keepers of the • Influence on • Improves • Meetings Community • Marketeers community acceptance infrastructure for • Training on • Commuters • Will use markets of the project the area managing • Population in the and bus stations by subjects • Improve trading market and corridor constructed areas/ sanitation/ waste feel that they • Focus group belong discussions • Community fully when there is engaged need, feedback • Once in a year meeting in 18 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance Group Description of Stakeholder Description and Key Impact on Project Desired State Engagement attributes Strategy terms budgeting( 4-5 Villagers times) • Hold regular Community dialogues Supply markets(offloading • Establishing and area) training Grievance Management Committees • Sensitising community on Environmental issues. Paying attention to the issues of health and safety, gender, HIV/AIDS, GBV, children, Elderly, PWDs and other vulnerable groups Hired TBA Carry out works and Have a stake in either • Service delivery • Agree on clear Contractors activities on behalf of the the success or failure according to LC’s requirement council of the PSGFSDP expectations • Monthly • Mitigate HIV coordination 19 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance Group Description of Stakeholder Description and Key Impact on Project Desired State Engagement attributes Strategy AIDS and GBV meetings • HIV AIDS and GBV training Health and Safety Business Own shops that are near TBA TBA TBA Meetings men/Shop construction of markets and Owners bus stops Districts DC – Due to the decentralization Councilors policy, they are involved in Meetings District education Officer the planning and provide Director of Health input to the process DACO e.g building of bridges during construction for easy access 20 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance Annex C1 List of officials met and composition of the World Bank team List of Officials Met No. NAME ORGANISATION DESIGNATION 1. Mukuli Chikuba MoF- Economic Management PS – Economic Management & and Finance Finance 2. Chola J. Chabala MNDP PS Planning 3. Mushuma Mulenga MNDP PS – M&E and Development Cooperation 4. Dr. Martine Mtonga Smart Zambia Institute National Coordinator & Deputy Secretary to Cabinet 5. Numeral Banda MoLG Acting PS – MoLG 6. Mumba Chanda MoF - Accountant General Director LG Finance and Projects 7. Alfred S. Sakwiya Decentralization Secretariat Director 8. Mulele M. Mulele MNDP - Development Planning Director 9. Margret C. Kapanda MoLG- LG Administration Director 10. Maketo Mulele MNDP – Development Planning Director 11. Crane Muleya MNDP – Public Investment Director Planning 12. Lazarus Mulenda LG Service Commission Commission Secretary 13. Richard Lungu MNDP – Development Planning Assistant Director 14. Sheila S. Mudenda MNDP – Central Statistics Office Assistant Director 15. Desmond Banda MoF - Budget Office Assistant Director 16. Prudence Kaoma MNDP – M & E Assistant Director 17. Elizabeth M. Choseni Decentralization Secretariat Assistant Director 18. Sylvia K. Masebo MoLG - Planning Assistant Director – PIPD 19. Andrew Mwinga MoLG – LG Administration A/Assistant Director 20. Dr. Nswana Movens Decentralization Secretariat Assistant Director 21. Coreen Mvula Decentralization Secretariat Assistant Director 22. Musukuma Chuzya MoLG – LG Administration Assistant Director 23. Patson Phiri MoLG - Planning Assistant Director 24. Lee Chileshe MNDP – Development Planning Assistant Director – Development Planning 25. Simon Phiri Smart Zambia Institute Deputy Director Local Government 26. Bob Chiyombwe MoF – PFMRP Procurement Specialist 27. Mpongwe Ndebele MoF – PFMRP M&E Specialist Shawa 21 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance 28. Austin Sichinga MoTC Deputy Director 29. Mr. Nyirongo MoHA – National Registration National Registrar 30. Mr. Nyahoda MoHA – National Registration Deputy National Registrar 31. Sally.C. Chama MoF – PFMRP Senior Accountant 32. Samson Mwale MoF – PFMRP Principal Accountant 33. Victoria Y. MoF – Budget Office Senior Economist Kaulung’ombe 34. Brian Mwiya MoF- Accountant General Senior Accountant 35. Kapema G.N. Hangoma MoF- Budget Office Acting Principal Economist 36. Martin Phillip MoF-Budget Officer Budget Adviser 37. Dr. Ruth Mulenga MoLG - Planning Principal Planner 38. Brian Simukoko MoLG – LG Administration Principal LG Auditor 39. Mwelwa A. Munsaka MoLG - ICT Principal Planner 40. Frank Kunda MoLG – Training Institute Principal 41. Kelvin Syabeene MoLG – LG Administration Principal Local Government Officer 42. Shadreck M. MoLG - Planning Principal Planner Kambafwile 43. Chewe Nkole Smart Zambia Institute Business Development Officer 44. Chisenga Fungai Kunda Smart Zambia Institute Business Development Officer 45. Amos M. Musonda Local Government Service Commission (LGSC) 46. Beatrice M. Yeuuka LGSC 47. John Kalokoni LGSC 48. Eddie Nason Mumba LGSC 49. Mary Nkanga LGSC 50. Mwamba K. Makowa LGSC 51. Paul Zimba LGSC 52. Peter Mutale LGSC 53. Bupe Chongo Sinkala LGSC 54. Maybin Chanda LGSC 55. Bwalya E. Banda LGSC 56. Mwape Katemwe Rufunsa Town Council Council Secretary 57. Mutinta Siasumo Rufunsa Town Council District Planning Officer 58. Mildred Chekwe Rufunsa Town Council Chief Human Resource Officer 59. Kabaso Nkalamo Rufunsa Town Council Council Treasure 60. Carol Hamaleka Rufunsa Town Council Chief Administrative Officer 61. Rachel Chaaka Rufunsa Town Council Public Relations Officer 62. Brian Simukoko Rufunsa Town Council Director of works 22 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance 63. Mumbi M. Chocho Chilanga Town Council Council Secretary 64. Ama D. Addo Chilanga Town Council District Planning Officer 65. Sophie Kandandu Chilanga Town Council Deputy Director of Works 66. Patricia Kaliya M Chilanga Town Council Education Standards Officer 67. Kingford Kalobi Chilanga Town Council Deputy Treasurer 68. Sydney Mwamba Kafue Town Council Human Resource Officer 69. Nkumbu Nangoyi Kafue Town Council Health Inspector 70. Vincent Siakalambwa Kafue Town Council District Forestry Officer 71. Perfecto Buyamba Kafue Town Council Director Forestry Kabanshi 72. Monica Mulenga Kafue Town Council Assistant Director Aquaculture 73. Mwanji Chellah Kafue Town Council Director of Agriculture 74. Idah Katongo Kafue Town Council Socio – economic Planner 75. Maseka Mwamba Kafue Town Council Environmental Planner 76. Suzyo Nyirenda Kafue Town Council Architect 77. Maximilian M. Mwansa Kafue Town Council Assistant Commercial Manager 78. Maambo Chilepa M Kafue Town Council Senior System Analyst 79. Samson Mwanza Kafue Town Council Water & sanitation Coordinator 80. Vannesa Kasongo Kafue Town Council Procurement Officer 81. Kabwe Chileshe Kafue Town Council Acting Director of Works 82. Joseph Chirwa Kafue Town Council District Accountant 83. Mwansa Susan Makungo Kafue Town Council Chief Administration Officer 84. Mwape Mupeta Kafue Town Council Data Entry Operator 85. Jayne K. Bwalya Kafue Town Council Community Development Officer 86. Namoonga Mweene Kafue Town Council Chiefs & Traditional Affairs Officer 87. Ole Krach GIZ/GFA Team Leader 88. Basil Mweempwa GIZ/PIP Senior Governance Advisor 89. Lackson Daka GIZ/GFA Advisor Fiscal Decentralization 90. Michelle Wilson GIZ/MoLG Advisor 91. Jean Knoedel-Keaue GIZ/LGAZ Advisor 92. Leonie Schmitz GIZ/GFG Component Coordinator 93. Rhudo Masasi GIZ/D4D Junior Advisor 1. Composition of the World Bank Mission Team 1. Ramakrishnan Venkateswaran Lead Governance Specialist & Task Team Leader (TTL) 2. Shomikho Raha Senior Public Sector Specialist & Co-TTL 23 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance 3. Miki Matsuura Public Sector Specialist & Co-TTL 4. David W. Wachira Public Sector Specialist 5. Lourdes Linares Senior Financial Management Specialist 6. Lingson Chikoti Financial Management Specialist 7. Wedex Ilunga Senior Procurement Specialist 8. David W. Wachira Public Sector Specialist 9. Njavwa Chilufya Social Development Specialist 10. Mwansa Lukwesa Environmental Specialist 11. Krishna Pidatala Senior Operations Officer 12. Zivanemoyo Chinzara Country Economist 13. Charity Mbangweta Program Assistant 14. Sipiwe Chihane Program Assistant 15. Jumbe Ngoma Communication Consultant 16. Baison Banda Financial Management Consultant 17. Shadreck Shawa Procurement Consultant 18. Elliot Kalinda Procurement Consultant 19. Shuller Habeenzu ICT Consultant 20. Francis Zulu PFM Consultant 24 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance Annex C2 List of officials met and composition of the World Bank team List of Officials Met No. NAME ORGANISATION DESIGNATION Emmanuel Pamu 94. MoF Permanent Secretary Budget Mulenga Permanent Secretary – M&E and 95. Mushuma Mulenga MNDP Development Cooperation 96. Amos Malupenga MoLG Permanent Secretary 97. Davison Mendamenda Office of Auditor General Acting Auditor General 98. Alfred S. Sakwiya Decentralization Secretariat Director 99. Elizabeth M. Choseni Decentralization Secretariat Assistant Director 100. Nswana Movens Decentralization Secretariat Assistant Director 101. Coreen C. Mvula Cabinet Office (DS) Assistant Director 102. Betty Musonda Cabinet Office (DS) Assistant Director 103. Desmond Banda MoF - Budget Office Assistant Director 104. Chitalu Mulenga MoF-Budget Office Acting Assistant Director Victoria Y. 105. MoF - Budget Office Senior Economist Kaulung’ombe 106. Kapema G.N. Hangoma MoF - Budget Office Acting Principal Economist 107. Emmy S. Chenguluka MoF – Treasury Services Director 108. Brighton Simutowe MoF – Treasury Services Principal Accountant 109. Maggie Sisya MoF – Treasury Services Principal Accountant 110. Eddie Mulenga MoF – Treasury Services Senior Accountant 111. Mumba Chanda MoF - Accountant General Director LG Finance and Projects 112. Brian Mwiya MoF - Accountant General Senior Accountant 113. Joyce Sundano MoF Internal Audit Controller of Internal Audit 114. Martha Ndhlovu MoF Internal Audit Principal Internal Auditor 115. Chikapa Kazuma MoF Internal Audit Senior Internal Auditor 116. George Chibwe MoF Internal Audit Assistant Director 117. Phales C. Phiri Office of Auditor General Acting Deputy Auditor General 118. Sally Ross Office of Auditor General Acting Deputy Auditor General 119. Francis Mbewe Office of Auditor General Director 120. Renniah S. Zulu Office of Auditor General Director 121. Wycliff Sakala Office of Auditor General Acting Assistant Director 122. Shadreck Chitumbo Office of Auditor General Acting Assistant Director 25 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance 123. Francis Chewe Office of Auditor General Principal Auditor 124. Eng. Fanizani Phiri MoLG Acting Director 125. Nancy Mwamba MoLG - Finance Acting Director 126. Constance Musonda MoLG - Finance Senior Accountant 127. Nkumbu Siame MoLG - DHID Director 128. Ngoza Munthali MoLG - Planning Director Shadreck M. 129. MoLG - Planning Principal Planner Kambafwile 130. Mweembo Changula MoLG - Planning Principal Planner 131. Chilombo M. Hamabwe MoLG - Planning Senior Planner 132. Margret C. Kapanda MoLG - LG Administration Director Principal Local Government 133. Kelvin Syabeene MoLG - LG Administration Officer 134. Numeral Banda MoLG - Physical Planning Director 135. Mwelwa A. Munsaka MoLG - ICT Principal Planner 136. Frank Kunda MoLG - LGTI Principal 137. Pondani Daka MoLG - LGTI SSTO 138. Mukupa Tembo MoLG - LGTI SSTO 139. Isaac Kaputo MoLG - Procurement Chief Purchasing & Supply Officer 140. Kelvin Syabeene MoLG PLGO 141. Richard Kangwa MoLG Principal Engineer 142. Brian Siakabeya MoLG Principal SWMO 143. Amos M. Musonda LGSC Commission Chairperson 144. Lazarous Mulenda LGSC Commission Secretary 145. Bwalya.E Banda LGSC CHROM 146. Michelle Sinda MNDP Principal Planner 147. Bob Chiyombwe MoF – PFMRP Procurement Specialist Mpongwe Ndebele 148. MoF – PFMRP M&E Specialist Shawa 149. Sally.C. Chama MoF – PFMRP Senior Accountant 150. Samson Mwale MoF – PFMRP Principal Accountant 151. Caiphas Phiri MoF – PFMRP Principal Accountant 152. Jane Mvula MoF – PFMRP Accountant 153. Kennedy Chilumbi ZPPA Principal Compliance Officer 154. James Paipi CLGTI/MLG HOD-AMS 155. Basil Mweempwa GIZ/PIP Senior Governance Advisor 156. Martin Phillip GIZ/MoF - Budget Office Budget Adviser 26 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance 157. Lackson Daka GIZ/GFA Fiscal Decentralization Advisor 158. Michelle Wilson GIZ/MoLG Advisor 159. Jean Knoedel-Keaue GIZ/LGAZ Advisor 160. Leonie Schmitz GIZ/GFG Component Coordinator 161. Rhudo Masasi GIZ/D4D Junior Advisor 2. Composition of the World Bank Mission Team 1. Hisham Waly Practice Manager 2. Rama Krishnan Venkateswaran Lead Governance Specialist & Task Team Leader (TTL) 3. Shomikho Raha Senior Public Sector Specialist & Co-TTL 4. Miki Matsuura Public Sector Specialist & Co-TTL 5. Abebaw Alemayahu Sr Urban Specialist & Co-TTL (joined remotely) 6. Luis Schwarz Sr Finance Officer 7 Lourdes Linares Senior Financial Management Specialist 8. Aleks Kocevski Senior Operations Officer 9. Lingson Chikoti Financial Management Specialist 10. Wedex Ilunga Senior Procurement Specialist 11. David W. Wachira Public Sector Specialist 12. Njavwa Chilufya Social Development Specialist 13. Mwansa Lukwesa Environmental Specialist 14. Krishna Pidatala Senior Operations Officer 15. Zivanemoyo Chinzara Country Economist 16. Charity Mbangweta Program Assistant 17. Sipiwe Chihane Program Assistant 18. Jumbe Ngoma Communication Consultant 19. Baison Banda Financial Management Consultant 20. Shadreck Shawa Procurement Consultant 21. Elliot Kalinda Procurement Consultant 22. Shuller Habeenzu ICT Consultant 23. Francis Zulu PFM Consultant 24. Daniel Budny Consultant (joined remotely) 27 Draft Stakeholder Engagement Plan, May, 2019 Ministry of Local Government and Ministry of Finance Annex D Responsible Item Task & Objective Required Action Actions Taken Target Due Date Remarks Person 28 Draft Stakeholder Engagement Plan, May, 2019